Root Cause Analysis Handbook: A Guide to Efficient and Effective Incident Investigation, Third Edition

Section 3: Gathering and Preserving Data

3.1 Introduction

This section addresses methods for gathering and preserving data as well as analyzing the data. Figure 3.1 shows this step within the context of the overall incident investigation process.


Figure 3.1: Gathering Data Within the Context of the Overall Incident Investigation Process

The topics covered in this section include:

  • General data-gathering and preservation issues

  • Gathering data

  • Gathering data from people

  • Physical data

  • Paper data

  • Electronic data

  • Position data

  • Overall data-collection plan

  • Application to apparent cause analyses and root cause analyses

3.2 General Data-gathering and Preservation Issues

3.2.1 Importance of Data-gathering

Factual information derived from data-gathering activities serves as the basis for all valid conclusions and recommendations from an investigation. Without effective data gathering, the incident cannot be truly defined and investigated. Gathering data usually takes more time than other investigation steps.

3.2.2 Types of Data

There are five basic types of data as shown in Figure 3.2:

  • People: Interviews with or written statements from witnesses, participants, etc.

  • Physical: Parts, chemical samples, personal protective equipment (PPE), structures, raw materials, finished products, etc.

  • Paper: Hard copies of procedures, policies, administrative controls, drawings, sketches, notes, performance and operational data, analysis results, procurement specifications, loading specifications, logs, paper charts, correspondence, etc.

  • Electronic: Electronic copies of procedures, policies, administrative controls, drawings, performance and operational data, analysis results, procurement specifications, e-mail, loading specifications, logs, correspondence, etc.

  • Position: Locations of people and physical data (e.g., valve and switch positions, tank levels)


Figure 3.2: Types of Data Resources

3.2.3 Prioritizing Data-gathering...

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