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									                   Hampshire and IOW CEHOG Performance Improvement Group
                                Quality and Performance Matrix
                             OCCUPATIONAL HEALTH AND SAFETY

Score           Inc                                             Enforcement Policy                                                           
    3           0.3        Publicised using at least two methods for business
                0.1        Publicised using at least two methods for the public
             0.3/0.6 At least 95% of actions consistent with policy (0.3) (if 100%
                     additional 0.3)
    2           0.6        Formally adopted by Council
                0.2        Publicised1 using at least one method for both business and the
                           public
                0.2        At least 90% of actions consistent with policy
    12          0.8        Compliant with HSC S18 Guidance Note 1 and consistent with
                           enforcement concordat principles
                0.2        At least 80% of actions consistent with policy
    03          0.5        Enforcement Policy Available
                0.5        At least 70% of actions consistent with policy


NB Footnotes 2 & 3 apply to all tables in this matrix




1
  Publicised
Business
    Document and or summary leaflet sent to all known businesses including changes in occupier
    Publicised in business newsletter or similar at least once a year
    Summary leaflet provided following every inspection
    Document and or summary leaflet available on Council website
Public
    Publicised once a year in Council newspaper
    Document or summary leaflet provided to all persons requesting service
    Document or summary leaflet openly available in public buildings
    Document and or summary leaflet available on internet site
2
  Score in this and subsequent divisions is only achieved if all the criteria in the box below (denoted by a heavier line) are achieved or
bettered.
3
  The score is the total of the Score column plus the incremental score appropriate in the Inc Column


                                                             Page 1 of 13
                                                              April 2004
                        Hampshire and IOW CEHOG Performance Improvement Group
                                     Quality and Performance Matrix
                                  OCCUPATIONAL HEALTH AND SAFETY

Score               Inc                                Quality Assurance and Management Systems                                                                                      
     3              0.2           External accreditation to ISO 9000 series
                    0.2           Procedures covering all core and health and safety activities
                    0.2           Full internal auditing carried out
                    0.2           Documented peer review scheme covering all health and safety
                                  enforcement officers
                    0.2           Active participation in Benchmarking Club4
     2              0.2           Procedures covering at least 75% of core activities and 6 health &
                                  safety activities
                    0.2           Full document control
                    0.2           HELA Strategy fully adopted
                    0.2           Limited internal auditing with management review
                    0.2           At least 50% of health and safety enforcement officers covered by
                                  documented peer review scheme5
     1              0.2           Procedures covering at least 50% of core activities and 4 health &
                                  safety activities
                    0.2           Limited internal auditing6 with no management review7
                    0.2           System8 in place to monitor and maintain integrity of database
                    0.2           Participates in Inter-authority auditing in accordance with HSC S18
                                  Guidance Note 4
                    0.2           Service Plan in accordance with HSC Guidance Note 3 agreed by
                                  members
     0              0.3           Procedures9 covering at least 25% of core activities10 and at least 2
                                  health & safety activities11
                    0.3           Limited document control12
                    0.4           Participates in Inter-authority auditing13




4
  Attending meetings of, and providing information to, County-wide or other benchmarking club whose remit is to enable qualitative and quantitative comparison and share best practice
5
  Documented Peer Review Scheme must include all of the following
           management review of at least 10% of correspondence and inspection reports
           at least one accompanied inspection with each enforcement officer per year.
           all notices subject to peer review prior to issue (except prohibition notices where peer review is not possible due to the emergency nature of the problem)
6
  Internal Auditing
Full - documented audit of whole quality system with management review over a 3 year period
Limited - anything less than full audit of the system.
7
  Management Review
Audit reports are fully reviewed by Departmental Management, remedial action taken where appropriate and response made to auditors
8
  Must include: -
               Checking of premises database against trade directory (e.g. Yellow Pages or similar) at least every year
               Annual survey of vacant premises
               Ensuring at least annually that all premises in the database are, where appropriate, included in the inspection programme
               Ensuring at least annually that all health and safety premises are appropriately risk rated in accordance with HELA/LAC 67/1 (revised) and are included in the inspection
                programme
9
  Procedures means documented procedure (This definition applies to all tables in this matrix)
10
   Includes:-Recruitment, training, authorisation of officers, receipt and closure of service requests, formal actions (notices, prosecutions, formal cautions and works in default),
calibration of equipment, filing inc. electronic, service planning, complaints against the Service, performance management, communication with stakeholders, financial activities and
approval of suppliers.
11
   Health and Safety Activities – planned inspections or equivalent activities, OSR registration, accident investigations, service requests; prohibition procedures, health & safety
education and promotion activities
12
   Document Control
      Full
      Control of
           Internal procedures, work instructions and forms
           Health and Safety Commission Guidance
           Approved Codes of Practice
           HSE guidance
           Legislation and case law
      Limited
      Control of at least three of the above
13
   Inter Authority Audit Service is subject to audit by another local authority at least every 5 years



                                                                               Page 2 of 13
                                                                                April 2004
                  Hampshire and IOW CEHOG Performance Improvement Group
                               Quality and Performance Matrix
                            OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                             Staff Competency                                                       
     3         0.2       Accreditation to Investors In People (IIP)
               0.3       All staff undertake at least 10 hours of training per year
               0.2       Active participation in a training officers group14
               0.3       All identified service related development needs met for all staff
     2         0.3       All identified high priority15 development needs met for all staff
               0.3       Post training assessment16 undertaken following all courses and
                         seminars
               0.4       All staff undertake at least 5 hours of training per year
     1         0.6       All staff competent for the tasks undertaken in accordance with HSC
                         S18 Guidance Note 5
               0.4       Staff Development Policy & Programme17 in accordance with HSC
                         S18 Guidance Note 5
     0         0.4       Service managed by Competent Person in accordance with HSC S18
                         Guidance Note 5
               0.4       At least 50% of staff18 competent for tasks undertaken in accordance
                         with HSC S18 Guidance Note 5
               0.2       Training19 undertaken on an ad-hoc basis




14
   Means a group of officers from a number of organisations
15
   High priority means training and development required to maintain competency of the individual and the service
16
   Assessment means analysis of feedback from delegates regarding the suitability and quality of the training and includes the taking of
appropriate remedial action
17
   Staff Development Policy and Programme A document or documents demonstrating staff development needs and a timetable for
delivering training etc to fulfil those needs (may be mentoring, formal or informal training, workshops, coaching etc.)
18
   Includes appropriate administrative staff
19
   Training means training in health and safety subjects and in accordance with the principles of the CIEH CPD Scheme. For
administration staff this may include appropriate training in non-technical areas.


                                                           Page 3 of 13
                                                            April 2004
                  Hampshire and IOW CEHOG Performance Improvement Group
                               Quality and Performance Matrix
                            OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                Communication with Stakeholders                                                      
     3         0.2       Service covered by Charter Mark
               0.2       Local Business Partnership or similar liaison arrangements in place
               0.2       Authority actively seeks Lead Authority relationships
               0.2       At least one method of consultation with at least two stakeholders
                         undertaken annually
               0.2       Performance information20 publicised at least annually
     2         0.2       At least one method of formal consultation21 with one stakeholder
                         undertaken annually
               0.3       Satisfaction surveys of at least 25% business customers undertaken
                         annually and results reviewed and acted upon
               0.3       Satisfaction surveys of at least 25% public customers undertaken
                         annually and results reviewed and acted upon
               0.2       Translation and similar services22 available
     1         0.5       Satisfaction surveys of at least 10% of business customers
                         undertaken annually and results reviewed and acted upon
               0.5       Satisfaction surveys of at least 10% of public customers undertaken
                         annually and results reviewed and acted upon
     0         0.4       Satisfaction surveys at least 5% of business customers undertaken
                         annually
               0.4       Satisfaction surveys23 at least 5% of public customers24 undertaken
                         annually
               0.2       Equal opportunities policies and procedures adopted and
                         implemented




20
   Must include at least results of performance against published standards and targets (inc Service Plan)
21
   Consultation
Means communication with customers, not, necessarily linked to an event, which may be through questionnaires, local business
partnership, focus groups etc. to ascertain their views on the level, type and delivery of the service.
22
   This should include translation into appropriate ethnic languages, large print and audio services
23
   Satisfaction Survey
Means a survey carried out following an event such as an inspection to ascertain customer’s views on their satisfaction with the service
provided
24
   Customers
Includes anyone requesting or receiving a service –e.g. complainants, other departments, other organisations and businesses



                                                           Page 4 of 13
                                                            April 2004
                  Hampshire and IOW CEHOG Performance Improvement Group
                               Quality and Performance Matrix
                            OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                            Derivation of Costs                                        
     3         0.5       Time recording system in place where all elements of the service are
                         included
               0.5       Costs of all elements of the service available
     2         0.5       Time recording system in place where at least 4 elements of the
                         service are included
               0.5       Costs of at least 4 elements of the service available
     1         0.5       Time recording limited to recording details of at least 2 elements of
                         work listed
               0.5       Costs available of at least 2 elements of the service available
     0         0.5       Time recording system25 not broken down to more than health and
                         safety
               0.5       Costs available for health and safety only




25
   Time Recording System
The ability to identify time spent in undertaking all or some of the elements of the service involved:
i.e. Inspections, service requests, accident investigations, consultations, health and safety education and promotion.

If this is based on a sample this must be derived from a minimum of three, two-week periods at four monthly intervals



                                                           Page 5 of 13
                                                            April 2004
                   Hampshire and IOW CEHOG Performance Improvement Group
                                Quality and Performance Matrix
                             OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                  A & B Risk Premises Inspections                                                     
     3         0.4        Over a 12 month period 100% of categories B(1-2) premises due for
                          inspection have been inspected
               0.2        Over a 12 month period 100% of categories B(3-4) premises due for
                          inspection have been inspected
               0.2        Lead Authority always consulted where appropriate
               0.2        Revisits are made in accordance with the Council’s enforcement
                          policy
     2         0.5        Over a 12 month period at least 95% of categories B (1-2) premises
                          due for inspection have been inspected
               0.3        Over a 12 month period at least 80% of categories B (3-4) premises
                          due for inspection have been inspected
               0.2        Lead Authority consulted in at least 90% of appropriate cases
     1         0.2        Over a 12 month period at least 100% of category A premises due for
                          inspection have been inspected
               0.2        Over a 12 month period at least 80% of categories B (1-2) premises
                          due for inspection have been inspected
               0.2        Over a 12 month period at least 60% of categories B (3-4) premises
                          due for inspection have been inspected
               0.2        Lead Authority consulted in at least 50% of appropriate cases
               0.2        HELA Strategy priorities26 addressed as part of inspection
     0         0.4        Over a 12 month period at least 50% category A premises due for
                          inspection have been inspected
               0.2        Over a 12 month period at least 50% categories B (1-4) premises
                          due for inspection27 have been inspected28
               0.4        Priority Planning system in accordance with HSC S18 Guidance Note
                          2 operated




26
   Authorities must be able to demonstrate that a system is in place to ensure that health and safety activity is focused on the HELA
priorities, this should be reflected in Service Plans and intervention records.
27
   Due for Inspection
Based on risk rating derived from HELA/LAC67/1(revised) and at the following minimum intervals:
         A           1 year
         B1          2 years
         B2          3 years
         B3          4 years
         B4          5 years
28
  Inspection
Includes:
         Appropriate planning
         Identification of hazard and associated risk control
         Encouraging good practice
         Identification of breaches of legislation
         Decision on and taking of appropriate action




                                                            Page 6 of 13
                                                             April 2004
                  Hampshire and IOW CEHOG Performance Improvement Group
                               Quality and Performance Matrix
                            OCCUPATIONAL HEALTH AND SAFETY



Score          Inc                                              C Risk Premises                          

      3        0.7       Visit made to 100% C Risk category premises over 5-year period
               0.3       HELA Strategy priorities addressed during contact and/or visits
      2        0.7       Contact is made with 100% C Risk category premises over 5 year
                         period
               0.3       Visit made to 50% C Risk category premises over 5-year period
      1        1.0       Contact is made with at least 80% C Risk category premises over 5
                         year period
      0        1.0       Contact29 is made with at least 50% C Risk category premises over 5
                         year period




29
     Contact
Means planned visits, mail shots, attendance at training events, accident and complaint investigations


                                                           Page 7 of 13
                                                            April 2004
                 Hampshire and IOW CEHOG Performance Improvement Group
                              Quality and Performance Matrix
                           OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                                   RIDDOR                                                  
     3      0.5/0.5 At least 95% of other accidents investigated in accordance with the
                    criteria given in the attached definitions if (100% additional 0.5)
     2      0.5/0.5 At least 75% of other accidents investigated (if 90 % additional 0.5)
     1      0.5/0.7 At least 30% of other accidents30 investigated (if 50% additional
                    0.2)
              0.3   All accidents investigated
     0      0.5/0.7 At least 50% of accidents investigated (if 75% additional 0.2)
               0.3       At least 25% of accidents31 investigated32




30
   Other accidents means reportable accidents not included in those that should be investigated in accordance with Annex A
31
   See Annex A for definition of accidents requiring investigation
32
   Investigated includes all of the following:
 Personal contact with complainant by the investigating officer
 Contact with premises concerned
 Assessment of whether a breach of legislation has taken place or is likely to take place
 Liaison with other agencies including Lead Authority if necessary
 Consideration of appropriate enforcement action in accordance with policy
 Maintain communication with complainant
 Max. 20 working days between contacts
 Inform complainant of action to be taken




                                                         Page 8 of 13
                                                          April 2004
                 Hampshire and IOW CEHOG Performance Improvement Group
                              Quality and Performance Matrix
                           OCCUPATIONAL HEALTH AND SAFETY

Score         Inc                                           Service Requests                                                    
     3        0.4       At least 98% of complaints responded to within 3 days
              0.3       At least 98% of consultations responded to within 10 days
              0.3       At least 98% of requests for advice/assistance responded to within 3
                        days
     2        0.4       At least 90% of complaints responded to within 3 days
              0.3       At least 50% of consultations33 responded to within 10 days
              0.3       At least 50% of requests for advice/assistance responded to within 3
                        days
     1        0.6       All complaints investigated
              0.4       At least 75% of complaints responded to within 3 days
     0        0.6       At least 50% of complaints investigated34
              0.4       At least 50% of complaints35 responded36 to within 3 days 37




33
  Consultations Planning consultations, building control consultations and includes making appropriate response
34
   Investigated includes all of the following:
 Personal contact with complainant by the investigating officer
 Contact with premises concerned
 Assessment of whether a breach of legislation has taken place or is likely to take place
 Liaison with other agencies including Lead Authority if necessary
 Consideration of appropriate enforcement action in accordance with policy
 Maintain communication with complainant
 Max. 20 working days between contacts
 Inform complainant of action to be taken
35
   Complaint Relates to potential or actual breaches of legislation
36
   Responded to means a minimum of making the person requesting the service aware of who is dealing with the issue and that persons
contact details
37
   Day Means working day and excludes day of receipt.




                                                        Page 9 of 13
                                                         April 2004
                   Hampshire and IOW CEHOG Performance Improvement Group
                                Quality and Performance Matrix
                             OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                                     Education                                                         
     3         0.4        Full range of certificated courses38 offered at least annually, either by
                          the authority alone or in partnership with another provider
               0.6        At least 6 training events meeting identified39 training needs
                          provided40 for local businesses annually
     2         0.4        Limited range of certificated courses41 offered at least annually, either
                          by the authority alone or in partnership with another provider
               0.6        At least 4 training events meeting identified training needs provided
                          for local businesses annually
     1         0.4        CIEH Foundation course or equivalent offered at least annually,
                          either by the authority alone or in partnership42 with another provider
               0.6        At least 2 training events meeting identified training needs43 provided
                          for local businesses annually
     0         1.0        At least one training event44 provided for local businesses annually




38
   Full Range of Certificated Courses All CIEH certificated courses (or equivalent nationally recognised courses)
39
   Locally identified - Identified by the local authority by a variety of means which involve proactive consultation with customers.
40
   Provided A substantial part of these events should be provided by the authority.
41
   At least the CIEH Foundation Course and one other
42
   Partnership May include anything from simple promotion of courses to provision of facilities, materials or tutors.
43
   Identified training needs – Identified by the local authority by a variety of means but which do not involve proactive consultation with
customers.
44
   Training Event Includes seminars, workshops, open days, breakfast briefings, talks to business either provided by the local authority
alone or in partnership with outside bodies or other local authorities


                                                           Page 10 of 13
                                                            April 2004
                   Hampshire and IOW CEHOG Performance Improvement Group
                                Quality and Performance Matrix
                             OCCUPATIONAL HEALTH AND SAFETY

Score          Inc                                                   Promotion                                                   
     3          0.2       Structured health and safety award scheme available with at least
                          2.5% take up amongst eligible local businesses
                0.2       Participation in local health alliance45 or similar
                0.3       Safety Newsletter produced at least twice yearly for local businesses
                0.3       Participation in at least 2 national or local campaigns
     2          0.3       Structured health and safety award scheme46 available
                0.4       Annual newsletter produced
                0.3       Participation in at least one health and safety campaign annually
     1          0.4       Full range of leaflets available
                0.3       Participation in at least one health and safety campaign every 2
                          years
                0.3       At least one newsletter produced every 2 years
     0          0.4        At least 50% of full range of leaflets47 available
                0.6       Promotional activities limited to newsletter or campaign participation
                          but not less than one every two years




45
   Participation in Health Alliances Must involve ensuring health and safety at work related activities are considered as part of the
alliances activities and links to the HIMP
46
   Health and Safety Award Scheme – includes healthy workplace schemes or similar. The scheme must be publicised to both businesses
and the public and be subject to at least a bi-annual review with stakeholders.
47
   Full Range Means at least one leaflet on each of the following subjects is available (% shall be construed accordingly):

            All LA related current HELA Strategy Priorities where not covered below
            Health and Safety at Work, etc Act 1974
            When an Inspector Calls
            Health and Safety Policies
            COSHH
            Slips, Trips and Falls
            Stress
            Workplace requirements
            PPE
            RIDDOR
            Risk Assessment
            Electrical Safety
            First Aid
            Employee Consultation
            Employers Liability Insurance
            PUWER
            LOLER
            Asbestos
            Manual Handling
            Noise at Work
            Lone Working
            DSE
            Legionellosis
            Stress



                                                          Page 11 of 13
                                                           April 2004
             Hampshire and IOW CEHOG Performance Improvement Group
                          Quality and Performance Matrix
                       OCCUPATIONAL HEALTH AND SAFETY

                   Annex A Criteria for Investigating RIDDOR Reports

All reports that meet the following criteria should be selected for investigation, subject to the
qualifications in Part C.

A      DEFINED CIRCUMSTANCES:

1      All fatalities arising out of work activities except those relating to most road traffic
       incidents.

2.     The following major injuries to persons at work, as defined in the Reporting of
       Injuries, Diseases and Dangerous Occurrence Regulations (RIDDOR) irrespective of
       cause. All amputations of digit(s) past the first joint, amputation of hand/arm or
       foot/leg, serious multiple fractures, crush injuries leading to major organ damage
       (e.g. ruptured spleen) serious head injuries involving less of consciousness, full
       thickness burns and scalds, permanent blinding of one or both eyes, scalping.

3.     All incidents that result in a RIDDOR-defined major injury in the following categories:
       workplace transport incidents, electrical incidents, falls from a height of greater than
       2m, confined space incidents.

4.     All RIDDOR-defined asphyxiation.

5.     All reported cases of disease which meet the criteria for reportability under RIDDOR,
       except those arising from circumstances/situations that have already been
       investigated.

B      CIRCUMSTANCES REQUIRING JUDGEMENT AS TO SERIOUSNESS:

6.     All incidents likely to give rise to serious public concern where ² this is related to the
       seriousness of the outcome, potential outcome, or breach of health and safety law.

7.     Irrespective of the potential for serious public concern, all incidents resulting in
       RIDDOR-defined major injuries, where it appears from the report that there is likely
       to have been a serious breach ³ of health and safety laws.

8.     Dangerous occurrences, where it appears from the report that the outcome/potential
       outcome or apparent breach of law is serious.

C      The following circumstances may qualify the criteria in Parts A or B

1.     Inadequate resources due to other priorities (must be referred to CEHO or
       equivalent)

2.     Impracticability of investigation e.g. unavailability of witnesses or evidence or
       disproportionate effort will be required.

3.     No reasonably practicable precautions available for risk reduction.


                                         Page 12 of 13
                                          April 2004
         Hampshire and IOW CEHOG Performance Improvement Group
                      Quality and Performance Matrix
                   OCCUPATIONAL HEALTH AND SAFETY


¹   Involvement in work-related road traffic incidents will be restricted to certain specific
    situations. For example, where work vehicles are engaged in specific work activities,
    other than travelling, on the public highway. This would include activities such as
    hedge cutting, refuse collection and vehicle unloading. The role of health and safety
    enforcing authorities in work-related road safety is currently being reviewed by the
    Government’s Work-Related Road Safety Task Group.

²   That is concern to the public in general, rather than to those individuals immediately
    involved. Unless there is clear evidence to the contrary, the presumption is that
    incidents involving children, vulnerable adults, multiple casualties and also where the
    outcome/ potential outcome or breach is serious, will be included.

³   A serious breach of the law is one where it is expected that an enforcement notice or
    a prosecution would be the outcome of the investigation




                                     Page 13 of 13
                                      April 2004

								
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