1.

SAMPLE PROCESS ILLUSTRATION

SOLUTION OVERVIEW FOR LICENSE MANAGEMENT SYSTEM

The objective of this process is to issue a certificate which grants permission to carry on the
particular trade or business such as Gumasta License, Hawker’s License, Health license for which
it is issued. It is a mean to ensure that the manner in which the business is being carried on is
according to the relevant rules, standards and safety guidelines. The system should facilitate the
Official to accept or reject the application based on the Trade category, license type and the
location of the business etc.

The workflow for issuing the license certificate will consist of the following stages:
1. Application submission by Citizen
a. Citizen will enter the details which are required for the official to issue the certificate
on portal.
b. Citizen will also upload the supporting document and submit the application.

2. Verify the application details and the documents

a. Officer will check the application details along with the supporting documents.
b. If any issue is identified in the application or any uploaded document, then Officer
will reject the application and the notification of rejection will be sent to applicant
via email.
c. If the application details and the uploaded documents are correct then Officer will
forward the request to Department Head based on the pin code of the applicant.

3. Processing and Site Inspection

a. Department Head will assign an officer for processing the request and the site
inspection as mentioned in the application.
b. Officer will upload the inspection report in the system and based on the same,
Department Head will either approve or reject the application.
c. If request is approved, then notification will be sent to applicant for the fee
submission.
d. If request is rejected, then notification of rejection will be sent to applicant via
email.

4. Generation of Certificate
a. System will generate the certificate as per the details mentioned in the application.
b. Certificate will be sent to applicant via email.
 Sample Process: For Illustration purpose only
1. Application submission by Citizen
Citizen will enter the details in application form and upload the documents on portal.
On submission of the application, a workflow will be initiated and application will route to officer for
further processing.

2. Verification of application details and the documents

Officer will login into the system and will see all the pending applications. Officer will open this
application and check the details of application form and the uploaded documents. If any issue is
identified in the application or any uploaded document, then Officer will reject the application and
the notification of rejection will be sent to applicant via email. If the application details and the
uploaded documents are correct then Officer will forward the request to Department Head based on
the pin code of the applicant.
 Sample Form: For Illustration purpose only
Officer can send raise an exception in the system in case any document is invalid and request can be
sent to applicant to resubmit the required document.
3. Processing and Site Inspection step

Department Head will review the application and assign an officer for this request for the site
inspection. Officer will visit the site and upload the inspection report in the system.
Department Head will review the uploaded report and will either approve or reject the transaction.
If application is approved, then it will route to Fee Collection step.

4. Fee Collection

Once the application is approved by Department Head then applicant will be notified via email for
the fee submission so that certificate can be issued.
Citizen will login on portal and pay the required fee. System will detect the payment submission
automatically and routes the transaction to Issue Certificate workstep.

5. Generation of Certificate

At this step, certificate will be generated automatically and will be emailed to the applicant.

Sample Form: For Illustration purpose only

6. Archival of Documents in the Document Management System
After issuing the Certificate, all the documents along with the Certificate will get archived in the
Centralized Repository.

Sample Form: For Illustration purpose only

7. To-Do List
Solution has the feature to define the To-Do List so that the users don’t miss any of the document
and the details. Once the To-Do list is defined, user cannot move forward without checking all the
items in the To-Do list.

Sample Form: For Illustration purpose only

8. Email Notification

An email will be sent to applicant of the document for notifying to submit the fee for the certificate.

Sample Email: For Illustration purpose only

 2. PROPOSED TECHNICAL SOLUTION & COMPONENTS
As per the solution architecture proposed for KSCL, all the systems i.e. Scanning Solution,
Document Management system, Business Process Management, Newgen related modules will
work in an integrated manner.

E-OFFICE SUITE
 All the incoming transactions (In case of Correspondence/DAK or File movement) along with
required documents shall be scanned, digitized and indexed using Newgen Scanning
Software deployed at respective location(s) of KSCL. The scanning software shall be tightly
integrated with Newgen Workflow Engine & Document Management System.
 A reporting engine, Business Activity Monitor shall be made available to the stakeholders to
get visibility on the reports highlighting parameters such as user pending tasks, executed
tasks and the turnaround time for specific departments and users etc.
 The entire solution shall be consolidated and tightly knit with minimal nodes. Email and SMS
server shall be activated and integrated with core office applications to allow users to send
email and sms related to various DAKs, E-files, Office Memos, etc.
 The proposed solution will also be integrated with Active Directory for single sign-on
purpose.

The above mentioned products deployed under the scope of the project are the best of breed,
industry class Enterprise Content Management solution, fully capable of aligning to KSCL’s
requirements. The proposed solution framework is highly scalable, robust, secure, and platform
independent and can run on multiple Operating Systems like Windows, Linux, Unix, Solaris etc.
and Database Servers like MS SQL Server, Oracle and PostgreSQL.
FILE & CORRESPONDENCE / DAK MANAGEMENT

Correspondences will be scanned in the Office and then the workflow of those Correspondences will
get initiated. Here with the solution, the process owner can define the workflow or which all stages
will be involved while approving any Correspondence.

So whenever a Correspondence will receive at the office then it can route through an approval cycle
wherein multiple users of the department can work on that and add the notes, comments.

Moreover the user can view the status of the correspondence and various reports of the
correspondence through the integrated reporting module. And whenever the officials want to
search any Correspondence then they can search the document based on the indexes i.e. File Type,
Received Date, Correspondence No, and Created by etc. attached with Correspondence.

Business Activity Monitoring tool will be used for monitoring the progress of the Correspondence so
that the higher authority in the organization can view the real time dashboards/MIS and know the
status of the correspondence that where it is residing in the department or what is the complete
turnaround time of the approval of the Correspondence.

Scanning & Indexing of Correspondence

The process starts with the scanning & indexing of the correspondence. The Scanning user will scan
the correspondence, attach the relevant indexes with it and initiate the workflow for getting the
approval.

File Management
o User will be able to open / create an electronic file in the DMS, which will simulate the
physical file structure with Green note sheet on the left hand side and all documents on
right hand side.
o E-File can be created or a new file can be opened using the file creation interface as shown
below in the sample screen.
o File will be saved in the selected location, generally this will the departmental or section
folder of the officer working on the file.
o This can also be configured as per the organizational File Numbering convention.
o Once a file is created, Correspondence and all other supporting / reference documents
can be saved in it.
o System will also have the facility to generate Unique File Number & Bar Code while
creating a file.
o Both ‘Barcode Number’ & ‘File Number’ then can be put on physical file.
o This will be used to link the physical file and the corresponding e-file in the system.
Movement of physical file can be tracked and linked with e file buy scanning physical file
through barcode reader.
 Sample screen of User Dashboard

File Structure
o The system is architected to enable re-configuration adapting to the organizational
structures by altering appropriate configuration parameters and values, rather than by
code level reuse.
o Folder for storing file can be configured in the DMS as per the departmental structure
and all the file will be saved in their respective folder.
o Only authorized user will have access permission on their respective files / departmental
folder.

File Processing (Movement & Tracking)

o Once a Correspondence is forwarded to the section officer, it is filed in the appropriate
file. User will have an option to open a file in Whitehall which simulates the physical file
view in the electronic version
o User can then write the comments / notes in the green notes area. Notes can also be
linked with the documents, page in the file for quick viewing.
o System has an inbuilt Note editor to write the note in the Green Note Sheet Editor will
have all the features of any standard word processing editor
o System will automatically capture the name of the user viewing and writing the note.

Whitehall File View

Some of the features of Whitehall are mentioned below.

o Complete E-file interface simulating physical file

o Provision to view all the documents of a file within the single view
o Provision to write general as well as secure Green Notes
o Note linking with the specific document, page for faster viewing of relevant content
o Digital signature integration
 o View / modify file properties.
o Provision to move / copy / forward a file in an integrated secured environment.
o And many more …

W
hitehall sample screen (File view)

File movement using Workflow

o After commenting, user can simply forward / submit the file to other user across
hierarchy by using integrated workflow of the system.
o Similarly a file in electronic form is moved from one user to other where each user adds
comments, review documents, mark annotate document etc.
o There will be a provision to configure the workflow for ad-hoc movement of a file (user is
selected at the time of forwarding) or sequential movement of a file (user sequence is
fixed
o Workflow screens are designed similar to email interfaces for providing user with familiar
interfaces.

In-Tray / Inbox for pending File / Correspondence (DAK) / Notes

o Recipient will receive the file in the system inbox, from where a recipient opens the file in
the WHITEHALL viewer, add notes and again move the file to the next level of user
o Inbox shows list of all pending task including pending file with the user, pending notes etc
with properties such as subject, from user, from department etc
o Once a decision on file is done or file is approved, then file movement workflow is
completed and file is archived in the folder hierarchy of the section in the DMS.

File Tracking / File Search

 o Once a file is initiated in a workflow, it can be searched through the sent item of the
sender, which is similar to emails but also shows the live status of the workflow item
o Both file in workflow / under submission or archived file can be searched using File search
module.
o File can be searched on File number, file subject, department, section, pending with,
pending since etc
o File can also be tracked through workflow search. Below is the sample screen
o This workflow search can also be used to search other in-flow item such as
Correspondence, Files etc.

File Register
o System also automatically maintains register such as file register, File movement slip etc
which are required to be maintained as per Office procedure manual.

Support for Hindi Notes

Some Features & Functionalities

o Highly secure with security provided till the file level.
o Creation / Opening of a new file or filing in an existing file
o File are saved in folders structure which can be configured as per the organization
hierarchy
o WHITEHALL FILE VIEW with green note support (Whitehall is widely used concept in
government wherein a file contains all documents on one side and green pages of note
sheet on left side. All decision / noting / commenting are done in these green note
sheet. )
o Provision to secure, print, link notes
o Digital signature integration for further bolstering the security of a file.
o File movement using integrated workflow.
 o Sending file within / across hierarchy
o Alert & Reminder through Email, SMS on incoming file
o Automatic maintenance of File register
o Auto generation of file movement slip.
o Provision to get back the file from the recipient inbox (forceful retrieval).

RTI QUERY PROCESSING

RTI module proposed as part of the solution is an important tool for automating the process of RTI
in the government departments. It can automate the entire RTI process starting from the RTI request
received by the department till the response sent to the applicant.
Steps involved in RTI Process
1. RTI process would start when a RTI application is received by the respective officer (For
example Section Officer defined as SO-RTI) in the RTI cell. This application can be in the form
of a physical letter or email/fax or can be received via portal.
2. Automated system starts when SO-RTI enter details in the system about applicant and his
queries. SO-RTI can scan and upload the application as well.
3. After completing the form SO-RTI will forward it to Central Public Information Officer (CPIO).
4. Then CPIO would be routing the queries to the concerned division.
5. In case if CPIO is not satisfied with some data forwarded by the SO-RTI, then he can respond
back for seeking clarification.
6. Once CPIO will decide the divisions involved, he can forward the application to concerned
APIOs (Assistant public Information Officer).
7. Once APIO receives the queries related to his division, then he decides whether a further fee
is required or not before providing the information. And enter the amount if it is required.
8. In case APIO feels that no further fee is required, then he would provide reply for the query.
9. In case if APIO feels that the query forwarded to him is not concerned with his division, then
he can respond back to the CPIO with his comments.
10. In case of further payment required for providing information, system will show the total
amount required and SO-RTI can intimate the applicant about it and he can update the
system after receiving the fees.
11. After receiving payment for further fee, CPIO can again send queries to the divisions
whosoever has not provided information.
12. Lastly SO-RTI merges and prepares final reply for the applicant and sends it to the CPIO for
perusal.
13. CPIO can respond back to the SO for making any changes in the final reply else he can send
the reply to the applicant.

Initiation of RTI Request

RTI request will be submitted by the Applicant either through the Portal or through a physical form.
The RTI queries will be received by the department and the concerned official will fill in all the details
into the form and attach all the relevant documents.
The departmental official will then click on the ‘Initiate RTI’ link to initiate the RTI Application.
 Sample screen for RTI initiation Form
The departmental official will add all the queries asked by the applicant along with the relevant
documents.

Sample screen for RTI initiation Form

All the RTI applications initiated by the department official will come to the PIO for his review. PIO
will have the option to assign and send the queries to APIOs who will further assign these queries to
department heads of different departments.
The Department Heads will distribute these queries to various officers in the department who will
reply to these queries.
The answers given by the Concerned Officers for different queries will get consolidated at the
Department Head. The Department Head will review the answers and send it to APIO for his review.
In case, Department Head is not satisfied with the answer provided, he can send the application back
to the Concerned Officer with appropriate comments.
The same process takes place at APIO wherein all the answers received from various departments
will get consolidated and sent to the PIO for his review.
PIO will review all the answer given by the departments for different queries and completes the RTI
Request. On completion of the RTI Request, the answers would be sent to the applicant.

RTI First and Second Appeal

If the applicant is not satisfied with the answers provided by the department on his queries, he can
make subsequent appeals (First Appeal and Second Appeal). The system provides the option to
initiate the First and the Second appeal on receiving the request from the applicant.
The procedure followed in First and Second appeal is same as that in the RTI process. In addition to
that, the Concerned Officers who will be answering the queries will be able to see the previous
answers given for those queries and the comments made by the applicant showing his
dissatisfaction.