Incident Investigation Team - Initial Actions

Before commencing the formal investigation process steps, the Investigation Team has a variety of issues to consider and plan to ensure that the investigation runs smoothly.
These include logistical arrangements, the scope of the investigation, authorisation to enter the site or incident scene, and the well-being of the Investigation Team Members.

Common Challenges

Some of the common challenges we often find our clients have in relation to the Investigation initial actions include:

The Scope of Investigation / Terms of Reference are not established and clearly understood by relevant parties including the specific requirements of incident investigations conducted under Legal Professional Privilege (LPP).
Required logistics are not identified, including transport, equipment, a secure, lockable room for working in and storing data / evidence, administrative support, relevant subject matter experts on the operation / plant, etc., are not arranged in a timely manner.
No risk assessment is performed or questions asked to clarify if it is safe to enter an incident site.
Incident sites are entered without relevant authorisation.
Handover of photographs, data collected, or pertinent facts is not obtained upon commencement of the investigation.
An overview of operations and the known sequence of events is not obtained.
Incident scenes not adequately recorded prior to clean-up / recovery / resumption of normal operations (photos / videos, measurements, etc.).
Document control and management are not organised.
The category/level of incident is not classified appropriately or re-assessed as need be.
Interim controls are not implemented to guard against recurrence pending the findings and implementation of recommendations to reduce risk and prevent a recurrence

Best Practice Tips

Some very simple tips and actions can assist in mitigating the challenges, including:

Arrange a briefing upon arrival to obtain factual data known so far, collect evidence that may have been collected, arrange logistics/resources, and clarify the scope of the investigation.
Ensure that the authorisation has been obtained and the scene is safe before entering the area to conduct examinations, record measurements, take photographs, etc.
Determine what the scene looked like at the time of the incident - clarify if anything has been moved or changed.
Take plenty of photographs in-situ (close-ups, far-off shots, all angles).
Draw up mud maps/sketches of key components, locations, materials, plants, operator positions, etc.
Assess/confirm the category/level of the incident (and re-assess as more information is obtained).
Let the evidence “tell the story” – do not pre-judge or reach early conclusions.
With appropriate operational/subject matter expertise input consider if interim controls should be put in place pending the final recommendations.