Inspectorial work management

AST/002 – Issue 6

Issue date:: 01/08/11
Review date:: 01/08/14
Open Government Status:: Fully Open
Approved By:: A N Hall

Purpose and scope
Policy
Responsibilities
Definitions
Procedure
Associated documents

1 Purpose and scope

1.1 This document describes the process and procedure for inspectorial work management within the Directorate using the COIN database. It is for:

promoting effective communication between inspectors requesting / requiring the services of other inspectors and the relevant Unit Head;
facilitating efficient work and task management and accountability.

1.2 The COIN Database provides a means to:

record work undertaken;
ascertain the status of work;
record work that has not been done;
access information to enable work to be planned and managed effectively; and
account for the utilisation of inspectorial effort.

1.3 These inspectorial work management arrangements are mandatory for all tasks apart from those that require no more than a small effort, typically 1 day in total, and work not chargeable (excepted work).

2 Policy

2.1 All significant chargeable work by working grade inspectors must be carried out in response to a COIN Case.

2.2 Work to support a Case will be allocated by Unit Heads through COIN Service Order(s).

2.3 Work allocation should take into account the intervention planning process (G/INS/008).

3 Responsibilities

3.1 CALM is responsible for appointing suitable person(s) to be responsible for the review and audit of this document, and the associated systems.

3.2 Unit Heads are responsible for work allocation, reallocation, monitoring and acceptance

3.3 The allocated inspector is responsible for undertaking work.

3.4 The Originator is responsible for agreeing the work scope with the Unit Head and the allocated inspector.

4 Definitions

4.1 COIN – The corporate computer database for recording and tracking Cases and Service Orders (among other things).

4.2 CALM - Corporate Assessment Liaison Meeting.

4.3 Originator - The staff member requesting work to be undertaken by means of a Case, which can be any Band 1 - 3 Inspector.

4.4 Allocated inspector - The staff member carrying out the work for whom a Service Order has been raised.

4.5 Unit Head - Usually a Superintending Inspector.

4.6 Task – any working grade inspectorial effort that requires a Case. Most usually a collection of work – defined in Service Order(s) - to meet an Originator’s need.

4.7 Excepted work – work or tasks that in total require no more than a small effort, typically 1 day, or those not chargeable.

4.8 Working Grade Inspectors – usually Band 2 & 3 Inspectors.

5 Procedure

5.1 A Case must be raised against a relevant Unit Head for work to be carried out by an inspector in their Unit apart from excepted work. The person requiring the work (the Originator) only needs to raise one Case on the Unit Head regardless of the number of inspectors needed for the task. Where skills from more than one Unit are needed then a Case should be raised on each Unit Head. The Unit Head is responsible for assigning related Service Orders to each Inspector needed for the task (the allocated inspector(s)).

5.2 Cases may not be used to reserve blocks of work or as 'call off' contracts. However, where work is defined within a programme or plan which has been through due process then it is acceptable to allocate effort against it..

5.3 All Inspectors can raise Cases. Only Unit Heads may raise Service Orders on their staff. Site inspectors raise Service Orders for their own site inspection work.

Raising cases

5.4 The Originator should discuss the task with the relevant inspector(s) who may carry out the work or with the Unit Head where it is not obvious which inspector(s) should do the work.

5.5 Discussions with the relevant inspector(s) should address the more technical aspects of the work. The Unit Head will address the planning, prioritisation and strategic aspects. Originators should provide sufficient information to agree and complete the Case Notes field with a proposed scope, timescales and the planned inspectorial allocation. The Originator should also complete the mandatory fields in the Case, save it (this raises the Case) and inform the relevant Unit Head who will, similarly, raise Service Order(s) on the allocated inspector(s).

Allocating work and Service Orders

5.6 Before allocating a Service Order the Unit Head should be satisfied that the scope, effort, timescales, etc. of the work are reasonable and can be accommodated within the available Unit capacity.

5.7 The work description and other relevant details should be recorded in the first note attached to the Service Order. The allocated inspector should be informed when a Service Order has been raised as the system only records receipt in the allocated inspector’s Home Page. As a double check, inspectors should visit their home page regularly to check for new Service Orders - when completing weekly time recording would be good practice.

5.8 Once the Service Order(s) have been allocated the related technical information should be passed to the allocated inspector(s) and / or suitable references given. The information should be sufficient to allow allocated inspector(s) to plan and schedule the work.

5.9 If the work package is considered unreasonable or undeliverable the Unit Head should attempt to resolve any difficulties by rescheduling / re-assigning the work in consultation with the allocated inspector(s) and the Originator. Similarly, the allocated inspector should seek to agree any change(s) to their scope of work with the Originator and their Unit Head. Any changes should be recorded, preferably in a note attached to the Service Order.

5.10 Should the Unit Head be unable to resolve the differences that prevent allocation of Service Orders from the originating Case they should inform the Originator and withdraw the Case. Similarly, where work is rejected due to lack of capacity, then the originator should be informed and the reasons recorded, preferably in a new Note attached to the Case or Service Order before it is closed.

5.11 Unit Heads can withdraw the Case at any stage by altering Case Status provided any subsidiary Service Orders have been closed. When closing Cases and Service Orders, the most appropriate descriptor should be used in the status field.

Tasking and reporting

5.12 When the Service Order is raised the allocated inspector is expected to take ownership of the work and responsibility for the resolution of resultant issues (see AST/004). The allocated inspector should undertake the work in line with the relevant processes, most notably, the Assessment Process (AST/001, PI/FWD), and ensure that the Originator is kept informed – particularly if the work will be late due to lack of capacity. A more detailed 'running history' of the task may be in notes / files attached to the Service Order.

5.13 Although it is possible to edit completion dates prior to closing out work this should not be done when work is delayed by lack of capacity or pressure from higher priority work. This should be recorded, preferably in notes attached to the service order, to reflect the circumstances. Specifically the required completion date should only be altered when the task requirements change, e.g. where a Licensee's submission is late.

5.14 The Unit Head should monitor progress of work against Cases ensuring that the relevant inspectors close out Service Orders once work is complete.

Task close out

5.15 Completion of the task includes outputs or reports in the format agreed between the Originator and allocated inspector(s). Where a report is required this will comply with AST/003. When the allocated inspector(s) and Originator are in agreement that the work is complete (e.g. as defined in AST/001) the Service Order will be closed. Sufficient details will be recorded to provide the Auditable Trail and the allocated inspector will inform their Unit Head. Cases can only be closed once all the related Service Orders are closed / completed.

Resolution of outstanding issues and follow up work

5.16 Where any significant matters that have not been resolved by the time the output is issued then any work to resolve these should normally be the subject of a separate Case and, where appropriate, recorded as ND Issues (see AST/004).

Job handover

5.17 It is the responsibility of the allocated inspector, and relevant Unit Heads to ensure that all allocated Cases and Service Orders are amended when jobs change.

Unit Heads should ensure that all continuing Cases are transferred to the incoming Unit Head.
The allocated inspector should ensure that continuing Service Orders are allocated to their replacement, closed or transferred as appropriate.
Similarly relevant Unit Heads should ensure that any continuing work is allocated to the correct Unit