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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
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). |
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| 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. |
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Key
activity 2
PREPARATION
OF FURTHER REPORTS
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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. |
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| 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. |
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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. |
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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. |
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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. |
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