Author: Leon Fourie Academic Supervisor: Dr. Nico de Klerk Field Supervisor: Thaabit Toefy

1. The Management of Records InformationA 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

2. Presentation content “Information Effective Index Framework supporting the classification of Projects artefacts during the life cycle of tangible assets.” • Introduction to problem • Hypothesis • Journey and Research design • Action research • Information Effective Index Framework • Evaluation and review • Recommendations • Questions Master of Science in the Management of Technology and Innovation

3. 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) Problem … 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. A single view of the TRUTH? “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 decision-making through operations under the new business conditions.” (Sampson, 1992: 89) Master of Science in the Management of Technology and Innovation

4. 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.” Problem … Master of Science in the Management of Technology and Innovation

5. 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 non-integrated. (Excluding e-records) • Lack of records Life Cycle process Problem … Master of Science in the Management of Technology and Innovation

6. 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. Problem … “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) Master of Science in the Management of Technology and Innovation

7. 2.1 The Retrieval of Content – should be Solution… Essential to develop an Information Effective Index Schema supporting the classification of Projects artefacts during the life cycle of tangible assets Master of Science in the Management of Technology and Innovation

8. 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) Solution … Master of Science in the Management of Technology and Innovation

9. 3.1 Research Design Journey… Master of Science in the Management of Technology and Innovation

10. 3.2 Literature • Indexing • Ontology • Browsing / Search • Configuration management • Naming and Unique Identifiers • 6. Literature Outcome Journey… Master of Science in the Management of Technology and Innovation

11. 3.2.1 Indexing There are three primary ways of indexing records: • Full-text Indexing; Optical Character Recognition (OCR), • 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.” Literature… Master of Science in the Management of Technology and Innovation

12. 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.” Literature… Master of Science in the Management of Technology and Innovation

13. 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. Literature… (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. Master of Science in the Management of Technology and Innovation

14. 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 Literature… • 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. • 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 History” … Master of Science in the Management of Technology and Innovation

15. 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) Literature… • 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 customer- and contractor’s office for approved changes. Master of Science in the Management of Technology and Innovation

16. 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? Literature… Master of Science in the Management of Technology and Innovation

17. 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. Literature… Master of Science in the Management of Technology and Innovation

18. 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) Solution … Master of Science in the Management of Technology and Innovation

19. 4. Action Research Journey… Master of Science in the Management of Technology and Innovation

20. 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 Action Research… Master of Science in the Management of Technology and Innovation

21. 4.2 Key Findings • 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 Research… Master of Science in the Management of Technology and Innovation

22. Plant Breakdown Structure Master of Science in the Management of Technology and Innovation (IEC 61968-4, First Edition, 2007)

23. 5. Integration: Input to framework Literature input • Key principles on browsing and searching, • Integrate into single index methodology, • Inclusion of Ontology / parts as framework, • Asset management life cycle to overlay framework, Journey… Action Research Input • Project record information need to relate to the asset/product, thus a space holder associated with the actual world, supporting a : • 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. Master of Science in the Management of Technology and Innovation

24. 5.1 Information Effective Index Framework Outcome… Master of Science in the Management of Technology and Innovation

25. 5.2 IEIF – Browsing Schema overview Outcome… Master of Science in the Management of Technology and Innovation

26. 5.6 Spatial Relationship of records Outcome… Master of Science in the Management of Technology and Innovation

27. 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 • Enterprises = 3 • Transmission = 1 • Distribution = 2 • Generation = 3 Outcome… Master of Science in the Management of Technology and Innovation

28. 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. Outcome… Master of Science in the Management of Technology and Innovation

29. 6.1 Evaluation and review • Adaptability: Master of Science in the Management of Technology and Innovation

30. 6.2 Evaluation and review • Generality and Usefulness : Master of Science in the Management of Technology and Innovation

31. 6.3 Evaluation and review • Visual interaction: • Outcome / Concerns: • 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. Master of Science in the Management of Technology and Innovation

32. 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: • 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. • Corporate DRM strategy, “DRM, The Eskom Way” • Policy, direction assurance, • Integration, • Marketing and awareness • Principles • Generation Business Excellence Improvement management Steercom • Corporate GIS Steercom: Data and information Catalogue Master of Science in the Management of Technology and Innovation

33. Thank you