The Management of Records
Information
A South African Energy Utility
Industry Survey
“A SINGLE VIEW OF THE TRUTH”
Author: Leon Fourie
Academic Supervisor: Dr. Nico de Klerk
Field Supervisor: Thaabit Toefy
Presentation content
“Information Effective Index Framework supporting the
classification of Projects artefacts during the life cycle of
tangible assets.”
1. Introduction to problem
2. Hypothesis
3. Journey and Research design
4. Action research
5. Information Effective Index Framework
6. Evaluation and review
7. Recommendations
8. Questions
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Problem …
1.1 Introduction
“Everyday living is too fast, too busy, too complicated.
More than at any time in history, it’s important to have
good information on just about every aspect of life.
And, there is more information available than ever
before. Too much in fact. There is simply no time for
people to gather and absorb the information they
need.” (Hadden, 1929)
The ability in making quick, fast and informed
decisions is increasingly critical, while, at the
same time as the volume of opportunities
increases, the duration of the time to act on
each opportunity decreases.
“How well a records and information management
program is designed will determine how well it
supports the business throughout the change process
from the point of conceptualization and decisionmaking through operations under the new business
conditions.” (Sampson, 1992: 89)
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Problem …
1.2 Background to problem
Aug 2008: Executive management raised concerns related
to the effective implementation of documentation
management on key project within the Capital Expansion
Department.
Projects Support, mega projects projects problem statement:
“The management of documents on projects is proving to be
poorly implemented and managed for a number of
reasons. This requires urgent attention and simple
business processes and change management to rectify.”
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Problem …
1.3 Audits
• Eskom Business audits, Corporate strategy and Planning DRM audit,
CED DRM Status review forum (Pareto principle, 80-20 rule, or know as the law of the vital few)
• Key Findings and outcome:
• Lack of records (ROD), Plant duplication, and association to plant
after commissioning.
• Basic records management methodologies not followed; RM
knowledge, indexing and classification.
• Record management solutions well implemented; siloed and nonintegrated. (Excluding e-records)
• Lack of records Life Cycle process
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Problem …
1.4 The Retrieval of Content – understanding current
The basic forms of records retrieval consist
of two elements:
•one being the person and the other,
•the collection, also known as classification
of content.
“Indexing reduces search space. Abstracting
reduces evaluation time. Together, indexing and
abstracting reduce search time. Sophisticated
and appropriate means of reducing search time
and search space are required if people are to
make full use of accumulated recorded
knowledge.”
(O’Conner B.C, 1996; 4)
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Solution…
2.1 The Retrieval of Content – should be
Essential to develop an Information
Effective Index Schema supporting the
classification of Projects artefacts
during the life cycle of tangible assets
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Solution …
2.2 IEIS - As should be model.
Fundamental principles and expectations:
• Easy: Organisation to find the right information
• Simplicity: …predictable, by combining short and simple browsing
and searching practices.
• Unchanged: Schema principles to be fixed and enhanced
• International Standards: Compliance and trends (ISO)
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Journey…
3.1 Research Design
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Journey…
3.2 Literature
1.
2.
3.
4.
5.
6.
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Indexing
Ontology
Browsing / Search
Configuration management
Naming and Unique Identifiers
Literature Outcome
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Literature…
3.2.1 Indexing
There are three primary ways of indexing records:
1. Full-text Indexing; Optical Character Recognition (OCR),
2. Metadata: Metadata fields, or indexing through keyword
categorisation of documents, provide searching capabilities
roughly similar to that of library collections or index cards.(Reitz
J.M, 2004; 449)
The metadata for records are not singular and consists of
metadata layers. ISO 15489-1, clause 3.12, (page 3) with
reference to metadata in a records management context,
describes metadata as, “data describing context, content and
structure of records and their management through time.”
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Literature…
3.2.1 Indexing
• Taxonomy: Folder/hierarchy/file structure or indexing
associated groups.
• Classification is a process whereby users need to
analyse the content of each record and/or document and
determine where in the filing folder structure it belongs
and assign the associated metadata of business to
record.
ISO 15489-1 refer to it as “systematic identification and
arrangement of business activities and/or records into
categories according to logically structured conventions,
methods, and procedural rules represented in a
classification system.”
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Literature…
3.2.2. Ontology
“…formal representations of a set of concepts within a
domain and the relationships between those concepts.”
Ontology is an extension of taxonomies, or a collection
thereof, or the association and sorting of vocabulary, or
glossary, which is richer in relationship.
(Simons P, 1987) full-length study on ontology
in his book called, “Parts, a study in
Ontology”.
Proper part: X<<Y; X<<Y<<Z
Overlapping: X O Y
At least a part is common indicating X . Y, the
individual parts of X and Y are in the end part
of the common product of X and Y. For that
reason, Simons called it Binary Product.
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Literature…
3.2.3 Searching or Browsing
Delpi Group White paper, 2002: “75% during the study preferred browsing to searching. “
In a PhD study supported by Hölscher and Strube (1998) on the unique behaviour
between searching and browsing, they found that various individuals preferred the browse
option and then intensified the search …
Outcome
•
•
•
1.
2.
3.
4.
Initially more individuals choose to use the search
engine,
Close to half will re-search, with a 40% success rate,
The other half will browse and probability of 70% of
browsing will lead to the next selection, ending in
astonishing 80% success rate.
Know what you are looking for, (predictability of
information location)
Avoid the use of long strings of Boolean structure
queries (Basic metadata),
Rather refine query within knowledge area
Knowledge clusters and basic supporting metadata
essential.
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•Hölscher & Strube’s research position on “Web
Search Behaviour of Internet Experts and
Newbies”;
• Proctor & L. Vu’s “Handbook of Human Factors in
Web Design”
•Article concluded by Mayer & Bederson, “Browsing
Icons: A Task-Based Approach for a Visual Web
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History” …
Literature…
3.2.4 Configuration Management approach
“Configuration Management, applied over the life cycle of a system,
provides visibility and control of its performance, functional and
physical attributes. Configuration Management verifies that a system
performs as intended, and is identified and documented in sufficient
detail to support its projected life cycle… .”
(Electronic Industries Alliance, Standard 649, 1998, 22 )
If properly implemented, configuration management provides:
• Appropriate levels of review and approval for changes,
• Single focal points for those seeking to make changes,
• A single point of input for contracting representatives in the customerand contractor’s office for approved changes.
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Literature…
3.2.4 Configuration Management approach
Configuration
management is a
control technique,
through an orderly
process, for formal
review and approval
of configuration
changes.
But is the location of
information
predictable?
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Literature…
3.2.5 CM - Identification
Naming and Unique Identifiers:
• Engineering drawing practice, standard part numbers, software code
identification, SA identity number, vehicle registration number, Dewey
decimal classification system (later ISBN), power plant codification
Outcome
• UID = simple although unique, allocated from “same” system, checks
within codification need to be build in.
• UID must never change,
• Avoided UID in “carry meaning”, which can lead to remaining
requirements being compromised. If meaning full labelling are
required, create additional display or object data field.
• Use a single identifier throughout the business, for a specific Business
object.
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Solution …
3.2.6 Literature Outcome
The applied framework fundamental principles and expectations must be :
• Easy for the user to interact with the framework (schema) and its
functionalities
• Simplicity: ensuring ease of understanding and ensuring that records file
location are predicable.
• Unchanged: The framework must accommodate the current business
landscape and ensure minimum changes thereafter.
• International Standards: Compliance and trends (ISO)
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Journey…
4. Action Research
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Action Research…
4.1 Action Research: Integrated model formulation
Action research; the data collection approach took place in the form of
standards, journal, documents, actions, observations, comments, feedback,
interviews and questionnaires which was used to review the association of
information and people behaviour as well as how they perceive and respond
to asset information sets.
Method of triangulation were used
throughout my action research,
considering:
•
The authority and establishment
of steering committees
•
The establishment and review of
critical
documentation
and
consequent development of the
Common Information Model (CIM)
•
The Data Quality Initiative (DQI) in
support of business efficiency and
improvement
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4.2 Key Findings
Research…
•
In this study, the relationship of data, information and assets with people
was investigated.
In the current Distribution landscape of asset and information
management, field staff relate with ease to assets and which improve
business efficiencies in the retrieval of related information or data sets,
with the following understanding:
•
Business process view (Project life Cycle),
•
Parent child relationship within a Folder/hierarchy/file structure including
Ontology or Parts.
•
Location to be a “parking bay” and not moveable location
•
Making use of single unique identifier
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Plant Breakdown Structure
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(IEC 61968-4, First Edition, 2007)
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Journey…
5. Integration: Input to framework
Literature input
1. Key principles on browsing and
searching,
2. Integrate into single index
methodology,
3. Inclusion of Ontology / parts as
framework,
4. Asset management life cycle to
overlay framework,
Action Research Input
•
Project record information need to relate to the asset/product, thus a space
holder associated with the actual world, supporting a :
1.
2.
3.
4.
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Single, master business project process view,
Taxonomy, parent child relationship of information, including parts / ontology,
Model to support virtual or tree structure browsing to collection of information.
Information storage to be predictable throughout the business.
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Outcome…
5.1 Information Effective Index Framework
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Outcome…
5.2 IEIF – Browsing Schema overview
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Outcome…
5.6 Spatial Relationship of records
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Outcome…
6. Review of model - Key stakeholder
• Corporate DRM strategy forum and individual interview with all major
project documentation managers (Generation Business, Transmission
Environmental management and PDD)
• DRM Strategy forum: representation 18:
•
•
•
•
•
•
Corporate = 4
Systems Ops and planning = 2
Enterprises = 4
Transmission = 3
Distribution = 2
Generation = 3
• Major projects, documentation managers: Representation 9
•
•
•
•
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Enterprises = 3
Transmission = 1
Distribution = 2
Generation = 3
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Outcome…
6.1 Review model
• Common validation criteria
• Adaptability:
• How much perceived customisation is required with current business models
• Taxonomy level definition (Preferred 3-6),
• Behavioural association of records to WBS or PBS.
• Most common use Life Cycle Model.
• Usefulness:
• The probability of the schema to be used as a possible model, examination the
perceived usefulness of the index schema
• Improve DRM, model simplicity and to reduce records duplication.
• Consider model as principle model for other information sets related to project.
• Areas of interest where the schema possibly could be considered for utilize.
• Visual Interaction:
• Testing the possibility of spatially navigate to records.
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6.1 Evaluation and review
• Adaptability:
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6.2 Evaluation and review
• Generality and Usefulness :
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6.3 Evaluation and review
• Visual interaction:
• Outcome / Concerns:
•
•
•
•
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Concerns on concept implementation, propose pilot phase,
Would like more views on proposed implementation,
Functional custodianships are required (Like Engineering)
Existing landscape need to be considered, proposed standardization,
including e-records.
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7.1 Recommendations
•
The “Information Effective Index
Schema” is just a prototype, agreed in
principle for future exploration (2-4
years) – Change the current state to as
it should be. (Ingula PS Pilot, Sponsor and
procurement)
•
Current actions and outcome:
1. Integrated core principles of indexing within Capital Expansion
Department, DRM handbook for Project managers, final sign-off. Action
implementation thereof and review outcome for continuous improvement.
2. Corporate DRM strategy, “DRM, The Eskom Way”
•
Policy, direction assurance,
•
Integration,
•
Marketing and awareness
•
Principles
3. Generation Business Excellence Improvement management Steercom
4. Corporate GIS Steercom: Data and information Catalogue
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Thank you