SAER Management System Detailed Design NHS Ayrshire & Arran Prepared By Prepared For Organisation Client Ref Project Ref Issue Date Version Status
193-197 Bath St, Glasgow G2 4HU | Tel: +44 (0)141 229 5303 | www.pro-sapien.com
Andy Gray SAER Project Team NHS Ayrshire & Arran N/A NHSAA-124-12-A 16/08/2012 1.0 PUBLISHED
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Contents 1
Document Control........................................................................................................................... 4
2
Introduction .................................................................................................................................... 5
3
2.1
Purpose of this Document ...................................................................................................... 5
2.2
Document Scope ..................................................................................................................... 5
2.2.1
In Scope ........................................................................................................................... 5
2.2.2
Out of Scope.................................................................................................................... 5
2.3
Assumptions ............................................................................................................................ 5
2.4
Platform .................................................................................................................................. 5
Infrastructure .................................................................................................................................. 6 3.1
Live Environment .................................................................................................................... 6
3.2
Development/Test Environment ............................................................................................ 6
3.2.1
Remote Access ................................................................................................................ 6
4
Feature summary ............................................................................................................................ 7
5
Top-Level SAER System Site ............................................................................................................ 8
6
7
5.1
Landing Page ........................................................................................................................... 8
5.2
SAER Instance Sites ................................................................................................................. 8
5.3
SAER Initiation Forms .............................................................................................................. 9
5.4
Configuration Lists .................................................................................................................. 9
5.5
Management Information Reports ......................................................................................... 9
5.6
E-mail Library ........................................................................................................................ 10
5.7
Other Lists & Libraries ........................................................................................................... 10
SAER Initiation Form ..................................................................................................................... 11 6.1
Form Library .......................................................................................................................... 11
6.2
Fields ..................................................................................................................................... 11
6.3
Example ................................................................................................................................. 12
Configuration Lists ........................................................................................................................ 13 7.1
SAER Process Templates ....................................................................................................... 13
7.1.1
Process Templates ........................................................................................................ 13
7.1.2
Template Process Steps ................................................................................................ 13
7.1.3
Template Sub-Tasks ...................................................................................................... 14
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Look-up Lists ......................................................................................................................... 14
8
Standard Process Steps ................................................................................................................. 16
9
SAER Site Template ....................................................................................................................... 17 9.1
Landing Page ......................................................................................................................... 17
9.2
Tasks Lists .............................................................................................................................. 17
9.2.1
Process Steps ................................................................................................................ 17
9.2.2
Sub-Tasks....................................................................................................................... 18
9.2.3
Actions........................................................................................................................... 18
9.3
Links List ................................................................................................................................ 18
9.4
SAER Status List ..................................................................................................................... 18
9.5
Evidence Documents Library................................................................................................. 19
9.6
Process Step Status Pages ..................................................................................................... 19
9.6.1
Mock-up ........................................................................................................................ 20
9.7
Other Lists & Libraries ........................................................................................................... 20
9.8
Process Step Forms ............................................................................................................... 20
9.8.1
Review Members .......................................................................................................... 20
9.8.2
Committees or Group Reviews ..................................................................................... 21
9.8.3
Progress Updates .......................................................................................................... 21
9.8.4
Other Forms .................................................................................................................. 21
10
SAER Instance Site Creation ...................................................................................................... 22
10.1
Actions .................................................................................................................................. 22
10.2
Manual Override ................................................................................................................... 22
11
Management Information Reports ........................................................................................... 23
11.1
SAER Performance Calculations ............................................................................................ 23
11.1.1
Process Step RAG Status ............................................................................................... 23
11.1.2
Review RAG Status ........................................................................................................ 23
11.2
Reports .................................................................................................................................. 23
11.2.1
SAER Summary .............................................................................................................. 23
11.2.2
SAER Task Detail ............................................................................................................ 24
11.2.3
Action Status Report ..................................................................................................... 24
12
Security ..................................................................................................................................... 26
12.1
SharePoint Security Overview............................................................................................... 26
12.1.1
Security Groups ............................................................................................................. 26
12.1.2
Security Inheritance ...................................................................................................... 26 www.pro-sapien.com | +44 (0)141 229 5303
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Top-Level SAER System Site .................................................................................................. 26
12.2.1
Additional Groups ......................................................................................................... 27
12.3
SAER Instance Sites ............................................................................................................... 27
12.4
Closed SAERs ......................................................................................................................... 27
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1 Document Control Title Status Filename Author(s) Project Ref Issuer Issue Number Issue Date Classification
Name Stephen Duffy Nick Norton Andy Gray Murray Ferguson
Version 1.0
Document Configuration SAER Management System Detailed Design PUBLISHED NHSAA-124-12-A Detailed Design.docx Andy Gray NHSAA-124-12-A Pro-Sapien Software Ltd. 1.0 16/08/2012 Confidential
Organisation NHS A&A NHS A&A Pro-Sapien Pro-Sapien
Date 16/08/2012
Document Sign-Off Position eHealth Programme Manager SAER Business Analyst Principal Consultant Commercial Director
Signature
Document History Author Description Andy Gray Initial draft for client review.
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Date
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2 Introduction 2.1 Purpose of this Document A one-day design workshop has been conducted with NHS A&A in order to cover the detailed requirements of the SAER Management System. The purpose of this document is to outline the design of the SharePoint 2010 solution that will meet the system requirements. The document is required to be signed-off prior to implementation of the solution commencing.
2.2 Document Scope 2.2.1 In Scope The document will cover the following: 2.2.2
SharePoint site architecture Custom forms, lists, libraries and reports Page layouts Security Configuration and extensibility Out of Scope Business process design Design of changes required to other systems (if any) Infrastructure design
2.3 Assumptions The following assumptions have been applied:
SharePoint components will be hosted on Microsoft SharePoint Server 2010 with the Enterprise licence. Business Intelligence components will be hosted on Microsoft SQL Server 2008 with the Enterprise licence. NHS Ayrshire & Arran will provide a suitable infrastructure for hosting the solution in both a production environment, and a separate development/test environment for integration testing and UAT.
2.4 Platform The SAER Management System will be hosted on a dedicated SharePoint 2010 infrastructure. All forms will be delivered either using custom lists or InfoPath 2010 as appropriate for the requirements of that particular form. The business intelligence elements will be delivered utilising SharePoint Data View web parts, Performance Point Services, Excel Services, or SQL Server 2008 Reporting Services as appropriate. www.pro-sapien.com | +44 (0)141 229 5303 Page 5 of 27
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3 Infrastructure 3.1 Live Environment The live environment is a two server farm (1X Web Front End, 1X SQL Server). The environment has the following software versions installed: Software Windows SharePoint SQL Server
Version Windows Server 2008 R2 SP1 SharePoint 2010 Enterprise SP1 SQL Server 2008 SP1 CU2 Enterprise
3.2 Development/Test Environment The environment is a single server farm with the following software versions installed: Software Windows SharePoint SQL Server
Version Windows Server 2008 R2 SP1 SharePoint 2010 Enterprise SP1 SQL Server 2008 SP1 CU2 Enterprise
All solution components will be deployed to the test infrastructure for Integration Testing and User Acceptance Testing prior to promotion to the live environment. 3.2.1 Remote Access NHS Ayrshire & Arran will provide remote access to the test and live environments in order to allow deployments of the solution and support of UAT to be conducted remotely. If direct access to the NHS Ayrshire & Arran network is not possible, Web-Ex access or similar will be provided.
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4 Feature summary The following table provides a list of the main features that will be implemented to fulfil SAER System requirements. Feature Sites Top-Level SAER System Site
Details Top-level site containing landing page for users, configuration lists, SAER instance sites and management information reports. Each SAER raised in the system will result in a new SAER instance site being created to host the associated content. The SAER site template will be used as a template when creating new SAER instance site.
SAER Site Template
InfoPath Forms SAER Initiation Form
Form for initiating a new SAER and triggering the site creation process. Forms for capturing custom information associated with particular process steps.
Process Step Forms Event Handlers SAER Site Creation
Custom event handler for creation of a new SAER instance site. Main actions will be: Create a new SAER site based the template site Populate process steps and sub-tasks based on the selected template and review start date Create unique security groups for managing membership of the new SAER site
Management Information Reports SAER Summary SAER Task Detail Action Plan Status Report
Tabular report providing calculated RAG status of all active SAERs within the system. Tabular report showing individual process steps for a particular SAER, including calculated RAG status for each. Tabular report showing current status of the action plan for a particular SAER, including user-indicated RAG status.
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5 Top-Level SAER System Site A SAER System Site will be created as part of the implementation. This site will be the top-level site within the SAER site collection, and will host the following contents.
Landing Page SAER Instance Sites SAER Initiation Forms Configuration Lists Management Information Reports E-mail Library Other Lists & Libraries
5.1 Landing Page Pro-Sapien will configure a landing page for the top-level SAER system site that will provide:
Welcome message for users Link to fill-in a new SAER Initiation Form SAER Summary report with links to task detail reports and SAER instance sites
A mock-up of the landing page that will be configured is shown below.
5.2 SAER Instance Sites Each SAER in the system will have a dedicated instance site. The instance site will hold all documents, tasks and other content associated with the SAER review and action plan. Instance sites will be created automatically by the system in response to a SAER Initiation Form being submitted, and will be based on a site template that defines the standard content.
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Instance sites will be created as sub-sites of the SAER System site.
SAER System Initiation Forms
E-mail Library
Pages
Config Lists
MI Reports
SAER Sites
SAER001
SAER002
SAER00x
5.3 SAER Initiation Forms The SAER System site will host a form library containing all SAER Initiation Forms, and the option to fill-in a new initiation form. The form will capture all the details required in order to initiate a SAER and trigger the site creation process. Details captured by the form include the process template that will be used to apply default process-steps and sub-tasks to the SAER. The SAER Initiation Form is detailed in section 6.
5.4 Configuration Lists The SAER System site will contain a number of configuration lists for managing the system. These include look-up lists for managing drop-down values on various forms, and process templates to be used when creating new SAER sites. Configuration Lists are detailed in section 7.
5.5 Management Information Reports A number of MI reports will be implemented and included in the SAER System site. The following reports have been identified for inclusion in this phase:
SAER Summary SAER Task Detail Action Status Report
MI Reports are detailed in section 11.
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5.6 E-mail Library A document library will be made available within the SAER System Site with Incoming E-mail configured. The library will allow users to upload e-mails (or files received in e-mail) to SharePoint without first saving the e-mail/file to a shared drive. Users will be able to forward the e-mail to SharePoint and it will automatically be stored in this library. Users will then be able to select the e-mail/file from this library as a source file when uploading content to an SAER site. It is assumed that the e-mail library is a temporary location for assisting with file uploads only and that no structure (e.g. folders or meta-data) is required to be applied to incoming e-mails. Note: E-mails received by library e-mail addresses are queued for processing by the SharePoint timer service. The timer service periodically processes e-mails that have been received, and stores content in the appropriate library. The impact of this is that there will be a delay of a few minutes between users forwarding the e-mail, and being able to select it from the e-mail library.
5.7 Other Lists & Libraries NHS A&A will have the ability to add additional content to the site and landing page as required e.g. to add FAQ lists, announcements, discussion boards, policy documents etc.
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6 SAER Initiation Form The system will require a new SAER Initiation Form to be filled-in to trigger the creation of a SAER instance site. The system will automatically create a new SAER instance site in response to an initiation form being submitted.
6.1 Form Library All SAER Initiation Forms that are filled-in will be held in a library within the SAER System site.
6.2 Fields The form will contain the following fields: Field SAER Reference
Type Text
Description Auto-generated reference including the prefix “SAER” and an auto-generated unique number e.g. SAER003. Indicates the start date of the review.
Review Start Date
Date
Directorate
Drop-down
Patient Name Description
Repeating Section with Patient Name text field Multi-line Text
DATIX URL
Link
Date of Incident
Date
Category
Drop-down
Process Template
Drop-down
Sponsor
Drop-down
Reason for SAER
Multi-line Text
Source
Repeating Table with:
Used to select the directorate associated with the SAER. Allows multiple patient names to be recorded. Allows full description of the incident to be recorded. URL to the DATIX record for the event. Used to populate a link within the SAER site. Indicates the date the incident occurred. Used to indicate the category (a.k.a. Sentinel Event Type) of the event. Used to select the template that will be used for process steps and sub-tasks during SAER site creation. Shows “Enabled” templates only. Used to select the job title of the SAER sponsor. Allows full description of reason to be recorded. Allows all sources
Validation Mandatory
Mandatory Earlier than or equal to today Mandatory
Optional Mandatory Optional
Mandatory Earlier than today Mandatory
Mandatory
Mandatory Mandatory “Type” and
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Type drop-down Reference Number text field
associated with the SAER to be recorded.
16/08/2012 “Reference Number” are mandatory for each source entered.
Once an SAER Initiation form has been filled-in and the site creation has been triggered, the initiation form will be set to read-only apart from the “Reason for SAER” and “Source” fields.
6.3 Example
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7 Configuration Lists A number of lists will be created in the SAER System site in order to support the required configuration of the system. This section details the lists that will be created.
7.1 SAER Process Templates Process templates define the standard process steps and associated sub-tasks that should be assigned and followed as part of a new SAER review and action plan process. The system will allow any number of process templates to be configured, which will be available for selection when fillingin a new initiation form. Each process template is comprised of header details, a number of process steps and associated subtasks. 7.1.1 Process Templates This list will define the header details of each process template configured within the system, and will contain the following fields: Field Title
Type Text
Description
Multi-line Text
Enabled
Boolean
Description Name for the template that will be shown in the drop-down on the SAER Initiation Form. Detailed description of the process template for documentation purposes. Indicates if the template is enabled or disabled. Only enabled templates are shown in the drop-down on the SAER Initiation Form.
7.1.2 Template Process Steps This list defines the process steps associated with a particular process template. Template process steps are used during site creation to generate new process step tasks. The list will contain the following fields: Field Process Template
Type Look-up
Step Sequence No. Title Description Earliest Start by Day
Integer Text Multi-line Text Integer
Latest End by Day
Integer
Assigned To
Person or Group Integer
Amber Days
Description Look-up allowing the parent process template (defined in the Process Templates list) to be selected. Sequence step number for the step. Name for the process step that will be used as the Title for tasks. Detailed description of the process step that will be used as the description for tasks. Earliest start date for the step based on number of days from the Review Start Date. This is used to calculate the Start Date for tasks. Latest end date for the step based on number of days from the Review Start Date. This is used to calculate the Due Date for tasks. Person or SharePoint Group that the task will be assigned to. Used to calculate the Amber Date for tasks. Status reports will
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Red Days
Integer
Form
Look-up
New Status
Look-up
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show tasks as amber if they are not completed by the amber date. Used to calculate the Red Date for tasks. Status reports will show tasks as red if they are not completed by the red date. InfoPath form that will be used to capture information that is custom to the process step. The InfoPath form will be shown on the relevant process step status page (see Section 9.6). Completion of milestone process steps can affect the current status of the SAER. For example, completion of the “Action Plan” step will set the SAER status from “Active” to “Pending Actions”. This field allows the new status resulting from completion of the step to be configured, so that it will be set automatically when the task is completed.
If any of the above fields are left blank, tasks created for the process step will have blanks in the associated fields. For example, if the process step does not have an “Earliest Start by Day” value configured, no Start Date will be set on the task. Users have the option of manually setting these fields after site creation e.g. to assign a task to a user that wasn’t pre-defined in the template. 7.1.3 Template Sub-Tasks This list defines the sub-tasks associated with a particular process step. Template Sub-tasks are used during site creation to generate new sub-tasks. Example sub-tasks include standard checklists normally carried out during process steps. Field Template Process Step
Type Look-up
Title
Text
Description
Multi-line Text
Assigned To
Person or Group
Description Look-up for associating the sub-task with a process step (defined in the Template Process Steps list). Name for the sub-task that will be used as the Title for tasks. Detailed description of the sub-task that will be used as the description for tasks. Person or SharePoint Group that the task will be assigned to.
7.2 Look-up Lists Look-up lists allow available drop-down fields on lists to be configured. The following look-up lists will be created to allow NHS A&A to manage available values. Look-up List Directorates Sponsors Source Types Event Categories Review Member Roles
Description List of directorates. List of job titles that can sponsor an SAER. Lists of types of source for a new SAER. Category for an SAER, a.k.a. Sentinel Event Type List of valid roles for review members.
Report Types
List of valid report types that can be tabled at committee/group reviews. List of valid SAER status values that can be set
SAER Status Values
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Forms SAER Initiation Form SAER Initiation Form SAER Initiation Form SAER Initiation Form Review Members Process Step Form Committee or Group Reviews Step Form SAER Status list
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against an SAER e.g. “Active”, “Pending Actions” or “Closed”.
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8 Standard Process Steps The configuration lists within the SAER System site allow the process templates for new SAERs to be configured. The following table contains the process steps that will be configured as part of the standard process template for this project. Step Title Sequence No. 1
Initiation
2
Meet with Family Meet with Staff Review Draft report Agreed Draft Report Formal Approval Present to Family Present to Staff Action Plan
2 2 3 4
5 6 8 7 8 9
Review by CGC On-going Governance
Earliest Latest Start End by Day by Day 1 3
Assigned To
Amber Red Days Days
Form
Leadership Team Group
2
4
Review Members
1
5
4
7
1
5
4
7
1 25 25
25 30 30
20 28 28
28 35 35
25
30
28
35
30
40
37
45
CGC Group CGC Group
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New Status
Pending Actions Review by CGC Closed
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9 SAER Site Template A SAER Site Template will be created as part of the implementation. This site will be used as a template for all SAER Instance Sites that are created, and will host the following standard contents.
Landing Page Task Lists o Process Steps o Sub-Tasks o Actions Links List SAER Status List Evidence Documents Library Process Step Status Pages Other Lists & Libraries
9.1 Landing Page Welcome page for all users who navigate to the SAER site. Pro-Sapien will configure a landing page to be applied to all SAER sites that will provide:
Welcome message for users Summary details of SAER Link to related DATIX URL Grant Chart summary of all process step tasks in the site
9.2 Tasks Lists A number of tasks lists will be created within each SAER Instance site, and populated during site creation from the appropriate process template. 9.2.1 Process Steps This list will be populated with tasks during site creation. Tasks will be derived from the process steps associated with the process template selected on the SAER Initiation Form. The list will contain the standard SharePoint task fields: Title; Description; Predecessors; Priority; Status; % Complete; Assigned To; Start Date; Due Date. The list will also contain the following additional fields: Field Narrative
Type Append-Only Comments
Amber Date
Date
Red Date
Date
Description Field allowing activities and position to date to be appended to the task. If a task is not completed before this date, it will be flagged as amber in status reports. If a task is not completed before this date, it will be flagged as red in status reports.
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9.2.2 Sub-Tasks This list will be populated with tasks during site creation. Tasks will be derived from the sub-tasks associated with the process template selected on the SAER Initiation Form. Every sub-task will be associated with a parent process step task. The list will contain the standard SharePoint task fields: Title; Description; Predecessors; Priority; Status; % Complete; Assigned To; Start Date; Due Date. The list will also contain the following additional fields: Field Process Step
Type Look-up
Narrative
Append-Only Comments
Description Look-up allowing the sub-task to be associated with a process step task in the “Process Steps” list. Field allowing activities and position to date to be appended to the task.
9.2.3 Actions This list will not be populated during site creation, but will be populated manually by users during the “Action Plan” process step with all the actions resulting from the SAER review. The list will contain the standard SharePoint task fields: Title; Description; Predecessors; Priority; Status; % Complete; Assigned To; Start Date; Due Date. The list will also contain the following additional fields: Field Narrative
Type Append-Only Comments
Recommendations Measure of Implementation Measure of Effectiveness Learning Evidence RAG Status
Multi-line Text Append-Only Comments Append-Only Comments Append-Only Comments Append-Only Comments Choice (Red/Amber/Green)
Description Field allowing activities and position to date to be appended to the task.
Used to manually indicate RAG status of Action Plan task.
9.3 Links List A standard SharePoint links list will be created. The list will be populated with the DATIX URL entered on the SAER Initiation Form during site creation.
9.4 SAER Status List The SAER Status list will contain a single item for managing the current status of the SAER. This will allow status reports to determine the current status of the SAER, and will also allow site owners to override the status of the SAER manually e.g. to re-open a SAER after it is closed. The SAER Status list will not inherit permissions from the SAER instance site and will be editable by site owners only.
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The list will contain the following fields: Field Status Status Comments
Type Look-up Append-Only Comments
Description Indicates current status of the SAER. Optional comments field allowing a user to document why the SAER status has been overridden.
9.5 Evidence Documents Library An Evidence Documents library will be made available within each SAER instance site. The purpose of this library will be to allow documents associated with an SAER, or a particular process step to be logged on the SAER site. A folder will be created within the library for each process step during site creation. This will allow users to upload documents to either the top-level of the library, or the folder associated with a process step. The page for each process step (see section 9.6) will contain a view of the documents stored in the folder for that process step only.
9.6 Process Step Status Pages SAER instance sites will contain a separate status page for each process steps within the selected process template. The purpose of the process step page will be to present all the content associated with a particular process step to users. Each process step page will have a similar structure, with the following sections. Section 1. Review Header 2. Process Details 3. Sub-Tasks 4. Documents 5. Process Step Form
Description Summary details of the SAER review Summary details of the process step View of the sub-tasks list showing tasks associated with this process step, with a link to allow the user to create a new sub-task. View of the Evidence Documents library showing documents associated with this process step, with a link to upload a new document. If a form has been associated with the process step (see Section 9.7), it will be shown on this page.
The SAER site template will contain a template layout for a process step page. A new page will be created from this template for each process step during site creation. Some process steps will require a custom page layout. For example, the Action Plan requires a view of the Action task list, rather than the sub-tasks list. The SAER site template will support over-riding the standard page layout for particular process steps.
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9.6.1 Mock-up The following screen shot (provided by NHS A&A) is an example of what the SAER process page will look like. Section numbers refer to the table above.
9.7 Other Lists & Libraries NHS A&A will have the option to add additional lists or libraries to the SAER site template. These lists and libraries will then be included in any new SAER sites automatically.
9.8 Process Step Forms The process template configuration lists will allow a custom InfoPath form to be selected for capturing details unique to that process step. This is optional as part of the system configuration, as only a sub-set of the current process steps have unique details that need to be tracked. Pro-Sapien will deliver the following process step forms as part of the implementation. Form Review Members Committee or Groups Reviews
Associated Process Steps Initiation Review by CGC
9.8.1 Review Members Form for tracking members of the review team. The form layout will be based on the example provided by NHS A&A. The form will contain the following fields. Field Chairperson Chairperson
Type Text Text
Description Name of chairperson. Designation of chairperson.
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Repeating table with: Review Member text field Member Designation text field Role drop-down
16/08/2012 Used to enter all members of the review team.
9.8.2 Committees or Group Reviews Form for tracking committee or group reviews and the reports tabled. The form layout will be based on the example provided by NHS A&A. The form will contain the following fields: Field Type Committees/Groups Repeating table with: Committee / Group Date field Committee / Group text field Report Tabled Drop-Down
Description Use to enter any committee or group reviews.
9.8.3 Progress Updates The “Meet with Family” and “Meet with Staff” process steps require an activity log to be stored. This will be implemented using the “Narrative” append-only comments field on the task, rather than a custom InfoPath form. 9.8.4 Other Forms The system has been designed to simplify the process for NHS A&A to add custom forms for process steps that may be added in the future. In order to introduce a new process step form, the followinghigh level steps will be required:
Design the new InfoPath 2010 form using Microsoft InfoPath Designer Publish the InfoPath form to SharePoint Add the InfoPath form as an available content type within the SAER site template and add an instance of the form Set the new instance of the form as the form for the appropriate process step in the “Template Process Steps” list (see Section 7.1.2).
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10 SAER Instance Site Creation The SAER site creation process will be triggered in response to a SAER initiation form being filled-in and submitted. The creation process will be implemented as an event handler configured on the initiation form library in the SAER System site.
10.1 Actions The site creation process will perform the following actions: Step # 1
Action Create site
2
Process Steps
3
Sub-Tasks
4
Security Groups
5
Evidence Document Folders
6 7
Process Step Status Pages Links List
Description Site is created from the SAER site template. The URL and title of the site will be taken from the generated SAER reference e.g. http://host/saers/saer003. The Process Steps task list on the new site will be populated based on the process template. The Sub-Tasks list on the new site will be populated based on the process template. Unique Members and Owners groups will be created for the site. The site will inherit the Visitors group from the top-level SAER System site. A folder will be created within the Evidence Documents library for each process step. A process step page will created for each process step. The Links list will be populated with the DATIX URL for the SAER specified on the initiation form.
10.2 Manual Override Once the automated process has created the site, users will have the option to manually override any of the settings on the new SAER site. For example, it will be possible to update due dates or process steps, manage membership of security groups, edit web parts shown on the landing page, or edit a process step page to include additional content that is custom to a particular SAER.
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11 Management Information Reports A number of management information reports will be implemented: Report SAER Summary SAER Task Detail Action Status Report
Description Summary report showing RAG status of each SAER within the system. Hosted in the top-level SAER system site. Detailed report showing RAG status of each process step within an SAER. Accessed by clicking on a particular SAER in the SAER Summary report. Detailed report showing status of action plan for a particular SAER. Accessed by clicking on a particular SAER in the SAER Summary.
11.1 SAER Performance Calculations NHS A&A has a requirement to complete the review stages of an SAER within 60 working days. The review stages include all stages from Initiation to completion of the Action Plan. The total elapsed days for an SAER review will be calculated as days from the Review Initiation Date to the date the Action Plan step was completed. If the Action Plan step has not been completed, it will be calculated as days from the Review Initiation Date to the current day. Any calculations involving number of days will be based on working days in a 5 day week, and will not take account of holidays or absence of review members. 11.1.1 Process Step RAG Status If a process step task is not completed by the “Amber Date” or the “Red Date”, it will be flagged as amber or red as appropriate in the system reports. 11.1.2 Review RAG Status The rolled-up RAG status for an entire review will be based on working backwards from the Action Plan step to find the first step that is currently flagged as Amber or Red. If a process step is found that is Amber or Red, the overall Review status will be reported as that RAG status. If no process step is found that is currently Amber or Red, the status of the review will be reported as Green.
11.2 Reports 11.2.1 SAER Summary The purpose of the SAER Summary report is to show the current RAG status of all active SAERs within the system. The report will show the following information for active SAERs:
SAER Reference SAER Description Review RAG Status (based on calculated RAG status for review) Action Plan Status (based on manually set RAG status and completion status on On-Going Governance Process Step task) www.pro-sapien.com | +44 (0)141 229 5303 Page 23 of 27
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The screenshot below (provided by NHS A&A) provides a visualisation of the report:
11.2.2 SAER Task Detail The purpose of the task detail report is to show the RAG status of all process steps for a particular SAER. The report will show the following information:
Process Step Name Due Date Status Calculated RAG Status
A screenshot of the report (provided by NHS A&A) is shown below:
11.2.3 Action Status Report The purpose of the action status report is to report the current status of the action plan for a particular SAER. This includes both the overall status of the “On-going Governance” process step, and also any Action tasks. The report will contain the following information:
Header o SAER Reference and Description o Report date (date when report was run) o Overall RAG status (RAG status manually set against the On-Going Governance Process Step) www.pro-sapien.com | +44 (0)141 229 5303
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Actions o Description o Action Number o Action Due Date o Action Status (% Complete) o Completion Date o RAG Status (manually set against each Action task) Completed Actions Summary o # Actions Completed o # Actions due/overdue this week o # Actions completed this week o Overall % completed Outstanding Actions Summary o # Overdue o # Future Due Dates
The screenshot below (provided by NHS A&A) provides a visualisation of the report:
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12 Security 12.1 SharePoint Security Overview 12.1.1 Security Groups The top-level site of a SharePoint site collection has three security groups by default. Group Site Visitors Site Members Site Owners
Permissions Rights to open and read content. Have rights to edit, upload and delete content. Full rights to change the look and feel of the site, add and remove users, create or delete content.
Each sub-site created within the site collection has the option to inherit security groups from the top-level site. This simplifies the management of security permissions as they are all inherited from the top-level site. Any users granted access to the Site Members group will automatically have Site Members permissions on all sub-sites that inherit security. Alternatively, each sub-site can be created with unique security. A unique set of security groups is created for that particular site, to allow user membership to be managed separately from the toplevel site. Security inheritance can be broken at any level in a site hierarchy e.g. some sites can inherit security from a parent site; others can have unique security groups. 12.1.2 Security Inheritance Each site within SharePoint can contain a number lists and libraries, each containing list items, documents or filled-in InfoPath forms. By default security is inherited from the permissions set against the site e.g. users in the “Site Members” group will have the ability to add/edit/delete content within all lists and libraries in the site. SharePoint allows this security inheritance to be broken at any level within a site to provide more granular control of permissions. For example, a particular document library can have security inheritance broken so that permissions can be managed separately from the site. Security inheritance can also be broken on an individual document, form or list item e.g. to prevent certain users from editing a particular document.
12.2 Top-Level SAER System Site The top-level SAER System site will have the following security groups created:
SAER System Visitors SAER System Members SAER System Owners
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The majority of users will be added to the “SAER System Visitors” group only – they will not be required to edit any content on the top-level SAER site, but should be able to read it. 12.2.1 Additional Groups The following additional SharePoint groups will be created to allow process steps or sub-tasks to be assigned to groups, rather than individuals:
Leadership Team CGC
12.3 SAER Instance Sites Each SAER instance site created will be created with unique security and have the following security groups created:
x Members x Owners
In the above examples, “x” represents the generated reference for the SAER. For example, the unique security groups created for managing SAER 3 would be:
SAER003 Members SAER003 Owners
This will allow the individuals with members or owners permissions to be controlled individually for each SAER. Each SAER site will inherit the “SAER System Visitors” group from the top-level site. This means that any user granted read-only access to the top-level site will be able to read content in all SAER instance sites.
12.4 Closed SAERs As detailed in the previous section, each SAER site will have unique members or owners groups. If editing of site content is required to be restricted after it is closed, review members can be removed from the groups associated with the particular SAER to remove their privileges on that site. As long as the members remain members of the shared visitors group, they will still be able to access the site, but will no longer be able to update any content.
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