This case study describes the decade long experience of implementing document control on major capital projects at Inco and Vale in the mining industry. Topics include information management business issues facing the company, the RIM Program implementation, our document control practice, document management system utilization, Adobe Acrobat usage, DM Workflow, The change of mindset, and the journey complete with lessons learned.
2009 ARMA Toronto Symposium - Document Control on Capital Projects - Paper to Electronic Records Paradigm Shift
1. Document Control on Capital Projects
“Paper to Electronic Records Paradigm Shift”
Case Study: How we brought it all together
Presented by:
Keith Atteck
Supervisor, Information Management
Vale Inco Limited
Business Development
April 2009
ARMA Toronto Symposium 2009
DM#319048
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2. Disclaimer
The views expressed in this presentation do not
necessarily represent the views of Vale Inco Limited
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3. Outline
The Company
Business Issues
RIM Program
Document Control Practice
Document Management
Single Format - Adobe Acrobat
Process Automation - DM Workflow
Change of Mindset
The Journey
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4. The Company
Vale - Companhia Vale do Rio Doce (CVRD) (NYSE: RIO)
www.vale.com
Vale was born in 1942 in Brasil
Vale Inco Limited, a wholly-owned subsidiary of Vale
Vale Inco Limited - International Nickel Company of Canada Limited was
incorporated 1916
www.valeinco.com
Together
Worlds largest producer of Iron Ore and one of the worlds largest producers of Nickel
Vale also produces copper, manganese, ferroalloys, bauxite, alumina, aluminum,
coal, cobalt, PGMs
Vale operates on five continents through its mining operations, mineral research
plants, and commercial offices
~ 100,000 employees, including outsourced workers worldwide
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6. Capital Projects
The Project Delivery System (PDS) is Vale Inco’s
method of executing capital projects in conformance with
Vale’s project execution methodology and in accordance
with generally accepted project management industry
guidelines using an established set of standards, which
supports Vale Inco’s business objectives.
Document Control is a component of the Project Delivery
System, managing the mission critical information assets
that deliver successful projects and provide knowledge to
employees across the organization.
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7. Information Management - Why?
Now, where
did I put
that
document?
Why must
information be
systematically
managed and
protected?
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eRecords on
Servers make
the job more
critical?
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8. Business Issues - Digital Vs. Paper
As much as 93% of information generated today is in
electronic form compared to the only 30% that is
printed.
Paper
7%
Printed
30%
Digital
93%
Remain
Digital
70%
Source: (Technology in Government, March/April 2006, Vol. 13, No.2)
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9. Business Issues – E-mail
Cannot keep everything – we
need to have criteria for what
to keep
Communication practices
must be planned and
controlled
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Project e-mails are records,
retained for content of
message
Electronic Document and
Records Management
System (EDRMS) is the
only way to connect e-mail
content to business activity
through classification
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10. Future, Current
Present & Past
Business Issues – Technology
Paper Record, Blue Print Drawing
1.
Print, Index, Folder, Cabinet, Box, Binder, Stick File, etc.
Electronic File – Name.doc, xls, ppt, pdf, dgn, dwg, etc.
2.
Hard Drive – PC or Laptop, C: Folders
3.
Network Shared Drive, S: I: Folders
4.
Outlook – E-mail, Personal Folders
5.
Intranet, FTP, Extranet – Web Sites
6.
Floppy, CD, DVD, PDA, Flash Drives, etc.
7.
Tracking Databases – PRISM, Ellipse, Oracle, etc.
EDMS & Collaboration
eRecords Management
Imaging – Eliminating paper
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11. Case Example - Topic
Paper to electronic records paradigm shift
Paper the record – electronic the convenience
Paradigm Shift
Electronic the record – Paper the convenience
Document Control for global capital projects
Electronic records - the only way to go!
This change of mind set is the key to success
Change of culture
Change of business practice
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12. Business Issues: Evidence
Canada - CAN/CGSB 72.34-2005 - Electronic Records as Documentary
Evidence
5.2.1 Those who wish to present an electronic record as evidence in legal
proceedings shall be able to prove
a) authenticity of the record;
b) integrity of the Records Management System that a record was
recorded or stored in; and
c) that it is "a record made in the usual and ordinary course of
business" or that it is otherwise exempt from the legal rule barring
hearsay evidence.
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13. Business Issues: Best Practices
International
ISO 15489:2001 – Information and Documentation – Records
Management – Guidelines
United States
ANSI/AIIM TR31-2004 – Legal Acceptance of Records Produced
by Information Technology Systems
Canada
CAN/CGSB 72.34-2005 - Electronic Records as Documentary
Evidence
United
Kingdom
BIP 0008-2004 – Code of Practice for Legal Admissibility and
evidentiary weight of information stored electronically
Europe
MoReq2 Specification – Model Requirements for the
Management of Electronic Records
Australia
PROS 99/007: Version 2: 2005 Management of Electronic
Records - Victorian Electronic Records Strategy (VERS)
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15. RIM Program
Is the document a:
Record???
Shows evidence of activity
Shows evidence of decision
Shows evidence of a
transaction
File it!!!!!
Transitory Record???
Short-term value
No value after reading
Duplicate document
• Read it
• Do required action
• Securely Dispose
If in doubt – file it!!!
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16. RIM Program
Lifecycle Management
Governance Framework
Manage information as an
Asset
Records Classification and
Retention foundation of
collaboration & knowledge
Ensures relevancy of
information retained
Ensures sustainability of
Electronic Document & Records
Management System (EDRMS)
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17. RIM Program
Business Rules
Process to ensure the
authenticity and integrity
of records
Ensure integrity and
reliability of the record
keeping system
Sets the basis for defining
day-to-day procedures
Business rules support
training
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20. Document Control - Objectives
Organize documentation consistently
Facilitate the engineering review processes
Reduce duplication and storage requirements
Make project documents easy to locate
Provide secure controlled access
Share project knowledge with the required people
Make project documentation available anywhere
Prevent misplacement or loss of project information
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21. Document Control - Scope
Interface
Interface
Information
Communication
Transaction
Information
Communication
Transaction
Vale Inco Operational
Environment
Project
Environment
Owners
Team
External Contractors
Environment
Document Control
Responsibility
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22. Document Control - Scope at Completion of Project
Turnover
Transmittal
Vale Inco Operational
Environment
Deliverables
Transmittal
Project
Environment
Owners
Team
External Contractors
Environment
Document Control
Responsibility
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23. Document Control - Scope after Project is Completed
Project
Environment
(Archived)
Vale Inco Operational
Environment
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24. Document Control - Procedures
Standard for Format of Deliverables
Provides instruction to the contractors on deliverables
Defines the format of submittals and transmittals
Defines the software applications and usage
Communications Planning
Interface Procedures
Transmittal protocols
Work process integration
Correspondence & e-mail management
One topic per correspondence
Write a Question to get an Answer
Escalate if minds do not meet - meetings
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25. Document Control - Guiding Principles
SINGLE authoritative source of information
All documents will be filed electronically
1
Into one system as a normal course of business
Project team members depend on the system
Manage only ONE COPY – Original Record
File once – use many times - in many ways
All transacted records made from the document
management system
FIRST point of contact principle
The person who is first point of contact with documentation
is responsible for determining and ensuring that
documentation is appropriately filed
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26. Document Control - Auditing
Benefits of Auditing
Understanding degree of compliance to stated practice
Identifying gaps in procedures and training
Helps people understand how to apply the process
Due Diligence Reviews
Conduct regular reviews of all projects
Identifies changes in the project environment and gaps in training
Provide timely helpful hints to key team members
Compliance Reviews
Critical for demonstrating integrity of systems, tools and procedures
Management knows if the systems, tools and procedures are working
Statistical analysis demonstrates deficiencies in recordkeeping
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28. Document Management - Access
Single authoritative source
of information
Access to documents from:
Citrix MetaFrame
Microsoft Outlook
Web Browsers
Windows Explorer
Authoring Applications
Internet Collaboration
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29. Document Management - Filing & Searching
Document
Sets
• Folders
• Related
Saves
Search
• User Defined
• Shared
Document
• Created
• Captured
Document Filing
Document Search
Profile
Search
Profile
• Defaults
• Fill out
Access Control
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Full Text Index
For Content Searching
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Document
• Found
• Opened
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30. Document Management - Facets of information - Views
Transmittal package
Document Type
Project #
Doc. Ref. Code
Work package
Author
Task description
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31. Document Management - Who files the document?
Managers
spend more
time Using
information
Executive
Director
Manager
Engineer
Supervisor
Technical
Employee
Staff
April 2009
Use
File
Subordinates
spend more
time capturing
/ creating and
filing
information
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You file your own
documents
People tend only to create 1
new document every 2
days
Most new documents are
copies of previous work or
renditions of others work
The vast majority of emails
are transitory in nature
Searching for information is
the most time consuming
part of any persons job
Time spent filing & properly
classifying documents is
time well spent
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32. EDMS - Benefits
Easy to use interface
Work from where you like to work
Fast complete access to all documents
Set up views of documents to suit your needs
Easy to set-up, manage and close-out
Project reports can be linked to dash boards
Complete transactional audit trail
Eliminate all unnecessary storage systems
Single authoritative source of documents
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34. Adobe Acrobat - Interface
My comments on this document.
Single Interface for all reviews
Easy Navigation – Thumbnails – Book Marks – Comments - Stamps
Full Text Search
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35. Adobe Acrobat - Benefits
Everyone already knows Adobe Reader
All documents can be published to PDF
Reports are bound as a single document
Full text searchable document
All comments are attributable to the author
Complete audit trail
Office supplies are reduced or eliminated
Easy to search the EDMS for documents
Keeps all documents in the EDMS
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37. April 2009
Project Controls Manager
R R
R OC R
R C R
C R R
R R C
C R R
C R R
Contracts Administrator
T
T
T
T
T
T
T
Safety Coordinator
Construction Coordinator
Project Enginer
R
R
R
R
R
R
R
Site Engineer
Document Control
Contract Preparation
Site Preparation
Geotechnical Work
O
Civil Works
O
Mechanical Equipment Design O
Electrical
O
Process Control
O
Project Manager
Legend:
O - Originator
R - Reviewer
C - Collator
T - Transmittor
EP / CM Consultant
Process Automation - Distribution Matrix
R OC R
R
R
R
R
R
R
R
R
R
R
R
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The Matrix is compiled
with the assistance of:
Project Manager
Project Controls
Document Control
Team members
The Matrix is used to
develop Routing
templates
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38. Process Automation - Workflow Charting
Originator
Recipient
T
T
Parallel
Stage
DC
Reviewer(s)
Eng
Reviewer(s)
Coord
Collator
Serial
Stage
MGR
Transmitter
DC
Same day
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3 days
1 day
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1 day
= 5 days
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39. Process Automation - Workflow - Benefits
Automates the distribution & routing process
No extra copies are made
Distributions are recorded
Distributions are more efficient
Very little document collation required
Deadlines are set and monitored
Processing speed is improved
Know where documents are in a review process
Track the progress of reviews
Complete audit trail
Keeps all documents in the EDMS
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40. Summary
The power of ONE!
1. One filing system
1
EDMS
2. One document format
3. One work process
Simplicity
Eliminate duplication
Eliminate paper
Eliminate waste
It is the integrated system that makes it work
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41. Summary of Benefits
By filing continuously throughout the project:
project information is always available;
teams can assemble, relocate and disassemble
faster;
resources can work on multiple projects;
we can automate standard work processes;
Effort
we can reduce or eliminate office supplies;
reports can be linked to PDS;
turnover packages can be assembled during the
project;
Start
Timeline
Finish
the close out requires little effort; and
the record is always current & complete;
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42. Implementing EDMS is a
Change of Mindset
Lets get some of the basics understood
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43. EDMS is a Change of Mindset
Requestor asks a
Task performer to do something
Task Performer
Documents their task
Requestor
Works for a specific
department that performs a
function for the organization
Task Performer
Should look at who is
requesting the document to
determine how to file it
Document is Classified
According to what it is About
and
the function that it supports
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44. EDMS is a Change of Mindset
Collaborators
Access and use the document
to support their Tasks
Requestor
Accesses the document to
complete the Task
Document
Only filed once
Used many times
In many ways
Task Performer
Uses the document to support
ongoing work or future work
April 2009
Researchers
Search for a document that
may support their current Task
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45. Ecosystem of Information
Imagine
Working in one environment where all records are;
Created or Captured – once,
Collaborated Globally – version controlled, and
Managed – as records.
Being Confident that;
You can find the original record – every time,
You know who worked on it – who used it, and
You know what it was used for – related to activity.
Know that:
You never have to search any other system,
You can leverage the collective wisdom and knowledge of the organization, and
Your efforts will not be lost or misplaced.
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46. Establishing Habits
Safety has become the culture of Vale
Inco
It is the first item addressed in
meetings
It is measured and reported on
Document Control Practice & EDMS
must become the culture of our projects,
a part of day-to-day work
Second after safety at all meetings –
points of discussion
Measured and reported on
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47. Business Issues - Summary
Paper to electronic records paradigm shift
E-mail conundrum
Document as a vital asset
Document as a productivity barrier
Document in an emergency recovery plan
Potential liability of documents
Trusting electronic records
Documents support compliance
Capturing and managing intellectual assets
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49. How we started…….
EDM - 1997 – 2000
Initially sponsored by Engineering
“Stop the bleeding” of electronic files
Limited requirements - simply a storage tool
IT Focused, no strategy, no business rules
Limited server infrastructure
Multiple departmental libraries
Multiple departmental metadata profiles
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50. Where are we now? - 2009
Strategic direction, Leapfrog to electronic records
Leadership – capital projects
RIM Program
Stop the need to keep paper
Robust Systems Architecture
Components – EDMS, Workflow, Collaboration, Imaging
Global approach – Failover, load balancing, access points
IT deployment and helpdesk support
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51. How did we get there?
Leadership with a vision and driven
Continuously securing sponsorship
Expert consultants
Provide direction to IT
Leading by example
Getting out and communicating - marketing
Present the value proposition
Training program – customer specific
Continuous follow-up
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52. Lessons Learned
Senior management sponsorship hard to get and keep
Connect the business case and practice to projects
Get the best experts to advise on program development
Develop a complete eco-system for information
Pick the easy targets, the others will see the results
In-house IT technical support is critical
But watch out for IT practices and initiatives that conflict with RIM
The training program will make or break the deployment
Collect stories about information failures
Network, tell your story, be involved
Plant seeds
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53. Questions ?????
Contact: Keith Atteck
Supervisor, Information Management
Vale Inco Limited
Business Development
2101 Hadwen Road
Mississauga, Ontario, Canada L5K 2L3
keith.atteck@valeinco.com
Ph: 905.403.3179
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