A sample guide list for substandard practices, substandard conditions, and causes of accident/incident.
Definitions - Accident/Incident Causes
Immediate or Direct Causes
Immediate direct causes of accident/incident may be attributed to substandard practices or substandard conditions. There are the hazards that exist immediately prior to the accident/incident. Immediate direct causes are the symptoms of deeper problems.
- Substandard Practices - A substandard practice of any individual is "any departure from an accepted, normal, or correct procedure or practice that permits the occurrence of an accident/incident."
- Substandard Conditions - A substandard condition is "any hazardous arrangement which, if left uncorrected, may lead to an accident/incident."
- Underlying or Indirect Causes
The underlying causes of an accident/incident are " any personal or job factors, which contributed to the immediate direct cause." These are the real causes behind the symptoms. They are not as apparent as the immediate direct causes.
Personal - these include factors such as lack of knowledge or skill, stress, improper motivation, inadequate capability, or impairment.
Job Factors - these are work environment factors such as inadequate supervision, tools, equipment, or materials.
Examples of substandard practices and substandard conditions are listed below and may be used as a guide by the investigator.
- Practices
1. Operating without authority; failure to secure or warn:
- Starting, stopping, using, operating, firing, moving, without authority.
- Without giving the proper signal.
- Failing to lock, block, or secure vehicles, switches, valves, press rams, other tools, materials, and equipment against the unexpected motion, flow of electricity current, or steam.
- Failing to shut off equipment not in use.
- Releasing or moving loads, without warning.
- Failure to place warning signs, signals, tags.
- Failure of a crane signal person to give proper signal.
- 2. Operating or working at substandard speed:
- Running.
- Feeding or supplying too rapidly.
- Driving too rapidly.
- Driving too slowly.
- Throwing material instead of carrying or passing it.
- Jumping from vehicles or platforms.
- Walking backwards
- Working too fast or too slow, endangering self and others.
- 3. Making safety devices inoperable:
- Removing safety devices.
- Blocking, plugging and tying, of safety devices.
- Replacing safety devices with those of improper capacity (high amperage of electrical fuses, low capacity valves, etc.)
- Misadjusting safety devices.
- Disconnecting safety devices.
- Failure to secure safety devices.
- 4. Using substandard equipment:
- Using defective equipment (mushroom head chisel)
- Substandard use of equipment (iron bars for tamping explosives, operating pressure valves at unsafe pressures, volume)
- Gripping objects insecurely, taking hold of objects the wrong way.
- 5. Substandard loading, placing, mixing, combining, etc.:
- Overloading.
- Crowding or piling.
- Arranging or placing objects or material in a substandard way (parking, placing, stopping, or leaving vehicles, elevators, and conveying apparatus in a substandard position for loading or unloading.)
- Injecting, mixing, or combining one substance with another so that explosion, fire, or other hazard is created (injecting cold water into a hot boiler, pouring water in acid.)
- Substandard placement of tools, materials, debris, rope, chain, hose, and electrical leads, on working surfaces.
- 6. Taking substandard position or posture:
- Exposure under suspended loads (fixed or moving)
- Placing the body or body parts into shaft ways or openings; standing too close to openings, walking on girders, beams, or edges of working surfaces when not necessary: not using proper methods or ascending or descending
- Entering vessel or enclosures when substandard because of temperature, gases, electric, or other exposures.
- Working on high-tension conductors from above instead of below.
- lifting with bent back or awkward position.
- Riding in a substandard position ( on platforms, tailboards and running boards of vehicles, stealing rides, riding on the apparatus designed for materials only).
- Passing on grades and curves, cutting in and out, road hogging.
- Exposure to falling, slide objects.
- 7. Working on moving or dangerous equipment:
- Getting on and off moving equipment (vehicles, conveyors, elevators)
- Cleaning, oiling, adjusting, moving equipment.
- Caulking, packing, etc. of equipment under pressure (pressure vessels, valves, joints, pipes, fittings.)
- Working on electrically charged equipment (motor generators, lines, and other electrical equipment).
- Welding, repairing, etc. of equipment containing dangerous chemical substances.
- 8. Distracting, teasing, abusing, startling, horseplay, etc.
- Calling, talking, or making unnecessary noise.
- Throwing material.
- Teasing, abusing, startling, horseplay.
- Practical joking.
- Quarrelling or fighting.
- 9. Failure to use proper attire or personal protective devices:
- Failing to wear personal protective equipment (PPE) (eye protection, hearing protection, gloves, masks, aprons, safety footwear, leggings, protective hats, safety harness, etc.).
- Wearing long sleeves, loose clothing, ties, cuffs on trousers, etc.
- Failure to report defective safety equipment or apparel.
- Substandard Conditions
10. Improperly guarded:
- Inadequately guarded - gears, belts, shafts, conveyors, drums.
- Unguarded floor openings, excavations.
- 11. Defective:
- Rough.
- Slippery.
- Sharp edges.
- Low material strength.
- Inferior composition.
- Decayed, aged, worn, frayed and/or cracked.
- 12. Hazardous arrangement, procedure:
- Makeshift or defective shoring material in mining, construction, excavating, etc.
- Unprotected trench or excavation.
- Improperly stored or piled tools, material.
- Congestion of working spaces.
- Inadequate aisle space, exits blocked.
- Substandard planning and/or layout of traffic or process operations.
- Substandard processes.
- Mudslinging
- Inadequate drainage.
- Poor housekeeping, debris on floors.
- Oil, water, grease, paint, etc., on working surfaces.
- 13. Improper illumination:
- Insufficient light.
- Glare.
- Unsuitable location or arrangement (producing shadows or contrasts).
- 14. Improper ventilation:
- Insufficient air changes.
- Unsuitable capacity, location, or arrangement of system.
- Impure air source, dust, gas, fumes, etc.
- Abnormal temperature or humidity.
- 15. Substandard dress or apparel:
- Eye or face protection, gloves or mitts, aprons or sleeves, shoes, respirators, leggings, hardhats, safety harnesses, etc. that is defective, substandard, or unsuited for work.
- Loose hair.
- Loose clothing.
- Inadequately clothed.
- Welders' helmet or hand shield defective, substandard, or unsuited for work.
- Welders' protective clothing (spats, capes, sleeves, jackets) that are defective, substandard, or unsuited for work.
- 16. Substandard design or construction:
- Poorly designed, too big, small, poor material, poorly constructed, inadequate bracing, etc.
Underlying or Indirect Causes of Accident/Incidents
The following may be used as a guide by the investigator when completing a report of an accident/incident:
The following may be used as a guide by the investigator when completing a report of an accident/incident:
- Worker unsuitable for assigned work, poor personnel selection.
- Lack of, or inadequate, training of the employee for the job.
- Safe job procedure use not developed for a hazardous job.
- Safe job procedure usage not enforced by supervision.
- Insufficient emphasis on safe work procedures.
- Safety equipment not provided.
- Lack of adequate or incorrect instructions to employees.
- Deliberate disregard of the safety inspection system.
- Professional advice not used in planning.
- Hazards not recognized by management, planning staff, or supervisor.
- Management failed to comply with a requisition given prior to the accident/incident.
- Lack of a planned maintenance system.
- Lack of a lockout system or systems not enforced.
- Substandard design
- Use of drugs, alcohol.