2009 ARMA Toronto Symposium - Document Control on Capital Projects - Paper to Electronic Records...

ARMA Toronto Symposium 2009 April 2009 1

Document Control on Capital Projects “Paper to Electronic Records Paradigm Shift”

Case Study: How we brought it all together

Presented by: Keith Atteck Supervisor, Information Management Vale Inco Limited Business Development

DM#319048


Disclaimer

The views expressed in this presentation do not necessarily represent the views of Vale Inco Limited


Outline

The Company

Business Issues

RIM Program

Document Control Practice

Document Management

Single Format - Adobe Acrobat

Process Automation - DM Workflow

Change of Mindset

The Journey


The Company Vale - Companhia Vale do Rio Doce (CVRD) (NYSE: RIO)

www.vale.com

Vale was born in 1942 in Brasil

Vale Inco Limited, a wholly-owned subsidiary of Vale

Vale Inco Limited - International Nickel Company of Canada Limited was incorporated 1916

www.valeinco.com

Together

Worlds largest producer of Iron Ore and one of the worlds largest producers of Nickel

Vale also produces copper, manganese, ferroalloys, bauxite, alumina, aluminum, coal, cobalt, PGMs

Vale operates on five continents through its mining operations, mineral research plants, and commercial offices

~ 100,000 employees, including outsourced workers worldwide

http://www.vale.com/

http://www.valeinco.com/


Vale Worldwide


Capital Projects

The Project Delivery System (PDS) is Vale Inco’s method of executing capital projects in conformance with Vale’s project execution methodology and in accordance with generally accepted project management industry guidelines using an established set of standards, which supports Vale Inco’s business objectives.

Document Control is a component of the Project Delivery System, managing the mission critical information assets that deliver successful projects and provide knowledge to employees across the organization.


Information Management - Why?

Why must information be systematically managed and protected?

Now, where did I put

that document?

eRecords on Servers make the job more critical?


Business Issues - Digital Vs. Paper

As much as 93% of information generated today is in electronic form compared to the only 30% that is printed.

Digital93%

Paper7%

Remain Digital70%

Printed30%

Source: (Technology in Government, March/April 2006, Vol. 13, No.2)


Business Issues – E-mail Project e-mails are records,

retained for content of message

Cannot keep everything – we need to have criteria for what to keep

Communication practices must be planned and controlled

Electronic Document and Records Management System (EDRMS) is the only way to connect e-mail content to business activity through classification


Business Issues – Technology Paper Record, Blue Print Drawing

1. Print, Index, Folder, Cabinet, Box, Binder, Stick File, etc.

Electronic File – Name.doc, xls, ppt, pdf, dgn, dwg, etc.

2. Hard Drive – PC or Laptop, C:\ Folders

3. Network Shared Drive, S:\ I:\ Folders

4. Outlook – E-mail, Personal Folders

5. Intranet, FTP, Extranet – Web Sites

6. Floppy, CD, DVD, PDA, Flash Drives, etc.

7. Tracking Databases – PRISM, Ellipse, Oracle, etc.

EDMS & Collaboration

eRecords Management

Imaging – Eliminating paper

Futu

re,

Cu

rren

t P

rese

nt

& P

ast


Case Example - Topic

Paper to electronic records paradigm shift

Paper the record – electronic the convenience

Paradigm Shift

Electronic the record – Paper the convenience

Document Control for global capital projects

Electronic records - the only way to go!

This change of mind set is the key to success

Change of culture

Change of business practice


Business Issues: Evidence

Canada - CAN/CGSB 72.34-2005 - Electronic Records as Documentary Evidence

5.2.1 Those who wish to present an electronic record as evidence in legal proceedings shall be able to prove

a) authenticity of the record;

b) integrity of the Records Management System that a record was recorded or stored in; and

c) that it is "a record made in the usual and ordinary course of business" or that it is otherwise exempt from the legal rule barring hearsay evidence.


Business Issues: Best Practices

ISO 15489:2001 – Information and Documentation – Records Management – Guidelines

ANSI/AIIM TR31-2004 – Legal Acceptance of Records Produced by Information Technology Systems

CAN/CGSB 72.34-2005 - Electronic Records as Documentary Evidence

BIP 0008-2004 – Code of Practice for Legal Admissibility and evidentiary weight of information stored electronically

MoReq2 Specification – Model Requirements for the Management of Electronic Records

PROS 99/007: Version 2: 2005 Management of Electronic Records - Victorian Electronic Records Strategy (VERS)

International

United States

Canada

United Kingdom

Europe

Australia


Records & Information Management (RIM)

Program

Foundation for success


RIM Program Is the document a: Record??? Shows evidence of activity Shows evidence of decision Shows evidence of a

transaction

File it!!!!!

Transitory Record??? Short-term value No value after reading Duplicate document

• Read it • Do required action • Securely Dispose

If in doubt – file it!!!


RIM Program

Lifecycle Management

Governance Framework

Manage information as an Asset

Records Classification and Retention foundation of collaboration & knowledge

Ensures relevancy of information retained

Ensures sustainability of Electronic Document & Records Management System (EDRMS)


RIM Program Business Rules

Process to ensure the authenticity and integrity of records

Ensure integrity and reliability of the record keeping system

Sets the basis for defining day-to-day procedures

Business rules support training


RIM Program

Transitory Decision Record Lifecycle Pipeline Business Rules


Document Control - Practice

Case Study


Document Control - Objectives Organize documentation consistently

Facilitate the engineering review processes

Reduce duplication and storage requirements

Make project documents easy to locate

Provide secure controlled access

Share project knowledge with the required people

Make project documentation available anywhere

Prevent misplacement or loss of project information


Document Control - Scope

Vale Inco Operational Environment

External Contractors Environment

Project Environment

Owners Team

Interface Interface

Information Communication

Transaction

Information Communication

Transaction

Document Control Responsibility


Document Control - Scope at Completion of Project


External Contractors Environment

Project Environment

Owners Team

Deliverables Turnover

Document Control Responsibility

Transmittal Transmittal


Document Control - Scope after Project is Completed


Project Environment

(Archived)


Document Control - Procedures Standard for Format of Deliverables Provides instruction to the contractors on deliverables Defines the format of submittals and transmittals Defines the software applications and usage

Communications Planning Interface Procedures Transmittal protocols Work process integration

Correspondence & e-mail management One topic per correspondence Write a Question to get an Answer Escalate if minds do not meet - meetings


Document Control - Guiding Principles

SINGLE authoritative source of information All documents will be filed electronically Into one system as a normal course of business Project team members depend on the system

Manage only ONE COPY – Original Record File once – use many times - in many ways All transacted records made from the document

management system

FIRST point of contact principle The person who is first point of contact with documentation

is responsible for determining and ensuring that documentation is appropriately filed

1


Document Control - Auditing Benefits of Auditing

Understanding degree of compliance to stated practice Identifying gaps in procedures and training Helps people understand how to apply the process

Due Diligence Reviews

Conduct regular reviews of all projects Identifies changes in the project environment and gaps in training Provide timely helpful hints to key team members

Compliance Reviews

Critical for demonstrating integrity of systems, tools and procedures Management knows if the systems, tools and procedures are working Statistical analysis demonstrates deficiencies in recordkeeping


Document Management

SINGLE authoritative source of information

1 EDMS


Document Management - Access

Single authoritative source of information

Access to documents from:

Citrix MetaFrame

Microsoft Outlook

Web Browsers

Windows Explorer

Authoring Applications

Internet Collaboration


Document Management - Filing & Searching

Full Text Index For Content Searching

Profile • Defaults • Fill out

Document Sets

• Folders • Related Saves

Search • User Defined • Shared Document

• Created • Captured

Document • Found • Opened

Document Filing Document Search

Access Control

Profile Search


Document Management - Facets of information - Views

Work package

Document Type Project #

Task description

Author

Transmittal package

Doc. Ref. Code


Document Management - Who files the document?

You file your own documents

People tend only to create 1 new document every 2 days

Most new documents are copies of previous work or renditions of others work

The vast majority of emails are transitory in nature

Searching for information is the most time consuming part of any persons job

Time spent filing & properly classifying documents is time well spent

Use

File Employee

Staff

Supervisor

Technical

Manager

Engineer

Executive

Director

Managers spend more time Using information

Subordinates spend more time capturing / creating and filing information


EDMS - Benefits

Easy to use interface

Work from where you like to work

Fast complete access to all documents

Set up views of documents to suit your needs

Easy to set-up, manage and close-out

Project reports can be linked to dash boards

Complete transactional audit trail

Eliminate all unnecessary storage systems

Single authoritative source of documents


Single Format

One file format for review

1


Adobe Acrobat - Interface

Single Interface for all reviews

Easy Navigation – Thumbnails – Book Marks – Comments - Stamps

Full Text Search

My comments on this document.


Adobe Acrobat - Benefits

Everyone already knows Adobe Reader

All documents can be published to PDF

Reports are bound as a single document

Full text searchable document

All comments are attributable to the author

Complete audit trail

Office supplies are reduced or eliminated

Easy to search the EDMS for documents

Keeps all documents in the EDMS


Process Automation

One work process

1


Process Automation - Distribution Matrix

The Matrix is compiled with the assistance of:

Project Manager

Project Controls

Document Control

Team members

The Matrix is used to develop Routing templates

Legend:O - OriginatorR - ReviewerC - CollatorT - Transmittor

EP

/ C

M C

onsu

ltant

Pro

ject

Man

ager

Doc

umen

t Con

trol

Pro

ject

Eng

iner

Site

Eng

inee

r

Con

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oord

inat

or

Saf

ety

Coo

rdin

ator

Con

tract

s A

dmin

istra

tor

Pro

ject

Con

trols

Man

ager

Contract Preparation R T R R R OC RSite Preparation R T R OC R RGeotechnical Work O R T R C R R RCivil Works O R T C R R R RMechanical Equipment Design O R T R R C R RElectrical O R T C R R R RProcess Control O R T C R R R R


Process Automation - Workflow Charting

Originator

Recipient

Reviewer(s)

Transmitter

Collator

Reviewer(s)

T

DC

Eng

T

MGR

DC

Coord

Parallel Stage

Serial Stage

Same day 3 days 1 day 1 day = 5 days


Process Automation - Workflow - Benefits Automates the distribution & routing process No extra copies are made Distributions are recorded Distributions are more efficient Very little document collation required

Deadlines are set and monitored Processing speed is improved Know where documents are in a review process Track the progress of reviews Complete audit trail

Keeps all documents in the EDMS


Summary

The power of ONE! 1. One filing system 2. One document format 3. One work process

Simplicity Eliminate duplication

Eliminate paper

Eliminate waste

1 EDMS

It is the integrated system that makes it work


Summary of Benefits

By filing continuously throughout the project:

project information is always available; teams can assemble, relocate and disassemble

faster; resources can work on multiple projects; we can automate standard work processes; we can reduce or eliminate office supplies; reports can be linked to PDS; turnover packages can be assembled during the

project; the close out requires little effort; and the record is always current & complete;

Timeline

Effort

Start Finish


Implementing EDMS is a Change of Mindset

Lets get some of the basics understood


EDMS is a Change of Mindset

Task Performer Should look at who is

requesting the document to determine how to file it

Requestor Works for a specific

department that performs a function for the organization

Task Performer Documents their task

Requestor asks a Task performer to do something

Document is Classified According to what it is About

and the function that it supports


EDMS is a Change of Mindset

Requestor Accesses the document to

complete the Task

Researchers Search for a document that

may support their current Task

Document Only filed once

Used many times In many ways

Task Performer Uses the document to support ongoing work or future work

Collaborators Access and use the document

to support their Tasks


Ecosystem of Information

Imagine Working in one environment where all records are; Created or Captured – once, Collaborated Globally – version controlled, and Managed – as records.

Being Confident that; You can find the original record – every time, You know who worked on it – who used it, and You know what it was used for – related to activity.

Know that: You never have to search any other system, You can leverage the collective wisdom and knowledge of the organization, and Your efforts will not be lost or misplaced.


Establishing Habits

Safety has become the culture of Vale Inco

It is the first item addressed in meetings

It is measured and reported on

Document Control Practice & EDMS must become the culture of our projects, a part of day-to-day work

Second after safety at all meetings – points of discussion

Measured and reported on


Business Issues - Summary

Paper to electronic records paradigm shift

E-mail conundrum

Document as a vital asset

Document as a productivity barrier

Document in an emergency recovery plan

Potential liability of documents

Trusting electronic records

Documents support compliance

Capturing and managing intellectual assets


The Journey


How we started……. EDM - 1997 – 2000

Initially sponsored by Engineering

“Stop the bleeding” of electronic files

Limited requirements - simply a storage tool

IT Focused, no strategy, no business rules

Limited server infrastructure

Multiple departmental libraries

Multiple departmental metadata profiles


Where are we now? - 2009 Strategic direction, Leapfrog to electronic records

Leadership – capital projects

RIM Program

Stop the need to keep paper

Robust Systems Architecture

Components – EDMS, Workflow, Collaboration, Imaging

Global approach – Failover, load balancing, access points

IT deployment and helpdesk support


How did we get there? Leadership with a vision and driven

Continuously securing sponsorship

Expert consultants

Provide direction to IT

Leading by example

Getting out and communicating - marketing

Present the value proposition

Training program – customer specific

Continuous follow-up


Lessons Learned Senior management sponsorship hard to get and keep

Connect the business case and practice to projects

Get the best experts to advise on program development

Develop a complete eco-system for information

Pick the easy targets, the others will see the results

In-house IT technical support is critical

But watch out for IT practices and initiatives that conflict with RIM

The training program will make or break the deployment

Collect stories about information failures

Network, tell your story, be involved

Plant seeds


Questions ?????

Contact: Keith Atteck

Supervisor, Information Management Vale Inco Limited Business Development 2101 Hadwen Road Mississauga, Ontario, Canada L5K 2L3 [email protected] Ph: 905.403.3179

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