RMIT Classification: Trusted

Incident Investigation Report

Incident Cause Analysis Method (ICAM)

[Event Name]
[Event Location/College/School/Portfolio/Organisational Unit]

[Date of Event]
Author
Reviewer Approver
Revision Description (name &
(name & date) (name & date)
date)

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Table of Contents
1.0 About This Document..........................................................................................................................................
1.1 Assumptions and Exclusions...........................................................................................................................
1.1. Definitions........................................................................................................................................................
2.0 Incident Details....................................................................................................................................................
2.1. Event Notification.............................................................................................................................................
2.2. Description of Event.........................................................................................................................................
2.3. Details of Injury/Damage/Impact......................................................................................................................
2.4. Immediate Actions Taken by Line Management following Event.....................................................................
3.0 Key Findings........................................................................................................................................................
3.1. Basic Cause....................................................................................................................................................
3.2. Contributing Factors........................................................................................................................................
3.2.1. Absent or Failed Defences.......................................................................................................................
3.2.2. Individual or Team Actions.......................................................................................................................
3.2.3. Task or Environmental Condition.............................................................................................................
3.2.4. Organisational factors..............................................................................................................................
4.0 Conclusions and Observations............................................................................................................................
5.0 Recommendations...............................................................................................................................................
5.1. Heading...........................................................................................................................................................
5.2. Heading...........................................................................................................................................................
6.0 Significant Learning’s...........................................................................................................................................
6.1. Heading...........................................................................................................................................................
6.2. Heading...........................................................................................................................................................
6.3. Heading...........................................................................................................................................................
7.0 Corrective Action Plan.........................................................................................................................................
8.0 PEEPO................................................................................................................................................................
8.1. People.............................................................................................................................................................
8.2. Environment....................................................................................................................................................
8.3. Equipment.......................................................................................................................................................
8.4. Procedures......................................................................................................................................................
8.5. Organisation....................................................................................................................................................
9.0 Chronology of Events........................................................................................................................................
10.0 Photos...............................................................................................................................................................
11.0 Document Control..............................................................................................................................................
12.0 Appendix............................................................................................................................................................

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1.0 About This Document

This investigation report adopts the Incident Cause Analysis Method (ICAM) for analysis of root
causes and determining recommendations.
The aim of this method and this report is not to apportion blame or liability but to identify failures within
organisations, systems and communication which have contributed to the event and to provide
recommendations that should prevent recurrence.

1.1 Assumptions and Exclusions

List otherwise None.

1.1. Definitions

Term Definition

2.0 Incident Details

2.1. Event Notification
Event Title

Event Type

Event Date Event Time Ref Number

Employee, Contractor and/or Third Party Incident

Building Number, Floor, Room Number

Description of Location
Is the activity Controlled, Monitored or
Uncontrolled?
What risk assessment was conducted for this
task?
What site standard or procedure exist to control
this risk?

2.2. Description of Event

(Where, Who, What, How, When)

2.3. Details of Injury/Damage/Impact

(Nature and Extent of Injuries/Damage/Impact)

2.4. Immediate Actions Taken by Line Management following Event

Details

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3.0 Key Findings

The key findings outline why the incident occurred and the contributing factors deduced from the
investigation have been categorised using the Incident Cause Analysis Method (ICAM). The ICAM
analysis chart is shown as an Appendix in Section 6 of this report.

3.1. Basic Cause

Why did the incident occur?

3.2. Contributing Factors

Based on the evidence to hand, the Investigation Team believe the following were the main
contributing factors to the incident:

3.2.1. Absent or Failed Defences

The ‘last minute measures which did not prevent the outcome of the incident or mitigate/reduce its
consequences’.
 Type – Description of contributing factor
 Type – Description of contributing factor
 Type – Description of contributing factor

3.2.2. Individual or Team Actions

Errors or violations that led directly to the incident. They are typically associated with personnel such
as operators and maintainers having direct contact with equipment or material. They are always
committed ‘actively’ (someone did or didn’t do something) and have a direct relation with the incident’.
 Type – Description of contributing factor
 Type – Description of contributing factor
 Type – Description of contributing factor

3.2.3. Task or Environmental Condition

Task and environmental conditions are those conditions in existence immediately prior to or at the time
of the incident that directly influence human and equipment performance in the workplace.
 Type – Description of contributing factor
 Type – Description of contributing factor
 Type – Description of contributing factor

3.2.4. Organisational factors

Organisational factors are those aspects which can be implicated in producing the task/environmental
conditions, individual or team actions, or absent/failed defences that have allowed the incident or
accident to happen.
 Type – Description of contributing factor
 Type – Description of contributing factor
 Type – Description of contributing factor

4.0 Conclusions and Observations

The investigation concluded the following findings were or could have been contributory factors to the
incident:
 Insert Conclusion or Observation
 Insert Conclusion or Observation
 Insert Conclusion or Observation
 Insert Conclusion or Observation
 Insert Conclusion or Observation

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5.0 Recommendations
The following recommended corrective actions are put forward for consideration. The
recommendations address the Absent or Failed Defences and Organisational Factors identified as key
findings of the investigation. These recommendations are applicable to College / School / Portfolio /
Organisational Unit / Contractor and could benefit other RMIT operations.

5.1. Heading
Detail and explanation. Include stakeholders and timeframes

5.2. Heading
Detail and explanation. Include stakeholders and timeframes

6.0 Significant Learning’s

The investigation has raised a number of key learnings which are covered in the body of the report.
The significant learnings for RMIT are:

6.1. Heading
Detail and explanation. Include stakeholders and timeframes

6.2. Heading
Detail and explanation. Include stakeholders and timeframes

6.3. Heading
Detail and explanation. Include stakeholders and timeframes

7.0 Corrective Action Plan

The following are to be referenced against the incident report
Item Responsible Responsible Completion Sign
Recommendation
Ref Department Person Date Off

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8.0 PEEPO
8.1. People
Item Detail Comment
Records Personnel, medical, training and incident history records

Roster Time sheets, shift rosters and work cycles.

History Previous 72 hour history of key personnel involved.

Assessment of personality, safety attitude, motivation, conflict, stress,

Psychology external influences ie. social and domestic pressures.

Assessment of physical and mental state prior to the incident including

Physiology fatigue, substance abuse, physical stress, illness or impairment,
environmental discomfort, age physical condition.

Ability Assessment of training, experience and competence for the task

Supervision Levels and quality of supervision

Alertness Assessment of situational and hazard awareness

Communication Assessment of communication adequacy and effectiveness.

Teamwork Assessment of teamwork, workload sharing and coordination of effort

8.2. Environment
Item Detail Comment
Illumination Too much or too little light that was a negative influence on vision.

Climatic precipitation that has a negative influence on human or

Precipitation equipment performance. This includes condensation, fog, frost, hail,
ice, mist, rain, sleet, or snow.

Natural or man-made elements that render material or the environment

Contaminants unsatisfactory for human or equipment use and have a negative
influence on performance. These include carbon dioxide, carbon
monoxide, chemicals, dust, foreign objects, debris, fumes, gases,

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Item Detail Comment

impurities, mists, smog, smoke, toxic materials, or vapours.

Unwanted sound that produces hearing loss, disturbs / distracts

Noise attention from the task at hand, or interfered with communication.

Temperature / Extremes of heat, cold, and humidity that have a negative influence on
humidity human or equipment performance.

Wind / Natural or man-made air movement that has a negative influence on

turbulence human or equipment performance.

Repeated / periodic motions that have a negative influence on human

Vibration or equipment performance.

Acceleration / Forces experienced by personnel /equipment due to rate of change of

deceleration velocity.

Radiant energy emitted in waves or particles that have a negative

influence on human or equipment performance. This includes alpha
Radiation radiation, beta radiation, gamma radiation, ionising, laser, maser,
neutron radiation, non-ionising, radio waves, sunlight, ultraviolet, or X
radiation.

Conditions (excluding precipitation) of natural or man-made work

Work surface / surfaces on which personnel and equipment operate that have a
space negative influence on performance. This includes holes, inclines,
rocky, rough, rutted, slippery, steep, or uneven wave action.

Natural or man-made electrical current that has a negative influence

Electricity on human or equipment performance. This includes burn out,
electrocution, discharge, earth faults, lightning, shock, short, or static.

Sudden or gradual changes in air pressure that have a negative

Air pressure influence on human or equipment performance. This includes altitude,
bends, blast, chokes, decompression, explosion, or hypoxia.

The actions or presence of animals that injure personnel, cause

Wildlife personnel to make errors, damage equipment, or cause equipment to
malfunction

8.3. Equipment
Item Detail Comment

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The design of the equipment should be adequate to meet the

Design requirements and operational conditions under which they were being
used.

The equipment should be constructed to specifications within the

Construction design standard.

The equipment should be tested to ensure that it meets the design

Testing standard and construction specifications.

There should be an inspection procedure for monitoring the status of

Inspection the equipment on initial delivery, periodically throughout its life, at
critical times before, during and after operation.

Equipment modification should be carried out by controlled procedure

to ensure performance, safety and reliability are not adversely
Modification affected. Modifications should also account for changes to:
maintenance procedures, inspection procedures, operating
procedures, ergonomics, man-machine interface

8.4. Procedures
Item Detail Comment
The documented procedures should be used for conducting the
Utilisation operation in a correct, safe and efficient manner.

The documented procedures should be adequate for the scope of the

work to be conducted. The procedure should cover all tasks, contain
Content emergency provisions, contain work-around provisions, cover
exemptions where the entire procedure does not apply.

The procedures should contain the necessary information, in a user

Criteria friendly language. The format should successfully link people and
equipment to provide a risk minimised or risk eliminated operation.

The procedures should be reviewed, checked and tested by qualified

Validated people to ensure that the personnel that use the procedure can carry
out the operation correctly safely and efficiently.

The procedure should have a method of revision control to ensure only

Control current procedures are in use.

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8.5. Organisation
Item Detail Comment
The organisation should have a systemic approach to safety. There
should be evidence of management leadership and commitment to
Organisational setting high standards of safety, quality and productivity performance.
culture Measurable factors include: people management, provision and quality
of tools and equipment, commercial and operational pressures,
planning, maintenance of facilities and equipment, communication.

The organisation should have a structured training programme for the

Training provision and consolidation of technical skills, safety awareness and
programme safety knowledge. The effectiveness of training should be measurable.

The organisation should demonstrate support for the work site

Visible support operational staff including provision of adequate manning levels,
suitable equipment and material and adequate facilities and services.

Operational
The organisation should have a formal and effective operational
feedback feedback system for system monitoring and improvement.
processes

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9.0 Chronology of Events

10.0 Photos

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11.0 Document Control

Version Issue Date Summary of Changes

12.0 Appendix
Attach relevant documents such as statements, rosters, floor plans etc that should be
referenced throughout the investigation.

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