1. GETTING THE OVERVIEW
Basic information about who was involved in the accident/incident and the general conditions at the time of the occurrence will help the investigator decide on the scope of the investigation and who may be required to provide further information. The overview of the occurrence often uncovers the substandard act or condition, which directly contributed to the accident/incident. Continuing the investigation process will allow the investigation team to uncover causes of occurrence.
Basic information about who was involved in the accident/incident and the general conditions at the time of the occurrence will help the investigator decide on the scope of the investigation and who may be required to provide further information. The overview of the occurrence often uncovers the substandard act or condition, which directly contributed to the accident/incident. Continuing the investigation process will allow the investigation team to uncover causes of occurrence.
2. GATHERING PHYSICAL EVIDENCE
Make notes of what you observe, take photographs and/or draw diagrams. Look for things such as:
Once the details of the scene have been carefully recorded, damaged equipment or samples of materials may be removed for later analysis by experts. NOTE: Before removing anything, ensure that the authorities having jurisdiction - police, fire, Alberta Human Resources and Employment, Workplace Health and Safety Division etc. - are notified.
Make notes of what you observe, take photographs and/or draw diagrams. Look for things such as:
- Positions of injured employees and/or equipment machinery, etc.
- Condition of equipment and materials
- Where objects are in relation to each other. (top plan view)
- The angel something came from or the force behind the object.
- Safety devices that were in use, and their positions.
- Housekeeping in the area.
- Noise and lighting levels, etc.
Once the details of the scene have been carefully recorded, damaged equipment or samples of materials may be removed for later analysis by experts. NOTE: Before removing anything, ensure that the authorities having jurisdiction - police, fire, Alberta Human Resources and Employment, Workplace Health and Safety Division etc. - are notified.
3. INTERVIEWING WITNESSES
The interview process may be your biggest challenge while conducting an investigation. It can be hard to get all the information you need, or to sort out what really happened from the conflicting descriptions you get. A certain amount of distortion is natural because:
1. Who was injured? 2. What were the materials, machines, equipment, or conditions involved? 3. When did it happen? 4. Where did it happen? 5. Why did it occur? 6. How did the accident/incident happen?
The interview process may be your biggest challenge while conducting an investigation. It can be hard to get all the information you need, or to sort out what really happened from the conflicting descriptions you get. A certain amount of distortion is natural because:
- Different people have different perceptions
- Information may be overlooked because the witnesses are under emotional stress.
- People may "cover for" themselves or each other in an attempt to avoid further trouble.
1. Who was injured? 2. What were the materials, machines, equipment, or conditions involved? 3. When did it happen? 4. Where did it happen? 5. Why did it occur? 6. How did the accident/incident happen?
By putting what different people tell you, you will have a much clearer picture of what happened, as well as how and why it came about. Witnesses' memories are likely to be clearest soon after the accident/incident, but shifts changes or other factors may prevent you from interviewing right away; in that situation, interview was soon as possible the next day.
The following techniques can help you interview to be more effective:
The following techniques can help you interview to be more effective:
- Conduct the interview at the scene, if possible, or in a comfortable place such as a private office.
- Interview one person at a time, and privately.
- Keep the interview positive, and try to put the person at ease.
- Ask open-ended questions, not leading questions.
- Do not talk down to the person or rush them to answer quickly.
- Paraphrase what people tell you to make sure you understand.
- Watch for clues from the person's body language.
- Record a statement for each witness and give them a copy (if requested)
4. CHECK BACKGROUND
Relevant information may come from analysis of conditions at the time of the accident/incident, or from records such as technical data sheets, maintenance reports, past accident/incident reports, training records, safety meeting minutes, safe work practices, and safe job procedures. This information may help you identify causes behind the accident/incident you're investigating and may indicate whether it is part of a trend.
Relevant information may come from analysis of conditions at the time of the accident/incident, or from records such as technical data sheets, maintenance reports, past accident/incident reports, training records, safety meeting minutes, safe work practices, and safe job procedures. This information may help you identify causes behind the accident/incident you're investigating and may indicate whether it is part of a trend.
5. DETERMINE CAUSES
Most people have a tendency to focus on the immediate or direct cause of an accident. However, in order to prevent a repetition of what happened, you must also identify the contributing or indirect causes - that is, the underlying factors that set up the circumstances that led to the accident/incident.
It may be tempting to pin the accident/incident on something an employee did or did not do, and let it go at that. However, there is rarely, if ever, a single cause behind an accident/incident - even the simplest situations come out of a combination of factors.
Most people have a tendency to focus on the immediate or direct cause of an accident. However, in order to prevent a repetition of what happened, you must also identify the contributing or indirect causes - that is, the underlying factors that set up the circumstances that led to the accident/incident.
It may be tempting to pin the accident/incident on something an employee did or did not do, and let it go at that. However, there is rarely, if ever, a single cause behind an accident/incident - even the simplest situations come out of a combination of factors.
6. RECOMMEND CORRECTIONS
To be effective, corrective action must be applied to indirect causes as well as to direct causes, and should be very specific.
Each corrective action should be assigned a target date for completion. The corrections may be implemented in stages, depending on hazard priority, training requirements, budget, and so on.
To be effective, corrective action must be applied to indirect causes as well as to direct causes, and should be very specific.
Each corrective action should be assigned a target date for completion. The corrections may be implemented in stages, depending on hazard priority, training requirements, budget, and so on.
7. DETERMINE COSTS
Where you are required to do so, you should determine both the insured costs and the uninsured, hidden costs of the accident/incident. These estimates will be important in helping management determine which corrective recommendations will be implemented and in what order.
Insured costs are costs that are covered by insurance programs. For example: Workers Compensation, special medical costs and, in some cases, equipment damages.
Uninsured costs are direct and indirect losses arising from the accident/incident. The U.S. National Safety Council suggests ten such costs to consider:
Where you are required to do so, you should determine both the insured costs and the uninsured, hidden costs of the accident/incident. These estimates will be important in helping management determine which corrective recommendations will be implemented and in what order.
Insured costs are costs that are covered by insurance programs. For example: Workers Compensation, special medical costs and, in some cases, equipment damages.
Uninsured costs are direct and indirect losses arising from the accident/incident. The U.S. National Safety Council suggests ten such costs to consider:
- Damage to material/equipment or replacement cost.
- Wages paid for time lost by an injured employee(s), other than workers' compensation payments.
- Wages paid for lost time by a non-injured employee (e.g., who stopped working to assist with accident/incident or the investigation, those who could not work without the damaged equipment, or employees who are involved in stress management programs).
- Overtime work necessitated by the accident/incident.
- Wages paid for overtime of the supervisor investigating the accident/incident.
- Accident-related time spent by higher supervision and clerical staff.
- Decreased output when injured employee returns to work (modified work program).
- Reduced productivity during a replacement employee's learning period.
- Uninsured medical costs borne by the company.
- Miscellaneous - such as public liability claims, equipment rental costs, loss of profit on contracts cancelled, loss of bonuses, etc.
8. WRITE THE INVESTIGATION REPORT
The report is a comprehensive summary of information related to the accident/incident. Many different reporting forms are available. You should have one that is tailored to your company's needs, but it should include space for at least the following information:
The report is a comprehensive summary of information related to the accident/incident. Many different reporting forms are available. You should have one that is tailored to your company's needs, but it should include space for at least the following information:
- Personal date on the person(s) involved
- Date and time when the accident/incident occurred and when it was reported to authorities.
- All agencies that have been notified, including the time, date, and name of the person spoke to.
- Supervisor in command at the time.
- Location and description of the accident/incident (both overall and specific)
- Nature of injuries, if any, along with first aid and/or medical aid received.
- All related causes.
- Reports by other (where applicable - police, other companies, newspapers, weather office, etc.)
- Corrective action recommended.
- Date and time of the report.
- Names and signatures: Person on the team filing the report
- A diagram and/or photos of the scene should be attached, along with all the witness statements. (Date and time taken and by whom should be noted on each sketch and photo.)