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AV-20 Best Practices for Effective Document and Knowledge Management

Douglas J. Vargo

Vice President,

Information Management Practice @InvensysOpsMgmt / #InvensysSWConf13

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Paragon Solutions’ Introduction

Corporate Facts

Global Presence & Clients

6 U.S Offices; 2 overseas offices

Over 600 dedicated employees

Multiple technology partnerships

Privately owned, 30-year history

Strategy consulting and systems integration teams delivering business value

Multiple domain practices with solutions focused on specific client objectives

e.g. Enterprise Asset Management, Document Management, Information Management, Post Implementation Support Services, Migration,, Information Governance, etc

A proven delivery track record leading enterprise-wide initiatives, synthesizing business and IS/IT and demonstrated return on investment...

Invensys/Avantis Partnership for EAM Solutions

Paragon Solutions is an enterprise information solutions company that helps firms leverage technology to achieve better business results.

IDC Report 2012

45% …of respondents reported that document driven processes they had personal knowledge of were not efficient or effective.

…of respondents experienced serious business risk and/or compliance issues as a direct result of ineffective document processes over the past five years.

75%

…stated they would have better business oversight and control if they improved their internal document process

71%

…said it would reduce regulatory compliance risk by having better Document management processes and systems

67%

An example…

A pump is due for preventive maintenance and the Planner and

Technician are planning for and executing the work order. They need

to easily access all reference documentation for the job – without risk

of using out-of-date information…

• How does he know that he has the most recent documentation to ensure he performs the tasks in accordance with approved procedures and specifications?

• What are best practices or tips from pervious technicians working on this pump?

• How can the technician quickly have access to all relevant documents?

• How can the technician archive the work package for compliance?

WHAT IS DOCUMENT MANAGEMENT?

What is Document Management?

Document management is the practice of storing, managing and

tracking electronic documents and images of paper based information

captured through the use of a document scanner. The principal reason for

storing the documents in a document management system is to ensure

control and so users who need to access the information stored in those

documents can do so quickly and easily.

Key DM features are:

• Templates & Forms

• Check-in/check-out and document lock down

• Version Control

• Roll back

• Audit Trail & Historic Reference

• Annotation and Watermarking

• Workflow & Review and Approval

Document Management and Collaboration Collaboration tools can be used as an effective tool for managing documents and for optimizing collaboration throughout an organization for internal problems solving, and for use of Avantis (especially within large organizations).

Fast and easy access to documents based on Entity and document type

Integration with Avantis

Problem solving forum to connect engineers, maintenance staff, FAQ, Tips, etc.

Avantis Help and Training Section

Collaboration tools such as SharePoint, Open Text, IBM or Documentum….

Paragon’s Avantis EAM Integration Our integration framework enables customers to directly link their Avantis implementations with either existing or future content management repositories (such as SharePoint, Documentum, OpenText, etc).

Effectively Manage Documents such as: • Drawings • Procedures; • Reference docs (e.g.

OEM manuals) • MSDS Sheets; • Lock-out / Tag-out

(LOTO)

• Revision Control

• Compliance Auditing

• Maintenance

The integration provides the ability to centrally control the authoring, review, approval, update, and dissemination of content. The following are the use initial focus of the integration:

• Procurement

• Archiving and

Compliance

4. Technician goes to the Pump Entity

and Views the documentation.

3. Maintenance Planner browses and attaches a ―link‖ to the most current

version‖ in the DMS

Reporting, Governance and Analytics

5. Document Control Users manages documents to ensure they are frequently reviewed

and are current.

An example…

A pump is due for PM and the Planner and Technician are planning and executing the work order. They need to easily access all reference documentation for the job – without risk of using out-of-date information…

1. User creates document in DMS

2. Document is reviewed and

agreed

Work Order Cabinet

in Avantis EAM.

Sample Integration…

Execute the

DM Integration

Lists all relevant

documents by

Entity Number.

Going further…

1. Technician goes

to the Pump Entity

and Views the

Documentation

Our vision is not only to provide easy access to the most current version of documentation… but to enable a full knowledge base to

support task execution, archiving and governance….

2. Technician can

Search for related

documentation

across other areas

3. Technician has access

to a Knowledge

Community (FAQs, Critical

Reads, Tips and Tricks,

Analytics, MSDS Source…

specific to the job…and

can provide feedback)

Archiving…

1. Work Order tasks are performed

Upon work order completion, historical snapshot captured and saved to ensure compliance with governance requirements…

2. Work Order completed in

Avantis

3. Full snapshot including reference

documentation captured and retained. Snapshot automatically purged upon expiration

of retention time

GETTING STARTED… HOW DO I ACHIEVE A DOCUMENT MANAGEMENT INTEGRATION?

How Can an Effective Document Management

Integration Benefit You?

• Provides a common template and authoring criteria

• Ensures the most current version of documents such as labor, material, tools, drawings, subcontractor requirements and safety information can be identified on work orders to support proactive maintenance activities

Supports the alignment of all of the Operational Excellence areas – Environment and Safety, Assets Management and Control, with a strong emphasis on empowering your business in the following ways:

• Automatically linked documents to PM / job plans / work orders

• Limit duplicates

• Information Model Supports Enterprise Search, Reporting and Analytics

• Improved safety, regulatory compliance and reduced overall risk

Keys for Delivering Document Management

Documents are the primary medium through which employees share ideas and information of all kinds — with other employees, customers, suppliers, partners, shareholders, and other stakeholders.

• Build Consensus

• Planning

• Focus on the Document Lifecycle

• Define the Information Model

• Underlying Governance

• Paper has not gone away

• Integrations

• Change Management and User

Adoption

Planning

• People, Process, Information and

Technology

• Phased base Approach.. Building blocks

• Plan for the Business Adoption of the

Change

• Define your Information Architecture

• Identify key systems for integration

• Engage Records Management and Legal

Start with the Fundamentals…..

Document Management Lifecycle

Document Types

• Calibration Methods • SOPs • PM Procedures • Safety Procedures • Lock-out/Tag-out • Checklists • Vendor Manuals • Quality Manuals • Training Materials • Regulated Content • Other Controlled

Content

Controlled Lifecycle Management

Create Review Approve Effective Retain Retire Dispose

Lif

ecyc

le

Cap

ab

ilit

ies

• Workflow • Security • Doc Numbering • Metadata • Templates

• Versioning • Overlays • Reporting • Notifications • Auditing

• eSignature • Search • Retention • Annotations • Legal Hold

Wo

rkfl

ow

s

1.0 Controlled Document Lifecycle – Draft to Effective

Doc

umen

t

Mgm

t /

Qua

lity

Uni

t

App

rove

rR

evie

wer

Aut

hor

1.1.2 Chooses

document

review panel

1.1.4 Reviews

document and

provides

comments

1.1.3 Routes

document for

review

1.1.5 Evaluates

comments and

incorporates into

document as

appropriate

1.1.1 Creates/

Revises

document and

history of change

1.1.6 Route

for another

Review?

yes

1.1.8 Approves /

Signs document

1.1.9 Works with

Author to set

effective date

allowing time for

training.

1.1.10 Retires

previous version

of document if

one exists

no

1.1.7 Routes

document for

approval

1.2 May perform

a format and

property review

1.1 If new,

Document unique

identifier is

assigned

Governing The Lifecycle of Information

A Focus on the Information Model Establish a defined enterprise information model and taxonomy based on standards focused on the existing business and compliance rules that align with enterprise initiatives.

Inventory Types of Documents

Content Classification Typesand Subtypes

High Level Business Processes Maps and Associated Documents/

Web Content/Digital AssetsLifecycle

Consistent Meta Data Applied Through Auto-tagging and

Auto-categorization

Automated Workflow andElectronic Signature

Cabinet/Folder Structure Security

Business Rules

Taxonomy

Know your content, then evolve the model

Incorporate key information governance needs in the model right from the

beginning A common model is key to breaking down silos

Content Governance A Document Management integraton governed by an enterprise information model across the end-to-end content lifecycle can break down information silos improving findability, shareability, and information security.

Information

Governance Author Control

Information Governance

Best Practices in DM Some of the components required to ensure successful uptake by the user community, and the delivery of long-term value

Content is king

• Content Management • Controlled Tagging • Functional repositories

Context is King • Information Management

• Process, Worker, Community • Auto Tagging, Rating • Use vs.. Find

Document Control • Lifecycle • Regulated content classified • Consolidation • Compliance

Information Governance • All information is classified • Master Data Management • Enforced Retention, Archiving • Defined Stewardship, Access

Content Sharing and Reuse • Publishing • Repurpose • Separate tracking systems

Knowledge Sharing and Reuse • Collaboration • External Partners • Topic-based • Milestones and Views

User Experience

Content Governance

Content Integration

Converging Capabilities

ECM Consolidation and Expansion

Information Model

ECM Program

Deployment and Change Management

A key component of any DM strategy is that of successfully managing the impact on the individuals to the change. Your organization must plan for the strategies to ensure adoption of the new document management integration.

Key Change Activities • Document the difference between

the current and future-state for communication and training

• Involve the business early and often though out the process

• Develop Business Communications Plan

• Determine Compliance Metrics, to assess business uptake of the system

Key Takeaways

Focus planning on Business Processes and document lifecycle

DM is a mature, well understood field. Leverage best practices and adapt to your

business processes.

Most are limited more by the Information Model than the Technology Platform

Focus on User Adoption

Thank you. Stop by and see us at the Avantis Booth

Slide 27

Integrating Document Management with Enterprise Apps

Integrate Document Management systems into Enterprise Applications for end-

to-end Process Automation.

To be removed

Title: Best Practices for Effective Document and Knowledge Management

Abstract: Plant floor workers are inundated with information, both digital and paper-based. A methodical approach to how teams can collaborate with one another and create, share, and manage documents that support the work day is absolutely necessary. The alternative is information mayhem. This session will focus on what it takes to develop a strategy for document and knowledge management as it relates to maintenance and inventory using the Avantis extensions, and how to use best practices around workflow, version control, and other capabilities to streamline collaboration and reduce risk. We will look at how tools such as Microsoft SharePoint, OpenText, and EMC Documentum can support this strategy with practical applications.

Converging Capabilities of ECM

Knowledge Management • Tacit

• Explicit

• Social

• Sharing

• Curated

Information

Governance • Information Security

• Retention and

Archiving

• Regulatory and Legal

Compliance

Analytics • Search and Discovery

• Mining

• Semantic Intelligence

Content Management • Templates

• Versioning

• eSig

• Doc Num

• Audit Trails ECM

Portals

Process Compliance

Content

Search

Building Consensus for Document Management

Ensuring a proper document management

integration