DOCUMENT COMPLIANCY MODULE

Transcription

1 DOCUMENT COMPLIANCY MODULE Author: R. Dighton Version /10/11 Copyright Micad Systems 2011

2 SECTION 1- INTRODUCTION 1.1. Compliancy Module 1.2. How to use Manual 1.3. Navigation 1.4. User Help Symbols SECTION 2 COMPLIANCE ELEMENT SET UP Flow Chart 2.1 Risk Matrix Set Up 2.2 Risk Elements - Set Up Add New Risk Element Add Sub Element to Risk Element Edit Existing Risk Elements Delete Existing Element 2.3 Assign Elements to Locations 2.4 Assign Risks to Elements 2.5 Set Up Users Amending Address 2.6 Assign Users to Elements (Missing Documents) All Users View Assign User Responsibility SECTION 3 COMPLIANCE DOCUMENT SET UP- Flow Chart 3.1 Publish Document Publish Document IPR Publish / Edit for Compliancy 3.2 Complete Compliancy Document Data Submit Data & Document Status Summary 3.3 Publish Document to Other Locations 3.4 View Locations & Edit Compliance Data Remove Compliance Documents Edit Compliance Data View Locations SECTION 4 VIEW DATA & VIEW COMPLIANCY 4.1 Risk Management Users Console Element Expiry Planning Resetting the Expiry Date Amending Document Edit Notes Navigate via Risk Management Users Console 4.2 Risk Element - Views

3 4.2.1 View Element Assignments View Expiry Configuration 4.3 Status Report 4.4 My Documents 4.5 Birds Eye View (BEV) 4.6 Element Contacts Element Contact Relationships Contact Element Relationship

4 1. INTRODUCTION 1.1 The Compliancy Module The IPR has the ability to publish any digital documents against any location. This Document Compliancy Module is a major enhancement of this capability enabling the user to flag any published document as part of the Compliancy System. This functionality is engineered monitor the performance of all Statutory and non-statutory documents published at building level. The module will:- Deal with multi-disciplines supported by a range of professionals Accommodate Information from numerous sources in a wide range of impact reports & formats Visually expose the risk where there is No data continuity Provide a centralised system for global reporting to provide total clarity Manage Compliance elements in isolation Provide a central hub for document: uploading, Interrogation, Risk assessment both in terms of the document performance risk and the business risk in terms of expiry or missing status Present a range of operational reports to assist senior management in the management of all compliancy issues Micad acknowledges that building managers commission surveys and assessments by specialist companies to provide them with pertinent information. This module provides a solution to the centralising of information where the risk associated with each compliance element is assessed, compared and reported on via each site or property. The Compliancy Module also supports an early warning system for all documents by automatically reviewing the expiry and using escalations which are then ed automatically to those individuals who have been designated with the final responsibility.

5 1.2 How to use Manual The Compliancy Module is an addition to the core IPR system and uses the location structure already established within the IPR. This module requires the user to have knowledge of the location structures together with knowledge of how to publish documents. Refer to IPR User Manual for information (Home Page Menus MICAD Users Help) This Manual will follow the steps detailed in the flow diagrams Compliance Element Set Up (ref 2.0) and Compliance Document Set Up (ref 3.0). The final section View Data & View Compliancy (ref 4.0) will detail how the user can view existing data and interrogate the system to show graphically the levels of compliancy by location and building. 1.3 Navigation The navigation flow diagrams at the start of each section will direct the user to the required screen. The top half of each box is the starting location and the lower half is the Destination / Option to select. Home Page Building Level Compliancy Sidebar Menu Set Up Risk Matrix Example: Starting from either Home Page or at Building Level Select Compliancy from available menus Then from the Sidebar Menu Select Set Up Risk Matrix There are numerous data /screen links within the Compliancy Module that allows the user to navigate quickly to a new location. These are normally shown as underlined data items or Sidebar Menu options - double click the required links. In addition use the Internet Back Arrow to navigate from the current screen.

6 1.4 User Help Symbols Throughout the module, common feature will apply, depending on the procedure required. Symbols have been used at the beginning of each section to minimize descriptive repetition. TASK SYMBOLS DESCRIPTION Permission Permission Permission Cursor Information On Screen Information Supplementary Information O A U Open All Users can view screen. Administrator Only Administrator Profile (ref 2.5). User Profile User will only view /manage own Elements (ref 2.5). The Compliancy Module has been developed to show the user the maximum information on screen. In many screens this additional information can be found by 'hovering' the cursor over the data item. The Compliancy Module has been developed with On Screen Help information. Where this symbol is shown in view, click for further information. The manual has Supplementary Information which although is not part of the procedure is of importance to the users understanding of the Compliancy Module. Report Information Reports will show different compliancy information. This icon is shown on the Report Matrix in Section 4 of this manual to indicate information available.

7 SECTION 2 COMPLIANCE ELEMENT SET UP- Flow Chart Are Risks Defined? YES NO SET UP RISK MATRIX 2.1A SET UP / EDIT RISK ELEMENTS 2.2 A ASSIGN ELEMENTS TO LOCATIONS 2.3 A ASSIGN RISKS TO NEW ELEMENTS 2.4 A Are Users Defined? NO YES SET UP USERS 2.5 A ASSIGN USER RESONSIBILITY TO NEW ELEMENTS 2.6 A

8 2.1 Risk Matrix Set Up A Home Page Building Level Compliancy Sidebar Menu Set Up Risk Matrix All compliance elements require a risk assessment value. The Compliancy Module is preset with a standard 5x5 risk matrix. Likelihood x Severity = Risk The preset descriptions for Likelihood, Severity and Risk can be changed /amended to the user requirements by overwriting the existing data and click Update. New values can be added also by the completing all of the blank fields for new and click New to complete action. To Delete values. Click on at the end of the line to be deleted. The resulting matrix is shown at the bottom of the screen.

9 When creating new values ensure that values levels run consecutively and that maximum risk value does not exceed the value of Likelihood x Severity. Make a copy of the current descriptions before changing. 2.2 Risk Element - Set Up Add New Risk Element A Before starting this task, it is necessary to know if the new risk is a Statutory or Non- Statutory Element and at which locations it will apply. The procedure below is for a new Statutory Element however the procedure is the same for Non Statutory risks using the Assign Non Statutory Elements screen. Home Page Building Level Sidebar Menu Drop down COMPLIANCY RISK ELEMENTS Ass. Statutory Elements Ass. Non Statutory Elements Use the dropdown to select Assign Statutory Elements screen and click on the button to enter Edit Element screen.

10 Edit Element Screen Type details of new element where indicated - Add new element and click add. If no further element is to be added - press 'Done'. button to Add Sub Element to Risk Element If a sub element is required, press the button next to the desired element / sub element and add details in the box below. Press the button to apply and Done to complete action. The sub elements can also have sub elements if required Edit Existing Risk Elements

11 To revise the Risk Element Description - overwrite the existing description and press Update All Elements button and Done to complete action Delete Existing Element To delete an element, open the Assign Elements screen (ref 2.2.1) and un-check all element / location boxes for the elements to be deleted and press submit. Return to Element Edit screen by clicking on at top right of screen. Click the button next to the element(s) to delete and click Done to complete action. Warning: deleting element will also delete all the attached subordinates 2.3 Assign Elements to Locations A Once the Element has been created and the Done button clicked, the screen returns to the initial Assign Element screen (Statutory or Non Statutory). Allocate the new elements to the required locations by checking the appropriate location / element check boxes and clicking 'submit' button at the bottom of the page to complete action. Once the element has been allocated to a location it will now appear on the following: Risk Management Users Console (ref 4.1), Status Report (ref 4.3) and BEV (ref 4.5). The information on these reports will increase as the following procedures are completed. 2.4 Assign Risks to Elements A Home Page Building Level Compliancy Sidebar Menu Risk Elements Drop down Ass. Missing Doc. Risks

12 The New elements will now appear on the Assign Missing Document Risk screen coloured Pink for Non Statutory Elements and Mauve for Statutory Elements at the locations selected (ref 2.3) Click on the element location and a Risk Matrix slider will appear. Adjust the sliders for Likelihood / Severity as required for this element and submit. If the Risk Value set is required at all locations for this element, then check the assign to all locations check box indicated and submit Set Up Users A Users cannot be assigned responsibility for an element (either missing or documented) until they have been allocation permission. Home Page Building Level Compliancy Sidebar Menu Assign Users Create Administrators check the user box in the Administrate Column (first column, white background) and submit. The Administrator then has permissions for all existing and new elements as they are created.

13 Individual User Permissions Check the boxes for the elements as required for the user and submit. The selected elements will become the Users Profile for the Compliancy Module. Each new element created after this action will require further attachment to the user profile. User profile will impact on information shown on the Risk Management Users Console (ref 4.1) My Documents (ref 4.4). Flood Fill Flood Fill Element - Check Boxes are available at top of each column to flood fill an Element to all users. Flood Fill User - Check Boxes are available at the end of each row to flood fill user with all Elements created at that time Amending Address Administrators can add an address if known for those users displayed in RED by clicking on the name. All Users are able to amend their own personal details via the home page. Click on My Documents

14 Complete the USER DETAILS and press Update to complete 2.6 Assign Users to Elements (Missing Documents) A Home Page Building Level Compliancy Sidebar Menu Risk Elements Drop down Ass. Responsibility by Element All Users View The opening screen is an All Users View that shows all risk elements and if they have been assigned. The following is a guide to this screen. Checked IF THE CHECK BOX IS : The Element has been assigned

15 Blank The Element has not been assigned Missing at expected Location Missing Risk not applied (ref 2.4) Assign User Responsibility Use the drop down and select the required User from the list. Check the blank element box as required and submit. The following is a guide to this screen. IF THE CHECK BOX IS : Check & highlighted (green tick) The Element has been assigned to this user Check but not highlighted The Element has been assigned to another user Blank The Element has not been assigned Missing at expected location User Permission missing - Set Up User (ref 2.5) The User Element Responsibility Profile will impact on information shown on the Risk Management Users Console (ref 4.1) and My Documents (ref 4.4)

16 SECTION 3 COMPLIANCE DOCUMENT SET UP Flow Chart Does the document currently exist at Building level? YES NO PUBLISH DOCUMENT AT BUILDING LEVEL 3.1U COMPLETE COMPLIANCY EDIT 3.2U Is the document to be published at other locations? NO YES PUBLISH DOCUMENT AT OTHER LOCATIONS 3.3U VIEW AND EDIT DOCUMENT DATA 3.4U

17 3.1 Publish Document Publish Document IPR U Home Page Menu-MICAD USER HELP User Manuals IPR Manual IPR Manual Section 5.6, 5.7, 5.8 To publish documents, read the chapters below in the IPR Manual. 5.6 Publish Documents 5.7 Publishing Hyperlinks 5.8 Folders If the MICAD IPR is already established, then this may be the ideal opportunity to undertake folder reorganisation in order to draw together all of the compliancy documents into appropriate folders Publish/Edit for Compliancy U Building Level Select Folder /Document Document Select Edit Document Edit Document Compliancy Check Box This Compliancy procedure is a continuation of the Document Publish Procedure not covered in the IPR manual. At the bottom of the Document Edit Screen check the box for compliancy and press submit to continue.

18 3.2 Complete Compliancy Document - Data U Once the compliance box has been checked and submitted, the compliance data screen will appear. The following field by field procedure is required to set up this document as the Master Document for this element. When the Compliance Data is completed press Submit to complete action. B A C D G E F H Data Completion (A) Element - Use drop down to select the Compliancy Element for this document. Once this is selected, the screen will update. Complete the information as shown below. If the required element is not shown in the Element List, return to Risk Element Set Up (ref 2.2) (B) This Location This document Is Required For : select This building only.

19 (C) Inspection Date This defaults to the document published date. Change this date to the document inspection date if different. Edit date by overwriting or select on calendar. (D) Expiry Date The date will automatically default to one year after the publish date. Change this date to the document expiry date if different. Edit date by overwriting or select on calendar. This date can also be amended via the Risk Managers User Console (ref 4.1.2) (E) Expiry Risk Consequences of failure to comply when the document expires. Set the sliders to the appropriate levels for Likelihood and Severity for this element. Document Risk can be a different value than as set for the Missing Risk (ref 2.4) (F) Managers Advance Warning. - Initially the document will be set up with the publisher of the document as both Responsible Person and 1 st Manager. Use drop down boxes to select Responsible Person for the element and Mangers that are to be informed of impending expiry dates. Manager highlighted in RED, have no E mail address, click on and enter / check address Select Yes / No button - for advance warning Enter Notice period in days. To add a new Manager click on and repeat above procedure (G) Document has Outstanding Actions Check the box if the document has actions to be completed. This document will now appear on the Risk Manager Users Console regardless if current or expired (Ref & Ref 4.4 My Documents - Warning). (H) Compliancy Notes. Add supplementary notes as required especially relating to outstanding actions. These notes will be shown on the Risk Managers Console (Ref ) Submit Data & Document Status Summary When the compliance data is complete press submit. The compliance summary is displayed at the bottom of Document information

20 As the status of a document changes with time the document summary will also change. 3.3 Publish Master Document to Other Locations U Once the above data has been entered the document may be attached to other locations by selecting the A Selection button. A Location Tree will appear on screen. Expand the tree and check the location boxes required for this document. When completed, press submit button to complete action. The document will now be displayed at building level at all the locations selected. The location tree will only show those locations set up for this element (ref 2.3).

21 3.4 View Locations & Edit Compliance Data U Remove Compliance Documents. Select Remove All a warning message will appear: that all documents apart from the master will be removed. Press OK to accept. To remove the master document from Compliancy Module only, un-check document compliancy box on Document Edit (ref 3.1.2) and submit Edit Compliance Data. Data may be added /amended /change on individual field on individual documents if required and submitted to complete action. The only way that information can be changed /added to all of the element documents at once, is to first Remove All (ref 3.4.1) and change data on the master document and re submit, then re - attach to locations (ref 3.3) View Locations - To view the locations that the document has been attached to click Show All. The screen will show the location of the master document and all other locations for this document.

22 SECTION 4 VIEW DATA & VIEW COMPLIANCY Risk Element Risk Management Users Console Element Assignment Expiry Configuration Status Report My Documents Birds Eye View (BEV) Element Contacts Reference PERMISSION U U U A U A O Element Responsible Person Managers Location Risk Type Risk Level Missing Status Expired Status Expiry Date Current Fail Status Outstanding Actions Flag Unassigned Compliancy Monitoring Information Visible Permissions Mouse Information A Administrator U Users Profile O Open - All Users

23 4.1 Risk Management Users Console U Home Page Compliancy Building Level The Risk Management Users Console is a very versatile screen. It will allow the user to forward plan, to amend element data and to navigate within the module. Administrators View will show all risks both missing or expired for all managers Users View will show only those elements that have been assigned. These form the Users Profile. KEY TO RISK MANAGEMENT USERS CONSOLE : Missing Risk Coloured yet to have a document attached Missing Not Risk Coloured yet to have risk attached Expired date the document expired Risk Grouping grouped by risk score Outstanding Action Box checked on document edit (Ref.3.2 G) Notes As shown on document edit (Ref.3.2 H) Element Expiry Planning. Overwrite or select date from the calendar and click. The console will now show the status of all expired or missing elements for the User Profile at the date selected Outstanding Actions Amend If the Outstanding Actions box has been checked in the document edit procedure (Ref. 3.2 G) then it will be shown on the Risk Management Users Console.

24 Outstanding Actions Elements will be shown on the console regardless of expiry date. Click on Outstanding Actions and complete the pop up as required and submit. Once the Outstanding Action has been removed it will only appear on the Risk Management Users Console when expiry date is exceeded Resetting the Expiry Date. Click on Expired for the element and complete the pop up as required and submit. WARNING. This action extends the date on the Document Edit screen only and does not effect the expiry date detailed within the actual document. Once the expiry date has been changed, the document(s) will then appear as compliant within the module and are removed from the Console view Amending Document Edit Notes. Click on the existing element notes and a pop up will appear. Edit the notes and check box as required and submit.

25 4.1.3 Navigate Via Risk Management Users Console The following grid details the navigation from the Risk Management Users Console to screens within the module. Data Column Type Location (Buildings) Expiry Date Destination To Statutory / Non Statutory - assign elements screen All Documents / Document Folders screen Document Edit Screen 4.2 Risk Element - Views View Element Assignments U Home Page Building Level Compliancy Sidebar Menu Risk Elements Drop down View Element Assignment This view will show all of the compliance elements that have been allocated to locations for this user profile. Statutory Elements are coloured Pink Non Statutory are coloured Mauve View Expiry Configuration U Home Page Building Level Compliancy Sidebar Menu Risk Elements Drop down View Risk Configuration

26 This view will show all of the Risks allocated to all of the elements that have locations allocated for this user profile. 4.3 Status Report O Home Page Building Level Compliancy Sidebar Menu Status Report This view shows the current status of all of the Compliance Risk Elements KEY TO STATUS REPORT: Risk Coloured & Fail Risk Coloured & -with date Risk No Colour & Fail Risk Coloured & Actions Date only Documents missing Document Expired Document Missing -no missing risk applied Documents with outstanding actions Earliest Date of Failure Document is Current & Compliant

27 This report can be viewed retrospectively by using the appropriate report date. Toggle arrows to 4.4 My Documents U Home Page Building Level Compliancy Sidebar Menu My Documents The opening view of this report will show all the current compliant documents for the user profile. Using the Filter Boxes the user can view their current documents with a combination of Locations and Elements. A Warning is shown at the top of the screen - The compliant documents listed below may have unresolved issues within them Clicking on the Column Headings will invert the data. 4.5 Birds Eye View (BEV) A Home Page Building Level Compliancy Sidebar Menu Birds Eye View (BEV) The Birds Eye View (BEV) will allow the user to view graphically, the level of compliancy for the Trust or by combinations of compliancy type, compliancy elements and locations.

28 B D F A C E J G (A) Report Date Use the report date arrows to select the view date required. Note that the BEV is updated once a day. Check the last update (time & date). (B) Building not being assessed - is the number of buildings on the server that are not in the viewed Trust. (C) The number of buildings being assessed and the number currently displayed. Use the expand arrow and select the locations required and press submit. Flood fill check box at the top of the column (D) The number of Compliant Buildings use the expand arrow to view. The expand arrows will appear when there is data to view. This will show all the buildings that are compliant to the criteria selected. (E) The number of buildings that fail to be compliant because the element is not present - use the expand arrow to view. The expand arrows will appear when there is data to view. This will show all the buildings that are not compliant to the criteria selected.

29 (F) The number of buildings that fail to be compliant because the element is out of date - use the expand arrow to view. The expand arrows will appear when there is data to view. This will show all the buildings that are not compliant to the criteria selected. (G) Select Elements select the elements required. Note the flood fill check boxes at the top of each compliance list. Press submits when the selection is complete. (H) Compliancy Graph this graph is the representation of the selected criteria for the frequency and period set in H (I) Date and Frequency - on drop downs select a start and finish date and the frequency scale press to submit. (J) Return to last Location use the link at the top of screen 4.6 Element Contacts O I C Home Page Building Level Compliancy Sidebar Menu Element Contacts

30 4.6.1 Element Contact Relationships Click on Element Contact Relationship to view list. This view shows, by Element, the Responsible Persons and Contact Managers as defined in Document Edit (ref 3.2.6) Position the cursor over the name to display and telephone details Click on the name to open manager . This view does not show managers responsible for element with missing documents (ref 2.6.2) Contact Element Relationship This view shows all of the elements associated with a user. Click on the user name to expand user element list.