SIM 02/2011/02
Construction Division Staff and Construction Inspectors
This SIM replaces SIM02/2010/03 and provides guidance for operational staff in FOD Construction Division on recording their work for the 2011/12 work year on COIN. It should be read in conjunction with the:
For detailed information on Divisional priorities, including those listed on the IRF C, please refer to the Division’s Plan of Work 2011/12.
There are a number of proactive operational work streams detailed within the Divisions Plan of Work 2011/12. The information gathered during the delivery of these is vital to the Division’s ability to target our resources effectively. The Division is also required to undertake a significant amount of reactive work throughout the year and record the outcomes of this. This SIM provides guidance on how the information generated should be recorded on COIN and the circumstances when Cases and IRF Service Orders should be used. This information is summarised in Appendix 1 – Work Recording Aide Memoir – Inspectors and Appendix 2 – Work Recording Aide Memoir – Visiting Officers.
It is important to note that unlike Geographic FOD, Construction Division will continue to use categories in the same way as previous years.
The changes to categories described in this SIM will take effect from 01/04/2011. However to enable staff to use the current categories to record their 2010/11 work, data input to COIN will commence on 18/04/2011.
The IRF Construction Service Order (IRF C) should be used to record all proactive site related inspection work for:
Cases can still be used where appropriate as a master case to link various visits to one another or to initiatives without specific site activity. The IRF C should be completed in line with existing COIN guidance on the intranet. Further help is available in a specific ‘How To’ guide in relation to the IRF C at this site.
As inspection work is recorded on the IRF C against work streams instead of topics there is no need to record on more than one line at a time. For this reason all of the work streams have been defaulted to ‘Not Discussed’. This is in order to minimise the need to close unused lines. The relevant work stream therefore needs to be actively selected by changing the ‘Not Discussed’ field to ‘Present’.
Due regard should be taken of the descriptors below when deciding the appropriate work stream to record against on the IRF C.
| IRF C Work Stream | IRF C Recording Criteria |
|---|---|
| CD Small Sites/Projects | Proactive visits relating to small construction sites (typically domestic properties) where there are 15 or fewer people working including:
Where a small site is also a refurbishment project - record under small sites. |
| CD Refurbishment | Proactive visits relating to the refurbishment of existing industrial, commercial or domestic buildings and structures including:
Does not include minor one-off repair activities such as painting and decorating or replacement of windows – record under another category such as CD Small Sites (15 or fewer people working). |
| CD Major Clients/ Projects | Use only when visit is part of a major project intervention plan which has been approved by a B1. |
| CD Large Contractors (B1 Pilot) | DMB members and B2s undertaking board room level engagement with large contractors |
| CD Local Priority | All proactive work that is not categorised elsewhere, including under small sites, to meet local priorities such as:
|
Note 1: These categories reflect the elements of proactive work within the Divisions plan. CD Local Priority has been included to reflect the allocation of resources for work within this years Plan of Work that will need to be undertaken but which falls outside of the main priority sectors. See also ‘Initiatives without site activity’.
To enable us to be able to count the number and type of inspections there will be a new mandatory field on the Inspection Service Order screen with a simple drop-down menu containing 6 categories. Most construction inspections will come under ‘Inspection of a High Risk Sector’ but you should select the inspection category that is most appropriate e.g. ‘Inspection of a Poor Performer’ inspection category should be selected for ‘Improving Duty Holder Compliance’ work. The 6 service order categories are as follows:
All IRF C work streams are required to have their relevant RCI rated. The RCI guide is attached at Appendix 3 – IRF Work Stream Rating Aide Memoir and details the assessment scale to be used as well as the priority topics for each work stream. Further details on each topic are contained within the Division’s Plan of Work.
Inspection Rating Scores only need to be completed where an inspector has enough information to make an informed judgment about a duty holders overall health and safety performance (i.e. not just site based). This would include circumstances such as:
The assessment scale to be used is attached at Appendix 4 – IRF Inspection Ratings Scores for Company Wide Performance Scores should be reviewed and changed as necessary at follow up visits to poor performers. There is no need to complete any Inspection Rating Scores following visits in other circumstances.
The notes summary and detail fields should contain the mandatory information outlined in the work recording OM.
In addition to this the Division is very keen to obtain information from COIN on the outcomes/ results of the work undertaken, particularly in relation to innovative solutions or challenges to achieving the standards set out in the project plans. Where it is considered useful to draw these matters to the attention of the sector it would be beneficial if staff could precede any relevant information in the detail field with the words ‘outcome’.
Whenever a 5 or 6 is recorded on an IRF, a record must be made of the action taken and the reasons for taking that action in the IRF details field. This is especially important where a Notice has not been issued in circumstances where this might normally be expected.
The results of the follow up action taken by the dutyholder in response to the issue(s) of concern must be recorded on a new IRF created for the revisit or against the appropriate case where formal enforcement action has been taken. The initiating IRF should only be left open to record the dutyholder response where progress is checked by a letter or telephone.
Issues Tab
The issues tab is designed to matters indentified during a visit which require a dutyholder to confirm that remedial action has been taken but where a notice has not been issued.
In FOD this is limited to MEC & MPMC – see below.
Full details on creating and viewing issues and multiple issues can be found in the appropriate COIN “How To” guide on the intranet.
All work associated with the asbestos licensing regime should be recorded in accordance with the guidance produced by ALU and contained within SIM 02/2011/03. All site inspections of notifiable asbestos work should be recorded on the new Asbestos IRF guidance produced by ALU. For planned proactive inspection of this work select ‘Inspection of High Risk Sector’ from the inspection category drop-down list shown within the Asbestos (ASBIRF) service order
Visiting staff should be aware that there are specific instructions for all FOD staff relating to situations where MEC’s and MPMC are encountered. Construction visiting staff need only record these when they are encountered outside of a construction environment – See OC 18/12. They should be recorded on an IRF Ordinary (IRF O) against the relevant duty holder and site.
This work is of significant importance to the Division in continuing its record of targeting resources at the poorest performing sectors.
No overall master case will be used this year to record this work. However, as last year a master case will still need to be created for each duty holder selected. For each case select:
A dutyholder improvement plan should be attached to the case and written to address the issues of most importance for that duty holder together with any other appropriate note details. Visits are to be recorded using an IRF C service order with the appropriate workstream selected e.g. CD refurbishment or CD small sites/projects category.
For planned proactive inspection on this work, select ‘Inspection of Poor Performer’ from the inspection category drop-down list shown within the IRF C service order.
Inspection time is to be recorded on an IRF C against the appropriate workstream e.g. ‘CD Small Sites’ or ‘CD Major Projects’ where not recorded in UWR. Where appropriate, information of note a case (e.g. for enforcement) should be linked to the master case created for this work (Case 4244637).
For planned proactive inspection of this work, select ‘Inspection of High Risk Sector’ from the inspection category drop-down list shown within the IRF C service order.
Inspection time is to be recorded on an IRF C service order against ‘CD Local Priority' where not recorded in UWR. For planned proactive inspection work on this topic, select ‘Inspection of High Risk Sector’ from the inspection category drop-down list shown within the service order.
Where appropriate, for information of note a case (e.g. for enforcement) should be linked to the master case created for this work (Case 4244640).
This work is to be undertaken by nominated inspectors only. Specific guidance will be produced in due course.
As in previous years specific guidance on recording this work will be provided nearer the time.
There are a number of elements of the Division’s Plan of Work that require proactive non-site related work.
Arrangements will continue with what was in place during 2010/11.
All WWT work should be recorded as notes against the following cases that have been established to capture specific types of WWT work:
WWT Ops 1 (site 416357162)
WWT Ops 2 (site 4163567)
WWT Ops 3 (site 4163568)
WWT Ops 4 (site 4163571)
All of these cases have been created against the generic Working Well Together customer (customer 4163561) and are linked to master case 4156962.
Where other types of WWT work are undertaken, a new work type case should be created and related to this master case. For each case select:
Time should be recorded in the normal way against the Advice/ Education/ Promotion activity with the ‘CD WWT/ SME Engagement’ work stream category selected.
Generic regional SHAD customer/ site records have also been established to record work that falls outside of the scope of WWT.
A single case should be raised against this record for the work undertaken with the category ‘Partnership/ Stakeholder’, type Advice/ Education/ Promotion’ and detail ‘N/A’. Time should be recorded in the normal way against the most appropriate category selected.
However, there may be some instances where it is more appropriate to record against a specific customer record instead so that others in HSE can become aware of the interaction that has taken place. This would typically be for work that has been undertaken in association with a significant body – for example with an important Divisional or national stakeholder. In these instances a case with the category ‘Partnership/ Stakeholder’, type ‘Advice/ Education/ Promotion’ and detail ‘N/A’ should be created against the relevant customer record instead, although operational teams can choose to relate this to the generic SHAD customer records listed should they wish to. Time should still be recorded in the normal way as outlined above.
The Division’s Plan of Work requires the promotion of a number of other areas not detailed above – e.g. head office visits to small developers or the promotion of respiratory risk issues. Such work should be recorded as a case against the relevant customer record with the category ‘Partnership/ Stakeholder’, type ‘Advice/ Education/ Promotion’ and detail ‘N/A’. Time should be recorded in the normal way with the most appropriate category from those detailed above selected.
All such work should be recorded in line with the work recording OM and existing COIN procedures. It is important to note that:
There are a number of circumstances where other members of Construction Division staff will also undertake reactive work – for example following up initially on complaints or some reported incidents.
In these circumstances the details of the work should be recorded in line with the specific guidance contained within the work recording OM. It is important to note the following:
Specific guidance on recording chargeable work is contained this year within:
In the majority of instances Divisional staff will be able to record their work using the CD specific categories detailed above. However, other ‘All FOD’ categories within the OM are also available. These should be used as appropriate in circumstances not covered by the above instructions.
Where this work is stand-alone, a case should be created under the relevant dutyholder against:
Time should be recorded under the most appropriate workstream e.g. CD small sites/projects, CD refurbishment
Where these issues are included within other specific Visiting Officer initiatives then they should be recorded as part of the record for that work as detailed below.
Improving Duty Holder Compliance
Visiting Officers should record any work as a note against a relevant dutyholder case / master case. Time should be recorded in UWR as Advice/ Education/ Promotion against the most appropriate workstream e.g. CD small sites/projects or CD refurbishment.
ELCI
A master case has been created for this work strand (Case 4244689). Work undertaken should be recorded against the dutyholder as an appropriate case and linked to this master case. The dutyholder case should have:
Time should be recorded in UWR using the ‘CD ELCI’ category.
EET – Solar Capture Equipment
A master case has been created for this work-strand (Case 4244637). Work undertaken should be recorded against the dutyholder as an appropriate case and linked to this master case. The dutyholder case should have:
Time should be recorded in UWR using the ‘CD Small Sites/ Projects’ workstream category.
WWT
There are no change in arrangements in the arrangements for recording this work this year - see Working Well Together (WWT) above for more information.
Stonemasons / Renovation Companies
A master case has been created for this work-strand (Case 4239824). Work undertaken should be recorded against the dutyholder as an appropriate case and linked to this master case. The dutyholder case should have:
Time should be recorded in UWR using the ‘CD Local Priority’ workstream category.
Local Authorities
Work will continue during 2011 – 2012 to establish closer working relationships with LAs in their role as regulators of the construction industry, promoting health and safety and inform HSE of matters of evident concern.
The intended outcome will be to increase the effective involvement of LAs in construction, in their roles as:
A case should be raised against the relevant LA duty holder to record this.
The case should have the:
A master case has been created for this work-strand (Case 4244791). Record work as shown above and link to the mastercase,
Time should be recorded in UWR using the ‘CD Local Priority’ workstream category.
Appendix 1 - Work Recording Aide Memoir – Inspectors
Appendix 2 - Work Recording Aide Memoir – Visiting Officers
Appendix 3 - IRF Work Stream Rating Aide Memoir
Appendix 4 - IRF Inspection Ratings Scores for Company Wide Performance
