Software Guide – RISK Manager Manager - Risk Assessments HFS… · Risk Assessments - Usage Notes The Risk Assessments section in RISK Manager contains 4 sections, these sections

SOFTWARE GUIDE – RISK MANAGER RISK ASSESSMENTS

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CONTENTS

RISK Manager ............................................................................................................................. 2

Introduction to this Guide ...................................................................................................... 2

Risk Assessments - Usage Notes ............................................................................................ 2

Assessment Overview ............................................................................................................ 3

Risk Assessments .................................................................................................................... 4

Viewing a Risk Assessment ................................................................................................. 6

Adding a New Assessment ................................................................................................. 7

Editing an Assessment ...................................................................................................... 10

Assessment Sign-Off (Complete) ...................................................................................... 10

Re-Assessment ................................................................................................................. 12

Remedial Actions .................................................................................................................. 12

Generate an action plan ................................................................................................... 13

Update Actions ................................................................................................................. 14

View Email Log ..................................................................................................................... 14

Contact Us ................................................................................................................................ 15


RISK MANAGER

Introduction to this Guide

This guide is designed to give the user a good understanding of how to complete and manage

risk assessments in the 3i Studio ESTATE Suite system.

This guide covers usage of the software and expects that the user already has a good

knowledge of the risk assessment question sets, how they should be assessed and answered,

and the specific requirements of assessments within the user’s organisation.

This document also assumes that the user has first completed the ESTATE Suite Basic Training

which covers generic system functions such as login, navigation, searching, filtering, screen

layout manipulation, and data exports.

Risk Assessments - Usage Notes

The Risk Assessments section in RISK Manager contains 4 sections, these sections are:

▪ Assessment Overview – An information-only page collating data from all the risk

assessments to provide an overview of the number of outstanding actions and where

the highest risks are occurring.

▪ Risk Assessments – This page is where all the risk assessments are added and

managed.

▪ Remedial Actions – This Page shows all the remedial actions produced from the risk

assessments. Here they can be sent to responsible persons, updated and closed off.

▪ View Email Log – This page will show a log where remedial actions have been sent

from the system via email

Note:

The assessment overview is the default page displayed when launching Risk Assessments,

however the user can change this default, to do this go to Tools > Manage [username]’s

Settings > Start Pages and pick the page you require against the Risk Assessment component


Assessment Overview

The assessment overview provides a summary of each type of risk assessment against sites

and buildings this also includes the number of outstanding remedial actions, maximum, and

avenge risks.

This page can be filtered and sorted using the dropdowns at the top of each section, and has

pre-filtering at the top of the screen to specify active or all property options (see ESTATE

Suite Training – System Basics for more details). Additional data rows can be expanded to

show summary information at block level by clicking the expansion arrows next to each row.


Risk Assessments

Risk Assessment Actions

1. New – Click here to start a new risk assessment. Use this if you are creating an

assessment for an area for the first time.

2. Edit Record – Click here to edit the existing assessment. Note: this option becomes

greyed out once an assessment is signed off (completed).

3. Print Report – Produce a PDF output of the risk assessment report.

4. Transfer Backlog – This will add items to Appraisal under the Fire facet for item in the

risk assessment that are flagged as ‘Transfer to backlog’.

5. Transfer Helpdesk – NHS Scotland do not have the 3i Studio helpdesk component so

this button can be ignored (Note; this will be greyed out or switched off in future

releases).


6. Sign off – Completes the assessment and allows the user to apply an overall Risk for

the assessment.

7. Archive Record – when an assessment is no longer relevant or has been replaced by

a newer assessment it can be archived. Note: there is no option to delete an

assessment so this should also be used for incorrectly added assessments.

8. Duplicate Assignment – This can be used to either:

a. Re-assess an assessment area

b. Duplicate an assessment to another assessment area or site/building

Note:

If your main activity in the system is carrying out Risk Assessment you may want to set this

screen as your default page. This is covered earlier in this guide.

Tip:

To find your assessments quickly, filter the ‘Surveyor’ column to your name or set a filter for

the site(s) you are interested in. This can be saved as a layout which you can load from the

Choose Layout dropdown or set as your default layout so that it loads each time you open the

Risk Assessment page. This is covered in the ESTATE SUITE TRAINING – SYSTEM BASICS guide.


Viewing a Risk Assessment To view a risk assessment, click on the row expansion arrow (or blue box on selected records)

at the very left of the row. This will expand the row and show the details of the risk

assessment. Once expanded you will see several tabs of information, these tabs are:

▪ Assessment Details – Covering what type of assessment this is, which assessment area

it applies to, when it was assessed, and who is was assessed by.

▪ Answers – This tab shows the questions and answers for this particular assessment.

▪ Documents – This tab shows documents that have been attached to this assessment.

▪ Photos – This tab shows photos and images that have been attached to this document.

▪ Surveyor Reports – This tab allows for the creation of custom reports; however, this is

not covered in detail in this guide.

▪ Tasks – This tab holds any tasks associated with the risk assessment.

Image showing expanded risk assessment.


Adding a New Assessment A new risk assessment is required when an area has not been previously assessed (for this

assessment type) or after an update to the question set for a particular assessment type

template. If re-assessing an existing area based on an existing assessment see Re-Assessment.

To add a new assessment, click the new button, you will then be presented with the Start New

Assessment screen.

Fill in the required fields and click on the save option to create the assessment. Site, Block,

and Assessment Type are required by the system; however, we recommend that you

complete all fields in this section. Once complete click on the save option to save the

assessment and allow access to all of the additional tabs.

▪ Site Code – Use the dropdown to select the required site.

▪ Block Code – Use the dropdown to select the required block.

▪ Assessment Date – Use the dropdown to open a calendar and select the date that the

assessment was completed. You can also type directly in this field and enter the date

in the format DD/MM/YYY

▪ Assessment Type – Select the required assessment type from the dropdown list.

▪ Surveyor – Select the required surveyor / assessor name from the dropdown list.

▪ Assessment Area – Select the assessment area from the dropdown list, or if it does not

exist click in the white space in the box and simply type the name you require.

▪ Use this option if the assessment template has predefined answers and you would like

to use these as defaults.


To complete the assessment answers, go to the Answers tab and answer all questions relevant

to this assessment area.

1. Show / Hide Navigation Bar – Use this button to show or hide the question navigation

bar.

2. Navigation bar section header – Click to expand a particular section and see the

questions therein.

3. Section Questions – Click on a question to show the details and complete the answers

for this question.

4. Answer Box – Pick or type the answer you require. Different questions will have

different answer types depending on the template setup, these can include Text, Multi

Choice, Multi Choice & Text, Y/N, Y/N/NA etc.

5. Risk – The risk score is calculated based on the selected Consequence and Likelihood

and uses a 5x5 matrix to generate the score. The matrix for this calculation is shown

here, and it should be noted that this is not the same as the 5x5 risk matrix used in

Property Appraisal.


Risk Matrix Likelihood

1 2 3 4 5

Co

nse

qu

ence

1 Low Low Low Moderate Moderate

2 Low Moderate Moderate High High

3 Low Moderate High High Extreme

4 Moderate High High Extreme Extreme

5 Moderate High Extreme Extreme Extreme

6. Risk Responsibility – Pick the person / department responsible for mitigating this risk

from the dropdown list.

7. Timeframe – Pick the timeframe for mitigation from the dropdown list.

8. Comment – This box can be used for free text notes for further description when

required.

9. Remedial Action – A description of the remedial action required to mitigate the risk on

this particular item. Please not it is not necessary to complete this if there is no action

required. These actions are used to produce the remedial actions so any item in this

box will be transferred to the remedial actions screen for completion.

10. Add Std – Use this option to add the comment or remedial action you have typed to

the standard list. Note this option may not be available on all systems dependent on

administrative configuration.

11. Pick Std – Use this option to open a window listing all standard comments / remedial

actions for this question and then pick the required standard answer.

12. Edit Photos – Click on this option to add photos to your answer, these can be selected

from your hard drive or network and are associated with the specific answer. Photos

can be view as a full set in the photos tab.

13. Save – This option saves you answer. Important: If you navigate away from your

answer without saving your changes will be lost.

14. Save & Next – This option saves your answer and then moves to the next question.

15. Cancel – Cancel any changes made to this answer since the last save.

Note:

You can save and exit at any point during this process and come back and edit any open

assessment as required.


Tip:

To check your answers, go to the risk assessment main screen then use the Expand arrow

against a risk assessment to view all the sections and questions:

Editing an Assessment On the main Risk Assessment listing screen clicking the pencil icon will allow you to edit any

risk assessment that has not yet been signed-off (completed).

Assessment Sign-Off (Complete) Once you have finished answering all the questions and have no further changes to make the

assessment should be signed off. This locks the assessment and prevents any further changes

being made to it. This is an important step and should be carried out for all assessments to

prevent any unwanted edits to the assessment.

Assessments can be signed-off from either the main Risk Assessment listing screen using the

sign-off button on the row next to the relevant risk assessment, or by using the relevant

button at the top of the Assessment Details tab when editing an assessment.

After clicking the sign-off option in either location you will be prompted to click ok to continue,

and then you will be presented with a summary of your risk assessment showing:


▪ Risk Overview: This shows the overall risk for each section allowing you to see an

overview of the risks to help with decision making for the overall Risk.

▪ Remedial Actions: Lists all the actions from the assessment along with the risk.

▪ Assessment Details: Displays the Assessment header details: Location, surveyor,

assessment area etc.

When the summary screen opens fill in the Consequence and Likelihood options to complete

the overall risk for the assessment. Finally clicking the sign-off button will complete the

process and lock the risk assessment so no further changes can be made.

Image showing Risk Assessment Sign-Off Screen

After a risk assessment is signed-off you will see only the Report, Duplicate, and Archive

options on the main Risk Assessment listing screen.

Tip:

If you discover an error or want to redo and assessment you can duplicate it to create a new

assessment and then archive the original.


Re-Assessment To carry out a re-assessment of an assessment area use the ‘Duplicate Assessment’ function.

You will receive a couple of notifications, one to confirm the action and another giving you

the ID number of the assessment it has created.

The duplicate Risk Assessment page will then load. It will have duplicated all the details of the

original assessment except for Assessment Date and Surveyor. Fill in these required fields and

make any other changes you require.

Update the answers as you would for completing a new assessment and Sign-Off.

Archive the original assessment so that you do not have multiple current assessments for the

same assessment area.

Note:

You can use this same process to copy an assessment to a different area by updating the

Assessment Details appropriately.

Remedial Actions

The remedial actions screen shows all outstanding actions from all Risk Assessments. Use the

Filters or Search options to find the areas you are interested in. For example:

▪ Filter by a Site to show all the actions from all the assessment for that site

▪ Filter by Section Description or Question to see all the actions for a specific part of the

risk assessment or specific question.

▪ Filter by Risk Responsibility and Site to show all the actions for ‘Estates’ on a particular

site.

Note:

See ESTATE Suite Basic Training for more information on filter etc.


Generate an action plan Once you have filtered the remedial action list how you require you can either select all items

(1) or individually select (or unselect) specific actions (2).

Once you have selected your required action scroll to the bottom of the screen and click

Export to Excel

This will produce an Excel output that you can then attach to an email and send to the

responsible person to action.

Similar to the Export to Excel option the Email to Responsible User and Email to Address

options can be used to send the remedial actions by email to either a system user or contact

with a stored email address or an email address you fill in at the time of sending. Please note

that this option is not currently in use for NHS Scotland.

Tip:

Use the ‘Action Plan Template’ saved layout to export the most relevant columns including

Completed By and Date Completed.


Update Actions Once you have feedback from responsible persons or complete actions yourself you can then

update the actions appropriately.

Click on Edit Record pencil icon to update an action.

Fill in the Completed By and Date Complete fields, you can then apply an updated risk by

selecting the new consequence and likelihood. You can also add any required notes.

Click Save and Complete to update the Remedial action to Complete. This will update the risk

in the risk assessment.

Completing the actions and updating the risk will save having to duplicate and update your

risk assessments until the next assessment is due.

View Email Log

Use the view email log option to view and track emails that have been sent from the remedial

actions screen. This screen is not currently in use for NHS Scotland.


CONTACT US

Call: 0345 675 5051

Email: [email protected]

Address: 3i Studio

Burlington House

369 Wellingborough Road

Northampton, NN1 4EU