Who is responsible for investigating accidents in the workplace

Common examples are:. It is vital to drill down to identify root causes during an investigation, because if corrective actions can be effectively implemented, these are likely to reduce the risk of future harm throughout the organisation.

Causes are identified when an analysis of the accident is made using a number of available methods to ascertain the various factors involved. A good understanding of the sequence of events and an overview of all the evidence is necessary for success.

The causes of an accident will include immediate, underlying and root causes. The extent to which these are analysed will depend both on the experience and skills of the investigator, as well as the policy and approach adopted by the organisation. The investigation report supplements this, although the amount of detail required in a report depends upon the severity or potential severity of the outcome, and the use made of the investigation and report. Additional information may be requested to facilitate notifications within and outside the company eg relatives, the HSE, insurers and, if applicable, the police.

The results of the investigation should be widely circulated taking into account the General Data Protection Regulation to ensure that there is no risk of a recurrence of a similar incident in other areas of the operation. Copies of the investigation findings may need to be circulated to a number of different parties as follows:. The accident investigation policy should specify who is to receive copies of the report. The investigation team will determine who else needs to receive copies or other information relevant to the incident.

In the main, the findings will be communicated in writing but in certain cases it can be verbal, ie briefings for all other employees. It is recommended that the accident report and investigations should be kept for at least 3 years or, if exposure to substances has occurred, for at least 40 years. Actions should be taken to remedy all of the identified deficiencies.

If the actions are not completed, all the resources invested during the investigation have been wasted. When remedial action is required to prevent recurrence, staff should be fully consulted on any issues that will impact on the activities taking place. Information, instruction and training in any additional control measures, systems of work or protective equipment will have to be considered, along with the potential costs of the remedial action. It is essential that progress on the identified remedies is closely monitored to ensure that they do not get unnecessarily delayed or even forgotten.

There should be a follow-up review to ensure that the actions taken are effective and do not create other unforeseen hazards. Records should be kept of all investigations and any existing remedial action.

It is important that any investigator should be well trained and have sufficient authority to be able to undertake investigations. As a minimum, this training should address the principles of investigation and provide skills in both the methodologies and the techniques of investigation. Health and Safety at Work, etc Act Management of Health and Safety at Work Regulations Health and Safety First-aid Regulations Safety Representative and Safety Committee Regulations The HSE is responsible for the regulation of the risks to health and safety arising from work activity in England, Scotland and Wales, except in certain businesses regarded as lower risk , which are the responsibility of local authorities.

Its roles are to prevent work-related death, injury or ill health. RoSPA is a registered charity that provides information, advice, resources and training in order to promote safety and prevent accidents in all areas of life.

Last reviewed 30 September Skip to main content. Printable version. Summary Investigation of workplace accidents and incidents is an essential part of the proactive management of health and safety.

Employers' Duties There is no explicit legal duty to investigate accidents but certain regulations do imply the need to carry out accident investigations.

Employees' Duties Employees have a duty to co-operate with employers to enable them to fulfil their statutory duties under the Health and Safety at Work, etc Act This would include reporting: dangerous occurrences near misses and accidents whether or not they resulted in injury, damage or disease. Employees are also required to co-operate in an investigation. In Practice Requirements for Investigation Investigating the cause of accidents is good practice, even though this investigation is only required by a limited selection of health and safety legislation.

As a very basic guide to investigation, the guidance features four steps. Gathering information. Analysing information. Identifying risk control measures. Producing and implementing an action plan. Immediate causes. Underlying causes. Root causes. Legal Requirements A number of statutory instruments place duties on certain sectors of industry to undertake accident investigations in certain circumstances.

What Should be Investigated? What Will an Investigation Achieve? The benefits to employers who undertake accident investigation include: a better understanding of risk and provision of information for use in risk assessment reducing the risk of accidents and incidents in the future a powerful vehicle for motivating organisational learning and activating cultural change a means of understanding and obtaining information on management systems a useful means of demonstrating the status of safety management in an organisation which in turn can be used to assist in litigation claims and developing arguments for lowering insurance premiums providing evidence of any discrepancy between what should be in place, eg safe systems of work , and what is actually happening.

Cultural Aspects At the cultural level, if the idea is held that accidents are always a result of negligence and that somebody an individual is always to blame then the progress of the investigation and its outcomes will be limited. Prerequisites for Investigation Before any accident investigation is undertaken, it is essential that the organisation is prepared for both the process of the investigation and the results of the investigation.

Specific arrangements include: selection and training of investigators assessing what should be investigated in terms of legal requirements and organisational needs establishing the arrangements for investigations as part of the health and safety policy. Accident Investigation Policy The extent of the policy and the requirements provided by it will depend on the nature and size of the organisation, as well as the hazards and risks likely to be encountered in the workplace.

The policy should cover: the responsibilities for accident investigation, including co-operation between various units of management, as well as trade union safety representatives or other employee representatives where they exist the support in terms of resources, facilities and personnel that will be or can be made available — this should include expert assistance where this is foreseeable the competencies of those tasked with investigation, including training arrangements and skills development notification of next of kin, relatives, etc and the support arrangements for dealing with the more traumatic events dealing with the media and designating the individuals who should handle such enquiries dealing with the enforcement authority, especially the identification of those persons with authority to speak for the organisation and how this should be carried out.

Who Should Investigate an Accident? Accident Investigation and Who Becomes Involved When Staff at supervisory level When an incident is reported to them by an employee under their supervision, which the employee believes indicates the presence of any danger to persons, plant or equipment.

Specialists and consultants When specific skills, specialist knowledge or experience are required to carry out an effective investigation. Staff representative Any incident in which a member of staff that they represent is involved.

Stages in an Investigation There are various models which attempt to describe the stages of an accident investigation. Ensure the site of the accident or incident is safe for the investigation team. Contain and preserve the evidence.

Carry out initial investigations. Interview witnesses. Examine equipment, materials, plant and machinery. Collate evidence and any other relevant information, eg maintenance records, training records. Share lessons learned from accidents and incidents across sites. Write a report detailing the findings and drawing conclusions. Checklist for Accident Investigation A typical checklist for accident investigation will include the following.

Evidence collection It is vital that the scene of an accident is left undisturbed once any significant residual risks have been controlled until the investigation has been completed or at least until all of the physical evidence has been gathered and accurately recorded. The following flowchart highlights the normal activities to be undertaken in an investigation. Information required The information required during an accident investigation will include: location, time and date of the incident details of persons involved, including any witnesses details of injuries and ill health damage to plant and equipment work activities performed at the time of the incident control measures and systems of work employed working conditions at the time of the incident eg ground conditions, weather, lighting and heating the sequence of events leading to the incident organisational arrangements such as supervision, staff training and work demands eg production targets the maintenance and cleaning procedures adopted materials and substances involved safety equipment that was employed.

To collect this information the investigator will need to: carry out a visual examination of the scene of the accident or incident carry out a visual examination of tools and equipment involved take samples from substances or materials involved inspect relevant documentation interview the injured person, witnesses or others who may have relevant information.

Equipment, plant, machinery and other physical examination Any equipment, etc involved may need to be examined to determine what part it played in the accident.

The Analysis of Evidence The analysis of evidence is based on the methods employed in any investigation. It is essential to use a robust method to achieve: a good understanding of the sequence of events and circumstances involved in the accident the collection, collation and analysis of evidence. Drawing Conclusions The major purpose of accident investigation is to establish what has happened in order to reduce the risk of recurrence.

Investigation Documentation During any investigation, it is important to have adequate administration procedures in place that can keep control of any documentation produced. Relevant documentation There are many pieces of documentation that may be helpful in accident investigations and these may include the following. Risk assessments of the work carried out at the time of the accident. Training records for the work being done.

Safe working procedures or safe operating procedures relating to the activity. Method statements if applicable.

Any special arrangements in place, such as permits to work or emergency safety procedures. Personal protective equipment PPE records Personal records for the individuals involved, such as health, discipline, etc.

Clock cards or other time-recording records. Cairs ubc. Examples of training services provided are, but not limited to:. If the incident falls within any of the above categories and occurs during weekday working hours, contact SRS at It is the responsibility of the supervisor to conduct the investigation. There are various resources to assist with the investigation process, however as a supervisor, you have the knowledge, skill and ability to make changes in the workplace to rectify the hazards.

The preliminary investigation and corrective actions must be completed within 48 hours after the incident. The general practice is:. The full investigation and corrective action plan builds upon the Preliminary Investigation Report, and must be completed within 30 days after the incident. In the full investigation, you must determine the causes of the incident and identify corrections to prevent recurrence of similar incidents or as opportunities for improvement.

Causes could include underlying problems with supervision, training, preventative maintenance, work spaces, or other management systems. They should typically be specific and realistic in action and accountability. Incident investigations are often conducted by a supervisor, but to be most effective, these investigations should include managers and employees working together, since each bring different knowledge, understanding and perspectives to the investigation.

In conducting an incident investigation, the team must look beyond the immediate causes of an incident. It is far too easy, and often misleading, to conclude that carelessness or failure to follow a procedure alone was the cause of an incident.

To do so fails to discover the underlying or root causes of the incident, and therefore fails to identify the systemic changes and measures needed to prevent future incidents. When a shortcoming is identified, it is important to ask why it existed and why it was not previously addressed. These examples illustrate that it is essential to discover and correct all the factors contributing to an incident, which nearly always involve equipment, procedural, training, and other safety and health program deficiencie.

Addressing underlying or root causes is necessary to truly understand why an incident occurred, to develop truly effective corrective actions, and to minimize or eliminate serious consequences from similar future incidents. To assist employers and workers in conducting effective incident investigations, and to develop corrective action plans, the following resources can help:. Safety and Health Topics Incident Investigation.