NZQA registered unit standard
Title Conduct an incident investigation at an extractive site
16686 version 4
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Level
Purpose
5 Credits 8
People credited with this unit standard are able to: explain the concepts of multiple causation and root-cause analysis; and conduct an incident investigation at an extractive site.
Classification
Available grade
Extractive Industries > Extractive Industries Management
Achieved
Explanatory notes
1 Performance of the outcomes of this unit standard must comply with the following:
Health and Safety in Employment Act 1992 (HSE);
Health and Safety in Employment Regulations 1995;
Health and Safety in Employment (Mining Operations and Quarrying Operations)
Regulations 2013; approved codes of practice issued pursuant to the HSE Act;
Hazardous Substances and New Organisms Act 1996;
HSNO Regulations 2001 – Hazardous Substances (Classes 1 to 5 Controls),
Hazardous Substances (Identification), Hazardous Substances (Packaging),
Hazardous Substances (Disposal), Hazardous Substances (Emergency
Management), Hazardous Substances (Tracking);
Occupational Safety and Health guidelines, such as those available at http://www.osh.govt.nz/order/catalogue/index.shtml#mi .
2 Any new, amended or replacement Acts, regulations, standards, codes of practice, guidelines, or authority requirements or conditions affecting this unit standard will take precedence for assessment purposes, pending review of this unit standard.
3 Definition
Company procedures mean the documented methods for performing work activities, and include health and safety, operational, environmental, and quality management requirements. They may refer to legislation, regulations, guidelines, standard operating procedures, manuals, codes of practice, or policy statements.
4 This unit standard is intended for, but is not limited to, workplace assessment.
5 A simulated situation and/or case study may be used for assessment against this unit standard.

New Zealand Qualifications Authority 2020 NZ Motor Industry Training Organisation
(Incorporated) (MITO)
SSB Code 101542

NZQA registered unit standard 16686 version 4
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Outcome 1
Explain the concepts of multiple causation and root-cause analysis.
Evidence requirements
1.1 The need for focus on management systems in incident investigation is explained in terms of preventing further incidents.
1.2 The concepts of multiple causation and root-cause analysis are explained in relation to a recognised incident causation model.
Outcome 2
Conduct an incident investigation at an extractive site.
Evidence requirements
2.1 The company procedure for dealing with an incident is detailed in terms of initial response and information gathering, and in accordance with the HSE Act 1992 and associated regulations.
Range prevention of escalation, administering assistance, isolation of the scene, establishing and recording the events of the incident, reporting the incident.
2.2 The required level of investigation is determined in terms of the potential consequences of the incident and in accordance with company procedures, the
HSE Act 1992, and associated regulations.
Range types of incident may include but are not limited to
– near miss, reportable incident, serious harm incident, fatality, high potential, primary and secondary sources.
2.3 The investigation is carried out in accordance with company procedures and the
HSE Act 1992 and associated regulations.
Range sources for the investigation may include but are not limited to witnesses, physical evidence, interviews, documentation.
–
2.4 Data is sorted into chronological order, and cause and effect, in accordance with company procedures.
2.5 Root causes of the incident are determined from the data gathered.

New Zealand Qualifications Authority 2020 NZ Motor Industry Training Organisation
(Incorporated) (MITO)
SSB Code 101542

NZQA registered unit standard
2.6
16686 version 4
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Possible corrective actions are formulated in response to the identified root causes, and recommended in accordance with company procedures.
Range correctives actions may relate to
– changes to standard operating procedures, training requirements.
2.7 Implementation for recommended corrective actions is described in accordance with company procedures.
2.8 Incident investigation report is finalised and communicated in accordance with company procedures, and the HSE Act 1992 and associated regulations.
Planned review date 31 December 2019
Status information and last date for assessment for superseded versions
Process Version Date Last Date for Assessment
Registration 1 25 July 1999 31 December 2017
Review
Rollover and
Revision
2
3
27 January 2005
16 July 2010
31 December 2017
31 December 2017
Review 4 18 June 2015 N/A
Consent and Moderation Requirements (CMR) reference 0114
This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do
.
Please note
Providers must be granted consent to assess against standards (accredited) by NZQA, before they can report credits from assessment against unit standards or deliver courses of study leading to that assessment.
Industry Training Organisations must be granted consent to assess against standards by
NZQA before they can register credits from assessment against unit standards.
Providers and Industry Training Organisations, which have been granted consent and which are assessing against unit standards must engage with the moderation system that applies to those standards.
Requirements for consent to assess and an outline of the moderation system that applies to this standard are outlined in the Consent and Moderation Requirements (CMR). The
CMR also includes useful information about special requirements for organisations wishing to develop education and training programmes, such as minimum qualifications for tutors and assessors, and special resource requirements.
Comments on this unit standard

New Zealand Qualifications Authority 2020 NZ Motor Industry Training Organisation
(Incorporated) (MITO)
SSB Code 101542

NZQA registered unit standard 16686 version 4
Page 4 of 4
Please contact the NZ Motor Industry Training Organisation (Incorporated) (MITO) info@mito.org.nz
if you wish to suggest changes to the content of this unit standard.
NZ Motor Industry Training Organisation
(Incorporated) (MITO)
SSB Code 101542

New Zealand Qualifications Authority 2020