Investigation
Introduction

This procedure describes how HSE carries out the process of investigating incidents and complaints: from being notified of the event and deciding whether to investigate, through planning and preparing, conducting the investigation itself, and reporting and recording the outcome.

Purpose

To provide a common, transparent procedure for HSE operational group staff to carry out investigations consistently, and enable HSE to efficiently fulfil its duties under the Health and Safety at Work etc Act 1974

Scope

The procedure covers the handling of all notified incidents by HSE, whether reportable or not, from receipt to completion, including investigation where appropriate; it also applies to the investigation (as opposed to the follow up) of complaints

Policy

HSE’s policy is to conduct investigations in accordance with HSC's Enforcement Policy Statement

For further guidance on this, please see paras 31-32 of:

• HSE's Enforcement Policy Statement

The selection of incidents for investigation will follow publicised selection criteria. When deciding which incidents to investigate and the level of resource to be used, account will be taken of the:

• severity and scale of potential or actual harm;
• seriousness of any potential breach of the law;
• duty holder’s known past health and safety performance;
• enforcement priorities;
• practicality of achieving results
• wider relevance of the event, including serious public concern.
  

Exceptionally, HSE may decide not to investigate where:

• there are no reasonably practicable precautions;
• it is impracticable to follow-up/investigate, or
• there are inadequate resources to follow-up/investigate.

Definition

Investigation is a reactive process which includes all those activities carried out in response to an incident or a complaint to:

• gather and establish the facts
• identify immediate and underlying causes and the lessons to be learned
• prevent recurrence
• detect breaches of legislation for which HSE is the enforcing authority
• take appropriate action, including formal enforcement.

An investigation may range from an enquiry by a single inspector about a minor incident or complaint to a large enquiry involving a team of inspectors.

Roles

Line Managers should:

• manage the work of their staff to achieve set objectives
• support and guide their staff as necessary

Inspectors should:

• apply their knowledge and skills to fulfil the objectives of investigation and provide appropriate reports

Responsibilities

Line Managers should

• allocate sufficient competent resources to the investigation process
• ensure investigation objectives are clear, achievable and understood by the investigator
• ensure investigations are reviewed appropriately to secure efficient and effective investigation

Inspectors should:

• ensure investigations are planned, carried out and reported on efficiently and effectively
• follow the enforcement decision making procedure where they identify a requirement for enforcement action
• meet the performance standards set within the procedure or agree with the line manager revised performance standards when necessary

Receiving officers using the Incident Contact Centre (ICC) should:

• access the ICC website to accept, or reject and reallocate, incidents

• meet the performance standards set within the procedure or agree with the line manager revised performance standards when necessary

Procedure overview

An overview of the procedure is provided in the attached flowchart [38kb]

Monitoring

Line managers should ensure, via normal management activity, that those involved in operating this procedure carry out their responsibilities in line with the standards and timescales described. They should make sufficient documented checks to satisfy themselves, and to prove to any subsequent audits, that the procedure is being operated correctly.