An incident investigator collects and organizes evidence to uncover the truth behind an incident, but the information can be misleading: witnesses tell conflicting stories, environmental conditions change before the investigator arrives, paperwork or procedures are lost or altered.
How can an investigator get to the facts of an incident? By remembering to collect four types of evidence, what TapRooT® investigators call “3 Ps and an R”:
- People evidence
- Paper evidence
- Physical evidence
- Recording evidence
People Evidence
Examples of people evidence include:
- Interviews
- Fatigue-related information
- Evidence of injuries, including cuts and scrapes, bruises, fractures, or sprains
- Information about medical conditions that may have influenced performance (Refer to HR or corporate counsel for guidance on HIPAA)
First determine who was involved in the incident: those who planned, supervised, and performed the work. Other considerations include a worker’s capability, capacity, training, and qualification to perform the role.
Inquire into the background of those involved. Determine if they have been involved in any previous incidents or if they have any related performance or conduct issues. Find out if those involved had any work restrictions such as impairment, physical capability, or lapsed accreditation.
Understand how employees worked together, such as team dynamics, supervision, and team performance. Determine the context of the incident, such as environmental conditions, distractions, or perspectives.
Paper Evidence
Paper evidence may include:
- Regulatory paperwork
- Activity-specific paperwork
- Personnel paperwork
- Policy and procedure paperwork
- Equipment manuals
Don’t make the mistake of collecting paperwork not relevant to the investigation. Instead, focus on the timeline leading to the incident and collect the paperwork following this timeline. With TapRooT®, you can easily upload digital copies of this paperwork and highlight relevant pages in your report to management.
Physical Evidence
Physical evidence can range from large machinery to small tools, and includes hardware and solid material related to the incident. Smaller physical evidence should be collected while larger physical evidence should be recorded or documented.
Types of physical evidence to collect include:
- Broken equipment / parts
- Residue / debris
- Fluid samples
- Paint samples
- Fiber
- Hair, bloodstains, tissue or other DNA
Evidence is recorded or documented when it is impossible to collect and/or still in use by the workforce. Types of physical evidence to record/document include:
- Burn marks and flame patterns
- Tracks
- Indentations
- Fingerprints
- Tools
- Equipment
- Products in use
- Equipment status (fixed, portable, or temporary?)
- Lights, noise, and temperature
- Confined space
- Obstructions
- Surface hazards
- Housekeeping
- Clarity of signs and labels
- Instructions
The following are additional pieces of information you may want to collect:
- Failure history
- Modification / change of use
- Operator interface
- Maintenance records
- Installing / commissioning
- Storage / transportation
- Procurement
- Design / fabrication
Recording Evidence
Recording evidence, such as photography and video, should be captured as soon as possible after an incident to preserve the scene.
In addition to video and photography recorded by the investigator, other recordings include:
- Video footage (e.g., site security cameras, control room cameras)
- Audio recordings (e.g., audio of noise level, voicemail recordings)
- Photos (e.g., witness cell phone photos, photos taken before the incident)
- Computer data (e.g., magnetic swipe card system security data, computerized data from process equipment)
- Sketches of an incident scene
As you record the scene, ask “Am I recording the scene in its original state or has it changed?” If the scene has changed, note what has changed. Identify fragile, perishable evidence and immediately document, photograph, and collect it. Make note of any transient evidence that can’t be captured by camera or video like smells and temperature.
The best way to collect unbiased evidence is to remember the four categories: people, physical, paper, and recordings. Each piece of evidence will lead you to the truth of the incident so you can identify problems and analyze root causes for effective corrective actions..