Investigation - Stage 2: Decide whether to investigate - Additional guidance
Decision recording form (DRF)
The decision recording form is the means for recording decisions not to select for investigation, those incidents which appear to meet the incident selection criteria. And so it is used by exception - it is not used to record every decision not to select an incident for investigation.
Part A - is used to record the initial decision by the Inspector line manager not to investigate an incident for investigation which appears to meet the selection criteria.
Section 1 covers section 3 considerations. It is intended to capture decisions relating to fatal or serious incidents (serious refers to both the seriousness of any potential breach of the law and severity and scale of potential or actual harm) together with cases where application of s3 by HSE is borderline or otherwise likely to be sensitive.
In the case of fatal or serious incidents a further more detailed record of the decision should be made following current instructions
Where inadequate resources/other developing priorities are the reason for proposed non-selection, the inspector line manager makes a provisional decision and must then refer the case to the senior manager for them to make a final decision.
The inspector line manager should record their provisional decision on the decision recording form and then refer this on to the senior manager (see step 2.4 in the procedure).
Part B - is used to record a decision to cancel an investigation where the investigation does not get underway due to inadequate resources/other developing priorities. For example the investigating inspector may query the resources they have available to conduct the investigation on receipt of the incident, or a decision may be taken at the first review of progress with the investigation.
Where inadequate resources/other developing priorities are the reason for cancelling the investigation, the inspector line manager makes a provisional decision and must then refer the case to the senior manager for a final decision (see step 2.4 in the procedure).
Part C - is used to record a decision following consideration of additional information received. Additional information may be received in a number of different ways eg from the injured person 'complaining' that their incident is not to be investigated; from another enforcing body who has obtained information during the course of their own enquiries.
Where the decision not to investigate remains unchanged but this is due to inadequate resources/other developing priorities, the Inspector line manager may make a provisional decision but must then refer the case to the senior manager for a final decision (see step 2.4 of the procedure).
Part D - is used to record the decision of the senior manager following consideration of the inspector line managers decision on a decision involving inadequate resource/other developing priorities (see step 2.4 of the procedure).