Maximo HSE Application Maps – Investigations (HSE)

HSE-InvestigationsThe Investigations (HSE) application is used for investigations into safety and environmental related incidents but also for investigations into equipment reliability and quality issues. The application is based on a view of a ticket called PROBLEM.

An investigation is normally created from a defect or an incident, but it can also be created from a service request and from an operator’s log. It will look to prevent or minimise the impact of future similar defects or incidents. How you classify the defect or incident will help you to find similar records and the volume and severity of these records will give an indication as to whether an investigation is warranted.

You can perform root cause failure analysis including FMECA (Failure Mode Effect and Criticality Analyses). You can also record the results of human factor analysis. Some of the data on the investigation record is copied from the incident, for example the sequence of events, and you will need to make sure that after the investigation has been created that it then becomes the master record and the incident record might have a change of status to make it become read-only until the investigation is complete.

Investigations (HSE) is a clone of the Maximo Problems application, a lot of additional functionality has been added. The functionality of the base Problems application is very similar to that described for Service Requests (HSE), a Service Request is another class of ticket. One significant difference with the Problem application over the Service Request is that a problem can have a set of activities that can be used to track progress between multiple parties involved in the investigation.

The additional functionality added to Investigations (HSE) application is as follows:

Investigation Tab

User Information section

Main - UserInfo

Investigation Details section

Main - InvestigationDetails

Sequence of Events Tab

The sequence of event records are copied from the incident when the investigation is created. It is not updated if changes are made to the incident, neither are additional sequence of event records added to the incident.


Review Actions Tab

Depending on the type and severity of the investigation there could be a standard set of actions that need to be considered in order to ensure completeness of the investigation. This uses a feature of the HSE product called standard actions which have two supporting applications Standard Actions (HSE) and Standard Action Groups (HSE).

A standard action is used for checklists or a set of review actions requiring a yes or no response. A standard action can require the user to provide a Yes, No, or Not Applicable response, an alphanumeric response, a score, or to mark the action as completed. A standard action can also have multiple review items. Standard actions are grouped together to make it easier to apply to other types of record.

Summary section

Review Actions Tab

Review Actions table window

The icon at the end of the table window indicates that the standard action has one or more review items. QuickRef-ReviewItemIcon The user can update the table window directly. The descriptions below are in the order of that displayed in the table window details section.

Responses section

The fields displayed in this section are dependent on the response settings on the associated Standard Action.

Review Items section

Review Actions Tab - Review items

At the bottom of the screen is a button to take the user to the Operational Actions (HSE) application.

Related Records Tab

The related records tab has two additional table windows over that normally displayed on ticket and work order based applications:


Solution Details Tab

The Solution Details tab has two sub tabs:

As a single Enterprise Asset Management system can have a global reach it can take a while for a solution to be approved for use globally. A lesson learned is a knowledge document which is agreed to be useful for others to be aware of but may not have been formally approved locally, regionally or globally. Lessons learned may be created as part of an after-action review as part of continuous improvement initiatives.

Where the Solution Details differ from similar tabs in other ticket-based applications is that there can be multiple Solutions and multiple Lessons Learned. The fields on both tabs are read-only with the exception of:

The first thing a user will do when making an investigation is to use the action Search Solutions to see if there are existing solutions to apply. If there is no relevant existing Solution or Lesson Learned then from either tab the user can navigate to the Solutions (HSE) application complete a solution record, make it active and then return it or select it from the Solution field. This differs from the Incident (HSE) application where the fields Symptom, Cause and Resolution are enterable, and a solution record can be created from the entries by using the Create Solution action. The Create Solution action is available on Investigations (HSE) but all it will do is create a duplicate of a previously applied solution and hence might be hidden through Signature Security.

At the bottom of each tab is an attachments table window which shows the documents that have been attached to the solution.

SolutionDetails Tab

Failure Reporting Tab

There are several fields in the Failure Reporting tab and the same ones on the same tab on Work Order Tracking (HSE) application. When an investigation is copied from a work order the failure data is also copied with the exception of the Failure Class, Problem, Cause and Remedy codes (the failure report). The Failure Report is not copied from an Incident when an investigation is created from it. In both cases this could be configured to also copy the failure report fields.

Failure Details section

Component Level Failure Reporting section

Some methods for root cause failure analysis, for example FMECA (Failure Modes, Effects and Criticality Analysis) are dependent on identifying the causes of failure at the component level and the assembly and subassembly to which the component belongs. The Asset records may not have been broken down to this level because maintenance or inspection does not require it. The fields in this section provide the ability to identify the component that failed.

ISO 14224 Failure Mechanism section

A failure mode of a component could be quite simple, for example the component failed to open or close. The cause of this failure mode could be varied, for example, corrosion, electrical, etc – this is referred to as the failure mechanism, a type of failure cause. The HSE module provides a two-level hierarchy.

Safety Related System Failures section

These fields are used to indicate safety-related system failures, such as safety-critical or hardware failures. You can specify a reference to an element that is associated with a regulation, such as a performance standard. You can also indicate that the failure requires action to maintain system integrity.

Failure Detection and Identification section

These fields are used to specify the method or activity by which failures are discovered, including barrier failures and the type of barrier that failed. A barrier either prevents an action from taking place or protects the system and people from the consequences.

FailureReporting Tab

Below this is the standard Failure Codes table window for entering the Problem, Cause and Remedy failure codes.

After Action Review Tab

An After Action Review (AAR) is a structured review or debriefing process for analysing what happened, why it happened, and how it can be done better by the participants and those responsible for the investigation.

User Information section

AAR Details section

Dates section

References section

Attendees table window

AfterActionReview Tab

Analysis Tab

The Analysis tab provides support for analysis into different types of investigations that take place, from a safety incident to a failure of an asset.

Root Cause Failure Analysis (RCFA) is an investigative technique to determine the factors leading to or initiating a failure. There are multiple methods and there are advantages and disadvantages with each, and a site may deploy more than one of these methods. Some common methods include:

The Analysis Tab has four sub tabs:

RCFA Sub Tab


Analysis-RCFA Tab1RCFA Results table window

Analysis-RCFA Tab - RCFA Results

Cause Analysis Sub Tab

Causes table window

Analysis -CauseAnalysis Tab


This tab is used to identify new failure modes arising as a result of an investigation. The Failure Analysis tab in Assets (HSE) and Locations (HSE) can be used to conduct a full FMECA.

Analysis-FMECA Tab

Human Factors Sub Tab

This tab is used to analyse human factors, subdividing by category and sub category, to investigate safety observations reported on an incident.

Human Factors Details section


Analysis-HumanFactors Tab

Human Factors Results table window

The Human Factors Results table window has three fields with value lists where the definition of the Human Factor, its Category and Sub Categories are defined using the action Add/Modify Human Factors Categories.

Analysis-HumanFactors Tab - HFResults



Follow-up tickets and work orders or other types of records can be created from the investigation:


Add/Modify Human Factors Categories

This dialog box is used for inserting, updating or deleting human factors, their categories and subcategories. This create a 3-level hierarchy, all fields are mandatory.

Action-Add.Modify HFCategories

Crossover Domains

There are three crossover domains worth noting:

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