Basic Accident Investigation

BASIC ACCIDENT INVESTIGATION
REFERENCE GUIDE & LECTURE NOTES
Written & Presented by

Dr. Robert Ing, DSc, FAPSc, CPO
www.drroberting.com
July 2011
National Security & Intelligence Service Conference
What You Will Learn -
Common terminology & definitions

How to assemble a basic accident investigation kit
The 8 Steps of Accident Investigation
How to secure and survey the scene
How to identify witnesses & conduct interviews
How to gather information & evidence
The basic components of an accident report
How to determine causes & make recommendations
COMPANY POLICY
An Accident Investigation will be conducted for
ALL Accidents and Incidents regardless of level of injury.
An Accident is a situation where a person is injured or
where property is damaged. The person need not require
medical attention to be considered injured and the
property damage may be only superficial but they are
still the result of an ACCIDENT and need to be investigated.
An Incident is a situation where no individuals sustained
any form of injury and there was no property damage.
However, the Incident had the potential of injury and damage
and could be considered a near-miss or close call accident.
An INCIDENT must be investigated.
We Investigate to Learn to MANAGE the RISK
of Personal Injury and Property Damage.
The Objective of Accident Investigation is . . .
ACCIDENT PREVENTION
This is accomplished by
Determining the causes & circumstances of the accident.
Making recommendations and taking steps to control

or eliminate these causes & circumstances in order
to prevent or reduce the risk of similar accidents.
The Objective of the Accident Investigator is . . .
FACT FINDING NOT FAULT FINDING

This is accomplished by
Examining all physical evidence
Interviewing those directly involved & witnesses
Identification of the causes & circumstances of the accident

Making recommendations to control
the risk of similar accidents
Filing a detailed report on the accident.
Review
The Objective of Accident Investigation is
ACCIDENT PREVENTION.
The Objective of the Accident Investigator is

FACT FINDING NOT FAULT FINDING.
Accident Investigation
DETERMINES CAUSES & CIRCUMSTANCES
of the accident and makes
RECOMMENDATIONS TO CONTROL
THE RISK OF SIMILAR ACCIDENTS.
BASIC ACCIDENT INVESTIGATION KIT

Recommended Contents
50 foot tape measure

12 inch metal ruler
AA LED flashlight
Digital flash camera
Digital voice recorder
100 feet barrier tape
100 blank 3 x 5 card tents or evidence marking tents
100 assorted evidence bags (medium to extra-large)
White sidewalk chalk
Black permanent ink marker
3 pairs disposable latex gloves
Black ink ballpoint pen and mechanical pencil
Clipboard
Accident investigation forms and checklists
BASIC ACCIDENT INVESTIGATION KIT
The Accident Investigation Kit should be -
Inspected on a monthly basis
Kept in the office or vehicle of a senior investigator

THE 8 STEPS OF AN ACCIDENT INVESTIGATION
STEP 1: STEP 2: STEP 3:

EMERGENCY SECURE IDENTIFY
RESPONSE
SCENE WITNESSES
STEP 6: STEP 5:
ANALYZE INTERVIEW
FACTS WITNESSES
STEP 4:
GATHER
EVIDENCE
STEP 7: STEP 8:
FOLLOW UP
PREPARE
REPORT
STEP 1:
EMERGENCY
RESPONSE
ASSESS * PREVENT * PROTECT * SECURE

STEP 1: EMERGENCY RESPONSE

STEP 1:
EMERGENCY
RESPONSE
Emergency Response Objectives
ASSESS the situation and take charge
PREVENT the situation from getting worse
PROTECT Life
CONTACT EMERGENCY SERVICES
PROVIDE FIRST AID
PROTECT Property
SECURE AREA to ensure free access for
Emergency services and that nothing is disturbed
STEP 2:
SECURE
SCENE
ASSESS * CONTROL * ISOLATE

STEP 2: SECURE SCENE

STEP 2:
SECURE
SCENE
Secure Scene Objectives
ASSESS the situation and take charge
CONTROL crowds and onlookers
ISOLATE the accident scene so nothing is removed
STEP 3:
IDENTIFY
WITNESSES
IDENTIFY * INFORM * PLAN

STEP 3: STEP 3: IDENTIFY WITNESSES

IDENTIFY
WITNESSES Identify Witness Objectives
IDENTIFY witnesses first by making a list of names

and contact information
IDENTIFY those directly involved in the accident second
by making a list of names and contact information
INFORM all witnesses that their help is needed to
determine what happened and to reduce the risk of a
similar accident
PLAN to interview all witnesses within 24 hours
STEP 4:
GATHER
EVIDENCE
IDENTIFY * RECORD * DOCUMENT * LIST

STEP 4: STEP 4: GATHER EVIDENCE

GATHER
EVIDENCE Gather Evidence Objectives
IDENTIFY articles of physical evidence at the scene by

listing and tagging all physical evidence.
RECORD appearance of the scene by photography or
making a sketch of the scene. Take measurements of
the area and note the locations of physical evidence.
DOCUMENT scene environment such as weather,
temperature, general conditions, surrounding areas to
the scene.
LIST questions regarding physical evidence that
must be determined.
STEP 4:
STEP 4: GATHER EVIDENCE
GATHER
IDENTIFY articles of physical evidence at the scene by

listing and tagging all physical evidence.
Evidence tags must contain the following information:
Unique reference number for each piece of evidence
Date and time evidence was found/tagged
Physical name or description of evidence
Exact location where evidence was found
Printed name and written initials of investigator on scene
STEP 4:
GATHER STEP 4: GATHER EVIDENCE
EVIDENCE
Number here matches number
on evidence list and reference
numbers on sketches/photos
Sample Evidence Tag
Tag / Reference # ____________________________ E

Date ____________________ Time _______________ V
Item Name / Description _____________________
I
_________________________________________________ D
_________________________________________________ E
Location ______________________________________ N
_________________________________________________ C
Investigator ________________ Initials _________ E
GATHER
RECORD appearance of the scene by photography or

making a sketch of the scene. Take measurements of
the area and note the locations of physical evidence.
Scene Sketches must be drawn on graph paper with each
square representing a unit of standard measure
(ie. 1 foot, 1 yard, 1 meter, etc.).
Measurements of the scene must include the size of the
accident area, the distance between the victim and any
other victims, equipment or other physical evidence
involved.

GATHER
EVIDENCE Sample Scene Photograph
South
9
Numbers here match numbers
27
on evidence tags and reference
numbers on evidence list
18
North

GATHER
EVIDENCE Sample Scene Sketch
South
9
Numbers here match numbers
27 on evidence tags and reference
numbers on evidence list
18
North 1 Square = 6 inches


GATHER
LIST questions regarding physical evidence that

must be determined.
An INVESTIGATION MATRIX is used to follow details
before, during and after an accident.
The initial matrix will contain a detailed list of questions
that must be answered in order to fully investigate the
accident. A second matrix will list in point form, the
answers to these specific questions and will build a
process map of the accident.
GATHER
EVIDENCE Sample Investigation Matrix
FACTORS Before During After
People
Equipment
& Tools
Materials
Environment
Processes
Methodology
GATHER
List those directly involved
FACTORS Before During
and witnesses After
People List equipment and tools

directly involved
Equipment
List all materials (hazardous and
& Tools Non-hazardous) involved
Materials
List weather conditions, internal conditions
Environment and observed conditions
List in detail any specific procedures, methods

Processes or sequence of events that were being followed
Methodology before or during the accident
GATHER
FACTORS Before During After
People
Equipment
List questions and answers relating to the
& Tools
Relevant FACTORS for
Materials Before, During and After the accident
Environment
Processes
Methodology
STEP 5:
INTERVIEW
WITNESSES
CONFIRM * IDENTIFY * CORROBORATE * OBTAIN

STEP 5: STEP 5: INTERVIEW WITNESSES

INTERVIEW
WITNESSES Interview Witnesses Objectives
CONFIRM and explain what has happened before,

during and after the accident.
IDENTIFY the identity of all persons involved in the
accident and those with possible knowledge of the
accident.
CORROBORATE and verify all other witnesses
accounts of the accident.
OBTAIN suggestions and feedback on preventing
similar accidents.
STEP 5: STEP 5: INTERVIEW WITNESSES

INTERVIEW
WITNESSES Interview Witnesses Guidelines
The Goal of Interviewing Witnesses is to find fact,

not to determine fault.
Conduct interviews as soon as possible.
Information that is volunteered is more reliable
than information that is demanded.
Always tell the witness the purpose of the investigation
and interview.
Let them tell you what happened and ask your
questions at the end.
Take notes and only use a tape recorder to record
statements if you have advised the witness first.
STEP 6:
ANALYZE
FACTS
IDENTIFY * SEPARATE * CROSS REFERENCE

VERIFY * DETERMINE
STEP 6: STEP 6: ANALYZE FACTS

ANALYZE
FACTS Analyze Facts Objectives
IDENTIFY what has been found and what is missing.

SEPARATE facts from opinions.
CROSS REFERENCE witnesses statements and
examined evidence.
VERIFY the consistency of statements and evidence.
DETERMINE what the next course of action is.
STEP 7:
PREPARE
REPORT
OUTLINE * CATALOGUE * SUMMARIZE * RECOMMEND

STEP 7:
PREPARE STEP 7: PREPARE REPORT
REPORT
The Accident Report must be completed and distributed to management,

and the Health & Safety Committee within 72 hours.
Management will distribute copies to any applicable government investigating
Agencies and will ensure that a copy is posted on the Companys Health & Safety
Bulletin Board.
The Health & Safety Committee will distribute copies of the report to all
committee members, Health & Safety Representatives and other worker
or safety representatives.
Both the Health & Safety Committee and Management will work together
To communicate and implement the recommendations in the report
to all employees and will at all times provide a unified effort to dispel
rumors or hearsay that may be circulating amongst the employees.
STEP 7:
PREPARE STEP 7: PREPARE REPORT
REPORT Prepare Report Objectives
OUTLINE all events contributing to the accident

in sequential order.
CATALOGUE deficiencies or breakdowns in the
system as they occurred.
SUMMARIZE all deficiencies.
RECOMMENDATIONS must always be included
in the report and linked to specific deficiencies.
STEP 7: STEP 7: PREPARE REPORT
PREPARE
Report Contents
REPORT
Location, date and time.
Names & addresses of persons involved and witnesses.
Nature of injuries and attending emergency services.
Property damage.
Detailed description of accident.
Identified cause of accident.
Recommendations for corrective action.
Names and signatures of those conducting the
investigation and preparing report.
STEP 8:
FOLLOW UP
DISTRIBUTE * COOPERATE * SUPPORT

STEP 8: FOLLOW UP
STEP 8:
FOLLOW UP
Follow Up Objectives
DISTRIBUTE findings of investigation to stakeholders.

COOPERATE with all stakeholders in developing
policies & procedures that will reduce, manage
or neutralize the risk of this accident happening again.
SUPPORT any accident reduction initiatives.
Review
The Objective of Accident Investigation is
ACCIDENT PREVENTION.
The Objective of the Accident Investigator is

FACT FINDING NOT FAULT FINDING.
Accident Investigation
DETERMINES CAUSES & CIRCUMSTANCES
of the accident and makes
RECOMMENDATIONS TO CONTROL
THE RISK OF SIMILAR ACCIDENTS.
The EIGHT STEPS of
Review ACCIDENT INVESTIGATION are . . ..
STEP 1: STEP 2: STEP 3:
EMERGENCY SECURE IDENTIFY
RESPONSE
SCENE WITNESSES
STEP 6: STEP 5:
ANALYZE INTERVIEW
FACTS WITNESSES
STEP 4:
GATHER
EVIDENCE
STEP 7: STEP 8:
FOLLOW UP
PREPARE
REPORT
REFERENCE GUIDE & LECTURE NOTES
Written & Presented by

Dr. Robert Ing, DSc, FAPSc, CPO
www.drroberting.com
July 2011
National Security & Intelligence Service Conference

Basic Accident Investigation

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Basic Accident Investigation

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BASIC ACCIDENT INVESTIGATION

REFERENCE GUIDE & LECTURE NOTES

Written & Presented by

What You Will Learn -

Common terminology & definitions

The Objective of Accident Investigation is . . .

Determining the causes & circumstances of the accident.

Making recommendations and taking steps to control

The Objective of the Accident Investigator is . . .

FACT FINDING NOT FAULT FINDING

Interviewing those directly involved & witnesses

Identification of the causes & circumstances of the accident

The Objective of the Accident Investigator is