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HID COIN quality assurance procedure

SPC/Admin/74

OG status:
Fully open
Author unit / section:
HID HQ
Target audience:
All HID COIN users
Version:
6

Introduction

1. This instruction describes HID’s arrangements for data quality (DQ) checks on COIN records. Operational band 1s, operational band 2 managers and other staff with specific COIN data responsibilities should read and be familiar with the arrangements.

2. The objectives of the DQ checks are to improve the quality of data held on COIN, and to provide assurance to the HID Director and HID Management Board (HMB) that COIN data is completed in line with HID’s core principles that we – ‘Go to the right places, Do the right things, Finish what we start and Leave a clear record’

3. The aim is to instill a culture of ‘getting the important things right first time’, enabling HID to reduce the frequency and volume of DQ checks undertaken.

Roles and responsibilities

4. Unit Heads have overall responsibility for ensuring that operational and administrative DQ checks are carried out on all COIN records, and that appropriate action is taken to address any issues that are raised.

5. Operational Managers (normally B2s) - should carry out operational checks on data related to regulatory activity. The nature, extent and frequency of the checks will need to be varied, dependent upon the level of performance of their team and compliance with the monthly checks.

6. Data Quality Coordinators (DQCs) in each unit/division should carry out administrative checks, produce and distribute standard COIN reports for colleagues and managers. The DQC has overall responsibility for collating this information for periodic submission to HID HQ.

7. The Directorate Data Quality Coordinator (DDQC) is the person designated in HID HQ to liaise between BSD DIS and local DQCs, and forward data reports received from BSD to DQCs for action.

8.  HID HQ will send out a calling note to Operational Managers and DQCs specifying the relevant period, the information required and the deadline for returns. HID HQ will be responsible for collating Administrative and Operational returns for submission to HMB.  

Operational checks

9.  Operational checks should be recorded on a copy of the form at Annex 1 and filed in TRIM. The form should be copied to Unit Heads and the DDQC by the requested deadline..

10.  Operational managers should carry out 100% monthly checks on all of the following:

(a)  Notices and Schedules

(b)  Notices past their ‘comply–by date’

Notices passed their Comply-by date without a result – COIN Report 5 (outstanding task list report)

(c) Outstanding issues

11. Operational managers should carry out sample monthly checks on the following:

(a)  COIN Notes on Closed cases  

(b)  Reports linked to COIN

(c)  Outstanding complaints

12. (a) Investigation Tracking

HID HQ will provide a monthly report to Unit Heads and DQCs indicating whether the 3 week or 2 month reviews are recorded, to help identify each division’s cases. The Quick Reference Guide on Investigation Tracking  is useful when carrying out these checks.

(b)  Invoice comments  

Invoice comments should help dutyholders to understand what work has been done and the costs incurred. Transparency helps HSE to explain publicly the costs of the various regimes, and to defend challenges to invoices brought by individual dutyholders.

13. Specific guidance has been prepared for FFI, which covers many of the above areas. The guidance specifically covers the preparation of Notice of Contravention (NoC) letters and attaching the letters to COIN. Operational managers should follow this guidance. For other regimes they should sample check comments to a sufficient level to assure themselves that it’s in line with the guidance.

Administrative checks

14.  The DQC should carry out data checks, produce and distribute standard reports for colleagues and managers. They should collate this information for periodic submission to HID HQ, using the form provided at Annex 2 which should be filed in TRIM, copied to the DDQC and their Unit Head.

15.  The DQC should carry out 100% monthly checks covering the following: 

(a)  Notices created

(b)  Fatal incidents

(c) Prosecutions

Recording and reporting arrangements

16.  DQCs and Operational Managers should record the outcome of their checks against the above criteria in the format of Annex 1 for all operational checks, and Annex 2 for administrative checks. All proformas should be filed in TRIM, copied to the DDQC and their Unit Head.

17.  Results from all the DQ checks will be used by HID HQ to populate the HMB performance dashboard and provide other information to support the Business Assurance function.

Any queries about the procedures should be addressed to HIDHQ Building 5N.2, Redgrave Court, Bootle.

Updated 2013-10-16