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INVESTIGATING
INVESTIGATIONS

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Launched Aug 26 1996.

 
HANDBOOK OF INDUSTRIAL AUTOMATION
edited by Richard L. Shell and Ernest L. Hall
Marcel Dekker, Inc. New York 2000

CHAPTER 8.1 INVESTIGATION PROGRAMS
by Ludwig Benner, Jr.


I Introduction

II What Is An Investigation Program

A. Investigation Program Context.
  • 1. Organizational context.
  • 2. Regulatory context.
B. Investigation roles.
  • 1. Desired roles for investigations
  • 2. Traditional views of investigation role.
C. Nature of investigation processes
D. Investigation Knowledge Needs
E. Investigation task knowledge.
  • 1. Investigation Concepts
    a) Multilinear Conceptual Framework.
    b) Role Of Change In Occurrences
    c) Event Data Language
    d) Mental Movies
    e) Progressive Analysis
    f) Break Down Events
    g) Event pairs and sets
    h) Event linking
    i) Energy tracing
    j) Witness plates
    k) Objective investigation quality assurance

  • 2. Investigation Principles
    a) If you can’t flow chart it, you don’t understand it.
    b) Track Change Makers
    c) Do No Harm Rule.
    d) Time Never Stands Still.
    e) Meeker’s Law
    f) The Silent Witness Rule.
    g) Things Don’t Lie.
    h) Experience Recycles Yesterday’s Problems
    i) Investigations are remembered by their results

  • 3. Investigation processes
    a) Preferred capabilities and attributes
    b) Attributes of less desirable processes
III Investigation program planning

A. Executive preparations.
  • 1. Acknowledge opportunities (1)
  • 2. Define mission, purpose and demands (2)
  • 3. Establish or update investigation program objectives (3)
  • 4. Adopt investigation policy changes (4)
  • 5. Adopt updated investigation program plan (5)
  • 6. Accept executives’ roles (6)
  • 7. Ensure investigation budget (7)
  • 8. Establish investigation performance feedback process (8)
  • 9. Executives ready (9)
B. Investigation Process Plan
  • 1. Select investigation concepts (11)
  • 2. Define investigation goals (12)
  • 3. Define investigation process deliverables (13)
  • 4. Select preferred investigation process (14)
  • 5. Define case selection process (15)
  • 6. Define investigation operations (16)
  • 7. Document investigation process (17)
  • 8. Adopt investigation plan (18)
  • 9. Investigation plan ready (20)
C. Investigator Preparation
  • 1. Define investigator tasks (21)
  • 2. Document investigator procedures (22)
  • 3. Define investigator knowledge and skill needs (23)
  • 4. Establish investigator selection criteria (24)
  • 5. Complete investigator selection (25)
  • 6. Train investigators (26)
  • 7. Complete investigation drills (27)
  • 8. Put quality controls in place (28)
D. Investigation Support Preparations
  • 1. Define support needs for organization (30)
  • 2. Establish data source handling plan (31)
  • 3. Communications protocols and equipment ready (32)
  • 4. Complete go kit preparations (33)
  • 5. Confirm support equipment readiness (34)
  • 6. Arrange for functional backup (35)
  • 7. Prepare technical support personnel (36)
  • 8. Prepare legal support (37)
  • 9. Prepare media support (38)
  • 10. Support personnel prepared (39)
E. Monitor startup of investigation processes.

IV Conducting investigations


A. Initial response to notification
B. On-site tasks
  • 1. Data protection
  • 2. Data acquisition and processing
  • 3. Restarts.
C. Data handling tasks
  • 1. Event linking and testing
D. Work product development tasks
  • 1. Problem identification
  • 2. Recommendation development
  • 3. Success monitoring
  • 4. Other uses of occurrence descriptions
E. Quality assurance tasks
  • 1. Investigation work product quality
  • 2. Investigation process quality
  • 3. Investigation program quality
F. Deliverables
G. Post investigation tasks

V Summary

VI Appendices: Investigation Tools

A. General Human Decision Model for Investigators
B. ETBA process model
C. Investigator Check lists
  • 1. Quality assurance check lists
  • 2. Recommendation check list
  • 3. Problem words check list
VII References

A. Developing descriptions and explanations of what happened.
B. Developing recommendations
C. Assuring quality
D. Internet site references

END