Incident Management Module Part 2: Completing an Investigation
Standard Operating Procedure (SOP) for Completing an Incident Investigation
Objective
This SOP outlines the steps required to complete an incident investigation from initial narrative entry through evidence collection, root cause analysis, issue creation, reporting obligations, and final sign-off. It is designed to help team members document findings consistently and route the investigation for review and approval.
Key Steps
1. Open the active incident investigation 0:00
Locate the incident that already has an investigation in progress.
Open the investigation from either:
the incident record, or
the investigations list.
Confirm the investigation status before proceeding.
2. Enter or confirm the incident narrative 0:31
Review the incident narrative and enter the same information into the investigation.
Add any extra context if available.
Use text entry or voice-to-text if preferred.
Ensure the narrative clearly describes what happened and who was involved.
3. Upload supporting evidence 0:40
Move to the evidence section.
Upload all relevant supporting files, such as:
photos or images of the incident scene,
videos if available,
SDS documents or other safety documents.
Confirm the evidence is relevant and clearly linked to the incident.
4. Add witness statements 0:56
Review any witness statement already attached to the report.
Add additional witness statements as needed.
Include statements from relevant parties, such as:
the injured person,
the supervisor,
any other direct witnesses.
Make sure each statement is complete and clearly attributed.
5. Complete the 5 Whys analysis 1:20
Move to the root cause analysis section.
Document the 5 Whys in sequence to trace the incident back to its underlying cause.
Example structure:
Why did the injury occur?
Why was PPE not worn?
Continue until the root cause is identified.
Keep the analysis concise, logical, and evidence-based.
6. Write the root cause statement 2:52
Summarize the underlying cause in a clear root cause statement.
Include system or process failures where relevant.
Example:
The site lacked a defect reporting system, so known equipment faults were not reported or repaired.
Ensure the statement reflects the findings from the 5 Whys analysis.
7. Draft or generate the conclusion of findings 3:11
Enter the conclusion of findings manually, by voice-to-text, or by using the Generate function.
If using Generate, review the auto-created summary carefully.
Confirm the summary includes:
incident details,
root cause analysis,
corrective actions.
Edit the conclusion if needed to ensure accuracy.
8. Create an issue and assign follow-up actions 3:37
Create an issue if the investigation identifies a required follow-up action.
Select the issue type, such as a safety issue.
Enter the corrective action, responsible person, due date, and priority.
Confirm the issue is added to the issues register and linked to the investigation.
9. Set reporting obligations 4:24
Select the appropriate reporting obligation or recipient, such as the principal contractor.
Enter the required contact details or email address.
Verify that the report will be sent to the correct person or organization.
10. Assign investigation sign-off reviewers 4:36
Add the required approvers for investigation review and sign-off.
Include relevant roles such as:
Work Health and Safety Manager,
Operations Manager.
Confirm the reviewers are correct before sending for approval.
11. Send the investigation for approval 5:07
Submit the investigation for approval once all sections are complete.
Notify reviewers that they must read the investigation and either approve or decline it.
If declined, reviewers should provide a reason and may add more information or additional issues.
Track the approval status until all required sign-offs are complete.
12. Monitor linked actions and review status 5:14
Check that any created issue has been assigned correctly.
Verify the investigation status remains under review until sign-off is complete.
Confirm the number of evidence items and reviewer responses before closing the process.
Follow up on outstanding approvals or actions as needed.
Cautionary Notes
Do not submit the investigation until all required evidence, witness statements, and analysis are complete.
Ensure the root cause statement is supported by facts, not assumptions.
Verify that any created issue has the correct owner, due date, and priority.
Review auto-generated summaries carefully before sending them for approval.
Make sure all approvers are the correct people for the investigation type and site requirements.
Tips for Efficiency
Use voice-to-text for faster narrative and conclusion entry when appropriate.
Prepare witness statements and root cause notes before opening the investigation to reduce rework.
Use the Generate function to create a draft summary, then edit for accuracy.
Keep evidence organized by uploading only relevant files.
Assign issues and reviewers immediately so the investigation does not stall in review.
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