HSSE TRACKING SYSTEM USER REQUIREMENT DOCUMENT

Auto Mail NoComplete for Approval Action Auto Mail Event Status Approved Complete for Approval Event Event Status Pending Action Status Open Auto Mail Action Status Completed Approve Act

HSSE TRACKING SYSTEM

USER REQUIREMENT DOCUMENT

Project Code: DHTN_PROJ_1 Document Code: DHTN_PROJ_1_URD_v1.0

HCM City, Mar-2012

New Version

Table of contents

1 INTRODUCTION 6

1.1 Overview 6

1.2 Documents Referenced 6

1.3 Objectives 6

1.4 Scopes 6

1.5 Out of scope 6

1.6 The Structure of document 6

2 SYSTEM OVERVIEW 7

2.1 Business declare 7

2.2 System architecture 7

2.3 Technical solution 7

3 BUSINESS PROCESS 8

3.1 Organization map 8

3.2 Tracking processes 9

3.3 Actors definition 9

3.3.1 System Administrator 9

3.3.2 Approval user 10

3.3.3 General user 10

3.3.4 Restrict user 10

3.4 Event Status definition: 10

3.5 Action/Finding Status definition: to do only Event status = Approved 10

3.6 Levels definition: 10

3.7 Referent number: 10

3.8 The methods for reminding to send mail automatic: Admin only set schedule 10

4 USER REQUIREMENTS 11

4.1 AD - Administration 11

4.1.1 AD01 - Check admin user authentication (Admin Login) 11

4.1.2 AD02 - Module Management 11

4.1.3 AD03 - Account Management 11

4.1.4 AD04 - Company Information Management 11

4.1.5 AD05 - Category/Sub Category Management 11

4.1.6 AD06 - Notify to user by auto email 11

4.1.7 AD07 - Input target of each user in year 11

4.1.8 AD08 - Event Type 12

4.1.9 AD09 - Issue Related 12

4.1.10 AD10 - System Involved 12

4.1.11 AD11 - Equipment Involved 12

4.1.12 AD12 - Possible Immediate Cause 12

4.1.13 AD13 - System Cause 12

4.1.14 AD14 - Golden Rule 12

4.1.15 AD15 - Sub Golden Rule 12

4.1.16 AD16 - Severity Risk: for Potential & Actual 12

4.1.17 AD17 - Group Level Permission Management 12

4.2 EM - Event management 12

4.2.1 EM01 - My new event: for Inputter only 12

4.2.2 EM02 - My Task 13

4.3 NW - Create new / Upgrade request 14

4.3.1 NW01 - Raise a new SOC 14

4.3.2 NW02 - Raise a new Incident report 15

4.3.3 NW03 - Raise a new Audit report 17

4.3.4 NW04 - Raise a new Other Event 19

4.4 SE - Search 20

4.4.1 SE01 - SOC 20

4.4.2 SE02 - Incident report 21

4.4.3 SE03 - Audit report 22

4.4.4 SE04 - Other event 23

4.5 RE - Report 24

4.5.1 RE01 - SOC summary 24

4.5.2 RE02 - SOC performance 24

4.5.3 RE03 - Incident summary 26

4.5.4 RE04 - Audit summary 26

4.5.5 RE05 - Action summary 27

4.6 AN - Analysis 27

4.6.1 AN01 - SOC 27

4.6.2 AN02 - Incident report 29

4.6.3 AN03 - Immediate Cause 31

4.6.4 AN04 - System Cause 33

4.7 OT - Other 35

4.7.1 OT01 - Mail reminder 35

5 OTHER REQUIREMENTS 36

5.1 OR01-User interface 36

5.2 OR02-Interface with other systems, operating environment 36

5.3 OR03-Performance 37

5.4 OR04-Report 37

5.5 OR05-Security 37

5.6 OR06-Deployment Scope 37

5.7 OR07-System Expandability 38

5.8 OR08-Developing Tool 38

5.9 OR09-Derived handover to support 38

6 ACCEPTANCE & QUALITY 39

6.1 Assumption 39

6.2 Acceptance & Quality 39

1 INTRODUCTION

1.1 Overview

This proposal has been prepared in order to present our suggested solution responding to your

requirements on establishment of Local Tr@ction for TNHD

This document serves as a basis for your tender evaluation as well as for later contracting in case

we are selected DHNT commits to carry out all items and tasks indicated in this proposal

1.2 Documents Referenced

Reference Document information

1.3 Objectives

• Provide a fast-access, user-friendly Local Traction online which allows TNHD staff to record their Events effectively

• Users in the head office or remote sites can access the system via Internet Explorer

• Provide a good report function to ensure HSE staff can produce weekly, monthly, quarterly… reports based on multi categories for TNHD They will be able to compare reports of the same level and track whether actions are closed out The reports can be converted to excel files

• The system should be simple to maintain and update

1.4 Scopes

• The system is limited to the TNHD staff, contractors and agencies It will be only able to access to the TNHD intranet users

• TNHD Users can raise events and record them to the database

• TNHD ICT & HSSE staff’s site supervisors will provide the support

1.5 Out of scope

• Existing system (MS Windows NT Domain Controller, )

• Networking, Infrastructure,

1.6 The Structure of document

It has 6 functions of this, including:

2.2 System architecture

2.3 Technical solution

The system consists of the following components, as below table:

The technical solution uses Microsoft products to develop the system

Web Application Server IIS 6.0 or higher

3 BUSINESS PROCESS

3.1 Organization map

Local Traction System

Reports Analyze ReportsChart

Check admin user

Account Management

Company Management (Department,Location)

Incident summary

SOC summary

Module Management (Incident, Audit, SOC, Other events)

Other Event

Search (Incident report, Audit, SOC, Other events, Action)

Tracking

Approval

Audit summary SOC performance

Action summary

Category/Sub Category Management

Input/Set target

9 Master lists (AD08 to AD16)

Grant user Role

Immediate Cause (Chart

by Department)

Immediate Cause (Chart

by Location)

Chart by Category

System Cause (Chart by Department)

System Cause (Chart by Location)

Chart by Category

Auto Mail No

Complete for Approval Action

Auto Mail

Event Status Approved

Complete for Approval Event

Event Status Pending

Action Status Open Auto Mail

Action Status Completed Approve Action ?

No

Yes

Report / Analysis

Report / Analysis End

Action Status Approved

Mail Unapproved

Auto Mail

Receive mail

Receive mail Auto Mail

 Approval user (Level 2)

 General user (Level 3)

 Restrict user (Level 4)

The Administrator is responsible for administration of this particular system He manages system setting, master lists, and granting / revoking role to/from users Besides that, he has full controls

on the rest of system functionalities

Full access, possible Add / Edit / Remove for: Category, Department, Location, User account,

Role, Set Active/Inactive user account

• Track, modify (status=pending) and close (click approve) for the Events/Actions ones

• Raise Events, Event’s actions

• Search, run, summary reports

• Raise Events, actions, allow modify the own input

• Search, run, summary reports

• Raise SOC only and SOC’s actions

• Search all SOC, view (owned ones)

3.4 Event Status definition:

• 1 - Open: Inputter create new event, i.e not be completed for approval

• 2 - Pending: waiting for approval, i.e not be approved

• 3 - Approved: closed

3.5 Action/Finding Status definition: to do only Event status = Approved

• 1 - Open: Inputter create new event, i.e not be completed for approval

o If Target Date is expired: Overdue

• 2 - Completed: waiting for approval, i.e not be approved

• 0 - Overdue: appear only on status dropdown list for searching

• 3 - Approved: closed

3.6 Levels definition:

• Null if not be checked

• 0 - No data, i.e checked without level

• 1 - Low

• 2 - Med: Medium

• 3 - High

3.7 Referent number:

• Event number: <Event Code>-YYYY-xxxx

• Action number: xx, start by “01” for each Event: <Event Code>-YYYY-xxxx-xx

3.8 The methods for reminding to send mail automatic: Admin only set schedule

• Remain 30 days before Target date: send once to Actionee (status=Open)

• Remain 7 days before Target date: send once to Actionee (status=Open)

• Overdue: send daily to Actionee (status=Open)

4 USER REQUIREMENTS

4.1 AD - Administration

This function authorizes logged user when the user wants to use administration system

 List of Modules

 Modify Modules

o Code: prefix of function number (ex: SOC, IR, AR, ER…)

o Email subject template content (ex: IR – waiting for approval)

o Email main template content (ex: Dear …)

o Email footer template content (ex: Thanks and Best regards)

 Create new user account

 Modify account information

 Delete an account

 Active/Inactive an account

 Grant user role

 Personal Information

 Working History (move from a department to other department)

This module allows administrator to manage information of a department and a site

There are some functions:

 Department (List/Add/Delete/Update)

 Location (List/Add/Delete/Update)

This module allows administrator to manage categories for Incident, Audit, SOC, Other events There are some functions:

 Category (List/Add/Delete/Update)

 Sub Category (List/Add/Delete/Update)

The administrator uses this function to edit content and set parameters of automaticallysending mail Purpose of this action is to notify Level 2 to CLOSE (approve)

This function allows user (Level 1 only) to input target of each user in a year Only administrator or approval User has right to modify data on this screen

4.1.8 AD08 - Event Type

Dependent Modules

There are some functions: List, Add, Delete, and Update

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.10 AD10 - System Involved

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.11 AD11 - Equipment Involved

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.12 AD12 - Possible Immediate Cause

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.13 AD13 - System Cause

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.14 AD14 - Golden Rule

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.15 AD15 - Sub Golden Rule

Dependent Modules

There are some functions: List, Add, Delete, and Update

4.1.16 AD16 - Severity Risk: for Potential & Actual

There are some functions: List, and Update for replacing comments

4.1.17 AD17 - Group Level Permission Management

• Include rights: Approval, View, Edit, Raise, Search

• For only 4 Modules: SOC, Incident, Audit, Other Event

• There are some functions: List, Add, Delete, and Update

4.2 EM - Event management

• Search form: filtering by

1 Module (select: SOC, Incident, Audit, Other Event)

2 Event From date

3 Event To date

4 Event number (approximate)

5 Event Status (All, Open, Pending, Approved)

6 Approver (All, select from list)

7 Responsible person (All, select from list)

8 Event Title

9 Event Description (approximate)

10 Action Comment (approximate)

• List Events include the columns:

2 Action #: Action number

3 Action Item: Action name

4 Comment

5 Priority

6 Target date

7 Status (Open, Completed, Overdue, Closed)

• List Events for approval (for approver owner/admin), include the columns:

7 Status (Open, Pending, Approved)

• Edit on each record: click open a event form

1 Button “Approve”, “Unapproved”: for approver owner/admin

2 Button “Complete for approval” of each Action Item: for responsible person/admin

4.3 NW - Create new / Upgrade request

• Include fields

1 SOC number: automatic increase for year (reset when pass new year):

SOC-YYYY-xxxx

2 SOC Location: select from dropdown-list

3 SOC Department: select from dropdown-list

4 Observer: Approver owner Auto select at default of log in by Inputter or Inputter can

manual select other from dropdown list

5 Partner: select from dropdown list

6 Occurred Date: manual enter/choosing from calendar popup

7 Duration (in minutes): Text-box

8 SOC title: Short description

9 SOC description of concern: Text-Area-box

10 SOC description of recognition: Text-Area-box

11 CategorySubcategory: (Note: Only check a radio box if a Good Practice or Deviation

was observed If no box is checked then the system will automatically default to not applicable)

12 Action sub form

a Action Number: xx (Show: SOC-YYYY-xxxx-xx)

b Action Type: select from dropdown-list

c Action Item: Text-Area-box

d Comment: Text-Area-box

e Priority: select from dropdown-list

f Actionee: select from dropdown-list, select responsible person

g Target Date: manual enter/choosing from calendar popup

h Completion Date: manual enter/choosing from calendar popup

i Approval Date: auto update when approved

j Action Status: auto update when complete or approve

 Button “Add”: for new a Action  save information from action form into database

(Status=Open)

 Button “Delete”: appear on grid display allow delete when not complete for approval

 Button “Complete for approval”: for Actionee upgrade, status = pending and send mail to approver

 Button “Approve”: for Approver owner upgrade, status = approved

 Grid Action list: display columns: Action No., Action Item, File attach, Open

13 Attach file: Text file path

14 Inputter: Auto input Current Login when create new

15 Input Date: Auto input Current Date when create new

16 Closed Date: Auto input Current Date when Closed

17 Status: Auto change dependent submitting function

• Button “Save”: Save draft copy

• Button “Complete & Distribute action”: with condition:

 Required fields: 2  4, 6  10

 After submit: auto send mail to Actionee SOC Status=Approved

• Include fields

1 Incident number: automatic increase for year (reset when pass new year):

INC-YYYY-xxxx

2 Incident Location: select from dropdown-list

3 Incident Department: select from dropdown-list

4 Incident Type: select from dropdown-list (Near Miss, Injury, Spill…)

5 CategorySubcategory: filling or selecting from list

6 Incident Date: manual enter/choosing from calendar popup

7 Incident Time: enter format “hh:mm” (ex: 10:30)

8 Incident Title: Short description

9 Incident Description: Text-Area-box

10 Issues related to: select from dropdown-list

11 System involved: select from dropdown-list

12 Equipment involved: select from dropdown-list

13 Golden Rules violated: multi select from list

14 Sub Golden Rules violated: multi select from list

15 Investigation sub form: there 2 options (Yes/No)

• Investigation Date: (if chose “Yes”) manual enter/choosing from calendar popup

• Investigation Team: (if chose “Yes”) Text-Area-box

• Investigation Status: (if chose “Yes”) select from dropdown-list

• Comprehensive List of Causes (CLC): if chose “Yes”

a Critical Factor: Text-box

b Immediate Cause: multi select from list

c Sub Immediate Cause: multi select from list

d System Cause: multi select from list

e Sub System Cause: multi select from list

f Actual Risk: multi select from matrix

g Potential Risk: multi select from matrix

Note: on every column, allow only select from a dropdown list If check a cell without need

any level so choose at “No data”

h Probability of Reoccurrence: select from dropdown-list

16 Action sub form

a Action Number: xx (Show: IR-YYYY-xxxx-xx)

b Action Type: select from dropdown-list

c Action Item: Text-Area-box

d Comment: Text-Area-box

e Priority: select from dropdown-list

f Actionee: select from dropdown-list, select responsible person

g Target Date: manual enter/choosing from calendar popup

h Completion Date: manual enter/choosing from calendar popup

i Approval Date: auto update when approved

j Action Status: auto update when complete or approve

 Button “Add”: for new a Action  save information from action form into database

(Status=Open)

 Button “Delete”: appear on grid display allow delete when not complete for approval

 Button “Complete for approval”: for Actionee upgrade, status = pending and send mail to approver

 Button “Approve”: for Approver owner upgrade, status = approved

 Grid Action list: display columns: Action No., Action Item, File attach, Open

17 Attach file: Text file path

18 Inputter: Auto input Current Login when create new

19 Input Date: Auto input Current Date when create new

20 Submitted Date: Auto update Current Date when send for approve

21 Incident owner: select from dropdown-list, select approver by

22 Approved Date: Auto update Current Date when approved

23 Status: Auto change dependent submitting function

• Button “Save”: Save draft copy

• Button “Complete for approval”

1 Condition:

 Required fields: 2  6, 8, 9, 16b  16g, 21

2 After click: change status = pending and send message to approver

 After send: Not allow modify by Inputter, but Admin/Approver can edit (allow modify only all fields)

 Send mail: an automatic message will be sent to approval authority to remind approving with the content as below

 From The HSSE Tracking System

 Footer: get from template and sender $sender$

• Button “Approve”: appear if this event status=pending (after send for approval)

• Button “Unapproved”: appear if this event status=approved (after send for approval)

Note: Allow edit before Approve/Unapproved

• Include fields

1 Audit number: automatic increase for year (reset when pass new year): AR-YYYY-xxxx

2 Audit Location: select from dropdown-list

3 Audit Department: select from dropdown-list

4 Audited System: select from dropdown-list

5 Audit Type: select from dropdown-list (ISO 14001 Internal Audit, ISO 14001 External Audit, OHSAS 18001 Internal Audit…)

6 Audit Title: Text-Area-box

7 Audit Description: Text-Area-box

8 Start Date: manual enter/choosing from calendar popup

9 End Date: manual enter/choosing from calendar popup

10 Duration (hrs): Text-box, number

11 Lead Auditor: select from dropdown-list

12 Audit Members: Text-Area-box

13 Audit objectives and scope: Text-Area-box

14 Concerned issues: Text-Area-box

15 Key documents reviewed: Text-Area-box

16 Principal persons interviewed: Text-Area-box

17 Key legislation/ requirements/ permits: Text-Area-box

18 Executive summary: Text-Area-box

19 Finding sub form: Sub form input multi finding, list exist finding forms with order by

finding number

a Finding No.: Label number + Text-Area-box

b Relevant facts (observations): Text-Area-box

c Implications: Text-Area-box

d Underlying weakness (root cause): Text-Area-box

e Relevant clause of ISO14001/OHSAS18001 (or other relevant standard): as the

Category  Subcategory

f Recommendations: Text-Area-box

 Button “Add”: for new a Finding  save information from finding form into database

 Button “Delete”: allow only delete when not complete for approval

 Button “New Action”: appear after add new a Finding Click will go to Action form for

input follow this Finding Finish new a action will go back this screen

 Grid Action list: display columns: Action No., Action Item, File attach, Open, Delete

20 Action sub form: Sub form input multi actions

a Action Number: xx (Show: AR-YYYY-xxxx-xx)

b Action Item: Text-Area-box

c Comment: Text-Area-box

d Actionee: select from dropdown-list, select responsible person

e Target Date: manual enter/choosing from calendar popup

f Completion Date: manual enter/choosing from calendar popup

g Approval Date: auto update when approved

h Action Status: auto update when complete or approve

 Button “Add”: for new a Action  save information from action form into database

(Status=Open)

 Button “Delete”: appear on grid display allow delete when not complete for approval

 Button “Complete for approval”: for Actionee upgrade, status = pending and send mail to approver

 Button “Approve”: for Approver owner upgrade, status = approved

 Grid Action list: display columns: Action No., Action Item, File attach, Open

21 Attach file: Text file path

22 Inputter: Auto input Current Login when create new

23 Input Date: Auto input Current Date when create new

24 Submitted Date: Auto update Current Date when send for approve

25 Audit owner: select from dropdown-list, select approver by

26 Approved Date: Auto update Current Date when approved

27 Status: Auto change dependent submitting function

• Button “Save”: Save draft copy

• Button “Complete for approval”

1 Condition:

 Required fields: 2  7, 9  19, 19a  19f, 20b  20e, 25

2 After click: change status = pending and send message to approver

 After send: Not allow modify by Inputter, but Admin/Approver can edit (allow modify only all fields)

 Send mail: an automatic message will be sent to approval authority to remind approving with the content as below

 From The HSSE Tracking System

 To Approver

 Subject: get from template

 Footer: get from template and sender $sender$

• Button “Approve”: appear if this event status=pending (after send for approval)

• Button “Unapproved”: appear if this event status=approved (after send for approval)

Note: Allow edit before Approve/Unapproved

• Include fields

1 Event number: automatic increase for year (reset when pass new year): ER-YYYY-xxxx

2 Event Location: select from dropdown-list

3 Event Department: select from dropdown-list

4 Event Type: select from dropdown-list

5 Start Date: manual enter/choosing from calendar popup

6 End Date: manual enter/choosing from calendar popup

7 Duration (hrs): Text-box, number

8 Event Members: Text-Area-box

9 Event Title: Text-Area-box

10 Event Description: Text-Area-box

11 Finding: Sub form input multi finding, list exist finding with order by finding number

a Action Number: xx (Show: ER-YYYY-xxxx-xx)

b Action Item: Text-Area-box

c Comment: Text-Area-box

d Actionee: select from dropdown-list, select responsible person

e Target Date: manual enter/choosing from calendar popup

f Completion Date: manual enter/choosing from calendar popup

g Approval Date: auto update when approved

h Action Status: auto update when complete or approve

 Button “Add”: for new a Action  save information from action form into database

(Status=Open)

 Button “Delete”: appear on grid display allow delete when not complete for approval

 Button “Complete for approval”: for Actionee upgrade, status = pending and send mail to approver

 Button “Approve”: for Approver owner upgrade, status = approved

 Grid Action list: display columns: Action No., Action Item, File attach, Open

12 Attach file: Text file path

13 Inputter: Auto input Current Login when create new

14 Input Date: Auto input Current Date when create new