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Creating Information Architecture For HSEQ Document Management

Introduction

 
I am working as HSEQ System Analyst, and one of my task includes creating an Information architecture for an Information Management system.
 
One of the most important features of IMS is Document Management, which includes publishing controlled documents (Policies, procedures, statements etc), advance search for users to access documents, and implementing review and retention policies.
 
Publishing a document needs consolation with many stakeholders including document owners, approvers, and users who access these documents. Consultation can be done outside the system via emails, Teams, or by sharing a document from a SharePoint or OneDrive.
 
Once the consultation is complete, the requestor can share the document with the document controller (one who maintains publishing of controlled documents) and the document controller publishes the document; it is available to all users via search.
 
My purpose is to create a simple and robust system to publish documents and make documents accessible to users in a user-friendly way.
 
Although, my focus is a document management system, below is the diagram illustration of what I am trying to achieve as a whole system. I want to create a system using out of the box features as maximum as possible.
 
Note
IMS stands for Information Management System.
 
Creating A Information Architecture For HSEQ Document Management
 
Requirements
 
Type
Description
BR.1
Enable SharePoint for all relevant users.
BR.3
Library to upload Draft documents before publishing. user should be able to publish documents from the draft library, the user should be able to retract files if there is a need.
The type of documents that we can upload is restricted to office documents.
BR.4
Published documents Library.
BR.5
Metadata to classify documents according to Division, Project, status, etc.
BR.6 Flow to get automatic document reference number based on pre-defined document naming convention.
BR.7
Flow to automate the publishing process.
 
We have to create a draft library where Document Controller can upload files and can add/update metadata to the file, below is the view of the draft library.
 
Automation flow buttons are created using column formatting, reference link here.
 
Creating A Information Architecture For HSEQ Document Management
 

Components

 
Metadata
 
Metadata to classify documents according to document type, Division, Status etc. and Document Controller will be responsible for Metadata.
 
Content types
 
Content types are reusable components that we are going to use to update metadata for documents and content.
 
Draft Library
 
A library where the document controller will upload draft policies, standards, procedures, statements, alerts, and advice related to different divisions.
 
Publish Flow 
 
Flow to publish documents from Draft library to IMS Publish Document Library; Flow will also send a notification to confirm document publishing.
 
IMS Published Documents 
 
This library contains documents, which are visible to all employees within the organization.
 
Archival Library 
 
The library will have all the documents deleted from IMS Publish Document Library or Physical Records.
 
Reminders/Notifications
 
Reminders to Document Controller to review documents or consult with respective stakeholders or owners for review.
 

Metadata

 
I have used the Term store for Taxonomy. Below is the table that I have used to create Taxonomy.
 
IMS Element
Abbreviation
Auditing
HSE
Business Development
BUD
Communication and Consultation
COM
Contracts and Projects
CPJ
Customer Management
HSE
Design
DSG
Document and Records Management
DRM
Emergency and Crisis Management
ECM
Environmental
ENV
Financial Management
FIN
Policy and Governance
POL
Hazard and Risk Management
HRM
Health Safety ＆ Environment
HSE
Health Management System Description
HSE
Incident and Injury Management
INC
Inspection ＆ Testing
HSE
Information Technology and Security Management
ITS
Knowledge Management ＆ Continual Improvement
HSE
Lines of Defence
DEF
Management of Change
MOC
Management of Preventive and Corrective Actions
PCA
Project Management
PRM
Quality Assurance
QUA
People Management
PEO
Legal and Other Requirements
LEG
Leadership, Responsibility, and Accountability
LED
Procurement and Assets
PRO
Training and Competency
TRN
Operational Management
OPS
Performance Monitoring
PER
Management Review
REV
Action Management
ACT
 
Divison
Group
Division2
Division3
Platform
Platform1
Platform2
Platform3
Platform4
Platform5
 
Document type
Abbreviation
Advice
SAD
Alert
SAL
Checklist
FM
Form
FM
Guidance Note
GN
Guide
GD
Handbook
HB
Matrix
MX
Plan
PN
Plant
PL
Policy
PL
Procedure
PR
Process Flowchart
PF
Register
RG
Report
RT
Safe Work Instruction
SWI
Safe Work Method Statement
SWM
Standard
SD
Statement
ST
Strategy
SG
Template
TE
Diagram
DG
 
Taxonomy is used so that the above metadata is made available to users for tagging.
 

Content Type

 
I have used content type hub to create content types.
 
IMS Document – this content type is used for adding metadata to IMS documents like policies, procedures, statements, etc.
 
Column table for IMS document
 
Name
Type
Status
Name
File
Required
Title
Single line of text
Required
Division
Managed Metadata
Required
Document type
Managed Metadata
Required
IMS Element
Managed Metadata
Required
Document Ref no
Single line of text
Required
Platform
Managed Metadata
Optional
Version number
Single line of text
Required
Issue date
Date and Time
Optional
Document Owner
Person or Group
Optional
Document Owner Designation
Single line of text
Optional
Document Approver
Person or Group
Optional
Document Approver Designation
Single line of text
Optional
Review date
Date and Time
Optional
Business Process Framework Discipline
Managed Metadata
Hidden
Consultation comments
Multiple lines of text
Hidden
Is Pdf
Yes/No
Optional
Draft document Id
Single line of text
Hidden
Element no
Number
Hidden
Document status
Choice
Optional
 
IMS Alert and Advice
 
This content type is used for adding metadata to IMS records such as alerts & advice.
 
Column table for IMS Alert and Advice
 
Name
Type
Status
Name
File
Required
Title
Single line of text
Required
Division
Managed Metadata
Required
Communication type
Choice
Required
Version number
Single line of text
Required
Platform
Managed Metadata
Optional
Issue date
Date and Time
Required
Review date
Date and Time
Optional
Document Ref no
Single line of text
Optional
Document Owner
Person or Group
Optional
Document Owner Designation
Single line of text
Required
Document Approver
Person or Group
Optional
Document Approver Designation
Single line of text
Optional
Document status
Choice
Optional
 
make sure you create site columns and content type(s) in the content type hub and you can use power shell to create content type(s).
 
Master lists
 
Document type Abbreviation
 
We are using this list to store document type abbreviations that we are going to use while creating a custom document reference number.
 
Creating A Information Architecture For HSEQ Document Management
 
IMS Element Abbreviation
 
We are using this list to store the IMS element abbreviation that we are going to use while creating a custom document reference number.
 
Creating A Information Architecture For HSEQ Document Management
 
Power Automation
 
I am using power automation to generate document numbers and publish documents from the draft library to the Published library, which is accessible by the organization.
I have also created a flow to re-tract documents from the Published library.
 
Get doc reference number
 
I have created a flow to generate a document reference number based on a document naming convention that we will use within our organization for controlled documents.
Document naming convention that we are using for controlled documents is <Organization name>-<Business unit>-<Element type Abbreviation>-<Document type Abbreviation>-<Document Id>-<Title>-<Version>
 
it also means that whenever we are updating the version we are changing the name of the document, for example, if the document name is Org-Group-HRM-PL-Privacy policy 1.0 and we update the version to 2.0, then the document name becomes Org-Group-HRM-PL-Privacy policy 2.0, which is a new document.
 
Before we publish a document, we have to generate a doc number based on the document naming convention mentioned above, below is the “Get doc reference number flow”.
 
Get doc reference number flow.
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Once the document reference number is generated, the modifier of the file will receive a confirmation email that the doc reference number has been generated.
 
Creating A Information Architecture For HSEQ Document Management
 

Publish document Flow.

 
Publish document flow will publish documents from draft library to Published document library, I am using a service account to convert the file to pdf and then publishing the pdf into the Published documents library.
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
 Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Once the document is published, the user will receive an email and the status in the draft library will change to Published. 
 
Creating A Information Architecture For HSEQ Document Management
 

Retract document Automation Flow

 
We also have created a retract flow to delete published documents from Published controlled documents library. I am using the Document ID of the draft document to identify the published version of the document.
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Creating A Information Architecture For HSEQ Document Management
 
Once the document is retracted, the document status changes to Retract, and the user will receive a confirmation email.
 
Creating A Information Architecture For HSEQ Document Management
 
The next step is to create an intuitive search for users, for this, I have deployed and configured an Open search PnP webpart to a site collection, below are the pre-requisites before we can configure the Open search web part.
 
Pre-requisites
 
Create Metadata properties that we want to use in filters - since I am using SharePoint Online, we have to use pre-existing metadata properties for mapping.
 
Click search schema under site collection administration to map crawled properties to metadata properties
 
Creating A Information Architecture For HSEQ Document Management
 
We can edit pre-existing metadata properties to mapped crawled properties. 
 
For taxonomy, choice, and text columns I have used Text type property.
 
Creating A Information Architecture For HSEQ Document Management
 
For date columns, I have used the Date and Time type property.
 
Creating A Information Architecture For HSEQ Document Management
 
After creating metadata properties, we will create a search result source.
 
Click on Result sources under Site Collection Administration. 
 
Creating A Information Architecture For HSEQ Document Management
 
Use the below query for the in result source and test query
 
Creating A Information Architecture For HSEQ Document Management
 
{SearchBoxQuery} - takes the search keyword(s) from search box.
 
Path - path of the published document library
 
contentclass:STS_List_* - used to omit views from search results
 

Configure Open search webpart

 
I am using an open search web part from Github.
 
Although the Open search web part consists of many components, I am using a search box, search refiner, and search result web part.
 
First, we are going to configure the search refiner web part, below are the metadata properties that I have used as refiners.
 
Creating A Information Architecture For HSEQ Document Management
 
Next, we are going to configure the search box, I am not using any dynamic data source, I am only using Placeholder search text for default text. 
 
Creating A Information Architecture For HSEQ Document Management
 
The final step is to configure the Search result webpart 
 
Page 1 - Configuration search result webpart
 
Connect to the Search box, in the default search query, type *, it will bring all results from result source
 
Creating A Information Architecture For HSEQ Document Management
 
Page 2 - Configuration search result webpart
 
specify result source identifier, select properties, which will serve as options in display.
 
Creating A Information Architecture For HSEQ Document Management
 
Page 3 - Configuration search result webpart - select the relevant properties according to your requirements
 
Choose result layout
 
Select columns that you want to display. 
 
Creating A Information Architecture For HSEQ Document Management
Once the configuration is done, this is how open search webpart and show results.
 
Creating A Information Architecture For HSEQ Document Management
 

Archival and retention policies

 
We can implement archival and retention policies by creating labels and policies at the tenant level; here is the article to create labels.


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