Documentation Management for SHE Practitioners

November 2012

Presented by: Lorna Ndlela

Purpose of training

To provide an understanding and knowledge of:

• ISO 9001 documentation management requirements

• The basic rules & supporting artefacts of documentation management within Eskom for employees

• Key documentation relating to documentation management

• Roles and responsibilities of employees

• Searching for Eskom documents

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Definitions

• Document: Information and its supporting medium such as specification, procedure, drawing, report, standard, form and template. Documents require revision & amendment to remain current and normally states activities and controls to be applied. (ISO 9000)

• Record: Document stating results achieved or providing evidence of activities performed (ISO 9000)

All records are potentially documents, but not all documents are records

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Definitions (continued)

Documentation = documents & records

Documentation management is a process that ensures an organisation’s documentation is created and controlled throughout its life cycle using standardised methods and technologies.

Governance documents are documents that set direction and policy, defining authority and responsibility and describe the controls and rules for a given process or set of activities

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Why must we manage documentation?

Compliance to regulation & best practices (e.g. ISO standards)

Improves communication to customers, suppliers & employees

Facilitate documentation access and retrieval

Risk reduction

Decrease time taken by new staff to become productive

Ensure documentation data remains in the business and does not leave with staff movement

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Documentation management drivers

Best practices

•ISO 9001

•ISO 14001

•ISO 15489 Information and documentation – records management

Legislation

•Promotion of Access to Information Act 2 of 2000

•Electronic Communication and Transactions Act

•National Archives and Record Services Act

•Other legislation

Regulation

•Corporate Governance

•Grid Code

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ISO 9001 4.2.3 Control of documents

Documents required by the QMS shall be controlled.

A document procedure shall be established to define the controls needed, to

• approve documents for adequacy prior to use

• review and update as necessary and re-approve

• ensure that changes and the current revision status of documents are identified

• ensure that relevant versions of applicable documents are available at the point of use

• ensure that documents remain legible and readily identifiable

• ensure that documents of external origin are identified and their distribution controlled

• prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose.

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ISO 9001 4.2.4 Control of records

• Records shall be established and maintained to provide evidence of conformity to requirements and of effective operation of the QMS

• A documented procedure shall be established to define controls needed for identification, storage, protection, retrieval, retention time and disposition of records

• Records shall remain legible, readily identifiable and retrievable

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Who is responsible for documentation management?

All employees have documentation management responsibilities at

some level, depending on the nature of the role they have in the

organization.

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Employee responsibilities

Any documents and records created by employees of Eskom are the property of Eskom. Individual employees are therefore responsible for ensuring that:

• Actions and decisions taken in the course of Eskom business are properly recorded

• The policy is adhered to

• Document and records are disposed of in accordance with the set retention periods and appropriate disposal method

• Use authorized documents in the normal course of business

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Manage Document and Records Process

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Manage DRM Process Objectives

To describe the framework for managing documentation across their lifecycle processes, including registration, supporting meaningful and effective documentation reviews, supporting documentation authorisation, publication and notification, archive and disposal, and transmittal.

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DRM Governance Documents

• 32-1: Document and Record Management Policy

• 32-644: Eskom Documentation Management Standard.

• 32-6: Document & Record Management Procedure

• 240-4417997 Long Term Documentation Preservation Standard

• 32-9 : Definition of Eskom documents

• 32-980: Documentation Metadata Standard

• 32-637: Scanning Guidelines

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Hierarchy of Eskom Documents

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Register Identified Documentation

To provide registration and traceability of documents and records through all phases of the document life cycle.

Role of employee•Ensure that documentation that needs to be controlled is registered with your Document Controller•Complete the registration form fully•Use approved templates

Supporting artefacts32-21 Document Registration Form

32-1289 EXCO Policy Principles Approval Form

32-2 Policy/Directive template

32-4 Document template

32-184 Template for technical specifications or technical standards

32-606 Terms of reference template

32-697 Business Process document template

240-44047082 Documentation Register Format

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Support Documentation Review

To support the establishment of effective documentation via the application of the review life cycle.

Role of employee•If you are part of the document reviewers, review the content for relevance, validity and practicality.•Ensure that you respond on time•Make sure that documents you are responsible for are reviewed on time

Supporting artefacts

•32-23 Document Comment Review Authorisation Form

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Support Documentation Authorisation

The authorisation of documents ['revisable documents' - including drawings, diagrams etc.] is aimed at formalising the release and application of documents as well as their implementation within the Business Domain. Similarly the authentication of records ['non-revisable documents'] is important as they are not subject to formal reviews.

Rules

•Acceptance and authorisation shall take place on the highest level of accountability.

•Signatures indicate responsibility for compilation, functional acceptance of document content and approval for implementation of a document.

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Authorization Matrix

Document level Approval before signatures

Functional Responsibility (Document Owner)

Document Authorizer

Policies EXCO Manager of functional area responsible for compilation of the policy

Group Executive for the responsible Division

Process/Procedure Back to Basics Steering Committee

Manager/Supervisor/Process owner or Content Specialist

Delegated Functional Manager

Standards/manual Not applicable Manager/Supervisor/Process owner or Content Specialist

Delegated Functional Manager

Work instruction Not applicable Manager/Supervisor /Process owner or Content Specialist

Delegated Functional Person

Technical documents

Technical Governance Committee

Manager/Supervisor/Process owner or Content Specialist

Delegated Functional Manager

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Notify Released Documentation

To ensure that all current documentation is presented in an appropriate preservation format, that affected persons are informed (publication and awareness notification) regarding active documents and records, and to ensure that controlled copies of documentation are issued and/or recalled effectively.

Role of employee•Ensure that documentation is in PDF-A format if it will be kept for long periods•Know and read documents that govern how you do your job•Ensure that in your Departmental/Section meeting new documents are part of the agenda

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Manage Disposal or Archival of Documentation

To ensure inactive documentation are archived or disposed of from the active environment.

Role of employee•Use authorised/approved documents•Archived documentation must be used for reference purposes only•Lifetime electronic records or records stored long periods or should be reviewed periodically for legibility

Supporting artefacts

•240-43723893 Record Disposal Authorisation Form

•32-423 Change Document or Record Status Form

•240-44047164 Disposal of Critical Records Register

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Manage Transmittal

To provide effective transmission of documents and records through all phases of the document life cycle, through to the correct recipient.

Role of employee

•All personnel (including contracted persons operating under the Business Management System) are responsible to ensure that the distribution of records within or external to the organisation is in accordance with the security and access rights assigned to the respective record.

•Parties outside of Eskom requesting information must lodge their requests to the Eskom Promotion of Access to Information Act (PAIA) by completing the necessary forms on (http://www.eskom.co.za/about/companyinformation/Legislation/PAIARequestForm.asp).

Supporting artefact

240-43898815 Document Transmittal Form23-04-08 21

Business rules for Manage Transmittal

Paragraph 3.2.5.5 Records distributed to external entities & 3.6 Control of Eskom documents movement to external parties

•All personnel (including contracted persons operating under the Business Management System) are responsible to ensure that the distribution of records within or external to the organisation is in accordance with the security and access rights assigned to the respective record.

•The distribution of records to the Customer, Supplier, Regulator or external Stakeholder shall be in accordance with agreed protocols, as agreed by the Document Manager and the applicable interface manager

•The Document Manager shall maintain a Document/Record issue Register of all distributed records to external entities.

•Parties outside of Eskom requesting information must lodge their requests to the Eskom Promotion of Access to Information Act (PAIA) by completing the necessary forms on (http://www.eskom.co.za/about/companyinformation/Legislation/PAIARequestForm.asp).

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Other critical rules

• Always distribute documents using a Hyperlink instead of attaching documents on email

o For Formal documents – copy the Alias Name (URL) found on document Attributes under Advanced. Then hyperlink using https://hyperwave.eskom.co.za/paste URL

o For informal documents/records on Hyperwave – copy the Object Identifier found on document Attributes under System. Then hyperlink using https://hyperwave.eskom.co.za/Object Identifier.

Note: you must put Underscore to close the gap between the numbers

• Don’t download from one collection in Hyperwave and save it on another location

• The best is to use a shortcut or hyperlinks

• All documentation created as part doing your job are Eskom assets and should be managed properly

• Save records in the right places on your Departmental Taxonomy structure

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Demo

• Accessing templates and forms

• Searching for documents

• Using the Doc Centre Search

• Conducting a Quick Search on Hyperwave

• Conducting an Advanced Search on Hyperwave

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Document retrieval

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Document retrieval contd.

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Tips for searching on Hyperwave

• Know what you are looking for

• Document type

• Document title or words in the title

• Open the correct Root Collection

• Use Advance Search and Browse to find the area or Root Collection you want to search

• Select document with version control and the latest

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Questions

?????

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Thank you

Lorna NdlelaManager Eskom Documentation ManagementSustainability – Quality Management Tel: 011 800 2992Cell: 072 299 1356

EDC Email: EskomDocumentationCe@eskom.co.za

EDC Webpage: http://sivmas045.eskom.co.za/edc/

EDC staff you can contact in my absence

Thandeka Radebe Ph: (011) 800 5126

Sibongile Gumede Ph: (011) 800 4520

Tinus Joubert Ph: (011) 800 5249 on Archiving issues