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Investigation
Stage 2: Decide whether to investigate the incident

Step 2.1

For: Inspector Line Manager/Gas officer

Is there sufficient information about the incident?


If there is insufficient information about the incident to make the selection decision:

In FOD, where a gas incident is reported under RIDDOR reg 6:

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Step 2.2

For: Inspector Line Manager

Did the incident involve a non-employee?


If the incident involved the fatal or non-fatal injury, or ill health, of a non-employee:

  • establish whether the incident falls within HSE's area of responsibility
  • consider HSC/E's policies on enforcement priorities before applying the selection criteria

For further guidance on this, please see:


If following consideration of HSC's HSWA s3 policy, it is decided the incident will not be investigated, and the incident was either a fatal or "serious" (with respect to any potential breach or the scale of potential or actual harm):

Step 2.3

For: Inspector Line Manager

Is the incident for investigation?


When there is sufficient information available, decide if the incident should be investigated by taking account of:

  • the HSC/E incident selection criteria 
  • any relevant additional D/D specific selection criteria in NSD (note, there are no additional D/D-specific criteria for FOD and HID)
  • knowledge of the dutyholder's past health and safety performance

In FOD, for RIDDOR reg 6(1) or 6 (2) gas incidents, please see:

In FOD, where the incident selection criteria are not met and the incident is not selected for investigation:

  •  the details obtained from the ICC should be destroyed

Where the selection criteria are met, the expectation is that the incident will be investigated, but also consider whether any of these decision making factors mean the incident will ultimately not be selected for investigation:

  • investigation is impractical, e.g. due to the unavailability of key witness(es), key evidence is no longer available
  • no reasonably practicable precautions are/were available to prevent the incident or to prevent recurrance of the incident
  • inadequate resources or other developing priorities prevent investigation

For guidance on this, please see:


If the selection decision is that the incident selection criteria are met but after considering the decision making factors the incident is not selected for investigation, in every case:

  • record the decision on a decision recording form (DRF) and in accordance with s.3 recording requirements
  • arrange for the DRF to be retained for 3 years (30 years in NSD)

If the incident is not selected for reasons of inadequate resources and/or other developing priorities:

  • refer the provisional decision to the senior line manager and request approval

If the incident is selected for investigation:

  • refer the incident to the investigating inspector who will prepare the investigation
  • ensure the selection decision is recorded with further objectives for the investigation where necessary

Now go to Stage 3: Prepare for the investigation


Performance standard:

Make the decision, forward the incident for next action and ensure it is recorded appropriately  within:

  • one hour of the receipt of the notification of a fatal
  • 3 working days of receipt for a major injury, occupational disease, dangerous occurrence, or other serious incident
  • 5 working days of receipt of all other incidents

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Step 2.4

For: Senior Line Manager

Is the provisional decision not to select the incident approved?


When referred an incident which meets the selection criteria but, because of inadequate resources or other developing priorities, it has not been selected for investigation:

  • consider whether an investigation can or should nevertheless be carried out and therefore whether or not to approve the provisional decision not to investigate

For guidance on s3 issues, please see:


If the decision is approved:

  • record the approval on the DRF and in accordance with s3 recording requirements
  • arrange for the form to be retained for 3 years (30 years for NSD)
  • ensure the decision is recorded

If the decision is not approved:

  • ensure the decision is recorded, including the reasons for not approving the decision, on the DRF
  • inform all relevant staff of the decision and any consequential changes to resource allocation

Performance Standard:

Make the approval decision ensure it is recorded within:

  • 5 working days of receipt of the DRF from the Inspector Line Manager


Next: Stage 3: Prepare for the investigation