AU2010201986A1 - A system and method for tracking incidents and compliance events in a workplace - Google Patents

Description

AUSTRALIA Patenuts Act 1990 COMPLETE SPECIFICATION Standard Patent Applicant (s): WEOTS Pty ttd Invention Title: A SYSTEM AND METHOD FOR TRACKING TNCIDENTS AND COMPLIANCE EVENTS IN A WORKPLACE The following statement is a full description of this invention, including Lhe best method for performing it known to me/us: - 2 A System and Method for Tracking Incidents and Compliance Events in a Workplace Technical Field 5 The present invention relates to a system and method for tracking incidents and compliance events and in particular for tracking incidents and compliance events relevant to a workplace. Background of the Invention Employers arc generally under an obligation to provide a workplace which complies with not only their 15 business needs but requirements as set out by law or government bodies. These requirements may be, for example, rules and regulations relating to the operation of a workplace, such as workplace safety, maintenance programs for equipment, or procedures. in dealing with harassment in 20 the workplace. In order to meet these requirements, employers may be required to set up specific infrastructure, personnel and/or training courses to ensure the employees, equipment or assets comply with these requirements. 25 Once an employee undertakes these tasks to meet specific requirements, the records for the completion of those tasks should be filed and kept for reference. However, it is not uncommon for these records to be 30 misplaced or lost. As such, when an incident in the workplace occurs, such as an accident or harassment case, the employer is unable to retrieve the records to demonstrate that he or she has complied with relevant requirements to repair equipment, or train or warn the 35 employees involved in the incident. This can lead to adverse findings against the employer including penalty payouts, fines, litigation, damages or any combination of -3 the above. This problem is made worse in industries which have a high level of employee turnover, or where the workplace .5 may require the use of dangerous machinery or procedures, or where there are specific government requirements which must be followed, such as background checks etc. In these industries, compliance records for each employee may be more prone to error, disorganization or loss due to the 10 large number of compliance events required for each employee, piece of equipment or asset, or the large number of incidents that occur in the workplace. Summary of the Invention ]5 In a first aspect of the present invention, there is provided a method for tracking compliance events within a workplace comprising the steps of prompting a user to interact with a compliance task, storing a compliance 20 record of the interaction, wherein, when the user completes the task, the record is transformed into a compliance event. In an embodiment of the first aspect, the compliance 25 task is a training program arranged to train the user via the interaction. In an embodiment of the first aspect, the training program is arranged to train the user to comply with 30 requirements. In an embodiment of the first aspect, the compliance task is divided into at least two independent stages arranged to provide interaction with the user. 35 In an embodiment of the first aspect, the interaction of each independent stage is stored in a record.

- 4 In an embodiment of the first aspect, the compliance task is assessed before the task is deemed to he completed by the user. In an embodiment of the first aspect, the assessmenL of the task is stored in a record. In an embodiment of the first aspect, at least one of 10 the independent stages are arranged to be repeated periodically. In an embodiment of the first aspect, the compliance task is one of an interacLion with a training program arid 15 a processing of a follow up task. In an embodiment of the first aspect, the compliance task is implemented by a program building process. 20 In an embodiment of the first aspect, the program building process comprises the steps of inputting properties of the compliance task, wherein the properties includes at least one of attributes, criteria and data concerning the operation of the compliance task; selecting 25 items for presenting materials relevant to the compliance Lask; and programming fields for user interaction with the compliance task. In an embodiment of the first aspect, the steps of 30 inputting properties, selecting items and programming fields are conducted on a graphical user interface. In an embodiment of the first aspect, the graphical user interface is arranged to provide a drag and drop 35 function.

- 5 In an embodiment of the first aspect, the step of dividing the compliance task into sections. In an embodiment of the first aspect, each of the 5 sections is arranged with independent properties, items or fields. In an embodiment of the first aspect, the materials relevant to the compliance task include any one of text, 10 images, multimedia, datasheets, manuals or a combination thereof. In accordance with a second aspect of the present invention there is provided a method for tracking an 15 incident in the workplace comprising the steps of: prompting a user to input data relevant to an incident; identifying at least one person, piece of equipment and asset relevant to the incident; storing the data as a incident record; and, assigning the incident record for 20 further processing to at least one other user. In an embodiment of the second aspect, the embodiment further comprises the step of querying compliance events relevant to the at least one person, piece of equipment or 25 asset. In an embodiment of the second aspect, the embodiment further comprises the step of linking the incident to each compliance events relevant to the at least one person, 30 piece of equipment or asset. In an embodiment of the second aspect, the embodiment further comprising the steps of prompting the user to input data, storing the data and assigning the incident 35 record are conducted via a graphical user interface.

- 6 In an embodiment of the second aspect, the incident includes one of a workplace accident, harassment, injury, work details, personal.. details, reports or a combination Lhereof. 5 In an embodiment of the second aspect, the process of generating the graphical user interface comprises the steps of retrieving properties, wherein the properties include at least one of attributes, criLria and data 10 concerning the incident relevant to the interface; selecting items for presenting materials relevant Lo the interface; and programming fields for user interaction with the interface, 15 in accordance with a third aspect of the present invention, there is provided a method for tracking an incident and a relevant compliance event in the workplace comprising the steps of, prompting a user to input data concerning an incident into an incident record for 20 storage, wherein the incident record includes at least one person, equipment or asset involved in the incident; and, retrieving at least one compliance record of each of the at least one person, piece of equipment or asset relevant to the incident. 25 In an embodiment of the third aspect, the embodiment further comprising the step of generating a report detailing the incident record including the, at least one person, equipment or asset involved in the incident and 30 their at least one corresponding compliance record. In an embodiment of the third aspect, the embodiment further comprising the step of displaying the incident record including Lhe, at least one person, piece of 35 equipment or asset involved in the incident and their at least one corresponding compliance record.

In an embodiment of the third aspect, the incident record including the, at least one person, piece of equipment or asset involved in the incident and their at least one corresponding compliance record are presented 5 with an indicia to indicate the nexus between each incident record, at least one person, equipment or asset involved in the incident and their at least one corresponding compliance record. 10 In accordance with a fourth aspect of the present invention, there is provided a system for tracking compliance events within a workplace comprising prompting means arranged to prompt a user to interact with a compliance task, storing module arranged to store a 15 compliance record of the interaction, wherein, when the user completes the task, the record is transformed into a compliance event. In accordance with a fifth aspect of the present 20 invention, there is provided a system for tracking an incident in the workplace comprising prompting means arranged to prompt a user to input data relevant to an incident, identification means arranged to identify persons, equipment or assets relevant to the incident, 25 storing means arranged to store the data as a incident record, and, assigning means arranged to assign the incident record for further processing to at least one other user. 30 Tn accordance with a sixth aspect of the present invention, there is provided a system for tracking an incident and a relevant compliance event in the workplace comprising prompting means arranged to prompt a user to input data concerning an incident into an incident record 35 for storage, wherein the incident record includes at least one person, piece of equipment or asset involved in the incident, and, retrieval means arranged to retrieve at - 8 least one compliance record of each of the at least one person, equipment or asses relevant to the incident. In accordance with a seventh aspect of the present 5 invention, there is provided a computer program including at least one instruction which, when loaded on a programmable device, causes the programmable device Lo perform the method steps of the first aspect of the invention. 10 In accordance with an eighL aspect of the present invenLion, there is provided a computer readable medium incorporating a computing program in accordance with the seventh aspecL. 15 In accordance wiLh a ninth aspect of the present invention, there is provided a transmission and reception of a data signal comprising the computer program in accordance with the sevenLh aspect. 20 Brief Description of the Drawings Embodiments of the present invention will now be described, by way of example, with reference to the 25 accompanying drawings in which: Figure 1 is a block diagram of a system in accordance with one embodiment of the present invention; Figure 2 is an example screenshot of the user detail interface of the system in accordance with Figure 1; 30 Figure 3 is a diagram illustrating the different components of the system of Figure 1; Figure 4 is an example screenshot of the form builder of Figure 3; Figure 5 is an example screenshot of the form portal 35 in accordance with the embodiment of Figure 3; Figure 6 is an example screenshot of the incident manager in accordance with the embodiment of Figure 3; - 9 Figures 7A to 7D are example screenshots of the course builder in accordance with the embodiment of Figure 3; Figure 8 is an example screenshot of the non 5 compliance manager in accordance with Figure 3; Figure 9 is a flow diagram illustrating the operation of the system in accordance with the embodiment of Figure 1; Figure 10 is a top view of a block diagram of the 10 system in accordance with a second embodiment; Figure 11 is a flow diagram illustrating the operation of the form builder in accordance with the embodiment of Figure 3; Figure 12 is a flow diagram illustrating the 15 operation of the course builder in accordance with the embodiment of Figure 3; and Figure 13 is a flow diagram illustrating the operation of the reports manager in accordance with the embodiment of Figure 3. 20 Detailed Description of the Preferred Embodiment Referring to Figure 1, an embodiment of the present invention is illustrated. This embodiment is arranged to 25 provide a system and method for tracking compliance events within a workplace comprising the steps of prompting a user for interaction with a compliance task; storing a compliance record of the interaction, wherein, when the user completes the task, the record is transformed into a 30 compliance event. In this example embodiment, an interface 203 and processor 102 is implemented by a computer having an appropriate user interface. The computer may be '35 implemented by any computing architecture, including a stand-alone PC, clienL/server architecture, "dumb" terminal/mainframe architecture, or any other appropriate - 10 architecture. The computer is appropriately programmed to implement the invention. In this embodiment, at least one incident and 5 relating compliance events for at least one person are recorded into a centralised database 120. In some examples, the system may access a separately administered database containing data relating to employees, incidents and compliance events, in order to track each incident and 10 relating compliance events. In an alternative embodiment, the database may not be separately administered but may be administered by an external party such as an external database located at a 15 remote location. Referring to Figure 1, there is shown a schematic diagram of a central transverse system which in this embodiment comprises a server 100. The server 100 20 comprises suitable components necessary to receive, store and execute appropriate computer instructions. The components may include processing unit 102, Read-Only Memory (ROM) 104, Random Access Memory (RAM) 106 and input/output devices such as a disk drive 108, input 2b devices 110 such as an ethernet port, an USB port, etc, display 112 such as a liquid crystal display, a light emitting display or any other suitable display in communications link 114. The server 100 includes instructions that may be included in ROM 104, RAM 106 or 30 disk drive 108 and may be executed by the processing unit 102. There may be provided a plurality of communications link 114 which may variously connect to one or more computing devices which is a server, personal computer, terminals, wireless or handheld computing devices. At 35 least one of a plurality of communications link may be connected to an external computing network through a telephone line or other type of communications link.

- 1.1 The service may include storage devices such as a disk drive 108 which may encompass solid state drives, hard-disk drives, optical drives, non-volatile media or 5 magnetic taps drives. The server 100 may use a single disk drive or multiple disk drives. The server 100 may also have a suitable operating system 116 which resides on the disk drive or in the ROM of the server 100. 10 The system has a database 120 residing on the disk or other storage device which is arranged to store at least one record 122 to describe a person, such as an employee, or an iLem of equipment relating to the workplace or work environment. The database 120 is in communication with 15 the interface 203, which is implemented by computer software residing on the server 100. The interface 203 provides a means by which a user can access the system to perform a number of functions. These functions includes, without limitations: 20 - the entry of data relating to persons (employees), equipment or assets; - the construction of a form for the reporting of incident or management of other matters; - the reporting and recording of incidents; 25 - the monitoring, assessing, or management of incidents; - the monitoring, assessing or management of compliance events; - the construction of a course or training program to 30 meet compliance requirements; or, - the retrieval, reporting and review of data relating to persons, incidents or compliance events within the database 120. 35 In some examples, the system is deployed on a client/server arrangement wherein the implementation of the system is in the form of software residing on the - 12 server's storage. During operation, the server serves data to each client to produce the interface 203. A user can access any one client and interact with the system through the interface produced on the client_ 5 In this example, a user will login to the system by entry of a login name or identifier followed by an identification verification means such as a password, key or biometric Loken. Once logged into the system, the 10 system determines the level and type of access provided to the user based on their assigned permission levels as determined during the implementation and deployment of the system. Once logged in, the user can proceed to add, delete, manipulate, modify or restore data in the database 15 120 based on their allowed permission, or to perform functions as listed above. With reference to Figure 2, an example screenshot of this example embodiment is shown. Once the user logs into 20 the system, the user's details are displayed through the detail page 220, including aspects such as positions, contact details 222, qualifications or skills 224. The user can select the relevant tabs 226 and modify any of these details. 25 With reference to Figure 3, another embodiment of the system is shown. The system comprises the database 120 which is in communication with an incident module 302, a compliance module 304 and a reporting module 306 to allow 30 each module 202, 204 to read, write and access data on the database 120. The incident module 302 provides an interface and functionality to allow a user to interact with the system 35 in order to report and record, monitor and resolve incidents. In this example, the incident module 302 comprises a form builder 1100, a form portal 1004, and an - 13 incident manager 1008 as referred to in Figures 10 and 11 described later in this specification. The form builder (1100, as referred to in Figure 11), 5 in this example is an interface arranged to allow a user to create a form for the entering of information to the system. These forms may be created for the purpose of entering information related to report specific incidents, such as an accident in the workplace through an accident 10 report form, or, work forms which are forms for the submission and recording of work related information such as employee details, leave requests, maintenance reports etc. In order to allow the system to operate on numerous environments and to allow for flexibility in the manner in 1s which forms are created, the form builder is arranged with a graphic interface Lo allow a user to drag and drop components of the form onto a background to generate a form. An example screenshot of an embodiment of the form builder is shown at Figure 4. 20 As shown in Figure 4, the form builder has a form area 402 which allows a user to place items for the form currently being built. These items may include text box, email entries, check boxes 406 or images. In order to 25 construct the form, the user can select the relevant items through the use of a selection interface 404, and then proceed to drag and drop the items into a suitable layout of the form. The user can then configure the properties of each item to include questions, hints, text and materials 30 suitable and thereby create the key components of the form. The form portal (1004, as referred to in Figure 10), in this example is an interface arranged to allow a user 3 to access a previously created form (created by the form builder) to enter in specific information for the purposes of the form. For example, where a form was created by a - 14 user to allow the entry and recording of an incident, such as a workplace car accident, the form will be built by a user to allow specific details relevant to the incident to be inserted. These may include, for example, a selection 5 of specific employees or persons involved in the accident, the car or other equipment involved and the details of the accident to be submitted with the form. Once this information is entered, the form portal generates a new incident record for each incident and stores all relevant 10 information of the incident within the record on the database 120. Figure 5 shows an example screenshot of an embodiment of the form portal which includes an interface with a list 1 of available forms for the user 504 and a form for Lhe entry of information 502. The incident manager (1008, as referred to in Figure 10), in this example, is an interface arranged to allow 20 users to interact with the present list of incidents within the system. The incident manager has a graphical interface (as shown in Figure 6) which lists all relevant Incidents which are awaiting action by the relevant user 604, and includes detail concerning the deadline or due 25 date of any follow up tasks relevant to the incident. The user may select relevant incidents in the incident manager as logged by the use of the form portal and then proceed to add follow up tasks Lo each incident. These follow up tasks will then be stored on the database 120 whilst the 30 incident manager will generate a message or job request to a specifically linked employee. In this example, a follow up task may be assigned from the incident manager 1008 to the fleet manager to follow up with insurance claims or car repairs. This task will then be sent directly to a 35 fleet manager's inbox to be completed whilst a record is also sLored in the database 120 for reference.

- 15 The incident manager also provides the functionality of a user to manage each incident including a review of the follow up tasks required, or any potential issues which are required for attention by the employer or 0 employees such as disagreements, discussions or mediation processes. This information is provided as an input page 602 which also allows a user to determine Lhe parties and time required to follow up on a specific incident. 10 With reference to Lhe above examples, in a situation whereby a car accident has occurred and has been entered into the forms portal, should a fleet manager fail to follow up the follow up task, such as a failure to repair the vehicle by a deadline or claim insurance, the system 15 may, automatically or at the prompted of a user, generate a non-compliance record for the fleet manager relating to the car involved in the accident. Further details concerning non-compliance records and their generation and processing is included herein this specification. 20 In this embodiment as shown in Figure 3, the system also has a compliance module 304 arranged to allow a user to access, view and manage compliance events relevant to the workplace or environment the system is operating. The 25 module 304 comprises a course builder 1002, a non compliance manager 1006 and a course delivery 1012 as referred to in Figure 10 described later in this speci fication. 30 The course builder is arranged for a user to design and build a training program, which in some examples, is suitable to meet compliance requirements of training employees within a workplace. In other examples, the training program may simply be a training or information 35 tool for users of the system. The course builder 702 may have a graphical interface arranged to allow a user Lo design a specific braining course with relevant materials, - 16 an example of this graphic interface is shown with reference to the example screenshots as shown in Figures 7A to 7D. 5 As shown in Figures 7A, a user can implement a training program by firsLly selecting and inputting the properties of the training program, including the program author 702 and uhe course approval person 704. In certain compliance requiremenLs, a program used to train a staff 10 member must be checked by an external party or management before the course is deemed suitable. As such, the course approval person 704 may be the external party or manager responsible for approving the course. 15 In Figures 7B, it is shown some addiLional properties of the training program which can be adjusted by tho user. The properties may include employees required to complete the program, pass or fail settings, assessment requirements, contact person, attached documentations and 20 time frame of completion of various milestones. The information may be added through a property manager interface 706. In some examples, the properties of the training program may also include a field to appoint a person within the company or an outside expert to approve 25 Lhe course before the course is made available to employees. These properties, including the approval persons are all stored within the database 120 for reference. .30 As part of the implementation of the training program, a user may include quesLions, text boxes, teaching materials, audio files, images or videos as part of the training program. As shown in Figures 7C and 7D, the course builder has a background interface 708 which 35 allows a user to add materials Lo the actual training program. This can be done by selecting relevant tools for the presentation of materials 714 and the selection of - 17 relevant interaction devices 716 to allow a user to respond to questions concerning the materials of the program. In this example, a user wishing to add an image to the program can select the image button 720 in which an 5 image box 718 is displayed on the background interface 708 then select the name or source of the image file. To add additional presentation materials or interaction device, the user can simply drag and drop each of these course components into each background interface 708 to build the 10 course. In this example, a training program is divided into sections which are formulated with unique properties. The first section of the program may be a presentation section 15 which outlines the materials that must be reviewed by a user. The subsequent section of the program may be a tesL section whereby questions are prompted to the employee to assess the employee's knowledge. During implementation of the training program, the user may select relevant 20 properties for this section by setting questions and answers, pass marks, relevant time constraints, frequency of retraining required or the limitations or scope of materials which are provided 710. Once the user completes the design and implementation of the training program, the 25 user can proceed to save the program and assign it to different employees who should complete the program. Where an employee or user has been assigned a training program, the employee can access the program by 30 means of accessing the course delivery module (1012, as referred to in Figure 10) to begin the training program. Once the employee interacts with the training program, a record is generated by the delivery module to record the details of the interaction of the employee with the 35 program. This record is particularly important where the training program is relevant to a compliance event, such as a workplace safety program or a program on bullying in - 18 the workplace. Those programs are often mandatory to be completed periodically by new and existing employees in accordance with legislative or insurance requirements. Once this record is generated, it is then stored in the 5 database 120. In situations where the training program is deemed to require assessment, such as a pass mark, or prerequisite of certain conditions before the program is deemed to be 10 completed, the user's interaction with the course delivery module is recorded with details of whether che user has met the requirements for successful completion. The results of the usr's interaction with the course delivery module is then stored in the database 120 and processed by 15 the non-compliance manager. Where a user did not meet the requirements for successful completion of the training program, a non-compliance record is processed by Lhe non compliance manager and is stored on a database 120. The non-compliance manager may also transmit one or more 20 messages regarding the non-compliance record to the user and their supervisors. As shown in Figure 8, a screenshot of an example embodiment of the non-compliance manager is shown. The interface of the non-compliance manager shows the complete list of non-compliance employees, equipment 25 or assets in a listing 804 and the details of each compliance issue 802. As shown, the non-compliance record 802 of employee "Gary Smith" shows the details of the non compliance, including the date, time and issue. The user of the non-compliance manager can follow up this non 30 compliance record by selecting the function tabs 806 to assign or action items relevant to this non-compliance record. This can include, for example, a re-assignment of the training program to the employee. 35 The reporting module 306 provides the function of reporting on the incidents or compliance events within the database 120. In this embodiment, the reporting module 306 - 19 comprises a reports manager (1302, as referred to in Figure 13) which is arranged Lo access the database 120 for data Lo generate specific reports concerning incidents and compliance events. In some examples, the reporting 5 module 306 will simply provide a reporL either in electronic or print format with a list of all incidents or compliance/non-compliance events as stored in Lhe database. In other examples, the reports generated will include a relationship or connection between the incident 13 and the compliance/non-compliance event. This can be achieved by querying the database 120 for Lhe compliance record for each person, equipment or asset listed as being involved with the incidenL and presenting tLhis information with each incident. This connection or relationship 15 between the incident and the compliance/non-compliance event is particularly useful where a manager or employer wishes to establish the compliance history for a person or equipment in order to establish liability of the incident. 20 With reference Lo Figure 9, a flow chart showing the operation of another embodiment of the present invention is shown. In this embodiment, a user creates forms (900) for incidents to be logged with the system. These forms, for example, maybe an incident reporting form such as an 25 accident reporting form, an absence form, a leave form or an injury form. The forms can be implemented using the form builder by the user and assigned to specific employees for access in the event an incident needs to be reported. 30 Once an incident occurs, such as a car accident involving a work vehicle and employees, the incident needs to be logged by a user into the system. In this example, the user will use the forms portal and find the relevant 35 form suitable for the incident to fill in relevant details, including the involvement concerning work related items and employees (902). Once the information is - 20 recorded, the system produces an incident record and the incident is stored into the database 120 (904). As par of the incident logged, various follow up 5 tasks may be required and relevant parLies are notified to action certain tasks (906). These tasks may then be assigned to certain users in the relevant position and a log of this assignment is made to ensure the tasks are tracked. Where the tasks are not complete within a 10 specific period, the non-compliance manager may record the task as a non-compliance record which must be resolved. In this embodiment, once the follow up tasks are assigned, the system proceeds to check compliance for the 15 relevant incident (908). The system identifies and retrieves all compliance records relating to the equipment and employees relevant to the incident. These records are then printed or displayed into a compliance report (910), which could be printed for a user to review. In some 20 examples, the report is simply a presentation of the non compliance records of each employee, equipment or asset involved as to assist a user or employer in determining where the liability of the incident may be, or whether improvements or further actions needs to be followed. 25 The system is advantageous in that employers using this system are able to quickly identify the compliance history of each staff member, plant or equipment or even assets of its company in the event an incident occurs. In 30 situations where litigation is imminent, or that there is a disagreement between the employees involved as to who was responsible or whether legislative or commercial arrangements or requirements are adhered to, the compliance report will collate the information for an 35 employer or user of the system to quickly produce the relevant information to clarify the situation.

- 21 As discussed above, the compliance with legislation or commercial requirements are managed by the compliance module 304. As shown in Figure 9, an example of the interaction with the incident module is shown. At a first 5 instance, a user can use the course builder to produce a training program (912). This program is then delivered to relevant users via the course delivery module to each user (914). Once the user interacts with the program, each interaction is saved as a record with the database 120 10 (916) and upon successful completion of the program, the compliance record relevant to the training program is updated automatically (920) to reflect the compliance sLatus of the user who successfully completed the program. In situations whero the user did not complete the training 1b (918), a record of the same is stored in the database 120 and a non-compliance record is generated automatically and stored in the database 120. An alert (922) or notification may also bo sent to the user's supervisor to follow up on the unsuccessful completion of the program. In some 20 examples, a batch program such as a cron-job script is executed periodically to collect and process all records of interactions between each user and the course delivery module in order to determine if the user had met compliance requirements. Where the user has met the 25 compliance requirements, a compliance event record is generated and stored in the database 120 for the user. With reference to Figures 10 to 13, an example deployment of an embodiment of the system within a 30 workplace is shown. In this embodiment, the system comprises a course builder 1002, form portal 1004, non compliance manager 1006, incident manager 1008, middleware interface 1010, course delivery module 1012 and a dashboard 1014. Each of these components is suitably 35 implemented by computer software residing on a client/server 100 arrangement as suitable for the workplace using this example deployment.

- 22 The course builder 1002, form portal 1004, non compliance manager 1006, incident manager 1008, and the course delivery module 1012 are all able to communicate 5 with each other through the middleware interface 1010. in this embodiment, the middleware interface 1010 is arranged to allow the different components to share data with a centralized database 120. This data may include forms created by the form builder (1100, as referred to in 10 Figure 11), the course created by the course builder 1002, the incidents logged through the incident manager 1008, the non-compliance records retrieved for processing by the non-compliance manager 1006 or the records for interaction between a user and the course delivery module 1012. Tn 15 some examples, the middleware interface 1010 provides the function of a data conversion between each component, or acts as a backend programming function to facilitate the calling of each component or for the exchange of messages, notifications or alerts between each component. The 20 interface 1010 may be implemented by suitable middleware technologies or custom builL data conversation software, such as, without limitation, PHP, PERL, C++, JAVA etc> In Lhis embodiment, the middleware interface 1010 is 25 connected to a dashboard 1014 which is arranged to allow a user to interact with the system. In one example, the dashboard 1014 has a graphical representation of the various status and data relating to each of the components of the system. A user may use the dashboard to monitor, 30 observe or review the data within the database 120 for each component, such as the forms available, a list of compliance events with the non-compliance manager 1006, a list of incidents as stored within the incident manager 1008 or a listing of various employee or equipmenL data 35 within the system. In some examples, the dashboard 1014 provides an interface to additional functionality external Lo the present system such as calendar access, diary - 23 entries- web portals, weather reports or internet access to enhance the usability of the system. With reference Lo Figure 11, an example flow diagram 5 of the operation of an embodiment of the form builder is shown. A user may access the form builder 1100 to create a new form. Once the form is created, the form is stored and collated by a form manager 1102, which allows a user to manage the forms that are on the system, including the 10 assignment of permission and access of the forms to specific employees or to specific positions (such as CEO, O3&S Manager, machine worker eto) within the workplace the system is operaLing under. 15 Once access of the forms is provided by the form manager 1102, employees can access the forms through the form portal 1004 in order to access and enter in specific information with the form. In this embodiment, the forms generated may be for an employee to enter their personal 20 details, such as leave requests, education standings or contact information as well as incident reporting forms such as accidents, events, or problems in the workplace whereby management or the employer needs to be made aware. One a form is filled in by an employee, the form is 25 submitted to the system (1106) and stored in the database 120. The employee who has accessed and interacted with a form is also logged for records keeping. The incident manager 1008 can then be accessed by a user to identify and review each incident as stored whilst also allowing 30 the non-compliance manager 1006 to be used to identify any issues of non-compliance for the employees involved with the incident reported. For example, where the incident reported through the form portal 1004 was an accident concerning a company owned truck, the employee responsible 35 for operating the truck and the truck itself would then be queried through the incidenL manager 1008 by a user to identify whether the employee had fulfill licensing or log - 24 book requirements, whilst the truck itself would be queried as to maintenance and registration records. During this query, the user or the incident manager 1008 may also invoke the compliance manager to display the compliance 5 and non-compliance events relating to the employee and/or the truck. A determination of the compliance for each iLem would then be processed and stored by the system and can be reviewed by use of the non-compliance manager 1006 for further attention by management or employer via the use of 10 the dashboard 1014 or reports manager 1302. Each compliance or non compliance event is also stored and archived (1114). With reference to Figures 12, a flow diagram of the 15 operation of the course builder in accordance with an embodiment of the invention is shown. In this embodiment, the course builder 1002 has an interface arranged to allow a user to access the sysLm to design and build a course for delivery to other users. In this example, the course 20 is a training program which allows a user to be presented with materials suitable to meet a training goal or objective. In some instances, these training goals or objectives are based on compliance requirements and therefore, the successful completion of which will form 25 part of a compliance event Lo be recorded by the system. In operation, the course builder 1002 provides an interface for a user to create a new training program. The user can use an interface to design and implement 30 questions and to include any relevant training materials, such as datasbeets or manuals which are relevant to the training. In some training programs, a manual or datasheet needs to be included as part of the training. These include, for example, technical data relating to an item 35 or equipment. The manual or datasheet can be supplied from a separate datasheet source through the data sheet portal 1210. In. this example, the portal 1210 allows a - 25 centralized management of datasheets which provides an advantage concerning version control issues and amendments to the datasheets. 5 Once a user creates a training program, the user may select an external party to review the program for compliance requirements. This is done by an external party picker 1212, which allows the user to select an external party to review the program. This is particularly useful 10 in situations where a training program is a necessary requirement of compliance and will require an external party to assess the quality of the program. Once a user selects an external party, the course builder automatically transmits the program, or access to the 15 training program to the external party through a communication means such as email, fax or link. When the training program has been implemented, the program is stored on the database 120 of the system. The 20 user can Lhen select the relevant employees who should conduct this training and assign the program to these employees. This is done by retrieving and selecting a list of employees from the database 120 relevant to this training course, and assigning a link or the program 2S itself to each employee. To assist the user, the user can access a function to list either the positions within an organization (such as receptionist) or individual or groups of staff members of the organization to which the system operates for (1214). Once a list is provided to the 30 user, the user can then proceed to select the relevant employees from Lhis list (1206). The training program is then assigned to each employee and a log of this assignment is stored onto the database 120. 35 Once the program has been assigned, employees can start the training by accessing the course delivery module 1012 to begin Lhe training program. Once the training is - 26 started, the events of the training are logged as a record in the database 120 to record the employee has begun the training program. These records each contribute to a determinaLion of whether the employee would have meet 5 minimum compliance requirements as required for their role in the workplace. In examples where Lhe course requires assessment, or is broken into a number of sections, the time, results and dates of accessing the training program is recorded in the database and processed to determine T0 whether the employee is compliant or not. If an assessment is required, the employee may be examined by the course delivery module 1012 of which the results of the assessment, and the pass or fail mark is and stored in the database 120. The course delivery module 1012 may also be 15 programmed to assess the final results of the employee's attempt of the training program and determine whether the employee's attempt at the training is deemed to be sufficient as a compliant event for the materials covered by the training. 20 The non-compliance manager 1006, in this embodiment is arranged to report the compliance of the employee and archive the results of Lhese reports (1114) for review by the employer or manager. Non-compliance alerts which 25 report on the employee's failure to meet compliance levels may be reported through the dashboard 1014 or the reports manager 1302. With reference to Figure 13, an example embodiment of 30 Lhe reports manager 1302 is shown. The reports manager 1302 is arranged to create and manage reports of compliance for employees, equipment or assets within the workplace. The reports manager 1302 communicates with the incident manager 1008, non-compliance manager 1006, course 35 delivery module 1012 to ascertain and collate the incidents and compliance events as stored in the system. In operation, the reports manager may identify each - 27 incident and the relevant employees involved in the incident (1214) and retrieve the corresponding employee's or asset's compliance events. The report will.. then attempt to correlate the relevant compliance events of the b employee or assets relevant to the incident of which the report is generated for. In one example, where the incident is related to an accident whereby an employee has crashed a truck belonging 10 to the company, the name of the employee along with any witness or injured parLies are retrieved from the database 120 via the incident manager 1008, along with their compliance records as accessed by the non-compliance manager 1006. In this example, as the accident involved a 15 vehicle, the compliance records relating to the driver training or truck operating procedures are specifically selected by the reports manager 1302 for the generation of the report. In the example of the truck, the compliance records for the truck are then retrieved from non 20 compliance manager 1006 which details the truck service history and registration requirements. The combination of which is generated into a report and is presented to the dashboard 1014 or outputted as a dedicated report via PDF, email or other forms through a reports portal 1304. 25 The report generated by the reports manager 1302 is advantageous in that an employer using Lhe system can readily and quickly provide evidence to investigative officers, insurance companies or government bodies of the 20 compliance events of the employer. In situations where the employer has made effort to ensure their employees, equipment and assets have compiled with legislation or commercial requirements, the justification of their compliance can be provided quickly and simply to a 35 relevant party. This will assist in mitigation liability risks for the employer in an effective and fast manner.

- 28 AlLhough not required, Lhe embodiments described with reference to the Figures can be implemented to file an application programming interface (API) or as a series of libraries for use by a developer or can be included within 5 another software application, such as a terminal or personal computer operating system or a portable computing device operating system. Generally, as program modules include routines, programs, objects, components and data files the skilled person assisLing in the performance of 10 particular functions, will understand that the functionality of the software application may be distributed across a number of routines, objects or components to achieve the same functionality. 15 It will also be appreciated that the methods and systems of the present invention are implemented by computing system or partly implemented by computing systems than any appropriate computing system architecture may be utilised. This will include sLand alone computers, 20 network computers and dedicated computing devices. Where the terms "computing system" and "computing device" are used, these terms are intended to cover any appropriate arrangement of computer hardware for implementing the function described. 25 It will be appreciated by persons skilled in the art that numerous variations and/or modifications may be made to the invention as shown in the specific embodiments without departing from the spirit or scope of the 30 invention as broadly described. The present embodiments are, therefore, to be considered in ail respects as illustrative and not restrictive.

Claims (59)

1. A method for tracking compliance events within a workplace comprising the steps of: - prompting a user Lo interact wiLh a compliance task; 5 - storing a compliance record of the interaction, wherein, when the user completes the task, the record is transformed into a compliance event.

2. A method in accordance with claim 1, wherein the 10 compliance task is a training program arranged to train the user via the interaction.

3. A method in accordance with claim 2, wherein the training program is arranged to train the user to comply 15 with requirements.

4. A method in accordance with any one of the above claims, wherein the compliance task is divided into at least two independent stages arranged to provide 20 interaction with the user.

5. A method in accordance with claim 4, wherein the interaction of each independent stage is stored in a record. 25

6. A method in accordance with any one of the above claims, wherein che compliance task is assessed before the task is deemed to be completed by the user. 30

7. A method in accordance with claim 6, wherein the assessment of the task is stored in a record.

8. A method in accordance with any one of claims 4 to 7, wherein at least one of the independent stages are 35 arranged to be repeaLed periodically. - 30

9. A method in accordance with any onc of the preceding claims, wherein the compliance task is one of an interaction with a training program and a processing of a follow up task. 5

10. A method in accordance with any one of the preceding claims, wherein Lhe compliance task is implemented by a program building process. 10

11. A method in accordance with claim 10, wherein the program building process comprises the steps of: - inputting properties of Lhe compliance task, wherein the properLies include at least one of attributes, criteria and data concerning the operation of the compliance task; 10 - selecting items for presenting materials relevant to the compliance task; and - programming fields for user interacLion with the compliance task. 20

12. A method in accordance with claim 11, wherein the steps of inputting properties, selecting items and programming fields are conducted on a graphical user interface. 25

13. A method in accordance with claim 12, wherein Lhe graphical user interface is arranged to provide a drag and drop function.

14. A method in accordance with any one of claims 11 to 30 13, further comprising the step of dividing the compliance task into sections.

15. A method in accordance with claim 14, wherein each of the sections is arranged with independent properLies, 35 items or fields. - 31

16. A method in accordance with any one of claims 11 to 15, wherein the materials relevant to the compliance Lask includes any one of texnt, images, multimedia, datasheets, manuals or a combination thereof. .5

17. A method for tracking an incident in the workplace comprising Lhe steps of: - prompting a user to input data relevant to an incident; - identifying at least one person, piece of equipment and 10 asset relevanL to the incident; - storing the data as a incident record; and, - assigning the incident record for further processing to at least one other user. 15

18. A method in accordance with claim 17, further comprising the step of querying compliance events relevant to the at least one person, piece of equipment and asset.

19. A method in accordance with claims 17 or 18, further 20 comprising the step of linking the incident to each compliane events relevant to LhO at least one person, piece of equipment and asset.

20. A method in accordance with any one of claims 17 to 25 19, wherein the steps of prompting the user to input data, storing the data and assigning the incident record are conducted via a graphical user interface.

21. A method in accordance with any one of claims 17 to 30 20, wherein the incident includes one of a workplace accident, harassment, injury, work details, personal details, reports or a combination thereof.

22. A method in accordance with claims 20 or 21, wherein 35 the process of generating the graphical user interface comprises the steps of: - retrieving properties, wherein the properties include at - 32 least one of attributes, criteria and data concerning the incident relevant to the interface; - selecting items for presenting materials relevant to the interface; and 5 - programming fields for user interaction with the interface.

23. A method for tracking an incident and a relevant compliance event in the workplace comprising the steps of: 10 - prompting a user to input data concerning an incident inLo an incidenL record for storage, wherein the incident record includes at leasL one person, piece of equipment or asset involved in the incident; and, - retrieving at least one compliance record of each of the 15 at least one person, equipment or asseL relevant to the incident.

24. A method in accordance with claim 23, further comprising the step of generating a report detailing the 20 incident record including the, at least one person, piece of equipment or asset involved in the incident and their at least one corresponding compliance record.

25. A method in accordance with claims 23 or 24, further 25 comprising the step of displaying the incident record including the, at least one person, piece of equipment or asset involved in the incident and their at least one corresponding compliance record. 30

26. A method in accordance wiLh any one of claims 23 to 25, wherein the incident record including the, at least one person, equipment or asset involved in the incident and their at least one corresponding compliance record are presented with an indicia to indicate the nexus between 35 each incident record, at least one person, equipment or asset involved in the incident and their at leasL one corresponding compliance record. - 33

27. A system for tracking compliance events within a workplace comprising: - prompting means arranged to prompt a user to interact 5 with a compliance task; - storing module arranged to store a compliance record of the interaction, wherein, when the user completes the task, the record is transformed into a compliance event. 10

28. A system in accordance with claim 27, wherein the compliance task is a training program arranged to train the user via the interaction. 1i

29. A system in accordance with claim 28, wherein the training program is arranged to train the user to comply with requirements.

30. A system in accordance with claims 27 to 29, wherein 20 the compliance task is divided into at least two independent stages arranged to provide interaction with the user.

31. A system in accordance with claim 30, wherein the 25 interaction of each independent stage is stored in a record.

32. A system in accordance with any ono of claims 27 to 32, wherein the compliance task is assessed before the 30 task is deemed to be completed by the user.

33. A system in accordance with claim 32, wherein the assessment of the task is stored in a record. 35 34. A system i.n accordance with any one of claims 30 to 33, wherein at least ono of the independent stages are arranged to be repeated periodically.

- 34

35. A sysLem in accordance with any one of claims 27 to 34, wherein the compliance task is one of an interaction with a training program and a processing of a follow up 5 task.

36. A system in accordance with any ono of claims 27 to 35, wherein the compliance task is implemented by a program building process.

37. A system in accordance with claim 36, wherein the program building process comprises: - input means arranged for the inputting of properties of the compliance task, wherein the properties include at 15 least one of attributes, criteria and data concerning the operation of the compliance task; - select means arranged for selecting items for presentation materials relevant to the compliance task; and 20 - program module arranged for the programming of fields for user interaction with the compliance task.

38. A system in accordance with claim 37, wherein the input means, select means and program module is a 25 graphical user interface.

39. A system in accordance with claim 38, wherein the graphical user interface is arranged to provide a drag and drop function. 30

40. A sysLem in accordance with any one of claims 37 to 39, further comprising a dividing means arranged to divide the compliance task into sections. 35

41. A system in accordance with claim 40, wherein each of the sections is arranged with independent properties, items or fields. - 35

42. A sysLem in accordance with any one of claims 37 to 41, wherein. the materials relevant to the compliance task includes any one of text, images, multimedia, datasheets, 5 manuals or a combination thereof.

43. A system for tracking an incident in the workplace comprising: - prompting means arranged to prompt a user to input data 10 relevant to an incident; - identification means arranged to identify at least one person, piece of equipment and asset relevant to the incident; - storing means arranged to store the data as a incident 15 record; and, - assigning means arranged to assign the incident record for further processing to at least one other user.

44. A system in accordance with claim 43, further 20 comprising a query module arranged to query compliance events relevant to the at least one person, piece of equipment and asset.

45. A system in accordance with claims 43 or 44, further 25 comprising link means arranged Lo iink the incident to each compliance events relevant to the at least one person, piece of equipmenL and asset.

-46. A system in accordance with any one of claims 43 to 30 45, wherein the prompting means, identification means, storing means and assigning means is a graphical user interface.

47. A system in accordance with any one of claims 43 to 35 46, wherein the incident includes one of a workplace accident, harassment, injury, work details, personal details, reports or a combination thereof. - 36

48- A system in accordance with claims 46 or 47, wherein the graphical user interface comprises: - retrieval means arranged to retrieve properties, wherein 5 the properties include at least one of attributes, criteria and data concerning the incidenL relevant to the interface; - select means arranged to select items for presentation materials relevant to the interface; and 10 - program module arranged to program fields for user interaction with the interface.

49. A system for tracking an incident and a relevant compliance event in the workplace comprising: 15 - prompting means arranged to prompt a user to input data concerning an incident into an incident record for storage, wherein the incident record includes at least one person, piece of equipment or asset involved in the incident; and, 20 - retrieval means arranged to retrieve at least one compliance record of each of the at least one person, equipment or asset relevant to the incident.

50. A system in accordance with claim 49, further 25 comprising a report generation module arranged to generate a report detailing the incident record including the, at least one person, piece of equipment or asset involved in the incident and their at least one corresponding compliance record. 30

51. A system in accordance with claims 49 or 50, further comprising displaying means arranged to display the incident record including the, at least one person, equipment or asset involved in the incident and their at 35 least one corresponding compliance record. - 37

52. A system in accordance with any one of claims 49 to 51, wherein the incident record including the, at leasL one person, equipment or asset involved in the incident and their at least one corresponding compliance record are 5 presented with an indicia to indicate the nexus between each incident record, at least one person, equipment or asset involved in the incident and their at least one corresponding compliance record. 10

53. A computer program including at least one instruction which, when loaded on a programmable device, causes the programmable device to perform the method steps of any one of Claims I to 26 15

54. A computer readable medium incorporating a computing program in accordance with claim 53.

55. Transmitting and receiving a data signal comprising the computer program in accordance with claim 53. 20

56. A method for tracking compliance events within a workplace substantially as herein described with reference to the accompanying drawings. 25

57. A method for tracking incidents and a relevant compliance event within a workplace substantially as herein described with reference to the accompanying drawings. 30

58. A system for tracking compliance events within a workplace substantially as herein described with reference to the accompanying drawings.

59. A system for tracking an incident and a relevant 35 compliance event in the workplace substantially as herein described with reference to the accompanying drawings.