Level of Investigation (1)

REQUIRED LEVEL OF INVESTIGATION / ANALYSIS
As a general principle, all incidents should be investigated and analysed. Practical application of this principle says that the extent of the investigation and
analysis will be based on the Future Risk Potential (FRP) of the hazard or incident.
Future Risk
Potential
(FRP)
E (Extreme
risk)
Level
4
Completion
Timeframe for
Investigation
(Entered into
EHS
Database)
< 2 weeks
after Incident
People Required to Participate in Investigation








Product / Sales Area Manager;
Responsible (Senior Site) Manager or Site Department Manager;
Supervisor associated with the incident;
A Workforce Representative;
Site EHS Manager and/or Regional EHS Manager;
Where appropriate, Technical experts (internal and/or external); and
Where practicable, an Independent Team Leader.
Where the incident involves a contractor’s employee, the contractor will provide a member on the Investigation team.
Level 4 investigations/analyses require a more formal and structured approach than for Levels 1 – 3, and will utilise
techniques such as: Tap Root, Systems Safety Accident Investigation (SSAI), Events and Causal Factors Charting,
Management Oversight Risk Tree (MORT) or ICAM.
As a minimum, the Team Leader should be trained in formal Incident Investigation/Analysis techniques. It is clearly an
advantage for the other members of the team to have a working knowledge of the techniques.
The output of such an investigation/analysis will be a full written report that identifies Immediate Causes (symptoms),
Basic/Root Causes and Sandvik EHS Management System Failures.
H (High risk)
3
< 2 weeks
after Incident





Responsible (Senior Site) Manager or Site Department Manager;
Where appropriate, a site EHS Advisor and/or Technical expert.
Supervisor associated with the incident;
Person(s) involved in or associated with the incident.
Where the incident involves a contractor’s employee, the contractor will provide a member on the Investigation team.
A member of the team will be appointed as the Investigation/Analysis Team Leader (this will usually be the Responsible
Manager).

M (Moderate
risk)
2
< 1 week after
Incident



Manager ‘one up’ from the Supervisor associated with the incident (where this is the Responsible (Senior Site)
Manager or the Site Department Manager, their input will be at their discretion);
Supervisor associated with the incident;
Person(s) involved in or associated with the incident
Where the incident involves a contractor’s employee, the contractor will provide a member on the Investigation team.
A member of the team will be appointed as the Investigation/Analysis Team Leader (this will usually be the Supervisor).
L (Low risk)
1
Currently no official requirement for Level 1 Incidents to be investigated!