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

• 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.