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Fox Environmental Information Technology Project Services Office

FOXIT Document Management

Document Management Best Practices

FOXIT Document Management Best Practices

Version 0.8

Susan Kaltenbach

Printed: 7/6/2005

This document is proprietary and confidential to Fox Environmental. It is intended for internal use only.

http://www.noonuniverse.com/fox/index.htm

CCS IPS Documentation Management Documentation Best Practices and Recommendations

Table of Contents1. Executive Summary......................................................................................................32. Document Ownership....................................................................................................4

2.1 Current Practice......................................................................................................4

2.2 Recommendations...................................................................................................4

3. Document Management................................................................................................53.1 Industry standards...................................................................................................5

3.2 Current practices.....................................................................................................5

3.3 Recommendations for meeting industry standards.................................................6

4. File Naming Conventions..............................................................................................74.1 Current Practice......................................................................................................7

4.2 Recommendations:..................................................................................................7

5. Web Folder Conventions...............................................................................................85.1 Current Practices.....................................................................................................8

5.2 Recommendations...................................................................................................8

6. Document Tracking and Search....................................................................................96.1 Document Tracking................................................................................................9

6.2 Document Search....................................................................................................9

7. Templates....................................................................................................................117.1 Current Practice....................................................................................................11

7.2 Recommendations.................................................................................................11

8. Deliverables Review (Approval Cycle)......................................................................128.1 Current Practices...................................................................................................12


9. Check Out and Check In Documents..........................................................................139.1 Current Practices...................................................................................................13


10. Version History...........................................................................................................1410.1 Current Practice...............................................................................................14

10.2 Recommendations............................................................................................14

11. E-Mail Attachments....................................................................................................1511.1 Current Practice...............................................................................................15

11.2 Recommendations............................................................................................15

12. Appendix A: Using the Microsoft® Word™ Version tool.........................................1613. Appendix B: Using Deliverable Assistant for Document Templates..........................1814. Appendix C: Web Folder Information from Intranets.com.........................................19

14.1 Security Applications Using Web Folders.......................................................20

15. Appendix C: Documentation Management Process by Roles and Regions................2116. Appendix D: Comparison of Document Flow Methods............................................22

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1. Executive SummaryThe Fox Environmental IT division (FOXIT) currently publishes documents that may have several different origins. Some deliverables have only one author, while others are collaborative. Collaborative documents can include several authors, editors, and reviewers. Because FOXIT has no document management system, collaborative work is problematic. This document recommends improvements to the existing document management process, with a focus on collaborative efforts.

The recommendations that follow are based on existing resources. No new products or staffing are included.

Doc management recommendations summary:

Every deliverable needs to be “owned” by the Project Manager (or assignee) so that the status is always tracked.

Document management can be done using existing tools.

Adhere to standardized file naming conventions.

Use Web Folders mapped to network folders to organize files.

Use metadata fields (file name, author, date, key word, description) in Intranets.com for document tracking and search:

Use Deliverable Assistant for all templates.

The Approval Cycle for each document needs to be enforced before publication.

Check out and check in documents using Intranets.com doc management.

On a document with two or more collaborative authors, never use e-mail attachments. Use intranet/network folders.

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2. Document Ownership

2.1 Current PracticeThe Project Manager (PM) or Subject Matter Expert (SME) is expected to manage a deliverable during its life cycle. As a result, if the PM/SME is unavailable, the status of the deliverable is unknown.

2.2 RecommendationsIntroduce a Document Owner into the project lifecycle. The Document Owner is responsible for managing a deliverable throughout its life cycle. From the first draft onwards, the owner keeps track of the location of the document, the most current version, and identifies who should be a contributor.

During the life span of a deliverable it’s essential to have a single-point resource who can answer document administration questions. If someone needs to know contributors remaining to review, or where the document located, the Doc Owner Explain the need for document ownership can do the job.

The Document Owner is responsible for the life cycle of the document, along with using best practices in document managing, version histories, and tracking comments. The Document Owner should be able to:

Immediately identify the status of a document

What authors have already contributed

The current location of the document, and

Identify next steps

The Document Owner is responsible for understanding the document requirements, distribution to various authors, version history, and control over the final copy. Document Owners establish milestones and schedules, track progress, and approve final publication.

Two roles. By default, Project Managers should be considered the Document Owner. They have final responsibility to make sure all deliverables meet standards and requirements. But this role can be separated into two elements: the document’s content (PM), and the document’s production (Technical Writer).

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3. Document ManagementDocument Management is the process of managing documents and other deliverables from creation, review, and storage, to its dissemination.

In a document management system, files are grouped and managed throughout the deliverable’s life cycle. This management can include using relevant metadata to make documents more discoverable.

A document management system is ideal for collaborative work efforts, such as the document sharing and editing we perform here at FOXIT.

3.1 Industry standardsCurrently, enterprise-level document management solutions offer a sophisticated array of services. Tools these products incorporate include:

Categorizing, grouping, and managing deliverable files in a folder or tree structure

Tightly control the level of access for each user.

Searching for document content both locally and within the entire document management system architecture. Search using file name, key word, or full document text.

Using version tracking to research the historical development of a document.

Metadata and key words including project names, authors, project names, deliverable templates, and other appropriate content to use as a search category.

Work collaboration tools including the ability to circulate documents for approval.

Check out and check in documents, including a lockout from other users.

Subscribe to receive notices when a document is updated.

Enable users to electronically review a document and add comments without changing it.

Publish the content to different recipients in different formats, and using different vehicles.

3.2 Current practicesFOXIT doesn’t use a document management process. Our current resources include:

Network folders that organize files into different projects and document types. This organization allows some project identification and tracking. Documents in these folders can have an “editing lock out” if the document is being updated by another person.

Microsoft Word is used by all staff members. MS Word provides authors with change tracking and commenting.

Processes and procedures can provide some deliverable management, but there is little consistency, and compliance is discretionary.

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3.3 Recommendations for meeting industry standards

3.3.1 Company IntranetWe can meet many industry standards by using available resources. Using the intranet site at http://foxit-r7.intranets.com, we can benefit from the intranet’s embedded document management features.

Categorize, group, and manage files. Intranet folders can organize content at infinite levels. Folders can also be mirrored in a Windows Explorer window, allowing you to edit documents within your desktop.

Tightly control user level access. These folders can also be configured to control permissions and editing authority.

Check-in and check-out documents, and lock out other users. A notice at the document location informs others that you have the document.

Search function. Our intranet includes a search facility to perform simple or advanced searches on all sections of the site, such as the existing folders for Documents, Change Requests, In/Out Board, Issue Tracker, FOXIT Ad-hoc Requests, and Production Issues. (The search function also allows you to use the Google Web search engine.)

3.3.2 Microsoft® Word™ Version tool. Microsoft Word users can implement a versioning tool in each document.

Process can be complex. It will probably not be used. See Appendix A: Using the Microsoft® Word™ Version tool for more information and instructions on using the tool.

Electronically commenting on a document without changes. Microsoft Word includes a commenting tool. A Word document can be circulated among several parties for their comments without any actual changes being made to the document. Word comments identifies the name of each person, and identifies the date and time they wrote it.

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4. File Naming ConventionsFOXIT needs to establish a standard nomenclature for document file names. Existing FOXIT file naming conventions can cause errors in collaborative work efforts. For example, some authors put version info at the beginning of a file name, and some put it at the end. Other authors put “special” words in their file names, such as “FREEZE.” Obviously we need some standardization so that a file’s name will help describe the contents and versions.

The FOXIT GDA division practice appends the version of the document to the end of the file name. These version numbers are based on the document’s previous file name. Actual numbering is left to the discretion of the author.

4.1 Current PracticeDetailed instructions for naming documents and deliverables are available in the document FOXIT Folder Naming Conventions (\\fit\apps\library\standards\fitdoc.doc). Using this model, file name changes are sequentially changed to reflect the deliverable’s stages and authors. From the FOXIT GDA division document:

The general convention for naming deliverables in a project is as follows:

<Del ID>_<filename>_<major>_<minor>_<initials>.ext

P100S_Opportunity_1_00.doc (major)

P100S_Opportunity_1_00_kax.doc. (author contributing minor changes)

P100S_Opportunity_1_00_kax_aeb.doc (joint changes from 2 authors)

P100S_Opportunity_1_01.doc (major update with minor changes)

NOTE: These conventions also include that folder names should use underlines instead of spaces between words, such as Project_Files\Tap_Documents.

4.2 Recommendations:We need to use the official FOXIT naming conventions as described above. This will standardize our division’s file names to meet the standards of the rest of the company.

However, during a collaborative project, a document can have several authors and they are distributed simultaneously to all authors. They then forward their edits to the technical writer to be merged. This is an inefficient process and can cause content errors.

To avoid problems during a collaborative effort, document management should be used to track documents and changes. A serial approach to contributions should be used. This serial approach is illustrated in the diagram at Appendix D: Comparison of Document Flow Methods.

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5. Web Folder ConventionsOur intranet Web Folders can be created to map to current directories. In practice, Web Folders are set up in the document section to map to our current network folders. If done correctly, you now have two ways to access, change, and save a file.

See Appendix C: Web Folder Information from Intranets.com for detailed information on using Web Folders.

5.1 Current PracticesNetwork folders have been built by staff to reflect the breakdown of project documentation. This existing group of folders is used to manage content.

5.2 RecommendationsUsing Web Folders is a form of document management. It allows a check-out and check-in document management feature. This feature locks a document for editing for just one user.

A similar practice can be used with Microsoft Word. However, the best practice would be to use Web Folders. The check-out notes could be valuable information to other users. Also, using Web Folders will prepare all users for an environment such as Microsoft SharePoint Intranet sites, which FOXIT might adopt in the near future.

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6. Document Tracking and SearchDocument tracking is the process of knowing where a document is located, who wrote it, and who is editing it. Search is the function of being able to find files using unique characteristics (metadata). The two functions coexist in a document management process.

6.1 Document Tracking

6.1.1 Current PracticeWhen an author tries to open a document that someone else has opened, they receive an error message that the file is locked for editing by (“Work Collaborator”), and that they can open a read-only copy.

Figure 1: Editing lock out occurs when trying to open a network document already opened by another party.

Another method used is reserving the doc with password requirements. Establishing passwords for a document is done using Microsoft Word’s security features.

Figure 2: Document lockout with password requirements using MS Word security features.

6.1.2 Recommendations

Define a suitable set of metadata (information about the documents) for documents they wish to track, and to specify the structure of the metadata in a rigorous way.

Tracking local documents consists of just author, title and date.

6.2 Document Search

Documents should be discoverable based on several kinds of “metadata” including keywords for author name, document format, project name, document comments, and other searchable metadata.

“I want Annie Oakley’s .ppt presentation outlining the August 2005 project budget changes.”

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6.2.1 Current practices

Network folders have been established to help organize document.

If a document can’t be located using normal methods, a document search can be done using Windows Explorer.

6.2.2 Recommendations When documents are uploaded to the intranet/network folder, there should be some kind

of metadata to use as document keywords.

Use intranet folders to track the document’s status.

Use version history if available.

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7. TemplatesAll project documents are managed by the Deliverable Assistant (DA). When beginning a project, DA can be used to automatically generate a document set with correct templates. See Appendix B: Using Deliverable Assistant for Document Templates, for instructions on using DA to generate a document set.

7.1 Current Practice Instead of using DA, authors often use non-compliant templates, which can cause errors.

The frequently used “Remove Suggested Content” tool is not available in non-DA documents.

7.2 Recommendations Require all FOXIT members to use Deliverable Assistant to generate documents. (This is

especially relevant for large projects that need a complex documentation set.)

Employees unfamiliar with the tool should receive training – the folders and search to set up a new document can be somewhat problematic.

All templates must follow FOXIT header and footer standards. If the DA template does not generate the header and footer, they can be created by following the instructions at \\foxit\apps\process_library\standards.doc.

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8. Deliverables Review (Approval Cycle)A document approval cycle begins after all contributions have been incorporated. The document is not published until the approval cycle is complete. It is the Project Manager’s responsibility to identify names for the Approval Cycle table. The PM begins the approval cycle by circulating the document, tracking its status, and answering questions that may arise during that time. Table 1 is an example of an approval cycle signature block.

Role Name Signature DateAuthor: Ronald K. RalerSponsor: Chris ConnerReviewer(s): Ken Bown Ken Bown 10/26/05

Guru Bringpat Guru Bringpat 10/26/05Technical Writer: Susan Kaltenbach Susan Kaltenbach 10/25/05Approver(s): Denise Smith

Table 1: Example of document approval cycle, using different fonts for signatures.

8.1 Current PracticesAt document inception, the FOXIT Project Manager enters names into the Approval Cycle section, including the author, sponsor, and approver. After all approvals are received, the document is then published at the Project Manager’s discretion.

In practice, the approval cycle has been voluntary. No formal mechanism is in place to enforce the approval process.

8.2 RecommendationsThe approval cycle should become a mandatory part of the publication process. Publication should be controlled until all signatures are received.

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9. Check Out and Check In Documents When using the intranet folders check-out and check-in features, a window appears that has a field for the author to enter comments about the actual editing.

9.1 Current PracticesUsing network folders. Currently, when authors have opened a document, subsequent users get a “locked for editing” message like the one below.

9.2 RecommendationsUse the intranet document folders to manage documents. Using intranet folders provides tools for administering the entire document management process. Intranet.com is used by all employees and is a highly visible public forum.

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10. Version HistoryA version history keeps an image of a document after each contributor’s changes. It can be vitally important when managing documents. Not having a document’s version history available makes it extremely difficult to distinguish changes between document versions.

Since our existing intranet has no capacity for version histories, our only option is to use the MS Word Version tool. Although it’s easy to use, this tool has some problems that could exclude it from being used:

If Version feature isn’t used at document inception, no “old copies” will be available.

When the document is ready for publication, the version history needs to be removed – otherwise, all past changes and comments can be found.

Depending on the document’s size, using the Version tool can create extremely large files.

See Appendix A: Using the Microsoft® Word Version tool for instructions on using this feature.

10.1 Current PracticeCurrently the only version history available is the practice of naming files with an updated version number in each iteration.

10.2 RecommendationsAlthough the MS Word Version tool is ideal for tracking versions, the process could be considered very complex and not all authors will want to comply.

Another method is to use project deliverable milestones for version numbering. This practice would include milestones to map out version histories. The table below illustrates how version numbers could be incorporated into the project deliverables milestones.

Milestone Document Version

Description

Milestone 1 0.1 Create first draft.Milestone 2 0.1 – 0.4 Distribute to document contributors.Milestone 3 0.5 Create second draft.Milestone 4 0.5 – 0.8 Distribute to contributors a second time.Milestone 5 0.8 Final edit to Document Reviewer(s) for sign off.Milestone 6 1.0 Distribute V1.0 as appropriate.

Table 2: Example of including document version number into a Project’s deliverables milestones.

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11. E-Mail AttachmentsIt’s difficult to track a document’s life cycle when there is no version control. And when updated documents are sent via e-mail attachments, several problems can occur. For example, version numbers may be wrongly identified, or incorrect files might be exchanged. And, as an e-mail attachment, the document itself is unsecure and could be accessed by unauthorized parties.

11.1 Current PracticeE-mail attachments are often used in work collaboration. In a one-to-one collaboration between two authors, this method is not as hazardous. But in a document with several contributors, this practice exposes the document to many risks. For example, the names of attachment icons can be truncated so that the version information is hidden (see below). The latter part of the file name is missing. What is the version number of this doc? Is it v4, v5, or v6? Without checking in more detail, the attached version might supersede a more recent version.

Figure 3. Example of using e-mail to forward a document to the next author.

E-mail attachments can cause several problems, including scattering of content, merging document problems, version control problems, etc.

11.2 RecommendationsDo not use e-mail to send documents for work collaboration. Trying to consolidate document files from several authors into a final version can be very difficult and error-prone.

Basing work on e-mail attachments is an unsafe practice. In lieu of e-mail files, work collaboration should be done using document management methods.

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12. Appendix A: Using the Microsoft® Word™ Version toolTo save multiple versions of a document, you have two options: You can save the document as you work on the document by using Save Now, or you can “force” a version history copy when the document is closed by using Automatically save a version on close.

To save a document while you work:

1. On the File menu, click Versions.

2. Click Save Now.

3. In the Comments on version box, type descriptive information about the version you're saving.

NOTE: This feature is not available when you save a document as a Web page.

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To save the current state of a document by using versioning:

4. On the File menu, click Versions.

5. Select the Automatically save a version on close check box.

6. Click Close.

NOTE: Because you are archiving document versions, you cannot go back and modify a saved version of a document. Before you can modify an earlier version, you must open that version and use the Save As command to save it as a separate file.

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13. Appendix B: Using Deliverable Assistant for Document Templates1. Open Deliverable Assistant.

2. From the File menu, select New.

3. After locating the document, click it to open a document using the correct template.

NOTE: Using Deliverable Assistant generates both the doc template and the title page.

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14. Appendix C: Web Folder Information from Intranets.comIntranet.com folders appear in Windows Explorer in the same fashion as other Windows folders. They also perform in the same fashion as regular folders. When you create an intranet folder, it mirrors the contents of your Document Manager. With intranet folders, you can save a document file to your computer’s hard drive.

Web Folders make document management faster and simpler – speeding up previewing files, editing, adding new files, and managing folders.

Web Folders appear in Windows Explorer in a standard fashion, and it’s easy to treat Web Folders as if they were your computer’s own hard drive folders. Be alert to the following:

When you access files and folders via Web Folders, you are looking at “live” versions stored on the site; they are not just duplicate copies on your own computer. This means that when you make changes to a document via Web Folders, you are not making changes on your own computer. You are saving to a file path and URL out on the Web, as your changes are saved directly to your site.

You can only access files and folders in your site’s Web Folder that you would normally be permitted to see.

When you are working on a file in the Web Folder, it is automatically checked-out from the Document Manager, preventing other members from making changes to it. Once you close the file, it is automatically checked-in to your Document Manager, and other members can see your changes.

Since you are accessing files and folders over the internet, operations you perform to your site’s Web Folder will take longer than similar operations to files and folders on your local computer.

Web Folders can mirror a network drive.

Documents will be managed in web folders.

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14.1 Security Applications Using Web FoldersYou can control access to your Web Folder documents using folder permission settings. The document permission system is based on folders, rather than an individual file. This can be useful when you need to:

Share a new proposal with sales managers but not the entire sales team

Post a widely-referenced document such as a policy manual and protect the document by restricting editing access

Allow all team members to enter project updates on a team project plan

Create a new folder with your own custom permission settings to control the type of access each group or member has to your documents.

You can create a new folder view via Web Folders or via your web office. However, you must use your web office to set permissions on folders. To create a new folder and set permissions on it via your web office:

You can control who can see and edit the documents you post on your site by using permission settings on the folders where your documents are saved. This can be useful when you need to

Share a new proposal with sales managers, but not the entire sales team

Post a widely referenced document such as a policy manual, but restrict document editing

Allow all team members to enter project updates on a team project plan

The document permission system is based on folders. You do not set permissions on an individual file; you set permissions on the folder it is stored in.

In the Documents application you can securely share files with other site members. Find documents by browsing through folders or searching, and then either preview the files within your web office or download them for immediate use.

The Documents application is completely integrated with Web Folders, enabling you to access documents on your site through the familiar Windows environment you use every day. With Web Folders, you can save documents from Microsoft Word directly to your site.

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15. Appendix C: Documentation Management Process by Roles and Regions

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Documentation Management Process

Doc

umen

t Ow

ner (

2+ It

erat

ions

)D

ocum

ent M

anag

emen

t(S

ectio

n 10

)D

ocum

ent

Del

iver

y

7a. Contributor makes changes and updates the document Change

History

7b. Final version?

9. Complete Approval Cycle

10. Final Tech writer edit

11. Version 1.0 distributed

Version 1.0 saved as historical item

7. Contributor input required?

1. Identify type of document needed. 5. Doc Owner does

authoring and editing (reiteration point)

2. Use Deliverables Assistant and retrieve

the appropriate template(s)

No

No

Yes

Section 9:Resource

Expectations

Section 6:Milestones

4. Save doc in Web/Network folder

following folder name conventions

3. Name document following file name

conventions.Section 2)

8. Tech writer edit

Section 11:Check out and

check in protocol

Section 13:Document Search

Section 12:Version History

Yes

Section 14:No e-mail

attachments

Section 7:Document tracking

6. Review Contributor

comments and edit accordingly

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16. Appendix D: Comparison of Document Flow Methods

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MASTER VERSIONP032S_IVP_Automation_Project_1_00.doc

MASTER VERSIONP032S_IVP_Automation_Project_1_00_shk.doc


Author shkP032S_IVP_Automation_Proje

ct_1_00_shk.doc

Author kxbP032S_IVP_Automation_Proje

ct_1_00_kxb.doc

Review and incorporate

changes


Author shkP032S_IVP_Automation_Proje

ct_1_00_shk.doc

Author kxbP032S_IVP_Automation_Proje

ct_1_00_kxb.doc


changes


changes

Parallel process (Current Practice) Linear series process (Recommended)

Document Owner incorporates the two changed documents and approves/denies the change made.

NOTE: This process uses the document management check-out an check-in feature service included in WebOffice (Intranets.com).

Author(s) work on their own copy of the document. Their personal version is notated by the end of the file name.

Each author adds their changes and comments to the previous version, then sends to the next author.

Document Owner reviews all changes and comments, edits the document as appropriate, and addresses

any unresolved comments.

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