Problem Management Process and Procedure Flow

Document Management Process CD-DOC-4063

GENERAL This document is under the Change Management Control Policy. This document establishes the Document Management process and Description procedures for the Fermilab Computing Sector. The purpose of this document is to establish a document management process for the Fermilab Computing Sector IT Service Management. Adoption and implementation of this process provides a structured method to Purpose establish, update and communicate controlled documentation and to minimize the adverse impact on operational ability of the business due to incidents and problems caused by errors or outdated materials within the IT documentation.

Applicable to All processes

Supersedes N/A

Document Owner Marcia Teckenbrock Owner Org Computing Sector

Effective Date 09-01-2010 Revision Date 09-12-2012

VERSION HISTORY

Version Date Author(s) Change Summary 1.0 09-03-2010 Marcia Initial document Teckenbrock 2.0 09-12-2012 Jack Schmidt Changed Division to Section. Verified contents for current process

of 22 The official version of this document is in the CS Document Database (DocDB). Fermi National Accelerator Lab Private / Proprietary Copyright © 2009, 2010 All Rights Reserved Document Management Process CD-DOC-4063

TABLE OF CONTENTS

EXECUTIVE OVERVIEW – DOCUMENT MANAGEMENT

Goal  To adopt and implement a structured method to establish, update and communicate controlled documentation.  To minimize the adverse impact on operational ability of the business due to incidents and problems caused by errors or outdated materials within the IT documentation. Benefits  Centrally controlled repository of documents  Standard templates

PROCESS CONTEXT DIAGRAM – DOCUMENT MANAGEMENT

HIGH LEVEL INTERFACING PROCESS FLOW

NOTE: This graphic illustrates the basic interactions between this process or functions and the ITIL processes at a high level and does not represent detailed dependencies.

PROCESS FLOW – DOCUMENT MANAGEMENT

ROLES AND RESPONSIBILITIES – DOCUMENT MANAGEMENT

Roles Responsibilities

 Ensures review of all controlled documents on an annual basis. Document  Obtains the required approvals for the new or changed document. Management (Document  Monitors changed documents. Librarian)  Ensures documents conform to standard document templates.

 Reviews document for currency and accuracy of information.  Abides by Change Management document revision policy. Document Owner  Posts or updates document in the CD document repository.   Reviews new or revised document; signs off on document. Document Approver 

POTENTIAL PROCESS MEASUREMENTS (KPIS) – DOCUMENT MANAGEMENT Select 3 or 4 of these KPI’s that best fit the organizational requirements for measuring performance. As the organization and process matures, the selected KPI’s are likely to change. Short Term (0-3 Months – Learning the Process)  Number of controlled documents in the CD document repository LongTerm (4-9+ Months

 Number of controlled documents in the CD document repository.  Number of documents requiring signatures.  Number of documents successfully approved (signed off on).  Number of documents due for approval (not yet signed off on).  Number of documents requiring annual review

RACI MATRIX – DOCUMENT MANAGEMENT

16.1 ENTERING NEW DOCUMENT FLOW

16.1 Entering new document – Document Management

Inputs  Incidents, Problems, new processes.

Entry  A new controlled document is created. Criteria

The purpose of this procedure is to ensure that the document is included in the General Document Management Process and that it goes through the correct approval Comments process.

16.1 Entering new document Narrative Step Responsible Role Action 16.1.1 Document Owner  Takes document through Change Management.  Submits document in the document repository. 16.1.2 Document Owner  Notifies Document Manager that new controlled document has been posted.  Chooses appropriate approvers for document.  Review document in the document repository to ensure all needed information is present and Document 16.1.3 entered correctly. Manager  Choose appropriate signers to approve document. Document 16.1.4  Obtains necessary approvals (signatures). Manager Document 16.1.5  Approves Document Approver

16.1 Entering new document Exit Criteria, Outputs

Outputs New document in document repository  Document manager is aware of document. Exit  All necessary approvals are obtained. Criteria

16.1 Entering new document Risks

Risk Impact Document Manager is not aware of a The document is not included in the Document controlled document. Management process. Document does not go through correct Incorrect or out-of-date information is approval process. disseminated.

16.2 CHANGING DOCUMENT FLOW

16.2 Changing Document Entry Criteria – Document Management

Inputs  Incident, Problem, new procedures or policy recommendations.

 Document has changed either as a result of o The annual document review process Entry Input from a user or procedural changes at any time that require Criteria o document revision.

General  The purpose of this procedure is to ensure that the document goes through Comments the correct approval process.

16.2 Changing Document Narrative Step Responsible Role Action

 Determines whether the change is o A Simple change (as defined by Change Management Policy). As defined in the Change Risk Classification Guidance Document, a document does not need to go through Change Management when “Changes to process and policy documents that are editorial in nature and 16.2.1 Document Owner do not materially affect work or decisions.” o Change that must go through Change Management (as defined by Change Management Policy) Update document in The document repository.

 If change must go through Change Management, follows that process and procedures.  Updates document in the document repository. a. Indicates in “Notes” field exactly what has changed. 16.2.2 Document Owner b. Chooses appropriate signers to approve document.  Reviews document in the document repository to ensure all needed information is present and entered correctly. 16.2.3 Document Manager  Makes sure standard template is used (for future revisions).

16.2.4 Document Manager  Obtains necessary approvals (signatures). Document 16.2.5  Approves Document Approver/s

16.2 Changing Document Exit Criteria, Outputs

Outputs  Changed document in document repository

 All necessary approvals are obtained. Exit Criteria

16.2 Changing Document Risks

Risk Impact Document does not go through correct approval Incorrect or out-of-date information is process. disseminated.

16.3 ANNUAL DOCUMENT REVIEW FLOW

16.3 Annual Document Review Entry Criteria – Document Management

Inputs  Due date for document review.

Entry  Document requires annual review. Criteria General  This procedure is to ensure that documents are reviewed regularly. Comments

16.3 Annual Document Review Narrative Step Responsible Role Action 16.3.1  Maintains schedule of annual review for each Document Manager document. Notifies document owner that document is due for 16.3.2 Document Manager  review. 16.3.3 Document Manager  Obtains necessary approvals (signatures).

16.3 Annual Document Review Exit Criteria, Outputs

Outputs  Reviewed and possibly updated document.

Exit Criteria  All necessary approvals are obtained.

16.3 Annual Document Review Risks

Risk Impact Documents will not be regularly reviewed and Schedule of annual review is not maintained. incorrect or out-of-date information may be disseminated.

PROCESS INTEGRATION POINTS – DOCUMENT MANAGEMENT Process Process Information Change Management to Document  Determines which Management documents must go through Change Management.  Establishes chain of approval for changed documents.

SUPPORTING DOCUMENTS

Document Name Description Relationship Fermilab Director’s Policy on Defines Fermilab policy on Document Control, No. Laboratory Policy document management. 13.000 Rev. 0 Fermilab Document Management Process and Process This document Procedures Fermilab Document Policy (CD The document Defines policy on controlled Management Policy repository #4063-associated documents owned by CD with this document) Change Risk Classification Defines which document Guidance (CD The document Document changes must undergo repository #3549) Change Management. Fermilab Change Policy (CD The document Defines Change Management Policy repository #3529) Management policy. Fermilab Change Defines process and Process (CD The document Management Process and procedures for new and repository #3530) Procedures changed documents.

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