EDM in the process industry

g3/7/2020 : Slide – 1
Copyright, ©, 1997, The Gateway Group, All Rights Reserved
Electronic Document
Management
in the
Process Industry

g3/7/2020 : Slide – 2
Copyright Notice
This document contains materials that are proprietary to Gateway Group, Inc.
This work is protected as an unpublished work under the copyright laws of all
countries that are signatories to the Berne Convention and the Universal
Copyright Convention.
Copyright, © 1996 by Gateway Group, Inc., All rights reserved.
3101 Iris Avenue, Suite 270, Boulder, Colorado 80301
(800) 668 2334

g3/7/2020 : Slide – 3
Overview
Motivation for EDMS
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 its job descriptions, it
will suffer from poor customer service, poor use of
its information resources, longer times to market
and higher operating costs. [20]

g3/7/2020 : Slide – 4
Overview
Assumptions About the Process Industry
 Driven by the need to maintain the design basis, as
built and as operated representations of the plant
as part of the operational process.
 Regulatory requirements as well as engineering
practices drive the need to manage documents,
with shrinking resource levels and budgets.
 Rapid changes to documentation driven by plant
operational and maintenance requirements.
 Electronic distribution and production of
documentation forces the issue of managing large
volumes of documents.

g3/7/2020 : Slide – 5
Overview
The Critical Success Factors Approach
 Identify the most critical ingredients which will make
the enterprise successful.
 Define the application system which will support
the critical business functions
 Analyze, evaluate and justify the proposed
application system in light of these critical success
factors.
An EDM System can contribute to the management
of critical information in the plant. The question is...
what types of documents should be managed and
what processes should be altered to support this
new paradigm?

g3/7/2020 : Slide – 6
Overview
Critical Success Factors for the Business
 Reduction of the cycle time for work activities
involving production, handling, distribution and use
of paper based documents.
 Simplification of paper based work processes.
 Reduction or elimination of the cost associated with
paper based processes.
 Improved document security and records
management.
 Improved quality in the production and distribution
of documents.
 Decreased cost for modifying documents.

g3/7/2020 : Slide – 7
Overview
Critical Success Factors for the Process
 Compliance with OSHA, ISO and EPA document
management requirements.
 Good Engineering Practices.
 Delivery of documents in direct support of...
 Maintenance activities – attached to the work order.
 Design Review – electronic generation of review
packages.
 Management of Change – in addition to regulatory
requirements.
 Subcontractor Management.

g3/7/2020 : Slide – 8
Business Processing
Identification of the
various types of
activities which take
place in the process industry

g3/7/2020 : Slide – 9
Business Processes
The Value of Documents
 The process industry lives through its
documentation:
 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
organization.
 Documents form the core of the engineering and
maintenance process.
 Documents form the basis of the knowledge needed
to operate and maintain the plant.
 Document create the means by which the plant
conducts its business.

g3/7/2020 : Slide – 10
Business Processes
Productivity Loss when using documents...
 The information found in documents is generated
through the efforts of individuals, without an overall
strategy for its creation and management.
 Documents are created using a variety of tools.
This prevents many of the documents from being
shared outside the organization that created them.
 Documents are indexed and filed by the
organization (and sometimes the individual) that
created them.

g3/7/2020 : Slide – 11
Business Processes
Types of Information
 Records Based Information – kept in databases,
either electronic or manual.
 Automation Based Information – is usually created
with computer based tools and shared between
various departments.
 Knowledge Based Information – is usually created
through the same process as (a) and (b), but it has
significantly different attributes. It...
 is the key to the organization’s ability to compete.
 posses exceptional value to the organization
 exists for the life of the process or facility
 is reused many times during the life of the process
or facility and forms the basis for new knowledge.

g3/7/2020 : Slide – 12
Business Processes
Type of Business Transactions
 Transaction Oriented – “run to completion” and post
the results.
 Meeting Oriented and Collaborative Workgroups –
develop new action items and distribute work.
 Labor Intensive Tasks – apply discipline knowledge
to a “value added” item.
All modern business activity is based on the
assumption that “adding value” to the entity is
required if the process step is to be maintained. In
other words…”What have you done for me lately?”

g3/7/2020 : Slide – 13
EDMS Background
Review of some Concepts
and Issues within the
context of the
Process Industry

g3/7/2020 : Slide – 14
EDMS Background
Quick Tour of EDMS
 Storage and retrieval of electronic representations
of documents is the primary function of the EDM
System.
 Management of the change to the documents and
their relationships with other documents is the next
most important component.
 Routing of work in progress through some work
flow scheme...
 Usually motivated by Management of Change.
 Sometimes driven by the need to notify others in a
specific order.

g3/7/2020 : Slide – 15
EDMS Background
Common definitions and their clarification
 EDMS versus other product descriptions
 Differences from PDM & PIM
 Relationships with CAD
 Management of Change in the Process context
 Authoring versus Plant Usage paradigms
 OSHA’s Definition
 ISO’s Definition
 The Definition Used Here

g3/7/2020 : Slide – 16
EDMS Background
Some Common EDM Products
 Document Imaging Systems
 Electronic Document Management Systems
(EDMS)
 Product Data Management (PDM)
 Product Information Management (PIM)
 Imaging Systems
 Configuration Management Systems (CMS)
 Relational and Object Oriented Database Systems
(RDBMS and OODBMS)

g3/7/2020 : Slide – 17
EDMS Background
Unique Aspects of the Process Industry
 Regulations Drive Document Management.
 Shop Floor User Environment – Big Button
applications used to retrieve documents.
 Equipment number indexing paradigm – primary
index usually known to user.
 Management of Change different from text
authoring environments.
 Many–to–many data models – all entities are
interconnected, if not there is a leak.
 Special Document Viewing Requirements –
information preserving scaling.

g3/7/2020 : Slide – 18
EDMS Background
Regulations drive the need for EDMS...
 OSHA §1910.119
 ISO 9000 (Pseudo Regulation)
 36 CFR 1234.2
 EPA
 FDA medical devices
 Good Engineering Practices
 E&C firm and Subcontractor Management
guidelines

g3/7/2020 : Slide – 19
EDMS Background
What’s Being Managed Here?
 Documents and Their Relationships
 Engineering Design Documents
 Maintenance Documents
 Regulatory Compliance Documents
 Design Basis Information
 As Built Documents
 Design Calculations
 Record Information
 Equipment Numbers
 Change Orders
 Maintenance Records

g3/7/2020 : Slide – 20
EDMS Background
Managing the Process
 Capturing Documents and their relationships
 Retrieving, Viewing and Printing the Documents
 Managing the Change to the Documents
 Interacting with outside users of the Documents
 Making Money with the Documents
 This is the Bottom Line activity of any Document
Management System

g3/7/2020 : Slide – 21
EDMS Background
Capturing Documents – Primary Issues
 How to capture all the as built documentation in a
manner consistent with the indexing data model.
 How to perform this capture process once and with
the minimum of time and expense.
 How to relate documents and their component
information.
 If the information does not already exist.
 If this information is held in an external database.

g3/7/2020 : Slide – 22
EDMS Background
Retrieving, Viewing and Printing Documents
 Use of purpose built query functions
 Use of out of the box query functions
 Standard display formats.
 TIFF
 PDF
 Native
 Printing A through E–Size documents
 This is not as easy as it first appears.
 Scaling and rotation activities consume large
amounts of CPU and memory resources.
 The most effective solutions use hardware.

g3/7/2020 : Slide – 23
EDMS Background
Managing the Change to Documents
 This is the most understated activity in any EDMS.
 Paper based MOC schemes rarely work properly
when transferred to an EDMS.
 The changes to the organization in this area should
not be ignored.
 The changes to the document database include:
 Revision to the content of the document.
 Revision to the document relationships.
 Temporary changes with reversion to previous state.
 Regulatory Requirements
 OSHA 1910.119
 ISO 9000

g3/7/2020 : Slide – 24
EDMS Background
The Management of Change Process
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
Startup
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

g3/7/2020 : Slide – 25
EDMS Background
3 Levels of 1910 Information Management
 §1910.119 (d) mandates which information is to be
managed.
 Level 1 – Documents and Facilities
 Plants must have this information on hand in a
controlled manner.
 Level 2 – Management of Change
 Plants must show that documents can controlled
through a formal process
 Level 3 – Compliance Audits
 Confirmation that the process follows the stated
guidelines.

g3/7/2020 : Slide – 26
EDMS Background
OSHA 1910.119 Matrix
First Level
Regulation Paragraph EDMS Usage
(d) – PSI 
(e) – PHA 
(f) – Operating Procedures 
(g) – Training 7
(h) – Contractors Management 7
(i) – Pre–Startup Safety Review 
(j) – Mechanical Integrity 
(k) – How Work Permit 7
(l) – Management of Change 
(m) – Incident Investigation 7
(n) – Emergency Planning… 7
(o) – Compliance Audits 7
(p) – Trade Secrets 7

g3/7/2020 : Slide – 27
EDMS Background
Making Money with Documents — Finally
 Reducing or avoiding labor and equipment costs.
 Preventing production of paper and related
processing steps.
 Generation and processing of paper costs money.
 Hard savings are always better than soft savings:
 Budget reductions
 Adsorbed labor reductions
 Productivity increases (billable hours) due to
reduced processing time
 Capital expense avoidance

g3/7/2020 : Slide – 28
Now on to some
Technical Issues...
...all designed to
spoil the fun.

g3/7/2020 : Slide – 29
Our system is completely Buzz Word compliant.
— EDMS vendor response to a recent RFP.

g3/7/2020 : Slide – 30
Components of an EDM System
Quick Ride Through the Buzz Word Maze
 EDMS’s and the Process Industry
 Commercial Off The Shelf (COTS) Products
 Current Industry Buzz Words (aka Hype):
 Object Oriented Databases
 The World Wide Web
 CORBA (Common Object Request Broker
Architecture)
 OLE (Object Linking and Embedding)
 Cross Platform Integration (Java)

g3/7/2020 : Slide – 31
The Document Management Process
Review / Promote
Authoring
Process
Retrieve
Read
PrintPublish
Electronic
Vault
Document
Model
Record
Information
Unpublished

g3/7/2020 : Slide – 32
Multiple Layered Datamodel
 Plant Model – describes the relationships between
the various pieces of equipment, their locations and
other attributes of the plant or business entity.
These entities are primarily record based. This is a
logical instance of a document and may represent
the latest release or a specific release, depending
on the business rules.
 Document Model – describes the relationships
between the various versions of a document. Since
it is not always the case that the latest version is
the proper version
 Object Model – describes the physical and logical
storage of a specific instance of a document.

g3/7/2020 : Slide – 33
Document
Entry
Document
Folders
Document
Printing
Electronic
Vault
Electronic
Input
Scanned
Input
BFC
CAD File
Manager
Drawing
Registrary
Document
Viewing
Remote
Document Access
Management of
Change
User Index
Database
Folder
Retreival

g3/7/2020 : Slide – 34
This is Really a Database Problem
 Representation of the relationships between
documents.
 Interactions Between the user and the system take
place through forms and the information gathered
through these forms.
 Even the work flow process is based on moving a
document through a finite set of states, controlled
by business rules.

g3/7/2020 : Slide – 35
Management of Change
is the
Killer Application
in the Process Industry

g3/7/2020 : Slide – 36
Management of Change (MOC)
The Reengineering Perspective
 Changes are made to the organization as well as to
documents and processes.
 Managing the changes to the organization are just
as important.
 Numerous surveys describe the pitfalls of not
addressing both the technical and organizational
aspects of change.
 Without addressing these collateral issues, the
installation of an EDMS will face a high barrier to
success.

g3/7/2020 : Slide – 37
Management of Change
Reserved Registered
Approved
Reject
Reject
Start
Draw ing
Process
Managment of Change
Check–In
Renumber
Obsolete
Check–In
Replaced
Check–In
Markup(s)
Check–Out
RenumberedObsolete Superseded
Electronic Vault
Pending
Approval
Approve
dfor Check–
In
Hold
Draw ing
Cancel
Drawing
Ready f or
Release Ready f or
Release
Reject
DrawingCreate
Drawing
Reject
Release
Reject
Release
Work In
Progress
Released
Document
Return Item
to Vault
A Simple MOC State Diagram

g3/7/2020 : Slide – 38
MOC Concepts
Data associated with the Change activity
 Version numbering systems
 Related Documents
 Effectively rules
 Retention schedules
 Replacement in kind criteria
 Equipment maintenance histories
 PFD, Instrument Diagrams, P&ID relationships

g3/7/2020 : Slide – 39
MOC Concepts
Process activities during the Change
 Requesting a Change
 Approving a Change
 Making the actual change to the equipment or
process parameters.
 Marking up the documents to indicate the changes
that were made
 Updating the original documents
 Announcing the change to others
 Placing the equipment in service

g3/7/2020 : Slide – 40
Gaining
(Possibly Unfair)
Competitive
Advantage

g3/7/2020 : Slide – 41
Gaining Competitive Advantage
What does this mean?
 Unfair Competitive Advantage – producing more
product or services with less...
 COGS
 Absorbed Resources
 Time and effort
 Market Advantage – producing products or services
which...
 Arrive in the market faster
 Exhibits fewer defects, rejects or returns
 Produce Raving Fans

g3/7/2020 : Slide – 42
What does this mean in the Process Industry?
 ISO 9000 like behaviors for all participants.
 Reduction or elimination of needless paper and its
associated processing costs.
 Rapid design, redesign, build cycles supported by
document automation.
 On time, under budget, for engineering,
maintenance and operations functions by...
 Reengineering the work process.
 Eliminating non-productive activities.
 Developing exit strategies for all processes which do
not add to the production of product.
Remove all non-value adding processes...

g3/7/2020 : Slide – 43
The problem is...
 How to make use of an EDM System to...
 Lower costs of doing business
 Increase productivity of existing workforce
 Provide for technology expansion as new
applications are identified
 While...
 Maintaining compliance with regulations
 Continuing to operate the plant
 Maintaining the capital budget
 Controlling expectations of...
 Management
 Staff

g3/7/2020 : Slide – 44
Changes in how documents are managed...
 Reengineering the organization as defined by
Hammer and Champy:
 Why does the organization do things a certain way?
 Get to the root of a process; look for reinvention, as
opposed to making superficial changes or minor
enhancements to what is already in place.
 Reengineering is not about marginal or incremental
improvement but about achieving quantum leaps in
performance
 Traditional design is often centered on tasks, jobs,
people and structures. Reengineering looks at a
business process as a collection of activities that
takes one or more kinds of input and produces some
output of value.

g3/7/2020 : Slide – 45
The options are…
 Improve the existing process…
 by reducing search time
 by eliminating production of needless paper
 by avoiding redundant process steps
 Replace the existing process…
 with electronic distribution, routing and approval
 Augment the existing process…
 by consolidating document inventories for secure
archiving
 by providing links to related documents without
further searching

g3/7/2020 : Slide – 46
Business Processes and the Benefits of EDM
 Transaction Oriented
 Reduce transaction time, transaction effort and cycle
time.
 Meeting Oriented
 Reduce meeting frequency, duration and number of
participants.
 Labor Intensive Tasks
 Reduce effort and frequency of tasks.

g3/7/2020 : Slide – 47
Identification of the As Is Process
 Process Flow
 What are the steps needed to accomplish a task?
 Where are the no value added processes
 Data Flow
 What information flows between processing steps?
 Does the value of this information increase with each
step?
 Cultural Analysis
 Is the organization prepared to accept the changes it
will be asked to make?

g3/7/2020 : Slide – 48
Identifying the To Be Process
 Process Flow
 Data Flow
 Cultural Opportunities.

g3/7/2020 : Slide – 49
Getting Started

g3/7/2020 : Slide – 50
Getting Started
Why a Conceptual Framework?
 Provide the Vision of the system prior to its actual
development.
 Narrow the scope of the project to those activities
which have the highest pay back for the enterprise.
 Establish the success criteria for the project prior to
defining the details of the software and hardware.
 Gain consensus from all parties that the project will
meet their needs prior to proceeding with
development.

g3/7/2020 : Slide – 51
Getting Started
The Typical EDM System…
 Provides a central repository for all engineering,
maintenance and related business documents.
 Forms the foundation for an integrated process
management system which includes: parametric
data, statistical process control and product
information.
 A document model describes the relationships and
attributes of documents.
 Commercial off the shelf software and hardware
used to construct the EDM system.

g3/7/2020 : Slide – 52
Getting Started
Road Map for Reengineering the Process
 Position for Change
 Diagnose the Existing Process
 Redesign the Process
 Make the Transition
 Carefully pick the winning applications and the
teams that will deploy them.
 It all has to come together in the end
 Deploying an EDM System is no different than
designing and building an addition to the plant

g3/7/2020 : Slide – 53
Getting Started
Framework for Comparison
 Qualitative Information
 Changes in the organizational structure
 Changes in work flows and functions performed
 Interface changes
 Changes in technology
 Impact of the EDM on the organization
 Quantitative Information
 Comparison of data flow diagrams
 Comparison of resources required
 Investment analysis

g3/7/2020 : Slide – 54
Getting Started
Some target improvements
 Eliminate manual document entry and recording
processes, through scanning and indexing at time
of document creation.
 Provide instant access to information, at the point of
need.
 Allow bi-directional transfer of documents
traditionally handled through hardcopy to and from
the document repository.
 Provide indexes that model the document’s usage,
not necessarily the document’s Title.

g3/7/2020 : Slide – 55
Getting Started
Key Factors to Success
 Project Sponsors
 IT Support
 Seamless Integration
 Staged Development and Deployment
 Technology Review and Readiness
 Network Infrastructure
 Additional Factors

g3/7/2020 : Slide – 56
Getting Started
Obstacles to Success
 Lack of cross functional project team
 Lack of executive consensus
 Lack of senior management champions
 Limitations of existing systems
 Resistance to change
 Unrealistic expectations

g3/7/2020 : Slide – 57
Getting Started
Cost Justification Approach
 Define current expenses for each department
 Define potential savings by using EDM
 Book the difference as contribution to EDM funding.
 Analysis Process:
 Define Data Entities
 Define Process Flow
 Assign Cycle and Process Times and Costs to each
process step to build the as is cost model.

g3/7/2020 : Slide – 58
Getting Started
Issues with the Traditional Approach...
 Automating the current process produces limited
benefits over the long run.
 Although throwing out the existing system is not the
first choice either — avoid drastic measures.
 Process analysis oriented toward department
functionality rather than process functionality
misses the point...
 the process functionality is independent of the
department organization.
 the process is making product and the supporting
functions, not necessarily the current department
organization.
 EDM augments the business, it is not the business.

g3/7/2020 : Slide – 59
Getting Started
The Gateway Approach…
 Define the processes as they should be.
 Deploy the EDM System in the following order:
 Electronic Vault (EV) — which serves as the basis
for all follow–on activities.
 Re–define processes to take advantage of the EV.
 Avoid specific solutions on the desktop, until the EV
is well defined.
 For the moment, place the authoring process outside
the EDM System, so the EV activities become the
core of the system, rather than the document
creation process.

g3/7/2020 : Slide – 60
Getting Started
Sponsorship – Key to Success
 The Sponsor is the person(s) who:
 has the authority to commit all resources necessary
to implement the system and the changes
associated with it.
 decides what changes will be implemented and
when.
 commits the necessary resources to implement the
change.

g3/7/2020 : Slide – 61
Getting Started
Don’t Underestimate the Management Effort
 A typical project will have 100 to 300 identifiable
tasks. Don’t micromanage these tasks, but don’t
overlook the details. This is no different than any
other project management activity.
 Remember – ya pay’s me now or pay’s me later….

g3/7/2020 : Slide – 62
Getting Started
The Vision of the EDM System
 The vision provides a frame work for the four
primary components of an IT strategy:
 Seamless Applications Integration
 Seamless Information Integration
 Hardware consistency
 Networking consistency
 Objectives of the EDM Strategy
 Increase the productivity of the work force, using
existing and consistent hardware infrastructure.
 Reduce elapsed time to develop design changes,
perform technical activities and perform other
business functions.

g3/7/2020 : Slide – 63
Getting Started
The Typical Situation Found Today...
 Why Isn’t Engineering achieving it’s document
management goals?
 The time engineers spend searching for, gathering
and verifying information, and
 The time they lose documenting, assembling and
getting approval for designs and changes, technical
reviews and other work ....
... prevents Engineering from effectively utilizing the
computing resources they have in place. This goes
for maintenance as well … anyone who handles
paper.

g3/7/2020 : Slide – 64
Getting Started
Developing the IT EDM Strategy
 Define the underlying infrastructure for the
Electronic Document Management System.
 This strategy should:
 Be based on Commercial Off The Shelf software and
hardware.
 Provide an industry standard relational database
connectivity, using a common workstation protocol.
 Make use of an industry standard networking
architecture and protocol stacks.
 Make use of industry standards, workstation tools
and applications.

g3/7/2020 : Slide – 65
Getting Started
Attributes of the EDM Strategy
 A single workstation environment.
 On–line access of all documents needed to perform
work without knowledge of the physical location.
 A standardized User Interface for document
retrieval, viewing and printing.
 Integration of personal productivity tools.
 Forms the foundation for the automation of Work
Flow processes.
 Include records management and retention
schedules.

g3/7/2020 : Slide – 66
Summary
(Finally)

g3/7/2020 : Slide – 67
The hard part always seemed to come after the
decisions were made…
— thought Jack Ryan to himself...

g3/7/2020 : Slide – 68
Summary
 Have a strategy
 Have a tactical plan
 Buy COTS when ever possible
 Plan for obsolescence
 Continually narrow the scope
 Continually measure the paybacks
 Stay Calm at all times!

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