Investigation
Stage 3: Prepare the investigation

Following the principles of objective setting, establish

• the objectives of the preliminary investigation
• any directorate-specific or other objectives, as required (these may be derived from key programmes or initiatives, be shared with other agencies or assist training)

Quality Standard:

The following core objectives apply to all investigations:

• identify the relevant dutyholder(s) and witnesses
• establish the key facts relating to the causes of the incident
• identify immediate and underlying causes
• identify any lessons learned
• ensure appropriate remedial action is taken to prevent a recurrence
• identify the relevant law and whether there are any breaches
• form a view about appropriate further action using the EMM framework

Plan the preliminary investigation to meet the established objectives by:

• establishing the investigation techniques to be used
• collating and reviewing records and intelligence held on the dutyholder
• identifying and obtaining health and safety benchmarks and sources of relevant guidance
• determining what the preliminary investigation action should be and when it should be taken
• identifying and securing people, equipment and other required resources
• considering personal health and safety requirements of investigating staff and making adequate provision as appropriate

A key decision log must be opened, and subsequently completed, if:

• the investigation is of a declared major incident
• the investigation is of a work-related fatality, unless it is clearly not justified due to its simplicity, the line manager agrees, and the reasons are recorded
• D/D-specific instructions so specify
• the investigating inspector or their line manger so decide

If a key decision log is used:

• record this fact, and the unique serial number

If other agencies are involved:

• contact them and agree investigation roles and objectives where required

If the incident is a fatal:

• discuss roles and objectives with the Police and Crown Prosecution Service/Procurator Fiscal

As involvement with other agencies progresses:

• record significant developments and outcomes as necessary