0
Document Control on Capital Projects
“Paper to Electronic Records Paradigm Shift”
Case Study: How we brought it all togeth...
Disclaimer

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

April 20...
Outline
 The Company
 Business Issues
 RIM Program
 Document Control Practice
 Document Management
 Single Format - ...
The Company
Vale - Companhia Vale do Rio Doce (CVRD) (NYSE: RIO)
 www.vale.com
 Vale was born in 1942 in Brasil
Vale Inc...
Vale Worldwide

April 2009

ARMA Toronto Symposium 2009

5
Capital Projects
The Project Delivery System (PDS) is Vale Inco’s
method of executing capital projects in conformance with...
Information Management - Why?
Now, where
did I put
that
document?

Why must
information be
systematically
managed and
prot...
Business Issues - Digital Vs. Paper

As much as 93% of information generated today is in
electronic form compared to the o...
Business Issues – E-mail




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



Communication practi...
Future, Current

Present & Past

Business Issues – Technology
Paper Record, Blue Print Drawing
1.

Print, Index, Folder, C...
Case Example - Topic
Paper to electronic records paradigm shift
 Paper the record – electronic the convenience
Paradigm S...
Business Issues: Evidence
Canada - CAN/CGSB 72.34-2005 - Electronic Records as Documentary
Evidence
5.2.1 Those who wish t...
Business Issues: Best Practices
International

ISO 15489:2001 – Information and Documentation – Records
Management – Guide...
Records & Information
Management (RIM)
Program

Foundation for success

April 2009

ARMA Toronto Symposium 2009

14
RIM Program

Is the document a:

Record???

 Shows evidence of activity
 Shows evidence of decision
 Shows evidence of ...
RIM Program
Lifecycle Management
Governance Framework
Manage information as an
Asset
Records Classification and
Retention ...
RIM Program
Business Rules
 Process to ensure the
authenticity and integrity
of records
 Ensure integrity and
reliabilit...
RIM Program

Transitory Decision

April 2009

Record Lifecycle Pipeline

ARMA Toronto Symposium 2009

Business Rules

18
Document Control Practice

Case Study

April 2009

ARMA Toronto Symposium 2009

19
Document Control - Objectives
 Organize documentation consistently
 Facilitate the engineering review processes
 Reduce...
Document Control - Scope
Interface

Interface

Information
Communication
Transaction

Information
Communication
Transactio...
Document Control - Scope at Completion of Project
Turnover

Transmittal

Vale Inco Operational
Environment

Deliverables

...
Document Control - Scope after Project is Completed

Project
Environment
(Archived)

Vale Inco Operational
Environment

Ap...
Document Control - Procedures
Standard for Format of Deliverables
 Provides instruction to the contractors on deliverable...
Document Control - Guiding Principles
SINGLE authoritative source of information

 All documents will be filed electronic...
Document Control - Auditing
Benefits of Auditing
 Understanding degree of compliance to stated practice
 Identifying gap...
Document
Management

1
EDMS

SINGLE authoritative source of information

April 2009

ARMA Toronto Symposium 2009

27
Document Management - Access
Single authoritative source
of information
Access to documents from:


Citrix MetaFrame



...
Document Management - Filing & Searching
Document
Sets
• Folders
• Related

Saves
Search

• User Defined
• Shared

Documen...
Document Management - Facets of information - Views
Transmittal package
Document Type

Project #

Doc. Ref. Code

Work pac...
Document Management - Who files the document?

Managers
spend more
time Using
information

Executive
Director
Manager
Engi...
EDMS - Benefits
Easy to use interface
 Work from where you like to work
 Fast complete access to all documents
 Set up ...
Single Format

1
One file format for review

April 2009

ARMA Toronto Symposium 2009

33
Adobe Acrobat - Interface

My comments on this document.



Single Interface for all reviews



Easy Navigation – Thumbn...
Adobe Acrobat - Benefits
Everyone already knows Adobe Reader
 All documents can be published to PDF
 Reports are bound a...
Process Automation

1

One work process

April 2009

ARMA Toronto Symposium 2009

36
April 2009

Project Controls Manager

R R
R OC R
R C R
C R R
R R C
C R R
C R R

Contracts Administrator

T
T
T
T
T
T
T

Sa...
Process Automation - Workflow Charting
Originator
Recipient

T

T

Parallel
Stage

DC

Reviewer(s)

Eng

Reviewer(s)

Coor...
Process Automation - Workflow - Benefits
Automates the distribution & routing process
 No extra copies are made
 Distrib...
Summary

The power of ONE!
1. One filing system

1

EDMS

2. One document format
3. One work process

Simplicity
 Elimina...
Summary of Benefits
By filing continuously throughout the project:
 project information is always available;
 teams can ...
Implementing EDMS is a

Change of Mindset
Lets get some of the basics understood

April 2009

ARMA Toronto Symposium 2009
...
EDMS is a Change of Mindset
Requestor asks a
Task performer to do something

Task Performer
Documents their task

Requesto...
EDMS is a Change of Mindset

Collaborators
Access and use the document
to support their Tasks

Requestor
Accesses the docu...
Ecosystem of Information

Imagine
Working in one environment where all records are;
 Created or Captured – once,
 Collab...
Establishing Habits
Safety has become the culture of Vale
Inco
 It is the first item addressed in
meetings
 It is measur...
Business Issues - Summary
Paper to electronic records paradigm shift
 E-mail conundrum
 Document as a vital asset
 Docu...
The Journey

April 2009

ARMA Toronto Symposium 2009

48
How we started…….
EDM - 1997 – 2000
 Initially sponsored by Engineering
 “Stop the bleeding” of electronic files
 Limit...
Where are we now? - 2009
Strategic direction, Leapfrog to electronic records
 Leadership – capital projects
 RIM Program...
How did we get there?
Leadership with a vision and driven
 Continuously securing sponsorship
 Expert consultants
 Provi...
Lessons Learned


Senior management sponsorship hard to get and keep



Connect the business case and practice to projec...
Questions ?????
Contact: Keith Atteck
Supervisor, Information Management
Vale Inco Limited
Business Development
2101 Hadwe...
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2009 ARMA Toronto Symposium - Document Control on Capital Projects - Paper to Electronic Records Paradigm Shift

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This case study describes the decade long experience of implementing document control on major capital projects at Inco and Vale in the mining industry. Topics include information management business issues facing the company, the RIM Program implementation, our document control practice, document management system utilization, Adobe Acrobat usage, DM Workflow, The change of mindset, and the journey complete with lessons learned.

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Transcript of "2009 ARMA Toronto Symposium - Document Control on Capital Projects - Paper to Electronic Records Paradigm Shift"

  1. 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 April 2009 ARMA Toronto Symposium 2009 DM#319048 1
  2. 2. Disclaimer The views expressed in this presentation do not necessarily represent the views of Vale Inco Limited April 2009 ARMA Toronto Symposium 2009 2
  3. 3. 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 April 2009 ARMA Toronto Symposium 2009 3
  4. 4. 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 April 2009 ARMA Toronto Symposium 2009 4
  5. 5. Vale Worldwide April 2009 ARMA Toronto Symposium 2009 5
  6. 6. 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. April 2009 ARMA Toronto Symposium 2009 6
  7. 7. Information Management - Why? Now, where did I put that document? Why must information be systematically managed and protected? April 2009 eRecords on Servers make the job more critical? ARMA Toronto Symposium 2009 7
  8. 8. 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. Paper 7% Printed 30% Digital 93% Remain Digital 70% Source: (Technology in Government, March/April 2006, Vol. 13, No.2) April 2009 ARMA Toronto Symposium 2009 8
  9. 9. Business Issues – E-mail   Cannot keep everything – we need to have criteria for what to keep  Communication practices must be planned and controlled  April 2009 Project e-mails are records, retained for content of message Electronic Document and Records Management System (EDRMS) is the only way to connect e-mail content to business activity through classification ARMA Toronto Symposium 2009 9
  10. 10. Future, Current Present & Past 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 April 2009 ARMA Toronto Symposium 2009 10
  11. 11. 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 April 2009 ARMA Toronto Symposium 2009 11
  12. 12. 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. April 2009 ARMA Toronto Symposium 2009 12
  13. 13. Business Issues: Best Practices International ISO 15489:2001 – Information and Documentation – Records Management – Guidelines United States ANSI/AIIM TR31-2004 – Legal Acceptance of Records Produced by Information Technology Systems Canada CAN/CGSB 72.34-2005 - Electronic Records as Documentary Evidence United Kingdom BIP 0008-2004 – Code of Practice for Legal Admissibility and evidentiary weight of information stored electronically Europe MoReq2 Specification – Model Requirements for the Management of Electronic Records Australia PROS 99/007: Version 2: 2005 Management of Electronic Records - Victorian Electronic Records Strategy (VERS) April 2009 ARMA Toronto Symposium 2009 13
  14. 14. Records & Information Management (RIM) Program Foundation for success April 2009 ARMA Toronto Symposium 2009 14
  15. 15. 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!!! April 2009 ARMA Toronto Symposium 2009 15
  16. 16. 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) April 2009 ARMA Toronto Symposium 2009 16
  17. 17. 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 April 2009 ARMA Toronto Symposium 2009 17
  18. 18. RIM Program Transitory Decision April 2009 Record Lifecycle Pipeline ARMA Toronto Symposium 2009 Business Rules 18
  19. 19. Document Control Practice Case Study April 2009 ARMA Toronto Symposium 2009 19
  20. 20. 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 April 2009 ARMA Toronto Symposium 2009 20
  21. 21. Document Control - Scope Interface Interface Information Communication Transaction Information Communication Transaction Vale Inco Operational Environment Project Environment Owners Team External Contractors Environment Document Control Responsibility April 2009 ARMA Toronto Symposium 2009 21
  22. 22. Document Control - Scope at Completion of Project Turnover Transmittal Vale Inco Operational Environment Deliverables Transmittal Project Environment Owners Team External Contractors Environment Document Control Responsibility April 2009 ARMA Toronto Symposium 2009 22
  23. 23. Document Control - Scope after Project is Completed Project Environment (Archived) Vale Inco Operational Environment April 2009 ARMA Toronto Symposium 2009 23
  24. 24. 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 April 2009 ARMA Toronto Symposium 2009 24
  25. 25. Document Control - Guiding Principles SINGLE authoritative source of information  All documents will be filed electronically 1  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 April 2009 ARMA Toronto Symposium 2009 25
  26. 26. 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 April 2009 ARMA Toronto Symposium 2009 26
  27. 27. Document Management 1 EDMS SINGLE authoritative source of information April 2009 ARMA Toronto Symposium 2009 27
  28. 28. Document Management - Access Single authoritative source of information Access to documents from:  Citrix MetaFrame  Microsoft Outlook  Web Browsers  Windows Explorer  Authoring Applications  Internet Collaboration April 2009 ARMA Toronto Symposium 2009 28
  29. 29. Document Management - Filing & Searching Document Sets • Folders • Related Saves Search • User Defined • Shared Document • Created • Captured Document Filing Document Search Profile Search Profile • Defaults • Fill out Access Control April 2009 Full Text Index For Content Searching ARMA Toronto Symposium 2009 Document • Found • Opened 29
  30. 30. Document Management - Facets of information - Views Transmittal package Document Type Project # Doc. Ref. Code Work package Author Task description April 2009 ARMA Toronto Symposium 2009 30
  31. 31. Document Management - Who files the document? Managers spend more time Using information Executive Director Manager Engineer Supervisor Technical Employee Staff April 2009 Use File Subordinates spend more time capturing / creating and filing information ARMA Toronto Symposium 2009  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 31
  32. 32. 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 April 2009 ARMA Toronto Symposium 2009 32
  33. 33. Single Format 1 One file format for review April 2009 ARMA Toronto Symposium 2009 33
  34. 34. Adobe Acrobat - Interface My comments on this document.  Single Interface for all reviews  Easy Navigation – Thumbnails – Book Marks – Comments - Stamps  Full Text Search April 2009 ARMA Toronto Symposium 2009 34
  35. 35. 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 April 2009 ARMA Toronto Symposium 2009 35
  36. 36. Process Automation 1 One work process April 2009 ARMA Toronto Symposium 2009 36
  37. 37. April 2009 Project Controls Manager R R R OC R R C R C R R R R C C R R C R R Contracts Administrator T T T T T T T Safety Coordinator Construction Coordinator Project Enginer R R R R R R R Site Engineer Document Control Contract Preparation Site Preparation Geotechnical Work O Civil Works O Mechanical Equipment Design O Electrical O Process Control O Project Manager Legend: O - Originator R - Reviewer C - Collator T - Transmittor EP / CM Consultant Process Automation - Distribution Matrix R OC R R R R R R R R R R R R ARMA Toronto Symposium 2009 The Matrix is compiled with the assistance of:  Project Manager  Project Controls  Document Control  Team members The Matrix is used to develop Routing templates 37
  38. 38. Process Automation - Workflow Charting Originator Recipient T T Parallel Stage DC Reviewer(s) Eng Reviewer(s) Coord Collator Serial Stage MGR Transmitter DC Same day April 2009 3 days 1 day ARMA Toronto Symposium 2009 1 day = 5 days 38
  39. 39. 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 April 2009 ARMA Toronto Symposium 2009 39
  40. 40. Summary The power of ONE! 1. One filing system 1 EDMS 2. One document format 3. One work process Simplicity  Eliminate duplication  Eliminate paper  Eliminate waste It is the integrated system that makes it work April 2009 ARMA Toronto Symposium 2009 40
  41. 41. 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; Effort  we can reduce or eliminate office supplies;  reports can be linked to PDS;  turnover packages can be assembled during the project; Start Timeline Finish  the close out requires little effort; and  the record is always current & complete; April 2009 ARMA Toronto Symposium 2009 41
  42. 42. Implementing EDMS is a Change of Mindset Lets get some of the basics understood April 2009 ARMA Toronto Symposium 2009 42
  43. 43. EDMS is a Change of Mindset Requestor asks a Task performer to do something Task Performer Documents their task Requestor Works for a specific department that performs a function for the organization Task Performer Should look at who is requesting the document to determine how to file it Document is Classified According to what it is About and the function that it supports April 2009 ARMA Toronto Symposium 2009 43
  44. 44. EDMS is a Change of Mindset Collaborators Access and use the document to support their Tasks Requestor Accesses the document to complete the Task Document Only filed once Used many times In many ways Task Performer Uses the document to support ongoing work or future work April 2009 Researchers Search for a document that may support their current Task ARMA Toronto Symposium 2009 44
  45. 45. 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. April 2009 ARMA Toronto Symposium 2009 45
  46. 46. 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 April 2009 ARMA Toronto Symposium 2009 46
  47. 47. 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 April 2009 ARMA Toronto Symposium 2009 47
  48. 48. The Journey April 2009 ARMA Toronto Symposium 2009 48
  49. 49. 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 April 2009 ARMA Toronto Symposium 2009 49
  50. 50. 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 April 2009 ARMA Toronto Symposium 2009 50
  51. 51. 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 April 2009 ARMA Toronto Symposium 2009 51
  52. 52. 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 April 2009 ARMA Toronto Symposium 2009 52
  53. 53. Questions ????? Contact: Keith Atteck Supervisor, Information Management Vale Inco Limited Business Development 2101 Hadwen Road Mississauga, Ontario, Canada L5K 2L3 keith.atteck@valeinco.com Ph: 905.403.3179 April 2009 ARMA Toronto Symposium 2009 53
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