Background

1 In September 2007, FOD MB agreed that a new set of quantitative and qualitative measures would be introduced to check DQ in COIN. These measures consist of a mixture of checks; for example, whether a particular field on COIN has been completed correctly to the checking of the content of the notes, etc added to COIN. Following the briefing sessions held for the relevant managers, Divisions agreed to calibrate these new procedures during the last quarter of 2007/08.

2  These new requirements supplement the existing arrangements whereby managers monitor progress on certain elements of the work programme eg contact-days, formal enforcement, time spent on priority topics, timeliness of input of timesheets, etc. Much of this latter information is provided at Divisional level via the monthly Divisional Work Analysis Tool (DWAT). For further details see Annex 1.

New procedures

3  The new procedures are summarised in Annexes 2 and 3.  More detailed information is given below.

Notices

4  Divisions should undertake checks each month on 50% (a minimum of 10) of notice cases created, per inspection group, within the preceding month. These checks should ensure that the record has been created in line with the guidance given during the COIN Model Office (MO) training – please see the data checking guide.

5   Where a notice has been created as a standalone case, administrative staff should make further enquires regarding the circumstances that generated the notice. In some circumstances, notices will be genuine standalone records; for example, a prohibition notice served on roof work at the roadside with no other follow-up action.

6  Every month, administrative staff should run the ‘outstanding task (notice) list’ report to check that inspectors are keeping their COIN improvement notice records updated. Any issues should be referred to the relevant Band 2 for action. 

FODHQ will send out an annual list, for action, of prohibition notices which have a status of ‘as served’. This list will also detail improvement notices that have past the compliance / extension dates that are still marked ‘as served’.
(There is no report available in COIN to search exclusively for PNs which are still marked as served. Report 19 can be used, however dependent upon the date range used this will also output details of all INs still legitimately marked ‘as served’)

Fatal incidents

7  Each inspection group should undertake a monthly check for all fatal incidents created on COIN in the preceding month and all fatal incidents closed within the preceding month. However, checking all records created with the specified CDT values will not highlight any related investigations/records with incorrect CDT values. Therefore, every quarter, Divisions should check the fatal incidents recorded on COIN against the data in the spreadsheets, which Divisions use for recording these incidents. (All of these checks should include comparisons between the COIN and ICC records, thereby ensuring that all the necessary records have been created in COIN). Additionally, such checks can be used to determine that cases have been updated correctly on the receipt of any fresh information eg reportability status. For investigations involving several dutyholders, checks should also be made to confirm that the cases have been correctly related to each other, including the allocation of the ‘master’ case and the inclusion of this text in the summary. (Please see the relevant data checking guide)

Prosecutions

8  Checks should be undertaken at the end of each month, in accordance with the DQ checking guide, on all records created in the preceding month, as well as those closed in that month. In some divisions these checks are routinely undertaken by the LIT team on closure of a case. In these circumstances team leaders will just need to satisfy themselves that these checks were carried out and fit for purpose. Checks should also be made to determine that cases have been correctly related to each other, including the allocation of a ‘master’ case and the inclusion of these words in the summary, as appropriate. Such checks will ensure that the data correct at an early stage of the prosecution process. (Please see the relevant data checking guide)

New companies

9  In order to achieve the necessary standard of DQ, it is fundamental that the company, site and contact records are created correctly and are not duplicated. Checks should be undertaken on10% of new records and the associated site and contact records every quarter. The records selected for checking should be representative of all org admin staff. OPSD will extract the lists of premises (as it is not possible to do this locally) and they will be forwarded to the Divisional DQ coordinators. The checks should ensure that new companies have been created in line with current org admin guidance.

Incomplete case records

10  The number of incomplete records (notice/RIDDOR/prosecution cases where the hyperlinked pages have not been completed) should have reduced as a result of the COIN MO training. Therefore, checks should be carried out every six months on these records using lists produced by OPSD. As before, the lists will be circulated to the Divisional DQ coordinators, who should forward them to the relevant FMUs for action. Lists will be sent out in April and October.

Outstanding complaints

11  Monthly checks should be carried out, per FMU, to identify all outstanding complaints over 4 weeks old. For those records identified, further checks should be undertaken to ensure that the complaint is still justifiably open; for example, by checking the 3-week and 2-monthly review notes.  Any issues should be referred, for action, to the Band 5 team leader for complaints ‘followed-up’ and to the Band 2 for complaints investigated.

Recording arrangements

12  Band 2s/Team leaders should keep simple records detailing the total number and type of COIN records checked and the number of these records that required corrective action. These records should include details of the issues and subsequent actions taken and should be kept, outside COIN, for a minimum period of 6 months. A summary of these checks should be sent every month to the Divisional DQ coordinator, who should provide feedback to OPSD on a quarterly basis. These records should be made available to line managers on request and line managers should also be made aware of any significant issues that are detected.  Band 1 and Band 4 managers must ensure that the DQ checks are carried out by their staff and that appropriate action is taken in relation to any issues raised.

Band 2 checks on inspectors’ reports, etc

13  Appropriate checks should be undertaken on a sample of an inspector’s letters, IVRs, other reports, the content of notes on COIN and the content of notices. Band 2s should undertake active performance management - the nature, extent and frequency of these checks will relate to the performance and experience of the individual concerned and should be determined by the Band 2. (A possible starting point might be a 10% check).

14  For the content of the notes on COIN, these checks should concentrate on significant notes, such as investigation entries and IRFs with a 6 score. (The checks should include the length of the record, use of the relevant keywords, proper explanations of IRF scores of 5 or 6 if no notice has been issued, matters of evident concern covered, etc). For notices, the content of the notice and any associated schedule should be checked. (‘Content’ means the legal requirements specified in the notice and the wording of any schedule.)

15  Band 2s will be responsible for making the arrangements to sample the data at the appropriate frequency and for undertaking these checks. Band 5 team leaders should also arrange for appropriate checks to be undertaken on the notes associated with complaints followed-up.

Annex 1 – Management reports – Details of DWAT information and possible additional actions

Report	Uploaded to DWAT	Summary of information provided in DWAT	Circumstances where managers may be required to run these reports
Work recording activity – R8	Yes	Contact days, topic time recorded on time sheets. (Site/Office ratio is derived from R8 and additional DIS report).	No requirement for B2s to run additional copies. Can be useful for B5 team leaders, when run at individual level, to establish the amount of time recorded by complaints officers and then compared to the number of complaints raised.
Topic-based inspection – R29	Yes	Topic time recorded on IRFs, notice served for 6 scores per FMU.	Can be used to identify IRFs that have been given a 6 score and where a notice has not been served. This can be used by B2s to identify records and check the associated notes to explore the reasons why a notice was not served.
Time spent against Cases – R12	Yes (a version of this report is uploaded to the DWAT)	The site-to-office ratio per individual for time linked to investigation and enforcement cases.	Can be run at case level to establish how much time has been recorded against a specific case. Can be run at individual level where the site-to-office ratio detailed in the DWAT gives cause for concern.
Missing and Incomplete Timesheets – R16	No	Details of missing, pending and submitted timesheets.	Can be run when the days recorded figure detailed in the DWAT gives cause for concern. (NB managers may also want to check timesheets in live COIN if further exploration is required)
Notices – R19	Yes	Numbers of INs and PNs served per individual.	None
Prosecutions – R22	Yes	Numbers of prosecution cases created, and numbers approved, per individual.	None
Notes and Case search R26	No		Can be used to do qualitative checks on COIN notes entries. B2 for B3/B4 and B5 for B6.

Annex 2 – Quantitative data quality checks

DQ check required	Frequency / percentage	Carried out by	Main issues checked	Action
Notice Cases created	50% (minimum of 10 records) - monthly	B5 admin staff	Checks carried out in line with DQ checking guide. Notice created against the correct legal entity (partnerships). Associated site record has correct LA & SIC recorded. Case summary in line with guidance. Case description must contain the notice numbers when multiple notices recorded against a case. Text must be appropriate for transfer to public register. Case should be linked to another record as appropriate. (there may be situation when it is not appropriate to link notice to another record e.g. when an inspector drives past some unprotected roof work and issues a notice with no other action) Notice pages completed and an additional line should be used to record each Regulation/ Section breached.  NB – there is no requirement for admin staff to check against hard copies of the notice.	Details of issues found, and action taken, to be recorded and kept for 6 months. Significant or recurring issues should be raised with B2 for action.  Divisional DQ coordinator to be made aware of significant issues, so as to notify OPSD.
Outstanding tasks list – R5	Monthly	B5 admin staff	Should be run on a monthly basis at FMU level to monitor outstanding notices (i.e. INs past the compliance date and still not marked as complied)	Outstanding tasks list – R5
Prosecutions	100% of all records created and 100% check of all records closed within the preceding month.	LIT team	Checks carried out in line with DQ checking guide.	Details of issues found, and action taken, to be recorded and kept for 6 months. Divisional DQ coordinator to be made aware of significant issues, so as to notify OPSD.
Fatal incidents	100% of all records created and 100% check of all records closed within the preceding month.	B5 admin staff	Checks carried out in line with DQ checking guide Check codings against hard copies of F2508, clarify discrepancies and update COIN/ICC, as required. Record any ICC updates in case primary page description field. Ensure correct CDT values have been used for any related cases. (Type of ‘related case’ for RIDDOR cases raised against additional dutyholders)	Details of issues found, and action taken, to be recorded and kept for 6 months. A Divisional check should be carried out quarterly to identify any records not created on COIN.
*New company records	10% of records created per FMU. Done quarterly using lists provided by OPSD.	Divisionally by B5 admin staff (possibly by Divisional coordinator)	Check new companies and the associated site and contact records have been created in line with Org Admin ‘Creating Companies and Sites’ guidance.	Details of issues found to be recorded. Any amendments required to be referred back to the FMU that created the record
*Incomplete case records	Done every six months, using lists provided by OPSD, on all RIDDOR/Notice records with blank pages per FMU.	B5 admin staff. Lists received Divisionally for interrogation and sent out to FMUs for appropriate action.	Explore the reasons records have been created with blank page records.	Notice, Prosecution and Fatal records to be amended, as required. For other RIDDORs, Divisions take decisions on appropriate action (may depend on numbers).
Outstanding complaints	Monthly for all complaints over 4 weeks old, per FMU.	B5 admin staff	Check 3-week and subsequent 2-monthly reviews have been carried out. Check that the complaint is still justifiably open	Complaint F/U – B5 to discuss with CO. If complaint is finished, then close it. Complaints investigated – if there is no obvious reason why the complaint is still open raise with B2 for action Details of issues and actions to be recorded and kept for 6 months.

* These lists will be sent by OPSD to the divisional coordinator and will contain both CD and geographical FOD data.

Annex 3 – Qualitative checks

DQ check required	Frequency/ percentage	Carried out by	Main issues checked	Action
Notices & schedules	To be determined by B2 (must be able to justify)	B2	Appropriate use of legislation and wording of schedule.	Details of any findings, and actions taken, to be recorded and kept for 6 months Feedback significant issues to B1
Content of COIN notes	To be determined by B2 (must be able to justify)	B2	Content of investigation notes attached to COIN Notes created as per Model Office i.e. visit note, investigation note Content of IRF notes where 5/6 score awarded and no notice served. When an ‘IRS’ rating has been given, ensure rating is appropriate by checking COIN notes.	Details of any findings, and actions taken, to be recorded and kept for 6 months Feedback significant issues to B1
Content of letters and reports	To be determined by B2 (must be able to justify)	B2	Letters, IVRs and reports reach the required standard.	Details of any findings, and actions taken, to be recorded and kept for 6 months Feedback significant issues to B1