Accident Investigation

An Overview
“Those that do not learn from
their mistakes, are bound to
repeat them”
Multiple Causes of Accidents
 “Friendly Fire” Incident in Afghanistan
– who was at fault?
 Pilots, air controllers, ground control, commanders,
communication, US/Canadian Administration …..?
 Understanding the terms
 What is an accident?
– an unplanned undesirable event that interrupts a
planned activity and that results in injury/illness
or property damage
 What is an incident?
 What is an “Accident/Incident
Investigation”?
 What is an Accident
Investigation?
 An accident investigation is the analysis and
account of an accident based on information
gathered by a thorough and conscientious
examination of all factors involved.
 Investigation Concepts
 Why do we investigate accidents?
 Prevent future incidents
 To identify and correct/eliminate unsafe
conditions, acts or procedures
 Reduce costs and down time
 Regulatory requirements
 Process WCB claims
Who should do the
investigation?
 Expert in accident causation
 experienced in investigative techniques
 fully knowledgeable of
– work processes
– procedures
– persons and industrial relations environment
 unbiased/impartial
 Accident Causation
 Are accidents caused by:
– Unsafe Acts or
– Unsafe Conditions?
 Five basic principles of
effective accident

investigation
accidents are generally rooted in
management system flaws or failures
 all accidents (or at least their outcomes) are
preventable
 investigations must be aimed at identifying
root causes
 proper investigative techniques
 investigative training
 Accident Causation
 Must remember 3 basic facts:
 Accidents are caused.
 Accidents can be prevented by eliminating
the causes.
 Unless the causes are eliminated, the same
accidents will happen again.
 Accident Causation
 Most accidents have at four or five root
causes or factors that contribute. Often there
are more.
 Your task is to identify as many as possible
 Accident Causation
 3 questions to ask, when considering the
contributing factors of an accident.
 What can management do to prevent the
incident from recurring?
 What can the supervisor do to prevent
recurrence?
 What can the worker do?
 Regulatory Requirements
 The WC Act Part 3
– Division 10, sect. 172-177
 OH&S Regulation 3.3 (e)
 You must remember these are the minimum
standards
 Informing the WCB
Every employer shall inform the board immediately of the
occurrence of any accident which:
(a) resulted in serious injury to or the death of a worker, or
(b) involved a major structural failure or collapse of a building,
bridge, tower, crane, hoist, temporary construction support
system, or excavation, or
(c) involved the major release of a hazardous substance, or
(d) was an incident required by regulation to be reported.
 Informing the Board -
Hazardous substance release
As a general guideline, a report would be expected
when:
1) The incident resulted in an injury which required
immediate medical attention beyond the level of
service provided by a first aid attendant, or injuries
to several workers which require first aid.
2) The incident resulted in a situation of continuing
danger to workers, as when the release of a
chemical cannot be readily or quickly cleaned up.
 Preservation of evidence
Except as otherwise directed by an officer of
the board or peace officer, a person must not
disturb the scene of an accident that is
reportable except as far as necessary to
 attend to persons injured or killed
 prevent further injuries of death or
 protect property that is endangered
Accidents to be investigated
173 (1) Except in the case of a vehicle accident
occurring on a public street or highway, every
employer shall initiate immediately an investigation
into the cause of every accident which:
(a) is required to be reported by section 172, or
(b) resulted in injury requiring medical treatment, or
(c) did not involve injury or involved only minor
injury not requiring medical attention but had a
potential for causing serious injury.
Investigators’ Qualifications
-Investigations shall be carried out by
persons knowledgeable about the type of
work involved.
-If they are reasonably available, with the
participation of the employer or their
representative and a worker representative*
*joint committee member or worker H&S rep.
 Intent of an investigation
 An incident investigation shall, as far as
possible,
– determine the cause or causes of the incident,
– identify any unsafe conditions, acts or
procedures which contributed in any manner to
the incident and
– recommend corrective action to prevent similar
incidents.
 Availability of witnesses
The employer must:
 make every reasonable effort to have available for
interview by the person conducting the investigation,
or by an officer of the board, all witnesses to the
incident and any other persons whose presence might
be required for a proper investigation of the incident.
 Record the names, addresses and telephone numbers
of witnesses and other persons with information
Incident investigation reports

The employer shall ensure that an incident

investigation report is prepared containing:
(a) the place, date and time of the incident
(b) the names and job titles of persons
injured
(c) the names of witnesses
(d) a brief description of the incident
Incident investigation reports -
3.4
(e) a statement of the sequence of events which
preceded the incident,
(f) identification of any unsafe conditions, acts or
procedures which contributed in any manner to the
incident,
(g) recommended corrective actions to prevent similar
incidents,
(h) the names of the persons who investigated the
incident.
 Distribution of reports
Copies of incident investigation reports shall
be forwarded without undue delay to the
OH&S Committee and to the nearest board
office.
 Follow-up action and report
 Every employer shall initiate corrective
action without undue delay to prevent
recurrence of similar incidents
 prepare a report of the action taken to the
Joint Health & Safety Committee, or where
there is no such committee, shall post the
report for reference by workers.
 Investigation Concepts
 Understand that an accident/incident cannot
be investigated unless it is known that one
has occurred.
 What are some reasons why
accident/incidents are not reported and how
would you ensure that they are reported?
 What to Investigate
 Serious and Major accidents
– usually investigated automatically.
 Minor and Near-Miss
– indicators that point to a condition or practice that,
if allowed to continue, could cause injury or
equipment damage.
 Investigations of serious accidents often reveal
earlier incidents of a similar nature that have
been dismissed as insignificant.
 What to determine
 Who was involved/injured? Witnesses
 Where did accident happen? exactly
 When did accident occur?
 What were immediate & basic causes
 Why was unsafe act/condition permitted
 How can similar accidents be prevented
 Investigation Steps
 Reporting
 First aid & medical care
 Advise investigators
 Identify causes
 Report findings
 Implement corrective action
 Evaluate the effectiveness
 Make changes for continuous improvement
 Accident Causes - Root
Cause Analysis
 Task
 Material/Equipment
 Environment
 Human Factors
 Management (cultural factors)
 Begin with the proximate
cause and work backwards
from there

 unsafe behavior?
 Equipment failure?
 Unsafe procedure?
 Task
 Was a safe work procedure used?
 Had conditions changed to make the normal
procedure unsafe?
 Were the appropriate tools and materials
available and used?
 Were safety devices working properly?
 Material
 Was there an equipment failure?
– What caused it to fail?
– Poor design? …. Poor Maintenance?
 Were hazardous materials involved?
– Were they clearly identified?
– Was a less hazardous material
possible/available?
 Should PPE has been used?
 Environment
 Weather conditions?
 Housekeeping?
 Temperature?
 Lighting?
 Noise?
 Air contaminants?
 Human Factors
 Age
 Experience
 Attitude
 Physical condition
 Health status
 Emotional status
 Accident Causes-
Management/Organizational
 Had hazards been previously identified?
 Were hazards eliminated or adequately controlled?
 Had procedures been developed to address them?
 Were work procedures available/followed?
 Management
 Task Structure
 Work organization
 Workplace design/layout
 Equipment availability
 Policies/procedures
 Training program-new & transfered
 Supervision
 New employee screening program
 Management’s example
 Accident Time Phases
 Look at accident in three time phases.
Events leading up to accident. The accident. Immediately afterwards.
Conducting the investigation
 Remember….
– Focus on the system and not the
individual
– Focus on cause and not blame
 Investigation team
– management representative
– OH&S committee worker representative
 Investigation Procedure
 Visit the scene - secure to minimize risk of further
injury/damage
 Keep scene as undisturbed as possible
 Make accurate record of scene (photos, drawings,
measurements)
 Conduct interviews
 Evaluate evidence, draw conclusions
 Write report with recommendations.
 Follow-up.
 Interviewing persons with
information
 Who to interview?
– Injured worker
– supervisor
– eye witnesses
– workers on another shift
– new or transferred workers to area
– anyone with information!
 Conducting Interviews
 Put the person a ease
– they may not see the bigger picture and feel personally
responsible.
 Reassure each person of the investigation’s main
purpose.
 Ask person to relate their account
(in their own words).
 Listen but do not interrupt.
– Do not take notes.
– Do not use a tape recorder.
 Interviews (continued)
 Have person relate account again.
– Take notes.
– Ask questions.
 Go over notes with person to ensure
accuracy.
 Ask for suggestions to prevent recurrence.
 Thank person for their help.
 Evaluating/Analyzing
Information
 Be objective - don’t start with a fixed opinion.
 Consider all contributing factors.
 Consider what information is direct, circumstantial or
hearsay.
 Do not draw conclusion on the first basic cause
found.
Key questions:
-why did unsafe behavior occur?
-why did unsafe condition exist?
 Evaluating/Analyzing
Information
-Management System Flaw Analysis
 Ask “Why” 5 times
– Why did worker not follow safe work
procedure?
– Why was unsafe condition not identified?
 Example:
Electrician changes ballast without locking out
breaker or switch
 Why?……Inadequate training? or Other incentives
override training?
 Why?……Inadequate training?
– training material not effective
– trainer or method not effective
 Why?…..Other incentives?
– Saving time more important
– no one else does it
 Example cont’d.
 Why?……training material not effective
– materials not understandable
– materials not specific for job
 Why?…….training or method not effective
– trainer not adequately trained
– environment of training
 Example cont’d.
 Why?…….Saving time more important
– done it like this many times before without
consequences
– work load does not allow for established procedure
 Why?……No one else does it
– unsafe acts unseen by supervision
– unsafe acts seen but not corrected
 Continue until run out of possible factors or are
stumped for further factors
 Analyze for Remedies
 Identify factors which if modified would
eliminate the unsafe behavior
 Example - in this instance it may be discovered
that:
– worker had not been trained in lockout procedures,
– unsafe behavior not corrected in past as supervisors
not adequately trained to correct
– workload means that if lockout device is not readily
available, then it will not be used
Determining Corrective Action
 Review training program-analyze to determine flaws
 Review training for supervisors-look at motivation
 Purchase additional lockout devices and issue one set
to each electrician

 GOAL IS TO PREVENT FUTURE

INCIDENTS
– often necessitates making fundamental changes
 Common Errors / Pitfalls
 Believing carelessness is a cause of
accidents.
 Assuming contradictory information
indicates falsehood.
 Conducting interviews as if in a courtroom.
 Looking for only one basic cause.
 Investigation Follow Up
 Delegate recommendations for corrective
action.
 Publicize the investigation results.
 Copies of reports through usual routings.
 Post action taken as well as any
non-action and reasons.
 Confirm that action has corrected the
problem.
 Investigation Procedure-
Summary
 Visit the scene - secure to minimize risk of further
injury/damage
 Keep scene as undisturbed as possible
 Make accurate record of scene (photos, drawings,
measurements)
 Conduct interviews
 Evaluate evidence, draw conclusions
 Write report with recommendations.
 Follow-up.
 Investigation Kit
 camera, film, flash
 tape measure
 clipboard, pad of paper
 straight edge
 pens, pencils
 A.I. forms
 Checklist
 Flashlight
 Remember…..
 Focus on cause not blame
 This allows management and supervisors to consider
failures in the management system (company’s basic
operating procedures and management/supervisors
attitudes), as the real cause of the accident, rather to
simply blame the “defective worker”.
 Murphy’s Law - “If it can go wrong, it will”
– goal is to minimize consequences of mistakes or unsafe
acts
The End!