Complaints - Stage 2/3: Assess complaint/Decide whether to investigate complaint - Additional guidance

HSE's policy on following up/investigating complaints

HSE's policy is to investigate every complaint received that meets its definition of a complaint unless:

• the complainant wishes to remain anonymous, will not allow HSE to disclose that a complaint has been received and a vulnerable person is not involved
• it is from a serial complainant and a Band 2 or above decides no further action is required
• it has been made by an employee and has not been taken up with the dutyholder or trade union (unless it involves a vulnerable person)
• it is outside the scope of section 3, see: Health & Safety at Work, etc Act 1974 section 3: enforcement

In the following exceptional circumstances HSE may decide not to investigate where:

• there are no reasonably practicable precautions
• it is impracticable to follow up / investigate
• there are inadequate resources to follow up / investigate

Note: a decision not to follow up / investigate must be made by a Band 2 or above; a decision not to investigate because of inadequate resources or other emerging priorities must be made by a Band 1 or above.

• FOD go back to step 2.3
• HID/ND go to step 5.1