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(1) The purpose of this Procedure is to provide a clear framework on how health and safety incidents are investigated so that necessary corrective actions and the lessons learnt are identified and implemented consistently across the University. (2) Incident investigation is an important process to determine the factors that led to a hazard, injury, illness, incident or other systemic, or process failure. (3) Conducting an incident investigation will facilitate a deeper understanding of the relationship between factors that contributed to an event, and in doing so, will provide clarity and direction for both immediate and broader actions that need to be taken to prevent a reoccurrence. (4) This Procedure applies to: (5) This Procedure forms part of the Health and Safety Policy suite which governs its application. (6) Managers and leaders are responsible for providing the necessary resources to conduct incident investigations and must: (7) Managers and leaders will be identified across the Schools and Divisions to complete incident investigation education and training. (8) The Health and Safety team provide oversight, monitor this procedure and will: (9) Staff, students and contractors must participate in incident investigations as required. (10) All Health and Safety incidents will be investigated. The level of investigation will depend on the potential and actual consequence of the incident. (11) Typically, the following incident types will require full investigation: (12) Community Sport injuries will typically be excluded from investigation, unless University assets are implicated in the incident. (13) Investigations will be undertaken by managers/leaders for all lower consequence incidents. (14) Investigations will be initiated as soon as possible after the incident is reported through either: (15) All documentation relevant to an investigation will be electronically captured, kept in a retrievable file, and archived by the Health and Safety Team. (16) All incident investigations will follow the PEEPO contributing factors model through causation is categorised to identify where the failure/s has occurred. (17) PEEPO contributing factors: (18) PEEPO methodology will identify a breadth of corrective actions to ensure that the underlying causes are comprehensively understood and addressed. (19) The Health and Safety team will provide oversight when a basic investigation is conducted by the relevant Manager/Leader. The basic investigation template will capture and address: (20) The Health and Safety team will work with the affected area to establish an Investigation Team, who will conduct a full investigation. Members of an investigation team will vary, though may include: (21) The Investigation Team will collect evidence relevant to the incident, this may include physical evidence such as: (22) The Investigation Team will conduct interviews with both direct and indirect witnesses: (23) Following the investigation, the lead investigator will use the incident investigation template to prepare an analysis of the incident and identify the corrective actions necessary to prevent reoccurrence. (24) Corrective actions will be implemented by Leaders/Managers that are within their organisational authority to do so. (25) Implementation of the corrective actions will be monitored by the Health and Safety team to ensure their completion. (26) The Health and Safety team will periodically review the corrective actions that are operational, to ensure these are effective and/or identify where deficiencies exist for additional correction. (27) The wider lessons learnt though the corrective actions, broader trends and deeper insights will be communicated across the university community. This may include: (28) For the purpose of this Procedure: (29) This Procedure is made under the La Trobe University Act 2009.Health and Safety Procedure - Incident Investigation
Section 1 - Key Information
Top of Page
Policy Type and Approval Body
Administrative – Vice-Chancellor
Accountable Executive – Policy
Chief Operating Officer
Responsible Manager – Policy
Senior Manager, Health and Safety
Review Date
13 February 2026
Section 2 - Purpose
Section 3 - Scope
Top of PageSection 4 - Key Decisions
Top of Page
Health and Safety (H&S)Team
Section 5 - Policy Statement
Section 6 - Procedures
Part A - Responsibilities
Managers and Leaders
Health and Safety Team
All Staff, Students and Contractors
Part B - Incidents Require Investigation
Part C - Investigation Methodology
Part D - Basic Investigation
Part E - Full Investigation
Part F - Corrective Actions
Part G - Lessons Learnt
Top of PageSection 7 - Definitions
Top of PageSection 8 - Authority and Associated Information