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Electronic document management tutorial

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THE GATEWAY GROUP
Electronic Document Management Tutorial
The Functional Architecture of an EDM System
In the Process and ...
Document 1182001 Revision : A Pages: 111 in Total
Prepared by: Glen B. Alleman Date: 8 Apr 97 Reviewed by:
Signature: Sign...
Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 3
3101 Iris Avenue, Suite 270, Boulder, Colorado 803...
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Electronic document management tutorial

  1. 1. THE GATEWAY GROUP Electronic Document Management Tutorial The Functional Architecture of an EDM System In the Process and Manufacturing Industries
  2. 2. Document 1182001 Revision : A Pages: 111 in Total Prepared by: Glen B. Alleman Date: 8 Apr 97 Reviewed by: Signature: Signature: Authors, Approvals, and Reviews
  3. 3. Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 3 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 Copyright Notice This document contains materials that are proprietary to Gateway Consulting Group, Inc. This work is protected as an unpublished work under the copyright law of all countries that are signatories to the Berne Convention and the Universal Copyright Convention. Copyright © 1997 by Gateway Consulting Group, Inc., All Rights Reserved
  4. 4. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 4 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 Table of Contents 1. Business Strategy Approach to EDM...............................................................................7 1.1. Why an EDM System? ........................................................................................................7 1.2. Why an EDM Strategy?.......................................................................................................8 1.3. Scope of the EDM Strategy .................................................................................................8 1.4. Purpose of the EDM Strategy ..............................................................................................9 1.5. Defining the EDM Strategy ..................................................................................................9 1.6. Fitting the EDM Strategy with Corporate Goals..................................................................10 1.7. EDM Concepts and the I/S Strategy ..................................................................................10 1.8. Critical Success Factors for the EDM System....................................................................11 1.8.1. Critical Success Factors for Manufacturing and Process Industries.........................12 1.8.2. Strategic Benefits of Electronic Document Management ........................................13 1.8.3. Common Business Activities ..................................................................................14 1.8.4. Common I/S Functions...........................................................................................14 1.8.5. Existing I/S Strategic Investments..........................................................................15 1.9. End User EDM Vision........................................................................................................15 1.9.1. Engineering EDM Vision.........................................................................................17 1.9.2. Quality Assurance EDM Vision...............................................................................18 1.9.3. Maintenance EDM Vision .......................................................................................20 1.9.4. Records Management EDM Vision.........................................................................20 1.9.5. Office Technology EDM Vision...............................................................................21 1.10. Company I/S EDM Vision...........................................................................................21 1.10.1. Vision for I/S ..........................................................................................................22 1.10.2. Vision of I/S Customers..........................................................................................22 1.11. EDM Deployment Strategy.........................................................................................22 2. EDM Background and Terminology ...............................................................................23 2.1. Philosophical Goal of an EDM System ..............................................................................23 2.2. Motivations for EDM at a Process or Manufacturing Facility ..............................................23 2.3. Target Business Applications.............................................................................................24 2.4. Common Attributes of an EDM System .............................................................................25 2.4.1. Management of Controlled Documents...................................................................25 2.4.2. Management of Uncontrolled Documents...............................................................25 2.5. Technical Attributes of the EDM System............................................................................26 2.5.1. Functions of an EDM System .................................................................................27 2.5.2. New Technology Attributes.....................................................................................30 2.6. What is a Document..........................................................................................................31 2.6.1. What is a Document in the Electronic World? Case 1: Drawings ............................32 2.6.2. What is a Document in the Electronic World? Case 2: Procedures.........................33 2.7. Document Life Cycles........................................................................................................34 2.8. Document Relationships....................................................................................................37 2.8.1. Definition of Document Object Relationships..........................................................38 2.8.2. Definition of a Document Object.............................................................................39 2.8.3. Business Model......................................................................................................41 2.9. Foldering: Ad Hoc Document Organization........................................................................42 2.10. What is a Record .......................................................................................................43 2.11. Document Hierarchy ..................................................................................................44 3. Information Model ...........................................................................................................47 3.1. EDM Conceptual Framework.............................................................................................48 3.1.1. Elements of the Conceptual Framework.................................................................50 3.2. Business Model .................................................................................................................51 3.3. Document Model ...............................................................................................................53 3.3.1. Promotion Model....................................................................................................54
  5. 5. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 5 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 3.3.2. Index Model ...........................................................................................................58 3.4. Object Storage / Location Model........................................................................................60 3.5. Authoring Model ................................................................................................................61 3.6. Change Management Model..............................................................................................61 3.6.1. Change Management Process State Diagram ........................................................63 4. EDM System High–Level Requirements.........................................................................65 4.1. EDM System Attributes......................................................................................................65 4.1.1. Simple EDM Architecture .......................................................................................65 4.1.2. EDM High–Level System Components...................................................................67 4.1.3. EDM Authoring Functionality..................................................................................70 4.1.4. EDM Post Authoring Functionality ..........................................................................70 4.1.5. EDM System Behavior ...........................................................................................75 4.1.6. Description of the Three (3) Data Model Layers......................................................76 4.1.7. Document Formats.................................................................................................82 4.1.8. Change Management Functionality ........................................................................83 4.1.9. Change Request Processing ..................................................................................87 4.1.10. MOC Data Model ...................................................................................................90 4.1.11. MOC Process Flow.................................................................................................90 4.1.12. MOC Application User Interface .............................................................................91 4.1.13. MOC Reporting ......................................................................................................93 4.1.14. New Technology Attributes.....................................................................................93 5. EDM System Vendor Requirements ...............................................................................97 5.1. Instructions to the EDM Vendor .........................................................................................97 5.1.1. Vendor Requirements Matrix Contents ...................................................................97 5.2. EDM System Requirements Matrix....................................................................................98 6. Glossary of Terms.........................................................................................................109
  6. 6. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 6 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 Table of Figures Figure 1.1 – Functions of the EDM System................................................................................26 Figure 1.2 – Management of Change Process...........................................................................29 Figure 1–1 – What is a Drawing?...............................................................................................32 Figure 1–2 – What is a Procedure? ...........................................................................................33 Figure 1–3 – State Diagram for Controlled Drawings .................................................................35 Figure 1–4 – Example Document Relationships ........................................................................37 Figure 1–5 – Table of Document Relationships .........................................................................38 Figure 1–6 – Document Relationship Categories .......................................................................39 Figure 1–7 – Document Object Model .......................................................................................40 Figure 1–8 – Document Addressing Modes ...............................................................................40 Figure 1–9 – Business Model Excerpt........................................................................................41 Figure 1–10 – Folders Containing Folders and other Documents...............................................42 Figure 1–11 – Hierarchy of Folders............................................................................................43 Figure 1–12 – Document Hierarchy ...........................................................................................45 Figure 2–1 – EDM Information Models ......................................................................................48 Figure 2–2 – Conceptual Framework for the EDM System.........................................................50 Figure 2–3 – Business Model (Strawman)..................................................................................52 Figure 2–4 – Document Model...................................................................................................53 Figure 2–5 – Promotion Model – Email/Form Based..................................................................55 Figure 2–6 – Promotion Model – Workflow Based .....................................................................56 Figure 2–7 – Promotion Model – Collaboration Based ...............................................................57 Figure 2–8 – Index Model..........................................................................................................58 Figure 2–9 – Object Storage Model ...........................................................................................60 Figure 2–10 – Change Management Model ...............................................................................62 Figure 2–11 – Change Management State Diagram ..................................................................64 Figure 3–1 – High Level View of the EDM System.....................................................................66 Figure 3–2 – Components of the EDM System..........................................................................67 Figure 3–3 – Post Authoring Interactions of the EDM System. ..................................................71 Figure 3–4 – Data Entities in the EDM System ..........................................................................77 Figure 3–5 – States of Data Entities in the EDM System ...........................................................80 Figure 3–6 – Change Management Process ..............................................................................87
  7. 7. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 7 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 1. A STRATEGIC APPROACH TO EDM This tutorial describes the foundations of an Electronic Document Management System (EDMS) which is deployed in the process or manufacturing industries. The target application for a typical system is not specified in any detail, nor is the underlying software and hardware. This tutorial is aimed at the concepts of an EDM System, rather than at any specific solution for a particular environment. It is also assumed that the high intrinsic value of engineering, quality, operations and maintenance documents alone justifies the deployment of the EDM System in the process and manufacturing industries. At time the focus of the Tutorial will become detailed, with the emphasis on the business processes being performed by the EDM System. There are specific examples for regulatory compliance activities, engineering design review, ISO 9000 document control and the management of change for any class of controlled documents. These details are provided to given the reader as sense of the scope of effort necessary for a successful deployment. Not all readers will relate when the later material becomes technical. However, this first section is focused on the strategic approach to understanding the EDM System. This subject material is vital to the understanding of the later technical components and the reader should become familiar with these concepts before proceeding with the more technical aspects of the tutorial. 1.1. WHY AN EDM SYSTEM? Most manufacturing, process plants and production facilities create and use from tens of thousands to several million pages of documentation during the course of their business every year. The majority of these documents exist in the form of paper, although they may be have been created using a computer authoring tool. Many of these documents can be classified as technical documents, since they are used in the engineering, testing, maintenance and operation of the business process. The generation of technical documents has usually been the performed using CAD and word processing and has increased the individual productivity of the author. However, this documentation has not significantly reduced the effort necessary to produce products or to design, install and maintain the equipment and processes used to produce products. The deployment of an Electronic Document Management system will address the underlying sources of this lack of productivity: (a) The information in these documents is created and managed through the efforts of individuals, without an overall corporate strategy for the creation and management of these documents. (b) Documents are created using a variety of authoring tools. This approach prevents many of the documents from being shared outside the organization that created them. (c) Documents are indexed and filed by the organization and sometimes the individual that created them. In some cases there are public repositories for documents, but in general access to corporate information is only provided to those individuals who know where the documents reside. In order to identify the solutions to these document management issues, a strategy for deploying a system will be introduced.
  8. 8. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 8 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 1.2. WHY AN EDM STRATEGY? Strategies are intellectually simple; their execution is not. [1] The Electronic Document Management (EDM) Strategy is an implementation independent system design framework, intended to provide the flexibility to assemble EDM software products in a manner which best suits the business needs of the company, while providing access to corporate documents and related data by all authorized users. These corporate documents should be seen as data that is shared across the business processes. These documents are valuable corporate resources and are not owned by one business unit or individual. The EDM strategy promotes the interoperability [2] and operability [3] of software products that consist of programs, transactions and databases. This strategy is not an architecture for these programs, transitions and databases, but is a road map for providing the underlying solution. [4] 1.3. SCOPE OF THE EDM STRATEGY The scope of the EDM Strategy is usually defined during the initial engagement between the technology providers and the technology users. The business units, which will be targets of the EDM System, can be determined through a Business Case Analysis, which identifies the financial benefits to the organization of each document automation activity. Within these business organizations, controlled documents are usually generated, used, and stored by the following departments: (a) Engineering – product design documentation, facilities to manufacture products and the infrastructure to support the manufacturing facilities. (b) Research and Development (Technical Documents) – documents that describe the prototypes of products, the procedures for constructing thee prototypes and the design basis calculations used to develop the prototype. (c) Maintenance – equipment and process support instructions. (d) Environmental Controls and/or Regulatory Compliance – materials used in the process are accounted for and described according to the guidelines of the regulatory agencies. (e) Records Management – maintenance, production, parametric data, material quantities all have record information associated with individual documents. (f) Office Technology – process correspondence, management information, corporate policies, customer correspondence. 1 “The CEO as Coach: An interview with AlliedSignal’s Lawrence A. Bossidy”, N. M. Tichy and R. Charan, Harvard Business Review, March–April, 1994, pp. 68–78. 2 Interoperability is the ability to connect document aware software products irrespective of their suppliers or vintage, to provide access to corporate documentation. 3 Operability is the ability to efficiently and cost effectively manage and control the deployment, administration, execution and use access to a loosely coupled set of software products, irrespective of the suppliers to meet the performance, availability, reliability and security objectives of business organization. 4 “The BellCore OSCA Architecture,” Technical Advisory, TA–STS–000915, Issue 3, March 1992.
  9. 9. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 9 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 The following departments, business units, and activities are usually not addressed by the EDM Strategy: (g) Documents and activities involved in the business data processing. (h) Documents not considered controlled information. 1.4. PURPOSE OF THE EDM STRATEGY This document defines the vision of an Electronic Document Management system to be employed throughout the business organization. The EDM System will provide for the electronic management of corporate documents in conjunction with existing business data processing systems. This document is not meant to be an all inclusive description of an EDM system, rather it is the road map for defining an actual EDM system and deploying it within the business organization. This document is written as a high level description of the EDM system, its initial benefits, and costs. Beyond this EDM Strategy are several other documents that are usually produced during an EDM project including: System Requirements Analysis (SRA), Functional Requirements Analysis (FRA) and Technical System Design (TSD), Implementation Plan (IP), Procurement and Installation Plan (PIP). This document contains several sections, including: (a) Core Business Strategy – which describes the motivations for the EDM system, the architectural vision of deployed system. (b) Attributes of an EDM System – which describes the hardware and software components of an EDM system and its application to the various business organizations. (c) Core Information Technology Strategy – which describes the technology, required to deploy an EDM system in the business environment. (d) Identified Strategic Applications – which describes the target business organizations to receive EDM. 1.5. DEFINING THE EDM STRATEGY In order to formulate a strategy for the deployment of an EDM system, two dimensions must be considered: [5] (a) Breadth – the scope of applications, processes, or systems that will be addressed by the EDM strategy must be defined. A process can be defined as narrow as a single activity or single function or as broad as the entire business. The EDM strategy addresses specific processes within specific business units. The management of controlled documents is most often the breadth of the EDM system. (b) Depth – the success of the EDM strategy, on a broad scale, requires the restructuring of the key business components. The measure of the depth of the strategy can be characterized by the amount of: (1) roles and responsibilities of the management in the effected organizations; (2) the affect on the information technology infrastructure; 5 “How to Make Reengineering Really Work,” G. Hall, J. Rosenthal and J. Wade, Harvard Business Review, November–December, 1993, pp. 119–131.
  10. 10. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 10 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (3) the measurement and incentives that will affect the outcome of the deployment; (4) the extent of shared value in the affected organizations; and (5) the skill sets in the affected organizations and their ability to manage both the technical and non–technical aspects of the deployment. 1.6. FITTING THE EDM STRATEGY WITH CORPORATE GOALS The Electronic Document Management System will support the business organization’s strategic objectives in the following manner: (a) People – consistent and reliable delivery of documents will provide enhanced communication between the personnel tasked with producing products and the authors of the documentation. (b) Safety – by controlling the creation and distribution of safety–related documentation the business organization will continue to assure the highest levels of workplace safety. (c) Quality – by improving the clarity and availability of documentation and work instructions, appropriate work processes will be performed as planned and with fewer errors. In business organizations that are participates in ISO 9000 certifications, this component of the EDM Strategy is a critical success factor. (d) Service – by providing on–line documentation to the point of use, service to both internal and external customers will be improved. (e) Productivity – by reducing the time and effort required to search for the correct documentation, productivity improvements can be made without expending additional resources. 1.7. EDM CONCEPTS AND THE I/S STRATEGY Documents perform a vital role in the production and sale of a business’s products. The management of these documents usually takes place through the efforts of the employees and the procedures defined by the corporate and departmental level management. As the creation and distribution of documents becomes increasingly dependent on computer technology, the Electronic Document Management system becomes a vital link in the operation of each business unit. Documents are essential to the operation of the business for three (3) reasons: (a) Documents are the means through which information is captured, managed, and controlled. They are the means by which essential information is developed and conveyed throughout the business organization. (b) Documents form the core of every business process. They are the method by which interfaces between business functions are formed and managed. They are the means by which people interact to accomplish the goals of the organization. (c) Documents for the basis of the business knowledge needed to produce products. Documents create the means by which an organization conducts its business. What is Document Management? There are several applicable definitions, which can be applied to the manufacturing and process industries: (a) Document Management is ... a highly integrated set of middleware services that integrate library services, document creation and document interchange with critical
  11. 11. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 11 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 business process applications built around a client/server topology using open application interfaces. [6] (b) Document Management is ... a software system that is capable of organizing document production, managing accessibility and distribution of documents and overseeing the flow of these documents. [7] The I/S EDM strategy is to: (a) Provide the underlying infrastructure of the networking and platform facilities required for the EDM system. (b) Provide the architectural guidance for the selection and installation of the software applications required for the EDM system. (c) Provide the necessary resources to support the infrastructure and related computing resources needed to deliver the EDM system requirements to the end user community. This includes: (1) Data modeling of the business process. (2) Process modeling of the business process. (3) Definition and support of document management standards for those components of the EDM system that are shared throughout the business organization. (4) Support and maintenance of the client/server components shared by all users of the EDM system. 1.8. CRITICAL SUCCESS FACTORS FOR THE EDM SYSTEM The concept of Critical Success Factors (CSF) Analysis was first formulated by John Rockart at MIT in the 1982. [8] The main steps of the CSF are: (a) Identify the most critical components, facilities and processes of the enterprise, which will make the enterprise successful. (b) Define the application systems, business data and business rules for each business process, which will support the critical success factors. (c) Analyze, evaluate, and justify the proposed application systems. An Electronic Document Management System can provide for the creation, control, and distribution of almost any form or type of document. The question is what types of documents should be managed inside business organization? 6 Office Information Systems Strategic Analysis Report, The Gartner Group, September 3, 1993. 7 “Workgroup Application Systems,” Document Management Software market Review and Forecast, International Data Corporation, May, 1993. 8 “The Changing Role of the Information Systems Executive: A Critical Success Factors Perspective,” J. Rockart, Sloan Management Review, Volume 24, Number 1, 1982, pp. 3–13.
  12. 12. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 12 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 This focus is best stated as... A business can be made more valuable by making low intellectual content activities effortless and high intellectual content activities more functional and available to knowledge workers at every level... if an organization has not eliminated clerical office activities almost entirely from job descriptions, it will suffer from poor customer service, poor use of its information assets, longer times to market and higher operating costs. [9] 1.8.1. Critical Success Factors for Manufacturing and Process Industries The Critical Success Factors for the EDM system deployed in manufacturing and process industries include: (a) Reduction of cycle time for work activities involving the production, handling, distribution, and use of paper–based documents and drawings. [10] (b) Simplification of the paper–based work processes associated with the production of products, the design of the manufacturing process and the support of the installed process or manufacturing equipment. (c) Reduction of plant downtime by making the necessary engineering, operations and maintenance documentation available on–line and readily available to the appropriate maintenance and operations personnel. (d) Reduction or elimination of the cost associated with paper–based processes, including copying and filming of documents for distribution and reference. This reduction will be applied across the board for all controlled paper–based processes. (e) Improved document security since the document images are never removed from storage. (f) Establishment of stable procedures associated with the manufacturing process, including standard operating procedures, work instructions and any associated operational documentation. (g) Improved quality for all documents resulting from the audit, change control and work flow automation capabilities of the system. These facilities will provide a reduction in the content, reproduction, and distribution processes. The use of outdated information is reduced when all users are ensured access to the same revision of the document. (h) Decreased cost for modifying documents, since all documentation is available on– line there is no need to re–create the document when it can not be found. (i) Integration with maintenance and production management system. By delivering images of maintenance manuals and supporting documents, the existing paper– based system for the distribution and maintenance of equipment documentation can be replaced. (j) Establishment of a networking system capable of supporting the EDM system. This includes providing document management cache servers connected to segments of the network without impacting other portions or the enterprise. On demand printing provides a point if use for the correct documentation. Work procedures, maintenance 9 Office Information Systems Strategic Analysis Report, The Gartner Group, September 3, 1993. 10 Throughout this specification, the term document shall be taken to mean documents and drawings.
  13. 13. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 13 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 documents, engineering drawings and product manufacturing information can be delivered on demand rather than through the normal distribution channels. 1.8.2. Strategic Benefits of Electronic Document Management There are three (3) types of information in use in most manufacturing and process facilities. (a) Records–based information kept in databases, either electronic or manual. This information represents the way in which the business organization deals with customers, suppliers, product personnel and processes. This information is usually structured and created through a documented process. (b) Automation–based information, is usually created with computer based tools. This information is created and shared between members of various business departments. This information is usually unstructured and represents the content of the manufacturing process. In some cases, structure is available in the form of design and construction information, but the method of producing this information is usually ad hoc and driven by the business needs of organization. (c) Knowledge–based information, usually created through the same process as (a) and (b), but has significantly different attributes. This information: (1) Is key to business organization’s ability to acquire and maintain its competitive advantage, from its document based processes, including: R&D, Engineering and Maintenance. (2) Posses exceptional value to business organization, since this information represents the design basis and as–built configuration of the manufacturing or process facilities. (3) Exists for the life of the manufacturing process or facility. (4) Are reused many times during the life of the process or facility and forms the basis for new knowledge–based information for future processes and facilities. This knowledge–based information increases in value with time, since it is the information that contains the knowledge of how the business produces its products. This information is constructed during the design process and therefore contains the essence of the design. With the third type (c) of information placed in the EDM system the following business advantages are made available to business organization: (a) Shorter time to market – by increasing the productivity of the users of the information, business decisions can be made quicker, design decisions can be reviewed and approved faster, products can be deployed quicker. Several barriers currently exist which lengthen the time to market for document–based products: (1) Lack of control over the life cycle of a document. For every change to a document, whether through a change in the design of a product component or a change in the equipment used to produce the product, a manual process is most often used to review and approve this change. (2) The inability to integrate various types of information on a single desktop workstation restricts the organization’s ability to create and distribute information related to the design and production of products. There is usually no corporate–wide mechanism for sharing and reusing information generated by departments and subcontractors.
  14. 14. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 14 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (3) Islands of document automation usually exist, making it difficult to assemble information. The isolation of the information generating activity creates the opportunity to release documents with inaccurate or incomplete information. (4) The ability to find accurate and timely information is restricted by the computing infrastructure in place today. (b) Improved Quality – by managing the production, review, and distribution of all controlled documents, the quality of documentation process can be improved. (c) Lower Costs – by removing unnecessary activities from the daily business process, the cost of production can be lowered. By improving the accuracy and velocity of information available to the organization’s employees, the amount of productive work per hour invested will improve. (d) Establishing a Design Basis – by capturing and indexing engineering, production and maintenance information, the foundation of the design and operation of the product production processes can be communicated to both internal and external organizations, in a concise, reliable and controlled manner. 1.8.3. Common Business Activities The success of an EDM deployment at the business depends on several factors, including: (a) A common desktop environment and architecture. (b) On–line access to applications and information needed to perform work without the knowledge of the information location. (c) A standardized and easy to operate User Interface. 11 (d) The availability of personnel productivity tools. (e) The automation and reduction of paperwork associated with each business activity. (f) Integrated analysis and design applications in Engineering (or Technical Functions). (g) A common set of work management tools which form the basis of information sharing, including E–Mail, document viewing, printing, work flow, and authoring tools. 1.8.4. Common I/S Functions The EDM strategy is based on the use of open platforms for all hardware and software components of the system. For the purposes of a strategic plan the following definition will be used: An open system is one in which the components (of the system) and their composition are specified in a non–proprietary environment, enabling competing vendors (of the system components) to use those standard components to build cooperative systems. [12] Using this definition, the functionality provided by I/S in support of the EDM system must include: 11 The specification of attributes of the system using terms such as easy to operate, User friendly, high performance, reliable, should be avoided at all times. The attributes of the system should be specified in quantitative terms, which have specific measures, which can be used to compare the various alternatives. Although this advice is given for writers of requirements specifications, there will be many instances in this tutorial where the advice is not followed. 12 Open Systems, G. Nutt, Prentice–Hall, 1992.
  15. 15. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 15 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (a) Hardware platform independence for applications and databases – the flexibility to use the most cost–effective platform for the job will allow the business organization to take advantage of an ever changing hardware market place, without a negative impact on the current investment in software, training and data. (b) Application independence from databases – by making use of SQL access to information the underlying database technology can change over time with a minimum impact on both the application and data environment. (c) Distribution of information and applications as close as possible to the users – by making information locally available to the end user, query and retrieval time required is reduced to a minimum. (d) Consolidating and normalizing information to eliminate redundancy and improve data integrity. By constructing normalized data models with embedded business rules, the intellectual value of the document relationships and the transactions that created them can be maintained over the live of the project. 1.8.5. Existing I/S Strategic Investments Several existing I/S strategic investments are associated with the success of the EDM system, including: (a) Financial Systems – the Business Reporting System, forms the basis of the benefit measurement for EDM. (b) Telecommunications Infrastructure – the existing network infrastructure must adapt to the requirements of the EDM System. The architecture of the telecommunications system hardware and software forms ground work for the EDM system client/server architecture. (c) Document Authoring Infrastructure – the existing CAD, Word processing and Email environment provides direct support for the EDM project. 1.9. END USER EDM VISION A Vision is a picture in ones mind of an idea or organization. A vision is an essential element in the success of an organization. This section describes the vision of the EDM system, distinct from the Mission of the EDM system. [13] These differences can be illustrated as: Mission Statement Vision Statement Today Tomorrow Identifies the customer(s) Inspirational Identifies the Critical Processes Provides clear decision–making criteria Level of performance Timeless Although they are often used interchangeably, mission and vision are distinctly different, each with its own purpose, style, criteria and components. A vision is a state that is never achieved, 13 “Visioning: The Concept, Trilogy and Process,” J. R. Latham, Quality Progress, American Society for Quality Control, April, 1995, pp. 65–70.
  16. 16. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 16 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 but will form the basis of all activities within the organization. Successful visions have three (3) criteria: [14] (a) Timeless – visions are far reaching, they describe the corporation or system, as it should be, not necessarily as it is going to be. It is unlikely that the vision of the EDM system will ever be achieved, but articulating the vision will set the highest possible goal for the system. All decisions regarding architecture, behavior and performance of the system should be compared with the vision of the system. Progressive realization of the vision is critical to the success of the overall process. (b) Inspirational – it is inspiration that is behind the motivation to act. It is action toward the vision that ultimately makes the vision a reality. (c) Provides Clear Guidelines – a clear, concise and shared picture of the end result provides the criteria for the decision making process. When the vision of the EDM system is shared among all members of the business organization, the tactical details of the implementation of the system become secondary to the overriding goals of the organization. Everything is created twice: first in the mind, then in the physical world. [15] The Vision for the EDM system in the manufacturing and process industries is that it will provide the foundation for re–engineering the business processes in the following departments: (a) Engineering – by significantly reducing the generation, handling, and consumption of paper documents during the design, review, and construction process. By deploying the EDM System, Engineering will be able to eliminate the storage and distribution costs currently associated with the document release cycle. (b) Research & Development – by consolidating the authoring, review and publication of Specifications, Standards and Work Instructions, R&D can eliminate all redundant operations in deploying these documents to the users. (c) Maintenance – by providing electronic access to all equipment documentation, Maintenance can eliminate all wasted effort currently expended in the search for maintenance information and work instructions. (d) Records Management – by consolidating the management of corporate records with the control of the source documents referenced by these records, the EDM system will consolidate two functions into one. The management of the controlled information is usually provided separately from the physical storage and use of the controlled documents. These functions could be consolidated inside the EDM system, with the indexing and management controlled by a database application and the physical capture, use and distribution provided by the facilities of the EDM system. (e) Office Technology – by providing electronic images of business records document storage and distribution activities can be significantly reduced with an equivalent reduction in this recurring expense. The capture, indexing, storage, and distribution of business documents are a traditional application for an EDM system. A scanning and indexing operation can replace the current microfilming and indexing (to the mainframe) operation. Once scanned the documents can be delivered to the end user through a workstation application, completely eliminating the need for microfilm production, storage and distribution. 14 Teaching the Elephant to Dance, J. A Belasco, Crown Publishers, 1990. 15 The 7 Habits of Highly Effective People, S. R. Covey, Simon & Shuster, 1989.
  17. 17. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 17 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 1.9.1. Engineering EDM Vision The Engineering activities of a process or manufacturing facility usually include: (a) Generation of engineering drawings, calculations, specifications, standards, and supporting documents. (b) Review and approval of those documents. (c) Publication and use of the documents and drawings by Production, Research and Development, Maintenance and Operations. During these processes, documents and drawings are generated in a variety of ways, including CAD, Word processing, and manual drafting. Once the information has been generated, it is placed in the Drawing Control System through a manual process. CAD drawings are maintained in a centralized file system accessible from all CAD workstations. Paper drawings are maintained in drawing tubs, stick files, or flat files in various locations through the business facility. Microfilm copies of all drawings are sometimes produced and distributed to various locations. The EDM System will provide the following functions for the Engineering Department: (a) Centralization of all drawing capture and distribution activities. By providing both electronic and paper capture of documentation and drawings, the EDM system will provide a single electronic vault for all engineering information. This Electronic Vault will enable Engineering to: (1) Avoid duplication of drawings and documentation assuring only released documents are made available to the user community. (2) Provide a single approved for design information database for all equipment and processes in use by the business. (3) Provide a traceable clearing–house for all design changes. (4) Provide a central repository for information required by outside consulting firms. (b) An electronic check–in and check–out process for all engineering documentation. This facility will provide a controlled and secure process by which documents and drawings are entered into the electronic vault. The EDM user can: (1) Submit documents and drawings to the Electronic Vault using a standard user interface. The Electronic Vault will manage both Work in Process (WIP) and released drawings. (2) Route WIP for review and approval, using E–Mail and work flow software. (c) Document retrievals using an Engineering Department data model. This data model will provide: (1) A consistent organizational method for indexing and retrieving all documents and drawings. (2) The business rules for releasing documents created by the Engineering department or the outside contractors. (3) The business rules for making any changes to a released drawing or document. (d) A collection of Engineering Standards and Specifications that will be used for all design, fabrication and operation processes within the business organization. These standards and specifications will describe: (1) The equipment, processes, standards and components that can be used in the design process. (2) The discipline specific standards to be used in the design and manufacturing process.
  18. 18. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 18 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (3) The local alterations or additions to the discipline–specific standards. (e) A collection of design basis calculations, notes, and supporting documentation created during the design and construction process. This information will be maintained by the EDM system for reference during future design activities as well as form the basis of the intellectual contribution of the Engineering department to the operation of business organization. (f) Software created and used by the various production test or process control systems. This software will be stored as an object in the EDM – as if it were an electronic document. The indexing, submittal, retrieval, and use of this software will take place in the same manner as normal user–readable documentation. (g) Information used by the Engineering modeling applications can originate as well as be stored by the EDM system. This information includes: (1) Design calculations. (2) Data and programs for modeling the plant processes. (3) Parametric information gathered from various sampling and control system can be placed in the EDM system as electronic representations of data. This information can then be forwarded to the modeling software for processing. 1.9.2. Quality Assurance EDM Vision The management of documents in the Quality Assurance department is a critical business function. These document classes include, (a) Specifications for recipes, formulas, processes, work instructions, test programs, etc. (b) Test methods for each process. (c) Organizational policies and procedures. (d) QA reports, including: (1) Test reports (2) Quality reports (3) Test plans (e) Other documentation including: (1) Defect manuals. (2) Hand books. Each of these document classes forms the basis of the Quality Assurance process. Most document management activities currently taking place in the QA department follow industry guidelines [16] developed and implemented in a variety of production environments: (a) Management Responsibility: ... define, document and communicate its policy and objectives for, and commitment to, quality; appoint management representatives for periodic review to ensure continuing suitability of the quality system. The supplier shall ensure the policy is understood, implemented, and maintained at all levels in the organization. 16 “Vision 2000: The Strategy for the ISO 9000 Series Standards in the 90’s,” D. Marquardt, et al., ASQC Quality Progress, Vol. 24, No. 5, May 1991, pp. 25–31.; “Management Practices: U. S. Companies Improve Performance Through Quality Efforts,” General Accounting Office, GAO/NSIAD–91–190, May, 1991.; “Fix the Process not the Problem,” H. Sirkin and G. Stalk, Harvard Business Review, July/August 1990, pp. 26–33.
  19. 19. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 19 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (b) Quality System: ... establish a documented quality system as a means of ensuring that it conforms to the criteria of the applicable...standards. (c) Design Control: ... establish and maintain procedures to control and verify the product design in order to ensure that the specified requirements are met and assure procedures for design planning and design changes are in place. (d) Document Control: ... establish and maintain procedures for controlling all documents and data thorough approval, distribution, and modification that relate to the requirements of the Standard... The documents shall be reviewed and approved for adequacy by authorized personnel prior to use. (e) Product Identification: ... establish and maintain procedures for identifying the product from applicable drawings, specifications, or other documents, during all stages of production, delivery and installation... (f) Process Control: ... shall identify and plan production and ... ensure that these processes are carried out under controlled conditions ... Documented process control instructions defining the manner of production ... where the absence of such instructions would adversely affect quality. The EDM system will provide the following functions for the Technical Document activities in the QA Department: [17] (a) Authoring – the EDM system will provide a controlled process for creating and altering documents. The generation and editing of text and graphical documents is performed using standard workstation tools. Today these tools include word processors and graphical design applications. The results of the authoring processes will be maintained by the EDM system in the Electronic Vault. The creation of a document will start with the creation of an entry in the Electronic Vault’s index. This index entry will be used to reference the document through out its life. If an existing document is to be used as the basis of a new document or simply a revision, then the original document is checked–out of the Electronic Vault for revision. Changes are then made to the document and it, like the previous example is checked–in to the Electronic Vault for review and promotion. (b) Review and Promotion – the EDM system will provide the ability to mark up the review copy to indicate any changes or suggestions. Once the changes (or creation) have been made to the document, it will be reviewed for promotion to the next release level. This activity will take place using the tools of the EDM system. Using electronic mail or a vendor–provided workflow system notification that changes exist and require review will be forwarded to the appropriate distribution list. (c) Publication – the EDM system will provide for consistent publication and distribution of the controlled documents. The approved documents will be placed in the Electronic Vault as an official release. The release of the document will replace the previous release and notify those on the distribution list of the existence of the new document. (d) Retrieval, Viewing and Printing– the EDM system will provide a consistent process for retrieving and viewing controlled documents. The retrieval and viewing of the document will take place through the facilities of the Electronic Vault. The data model that defines the business rules for managing the documents will form the 17 In general, these steps of Authoring, Review and Promotion, Publication, Retrieve, Viewing and Printing can be applied to all document management functions.
  20. 20. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 20 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 basis of the retrieval process. This data model defines the relationships and attributes of the documents and the processes by which changes are made to the documents. The viewing of the document will take place by rendering the image of the document in a form identical to the creation of the document, without the burden of placing the authoring tools on each workstation. The viewed document will contain text and graphics as well as images. Comments and notes can be made on the viewed document and returned to the author for action. Those users not involved in the authoring and review processes will be provided with the ability to view the documents, but not the ability to make changes to the controlled document, other than as suggestions to the author. 1.9.3. Maintenance EDM Vision It could be argued that operations and maintenance is a secondary function in the US, when compared to the dominant technical disciplines of development and manufacturing. [18] Although this may not always be the case at all businesses, there are usually several underlying difficulties with the current maintenance and operation of process or manufacturing facilities directly related to the management of documents: (a) Proactive maintenance – the largest expenditure for maintenance today occurs in the area of corrective maintenance. The major contributor to the unit operating cost of the plant equipment is the cost to restore this equipment to operation coupled with the cost of lost production. (b) Maintenance work – by decreasing the number of human mistakes that occur during the normal course of maintenance the overall cost of operating the process or manufacturing facility can be reduced. (c) Standard documentation and information not available – by increasing the availability and accuracy of the information used during the maintenance process, the overall maintenance cost can be reduced. By addressing these issues through the deployment of an EDM system, the maintenance of the production facilities can be improved. Documentation enters into this improvement in the following manner: (d) Task Specifications – by defining what actions need to be taken and when they need to be performed, the maintenance of the equipment can be improved. The OEM of production equipment usually provides the documentation containing this information. Access to these documents takes place through a manual process. (e) Procedure Specifications – this is a document which guides the execution of the maintenance task. In simple situations, the procedures may be as simple as a one– page instruction. In more complex tasks, a maintenance manual must be referenced in order to proceed with the procedure. (f) Logistics – this activity entails a variety of activities ranging from purchasing, stores management, tooling, vendor support, training and regulatory requirements. Each of these activities involves the use, creation and distribution of documents. 1.9.4. Records Management EDM Vision The management of official records usually takes place through several databases. The actual documents recorded in these databases are physically held by different organizations. 18 Reliability–Centered Maintenance, A. M. Smith, McGraw–Hill, 1993.
  21. 21. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 21 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 The use of an EDM system address the following issues: (a) Consolidation of the management of the records for the documents and the physical documents themselves. (b) Providing a uniform document management application across all business document systems, including those documents that are managed in a controlled manner. (c) Centralizing the storage and retrieval of all controlled documentation in the organization. 1.9.5. Office Technology EDM Vision The use of paper or microfilm as a record keeping medium is used throughout industry today. With the installation of an Electronic Document Management system, the need for these technologies is greatly reduced. Although in most cases the information stored on the microfilm is still required by state and regulatory agencies, the delivery of the image can take a new form. There are two types of documents placed on microfilm today: (a) Scanned information in the form of paper documents. (b) Computer Output to Microfilm (COM) documents in the form of computer generated reports. Both of these document types can be placed in the EDM system. The paper document currently being filmed can be scanned to an optical image and indexed to the EDM system. The COM reports can be sent to a Computer Output to Laser Disk (COLD) in the same manner as COM. By removing the COM film–processing step, expense can be reduced. 1.10. COMPANY I/S EDM VISION Although the majority of this tutorial addresses an EDM System and its deployment in the manufacturing facility, the EDM System’s impact on the I/S organization also needs to be addressed. The I/S strategy must address two (2) issues: (a) How to manage and support the distributed computing technologies currently being installed as well as those required for the deployment of an EDM system. (1) Local area networks ü Topology ü Security ü Routing ü Bandwidth ü Response time ü Reliability / Availability (2) Wide are networks ü Connectivity ü Security ü Performance ü Reliability / Availability ü Cost (3) Peripherals
  22. 22. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 22 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 ü Storage ü HSM ü Caching ü Scanning / Printing ü Workstations (4) Core software components ü Database engines ü Email ü Voice Mail (b) How to employ these technologies to improve the business processes within each group making use of EDM. 1.10.1. Vision for I/S The deployment of an EDM system should be seen the image enabling of existing applications with the documents that pertains to the existing business process. The EDM system augments the existing business processing system, rather than replaces it. In the case where no existing business processing system exists, providing an image enabled application should be the minimum requirement to the current manual process. 1.10.2. Vision of I/S Customers The users of the EDM system will make use of the documents delivered to their workstation in the same manner that they make use of the documents today. However, the documents will be controlled in a manner different than they are today. Following the standards of Total Quality Management: (a) the right document will be delivered, (b) at the right time, (c) for the right purpose. 1.11. EDM DEPLOYMENT STRATEGY SUMMARY The EDM system must: (a) Support the business goals and critical success factors of the organization. (b) Focus on the strategic investments. (c) Make the correct information available where it is needed and when it is needed. (d) Make use of open off–the–shelf hardware and software products. The I/S department must: (a) Reassess the I/S investments on a periodic basis to determine whether they still support the Critical Success Factors. (b) Continually retrain the I/S staff in support of the Critical Success Factors.
  23. 23. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 23 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 2. EDM BACKGROUND, TERMINOLOGY AND TECHNICAL ARCHITECTURE This section provides a background overview of the use of Electronic Document Management in the industrial setting. By restricting the target application environment to process plants, manufacturing facilities or electric utilities, a class of technical issues found in the traditional business office environment can be avoided. The technical document environment creates a unique set of requirements: (a) Large document sizes with accompanying impacts on system performance. (b) The use of formal management of change processes. (c) Tight integration of the EDM System with CAD, MRP, ERP, production and process control systems. (d) Regulatory compliance (ISO, OSHA, EPA, FDA) (e) Subcontractor management of supplied components, services or facilities. 2.1. PHILOSOPHICAL GOAL OF AN INDUSTRIAL EDM SYSTEM In order to create a clear and concise picture of the requirements for the EDM System, a philosophical goal is needed. [19] This goal is: Gather the information needed to design, construct, operate, and maintain the business’s facilities in a single coherent, secure and accessible Electronic Document Management System. The operational definition [20] of the terms in the goal are: (f) Design – is the process of creating a solution to a problem using engineering, technical writing or related skills? (g) Construct – is the process of providing the solution in its physical form? (h) Operate – is the process of placing the physical equipment or material into operation? (i) Maintain – is the process of keeping the physical equipment in operation? (j) Coherent – is a logically correct and understandable set of rules for using the system? (k) Secure – is the ability to provide information within the proper context? (l) Accessible – is an easily approachable and understandable interface for document retrieval? 2.2. MOTIVATIONS FOR EDM AT A PROCESS OR MANUFACTURING FACILITY A process or manufacturing facility creates and uses from hundreds of thousands to several million pages of documentation during the course of its business every year. The majority of 19 The World of Edwards Deming, 2nd Edition, C. S. Kilian, SPC Press, 1992. 20 An operational definition assigns a communicable meaning to a concept and specifies the conditions and procedures for ascertaining whether it applies in a given condition. Without an operational definition the terms are meaningless concepts that hamper communication. “How to Distinguish Masters from Hacks,” K. T. Delavigne, Quality Progress, May, 1995, pp. 97–102.
  24. 24. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 24 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 these documents exist in the form of paper, although they may have been created using a computer authoring tool. Many of these documents are classified as technical documents, since they are used in the engineering, testing, maintenance and operation of the manufacturing process, while a large number are business documents. These technical documents are produced using CAD and word processing software, which has increased the productivity of the document author. However the creation and use of this documentation has not significantly reduced the effort necessary to produce products or to design, install and maintain the equipment and processes used to produce products. The deployment of an Electronic Document Management system will address several of the underlying sources of this reduction in productivity: (a) The information in these documents is created and managed through the efforts of individuals, without an overall corporate strategy for the creation, use and management of these documents. (b) Documents are created using a variety of authoring tools. This approach prevents many of the documents from being shared outside the organization that created them. (c) Documents are indexed and filed by the organization and sometimes the individual that created them. In some cases there are public repositories for documents, but in general, access to corporate information is only provided to those individuals who know where the documents reside. 2.3. TARGET BUSINESS APPLICATIONS Although an enterprise–wide solution to the management of documents is a popular notion in the industry, the reality of this approach usually does not lead to success. The initial deployment of an EDM System should target applications with high payback opportunities. These applications are document–centric, with the documents being the focus of the EDM System rather the current manual business process. These document–centric activities include: (a) Engineering – by reducing, and at times eliminating, the generation, handling and consumption of paper documents during the design, review and construction, the cycle and process times for these processes will be reduced. These documents include: drawings, specifications, design calculations, etc. By deploying the EDM System, an Engineering Department will be able to eliminate the microfilming, copying, posting of changes and the distribution costs currently associated with the drawing release cycle. (b) Research & Development – by consolidating the authoring, review and publication of Specifications, Standards and Work Instructions, and related documents, R&D can eliminate all duplicate and overlapping operations in deploying these documents to the Level III users. (c) Maintenance – by providing electronic access to all equipment documentation, Maintenance can reduce the time currently expended in the search for maintenance information and work instructions. (d) Document Control – by consolidating the management of corporate and engineering records with the control of the source documents referenced by these records, the EDM System will combine two functions into one. Currently the management of the controlled information is provided separately from the physical storage and use of the controlled documents. These functions will be combined in the EDM System, with the indexing and management controlled by a database
  25. 25. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 25 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 application and the physical capture, use and distribution provided by the facilities of the EDM System. There are several departments, which usually provide independent Document Control functions. The EDM System will provide the control of the documents generated by each of these functional areas. These include: (1) Engineering – documents representing the design and as–built status of the manufacturing facilities. (2) Technical Documents – standards, specifications, and work instructions. (3) Environmental – portions of the EPA, OSHA, and other regulatory documentation as currently managed by the Document Control group. (4) Safety – regulatory documents related to industrial safety and hygiene. (e) Office Technology – by capturing electronic images of non–controlled business records (e.g. purchase orders, invoices, etc.), microfilming activities can be significantly reduced with an equivalent reduction in this recurring expense. The capture, indexing, storage, and distribution of business documents is a traditional application for an EDM System. The current microfilming and indexing (to the mainframe) will be replaced by an electronic scanning and indexing operation. Once scanned, the documents will be delivered to the end user through a workstation application, completely eliminating the need for microfilm production, storage and distribution. 2.4. COMMON ATTRIBUTES OF AN EDM SYSTEM The use of EDM within a facility implies several changes in the behavior of the current computing infrastructure and supporting systems. By articulating the attributes of an EDM System, the impacts of its deployment can be better understood. 2.4.1. Management of Controlled Documents The motivation for the deployment of an EDM System is based in part on the management of controlled documents. These are documents that posses one or more of the following attributes during their life cycle: (a) Some form of authorization is required for publication, distribution and/or use. (b) Regulatory requirements define the creation, management, distribution and/or retention. (c) The document provides maintenance, operation, safety and/or environmental information that impacts the productivity or safety of the process. (d) The document contains information, which is considered the intellectual property of the business. (e) The document is distributed outside the facility in a manner consistent with (a), (b), (c) and/or (d). 2.4.2. Management of Uncontrolled Documents Uncontrolled documents do not usually posses one or more of the attributes described in §1.4.1. Therefore, they do not usually warrant the effort and expense of placing them inside the EDM System. It may be though, that some uncontrolled documents become associated with controlled documents. This association between uncontrolled and controlled documents will be defined in the EDM System data model. Uncontrolled documents are not excluded from the EDM System. Several examples of uncontrolled documents include:
  26. 26. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 26 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (a) Work in Progress – documents that are undergoing changes and in the initial stages of creation. (b) Calculations made during the design process – electronic and paper based calculations will be placed in the EDM System Project Folders. (c) Notes and meeting minutes taken during the design process – paper and electronic information will be captured in a folder. (d) Commentary on the documents and drawings produced as controlled documentation – any other supporting information will be placed in a folder associated with the project, the author or other indexing methods. 2.5. TECHNICAL ATTRIBUTES OF THE EDM SYSTEM The following sections describe the attributes of an EDM System in terms of their architecture and behavior. The following diagram describes the various processes and their relationships in the EDM System: Document Capture Document Indexing Security Document Retreival Document Printing Mgmnt of Change Document Viewing Document Markup Original Documents Comit Docs Validate User Validate User Retreival Index Print Request Update Document Check–In Query Figure 2.1 – Functions of the EDM System
  27. 27. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 27 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 2.5.1. Functions of an EDM System The EDM System provides an integrated set of services to meet the needs of the end user as well as the system administrator. The EDM System is based on a client server architecture which provides a scaleable set of hardware and software resources capable of adapting to the future needs of the business. The functions of the EDM System are described in Figure 2.3 include: (a) Document Capture – documents stored in the EDM System may originate from several sources: CAD drawings, word processor generated documents and hand generated paper documents. All these formats are captured through a uniform Document Entry application. This software application provides a consistent point of entry for both electronic and paper documents. (1) Paper documents are scanned into an electronic image, which can be stored in the EDM System. Verification of the scanned images and their preliminary indexing will be performed through a workstation application. The Management of Change application will control the indexing of new documents and updates to existing documents. (2) Electronic documents will be captured in their original format. This format will be used to publish the document. The Data Model and Management of Change application will maintain the connection between the original formatted document and the published format. (b) Document Indexing – once each document has been captured it will be indexed to the appropriate portion of the Data Model. This document indexing process will be different for each department. The CASE tools used to generate the data model will maintain the definition of the data model entities and their attributes. Any changes to the data model will be made through this CASE tool, with the appropriate updates to the database tables and attributes. (c) Document Security – the security of documents controlled by the EDM System will be defined in accordance with the business’s security guidelines. There are three (3) levels of security usually defined in a commercial operation: (1) Official Business Use Only (2) Confidential (3) Highly Confidential (i) Uncontrolled copy (ii) Do Not Copy The deployment of the EDM System will make the assumption that information delivered to the end user is available to all personnel in order to perform their function. Documents that require security will be placed in a logically separate portion of the EDM System and made available only to those authorized to view, print and modify the documents. (d) Document Retrieval, Viewing and Markup – once documents have been placed in the EDM System, they may be retrieved for viewing and subsequent printing. The user may retrieve the document through a Document Query application. The technical details of the Query application will be determined during the detailed design process. There are several options for the application: (1) A visual data model walker in which the user moves graphically through the document database. (2) A traditional tree structured approach in which the user moves through a hierarchy of documents and folders.
  28. 28. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 28 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (3) A direct query approach in which the user posses a query for a document or set of documents and is presented with the match list of documents that correspond to the requested query. In all cases the retrieval of documents is performed through the appropriate data model. The use of arbitrary keywords and phrases attached to the documents should be avoided. [21] Once the document has been retrieved to the users workstation, markups can be applied to the document and returned to the originator. These markups can be as simple as a sticky note or as complex as raster drafting suggestions to the drawings. In all cases the markups do not alter the original documents and are controlled through the Management of Change application residing in the EDM System. (e) Document Printing – documents placed in the EDM System can be printed using any of the printing devices attached to the network. In addition production printing can take place using high volume printing devices. Documents can be selected for printing in several ways: (1) Once a document has been delivered to the user workstation, all or portions of the document can be sent to a printer. (2) A list of documents can be selected for printing, without retrieving them to the workstation, but can be printed by the EDM System’s print server. The printed documents can be marked with a variety of overlays to indicate additional information, including: (3) Date and time of printing. (4) Gray scale bands placed over the document page to indicate usage and security information. (f) Management of Change – There are both regulatory as well as good business practice requirements for managing the change to the documents captured by the EDM System. The Management of Change application will: 21 The use of Full Text Search (FTS) or Content Based Retrieval (CBR) as the primary indexing method presents several problems. The management of a document index requires that the user have confidence that the proper document or documents have been delivered to the workstation. The CBR method makes use of a statistical matching approach, either by calculating the probability that a set of words match the retrieval key or some other probabilistic method of matching patterns. However, the documents stored in the EDM system and delivered to the production floor have specific and deterministic indexing information associated with them. When an operator requires a document, there is not a probabilistic request for documents that might match the request. The operator will be delivered the proper document with 100% assurance that it is the correct document, the proper revision and the appropriate document for the situation. This retrieval method is provided through a data model that defines the business rules for the delivery of documents. This situation requires deterministic searching and selection of documents. Therefore the FTS or CBT method will not be provided for R&D documents delivered to the production floor. There are cases where the actual content of a document can be of interest to the user. This case is where some type of research is taking place and the user does not know what documents need to be located before the search takes place. This type of document management is usually found in library applications. There are many complexities involved in deploying a FTS system that are beyond the requirements of the normal business activity and management of Technical Documents. For an in depth background on this issue see, “Rich Interaction in the Digital Library”, R. Rao, et. al., Communications of the ACM, Volume 38., Number 4., April, 1995. Pp. 29–39.
  29. 29. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 29 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (1) Maintain the revision state of all documents in the EDM System. This will be done by: (i) Controlling all changes to the EDM System database tables that describe the current and past revision of the document. (ii) Providing an audit trail for all changes to the EDM System revision tables. (iii) Providing a common User Interface for making changes to an existing document, which is maintained in the EDM System. (3) Allow the End User to tailor the author, review and publish cycle for a document. This tailoring process allows each business unit to describe information about the Change Request and the steps necessary to process the Change Request. (4) The Management of Change application will provide a consistent method for processing changes to the controlled documents, this includes: (i) Create a Change Request (ii) Review the Change Request (iii) Approve a Change Request (iv) Implement the Change Request (v) Close the Change Request (3) Documents generated from the EDM System will be marked in accordance with the business’s guidelines for the management of Confidential and Highly Confidential documentation, according to the description in §2.2.1. The following diagram describes the various steps performed on the documentation while it undergoes changes. Close Out C.R. Create Change Request Close Change Request Review Change Request Implement Change Request Approve Change Request 2.01.11.0 Markup Electronic Document Management System Update Master Markup Cache 1.0MU + 1.1 1.0 Review Reject Accept C.R. C.R.C.R. C.R.C.R. ReviewedSubmitted Approved C.R. Rejected C. R. Approved Work in Progress Work CompleteC.R. Opened C.R. State C.R. Event C.R. Process Figure 2.2 – Management of Change Process
  30. 30. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 30 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 2.5.2. New Technology Attributes The EDM System will introduce several new technologies to the computing environment, including: (a) Compressed images moving across the network – these images will range in size from 50K Bytes to many megabytes. The demand on the network will be for both response time and through–put. (b) Heterogeneous data types delivered to a single workstation – several mixed data types will be combined on a single workstation. The collection and management of these data types will be performed using the application software specific to EDM. (c) High performance workstations deployed throughout the facility – the loads placed on the network and the workstation for the transmission and manipulation of images and associated information will require the use of high performance platforms. (d) Distributed databases and data deployed for specific user groups – using a layered architecture, the deployment of a distributed environment will place new requirements on all aspects of I/S management. 2.5.2.1. Network Attributes The most crucial infrastructure element of the EDM System is the network. The only purpose for the network is to provide connectivity for the existing and planned I/S applications. This approach places the network in a secondary position when compared to the application architecture, since the network becomes a delivery mechanism, whose requirements are driven by the EDM System. The primary attributes of the network include: (a) A Top Down approach for deploying applications within each business unit – the assignment of applications to business units should not depend on the underlying network architecture, rather the network and its topology should adapt to the business needs of the organization. (b) Managing the network as a finite resource – rather than as an unlimited resource. Simply providing more bandwidth will not always remove performance limitations from the system. By providing data locality management within the infrastructure, the EDM System’s performance can be tuned to the needs of each business unit. 2.5.2.2. Data Types In the existing I/S applications environment (not the current Engineering network) the information sent to and received from workstations most often consists of record data, stored in a SQL database. The EDM System creates several new data types: (a) Compressed Raster – this data type contains an image of a document. The document may have been scanned or converted from another form. Word processing, CAD and graphics documents can be converted to raster form. There are several restrictions on these document types, including the rendering of color. (b) Rendering Format Files – this data type renders the document for the user in a form nearly identical to the original form. Color, graphics, images and video can be placed in this format. (c) CAD – this data type will not be rendered directly to the user of the EDM System. The creation of CAD data will be restricted to the workstations used in Engineering and related disciplines.
  31. 31. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 31 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (d) Native Word Processor – this data type will not be rendered directly to the user of the EDM System. The creation of word processing data will be restricted to the workstations equipped for authoring documents. These new data types will impose a significant load on the existing infrastructure, when compared to today’s record information. Because of this impact, the network becomes the key component of the EDM System. Using the data types described above, the network will support the following activities: (a) Large files are moved between the cache server or optical disk subsystem and the workstation. These files can be as large as several megabytes. The performance load placed on all components of the system is many times that found in the existing systems deployed in support of business data processing. These loads are several orders of magnitude greater than those found in traditional forms based database applications. (b) The information associated with documents may be complex. Red–lining overlays, attached reference files, attached images, etc. These images will be delivered to the workstation at the same time as the requested document. The collection and management of these reference files will require the use of several databases, simultaneously. (3) The database that defines the business model for the documents. (4) The database that defines the connections between the base level documents and the reference files. (5) The database that defines the business rules that manages the changes to the documents and the reference files. These databases could be combined into one database server, however in many cases the existence of the database and its internal operation are not the under the control of the EDM System, but rather are provided by the vendor of the CAD or external document management system. (a) The routing of documents between workstations during the review and approval process places an additional load on the network. The associated information described above will travel with the routed document and then be returned to the EDM System for final check–in and release. 2.6. WHAT IS A DOCUMENT People who have become involved with electronic document management, often ponder the fundamental question, “What is a document?” In the hardcopy world, the notion of document is somewhat easier to define than in the electronic world. Here are some easy to understand examples of hardcopy documents: (a) A book, with chapters, page numbers, illustrations, indices and tables of contents (b) A drawing, with objects, equipment numbers, title blocks, external references. (c) A type written operating procedure, with sections, cross references. (d) A map, with legends, symbology Here are some examples that blur the lines of these clear examples: (a) A conference proceeding published as a book. Each paper is a contribution from a different author. Is the book the document, or is each paper the document? (b) A drawing made up of several sheets. Which is the document, the drawing or the sheet?
  32. 32. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 32 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 (c) All the relevant operating procedures for a process unit, put into a binder. Is the binder the document, or each procedure? (d) A group of maps bound together as an atlas. Is each map a document, or is the atlas? 2.6.1. What is a Document in the Electronic World? Case 1: Drawings Figure 1–1 is a data model showing what comprises a drawing. Physically, a drawing is often comprised of a number of sheets. Each sheet is individually updated, and maintains its own revision level. Each revision undergoes a number of versions. A revision becomes official when it is released. Versions are created frequently as the information for subsequent revisions is created. One or more files represent each version. These files may include: (a) Zero, one or more native files (b) Zero, one or more distribution copies, in various renditions (c) Zero, one or more markup files. The word “drawing” indicates a concept. The layman’s term “drawing” has to be defined, shown in Figure 1–1, to provide an operational definition to allow an EDM system to be implemented. Figure 2–1 – What is a Drawing? DRAWING SHEET REVISION VERSION MARKUP NATIVE_FILE RENDITION ACCESS_RIGHT STATE
  33. 33. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 33 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 2.6.2. What is a Document in the Electronic World? Case 2: Procedures Figure 2–1is a data model that describes a procedure. Physically, such a document is often comprised of a number of sections (although this creates a nice analogy to drawings, the definition of section is somewhat arbitrary). Each section may be individually updated, and maintains its own revision level. Each revision undergoes a number of versions. A revision becomes official when it is released. As in the case of drawings, one or more files represent each version. These files may include: (a) Zero, one or more native files (b) Zero, one or more distribution copies, in various renditions (c) Zero, one or more markup files. Again, the word “procedure” indicates a concept. The layman’s term “procedure” has to be defined, shown in Figure 2–2, to provide an operational definition to allow an EDM system to be implemented. Figure 2–2 – What is a Procedure? PROCEDURE SECTION REVISION VERSION MARKUP NATIVE_FILE RENDITION ACCESS_RIGHT STATE
  34. 34. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 34 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 2.7. DOCUMENT LIFE CYCLES Documents usually follow a cycle in which they are created, accessed, updated, and deleted. The process by which documents are created and used may be simple or complex. Documents usually go through a process where they are created or modified before they are released. When documents are being changed, functions appropriate for this step can be performed. These functions include: editing, viewing, printing, creation of markups or annotations, and document promotion. When the documents are released a smaller set of functions are usually permitted which include: viewing, printing and creation of markups or annotations. Although there are as many “pictures” of a document life cycle as there are business procedures that make use of documents. The examples developed below illustrate and engineering bias to the document management environment. In this case a document can be a drawing or a textual document. In either case the document is considered a controlled entity managed by the EDM System.
  35. 35. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 35 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 A typical state diagram describing the life cycle for controlled drawings is shown in Figure 2–3: Work In Progress Released Document Renumber Obsolete Check–In Replaced Check–In Markup(s) Return Item to Vault Check–Out Reserved Registered Pending Approval Approved for Check–In Check–In Approved Reject Release Ready for Release Create Drawing Cancel Drawing Reject Release Ready for Approval Reject Hold Drawing Ready for Release Reject Drawing Request New Drawing Reject Start Drawing Process Renumbered Obsolete Superseded Electronic Vault Change Management Figure 2–3 – State Diagram for Controlled Drawings
  36. 36. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 36 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 The following section describes the individual states of the process of managing documents [22] as shown in the previous figure: (a) Start Drawing Process – this is the initial entry point into the system. When the user wants to create a new drawing, the existence of the drawing is Reserved by the system. The EDM System issues a place holder for the drawing, with the attributes of the drawing type assigned to the default values. The creation of the drawing usually takes place within the CAD system using the drawing number assigned by the Drawing Registry. This drawing number is often placed in the CAD file’s title block using the programmatic tools of the CAD environment (b) Reserved – this is the state that reserved a drawing identifier for future use. When drawings are being created, not all drawing numbers are known nor is it possible to know the total number of drawings that will be produced. The EDM System usually provides the ability to Reserve a drawing number or a range of numbers for use. If the drawing numbers are not used they will be returned to the system for reuse. (c) Registered – Once a new document is ready for release the document identifier can be Registered with the EDM system. The document is registered through the Document Entry and Change Management applications. At these points the new document is presented to the EDM System and the indexing information provided. (d) Pending Approval – A Change Management application is typically used to update the Business Model Index. Prior to the entry of the document into the EDM System and its official release, the document will have the status of Pending Approval. This will allow documents to be placed in the EDM System and made accessible to others, without requiring that they be officially released. When the document is retrieved, viewed and printed, some form of marking is applied to indicate that it is not the official release, but rather Pending Release. (e) Approved for Check–In – This state is short lived and is assigned to the document after it has been approved but before it is actually checked–in to the EDM System. (f) Hold Drawing – when the document approval and check–in process has been suspended for some reason (project is put on hold), the document can be placed in the Hold state. (g) Renumbered – when a drawing has been given a new number. The state of the previous number changes to Renumbered. (h) Superseded – when new revisions of a drawing are released the state of the previous revision changes to Superseded. (i) Replaced – when a drawing is replaced with another drawing with a different drawing number (i.e. not a new revision), the state of the previous drawing is changed to Replaced. 22 As usual the distinction between a drawing and a document is not clearly stated here. Documents include drawings and other 8½ by 11 sized documents. For the purposes of this specification the words drawing and document are interchangeable, except where the difference is important.
  37. 37. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 37 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 The rules by which documents move from one state in their life cycle to the next state may be ad–hoc or may follow rigidly controlled steps. Each kind of document (document type) will usually have its own life cycle. These rules will either be programmed into the EDM system or they can be forced manually by users. 2.8. DOCUMENT RELATIONSHIPS How documents relate to each other is extremely important to an organization and to an EDM system. Regulations such as OSHA 1910 PSM, ISO 9000 and other guidelines, or simply good engineering or manufacturing practices, require that all related documents be updated when a change is made to the process. Therefore, it is necessary to maintain a list of related documents for each process and in some cases down to the equipment level. Document relationships are in general complex due to many factors. These include: (a) Relationships change in time. 23 (b) Relationships are somewhat arbitrary (i.e. how do define what a relationship is) Most EDM vendors implement document relationships using a relational database which assumes that the relationships described are valid for all time 24 . How are relationships modeled if they are dynamically changing as in the case of documents within an engineering, maintenance or operations organization? Can this be done using current technologies? 23 Document Relationships – while it is often desirable to have the EDM system manage the relationships between documents, it is often not done or is limited because of the cost involved in maintaining the links during the initial EDM System installation. 24 Integrity Rule 2 (Referential Integrity) – see pp. 89–90 of An Introduction to Database Systems Third Edition, Volume 1, C. J. Date, Addison–Wesley Systems Programming Series, 1981. Document 1 Rev 0 Document 1 Rev 1 Document 1 Rev 2 Document 2 Rev 0 Document 2 Rev 1 Document 3 Rev 0 Document 3 Rev 1 Figure 2–4 – Example Document Relationships
  38. 38. Electronic Document Management Copyright ©, 1997, All Rights Reserved, Gateway Consulting Group Page 38 3101 Iris Avenue, Suite 270, Boulder, Colorado 80301 To further explore document relationships Figure 2–4 represents three documents: Document 1, Document 2 and Document 3 which are related to each other during changes in revisions. This example could describe the relationships between Standard Operating Procedure, Training Procedures, and Maintenance Procedures. 2.8.1. Definition of Document Object Relationships From Figure 2–4 it is possible to complete a table describing the various relationships which are shown in Figure 1–5. This table may be summarized as follows: (a) Document 1 Rev 0 and Document 1 Rev 1 are associated with Document 3 Rev 0 and Document 2 Rev 0 (b) Document 1 Rev 3 is associated with Document 3 Rev 1 and Document 2 Rev 1 These relationships may be used to indicate whether or not a change in one document causes changes in other documents to occur. Since EDM systems do not know how to interpret the contents of a document it cannot know if when a change is made to one document that it is absolutely necessary to change the related documents. It may only suggest based on the relationships table that the related documents should be looked at. The previous example demonstrates the case where specific revisions of a document are related to specific revisions of other documents. It is possible to imagine that other kinds of relationships exist. In practice there are four kinds as shown in the next figure. A list of each of these categories follows: (a) Latest Revision of Object A is related to the Latest Revision of Object B (b) Specific Revision(s) of Object A is related to Specific Revision(s) of Object B – this kind of relationship is most typical and is the minimum level required to support a plant environment. (c) Latest Revision of Object A is related to Specific Revision(s) of Object B – this relationship may be implemented by using Relationship (b) and adding custom code to provide the latest revisions. Document 1 Document 1 Document 1 Document 1 Document 1 Document 1 Rev 0 Rev 1 Rev 0 Rev 1 Rev 2 Rev 2 Document 2 Document 2 Document 3 Document 3 Document 2 Document 3 Rev 0 Rev 0 Rev 0 Rev 0 Rev 1 Rev 1 Object A Rev A Object B Rev B Figure 2–5 – Table of Document Relationships

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