INCIDENT INVESTIGATION AND REPORTING

BACKGROUND
OR-OSHA requires OSU to record and report specific work-related injuries and illnesses, fatalities, and
various work restrictions. This information, summarized on the OSHA Form 300A, is posted at the Office
of Human Resources (OHR) from February 1 to April 30 or available upon request, and serves to raise
employee awareness of workplace hazards.

(OSHA)  The Occupational Safety and Health Administration, an agency of the US

government under the Department of Labor with the responsibility of ensuring safety at work
and a healthful work environment. 

(OSU) Ohio State University

Environment, health and safety (EHS) is a discipline and specialty that studies and
implements practical aspects of environmental protection and safety at work.

Moreover, several operational units including Risk Management, EH&S, OHR, and the University Health
and Safety Committee use this information to assist in:

 Recognizing trends in health and safety issues;

 Identifying opportunities to improve health and safety programs; and

 Reducing the magnitude, duration and costs incurred by the affected employees and the University.

DEFINITIONS

Incident investigation and reporting

Accident Investigation & Reporting. The prime objective of accident investigation is

prevention. Finding the causes of an accident and taking steps to control or eliminate it
can help prevent similar accidents from happening in the future. Accidents can rarely be
attributed to a single cause.

Incident: A situation with the potential to cause serious harm to a person. Generally, the outcome
results in first aid treatment.

Accident: A situation that results in medical attention (treatment beyond first aid) and/or lost time
(missed work)

Supervisor: A supervisor may be a dean, department head, director, manager, administrator or any
other faculty or staff person who is in charge of one or more employees.
Please note: The term incident is used in some situations and jurisdictions to cover both an
"accident" and "incident". It is argued that the word "accident" implies that the event was related
to fate or chance. When the root cause is determined, it is usually found that many events were
predictable and could have been prevented if the right actions were taken - making the event
not one of fate or chance (thus, the word incident is used). For simplicity, we will now use the
term incident to mean all of the above events.

Who should do the investigation?

Ideally, an investigation would be conducted by someone or a group of people who are:

 experienced in incident causation models,

 experienced in investigative techniques,
 knowledgeable of any legal or organizational requirements,
 knowledgeable in occupational health and safety fundamentals ,and (etc.)

Some jurisdictions provide guidance such as requiring that the incident must be
conducted jointly, with both management and labour represented, or that the
investigators must be knowledgeable about the work processes involved.
Members of the team can include:

 employees with knowledge of the work

 supervisor of the area or work
 safety officer
 health and safety committee
 union representative, if applicable
 employees with experience in investigations
 "outside" experts
 representative from local government or police

RESPONSIBILITIES
Employee: Immediately report all work-related incidents and accidents to your supervisor and
participate in the investigation process, as needed.

Supervisor: Report incidents and accidents as directed by the OSU Office of Human Resources Worker's
Compensation Resources website. In the event of lost time, an Accident Investigation Report shall be
initiated by the employee’s immediate supervisor within 48 hours of the accident. If the immediate
supervisor is absent, another manager from the same operational unit may provide assistance. It is
incumbent upon the employee’s immediate supervisor to ensure that the corrective measures are
completed, documented, and communicated to all affected employees, and incorporated into the
appropriate policy, procedure, or safety program in order to prevent future occurrences.
ACCIDENT INVESTIGATIONS

An accident investigation systematically identifies event details and causal factors to determine
corrective measures. As only 2% of all workplace incidents are thought to be unpreventable, the
primary purpose of an investigation is to prevent future occurrences, not to place blame.

Beyond the primary purpose, the information obtained through the investigation should be used to
update and revise the investigator’s inventory of hazards, and/or the relevant safety program(s) for
hazard prevention and control. For example, a Job Hazard Analysis may be generated or revised and
employees (re)trained to the extent that it fully reflects the recommendations made in the investigation
report. Further, implications from the root cause(s) of the accident should be analyzed for their
potential impact on other operations and procedures.

ACCIDENT / INCIDENT CAUSAL FACTORS

There are two major components that contribute to the cause of an accident / incident; surface cause
and the root cause.

The surface cause is the condition or act that directly caused the incident. An example of a surface cause
is a small spill of oil on the floor that someone slipped on.

The root cause is the system failure that allowed the surface cause to occur. For example, a root cause
may be a lack of preventive maintenance that resulted in the fork truck leaking oil on the floor. A
thorough investigation will reveal the root cause of the incident. Corrective measures that address the
root cause have the greatest potential to prevent accident / incident recurrence.

BASIC STEPS FOR CONDUCTING AN INVESTIGATION

 Secure the scene.

This is the beginning of your analysis. Your primary goal is to secure the scene as soon as possible in
order to prevent further injuries, ensure the well-being of the affected employee, and to protect any
critical physical clues from being spoiled.

 Collect the facts.

Focus on finding the facts about the event. Remember to gather valid information without drawing
conclusions or assigning blame. Document your observations. Take photos and check video surveillance
if available. Interview the employees and witnesses. Review relevant records, such as maintenance,
training, policies, procedures, etc.

 Develop the sequence of events.

Review and accurately arrange the gathered information to determine the order of events. Constructing
an accurate timeline may be critical to an effective analysis. Document what happened before, during
and after the event. Arrange this information to accurately determine the order of events.
 Determine potential causal factors.

Every accident / incident is caused by a set of contributing factors. These factors represent the surface
or root causes that led to the event. The goal is to identify these by analyzing how or why each
consecutive event happened. Use the following diagram as an example. Form S924 SAIF Corp 10/11
Surface causes: unsafe behaviors and hazardous conditions; Root cause: underlying problems with
policies and/or procedures.

 Recommend or implement corrective measures.

Your recommendations should be relevant and concise.

Identify, either independently or as part of a collaborative effort, and describe:

The recommended corrective measure(s),

 Who will be responsible for implementation, and

 The anticipated completion date

Follow up to ensure that:

 The corrective measures are implemented within the appropriate time frame, and

 Incorporated into the appropriate policy, procedure, or safety program in order to prevent future
occurrences.

 Communicate the outcomes of the investigation.

Train your employees on what changes will be / have been implemented.

Share your experience with peers so they, too, may enjoy a safer and more productive work
environment.