Element 8:- Investigation, Recording and Reporting

of Health and Safety Incidents

Reasons to investigate accidents

Prevent future accidents by identifying and eliminating the causes

Demonstrate concern about peoples health and safety
Improve worker morale
Identify weaknesses in management time
Prevent business loses
Collate accident and ill-health data and identify trends
Defend criminal cases
Defend claims for compensation

Accident:An unplanned, unwanted event which results in a loss

Incident (Near Miss):An unplanned, unwanted event that has the potential to result in loss
Why consider near misses
Near misses indicate that the potential for serious accidents is present
and by reacting to the near misses them will prevent them
Domino Theory:It has been suggested that the events leading up to an accident are like
a row of dominos and by removing dominos the accident will not occur.
Actions following Accident
Immediate

Treatment for injured personnel

Make the area safe
Initiate emergency plan
Contact emergency services
Preserve scene for investigation
May have to notify enforcing authority

Initial
Identify witnesses
Report details to senior management
Report details to insurance company
Longer Term

Decide the depth of the investigation and select team

Gather evidence at the scene
Interview witnesses
Examine documents
Appoint specialists if necessary

Composition of Investigation team

Supervisors and line managers from department where accident
occurred
A senior manager from another department
Health and Safety professionals
Specialists e.g. Engineers
Representative of workers
Employee experienced in the work activity.
Reasons Why records should be kept

To prevent a recurrence
Monitoring purposes
Legal reasons
Occupational ill-health may take years to occur
Civil claims

Reporting of accidents

Report to enforcing authority

Injuries involving lost time
Dangerous occurrences
Occupational diseases

Test ( 7 )
Outline the immediate & longer term actions that
should be taken following a serious injury at work
Immediate

Treatment for injured personnel

Make the area safe
Initiate emergency plan
Contact emergency services
Preserve scene for investigation
May have to notify enforcing authority

Initial

Identify witnesses
Report details to senior management
Report details to insurance company
Longer Term

Decide the depth of the investigation and select team

Gather evidence at the scene
Interview witnesses
Examine documents
Appoint specialists if necessary

(a) Identify FOUR reasons why accidents should be

reported & recorded within a workplace

To prevent a recurrence
Monitoring purposes
Legal reasons
Occupational ill-health may take years to occur
Civil claims

(b) Outline factors that might discourage

employees from reporting workplace accidents
OR

Explain why not all accidents/incidents may be

reported

Ignorance of the reporting procedures

Trivial (minor) nature of injury

Blame culture within the organisation

Peer pressure
A previous lack of management response
Preserve the companys, Reputation

Preserve accident record

Discharge safety bonus

To avoid first aid treatment

Person not aware of procedure
Complicated reporting procedure

Outline the information that should be included in the

investigation report

Who is injured person

Where the accident happened
When it happened
What happened
Why it happened
Documentation
Evidence

Recommendations
Environmental conditions
The work activity at the time of the accident
The control measures in place
Drawings & photographs
Immediate & root causes identified
Possible breaches of the law

Giving reasons in EACH case, identify FOUR

categories of persons who may be considered a useful
member of an internal investigation team
A senior manager to demonstrate management commitment & to
ensure appropriate remedial action was taken
The line manager who would be familiar with the working
practices in the area where the accident occurred
The safety adviser
to offer advice on the legal implications of
the accident & the control measures currently in place
The safety representative to present the interests of the
employees
Technical expert such as an engineer who would be able to
provide information on technical issues raised during the An
employee has been seriously injured in an accident at work
Representative of workers
Employee experienced in the work activity

b) Outline the reasons why the accident should be

investigated by the employer
Prevent future accidents by identifying and eliminating
the causes
Demonstrate concern about peoples health and safety

Improve worker morale

Identify weaknesses in management time
Prevent business loses
Collate accident and ill-health data and identify trends
Defend criminal cases
Defend claims for compensation

c) Identify FOUR parties other than the employer

who may want to investigate the accident giving
reasons in EACH case

Enforcing authority
Insurance company
Employee representative
Employee legal advisor
Manufacturer of equipment

Outline the key points that should be covered in a

training session for employees on the reporting of
accidents/incidents
To prevent happening again
To improve health and safety performance
Requirement to report to enforcing authority
For use in accident data
How to report
Who to report accident
There will be a no blame culture
Explain the information required on form
The benefits of near miss reports
______________________________________________

a) Explain the differences between immediate

causes and the root (underlying) causes of an
accident
Immediate - Direct result of unsafe acts/unsafe conditions
leading to accident.
Root - Indirect effects causing unsafe acts/unsafe
conditions.

B ) With reference to an accident involving an

operator who comes into contact with a dangerous
part of a machine describe:
The possible immediate causes
The possible root (underlying) causes
OR

Outline FOUR possible immediate causes & FOUR

possible underlying (root) causes of the accident

Immediate Causes
No safety devices
Loose clothing
Safety device failure

Root /underlying Causes

Poor design
Lack of training
No Maintenance programme

Operator error
Poor operator attitude

No safe system of work

No management commitment
Poor operator selection
No risk assessment
No defect reporting system
Lack of supervision

a) Explain the principle of the Domino Theory in

conducting accident investigation
The domino theory suggests that the events leading to an
accident are like a row of dominoes and it starts at Domino
A Management control and if this is established there is
less likelihood of an accident occurring at domino D

b) Outline a more pro-active approach to

preventing accidents
Proactive approaches can involve:

Audits
Inspections
Safety tours
Safety sampling
Safety tours
Benchmarking

a) Explain why an organisation should have a

system for the internal reporting of accidents
To prevent a recurrence
Monitoring purposes

Legal reasons
Occupational ill-health may take years to occur
Civil claims
Criminal actions

b) Give TWO Reasons why one department may

have more reported accidents than another
department over a specified period

More accurate reporting

Lack of management commitment
Lack of supervision
Poorer training

A driver of a fork lift truck has been seriously

injured after the vehicle overturned.
a) Outline the possible immediate causes of the
accident in terms of BOTH the behaviour of the
driver AND the conditions of the workplace and
Driver
Cornering to fast
Hitting obstructions
Driving on uneven ground
Condition of workplace and work equipment
Potholes
Defective brakes
Mechanical failure

b) Describe the underlying factors that may have led

to the unsafe acts or conditions identified in a)

Poor perception of risk
Unfamiliarity with workplace
Poor vehicle selection
Inadequate driver training
Poor employee selection procedures

An employee has been seriously injured after being

struck by a reversing vehicle in a loading bay.
a) Outline FOUR possible immediate causes and
FOUR possible underlying root causes of the accident
Immediate causes

human error
failure to comply with procedures,
restricted view for the driver,
Environmental conditions such as high noise levels.

Underlying causes could have included:

lack of driver &/or other employee training,
lack of supervision,
absence of site rules or procedures for the control of
reversing vehicles,

 failure to separate vehicular & pedestrian traffic,

& a lack of maintenance of vehicles &/or the workplace.

a) Explain how accident data can be used to improve

health and safety performance within an organisation

Shows trends
Identifies weaknesses in policies and procedures
Prioritises safety measures
Identifies areas for improvements
Sets targets for reduction