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.

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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5. Vale 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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14. Records & Information
Management (RIM)
Program
Foundation for success
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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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18. RIM Program
Transitory Decision
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Record Lifecycle Pipeline
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Business Rules
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19. Document Control Practice
Case Study
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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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27. Document
Management
1
EDMS
SINGLE authoritative source of information
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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
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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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33. Single Format
1
One file format for review
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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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36. Process Automation
1
One work process
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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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= 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
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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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48. The Journey
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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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