Overview
Background
Compliance Management is a part of Estates responsibility to identify, capture, track and maintain all relevant equipment and assets relevant to adhering to legal compliance and ensuring a healthy and safe environment. Relevant legislation relates to services such as water, fire, electrical, lifts and gas across the entire estate portfolio.
As the University has grown, coupled with ageing systems this is becoming more problematic. The existing systems include Archibus, Excel and SharePoint. Archibus is used for Planned Preventative Maintenance (PPM), however the actual information relating to the compliance of assets to include dates, frequency of inspections, certificates and plans are captured in Excel and SharePoint.
Whilst Archibus is planned for decommissioning and replacement in 2023/2024, it was initially anticipated that this would be live sooner. Given Covid-19 and further work on the business case, the delivery dates have moved out. This has led to a tactical business need for an interim solution to deliver a ‘Commercial-off-the-shelf' (COTS) Compliance Management capability until a new CAFM solution is operational.
Currently there are 35,000 assets captured in 17 spreadsheets and 3rd party systems including critical data such as inspection dates and reminders. A further 15,000 assets are not held in the Excel spreadsheets at this time. Whilst these additional assets should be captured it is not a priority at this time and will not be part of this project. This is creating data management issues, limited reporting capabilities, ineffective time use and ultimately a lack of confidence and awareness. Coupled with the critical work of external Service Engineers with whom there is tacit knowledge in tracking this information, and there exists significant exposure to the potential of non-compliance or loss of relevant information. The current processes involve lots of duplication and double keying by Estates staff. Based on a survey carried out by the Compliance Building Services Engineer, this equates to 76 hours per week and does not include compliance team on the ground carrying out emergency light tests & water checks.
The Director of Estates Operations has emphasised how critical these activities are and wishes this work to proceed as a matter of priority. The legal aspects associated with non-compliance are compelling including the potential for reputational damage and ultimately a risk of direct criminal action against responsible Directors. Whilst there have been no serious issues of non-compliance, the risk is increasing which could lead to more serious repercussions or incidents.
The question has been asked “What if we use Archibus more?” the key impact is that this would place more dependency on a capability and a support partner we are trying to navigate away from. There is also no tested direct link between the Planned Preventative Maintenance module and the Compliance module which has previously resulted in double or triple keying of data, something staff wish to avoid. As the core system has been extensively customised over the compliance module is out of step and would require major work to bring it online and there is a risk it would not work and could cause system instability to Archibus.
The Director of Estates Operations has stated that a solution would need to be in place for a minimum of 24 months. Even a minor delay of 3 to 6 months will reduce the impact and benefits realisation. With this in mind, Procurement have agreed that we can proceed with researching and identifying a SaaS solution from the G-Cloud digital marketplace with the intention of making a recommendation and purchasing an appropriate solution. This also satisfies the need for a contract negotiation to be 2 years plus a maximum of two 1-year extensions.
There is no scope in this project for integration into other UoE systems or indeed Archibus at this stage. This is due to the fact that the solution needs to be implemented as quickly as possible under a limited budget and adding any integration will result in longer procurement, testing and delivery timescales plus higher costs. The Estates Facilities Management Stabilisation project (EST123) is also commencing at the same time to try and stabilise the existing Archibus solution until its end of life prior to CAFM New being implemented. In addition work is underway with the Estates P&M Integration project (EST129) and this could be compromised by any further changes to Archibus.
Scope
The new system will need to identify, capture, track, report and maintain all relevant equipment and assets relevant to adhering to legal compliance and ensuring a healthy and safe environment.
The project scope consists of one work package which will implement a Compliance Management Solution in three stages as follows:
Stage 1 Planning
- Step 1.1- Create and gain approval for project brief, including scope, timescales, effort (resource) and approach
- Step 1.2- Agree governance route via IS, Estates, IT Committee. Confirm what level of business case and documentation is required for the agreed governance route
Stage 2 Delivery – Split into procurement and implementation
- Step 2.1 Detailed procurement & implementation plans. Includes data and documentation, embed & optimise plan/task list and detailed resource plans.
- Step 2.2- Business and technical requirements showing the mandatory and 'scored' requirements to support a procurement selection.
- Step 2.3 – Complete procurement assessment- Includes requirements scoring, demo, contract review, risk assessment & cost review
- Step 2.4- Sign off from Estates, IS & IT Committee for approval to procure a compliance management solution
- Step 2.5 – Award contract to supplier. Includes signing contract and Onboarding
- Step 2.6 – Delivery and implementation, including service design, data migration, UAT testing & training and BAU process documentation
- Step 2.7 – Go Live
Stage 3 Close
- Step 3.1 - Project Close plus Lessons Learnt
Under the EOO programme there will be a benefits review with Estates 3 to 6 months after go live.
As part of BAU Estates will set up regular operational meetings with users plus support meetings with third party supplier.
Out of scope
- System integration with Archibus or other UoE systems
- Capture of the additional 15K assets that aren't held in the Excel spreadsheets.
- System integration with Archibus or other UoE systems
There will be no system integration with Archibus as the current process of manually keying new assets into the system will still be required. However there may be a requirement further down the line to integrate the Compliance Management solution into other UoE systems or set up in EASE. Estates also need to consider a CAFM ‘no change’ option so they might need to extend the lifetime of this solution or if the Compliance Management solution is superior to a the compliance module in CAFM New it might need to run alongside/ integrate with it.
Objectives and Deliverables
The main goal is to remove or reduce the risk on non-compliance and amount of resources required to maintain the current solution through the purchase of a tactical and interim solution to address compliance management and provide improved compliance management reporting capabilities through the following objectives:
OB1- Procure and deliver a SaaS compliance management system that will identify, capture, track, report and maintain all relevant equipment and assets relevant to adhering to legal compliance and ensuring a healthy and safe environment.
OB2- Migrate all current compliance data from Excel spreadsheets and decommission which includes third party systems data into new system to provide a single version of the truth.
OB3- Deliver training and documentation to users.
OB4- Successfully transition into Estates management ownership with a defined support solution.
OB5- Reduce the amount of double keying and duplication of work by Estates staff.
OB6- The ability to provide real time reports on compliance
# |
Deliverable |
MOSCOW |
Description |
Objective |
Stage 1 |
Planning |
|
||
D1.1 |
Document Project Brief
|
MUST |
Includes scope, timescales, resources and approach Approved by Estates and IS |
OB1 |
D1.2 |
Agree governance route via IS, Estates, IT Committee and commitment to produce or not. |
Management Product |
Confirm what level of business case and documentation is required for the agreed governance route |
|
Stage 2 |
Delivery |
|
||
D2.1 |
Detailed procurement & implementation plans |
Management Product |
Includes data and documentation, plan/task list and detailed resource plan |
|
D2.2 |
Business and non-functional requirements defined. |
MUST |
Shows the mandatory and 'scored' requirements to support a procurement selection |
OB1 |
D2.3 |
Complete procurement assessment |
MUST |
Includes scoring, contract review, risk assessment & cost review |
OB1 |
D2.4 |
Award contract to supplier and agree service model/ payment schedule |
MUST |
Includes signing contract and Onboarding |
OB1 |
D2.5 |
Agree and document implementation plan |
Management Product |
Agree with supplier, IS and Estates |
|
D2.6 |
Document test cases and create test data |
Management Product |
Estates to provide |
|
D2.7 |
Agree and document solution design with supplier |
MUST |
Includes approval by IS and Estates |
OB1 |
D2.8 |
Deploy Software into UAT |
MUST |
SaaS deployment by supplier |
OB1 |
D2.9 |
Migrate test data into UAT |
MUST |
Estates to provide to third party |
OB1, OB2 |
D2.10 |
UAT testing completed |
MUST |
Estates and IS to sign off |
OB1 |
D2.11 |
Train users and provide system documentation |
MUST |
Supplier to provide. Some could be done by Train the Trainer |
OB1, OB3 |
D2.12 |
Migrate live data into solution |
MUST |
Cutover plan required |
OB1, OB2 |
D2.13 |
Go Live |
MUST |
Estates & IS to sign off |
OB1, OB5, OB6 |
Stage 3 |
Project Close |
|
||
D3.1 |
Project close meeting
|
Management Product |
Includes Lessons Learnt document |
|
D3.2 |
Decommission old solution/ data |
MUST |
Make old data inaccessible once Estates confirm ok |
|
Benefits
Title |
Tangible / Non-Tangible |
Description |
Improved compliance monitoring |
Tangible |
The ability to track and report on the maintenance state and plan to maintain buildings assets. Initial focus is on those assets which are aligned to compliance, safety or legislative regulations. Secondary focus is to support the maintenance of all building's assets
Benefits:
|
Reduced risk |
Tangible |
Identify non-compliant assets and carry out remedial work thus demonstrating compliance through reporting which in turn will reduce risk of reputational damage / fines.
|
Reduced work effort |
Tangible |
The ability to capture data in the field and store it once reducing the staff effort in managing multiple sources of data and data management.
Benefit is the shift-left occurring as a result of Trades teams capturing and synchronising data to our systems, rather than being forced to manually report when back at base. Current working practices consume 75 man hours per week working on Excel spreadsheets. A compliance management solution could half this. |
Productivity gain |
Tangible |
The ability to capture and track in the field and store in the system will increase productivity. Productivity will increase by the use of handheld devices. |
Customer satisfaction |
Tangible |
More proactive/ less reactive maintenance will lead to a reduced number of work requests coming into Estates. |
Real-time reporting |
Tangible |
The ability to produce real-time reports to provide a high level of confidence on the level of compliance within UoE. |
Improve data quality |
Tangible |
To improve the accuracy of data entered and held on compliance. |
Improved management of third party contractors |
Tangible |
To provide better management of third party contractor work as the system will provide accurate reporting on work carried out by third parties. |
Success Criteria
Success criteria for each deliverable is defined in the Deliverable section above. Overall, the key definition of success criteria for the overall objective is:
- The compliance system is live and the use of Excel spreadsheets for maintaining compliance records is no longer necessary.
- Estates Building Services will be operating with an improved capability to manage and monitor asset compliance to include knowing what assets are compliant, at risk or non-compliant including a capability to include reminders and spot trends.
- Senior Estate Stakeholders have improved confidence in the strategic reporting regarding compliance management and are able to prioritise and direct accordingly via tracking and trend monitoring.
- Estates Building Services have more effective processes and reduced manpower effort/ improved productivity in managing data manually with a more efficient capability which multiple users can access simultaneously.
- Estates Building Services have received and observed an upgrade to their capabilities in providing a positive and increased level of customer satisfaction.
Project Milestones
Key milestones shown below
Stage | Milestone | Original Date | Previous Date | Current Date | End of Stage | Complete | Date Completed |
Plan | Planning completed | 23-Oct-2020 | 20-Nov-2020 | Yes | Yes | 20-Nov-2020 | |
Analyse | Requirements Agreed | 04-Dec-2020 | 04-Dec-2020 | No | No | ||
Procure | Procurement completed | 05-Feb-2021 | 05-Feb-2021 | No | No | ||
Build | System Build | 05-Mar-2021 | 05-Mar-2021 | No | No | ||
Accept | UAT signed off | 16-Apr-2021 | 16-Apr-2021 | No | No | ||
Deliver | Go Live | 03-May-2021 | 03-May-2021 | Yes | No | ||
Close | Project Close | 25-Jun-2021 | 25-Jun-2021 | Yes | No |