All businesses thrive on internal information. It drives their processes and helps to meet their goals, deliver strategies and help with regulatory and governance frameworks. The trick is finding out the best way in which to do it.
This article explores the value created by the Electronic Document Management System (EDMS) employed by Scottish Water's Capital Investment Delivery (CID) section to not only manage the storage of essential documents but how to execute key business processes.
Who is Capital Investment Delivery?
CID has been tasked with the delivery of a proportion of Scottish Water's Capital Investment programme. The focus of their work in this investment period is on infrastructure work, mainly on water and wastewater network improvements to improve leakage and customer service.
In executing the delivery of the investment programme CID have a focus on Scottish Water values (fig 1). It is this ethos that has driven the need to manage their business processes and key information to maximise performance through the most effective and efficient means. There is also particular focus on the service level agreement (SLA) between CID and SW which demarcates the obligations that CID must meet in terms of providing clear and concise business information and reporting. It is with this in mind that CID chose an EDMS to help facilitate the ability to achieve these goals.
Fig 1
So what is an Electronic Document Management System?
'An EDMS is [...] any electronic system that manages documents (not data) to realise significant improvements in business work processes'
(AHIMA e-HIM Work Group, October 2003)
The need for CID to invest in an EDMS came about at the department's inception in June 2006. Growing pressure from Regulators, Goverment and the Public enforced the need to put in place a system that could meet the regulatory compliance and governance needs of these stakeholders as well as the needs of CID's own staff and project teams through ease of use and access. In addition, the increasing scrutiny from SW's Internal Audit and Governance relating to CID's service level agreement with Scottish Water drove CID to seek an EDMS that would meet very specific needs and functionality, namely:
Simple, intuitive system that the user could navigate with ease
Security that could be applied at all levels from a specific section of the system, to a document folder right down to a specific document, enabling only those users with the right permissions to gain access
The ability to create an Audit trail with details relating to who last downloaded, updated or viewed the documents
Access enabled for CID and SW's external partners through a web based system to enable sharing of information between CID, their external partners and in principle other areas of SW.
Sophisticated but simple search capabilities to aid location of key documents
The ability to report on the individuals users accessing the system, i.e. is the system being used as it should be?
The ability to report on the documents contained with the project document structures. From a compliance perspective this ensures the key documents are available.
A number of systems claiming to meet these needs were investigated and discounted. However, the system that CID eventually chose - CITADON (1) met these needs in an uncomplicated, easy to use manner. The system looked similar to Windows Explorer in terms of layout and functionality (such as dragging and dropping documents) but it provided functionality such as assigning attributes to documents to enable advanced document, folder and user searches which would help encourage the use of the system as a tool to share information and the creation of CID's knowledge base.
How did CID actually use their EDMS?
The value of CID's EDMS came from the use of a standard layout structure for project documentation and a standard layout for key reference and mandatory documentation, which through training and repetition of use would embed and become familiar to all users, i.e. CID staff, their internal stakeholders and their external partners.
Each project document file structure was created by a dedicated CID team following project approval from the SW Corporate. This exact structure was used time after time to ensure a consistent approach was applied to every project document file structure contained within the EDMS.
Applied at the creation of each project structure was a series of security settings unique to each project which would determine which CID Project Manager, Project Team and external partner could gain access to those particular project documents. In addition, the team creating these project structures inserted templates, at points relevant to specific project lifecycle stages such as project initiation, implementation or handover; of 22 mandatory documents which CID were obliged to submit to SW in accordance with their service level agreement, to address not only internal compliance and governance requirements but those of SW's regulators such as the Water Industry Commission Scotland (WICS).
The value of this approach came from a number of areas:
A standard layout, through time became second nature to all users, encouraging use of the format and EDMS
Secure access to documentation was given only to relevant users. Web enablement of the EDMS ensured that external partners could also upload and download information securely to and from the project files. This encourages information sharing, and ultimately more effective working relationships between CID and their partners through the free exchange of knowledge and information. Efficiency also arose from the time savings in removing the route of passing information via email or post.
Familiarity of mandatory documents arose from the placement of the templates in the Project Document Folders within the standard Structure that corresponded with the relevant point in the lifecycle stage of the Project. In terms of business processes, this clearly indicated to the user the correct point in which particular mandatory documentation needed to be submitted to relevant stakeholders for approval, or had a requirement for completion to meet internal and external compliance and governance obligations.
From a governance and compliance angle the audit and history functionality of the EDMS enabled internal audit and external regulator auditors to track when mandatory documents where created, submitted to the EDMS and approved by the personnel with the correct Delegated levels of Authority. From this perspective the functionality provided robust evidence on which to present adherence with compliance. The use of a standard document structure also gave clear guidance on what mandatory documentation should be contained within each specific project document folder. Evidence of the completed mandatory documentation present in the correct locations raised the level of trust surrounding the effectiveness of CID's adherence to business processes
Another element of this perspective is the ability to self-govern and audit. CID undertakes monthly audits to ensure this level of compliance remains. Where there are compliance issues appearing the individuals related to the relevant projects are contacted to understand why compliance has not been achieved and to determine if it is merely a system access issue or whether there is a requirement for additional training and support on the system and the business processes which it aids.
Was that all the EDMS was used for?
CID's EDMS was used for much more than described above. As well as being a practical tool to facilitate the sharing of mandatory documentation and key project information between CID staff, external partners, SW and our regulators, the EDMS helped facilitate business processes further in two key areas:
Knowledge management
A specific reference area has been 'sectioned off' in the EDMS to hold not only the 22 mandatory documents that CID must comply with in accordance with their service level agreement, but there is also information on Standards and Specifications for design, Health and Safety obligations and statutory requirements and best practice examples. The best practice examples section was created following feedback from CID staff and external partners on their level of understanding on the business processes they were required to follow and how to complete the mandatory documentation correctly to ensure key stakeholder acceptance and approval. This specific area provides worked examples of both good and bad submissions. The examples are real and have been submitted to this section by the users who created them. These users have been openly encouraged to share this information as a means of imparting their learning on what is best practice. The effectiveness and efficiencies of this approach derives from the increasing ability to get mandatory documentation 'right first time' and the removal of the iterative submissions to get it right.
Financial control self certification
Another example of how an EDMS can be used to facilitate business processes is CID's utilisation of CITADON to submit external partner's applications for payment. Under each project file in the EDMS a secure area has been created to hold commercially sensitive information, only the Commercial Team, the Project Manager and the specific external partners has access to this area. At every payment period the partner submits their application for payment by uploading the relevant self-certification documentation into the secure area. At point of upload the Commercial Team and Project Manager are notified of the application submission and will review and challenge or approve prior to passing to SW accounts payable for processing and payment. This approach drives effectiveness and efficiencey through driving down the number of days for the partner to submit their application and the time subsequently taken for SW to make payment
What next for CID and their EDMS?
So where should a business move now in terms of using their information, how can we make it better? How can we integrate more of the information systems for not just internal information, but also the external use of information? A new project has recently started and it is charged with this very task. Investment decisions need to be made by all parties using the same information, a single version of the truth. The next generation system should provide that level of trust and meet the continuing needs of the organisation.
(1). Supplied by CT Space
Reference
AHIMA e-HIM Work Group on Electronic Document Management as a Component of EHR (October 2003). http://digbig.com/5bagbx
Gillian is currently a Technical Team Leader with Scottish Water Capital Investment Delivery. Gillian started her career in information management as an Investment Planner centring on the approvals and governance information for Scottish Water's Capital Projects before moving onto the development and implementation of the Electronic Document Management System at the inception of the Capital Investment Delivery department.
Gillian's background is in Civil Engineering and has over 14 years experience in the Water Industry in Project Management and Business Planning.
Gillian has recently graduated with a MBA with Distinction where her final year project addressed the impact of user's behaviour on the effectiveness of business processes and systems relating to the delivery of Capital Projects.
The FreePint Family is a family of resources to help information workers be more effective, raise the value of information in their organisations and contribute to success.
'FreePint... provides most of my professional development because it won't come through work and [other resources] just don't cut it.'
FUMSI Forum: Do you have a research question? Post it to the FUMSI Forum, where professionals share Q&A and useful tips on how to Find, Use, Manage and Share Information. It's free.
![[Reuse options]](http://license.icopyright.net/images/icopy-w.png){kind=small}
All businesses thrive on internal information. It drives their processes and helps to meet their goals, deliver strategies and help with regulatory and governance frameworks. The trick is finding out the best way in which to do it.
FreePint Shop:
VIP LiveWire:
