Home
About
Newsletter
Advice & Assistance
Researh & Briefings
Deaths, Inquests & Prosecutions
Corporate  Crime & safety Database
Safety Statistics
Obtaining Safety Information
CCA Responses to Consultation Documents
CCA Advocacy
CCA Press Releases
CCA Publications
Support the CCA
Bibliography
Search the CCA site
Contact Us
Quick Links ->
Research - HSE

Click for previous Work Instruction

Click to go Back to First page

Work Instruction 9:
FOCUS recording and
preparation of further reports



This Work Instruction Inspectors sets out how inspectors should complete the relevant FOCUS entries [this is the HSE database] in accordance with current instructions and guidance. In addition, other reports may be required.

There are two key activities

KA 1

FOCUS recording

KA 2 preparation of further reports




Key activity 1


FOCUS RECORDING

2 Inspectors should complete FOCUS entries in accordance with current instructions and guidance:
(1) FOCUS Data Handbook;
(2) FOCUS guidance note 24: Contact & Investigation Reports, Case and Notice Comments;
(3) OM 2001/3 FOCUS Work Recording.
3 Information in contact summaries should not be duplicated in investigation reports.
FOCUS contact summaries
4 Contact summaries should tell the story of the investigation process:
(1) the people spoken to and their role - including safety representatives or workers;
(2) the reason for the contact;
(3) the name of any other FOD staff involved in the visit;
(4) issues dealt with plus a brief description of the activity, process, hazard, etc with comment, through the sector drop-down screen, as appropriate on FOD key programmes and sector strategic plan objectives;
(5) conclusions - consideration of the risk-gap and, where applicable, what was required to reduce the risk-gap to an acceptable level; and(6) further action (see FOCUS Guidance Note 27 on data quality).
5 They may be a mixture of investigation and enforcement contacts depending on whether the primary purpose is to pursue the investigation or formally collect evidence with a view to legal proceedings.
6 Inspectors should enter contact summaries on FOCUS within 10 days of the contact taking place.
FOCUS investigation reports
7 Investigation reports should set out what your investigation has determined - the Îhow and whyâ of an incident:
(1) what happened;
(2) description of plant/substances involved;
(3) who or what was involved (including, where relevant, occupation of IP and injuries sustained);
(4) underlying causes;
(5) degree of compliance with law and/or standards;
(6) action taken by HSE, eg prosecution, notice, letter, advice
8 The incident officer will raise an investigation core for all incidents selected for investigation. Inspectors should complete investigation reports as soon as sufficient information becomes available to provide a coherent summary of the incident; and they should supplement or amend that information as the investigation proceeds. In any case, inspectors should complete investigation reports and mark them closed within 10 days of the conclusion of the investigation.

Back to top





Key activity 2

PREPARATION OF FURTHER REPORTS

9 For some investigations FOCUS reports alone will not provide sufficient detail, eg:
(1) so that managers can make judgements about the appropriateness of proposed action;
(2) to enable guidance to be sought from other parts of HSE;
(3) so that an inspector can disseminate detailed information.
10 Inspectors should prepare further reports in the following circumstances (unless the band 2 or head of operations considers that they are not required):
(1) for all fatal accident investigations; (Part 1 of the appendix only, if sent to HM coroner or the procurator fiscal. In Scotland a letter will be required to the procurator fiscal - see Enforcement Handbook - Scotland Chapter 9 for the issues to cover in the letter and procedures at fatal accident inquiries.)
(2) for investigations of matters giving rise to serious public concern which may include incidents involving children, vulnerable adults, multiple casualties or where there has been significant media/political interest;
(3) for prosecutions arising from incident investigations;
(4) where there has been a serious contravention of the law but no enforcement action is to be taken.
11 Inspectors may also produce further reports:
(1) if directed by the band 2 or head of operations, eg for investigations giving rise to issues of national significance;
(2) when, in discussion with their managers, they feel more detailed information should be documented;
(3) when detailed technical information is being disseminated, eg to the sector; or
(4) in the case of band 4 inspectors, in accordance with their PWPs and agreed performance standards.
12 Reports should follow the format in the appendix and inspectors should complete them within one month of the conclusion of the investigation unless agreed otherwise with the band 2 or head of operations. There is a FOD smartmaster called Investigation Report available so that inspectors can complete the report in the appropriate format.


Back to top



APPENDIX

FORMAT OF FURTHER REPORTS


Part 1: Factual report
1 Name of injured person (if applicable).
2 Company address and details (including client and location numbers) and other relevant dutyholderâs details where appropriate.
3 Date of occurrence.
4 Dates of investigation
5 People seen.
6 Brief description of incident.
7 Machinery/plant/process/activity/site/substances involved.
8 Circumstances leading to accident.
9 Preventive measures taken by dutyholder(s):(1) before incident;
(2) after incident.
10 10 Legal requirements (applicable legislation should be identified but no conclusions drawn as to whether there have been any contraventions).
11 Description of health and safety management system.
12 List of photographs taken (stating who took them and when).
13 List of witnesses giving statements (where taken).
14 List of other documents/exhibits obtained.
Part 2: Analysis
1 Effectiveness of preventive measures taken by dutyholder(s):
(1) before incident;
(2) after incident.
2 Commentary on adequacy of health and safety management.
3 Relevant previous advice from HSE.
4 Dutyholder attitude.
5 Views of those affected, including the injured person or bereaved relatives.
6 Legal considerations and conclusions including, as appropriate:
(1) application of the law;
(2) contraventions which appear to have occurred and the extent of them;
(3) foreseeability and reasonable practicability;
(4) possible lines of defence/mitigation.
7 Strength of evidence including reliability of witnesses. In Scotland, inspectors should discuss whether there is corroborated evidence to prove the contraventions.
8 Dutyholderâs explanation for the contravention(s) and reaction to the likelihood of prosecution (if proposed).
9 Action taken/proposed. Copy of EMM proforma (if completed) to be attached. Explanation if outcome indicated different from that proposed.
10 Name of inspector compiling report, with date.
11 Name and location of line manager.

Back to top

Home -> Research & Briefings -> Government and Regulatory Bodies -> The Health and Safety Executive
Page last updated on May 5, 2003