Investigation - Stage 2: Decide whether to investigate - Additional guidance

Revised incident selection criteria 2014

Criteria for selection for investigation of notified work-related accidents, ill-health and dangerous occurrences. "Gas Incidents" reported under RIDDOR reg.11 are excluded as these are subject to separate requirements.

Scope: The following criteria apply to all relevant incidents notified to enforcing authorities. Predominantly, notification will be via RIDDOR reports, but the criteria remain relevant for notifications received via other means (eg contact by emergency services.) "Gas Incidents" reported under RIDDOR reg. 11 are excluded, as these are subject to separate requirements.

1. Fatalities (Work-related deaths):

*In some circumstances eg in health or social care, the risk of suicide may arise from the work activity. In such cases, the HSC/E guidance on the application of HSWA section 3 should be applied. This guidance also clarifies those circumstances when investigation by enforcing authorities is appropriate eg in relation to areas regulated by other regulators and legislative regimes, such as clinical judgment and practice. See: Enforcement - Health and Safety at Work etc Act 1974 - Section 3

2. All work-related accidents resulting in a "Specified Injury" [RIDDOR Reg. 4(1)] to any person, including non-workers, that meet any of the following conditions:

3. Cases of Occupational Disease:

The following notifications of cases of occupational disease, other than those arising from circumstances or situations which have already been investigated:

4. Incidents which indicate a likelihood of a serious breach of health and safety law:

This includes any incidents considered liable to give rise to serious public concern, where, from the facts known, the application of the Enforcement Management Model would give rise to an initial enforcement expectation of a notice or a prosecution.

5. Major hazard precursor events:

All relevant precursor events as identified within the HSE business plan, and the relevant work plans of each HSE Operational Directorate.

Updated 2020-12-14