Implementing Information Management at AstraZeneca … · Implementing Information Management at AstraZeneca Chile BIANCA ILMARK Master’s Thesis in Publishing Technology (20 credits)

Implementing Information Management at AstraZeneca Chile

B I A N C A I L M A R K

Master of Science Thesis Stockholm, Sweden 2006


B I A N C A I L M A R K

Master’s Thesis in Publishing Technology (20 credits) at the School of Vehicle Engineering Royal Institute of Technology year 2006 Supervisor at CSC was Sara Leckner Examiner was Nils Enlund TRITA-CSC-E 2006:105 ISRN-KTH/CSC/E--06/105--SE ISSN-1653-5715 Royal Institute of Technology School of Computer Science and Communication KTH CSC SE-100 44 Stockholm, Sweden URL: www.csc.kth.se


ABSTRACT

AstraZeneca (AZ) Chile works with a network solution based on a shared server drivefor 32 users. The information generated within the company and by the functionalunits is stored on the server without any special considerations. As this produces someparticular issues related to the management of information and documents, the purposeof this project was to determine a way to organize and secure the generatedinformation and documents.

This project was an investigation destined to implement an information managementsystem on the local network drive and thus reach a state where the information isaccurate and accessible for everyone at AZ Chile. This will lead to the higher purposeof the project: Adding value to the company in terms of knowledge management andorganizational learning.

The work consisted principally in a collection of system requirements, obtainedthrough interviews with the employees at AZ Chile, mainly the heads of the functionalunits. Then, a limited environmental analysis was performed, in order to determinewhat other AZ sites had implemented in the area. Furthermore, a literature study of theinformation management systems available in AZ worldwide, and an evaluation ofwhich system that would be most appropriate to implement on the local network wascarried out, based on the particular work situation.

The conclusions were to take advantage of the existing technological resourcesthrough a physical reorganization of folders and documents on the network and thenperform user training. Certain documentation was produced: a user guide describingbest practices for network use and how to manage documents and information.Finally, a series of workshops were performed in order to introduce the users to thenew system and the working practices specified in the documentation.

Implementering av informationshantering vid AstraZeneca Chile

SAMMANFATTNING

AstraZeneca (AZ) Chile arbetar med en nätverkslösning baserad på en gemensamserver för 32 användare. All information som genereras inom företaget och inomavdelningarna lagras på denna server utan någon speciell eftertanke. Detta orsakarvissa komplikationer relaterade till informations- och dokumenthanteringen, vilketleder till syftet med detta projekt: Bestämma ett sätt att organisera och säkra dedokument och den information som genereras.

Detta projekt har varit en undersökning avsedd att implementera ett system förinformationshantering på det lokala nätverket, med vilket avsågs att uppnå ett stadiumdär informationen är korrekt och tillgänglig för alla inom AZ Chile. Detta leder i sintur till det högre syftet med projektet: Lägga värde till företaget med avseende påkunskapshantering och organisationslärande.

Arbetet bestod huvudsakligen i att först klargöra en kravspecifikation för systemet,vilket gjordes genom att intervjua personer på kontoret, främst den ansvarige för varjeavdelning. Sedan utfördes en begränsad omvärldsanalys för att klarlägga vad andraAZ länder hade gjort i området. Det gjordes en litteraturundersökning över vilkaalternativ för informationshantering som fanns tillgängliga inom AZ globalt, ochsedan en utvärdering över vilket system som var mest lämpligt att implementera på detlokala nätverket, baserat på den speciella arbetssituationen.

Slutsatsen blev att utnyttja de existerande teknologiska resurser, men på ett optimalaresätt, genom att fysiskt organisera upp mappar och dokument på nätverket och sedangenomföra användarträning. Viss dokumentation blev producerad: en användarguidesom beskriver hur man lämpligast använder nätverket och hanterar dokument ochinformation. Slutligen genomfördes en serie workshops för att introducera användarnatill det nya systemet och arbetsmetoderna specifierade i användarguiden.

PREFACE

The work presented in this thesis was performed at the offices of AstraZeneca Chile inSantiago from May 2005 through May 2006 as a final examination at the programmefor Vehicle Engineering with specialization in Publishing Technology and IT at theRoyal Institute of Technology (KTH) in Stockholm, 2006.

I would like to express my most sincere gratitude for the opportunity of performingmy Master of Science project at AstraZeneca Chile. Above all, this gratitude isdirected to Richard Clarkson, General Manager at AZ Chile, for bringing me overseasand for providing an outstanding leadership and an extraordinary availability!

A deep thank you to my Swedish teacher Sara Leckner, for being an excellentacademic supervisor with a genuine interest for the project and for providingconstructive feedback on both the practical work and the writing of the thesis.

Thank you to the staff at AZ Chile for supplying me with all imaginable - and non-imaginable! - information in order to carry through the implementation of this project.

To all my supportive friends in Sweden and Chile!

Finally, I would like to give a special acknowledgement to Marco de la Rivera,technical IS Support at AZ Chile, for his infinite patience with me and for our detaileddiscussions on computers, networks, information systems, information technologies…

Santiago de Chile, May 2006

Bianca Ilmark

TABLE OF CONTENTS

1. INTRODUCTION......................................................................................................... 1

1.1 Background ............................................................................................................... 11.2 Purpose...................................................................................................................... 11.3 Problem description................................................................................................... 21.4 Project scope ............................................................................................................. 21.5 Audience.................................................................................................................... 2

2. EXECUTION STRATEGY.......................................................................................... 3

2.1 Practice...................................................................................................................... 32.2 Problem identifying................................................................................................... 32.3 Literature survey....................................................................................................... 32.4 Study of the corporate situation................................................................................ 32.5 Specification of requirements.................................................................................... 42.6 Analysis and recommendation.................................................................................. 42.7 Implementation.......................................................................................................... 4

2.7.1 Structuring the network.............................................................................................................................. 42.7.2 Documentation and workshops ................................................................................................................ 42.7.3 Distributing IS/IT policies ......................................................................................................................... 4

3. COMPANY DESCRIPTION ....................................................................................... 5

3.1 History....................................................................................................................... 53.2 AstraZeneca today..................................................................................................... 53.3 Business areas ........................................................................................................... 63.4 AstraZeneca in Chile: Establishing a Marketing Company...................................... 73.5 The Chilean pharmaceutical market.......................................................................... 8

3.5.1 Prescription and sales data ........................................................................................................................ 83.5.2 Sales Field Force ......................................................................................................................................... 9

4. RESEARCH METHODS........................................................................................... 10

4.1 Quantitative methods............................................................................................... 104.2 Qualitative methods................................................................................................. 10

4.2.1 Environmental analysis ............................................................................................................................ 114.2.2 Interviews ................................................................................................................................................... 114.2.3 Observation................................................................................................................................................ 124.2.4 Workshops ................................................................................................................................................. 12

4.3 Methods approached ............................................................................................... 124.3.1 Environmental analysis ............................................................................................................................ 124.3.2 Information mapping interviews............................................................................................................. 134.3.3 Participant observation............................................................................................................................. 134.3.4 Workshops ................................................................................................................................................. 14

4.4 Reliability................................................................................................................ 144.5 Validity.................................................................................................................... 15

5. THEORETICAL FRAME......................................................................................... 16

5.1 Basic concepts......................................................................................................... 16

5.2 Managing documents and information.................................................................... 185.3 IM guidelines........................................................................................................... 19

5.3.1 Purpose of information management..................................................................................................... 195.3.2 Scope of information management ........................................................................................................ 195.3.3 Implementing information management ............................................................................................... 20

5.4 Organizational learning........................................................................................... 215.5 Information security................................................................................................ 22

5.5.1 Information classification ........................................................................................................................ 225.5 Trends in document, information and knowledge management ............................. 23

5.5.1 Content management ................................................................................................................................ 235.5.2 Acceptance of electronic documents ..................................................................................................... 235.5.3 The importance of accessibility .............................................................................................................. 24

6. CORPORATE SITUATION...................................................................................... 25

6.1 Overview of IS/IT and IM at AstraZeneca.............................................................. 256.1.1 Topaz........................................................................................................................................................... 256.1.2 Active Directory ........................................................................................................................................ 256.1.3 Pharos.......................................................................................................................................................... 25

6.2 eRoom..................................................................................................................... 266.2.1 Functionality .............................................................................................................................................. 26

6.3 LDMS...................................................................................................................... 276.3.1 Informal lifecycle ...................................................................................................................................... 276.3.2 Controlled lifecycle ................................................................................................................................... 286.3.3 Functionality .............................................................................................................................................. 28

6.4 Environmental analysis ........................................................................................... 296.4.1 AZ Chile...................................................................................................................................................... 296.4.2 AZ Colombia.............................................................................................................................................. 296.4.3 AZ Uruguay ............................................................................................................................................... 306.4.4 AZ Costa Rica............................................................................................................................................ 306.4.5 AZ Argentina ............................................................................................................................................. 31

7. SPECIFICATION OF REQUIREMENTS............................................................... 32

7.1 Results ..................................................................................................................... 327.1.1 Information mapping ................................................................................................................................ 327.1.2 Participant observation............................................................................................................................. 33

7.2 Specification of requirements.................................................................................. 34

8. EVALUATION............................................................................................................ 35

8.1 LDMS...................................................................................................................... 358.2 eRoom..................................................................................................................... 358.3 Local file shares ...................................................................................................... 368.4 Basic conclusions .................................................................................................... 37

9. IMPLEMENTATION................................................................................................. 38

9.1 Structuring the network........................................................................................... 389.2 Documentation and workshops ............................................................................... 389.3 Establishing IS/IT policies ...................................................................................... 39

10. CONCLUSIONS ....................................................................................................... 40

10.1 Implement IS/IT function...................................................................................... 4010.2 Further work.......................................................................................................... 40

10.3 Critical review....................................................................................................... 41

REFERENCES................................................................................................................ 42

Published sources .......................................................................................................... 42Electronic sources ......................................................................................................... 42AstraZeneca documents ................................................................................................ 45Other AZ Contacts ........................................................................................................ 45

APPENDIX A – ENVIRONMENTAL ANALYSIS..................................................... 46

Informants ..................................................................................................................... 46E-mail questions ............................................................................................................ 46Telephone conferences.................................................................................................. 46

APPENDIX B – INFORMATION MAPPING INTERVIEWS.................................. 47

Interviewees .................................................................................................................. 47Interview questions ....................................................................................................... 47

APPENDIX C – INFORMATION MAPPING RESULTS ......................................... 48

APPENDIX D – BEST PRACTICES............................................................................ 49

Roles y responsabilidades ............................................................................................. 49Nomenclatura ................................................................................................................ 49Buenas prácticas............................................................................................................ 50

Para la carpeta de departamento (Functional: Ventas, Marketing, etc)...................................................... 50Para la carpeta Común (Cross Functional) ..................................................................................................... 50Para Mis Documentos (My Documents)......................................................................................................... 50Para el uso del disco duro. (Topaz C/:)............................................................................................................ 50

Estratégias ..................................................................................................................... 51Para evitar duplicación de documentos y definir control de versión.......................................................... 51Para evitar pérdida de los documentos y eliminación accidental de archivos.......................................... 51Para evitar saturación de la red ......................................................................................................................... 51Para mejorar el desempeño del equipo............................................................................................................ 51

APPENDIX E – WORKSHOPS .................................................................................... 52

Workshop attendees ...................................................................................................... 52

APPENDIX F – ETMS PROJECT................................................................................ 53

Background ................................................................................................................... 53Purpose / Objective ....................................................................................................... 53Overview....................................................................................................................... 53Execution....................................................................................................................... 54

Business pilot....................................................................................................................................................... 54Feasibility study.................................................................................................................................................. 54

APPENDIX G – AZ ANYWHERE................................................................................ 56

Overview....................................................................................................................... 56Purpose / Objective ....................................................................................................... 56Execution....................................................................................................................... 57

Problems ............................................................................................................................................................... 57

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1. INTRODUCTION

This chapter presents the background to and justification for this thesis, and a briefdescription of the problem, scope and limitations.

1.1 BackgroundAstraZeneca (AZ) has been present in Chile since 1995, first as Imperial ChemicalIndustries (ICI) and then as Zeneca until the merger with Swedish Astra in 1999. Sincethe first year, the company has expanded from around 12 people to the 80 people thatare employed now. During this period, the effort has been placed on marketing andsales, leaving other functions behind, in particular the function dealing withInformation Systems/ Information Technology (IS/IT).

AstraZeneca (AZ) Chile recently adopted a corporate network environment that issupported remotely by IBM in terms of technical issues. Local infrastructure issues arehandled by the Administration and Finances manager, along with an InformationSystem (IS) support technician. The information generated within the company isstored rather arbitrarily on the network drive, where 32 users share the server space.This situation produces concerns with the administration of information anddocuments, such as data redundancy and data duplication. In order to avoid theseissues, AZ Chile would like to implement a system that supports a good administrationof documents and information.

AZ Chile is presently in the transition between being a Distributor/Export market andbecoming a fully AZ controlled Marketing Company1. This produces a further need interms of Corporate Governance2, as there is a need to put the local InformationSystem/Information Technologies (IS/IT)3 practices in line with global AZ policies.

1.2 PurposeThe purpose of this project is to manage the change into an information-sharingenvironment within AZ Chile, ensuring that all staff members have appropriate accessto accurate and up-to-date information in a timely fashion. This will be achievedthrough the design and implementation of an information management (IM) system onthe local network, along with the implementation of good working practices for datastorage and management of information.

1 For further information, see Chapter 3.4: AstraZeneca in Chile: Establishing a Marketing Company.2 Corporate Governance comprises the entire management and control of a company, including itsorganizational structure, business policy principles, guidelines, and internal and external regulation andmonitoring mechanisms (Karstadtquelle, 2006).3 The composition IS/IT is sometimes also referred to as Information Services.

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1.3 Problem descriptionThe main problem to solve in this project was how to improve the storage andmanagement of data and information generated by all the functional units withinAstraZeneca Chile. The company is lacking a true IS/IT function at present, havingonly one technical IS support managing the area, and the Administration and Financesmanager. This could be a possible source of the problem, not having a sponsor4

championing the cause of data and information management within the company.

An underlying issue was how to create a desire for information management withinAZ Chile, along with an attitude for change and support. This is even more importantnow, in times when the computer and information technologies are becomingfundamental in work related to information management.

1.4 Project scopeWithin the scope of this project is the organization of all the information generatedlocally by the functional units and the creation of standard procedures for itsmanagement. The information generated and maintained globally within AstraZenecawill not be considered.

Project deliverables:

• Investigation of IM solutions available globally within AstraZeneca.• Present available options and recommendations for AZ Chile.• Implement an appropriate IM system.• Create supporting documentation concerning information storage and information

management:o Good working practices.o User guide.

• Perform training workshops for the Chilean AstraZeneca users.• Distribute local IS/IT policies in line with global AZ policies.

1.5 AudienceThe outcome of this project is intended for AZ Chile, but the methodology andexecution could be of interest to anyone carrying out an IM project, possibly anotherAZ company. The terminology used is standard for all work related to IS/IT and isexplained when considered necessary. It is assumed that the reader has at least a basicknowledge of computers, IS and IT.

4 According to Project Management terminology, a sponsor is the executive who has ultimateaccountability and responsibility for a project, being able to make minimum 80% of all decisions withoutapproval from higher ups (200.0 Welcome to the PMOStep Project Management Office Framework, 2005).

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2. EXECUTION STRATEGY

The strategy chosen for the execution of this project can be divided into the phasesdescribed below, where the phases are somewhat interlaced. This project was made inparallel with two other projects, all aiming in the same direction.

2.1 PracticeThe first phase consisted of a practice period with the purpose of getting to know AZChile, the information infrastructure and its users. Two other projects were initiatedand carried out in parallel to this IM project. The first project was dealing with SalesForce Automatization (SFA), implementing a digital system with palm technology tothe Sales Force. The other project consisted of the deployment and training of aremote access solution to frequently traveling laptop users. These projects arepresented in Appendix F and G, respectively. All three projects were aimed atimproving the communication and the coordination of information within AZ Chileand to establish global AZ directives on a local level, induced by the transition toMarketing Company.

2.2 Problem identifyingIn the second phase, the main problem to be solved was analyzed. The objectives,scope and limitations of the project were established in the terms of references, alongwith a preliminary project plan. The project plan was reviewed regularly, but appearedsomewhat difficult to follow since the demanding task of performing three parallelprojects made it necessary to dynamically reschedule and re-prioritize activities.

2.3 Literature surveyIn this phase, an investigation of the theoretical background was performed, includinga survey of available literature intending to clarify concepts related to IS and IM. Thesurvey focused on theoretical and practical concepts related to IS, IM and IM systems,and on information security.

2.4 Study of the corporate situationIn this phase, a brief and basic research on how IS/IT is configured and maintainedglobally in AstraZeneca was carried out, including a survey of different IM solutionsavailable in the company.

Additionally, an environmental analysis of the different AZ sites in the region of LatinAmerica was performed. The intention was to investigate previous work in the IS andIM area in countries with a similar culture and technology development.

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2.5 Specification of requirementsThis phase was devoted to understanding the special user- and system requirementsfor AZ Chile in terms of IM. Interviews were performed with the staff members ofeach functional unit, relating to their personal experience with the network and theinformation they manage within the functional unit. The objective with this was todetect the main problems with the present data/information structure, map theinformation in the functional units and specify the user requirements for a newinformation management system.

2.6 Analysis and recommendationThe different IM systems available globally in AstraZeneca were analyzed andevaluated. Basic conclusions and recommendations presented were based on thecollated user- and system requirements. Finally, the discussions led to the conclusionon which IM system that would best suit AZ Chile’s needs and consequently shouldbe implemented on the local network.

2.7 ImplementationIn this project phase, a short implementation plan was prepared and the actualimplementation of the chosen IM system started. The plan consisted of the followingthree phases:

2.7.1 Structuring the network

The outcome from the analysis and discussion indicated that the best IM system toimplement was a basic directory structure on the local network. During theconstruction phase, the directory structures were reviewed continuously with theinvolved people from the functional units.

2.7.2 Documentation and workshops

Supporting documentation for the implemented information system was then created.A simple but important user guide was produced; describing good working practiceswhile using the network and dealing with documents and information. At thefinalization of the project, a series of workshops were performed with the Chileanstaff, in order to introduce them to the new system and the practices.

2.7.3 Distributing IS/IT policies

An important step in converting AZ Chile into a company with good informationstorage and -management principles was to establish local IS/IT practices in line withglobal policies. The distribution was done by reviewing the existing global policies,emphasizing the most important parts, and distributing these to the users in the form ofa booklet entitled “Computer Users’ Code of Conduct”.

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3. COMPANY DESCRIPTION

This chapter gives a brief introduction to AstraZeneca, its history and activities as acompany. The reader is also introduced to the specific situation of AZ Chile and therole the company plays on the pharmaceutical market.

3.1 HistoryAstraZeneca was formed in 1999 as a result of the merger of Swedish Astra AB andBritish Zeneca Group PLC, both companies being large and well knownpharmaceutical laboratories with a similar science-based culture and vision of thepharmaceutical industry. (AstraZeneca, 2006)

Astra was founded in 1913 and the headquarters were located in Södertälje, Sweden.This large pharmaceutical group was engaged in the research, development,manufacture and marketing of many pharmaceutical products, mainly from four keyproduct groups: gastrointestinal, cardiovascular, respiratory and pain control. Therewas also some research focused on the central nervous system. In addition to this,Astra operated a medical devices group called Astra Tech. (AstraZeneca, 2006)

Zeneca was part of the British ICI (founded in 1926) prior to a demerger in 1993. Theheadquarters were placed in London, and Zeneca was an important internationalbioscience group engaged in the research, development, manufacture and marketing ofpharmaceuticals, agricultural- and specialty chemicals, and the provision of healthcareservices related to specific diseases. The focus was on cancer, cardiovascular, centralnervous system, respiratory and anesthesia. Zeneca’s business was intensive onresearch and technology, having extensive international skills in marketing anddevelopment. (AstraZeneca, 2006)

On April 6, 1999, Astra and Zeneca merged and became AstraZeneca. The newcompany was listed on the London, Stockholm and New York Stock Exchanges.

3.2 AstraZeneca todayAstraZeneca is one of the world’s leading pharmaceutical companies and focuses onturning good ideas into innovative and effective medicines that can make a differencein important areas of healthcare. The specialization is healthcare services andprescription medicine to fight diseases in significant therapeutic areas of medical need:cancer, cardiovascular, gastrointestinal, infection, pathological inflammation,neuroscience and respiratory. The product portfolio includes many world leaders inthose therapeutic areas, such as Casodex, Arimidex and Faslodex (treating cancer),Nexium (gastrointestinal diseases), Symbicort (asthma), Atacand (hypertension),Crestor (high cholesterol) and Seroquel (schizophrenia). (AstraZeneca, 2006)

AstraZeneca has about 64,000 employees all over the world. 58% are employed inEurope, 29% in the Americas and 13% in the Rest of the World (RoW). The corporate

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headquarters are situated in London, England and the headquarters for Research andDevelopment are located in Södertälje, Sweden. The US subsidiary is headquartered inWilmington, Delaware. About 12,000 people are employed in Research andDevelopment (R&D) at 11 R&D centers in seven countries: Sweden, UnitedKingdom, United States, Canada, France, India and Japan. (AstraZeneca, 2006)

AstraZeneca’s drug development pipeline at the end of 2005 is illustrated in Figure 1.45 pharmaceuticals were found in Pre-Clinical phase, 17 in Phase I, 15 in Phase II,and 29 pharmaceuticals in Phase III development. (AstraZeneca, 2006)

Figure 1: AstraZeneca’s pipeline for drug development.

3.3 Business areasAstraZeneca develops, manufactures and sells pharmaceuticals that are available inabout 100 countries of the world. The majority of the countries where AZ has businesssites do not count with distribution, not having the legal presence of the company. Theactivities in those countries are focused on marketing and sales. (AstraZeneca, 2006)

In 2005, sales totaled $23.95 billion, distributed over the world as shown in Figure 2below. (AstraZeneca, 2006)

Sales Distribution 2005

US49%

Europe36%

Japan6%

RoW9%

Figure 2: World distribution of AZ sales 2004).

The total global sales 2005 for AstraZeneca’s leading products are listed below. Allnumbers are represented in billion dollars. (AstraZeneca, 2006)

Nexium: $4.6, Seroquel: $2.8, Crestor: $1.3, Arimidex: $1.2 and Symbicort: $1.0.

Phase III29

Phase II15

Phase I17

Pre-Clinical45

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3.4 AstraZeneca in Chile: Establishing a Marketing CompanyAs written in the Introduction, AZ Chile is now in the transition between being aDistributor/Export market and becoming a fully AZ controlled Marketing Company.Conversations with the local staff – and particularly with the Management Team–revealed that there are major phases in the process of establishing this MarketingCompany. These phases are:

Phase 1: Licensee (or Distributor / Export market)AstraZeneca established a commercial presence in Chile through various licensees,(such as Laboratorios Saval, a national pharmaceutical company). These third partyorganizations sold and marketed various products on behalf of AZ without the needfor AZ to have a legal entity. This implies a low degree of risk for the Multi NationalCompany (MNC). The staff and the actives belong to the licensee or distributor, whichalso is responsible for the sales and marketing activities in the country.

Phase 2: Agency5)The staff is now employed by AZ through the Agency but this Agency is notauthorized to commercialize products and so a distributor has to be used in order tolegalize the company’s presence in the country. The level of business risk increaseswith this move to a more independent operation, but AZ also has control of suchmatters as recruitment and conditions of employment. During 2005, AZ Chile was anAgency, the flow of actions are shown in Figure 3 and described below.

The AZ Agency in Chile issues a purchase order via Novofarma Services (NFS, thedistributor used by AZ Chile). The final buying order is sent to the external AZsupplier in UK, Sweden or Argentina. The external supplier charges Novofarma andalso sends the product the same way. The products are passed on to Quality Assurancebefore the sales and distribution via Novofarma. The Quality Assurance is executed inthe external laboratories MLE and Condecol.

Phase 3: Marketing CompanyAZ Chile was granted the authority to establish a fully operational legal entity at theend of December 2005 and is now an established trading company (MarketingCompany) in the country. The staff and the actives now belong entirely toAstraZeneca. Novofarma is still used for the distribution, and the logistic product flowis the same as before, but the administration and document issues are performeddirectly between AZ Chile and the external AZ suppliers. The company’s presence inChile is now entirely legalized by AstraZeneca. During this whole establishmentprocess, the company name has changed from AstraZeneca UK Ltd Agency S.A. inChile, to AstraZeneca S.A.

5 An agency relationship is created when you appoint someone to act on your behalf, and in doing so, theagent becomes bound by certain fiduciary duties, which include obedience, loyalty, disclosure,confidentiality, accountability and reasonable care and diligence. (Century 21, 1998)

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Figure 3: Basic overview of the actors in the distribution process of an Agency.

3.5 The Chilean pharmaceutical market

3.5.1 Prescription and sales data

There are many pharmaceutical chains to be found in Chile, but three are distinguishedas market leaders: Ahumada Pharmacies, Cruz Verde and Salcobrand. In theirdatabases, the pharmacies accumulate prescription and sales data about all the drugsthey sell. These data are then sold further on to companies like IMS Health and CloseUp, which provide services to pharmaceutical laboratories. Finally, the laboratoriesbuy this market information, which proves useful in making operational and strategicmarketing plans, apart from keeping a regular update of the sales. This is a simplifiedview of the information flow, since IMS Health uses more data sources than only thepharmacies. Other data suppliers are drug manufacturers, wholesalers, retailers, mailorders, long-term care facilities and hospitals. (IMS Health, 2006)

At present, AZ Chile is working with IMS Health and the information they provide.IMS Health operates in more than 100 countries and is the world’s leading provider ofinformation solution to the pharmaceutical and healthcare industries. (IMS Health,2006)

Two of IMS Health’ important information solutions used by AZ Chile in the Salesand Marketing departments are the Drug Definition Data (DDD) and Prescript.

The DDD and DDD Plus describe the total sales picture through all distributionchannels – retail and non-retail. These can be seen as tools for sales territory reporting

1. Issuespurchase order

3. AZ Co.Charges NFS

5. Sales toclients

4. QualityAssurance

AZ UK / SWE / ARExternal Suppliers

NFS

2. Finalpurchase order

3. SendsProducts

AZChile

Agency

MLE / CDC

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and they compare the sales of a client’s products with competitive products. (IMSHealth, 2006)

The Prescript and Prescript Plus provide information about what products arebeing prescribed most often and who are the most important physicians. The Prescriptalso identifies the market leaders in terms of written prescriptions. (IMS Health, 2006)

3.5.2 Sales Field Force

The pharmaceutical laboratories in Chile use medical visitors, also known as salesrepresentatives (or reps), to increase the sales and make promotion. These medicalvisitors are members of the staff and together they form the Sales Field Force. Theinformation below has been collected from conversations with the representativesworking at AZ Chile.

Basic knowledge in the biology area, or having a previous background as a chemist,veterinary, or having a professional title, are requirements to work as a medical visitor.More detailed education relating to the particular products of the pharmaceuticalcompany is provided during an initial training period.

The representatives’ work can be seen as a mixture between marketing and publicrelations. Their work consists of visiting the physicians in their consultancy or at thehospital. The objective with the visits is to promote the laboratory’s products andconvince the physicians to prescribe these. Every representative works with a Kardex;a list with physicians that the representative has to visit each month. The nominalamount of contacts is 160. The sum of all Kardex is called the Target, i.e. all themedical contacts of the laboratory.

In the beginning of 2006, AZ Chile had a Sales Field Force that consisted of 50representatives. The representatives are distributed on different geographical districts,each of which is controlled by a District Manager, also called Supervisor, or First LineSales Manager (FLSM).

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4. RESEARCH METHODS

During this project, the following qualitative research methods have been used:environmental analysis, interviews, and participant observation. These methods aredescribed in this chapter, including a short introduction to quantitative researchmethods, for comparison purposes. The chapter also provides a short discussion of thereliability and validity with the chosen methods.

4.1 Quantitative methodsWhen using a quantitative research method, it is decided in advance which possibleresults the study can give (Gunnarsson, 2002). The objective is to explain or prove anobservable fact, following a predetermined research plan where error sources can beeliminated. The quantitative methods are mostly used when performing an evaluationof an occurrence that can be observed objectively. The selection of a random samplehas to be representative for the population and the size of the sample is relative to thepopulation. (Gunnarsson, 2002)

There are two advantages of a quantitative method. Firstly, one will find an objectivemeasure of the probability that the conclusions are correct. Secondly, a quantitativemethod is often easier and requires fewer resources than a qualitative method.(Gunnarsson, 2002)

Myers (2005) relates in his article that the quantitative research methods originallywere developed in the natural sciences to study natural phenomena. These methods arenow well accepted also in the social sciences, and include survey methods, laboratoryexperiments, formal methods (e.g. econometrics) and numerical methods such asmathematical modeling.

4.2 Qualitative methodsWhen using a qualitative research method, one does not know in advance whichresults that are possible (Gunnarsson, 2002). The objective of the study is tounderstand the occurrence in question, which requires some openness whenconfronting the outcome. In this method, it is not interesting to know how manypeople that have a special opinion, the interesting part is to know what they believe,and why. Because of this, it is most likely that the research plan and the methods haveto be changed during the study. Studies using qualitative methods are not evaluations,but rather scientific research in the utmost significance (Gunnarsson, 2002).

In terms of selecting a sample, it is not made in the same way as when using aquantitative method. When performing an interview, the informants are chosendeliberately because of their knowledge of the phenomenon. The selection is notlimited, on the contrary, there should be an attempt to obtain as much information andfeedback as possible. (Gunnarsson, 2002)

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According to Myers (2005), the qualitative research methods were developed in thesocial sciences to study social and cultural phenomena. Examples of these methods areaction research, case study research and ethnography. The data sources includeobservation and participant observation, interviews and questionnaires, documents andtexts, as well as the researcher’s own impressions and reactions.

Whether having a quantitative or a qualitative research approach, it is feasible to applytriangulation, i.e. using multiple methods and/or data sources to study the samephenomenon. The objective with triangulation is to compensate the weaknesses in onemethod by the strengths of another. (South Australian Community Health ResearchUnit, 2006)

The qualitative methods for triangulation used in this project are described in chapter4.2.1 through 4.2.3, along with some brief descriptions of related methods.

4.2.1 Environmental analysis

The objective of performing an environmental analysis is to scan and collectinformation and knowledge about what happens in the environment, for example thesociety or other competitive organizations. There is a need to access different sourcesof information in order to obtain a wide perspective of the phenomenon that will beanalyzed. The different information sources can be oral or written, as well as digital,and it is essential to be attentive, listen and ask questions. The environmental analysisaims to make an evaluation of the analyzed phenomenon and make strategic decisionsthat can influence the organization in a positive manner. (Region Skåne, 2006)

Information and knowledge used in an environmental analysis can be collectedthrough e-mails, face-to-face interviews, and telephone conferences or through writtenor digital documentation.

4.2.2 Interviews

Keegan (2005) explains that an interview can give us both quantitative and qualitativedata, depending on the standardization and the nature of the questions asked. The morestructured and standardized the interview questions are, the more able you are toobtain quantitative data. Quantitative data obtained is reliable and easy to analyze. Aninterview that is made on a set of standardized questions is called structured and ispreferred to use when specific and/or quantitative answers are required.

However, if we want a deeper insight, we need to use a loose interview form and givethe interviewee more freedom to discuss a thematic area from his point of view andwith his own words, without being restricted by a closed set of questions. Aninterview of this form is called open-ended and is practically an informal conversationwhere questions are spontaneously generated in context, which means that eachinterview is different. (South Australian Community Health Research Unit, 2006)

If we want to understand what the interviewees already know about the topic, howthey perceive it, what they like, what they would change, or how they think, it is

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recommended to use the structured open-ended interview, since this can giveimportant insights for improvements. The interview plan is created from a pre-established set of carefully worded questions, but gives the interviewee freedom toconverse from his point of view and the interviewer liberty to make relevant follow-upquestions. (Monroe, 2001)

4.2.3 Observation

There are two categories of observations: observation, and participant observation.The observation is a research method, in which the investigator systematicallywatches, listens to and records the phenomenon of interest. In the participantobservation, the investigator takes part in the social phenomenon of interest byparticipating in a group and observing the interactions between the group membersand between the researcher and subjects to achieve a greater understanding. (SouthAustralian Community Health Research Unit, 2006)

4.2.4 Workshops

A workshop is an educational, classroom-type sessions in which handouts and readingmaterial often are used. A workshop may last from one hour to many days. (AieSpeakers Bureau, 2006)

4.3 Methods approachedGunnarsson (2005) explains that the research methods should be chosen according tothe purpose and the approach chosen for the project. This particular project intended toobtain a deeper understanding of the performance of the existing networkconfiguration, the problems with it and possible solutions and for that reason, aqualitative research approach was preferred. This kind of investigation requires amethod that goes deeper than for example a questionnaire with fixed questions does.The qualitative methods used in this project were: an external environmental analysis,internal interviews, and participant observation. The planning and execution of thesemethods is described in chapter 4.3.1 through 4.3.4.

4.3.1 Environmental analysis

In order to obtain objective information and knowledge about the infrastructuresituation in other countries where AZ is present, an analysis of the environment wasperformed. This analysis was focused on AZ sites in Latin America, because of thesimilar science base and development rate in IS/IT. The objective was to reach theperson responsible for IS/IT, such as an IS Manager, and ask how they administratedthe documents and information on their network. The intention was also to clarifywhich IS and IM alternatives that were used and take advantage of other regions’experience when implementing IM at AZ Chile.

The information was collected through e-mails and telephone conferences. The IScontact persons on the AZ sites in Argentina, Costa Rica, Colombia, Mexico, Uruguayand Venezuela were contacted first via mail, with the intention of having short andclear questions that could clarify the IM solutions used on each site (Appendix A). In

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the case of Chile, the contact was interviewed on the location. The contacts forMexico and Venezuela did not respond. In the case of Costa Rica and Colombia, afollow-up was made over the phone. The results from the environmental analysis aredetailed in chapter 6.4.

4.3.2 Information mapping interviews

It was decided to perform these interviews with all the functional heads at AZ Chilewith the objective to map and classify the information managed within each functionalunit, and map the information flow between units. This decision was based on theassumption that each functional head knows well which information is managedwithin his/her functional unit, as well as the interactions with other units and wouldtherefore be able to clarify these topics.

A total of eight initial interviews were performed with eight functional heads,corresponding to the functional units for: General Management, Marketing, Medical,Administration and Finances, Supply and Logistics, Sales, Human Resources andRegulatory (Appendix B). As for the information concerning the IS/IT function, it wascompiled and treated as an independent functional unit, with help from theAdministration and Finances manager. Supply and Logistics was also part ofAdministration and Finances, but had a separate coordinator.

A pre-established series of questions were asked to the heads of the functional units(Appendix B). The interviews performed here can be seen as structured and open-ended, because the questions were made in advance, but there was also a degree ofopenness to encourage the interviewees to think and answer freely, since this couldreveal additional information.

The main expectations with these interviews were to:

• Give a clear picture of what information is managed within each functional unit.• To clarify the characteristics of this information: permissions, classifications,

frequency, and distribution channels.

There is a short outline on how the results from these interviews were processed inchapter 7.1.1 Information mapping.

4.3.3 Participant observation

It was decided to use participant observation in this project, with the purpose ofstudying the behavior of the 32 office staff members when using the network andworking with the current system. This method was used during the whole projectperiod, since there appeared many opportunities to assist the users with their problemswith the computers, the printers, the network, etc. These opportunities were consideredas small, open-ended interviews and they were utilized to ask questions to the usersabout their personal opinion and experience about the advantages and disadvantageswith the existing information systems. This proved really useful and led to manycomments and complaints, which were documented continuously. It was expected that

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these observations could determine the specific requirements for a new IM system andbe a base for future recommendations and further improvements.

Another important part was of course the author’s own impressions and annotationswhen working with the system. This part of the method was the observation. However,the judgments derived from these observations must be seen as highly subjective,although the intention has been to keep the observations as objective as possible.

During the whole time when performing the interviews and the observations, allremarks were written down and transformed into best practices for network use. Thedetected problems were written down and one or several policies were constructed,which would prevent the specific problem. The policies were written in Spanish fromthe beginning, since the intention was to implement them locally at AZ Chile and itwould therefore not be necessary to have them in English.

4.3.4 Workshops

In order to facilitate the introduction of the new IM system to the users, workshopswere used. These were performed in the meeting rooms at AZ Chile from April toMay 2006. The 32 members of the office staff were separated by functional unit, andone workshop was performed for each functional unit. By separating the staff by area,it would be easier for them to relate to the particular circumstances in their unit. Theusers not belonging directly to any unit were distributed as deemed convenient. Intotal, 29 of the 32 office users assisted at least one workshop (Appendix E).

4.4 ReliabilityA definition by Bell (2000) states that reliability measures the probability of reachingthe same conclusion if the research is made at another time, but under the samecircumstances.

The interview questions were organized and structured in advance, which is a factorfor obtaining high reliability. It is also assumed that high reliability was obtained sincethe users had a sincere interest in a successful outcome of the project, and hencewould respond as well as possible. However, the communication between theresearcher and the interviewees could have suffered from misunderstandings due tolanguage difficulties, which could have produced some loss in the reliability, but beingaware of this situation hopefully minimized the effect on the reliability. (Bell, 2000)

It is not likely that the result would have been the same if the project had been made atanother time, since the outcome of a project like this depends on the specialcircumstances and on the technical advances of the society, which evidently changeduring the course of time.

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4.5 ValidityThe validity can be understood as the authenticity of a study; a definition is providedby Bell (2005) saying that the validity is whether a test really measures what it isclaims to measure. In the present study, this can be interpreted as whether theinterview questions really answers what they are intended to answer. To minimize theimpact of misunderstandings, the interview questions were previously reviewed bydifferent sources, both partial (the AZ supervisor) and impartial (student friends).

Another view of validity is whether it is possible to generalize the result of the study.The execution strategy of this project can easily be applied to another company in asimilar situation to AZ Chile, but the outcome of a study like this depends much on thespecial requirements of each company. The results of this work can facilitate andshorten another study, but not replace it completely, since the study depends on thetime and the context.

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5. THEORETICAL FRAME

This chapter aims to give the reader an introduction to information and informationmanagement, as well as show the extension of these important characterizations.

5.1 Basic conceptsIn the daily life, information is sometimes confused with data, and other timesinformation is confused with knowledge, but the three concepts have differentdefinitions. For that reason, it is practical to first revisit the basic definitions of data,information and knowledge, in order to understand the concepts well. Authors inmodern history literature have suggested different interpretations (Table 1).

Table 1: Different interpretations of Data, Information and Knowledge in modern literature.

Author (s) Data Information KnowledgeWiig 1993 - Facts organized to

describe asituation orcondition

Truths and beliefs,perspectives andconcepts,judgments andexpectations,methodologies andknow-how

Nonaka andTakeuchi 1995

- A flow ofmeaningfulmessages

Commitments andbeliefs createdfrom thesemessages

Spek andSpijkervet 1997

Not yet interpretedsymbols

Data with meaning The ability toassign meaning

Davenport 1997 Simpleobservations

Data withrelevance andpurpose

Valuableinformation fromthe human mind

Davenport andPrusak 1998

A set of discretefacts

A message meantto change thereceiver’sperception

Experience,values, insights,and contextualinformation

Quigley andDebons 1999

Text that does notanswer questionsto a particularproblem

Text that answersthe questions who,when, what, orwhere

Text that answersthe questions whyor how

Choo, Detlor, andTumbull 2000

Facts andmessages

Data vested withmeaning

Justified, truebeliefs

The definitions for data, information and knowledge detailed in Table 1 can beexpanded more comprehensively as below.

Data are raw and merely a series of facts, that has no meaning on its own basis. Datacan be symbols that are not yet interpreted or texts that does not answer questions to a

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specific problem. Data are the numbers, letters and images found in archives; Excelsheets, Word documents or PowerPoint presentations. Information is an interpretationof data, or processed data in order to become useful and have a meaning. Observing animage, the information tells us what or who is portrayed, as well as when and where itwas made. Knowledge is an application of information and related to the context.Using the example above, an image tells us why and how it was made.

After these short definitions, it is useful to expand the concepts into a business contextand explain what happens when you begin to handle data, information and knowledge.This is called management, and can also be referred to as administration, control,operation or supervision (Performance Graphics, 2000). It is feasible to first make aseparation of the three management areas, but we will see that they are closely relatedto each other.

Data management is the work that involves the planning, development,implementation, and administration of systems for the acquisition, storage, andretrieval of data (United States Office of Personnel Management, 2001). In this report,the term document management will be used instead of data management, since theproject deals with administration of electronic documents and the data they possess.

Information management is a structured process to bring quality information in theright form to the right people at the right time to support sound and deliberatedecisions, and to generate ideas (United States Department of Agriculture, 1991).

Knowledge management (KM) is the process of systematically and activelymanaging and leveraging the stores of knowledge in an organization. It is the processof transforming information and intellectual assets into enduring value (University ofSouth Australia, 2005).

These definitions can be seen as different layers of management. In this project,particularly, the central idea is about information management in the sense ofdeveloping a system for managing the flow of information, between the differentfunctional units within AZ Chile. On the lower level, the project deals with datamanagement in the sense of creating a logical structure for data, documents andrecords on the local network drive. On the higher level, the project can be interpretedas knowledge management, meaning that the implementation of an informationmanagement system intends to generate an added value to the organization, in terms ofcontinuous learning. These different layers of management are visualized in Figure 4.

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Figure 4: Visualization of the different layers of management.

5.2 Managing documents and informationIn the past, handling data, document and information was mostly limited tomaintaining a simple structure of paper files, archives and forms, a work that could beperformed by almost anyone. But with the propagation of the information technologiesstarting in the 1970’s, another aspect of this reality appeared. Information started to beconsidered as a resource, having a potential value for the organization. Data andinformation begun now to be stored and secured electronically, in different formats,and on different devices, which made it necessary to find ways to connect the sourcesand make the information available when necessary. (Maceviciute and Wilson, 2002)

The computers and the technological advances make it easier for the individuals andthe organizations to create high technology products in order to deliver informationservices more rapidly. At the same time there is a higher availability to store theinformation in different document formats.

Originally, a system designed for document management was a computer programused to track and store images of paper documents, but now it is distinguishedbetween systems specialized in paper capture and records, respectively. Typically forDocument Management Systems (DMS) is that they provide check-in, check-out,storage and retrieval of documents (Laserfiche, 2005).

Storing entirely electronic documents, that is, documents that are both written andstored electronically, follow the same basic principles. Because of the possibility touse electronic signatures, it is not always necessary to print copies of the documents.Systems that support these procedures are called Electronic Document ManagementSystems (EDMS). EDMS is the generic name for a system designed to manageelectronic documents and information. (Docubase, 1998)

DataManagement

• Document management:storage and retrieval, etc

• Data structure• Data distribution

• Organizational learning• Teamwork

management• Vision, motivation• Commitment to learning

KnowledgeManagement

• Informationstandardization

• Information flow• Distribution channels

InformationManagement

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5.3 IM guidelinesThree fundamental guidelines for information management in a small to medium sizeorganization6, are explained by Kirk (1999) in chapter 5.3.1 through chapter 5.3.3.These guidelines describe the purpose, scope and implementation of informationmanagement.

5.3.1 Purpose of information management

Information and its management contribute to the achievement of organizationalgoals. Whether information is considered as a resource, or a force for change anddevelopment, it is clear that information is a valuable asset and contributes to thesuccess of an organization. Recognizing information as an asset, any organizationshould consequently maximize the value of from it, and make it available to all thosewho can obtain value from it.

A process approach to IM supports the integration of business strategy andinformation. The companies that are successful are those that adapt to and shape theirenvironments, and do so by using and creating information in a process of continuousimprovement and innovation.

5.3.2 Scope of information management

Information management is contextualized by the organization. The objectives andpriorities for IM will be framed within the context of the organization and depend onthe industry sector, the market place, the culture and nature of work in theorganization. This can be viewed from the perspective of two model organizations; theone that is like a machine, and the one that is like a learner.

In the machine-like organization, the IM function might be a central informationcontrol unit with links to an IT unit, both controlling internal information. There mightalso be a unit providing information services based on external information. Thisstructural arrangement might be appropriate for this kind of organization.

In the organization that is like a learner, the IM might be decentralized in a federalstructure that supports teams but locates some IM functions locally. Each team isresponsible for supplying information to knowledge databases accessible through theorganization’s Intranet.

Some differences between these two models are seen in the distinctions betweeninformation generated internally or externally, the information sharing that arises fromthe organization’s activities, the relation between the provider of information services,IM and IT staff, the applications of IT, etc.

6 Small and Medium Size Enterprise (SME) is considered a business with no more than 250 employees.

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Information management must adopt a broadly based approach to information. Justlike there is a hierarchy of definitions of information, there is a possible hierarchy ofdefinitions of IM, proposed in Table 2.

Table 2: Hierarchy of definitions of information and IM (Braman (1989) in Kirk (1999)).

Definitions of information Definitions of IM

Information as a resource IM as IT systems

Information as a commodity Information resource management

Information as a perception of pattern IM as aligning information strategyand business strategy

Information as a constitutive force IM/KM integrating strategyformation and information

If IM is to influence the development of the organization then it should recognize asmany categories of information as possible, as broad a range of sources and media aspossible, and as broad a range of uses of information as possible.

The IM base encompasses information as an object and as a user construct; formal andinformal flows of information inside and outside organizations; internal and externalsources of information; enhancing the information capabilities of individuals inorganizations. One approach to IM is to help information users match the informationprovided by a system with their needs, which will add value to the information interms of ease of use, time saving and cost saving.

5.3.3 Implementing information management

Managers are in a unique position to integrate information and business strategy.Successful implementation of IM requires support from senior management, explicitlyin funding priorities, information-related activities and projects and training programs.In order to integrate the information and business strategy, it is necessary to have alearning organization that is team based. Managers can be seen as knowledgeengineers, since they in their daily work have opportunities to integrate businessstrategy and information. The task of IM is to enable managers to engage effectivelyin this work. Some key contributions by IM are to enhance the quality of information,build knowledge databases and facilitate information sharing across teams.

The effectiveness of information management can be measured by the extent ofknowledge creation or innovation in organization. The measures of the effectivenessof information management will be directed towards teams and the organization itself.Some measures require evaluation over a longer or shorter time period, such as

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evaluations of training programs and these indicators will require both qualitative andquantitative measures. The concern is to identify what it is that information andlearning have made possible in the organization.

In organizations, IM is the key to systematic innovation and to the benefits thatinnovation brings. Organizational learning and the development of individuals areimplicit in this model. For example, the organization of information and thecontinuous practice of storage activities ensure that the organization’s knowledge ismade available to individuals or groups in the organization. Having the informationbetter organized incentives creative thinking and develops new insights and innovativesolutions, which can be captured through organization and storage activities and madeavailable for further use. This completes the spiral of knowledge.

5.4 Organizational learningKnowledge management is a recent term for what was earlier known as organizationallearning. It can be interpreted as a process of systematically and actively managingand leveraging the stores of knowledge in an organization, with the purpose oftransforming information and intellectual assets into enduring value. (University ofSouth Australia, 2005)

Senge (1990) defines the learning organization as one that continually enhances itscapacity to create the results they really care about. This is accomplished by puttingemphasis on three key areas:

• Shared vision and a common sense of purpose• Common language for communication information within the organization• Understanding of organizational dynamics and complex business processes

Another definition is that of an organization that can create and innovate, and not onlyrespond and adapt. In practice, learning organizations are associated with flatmanagement structures, effective team building, creating a no-blame environment andstimulating quality management. (University of South Australia, 2005)

One important thing to remember is that KM is neither a technology, nor a softwarepackage, but rather a business practice, and the implementation of KM is thereforeconsidered at a strategic level. For a successful KM, a cultural change is requiredwithin an organization, and the problem in this situation is that individuals are asked togive up their unique knowledge and experience on behalf of the organization. Theperception they might have is that they will become less valuable this way, and this iswhy it is important to inform about the changes and the expected effected, and mostimportant that the individuals will not lose their individual value.

Furthermore, two important points are noted when implementing a plan for KM(Knowledge Management Guide, 2006):

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• KM is a constantly evolving business practice and a project dealing with KM hasno completion date.

• Not all information is knowledge. It is essential to separate what information andknowledge to include in the KM project, and what data and information to exclude.

5.5 Information securityThere has always existed a need to keep data and information protected fromunauthorized access, modification, deletion, or disclosure, whether it is accidental orintentional. A key aspect of Information Security is to preserve the confidentiality,integrity and availability of an organization’s information; this is called the CIAmodel. Losing one or more of these elements can threaten the continued existence ofeven the largest corporate entities. (RUSecure, 2006)

Confidentiality means making the information available only to those who have theright AND the need to access it, that is, authorized persons or organizations.Breaching the confidentiality can occur when data is not handled appropriately in amanner that protects the information involved. Such disclosure can take place by wordof mouth, by printing, copying, e-mailing, etc. The classification of the informationshould determine the confidentiality and consequently, the adequate safety measures.(RUSecure, 2006)

Integrity means ensuring that the information is authentic and complete and that it canbe guaranteed that the information is accurate enough for its purpose. Data integrityindicates not only whether the data is correct, but also if it can be trusted and reliedupon. When a document is sent to many receivers, data and information integrity isthreatened because of the risk that someone modifies the content. (RUSecure, 2006)

Availability means assuring that the information is available whenever the businessneeds it. This can also be interpreted as ensuring that the same systems responsible forstoring, processing and delivering information are accessible when needed, by thosewho need them. (RUSecure, 2006)

The organization should clarify these elements in order to meet business needs andmake the users aware of the consequences of managing information.

5.5.1 Information classification

When deciding who has access to what within an organization, the information isusually classified in different categories. The purpose of classifying information is toenable it to be stored in an organized manner to facilitate access to the rightinformation required to support a business process. Information classification makes iteasier for users and business units to manage large volumes of data and information.The categories into which information is classified depend on the business need forgrouping the information, and the application of a classification scheme alwaysrequire some judgement by a human user. (Department of Commerce, 2002)

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In terms of information security, the information can be classified into differentconfidentiality levels, where each level has its requirements for authorization, as wellas how it should be stored, transmitted, and destroyed. The classification system varymuch from country to country, and even between organizations, but typically, thereexist levels corresponding to the following:

Unclassified < Confidential < Secret < Top Secret, where Unclassified is the lowestlevel and Top Secret is the highest. Unclassified information can also be referred to asPublic information. (Kuhn, 2005)

5.5 Trends in document, information and knowledge managementSometimes, it can be difficult to separate between Document, Information andKnowledge management, or see the limit between the different management phases.Bustelo and García (2001) suggest that the three phases form part of the same reality,and that the trend is heading towards Content Management (CM). The onlyinformation that can be managed is the information that has been registered, whetherin databases or in documents, also referred to as content. When referring to the termknowledge, we are placed on a level superior to that of intellectual work, whichimplies that a thinking person has processed the information. However, when it comesto managing knowledge, all practices pass more or less through the process of firstregistering contents in documents or databases and then sharing that information.

5.5.1 Content management

Content Management can be defined as a set of processes and technologies thatsupport the evolutionary life cycle of digital information. The digital information isoften referred to as content, or more precisely, digital content. The life cycle of adigital content consists of six primary phases: create, update, publish, translate,archive, and retire. (Cylogy, 2005)

A Content Management System supports the creation, management, distribution,publishing, and discovery of corporate information. This is also known as WebContent Management, as these systems typically focus on online content targeted ateither a corporate website or Intranet. (Robertson, 2004)

An important characteristic in content management systems is the use of workflow,which is the operational aspect of a work procedure. A workflow covers for example:how tasks are structured, who performs them, what their relative order is, howinformation flows to support the tasks, and how tasks are being tracked.

5.5.2 Acceptance of electronic documents

The development during the last decade has been heading towards the paper-freesociety. Although we have not arrived there yet, this has influenced in the acceptationof the e-mail as work tool, and many tasks are now performed electronically. Thisreality has opened many doubts about how the electronic documents should bemanaged, concerning their validity and authenticity. (Bustelo and García, 2001)

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Firstly, it seems important establishing clear standards and procedures that form partof the strategic planning of the information system, and using the most adequate tools.Secondly, this is related to the definitive acceptance of an electronic document asvalid, using electronic signatures for approval.

As a consequence of this arise the need to manage different versions of the content asit evolves, keeping track of the changes and ensuring that the last version is reviewedand approved for use. This is called version control, or revision control, and is oftenused in software development, or when a team of people work on the same documents.Changes to these documents are identified by increasing an associated number or lettercode, called the revision number (The Rockley Group, 2006). This process supportsprincipally the data/ information Integrity in the CIA model in chapter 5.5.

5.5.3 The importance of accessibility

Another significant trend brought up by Bustelo and García, (2001), mentions theimportance of managing accessibility better than content media. When working withinformation, and/or content management, it seems to be less important where thedocuments are stored physically, as long as they are easily accessible in the momentthey are needed. Considering this, it is feasible to understand the use of remote serversor databases, or even Applications Server Providers (ASP), which offers theirequipment and programs in order to manage an organization’s information. Thissituation is directly linked to the item Availability in the CIA model above.

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6. CORPORATE SITUATION

This chapter gives a brief insight to the current situation at AstraZeneca globally, interms of IS/IT, and the IM solutions available in the company. The descriptions arebased on documentation from the AstraZeneca Intranet (AstraZeneca Documents). Italso describes an environmental analysis of what is done on other AZ sites in LatinAmerica, based on the information given by international contacts through mails andtelephone conferences.

6.1 Overview of IS/IT and IM at AstraZenecaWith the intention to give the reader a basic understanding of the informationenvironment at AZ globally, a short overview of the IS/IT infrastructure used on acorporate level will be provided. There will also be a short description of two relevantprogram modules that handle user accounts and user permissions in the Windowsenvironment: Active Directory and Pharos. Two IM software solutions supplied byAstraZeneca are described: eRoom and LDMS. The information in chapter 6.1.1through chapter 6.3, is available on the AstraZeneca Intranet (AstraZenecadocuments). The results from the environmental analysis are described in chapter 6.4and provide information about specific IS and IM solutions on other AZ sites in LatinAmerica.

6.1.1 Topaz

AstraZeneca worldwide uses a specially developed IT-platform called Topaz, which isan abbreviation for Total Operating Platform for AstraZeneca. Topaz is based onWindows 2000, but has included some application upgrades and some additionalsecurity elements. The last version is 2.4.2 and was deployed to all the sites over theworld during December 2005 (Latif, 2005).

6.1.2 Active Directory

The Active Directory is a central module of the Windows server platform. Thisprogram provides the resources to manage the identities and relationships that makeup network environments. In AZ, the Active Directory is a basic instrument thatmanages user accounts and user permissions on server level.

6.1.3 Pharos

During 2005, AstraZeneca’s global IS function performed a world site deployment ofPharos, which is a system that manages some components of the Active Directory.BMC Software is the vendor of Pharos. Some items are used from the BMC suite ofsecurity tools and AZ provides some additional utilities.

Pharos displays all AZ Windows 2000 resources and other resources managed by thesystem itself. Pharos enables requesting and approving / rejecting of user accounts,along with the implementing of them, which means the creation, management andgranting resource access via group membership for Topaz.

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6.2 eRoomeRoom is a secure, web-based workplace that can be adapted for a specific project,process or business initiative. It is an easy way to share files and work closely andproductively in distributed project teams or organization groups. Requesting aneRoom is a quick and easy process and it is made on the Intranet. When requesting,the type of eRoom has to be chosen and there are four different standard eRooms toselect from. These are: Community of practice, Department/Team, ProgramManagement and Projects. A standard folder structure and templates are included inthe basic configuration for each type of eRoom.

The Program Management eRoom has been designed for programs to track thecurrent status of project (-s) and provides visibility to others in a consistent manner.This template is best used for inter-departmental project teams because it enablesgroups to easily share information, documents, presentation and protocols andcollaborate on common goals.

The Department/Team eRoom enables teams to share information across their owndepartment. This eRoom provides tools to report expenses, track vacations, and sharebudget information, administrative tasks, and schedules.

The Project eRooms are best used for teams working on a single project. It providesthe same tool and supports the same processes as the eRoom for ProgramManagement.

The Community of Practice eRoom offers a collaborative space for a group of peoplewith common interests or goals. The folder structure includes Resources, Tips&Tools,Conference / Seminars / Workshops, Suggestions, Presentations and Meeting, alongwith a membership list and an “ask the expert”-database.

The eRoom service supports an integrated collaboration for AZ users and allows user-rights managed file sharing, project calendars and, voting, chat functionality, etc.eRoom permits the project team to discuss ideas, share information, make decision, allwithin a central location. Online training is available in order to help coordinators andother end-user roles to better use the potential of the eRoom service. An eRoom policydocument describes the purpose and the value of the eRoom system, together with theroles and responsibilities related to eRoom use.

6.2.1 Functionality

A Coordinator manages the eRoom and invites others to contribute as a Participant(with read/write access) or as an Observer (read access). For full functionality, it isrequired to have the eRoom plug-in, but this tool is integrated in Topaz 2.4 sinceDecember 2004 and will be installed together with the platform. The uploadeddocuments are physically stored on the UK based eRoom server.

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6.3 LDMSAstraZeneca’s global IS function has configured a special cost effective version of anEDMS called Lightweight Document Management System (LDMS). This LDMS isstandard in ISMO 7 and highly recommended.

LDMS is used by various AZ business functions, such as Global Purchasing, Gti8 andResearch & Development Clinical. The system is primary used and designed to helpthese functions to manage their Quality Management System documentation, fromStandard Operation Procedures through to forms, as well as project documentation.LDMS is a fundamental tool for workflow control, providing complete audit trail forreviewed and approved documents.

There are two distinct document lifecycles provided by the LDMS: Lifecycle forinformal documents and Lifecycle for controlled documents.

6.3.1 Informal lifecycle

The informal lifecycle has a simple procedure for storage and version control asfollowing: (create > edit > release for use). Via the system, it is possible to createdocuments in Word, PowerPoint, Excel and Visio. It is also possible to uploadscanned documents and any other files but those cannot be edited within the system.The informal lifecycle has no approval routine for documents. The process of thisdocument lifecycle is illustrated in Figure 5.

Figure 5: Illustration of the informal lifecycle for documents.

7 ISMO is the International Sales & Marketing Organization for AstraZeneca, responsible for driving anddeveloping the business in each of the markets where AZ is present.8 Global Technical infrastructure is an AZ community that delivers high quality services through a globalIT infrastructure, in order to achieve business goals.

SUPERSEDED(by new version)

WITHDRAWN

ACTIVE

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6.3.2 Controlled lifecycle

The controlled lifecycle is more complex than the informal lifecycle and there is fullcontrol throughout the whole document life: (create > edit > review > approve >training (optional) > release for use). It supports only MS Word or scanneddocuments, and the approval routine is processed through electronic signatures, whichin this case means the unique AZ user name + user password. One example ofdocuments managed in the controlled lifecycle is Standard Operating Procedures(SOP). The lifecycle process is illustrated in Figure 6.

Figure 6: Outlined view of the controlled document lifecycle.

6.3.3 Functionality

LDMS provides a secure and controlled environment for management of documentsand is suitable for both regulated and non-regulated environments. The system is builton a reusable architecture and it is web based, i.e. there is no need to install softwareon every computer that needs to access the system. At the time of writing (2006), theinterface is available only in English, but local language can be obtained if there issufficient demand. However, documents can be stored in any language.

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The system supports version control and controlled printing. Documents can bepublished to a website with AZgard, which is AstraZeneca’s global standard for webcontent management. In the documents, electronic signatures replace writtensignatures. At present, collaboration with external bodies is very limited, as well as thepossibilities to configure the DocTypes and Lifecycles.

6.4 Environmental analysisThe results from the environmental analysis are presented in the following chapters.(Appendix A).

6.4.1 AZ Chile

This description of the IS situation at AZ Chile was provided by Marco de la Rivera(2005).

The local network consists of 6 physical server drives each of 36.4 GB, where afraction is used as a backup, mirroring the drive. The 3 existing logical unitscomprises 101.6 GB, which are partitioned in the following way:

C:/ : Everything that has to do with the system.Capacity: 11,7 GB.

D:/ : The Operating System Topaz, program applications, and the SystemManagement Server9, which is operated remotely from the UK.Capacity: 22,1 GB.

E:/ : AZ functional units, user profiles, local file share, My Documents.Capacity: 67,8 GB.

The functional units correspond principally to the following functions: GeneralManagement, Administration and Finances, Marketing, Sales, Medical, Regulatoryand Human Resources. Each of them possesses an own drive for sharing informationand documents, except Regulatory, being a one-man functional unit and sharing spacewith Medical; and the IS/IT function, being part of Administration and Finances.

6.4.2 AZ Colombia

The IS contact for AZ Colombia was Mario Peñaloza, and the following description isbased on his explanations (2005).

AZ Colombia has 100 office users using a shared server space consisting of 517 GB.On the site they use an information structure that looks very much like the corporatestandard. The server space has one Public folder, with separate subfolders for eachfunctional unit and the accesses are given through Pharos and Active Directory as

9 The System Management Server (SMS) is used to upload program applications remotely from the UK.

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mentioned above. Within each functional unit’s folder, it is possible to grant access tosomeone outside the functional unit, if it is necessary. Apart from this, there is a spaceon the server where everyone can store, edit and delete which document they want.

eRooms are not used so much in Colombia, only when working on a particular project,or when having a project follow-up.

The LDMS described in chapter 6.3 is known in Colombia and considered to be veryinteresting and useful, but the opinion is that it would be necessary to have one personresponsible for the maintenance of the system and capacitate all the users. This meansthat it is impossible to implement LDMS in AZ Colombia while they only have oneperson ultimately responsible for IS, but it could be a solution in the future.

6.4.3 AZ Uruguay

The IS contact for AZ Uruguay was Rodrigo De León, and this short description isbased on the details he provided (2005).

The information at AZ Uruguay is organized in folders and the users are given accessto these, according to their permissions, which are given through Pharos. 15 officeusers share a total of 135 GB of server space.

eRoom is much used on the site, because this allows a more transparent control of theinformation stored within and the permissions are given more easily. However, eRoomis only used to share common project information and not the data they share in theirdaily work.

6.4.4 AZ Costa Rica

This description of IS at AZ Costa Rica is based on Ronald Rodriguez, (2006).

The IS system administrates 64 user accounts on the server. 15 of these users areremote workers and connect to the AZ network via AZ Anywhere10.

Costa Rica’s server space is organized almost in the same way as Chile’s with thesame distribution of space for the logical units:

• 11,7 GB for the Operating System.• 22,1 GB for support tools and programs associated to Topaz.• 67,8 GB for the users: profiles, My Documents, functional units, shared drives.

Apart from this, they have a 37 GB backup disc and a server rack with 568 GB ofspace, where each user has available 5 GB for personal backups.

The document structure on the network is arranged just like Chile and the corporatestandards, with a folder for each functional unit and a shared common drive. To

10 AZ Anywhere is a remote access solution developed at AstraZeneca. More details in Appendix G.

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maintain the order, they have written standards and procedures on how to store andmanage documents. Every functional unit has a limited 5 GB to their disposal, in orderto not abuse the server space.

eRoom is not used in Costa Rica because of the many limitation s that eRoom has andthe many problems they produce. Sometimes, the archives will not open, or the wholesystem may fail. eRoom is indispensable when working on a large, long-term project,in particular with other countries, but they should be restricted to that.

A series of policies and standard operating procedures have been developed, partlybased on the Computer Users Code of Conduct, a key document in AZ IS security.These policies and procedures deals with roles and responsibilities, security standards,proper use and best practices for the different devices, systems and applicationsavailable and provided by AZ.

6.4.5 AZ Argentina

Daniel Agra Fidalgo was the IS contact for AZ Argentina, and the followingdescription is based on his information (2006).

At AZ Argentina, they are approximately 90 users on a two server network. Oneserver is used to store the archives of each user’s My Documents, along with all userprofiles. The other server hosts the shared drives; Functional and Cross Functional.The server sizes are 373 GB and 273 GB, respectively.

The Functional drive has a share for each company area (functional unit) and everyarea creates the directories they need. On a permission level, each unit tells the systemgroup who should access and which permission he/she should have. Thesepermissions are now managed through Pharos.

On the Cross Functional drive, they create directories that involve users belonging todifferent units, in general related to AZ projects. Below this, they create the foldersneeded for each project and the project manager decides who will have access andwhich permissions are to be assigned.

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7. SPECIFICATION OF REQUIREMENTS

This chapter describes the result from the semi-structured information mappinginterviews and the participant observation. The conclusions from this informationwere processed into a specification of requirements for the new IM system.

7.1 Results

7.1.1 Information mapping

The information managed within each functional unit at AZ Chile was mapped downin Excel worksheets, using the following key words to structure and classify each dataitem:

Classification11: internal, confidentialFrequency: monthly, weekly, annually, one time with review, etc.Access: authorized staffDistribution channel: mail, meetings, internal communication, etc.

Internal information applies when the risk of damage to the company resulting fromloss of confidentiality is deemed to be, at most, minor. This is the default securityclass and this information need not be marked as such.

Confidential information applies for information with more stringent requirementsfor protection of confidentiality than for internal information. It is appropriate forinformation for which loss of confidentiality would be likely to cause significantdamage to AstraZeneca. Confidential information shall be clearly marked as such.

A void example of the final Excel worksheets is found in Appendix C, but without theoriginal results from the interviews, since this information is considered strategic andsensitive to AZ Chile.

11 This corresponds to the two security classes that AZ uses for classifying information, detailed on the AZIntranet.

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7.1.2 Participant observation

The method for participant observation described in chapter 4.3.3, led to thedeductions that the following major issues characterized the information environmentat AZ Chile:

• Data is redundant• Data is duplicated, triplicated or more12

• Data or information is incorrect• The data or information is not up to date• The network is saturated

These issues originated in the arbitrary and improper use of the network, which mostprobably is a consequence of not having standard procedures for storing and managingdata and information. The following behavior was detected:

1) The files on the drives were stored without any restrictions, which means thatanyone with access could intentionally or unintentionally read, modify or deletethe file. This occurred both on the common shared drive and the drives of thefunctional units.

2) Users stored the files wherever they deemed convenient and then notified theappropriate staff about the file location. If the file was stored where it shouldn’thave been, for example on the shared drive with no restrictions, this sometimes ledto accidental deletion of the file.

3) Documents were distributed in mail attachments, modified by someone and thenredistributed with the same name. The original, and the modified version, couldthen be found stored on many different places: in every user’s mailbox, on theirpersonal drive, and on the shared drives. This led to a saturation of the mailbox andthe network.

4) Important, or newly created or modified information was sent out via mail to thestaff. This meant that there was no physical file with the information, only an e-mail, which easily could be lost or deleted.

The users also expressed some general opinions about the system, and the mostcommon were variations of “The shared network drive is a mess” and “You can neverfind what you want!” One person said: “The resources are not being optimized”

Opinions about the structure and order were: “The information is not standardized”,“You never know if the document is the last uploaded”, “There is no shared order”and “There is a lack of structure of the entire thing!”

12 In one occasion, a basic document template used by all the functional units was found on the servercopied on 14 different places.

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This comment was said about the interaction between people and the functional units:“There are problems when we are sharing information with other areas. Some areasand some people are really reluctant to inform us about what they do, even if thatinformation is essential for us.”

7.2 Specification of requirementsThe combination of the results from the environmental analysis, the observations andthe interviews lead to the conclusion that the following requirements must be met byany system that is to be implemented on the network:

• Easier and faster access to information• Many people must be able to update in the same document• There should be a support for version control• The document structure should be flexible• The system should be user friendly

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8. EVALUATION

This chapter provides the reader with an evaluation of the IM solutions described inchapter 6: Corporate situation, and the discussion that was previous to theimplementation phase.

8.1 LDMSThere is no doubt that LDMS is a truly interesting alternative; it is a complete andpowerful system for managing document and information, supports the use ofworkflow and keeps a complete audit trail of version control. Nevertheless, LDMSappears somewhat complex and seems to be most appropriate for those AZ sites andcommunities where the users already have a solid knowledge base and good workingpractices for managing information.

Daniel Agra Fidalgo (2006), Administration Manager at AZ Argentina, supports thisview by saying that it would be good to start with a not so complex system that wouldallow the users to manage the basic document life cycles efficiently. He believes that itis most convenient to first organize the information stored on the server, under somecriteria, and then establish operation policies. This would be the necessary knowledgebase in order to later progress to a more sophisticated system like LDMS.

The opinion stated by Mario Peñaloza (2005), Administration Manager at AZColombia, is that it would be necessary to have one person responsible for training theusers and maintaining the system. This may not be strictly necessary, butrecommended. However, as told before AZ Chile does not have a full IS/IT functionfor the moment, having only the Administration and Finances Manager controllingIS/IT and one IS technical support person. This implies that it would be difficulthaving one of these monitoring the performance of the LDMS if it were to beimplemented.

8.2 eRoomeRoom provides a practical digital workplace for all organization levels, and it seemslike an interesting alternative. However, the impression is that eRoom is meant to beused in a selective manner, and exclusively for project work, even though these projectcan go on for years.

According to Janet Knowles from AZ Corporate IS (2005), eRoom is not meant to bea document storage facility; it is a tool that supports collaboration by AZ communities.Basically it is meant to facilitate knowledge sharing and enables virtual teams to bringtogether people, processes and content. Furthermore, Janet says that eRoom can bejust as challenging as the local file share when it comes to version control andpermissions, depending on how complicated the structure is made and also the lack ofknowledge of users.

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The eRoom policy supports this posture, explaining that the system is not meant to“store key documents which should be stored in the appropriate documentmanagement system”, or global/local file shares.

The fact that the documents physically are stored on the eRoom server in the UK canalso be a risk, since it is difficult to say what happens if there is a problem with theserver and there are no local backups. It can be an advantage to not being responsiblefor the documents, since the accessibility is more important than where the documentsare stored, but on the other hand, having full control over the system can facilitate thehandling of the documents and the structure.

However, the use of eRoom seems most appropriate in some cases and is highlyrecommended when working on a local project, with participants from differentfunctional units. When requesting the eRoom, a coordinator is assigned, and he/ she isthen responsible for maintaining the eRoom and ensuring that the documents arerelevant, correct, and up to date.

8.3 Local file sharesIt seems that the most common way to share files and information on a local level is touse the resources on the local network; file shares and assigning the user permissionsvia Active Directory and Pharos. As seen above in the environmental analysis, thismethod is what is used on the AZ sites in Latin America.

Coordinating the network into an acceptably organized document structure requires acertain degree of strategic work, but can be well worth the effort. However, if theusers do not have at least a basic knowledge of information technologies andinformation system, it can be difficult to maintain an established order. Because ofthis, it is important to emphasize the need for information standardization and acoherent document structure when carrying through any form of training, applying tothe user’s conscience and common sense.

The active participation from the users is essential; any IM system would bepractically worthless without it. The way the network has been used before givescredibility to this opinion. The structure could be seen as a complete anarchy situationwhere everyone stored their documents wherever they deemed convenient, withoutany particular structure or consideration.

In any case, it is easy but unfair to only blame the users for the disorder. The userswould not behave this way if someone accountable had given them clear instructionsand directives on what to do and how. And since there has never existed a personresponsible for this kind of issues, the situation that appeared during time and use isunderstandable.

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8.4 Basic conclusionsAt this point, discussions were held with Richard Clarkson, being the sponsor of theproject. The objective with these discussions was to analyze the advantages anddisadvantages with the available IM alternatives, and decide which would be mostappropriate to implement at AZ Chile, considering the items in the specification ofrequirements established in chapter 7.2. Richard’s opinion was “we should put ourhouse in order” and hopefully in the simplest possible way. It would not be necessaryto implement more sophisticated software, and it would be perfectly feasible to onlyre-organize the shared network drives. The new system would therefore use existingtechnology but much more “smartly” and hence comply with the requirement of auser-friendly system.

The reorganization would be made by implementing a new, basic directory structurewith strategic folder names and instruct the staff on how to populate and maintain it.Each functional unit would then have a shared, pre-established folder structure, whereeveryone would know where to find the documents stored within it. The documentstructures would be permanent on the higher levels, but somewhat flexible on thelower levels. Support for version control would be provided through the use of acommon naming convention, where the revision number would be the date of the lastreview, including the name of the document.

It was decided to introduce the users to the new structures through workshops, sincethis approach would give the users the instant opportunity to resolve their doubts andmaybe provide feedback.

The central element in the workshops should be education and guidance, in order tooffer the users a basic and acceptable knowledge in terms of IM, and possibly ISmatters if necessary. It is also important to put emphasis on the users’ common senseand responsibility for maintaining the pre-established order, as well as trying toencourage an interest and desire for continuous learning.

It was also discussed that the documentation related to the IS/IT function should bedetached from the functional unit Administration and Finances. The informationshould be controlled on a separate shared drive and be considered as part of anindependent functional unit, even though the person in charge would be the same asbefore. This arrangement would facilitate the assignment of user permissions, sinceany person related to IS/IT not necessarily needs access to Administration andFinances, and conversely. Also, this would open up for a possible future growth ofIS/IT as an own functional unit with a separate IS Manager.

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9. IMPLEMENTATION

This chapter describes how the chosen IM system was implemented on the localnetwork and the workshops that were performed with the 32 Chilean office users.There is also a short introduction to AstraZeneca’s IS policies and how these weredistributed at AZ Chile.

9.1 Structuring the networkAs discussed and concluded in chapter 8: Evaluation, it was agreed to implement abasic folder structure and replace the existing configuration on the network. Theprocedure described below was repeated for all the functional units.

A simple directory structure with empty folders was created, based on the informationcollected in the information mapping survey. The structure was presented to the staffand they were encouraged to navigate through the folders in order to assist with ideason improvement, derived from their particular requisites and needs. The directorystructure was approved in accordance with Richard Clarkson and the individual headof the functional units General Management, Administration and Finances,Marketing, Sales, Medical, Regulatory and Human Resources.

IS/IT had before been a part of Administration and Finances, but now it was separatedinto a whole new shared drive and the users associated to the IS/IT function weregiven the necessary permissions and accesses.

When the final directory structures were approved, the users were informed on how topopulate and maintain it. The structures were implemented on the network and theusers were given a window of time to populate it. After the deadline, the old structureswere deleted, including all existing folders and documents, and the new directorystructure became valid.

9.2 Documentation and workshopsSome particular results from the interviews, and the written remarks obtained duringthe participant observations, were the main source of information that helped tocomplete the required documentation (Appendix D). The policies sent from RonaldRodriguez (2006), IS Coordinator in AZ Costa Rica, also proved very useful and someimportant parts were captured and incorporated in the making of the new IM policies.All these observations and information were transformed into a simple document, withthe following elements included:

• Roles and responsibilities for users and staff.• Naming conventions for documents and folders.• Good working practices for storing and managing documents and information.

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The workshops described in chapter 4.3.4 were based on the same structure as thepreviously produced documentation (Appendix D).1. First, it was made a basic overview of the network and sorting out the available

storage areas; disc drives and server spaces to store document and information,such as the Cross Functional and Functional drives and My Documents.

2. Second, it was explained which drives were shared among which users, whichdrives have one-user access, etc.

3. Then, it was explained how to best use the network and the different storage areas,where to store important and confidential documents and where it wasrecommended not to store anything.

9.3 Establishing IS/IT policiesAstraZeneca is a widely structured and standardized organization on all levels. Interms of IS/IT, there is a considerable amount of regulatory documentation. There is acontinuous effort to put all sites in line with core AZ directives, covering roles andresponsibilities, standards, policies and principles, etc. Within this extensive ISdocumentation; two key documents can be identified (Table 1).

Table 3: Two important IS document at AstraZeneca.

IS Security Principles,Standards and Responsibilities

AstraZeneca IS Security Policy requirements.Primarily for all managers and all staff engaged inIS/IT.

Computer User’s Code ofConduct

The Basic IS responsibilities of every AstraZenecastaff member.

The IS Security Principles, Standards and Responsibilities is principally of interest tomanagers and staff members involved in IS/IT. This document informs about theirroles and responsibilities in relation to physical security, access control, contingencyhandling, change management and network administration.

The Computer Users’ Code of Conduct dictates the basic responsibilities on a userlevel related to AstraZeneca’s electronic systems, communication networks andcomputing resources. The document focuses on what the user must and must not do inorder to preserve the integrity and confidentiality of information. Global directivesstates that every AZ user has to be aware of and comply with this information.

AZ Chile as a completely legal entity is a relatively new organization, considering therecent transition to Marketing Company status in January 2006, and it was thereforeessential to introduce The Computer Users’ Code of Conduct to the Chilean staff, boththe office users and the Sales Field Force. This was done by producing a booklet of theSpanish version and ensuring that staff members signed a letter acknowledging thatthey had received a copy. A presentation was also made, introducing the staff to thecontent of this important document. This presentation was performed at the annualSales Congress in April 2006.

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10. CONCLUSIONS

10.1 Implement IS/IT functionWhile working at AZ Chile during the period from May 2005 to May 2006 it hasbecome clear that there is a need for increased IS/IT functional resource. Therecommendation is therefore to separate all the tasks, activities and projects related tocomputers, information, IM, etc that is now part of the functional unit forAdministration and Finances, and assign this to a new unit, called IS/IT, or similar,reporting directly to the General Manager.

This IS/IT unit should also be accountable for all issues related to and performed bythe function, whether it is in the form of a completely authorized IS Manager or as aCoordinator. Due to the relative small size of AZ Chile, a common IS Coordinatorshould be enough, but my personal opinion is that it is important to give thisCoordinator complete sponsorship within his unit.

Separating the functions this way would facilitate the processes and projects executedin the IS/IT area and would give AZ Chile an official IS accountable in accordancewith global AZ directives. Some secondary benefits would be that the function forAdministration and Finances would have more time to perform their own businessfunctions, without having to consider the IS/IT matters.

10.2 Further workThere are several possibilities for further improvements on the implemented IMsystem. First of all, there will be a need to make follow-ups on the user’s activities onthe network, in order to verify that they follow the standards and policies for namingconventions, storage practices, etc.

It will also be necessary to maintain the new knowledge and possibly make moreworkshops and bring up subjects that appear over time. This is best done by using theIS/IT staff and resources and monitoring the performance and encouraging the staff tochange their habits. After an initial period, there should be more emphasis onknowledge management and organizational couching, such as to establish a commondirection within the company and incentive team work.

On a technical level, there will be necessary to purchase a new server, in order toincrease the physical storage space on the network. In comparison with the other AZsites mentioned in the environmental analysis in chapter 6.4, Chile is the country withleast server space per user: less than 2 GB, which can be compared with Colombia’s 5GB, Uruguay’s 9 GB, Costa Rica’s 6 GB and Argentina’s 4 GB per user13.

13 Calculations based on the total server space for user profiles and My Documents.

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10.3 Critical reviewPerforming this project proved to be more demanding than it was thought from thebeginning. Every step on the way had a variety of new problems to solve and process,and made it necessary to change directions and try new approaches and methods.However, the original purpose and objectives with the implementation of a new IMsystem and its working practices have been fulfilled and from this moment, only timecan tell if it will besuccesful, by using appropriate measures for evalution.

Performing a rather large IM project like this by oneself has been a disadvantage, notbeing able to discuss problems and concerns whenever they appear, and instead beingforced to wait so as to receive appropriate help. In particular, when the new directorystructures were created, it was somewhat complicated to reach a solution that wouldbest suit everyone, having so many different opinions to take into consideration.However, the Project Supervisor Richard Clarkson provided excellent supportthroughout the whole project and there were also opportunities for discussions withAZ employees, both in Chile and in the rest of the world.

Carrying through three projects at the same time was an interesting, but rather difficulttask, and there was a constant need to dynamically reschedule priorities across thedifferent activities. This is the reason for the delays and interruptions in the work withthe IM project. Another reason is that of the special circumstances that appear workingin a Sales and Marketing environment in a Latin American country; activities,projects, meetings, etc are organized and executed differently than in a Europeancountry. This way of working is best described with the words of a sales representativeworking at AZ Chile: Either you do it the Chilean way, or you don’t do it.

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UNITED STATES OFFICE OF PERSONNEL MANAGEMENT (2001), Information TechnologyGroup, [Online], Available: http://www.opm.gov/fedclass/text/GS-2200.htm[19 March 2006]

UNIVERSITY OF SOUTH AUSTRALIA (2005), Planning and Assurance Services,[Online], Available: http://www.unisa.edu.au/pas/qap/planning/glossary.asp[19 March 2006]

AstraZeneca documentsThe following documents are available on the AstraZeneca Intranet.

Global Information Services (2005), AZ Anywhere Training (Various documents)BARNARD, MIKE (2003) ISMO Sales Force Effectiveness, Key Performance IndicatorsCLARKSON, RICHARD (2006) AZ Chile History and Financial DevelopmentDesktop Exploitation Team (2004), Welcome to AZ Anywhere SelectETMS 2005 AZN, (2005)HIBBERT, PAUL (2006), IS Security Principles, Standards and Responsibilities, v. 3.3ISMO EDMS Strategy, (2005)LATIF, CATHY (2005), Pharos (Various documents)TAYLOR, STEVE (2005), eRoom (Various documents)The Computer Users’ Code of Conduct , (2005)

Other AZ ContactsBolland, Brenda Gti, Release Manager, UKEl-Halabi, Sarah Marketing Company Demand Manager, UKFielding, Sally IS/IT Demand Manager, UKKnowles, Janet Corporate IS [051107]Teelock, Yovina EDMS Project Manager, UKTennent, Mick Infrastructure Design Specialist, UKWells, Jane LDMS Application Specialist, UK [051129]

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APPENDIX A – ENVIRONMENTAL ANALYSIS

This Appendix describes the IS contact persons from the AZ countries in LatinAmerica that were contacted in order to gather information about the infrastructuresituation on their site.

InformantsThe dates stated below reflect the initial contact by e-mail.

Agra Fidalgo, Daniel Administration Manager, Argentina [060116]de la Rivera , Marco IS support, Chile [Cont.]de León, Rodrigo Operation Manager, Uruguay [051227]Diaz del Castillo, Javier IS/IT Manager [051227]García, Omar OG Title unknown, Venezuela [050116]Peñaloza, Mario IS/IT, Colombia [051227]Rodríguez, Ronald IS Coordinator, Costa Rica [060116]

In the case of Marco de la Rivera, the questions were made face to face.

E-mail questions• How much server space do you have?• How many users share that server space?• How do your users’ share documents and information?• Is there a simple document structure, or do you use any of the software provided

by AstraZeneca’s Global IS function? (eRoom, LDMS)

Telephone conferencesThe follow-ups that were made over the phone were performed as informalconversations without a special structure.

Peñaloza, Mario IS/IT, Colombia [060116]Rodríguez, Ronald IS Coordinator, Costa Rica [060123]

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APPENDIX B – INFORMATION MAPPING INTERVIEWS

This Appendix gives an account for the persons at AZ Chile that were interviewed inthe information mapping survey, the interview dates, and the interview questions.

IntervieweesThe interview dates stated below can be seen as the official interview. Apart from this,there were several follow-ups, to clarify the already obtained information.

Functional Head Funtional Unit Interview DateClarkson, Richard General Management [051005]Conde, Roberto Marketing [051115]Espejo, Agustín Medical [051003]Milanello, Christian Administration and Finances [051005]Prat, Ignacio Supply and Logistics [051104]Polidura, Antonio Sales [051117]Rabbione, María Pía Human Resources [051117]Villegas, Cecilia Regulatory [051206]

Interview questions• What kind of information is managed within the division?

o Information area? Subject area?• How is the information generated?

o Where does it come from? Inside / Outside the division?o Is it redirected? Where to?

• Who is responsible for the information (/ information area)?• Who has access to the information?• How is the information classified?

o Internal; Confidential• What information is classified as confidential?

o Who has access to confidential information?o Who needs access to confidential information?

• What information needs to be shared?o Who outside the division needs to access the information?o Which other division needs access?o What information from which other division do you want/need to see?

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APPENDIX C – INFORMATION MAPPING RESULTS

The worksheet below shows a general example on how the information was mapped down and classified. The complete originalresults from the interviews are not reproduced in this report, due to confidentiality.

Input from Functional unit Output to Classification Frequency Access Distr. ChannelFunctional unit X Budget Functional unit Z confidential annually Management Team mail

Subitem 1.1Subitem 1.2

Functional unit Y Meetings All units internal monthly Everyone shared drivesFunctional unit Y Sales reports - Sales

Subitem 3.1Subitem 3.2Subitem 3.3

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APPENDIX D – BEST PRACTICES

The following documentation was produced as a user guide, dealing with bestpractices on how to use the network and describing procedures for document andinformation storage. Currently, this information is available only in Spanish.

Roles y responsabilidadesJefes de departamentos son responsables de la seguridad de información, propiedad desistema, gestión de riesgo y desempeño en su área de negocio.

El propietario de la información es responsable de definir apropiados niveles deprotección para su información.

Los usuarios son responsables de todas las acciones que ocupan sus derechos.

Todo personal tiene que cumplir con el Código de Conducta para Usuarios deComputadores.

Personal de informática es responsable de implementar las restricciones que han sidoasignadas por los jefes de departamento.

Personal de informática es responsable de mantener la Carpeta Común libre dearchivos inadecuados.

NomenclaturaEl nombre de un archivo oficial compartido, SOP, etc, se debe escribir en el siguienteformato:• “AAMMDD Nombre_de_archivo”• Ejemplo: “060403 Status Report ETMS”

Al nombrar carpetas que serán compartidas, use nombres descriptivos y ponga año y/ofecha si es apropiado. Evite nombres de usuarios, excepto para representantes.Ejemplos: “2006 Reportes IMS”, “Day Away”, “Juanito Perez” etc.

Al nombrar carpetas por mes, use el siguiente formato:• 01 Ene• 02 Feb• 03 Mar• Etc.

Fotos, logos y fondos de presentaciones relacionados con el negocio deben tenernombres descriptivos que revelen su contenido.

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Buenas prácticas

Para la carpeta de departamento (Functional: Ventas, Marketing, etc)

El Functional es la carpeta compartida para todo personal que pertenece al misomodepartamento. Este orden es preestablecido y no se debe cambiar. Todos usuarios sonresponsables de cumplir con las normas de uso.

• Se debe guardar solamente documentos oficiales que pertenecen al departamento yque pueden ser accedidos únicamente por personal del departamento.

• Se debe usar para que varias personas dentro del departamento puedan trabajar con elmismo archivo.

• No se debe guardar fotos personales, música, videos.

Para la carpeta Común (Cross Functional)

Esta carpeta es compartida para todo personal. Este orden es semi-establecido. Debeser mantenido regularmente por todo personal.

• No se debe guardar información confidencial en la carpeta Común!!• Se puede asignar acceso de solo lectura a documentos oficiales para evitar pérdida de

información. Consulte su soporte local.• Evite crear carpetas con nombres de usuarios:

o Use un nombre descriptivoo Documentos de uso personal se debe guardar en Mis Documentos.

• Se puede subir archivos que se necesitan acceder desde varios equipos o paracompartir documentos entre departamentos.

• Personal de informática tiene derecho a hacer limpieza y borrar archivos inadecuados.• No guarde fotos personales, música y videos en el Común.• Se puede subir fotos compartidas de eventos especiales pero se debe poner fecha a los

archivos o a la carpeta.

Para Mis Documentos (My Documents)

Esta carpeta es personal del usuario. El usuario mismo es responsable de su orden..• Guarde todos sus documentos importantes relacionados con el negocio aquí.• Guarde archivos que están en producción, para después subirlos a donde

corresponde: Functional, Cross Functional.• No guarde archivos personales, fotos personales o archivos de música.• No use Mis Documentos para tener respaldos personales de archivos que ya están

guardados en un espacio oficial.

Para el uso del disco duro. (Topaz C/:)

Documentos guardados en el disco duro son responsabilidad del usuario.• No se debe guardar documentos importantes en el disco duro, porque no tienen

respaldo en la red.• Sirve para guardar las fotos personales, y archivos de música.• Sirve para tener respaldos personales de documentos oficiales.

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Estratégias

Para evitar duplicación de documentos y definir control de versión

• Sea coherente al nombrar los archivos y siga el estándar estipulado en Nomenclatura.Cuando actualice un documento, cambie solamente la fecha y no el nombre.

• Versiones antiguas deben ser eliminadas y/o guardadas apropiadamente donde nopueden ser confundidas con versiones vigentes.

• Asegúrese que todo personal relevante se entere de la actualización.• No envíe documentos vía e-mail si lo puede evitar. Especifique la ubicación del

archivo o envía un acceso directo. (Elige “Insert as Shortcut” en el menú que sedespliegua al hacer cliq en la flecha al lado de “Insert”. Esto es posible solo entreusuarios que comparten los mismos permisos.)

Para evitar pérdida de los documentos y eliminación accidental de archivos

• Asigne restricciones a los documentos compartidos: Acceso completo/ leer /modificar.

• No guarde documentos importantes en el disco duro, ni en el escritorio de su equipo,porque no habrá respaldo en la red. (Topaz C/:)

Para evitar saturación de la red

• No guarde fotos personales o música en las carpetas compartidas o en MisDocumentos.

• No envíe documentos vía e-mail si lo puede evitar. Opte por enviar un enlace oespecifique la ubicación del archivo. (Haz cliq con el botón derecho del mouse yseleccione “Crear acceso directo”. Agrege el acceso directo en el mail. Esto es posiblesolamente entre usuarios que comparten los mismos permisos)

• Debe hacer limpieza regularmente en Mis Documentos, y eliminar sus archivosantiguos de las carpetas comunes.

Para mejorar el desempeño del equipo

• No guarde documentos en el escritorio, solamente Accesos Directos (Shortcut).• Evite usar imagenes pesadas como fondo de escritorio.• Evite usar efectos especiales.• Al trabajar sin red, marque solamente los archivos y las carpetas que están en uso.• Haga limpieza en sus Favoritos de Internet, archivos temporales e historial de

Internet.

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APPENDIX E – WORKSHOPS

Below is the account for the performed workshops.

Workshop attendees

Functional Unit Workshop Date Number of attendeesSales [060428] 8Administration and Finances [060512] 8Medical [060517] 6Marketing [060524] 9

The users that did not belong directly to a functional unit were distributed as deemedconvenient. Three users did not attend any workshop and two users attended at leastone workshop.

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APPENDIX F – ETMS PROJECT

This project was performed in conjunction between IMS Health and AstraZenecaChile’s Sales department: the Sales Manager, the FLSMs and the Sales Field Force.(For better understanding of this Appendix, review chapter 3.5: The Chileanpharmaceutical market)

BackgroundDuring the past 5 years, AZ Chile has been working with IMS Health’ local staff inSantiago with the management of medical visits. During 2005, there was used amanual control card system for recording medical visits, working together with a semiautomatic system called Teams, hosted by IMS Health locally, that has been providingAZ with sales reports, prescriptions and KPIs.

With the technological advances, as well as the directives from AstraZeneca’s UKheadquarters, it has been necessary to improve the tools that support the medical visitand leave the old systems behind, implementing an ETMS – an Electronic TerritoryManagement System.

Purpose / ObjectiveThe objective with the ETMS project in Chile was to automate the Sales Force withthe purpose of managing a better coordination between the departments of Marketingand Sales and the physician. This digitalized system allowed the representatives andthe supervisors (FLSMs) to access market information in real time. Furthermore, theproductivity analysis would be more expedite and the supervisors would be able to doa better analysis regarding coverage and contacts by specialty and products, thusimproving decision-making.

Other objectives were to be in line global AZ requirements for ETMS and enable theproduction of KPIs automatically. The plan was to have the ETMS implemented,running and fully functioning by March 2006.

OverviewAs part of an ongoing Sales Force Effectiveness (SFE, see below) program withinAstraZeneca, dealing with segmentation/ targeting and Sales Force Automatization(SFA), an initiative has been made to collect a standardized set of Key PerformanceIndicators (KPIs) across ISMO markets on a regular basis. The KPIs are selected toreflect the critical success factors of the business along three core dimensions:

• Representative activity level• Segmentation/ targeting• Impact

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The Representative activity level quantify how many days that are spent in field, inmeetings, and field days that are lost due to other activities. The Segmentation/Targeting indicates the average coverage: per product, and per physician. This KPIalso measures frequency. The Impact measures the percentage that the FLSM spendin field, among others.

The ETMS provided by IMS Health is a system that is based on a relational database,with software applications for PDA devices for the representatives and laptops for thesupervisors. The Kardex information was loaded to the IMS Health server and wasthen accessible from the user modules.

ExecutionThe project consisted of implementing an ETMS to the Sales Field Force. The FLSMGuillermo Gomez, and myself, supported the project management.

Business pilot

We initiated a business pilot, in order to evaluate the performance of the ETMSdeveloped by IMS Health. The pilot group consisted of the 10 represetatives fromGuillermo Gomez’ district. They started to transmit electronically, but were still usingthe old semi automatic system in parallel.

The representatives received an electronic account, user name and password, whichallowed them to connect to the server, upload and download data, and synchronize.During this period, there was a constant need to maintain and configure the useraccounts, due to different technical problems.

Feasibility study

The pilot started even though corporate directives recommended another ETMSdeveloped by Siebel Pharma. It was then necessary to carry out a feasibility study inorder to compare the two alternatives, ensuring the compliance with AstraZeneca’srequirements and the KPIs managed within the SFE program. The feasibility studyaimed to seek and rationalize arguments based on three key criteria: market issues,organizational/ technical issues, and financial issues, which were then used to compareIMS Health with Siebel Pharma. It included all the compared items, cost calculations,advantages and disadvantages with the two systems, as well as possible risks ifchanging to Siebel Pharma.

Most important was that the ETMS would comply with SFE and the KPI production.Other concerns were to verify that the system would allow meaningful analyses basedon the market information, that there was a reliable and easy accessible support for thesystem, that the system was easy to use for end users, etc.

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Finally, there was made a report that explained all these aspects, conclusions weredrawn, and a recommendation was made. It was recommended that the ETMS fromIMS Health should be used, basically on the following arguments:

• IMS Health works with prescriptions from all Chilean pharmacy chain. SiebelPharma works with Close Up, which does not receive audit data from pharmaciesAhumada that represent 30% of the market.

• IMS Health provides a complete package integrating the ETMS application andaudit data at a preferential price.

• Siebel Pharma is technically more demanding, which suggests an obvious riskbecause of the limited IS/IT support in Chile.

• IMS Health offers a local hosting service and a fast support.• A transition to the fully digitalized system from IMS Health would be the natural

evolution of the current semi automatic system.• There is no significant financial difference between the two alternatives, which

inclines to prefer the system most suitable to AZ Chile’s need.

A Recommendation report and a Business Case were sent to the UK headquarters,requesting the support to implement the ETMS. PDA devices for the whole Sales FieldForce were purchased, and the representatives started to transmit in March 2006.

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APPENDIX G – AZ ANYWHERE

This project, with associated responsibilities for implementation, support and problemsolving, was delegated to me in an initial phase of the internship period and was thencontinuously maintained. Technical support was provided from the local helpdesk.

OverviewAZ Anywhere (AZA) is a new global Remote Access Solution using Virtual PrivateNetwork (VPN) technology that enables users to securely access the AZ network viaany type of Internet connection. Internet is available all over the world and usuallycheaper and faster than traditional dial up services.

AZ Anywhere is software that is installed on the client PC. The main components arethe following:

• Ipass dialler (AZA Dialup)• Cisco VPN Client• Symantec Client Firewall

The Ipass dialler acts as a dialler with analogue phone lines, and also permitsconnections for Broadband, Cable or DSL. The dialler provides a local number to dialin from anywhere in the world. Having AZA installed on the PC is free, and so is theDialup service, but there is necessary to make local arrangements for home broadband.

The VPN client allows a direct and secure connection to the AZ network via one offour world hub concentrators. The security in the access is provided by the user’sunique user name and a password. The password consists of a PIN code and a numberfrom a SecurID token, which is a device that shows a number that changes every 60seconds and is synchronized with the SecurID server in the UK.

The Symantec Client Firewall is a firewall for client and AZ network security.

The requisites for obtaining AZ Anywhere are: to have a laptop with Topaz installed;have an Ipass account (access to AZA); and a SecurID token.

Purpose / ObjectiveThe global purpose with the AZA project is to supply a flexible, consistent platformfor Remote Access, reduce global costs for remote access solutions, and improveproductivity and performance.

Locally, the intentions were to create practice and experience for remote working andsupport the development of the business by optimizing the resources. The AZA project

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relates to the Information Management project in the sense of aiming to achieve moreefficient communication and provide tools for solid information sharing.

The objective on a local level is to have AZA implemented to the people that travelmuch or need the system to be able to work when not in the office, for example themanagers, in particular the First Line Sales Managers (FLSM), since their work isconcentrated to the streets. Having the possibility to connect to the AZ network whenbeing in field allows them to have more flexible work hours, and come to the officeonly when it is necessary.

ExecutionAt AZ Chile, this project consisted of implementing AZ Anywhere to the local usersthat were approved to have the system installed on their laptops. The application fileswere sent from the UK via the global network. The installation files were configuredin accordance with the AZA Installer cookbook and then burned on a CD that wasused to make the installations on the clients. There were three groups of users thatneeded AZ Anywhere, but the basic procedure is described below.

Ipass accounts were registered and SecurIDs were ordered from the UK, and severalfollow-up calls had to be made because of repeated misunderstandings with theheadquarters. When the tokens arrived, they had to be enabled and were then ready foruse.

The installation of the software had to be performed locally on the client, whichproduced a need to organize and plan the deployment. Managers are busy people, andit showed many times almost impossible to get hold of their laptops for the neededhour. Many of the times, there appeared problems with the modem or the whole Topazitself, which required a whole reconfiguration of the client PC, with invaluableassistance from the local IS support.

After the installation, there were performed training sessions with the users, presentingAZ Anywhere to them; the software, how to use it, best practices and a short emphasison laptop security related to the use of AZA and the SecurID.

After an initial period, there was made a follow-up with the users, giving them aquestionnaire to answer. The questions were general and the objective was to map theuse among the staff and resolve any problems. At the beginning of 2006, a total of 17people were using AZ Anywhere.

Problems

During the use of AZ Anywhere, many connection problems had to be solved. Somewere physical and related to the modem or the client, as mentioned above, and somewere associated to the configuration of the Ipass dialler or the PC settings, etc.Another minor issue that had to be solved with the UK helpdesk was to reset theSecurID when users involuntarily had blocked themselves out by entering wrong PIN.

TRITA-CSC-E 2006:105 ISRN-KTH/CSC/E--06/105--SE

ISSN-1653-5715

www.kth.se