Keeping records of investigations

There must be a record of the investigations and what they found. You must keep these records in accordance with your local procedures and with Regulation 8(3). This is regardless of whether an incident needs to be notified to the appropriate enforcing authority or not.

For SAUE incidents, you must send a report on the outcome of the investigation to the appropriate enforcing authority. The report should include:

• what happened 
• an estimate of the dose(s) received by the exposed individual(s)
• a detailed account of the root causes and contributory factors
• whether any similar previous incidents have occurred where individuals might have been over or under exposed, or if there are any trends that show a possible systematic failure 
• whether local duty of candour requirements have been met
• whether local procedure relating to CSAUE, required under Regulation 8(1), schedule 2(l), has been applied
• any learning from the investigation and how this has been shared
• the corrective measures adopted or remedial actions implemented to reduce the likelihood or prevent this type of incident from happening again.

You must redact names of individual people in the report to comply with UK data protection legislation.