BMS

(Health and
Safety) Ltd

NEBOSH International General

Certificate in Occupational Health
and Safety
Day 5
Presented by
Dr Geoff Lloyd

BMS Ltd.
2008 (V1)

BMS
(Health and
Safety) Ltd

IGC1 Element 8
Occupational incident and
accident investigation, recording
and reporting

BMS Ltd.
2008 (V1)

Why Investigate?
BMS
(Health and
Safety) Ltd

Role and function of investigation

The main purpose of an investigation is to find
the causes (immediate and underlying), and to
identify remedial actions, with the intention of
preventing a recurrence, rather than to find
somebody to blame
Other reasons?

BMS Ltd.
2008 (V1)

Why Investigate?
BMS
(Health and
Safety) Ltd

Other reasons:
Obtain statistics for analysis
Defend prosecution
Defend compensation claim
Identify management system weaknesses
Risk assessment review
Best practice / legal compliance
Demonstrate moral concern

BMS Ltd.
2008 (V1)

Why Investigate?
BMS
(Health and
Safety) Ltd

Near miss investigation can reduce

accident severity

1
29
BMS Ltd.
2008 (V1)

300

Major injury
Minor injuries
No-injury incidents

Why Investigate?
BMS
(Health and
Safety) Ltd

Enforcement agencies may investigate in

order to:
Prosecute
Advise on preventive action
Identify priorities for future legislation

Insurance claims assessors look for

evidence of liability

BMS Ltd.
2008 (V1)

Example Question
BMS
(Health and
Safety) Ltd

(a) Identify FOUR reasons why accidents

should be reported and recorded within a
workplace
(4)
(b) Outline factors that might discourage
employees from reporting workplace
accidents

BMS Ltd.
2008 (V1)

(4)

BMS
(Health and
Safety) Ltd

(a)

Possible Answer
To prevent a re-occurrence
To meet the requirements of legislation/standards
To show management commitment
To find the underlying causes

(b)

BMS Ltd.
2008 (V1)

The person may not be aware of the reporting procedures,

or not fully trained in how to report or what to report
Due to the trivial nature of the injury (e.g. a small finger
cut, which requires no attention or just a plaster). So the
person thinks there is no need to record it
Perception that management do not take any notice or
carry out any corrective action, so the person becomes
apathetic and not bothered
There may be a blame culture within the organisation,
where the person may feel they will be blamed for the
accident

Incident
BMS
(Health and
Safety) Ltd

An event that caused an accident or had

the potential to cause an accident
The term incident includes accidents and
near misses

BMS Ltd.
2008 (V1)

Incident Outcomes
BMS
(Health and
Safety) Ltd

Death
Injury
Ill-health (disease)
Dangerous occurrence
Near miss
Damage only
Other loss

BMS Ltd.
2008 (V1)

Loss of business opportunity

Loss of reputation
Any other loss

Accident and Near Miss

BMS
(Health and
Safety) Ltd

Accident
An unplanned, undesired event that caused
death, ill-health, injury, damage or other loss

Near-miss
An unplanned, undesired event which could
have resulted in injury or loss

BMS Ltd.
2008 (V1)

Accident Causation
BMS
(Health and
Safety) Ltd

1 = Lack of management control

2 = Individual and job factors
3 = Unsafe acts and conditions
4 = Accident
BMS Ltd.
2008 (V1)

5 = Loss

Underlying causes
Immediate causes

Basic Investigation Procedures

BMS
(Health and
Safety) Ltd

The depth and detail of an incident

investigation should be proportionate to
the outcome or potential outcome of the
incident

BMS Ltd.
2008 (V1)

Serious Injury - Immediate Action

BMS
(Health and
Safety) Ltd

Emergency response
Call for medical assistance
Attend to the victim
Administer first-aid until removal to hospital, ensuring this is
safe to do so, which may require isolation of power supplies
if the person has suffered an electric shock

Informing the next of kin as they may wish to meet

the injured person at hospital
Cordon off the area to prevent contamination of the
scene
Take photographs

BMS Ltd.
2008 (V1)

Report the accident to the local enforcing authority

as they may wish to come and investigate

Serious Injury - Longer-term Action

BMS
(Health and
Safety) Ltd

Basic Investigation Procedures

Establish the facts
Identify immediate causes
Identify any underlying causes; i.e. why were the
immediate causes there?
Identify remedial action to prevent the causes
from happening again

BMS Ltd.
2008 (V1)

Who Investigates and Why?

BMS
(Health and
Safety) Ltd

The supervisor
Familiar with the working practices in the area
where the accident occurred

A manager
To demonstrate management commitment and
to ensure appropriate remedial action was taken

A safety representative and/or a workers

representative
To present the interests of the employees
BMS Ltd.
2008 (V1)

Who Investigates and Why?

BMS
(Health and
Safety) Ltd

A safety officer
To offer advice on the legal implications of the
accident and the control measures currently in
place

A technical expert, e.g. an engineer

To provide information on technical issues
raised during the investigation

BMS Ltd.
2008 (V1)

Example Question
BMS
(Health and
Safety) Ltd

Giving reasons in EACH case,

Identify FOUR categories of persons
who may be considered to be a
useful member of an internal
accident investigation team.
(8)

BMS Ltd.
2008 (V1)

Establish the Facts

BMS
(Health and
Safety) Ltd

Interview witnesses
Those involved in the incident, including victim
Eye-witness
Those who did not see the incident but can
verify certain information

Plans and photographs

Relevant records
Checklists
BMS Ltd.
2008 (V1)

Identify Immediate Causes

BMS
(Health and
Safety) Ltd

Unsafe acts by people

Unsafe conditions in the workplace
Accident reports tend to concentrate on the
cause of the injury, but the purpose of the
investigation is identifying the cause of the
incident

BMS Ltd.
2008 (V1)

Identify Underlying Causes

BMS
(Health and
Safety) Ltd

Individual and / or job factors

Lack of management control

BMS Ltd.
2008 (V1)

Identify Remedial Action

BMS
(Health and
Safety) Ltd

Short and longer term measures based on

the hierarchy of control
Immediate causes are usually quite easy to deal
with, e.g.:
Replacing a missing guard or telling a worker to use
hearing protection

Underlying and root causes require

management action at different levels, e.g.:

BMS Ltd.
2008 (V1)

Changing working practices

Improving safety or skills training
Improving management and supervisory control
Building a more positive safety culture

Accident Causation - Exercise

BMS
(Health and
Safety) Ltd

A pedestrian was seriously injured

when struck by a fork-lift truck.
Outline possible immediate and
underlying causes of the accident

BMS Ltd.
2008 (V1)

Internal Systems For Collecting,

Analysing And Communicating Data
BMS
(Health and
Safety) Ltd

Reporting Procedures
Accident report form
Significant facts - who, what, when, where,
how and why
Contributory factors
Type of injury, part of body injured, severity of
injury
Third party information
On-site first aid or medical service provided, as
well as referrals to outside health providers
BMS Ltd.
2008 (V1)

Analysis of Information
BMS
(Health and
Safety) Ltd

Identifying occurrence patterns

Identifying trends
Identifying high risk activities

BMS Ltd.
2008 (V1)

Analysis of Information
BMS
(Health and
Safety) Ltd

Machinery
Struck by
Struck against
Handling
Slip / trip
Fall
Electrical
Fire
Other
Jan
BMS Ltd.
2008 (V1)

Feb

Mar

Using the Information

BMS
(Health and
Safety) Ltd

The purpose of collecting and analysing

safety information is to continue the
process of identifying causes, which must
be related to taking action to prevent any
recurrence of the problem
The information must be directed to those
responsible for improving safety
performance and be presented in a way
which meets their needs
BMS Ltd.
2008 (V1)

Example Question
BMS
(Health and
Safety) Ltd

Outline the information that should

be included in an accident
investigation report.
(8)

BMS Ltd.
2008 (V1)

Legal Reporting Requirements

BMS
(Health and
Safety) Ltd

Occupational Accident, Occupational

Disease, Dangerous Occurrence

BMS Ltd.
2008 (V1)

Legal Reporting Requirements

BMS
(Health and
Safety) Ltd

ILO reporting of accidents, etc.

To a Competent Authority
Notification
Recording

BMS Ltd.
2008 (V1)

ILO - Reporting of Accidents, etc.

BMS
(Health and
Safety) Ltd

Occupational Accident
An occurrence arising out of or in the
course of work which results in:
Fatal occupational injury
Non-fatal occupational injury

Occupational Disease

BMS Ltd.
2008 (V1)

A disease contracted as a result of an

exposure to risk factors arising from
work activity

ILO - Reporting of Accidents, etc.

BMS
(Health and
Safety) Ltd

Commuting Accident
An accident occurring on the direct way
between the place of work and
The workers principal or secondary
residence
The place where the worker usually takes
his / her meals
The place where the worker usually
receives his / her remuneration
Which results in death or personal injury
involving loss of working time
BMS Ltd.
2008 (V1)

ILO - Reporting of Accidents, etc.

BMS
(Health and
Safety) Ltd

Commuting Accident
Traffic accidents in
which workers are
involved during
working hours and
which occur in the
course of paid
work are
considered as
occupational
accidents
BMS Ltd.
2008 (V1)

Reporting of Accidents, etc. - ILO

BMS
(Health and
Safety) Ltd

Dangerous Occurrence
Readily identifiable
event as defined under
national laws and
regulations, with
potential to cause injury
or disease to persons
at work or the public

BMS Ltd.
2008 (V1)

Information For Civil Claims

BMS
(Health and
Safety) Ltd

BMS Ltd.
2008 (V1)

Accident reports and accident

investigation reports
Risk assessments
Results of any health or atmospheric
monitoring
Inspection and maintenance records
Other recent and relevant documentation
relating to health and safety, e.g.
Training records,
Safety committee reports and minutes
Worker complaints, etc.