BES 133 BASIC OCCUPATIONAL SAFETY AND HEALTH

ACCIDENT INVESTIGATION AND REPORTING

Title of Module

PUNGTOD, NICOLE
QUIÑONES, ALCRIS
SOBERANO, SHYNE
Author/s

BACHELOR OF SCIENCE IN INDUSTRIAL ENGINEERING

COLLEGE OF ENGINEERING

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WESTERN MINDANAO STATE UNIVERSITY
Copyright © by Western Mindanao State University All rights reserved. Published 2023
Printed in the Philippines ISBN 978 971-0487-42-4
No part of this publication may be reproduced or
distributed in any form or by any means, or stored in a
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database or retrieval system, without prior written
permission of WESTERN MINDANAO STATE UNIVERSITY

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TABLE OF CONTENTS

Table of Contents

BACKGROUND OF THE MODULE..........................................................................................4

OBJECTIVES OF THE MODULE……………………………………………………………..5

INTRODUCTION…………………………………………………………………………......…6

OBJECTIVES……………………………………………………………………………………6

TRY THIS.....................................................................................................................................7

THINK AHEAD...........................................................................................................................7

READ AND PONDER.................................................................................................................9

I: PRE-INCIDENT PREPARATION…………………………………………………...…9

II: INITIAL INVESTIGATION (PHASE 1)………………………………………......… 10

III: INITIAL INVESTIGATION (PHASE 2)……………………………………………..11

IV: MAIN INVESTIGATION AND CAUSE ANALYSIS……………………………….12
V. COMPOSITION OF MAIN INVESTIGATION COMMITTEE………………………13

SEE IF YOU CAN DO THIS.......................................................................................................13

REFERENCES.............................................................................................................................15

APPENDICES..............................................................................................................................16

ANSWER KEY............................................................................................................................17

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BACKGROUND OF THE MODULE

Many industries and organizations are legally required to investigate and report workplace
accidents and incidents. This is essential for compliance with safety regulations and to prevent
future occurrences. Accident investigation helps identify the root causes of accidents or incidents.
Understanding these causes allows organizations to take corrective actions to prevent similar
incidents in the future, thereby reducing risks.

Employees are often trained in accident investigation to ensure they know how to respond
when an accident occurs. This includes preserving evidence, gathering witness statements, and
documenting the incident accurately.

This module is designed to benefit both individuals and organizations by equipping them
with the expertise and understanding needed to respond effectively to accidents, reduce risks,
enhance safety, and ensure compliance with relevant regulations. It also aims to develop the
knowledge and skills necessary for student to effectively investigate and report accidents,
incidents, or near-misses in their school, workplace, or relevant setting.

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OBJECTIVES OF THE MODULE

This module is designed to understand the significance and relevancy of accident

investigation and reporting are integral to a safety management system. By analyzing data from
incidents, organizations can make data-driven decisions to improve safety protocols and prevent
accidents

This module's major objective is to equip the students with the knowledge and skills
necessary to effectively investigate, report, and prevent accidents, contributing to a safer and
more compliant work environment.

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ACCIDENT INVESTIGATION AND REPORTING

Lesson 1

Introduction

Accidents and incidents can occur in various settings, from workplaces to everyday life.
When these events happen, it's crucial to understand how to respond effectively. This introduction
provides an overview of the fundamentals of accident investigation and reporting.
Accident investigation and reporting is a systematic process used to uncover the causes and
contributing factors behind accidents, incidents, or near-misses. It involves collecting
information, analyzing data, and documenting findings to prevent future occurrences and ensure
compliance with legal requirements.
Many industries and organizations are legally obligated to investigate and report accidents
to regulatory agencies. Failure to comply can result in fines and legal consequences. Effective
accident reporting and investigation promote a culture of safety. It encourages employees to be
proactive in identifying and mitigating risks.
The process begins with prompt and accurate reporting of accidents or incidents. This
includes documenting what happened, where, when, and who was involved. Trained individuals
investigate the event, often using techniques like interviewing witnesses, examining evidence, and
analyzing procedures. The collected data is analyzed to determine the immediate and underlying
causes. This step often involves root cause analysis to identify systemic issues. Findings are
documented in incident reports. These reports are essential for communication, compliance, and
future reference.
Accidents and incidents can have serious consequences, but through effective
investigation and reporting, we can learn from these events and take steps to prevent them in the
future. This module will delve deeper into the processes, techniques, and best practices for
accident investigation and reporting, empowering individuals and organizations to create safer
environments.

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 Objectives
Overall, the objectives of this module are to equip individuals with the knowledge and skills
necessary to effectively investigate, report, and prevent accidents, contributing to a safer
and more compliant work environment.

The objectives of a module on accident investigation and reporting typically include:

 Developing Investigation Skills: To teach individuals how to conduct thorough

accident investigations, including collecting evidence, interviewing witnesses, and
analyzing root causes.

 Promoting Safety Culture: To instill a safety-first mindset and encourage proactive

accident prevention measures among participants.

 Risk Reduction: To provide strategies for assessing and mitigating risks identified
through accident investigations.

 Effective Communication: To teach effective communication skills for reporting

accidents to management, regulatory agencies, and other relevant stakeholders.

 Ensuring Compliance: To ensure that participants understand and follow the

organization's accident reporting and investigation procedures in compliance with
regulations.

 Reducing Liability: To help organizations minimize legal and financial liabilities by

following proper accident reporting and investigation protocols.

 Measuring Performance: To establish key performance indicators (KPIs) for

evaluating the effectiveness of accident investigation and reporting processes.

 Supporting Decision-Making: To provide information and data needed for informed

decision-making regarding safety measures and improvements.

Topic Outline
1. Bearing Stress

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 Try this!

Directions: Unscramble these 6 Jumbled sentences and

write your answer below the scrambled sentences.

1. EDRCIEINTPN TAPPREIAORN
Answer:

2. LITIANI OVTTIIAENGNIS ASEPH

Answer:

3. LINTAII NTONIGITAVSEI PASHE

Answer:

4. NAMI VNTNAISETIOIG DNA SUCAE

ANYISASL
Answer:

5. ZHADRA PTNRGOERI
Answer:

6. PINSOTOMICO FO MINA IIONAISVTNGTE ECIEMTOTM

Answer:

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 Think ahead!

Directions: Using this Spider Web Organizer, write some possible injuries or
accidents that may occur in a workplace and write it in the given boxes below.

ACCIDENTS OR
INJURIES IN A
WORKPLACE

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 Read and Ponder

I. PRE-INCIDENT PREPARATION

Having a written policy outlining the incident investigation and reporting (IIR)
process is always preferable to being ready before an incident occurs. This strategy should
cover how a facility will look into and report any mishaps, from close calls to major
tragedies. The types of incidents that could occur can be listed and defined, and the IIR
process can then be discussed for each type. The following is a sample list of the kinds of
occurrences that could happen at a facility:

 Near-miss
 Process Deviation
 Non-recordable accident
 Recordable Accident
 Lost-time Accident
 Fatality or Multiple Hospitalization Accident
 Chemical Release above RQ
 Chemical Release below RQ

Note above how incidents are categorized. Divisions are usually chosen based on
regulatory thresholds. For example, a small release of a chemical below its RQ (reportable
quantity) will not require the same reporting burden as a release above the RQ. The IIR plan
may specify a relative simply procedure for investigating and reporting a small release that
only involves the immediate onsite personnel. A large release above the RQ will most likely
need more detailed investigation, involving additional personnel, to support the reporting
requirement. Similar reasoning can be applied to the delineation of non-recordable versus
recordable accidents.

The IIR plan should address the manner that each type of incident is investigated and
reported. Many of these points will be discussed in more detail below. The essential elements
are WHO and HOW the incidents are investigated and reported. It is recommended that
sample investigation forms be attached to the IIR plan so that the task of doing an
investigation is clearly outlined. A sample form that one could use for a chemical release is
shown here. Other forms, for other types of incidents, would be similar in structure but may
differ based on the varying reporting requirements.

For each type of incident listed in an IIR plan there should be a full description of all
verbal and written reporting requirements. This should include internal (within the company)
and external (outside the company) reports. For example, the phone numbers of relevant
government agencies, that require reports (verbal and written), should be listed. Typically
this would include the national, state, and local emergency response agencies (NRC, SERC,
& LEPC). A facility's environmental permits (e.g. air and water) may impose additional
notification requirements which should also be listed in the IIR plan. The titles (or names) of
those employees that should make the reports should be listed.
An IIR plan should include a description of how recommendations from incident
reports will be resolved. It is highly recommended that a "recommendation resolution
system" (or RRS) be implemented to track the completion of all recommendations.

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 II. INITIAL INVESTIGATION (PHASE 1)

The investigation should start fairly shortly after an incident occurs. Phase I of the
investigation is the part that lasts from a few minutes after the incident starts to the end of the
occurrence, or around an hour later. Initial investigation's (Phase I) principal objective is to
support emergency response operations by promptly ascertaining the incident's critical facts
and informing the necessary agencies. Several initial verbal reports must be given to specific
emergency government authorities in the majority of circumstances (such as the release over
an RQ) within 15 to 60 minutes, depending on the jurisdiction. (Serious mishaps might
necessitate verbally informing OSHA within a few hours.)
The initial information collected in Phase I should focus on gathering the following
information (listed in order of priority):

 Date and time the incident started

 If chemical released, approximate amount released and to which medium the release occurred
(water, air, or ground)
 The extent of personnel injuries - particularly the number of hospitalizations (if any)
 Determine if there are any confirmed fatalities

At times it may not be possible to obtain the above information. If there is a

possibility that the public could be harmed by an incident, one should notify the emergency
management agencies (or other agencies applicable to the jurisdiction) and report any
information that is available. It is important to stress that these initial verbal reports should be
made as soon as possible. It is preferred to make these reports soon with minimal
information, and then follow up later when more information is available.
Remember to retain all information gathered during the initial phase of an incident.
This should also include the times that the agencies were notified and the report numbers
(provided by the agencies).
Because phase I must be executed promptly, it is recommended that the IIR plan
appoint someone like the shift leader, team leader, etc. to carry it out.

III. INITIAL INVESTIGATION (PHASE 2)

Phase II of the initial inquiry should be carried out as soon as it is safe to visit the
scene of an occurrence and all emergency procedures have been finished. This investigational
phase's goal is to gather "evaporative" data that might not be available later. Many situations
can have their cues as to their causes "disappear." For instance, leftover icing on processing
equipment may point to where a previous or current gas leak is occurring. An early inquiry at
this stage may help identify the cause(s) of an incident, allowing for a large decrease in
resources later on in the investigation and a far lower likelihood that it will happen again.
The phase II initial investigation team should consist of multiple onsite personnel and
be pre-specified in the IIR plan. Those involved in the incident (including contract
employees) should be members of this team.
To keep unneeded people out of the area, the scene should be sealed off. Yellow
ribbon could be used to accomplish this. Before visiting the scene, safeguards should be
taken in accordance with the facility's Hot Work and other safety protocols. Even after it is
deemed safe, the accident scene may contain unanticipated dangers. To make sure that the
environment at the scene does not present an explosion or fire hazard, it is frequently a good
idea to have a flammable gas meter. Depending on the situation, additional detectors (such
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poisonous gas detectors) may be required. Use of personal protection equipment (PPE)
should follow the facility's safety regulations.
If it can be safely done, photographs of the incident scene should be made. Focus on
those items that are likely to be gone or changed when the process is restarted. Make notes of
any other pertinent observations. In some cases, it may be a good idea to collect samples for
immediate or later testing. An infra-red temperature detector may also be a useful tool for
determining residual temperatures (if applicable to the incident).
Often a central process control computer has collected data during an incident.
Sometimes this data could be lost within a short period depending on how the
cache/archiving program is setup. If this is the case, print this data or save it to a file before
the cache expires.
During this phase on the investigation, the first interviews of witnesses should be
done. Memories can fade quickly so it is important not to delay this too long. Focus on
collecting facts and observations concerning the incident. Avoid questions that tend to point
blame. Some witnesses may be more comfortable writing their observations themselves.
Once all the information has been gathered from the initial investigation it should be
forwarded to a central location or person in accordance with the written IIR plan. If a minor
incident, the IIR plan may specify to conclude the investigation at this point. Usually this is
done by the completion and distribution of a specified form (per the IIR).

IV. MAIN INVESTIGATION AND CAUSE ANALYSIS

Starting typically the next working day after an incident, the main investigation should
begin. The goal of the main investigation is to establish the information needed to make the
first written report within the next 5 to 10 days (typical deadline set by most regulations).
This information should be produced by a documented (per IIR plan), predetermined (prior to
incident) objective method. The information generated is generally a description of the
incident, the cause(s), and recommendations to prevent reoccurrence. The purpose of
accident investigation is to find out the root causes of the accident and to prevent
reoccurrence. Accidents, incidents and near misses (close calls) must be investigated.
(Hrycay, M., 2022)

Occupational Safety and Health Administration (OSHA) does not have particular
requirements for accident investigation, but regardless of severity, it is excellent practice to
look into all accidents and incidents. Near-miss events that didn't cause any injury or damage
should also be noted. Given that an accident scene is frequently chaotic and charged with
strong emotions, some businesses develop an accident investigation checklist to make sure all
bases are covered. The results of an accident investigation will be helpful in identifying
safety risks or safety training that must be addressed to lower the likelihood of additional
injuries.

STEP 1: ASSESS THE INJURY

Finding any wounded employees and determining the extent of their injuries are the
first steps to do after a workplace accident. The employer must decide if immediate medical
attention is required once the extent of the harm has been established. (Josso, n.d.)

STEP 2: OBTAIN MEDICAL TREATMENT IF NECESSARY

If no medical attention or only first-aid is required, the employer may proceed to Step 3.
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 If immediate medical attention is necessary, the employer should have a manager take the
employee to the nearest emergency room or urgent care facility or call 911 to request medical
assistance to the worksite depending on the severity of the injuries. State workers’
compensation laws have different requirements regarding the use of panel physicians for
nonemergency treatment. Employers will need to check if their state requires employees to
select from a list of approved physicians or allows the employee the right to choose a medical
care facility/physician to receive treatment. (Josso, n.d.)
The employer should then provide the employee with all appropriate forms relating to
medical treatment for work-related injuries. This could include some or all of the following
forms:

 Medical treatment consent form.

 Workers’ compensation panel of physicians.

 Return-to-work release for completion by the physician.

 Copy of the employee’s job description (to provide to the physician).

 Copy of the company’s light duty policy.

Completion of these forms will provide valuable information to help the employer determine
the best way to accommodate the employee’s return to work and to promote a healthy
recovery from the sustained injuries.(Josso, n.d.)

STEP 3: INTERVIEW INJURED EMPLOYEE AND WITNESS(ES)

Once the injured employee’s medical needs have been seen to, the next step is to
interview the employee and gather information on what, when, how and why the injury
occurred. The injured employee should complete an incident report to provide an overview of
what happened to cause the accident. The employer should interview all witnesses who have
first-hand knowledge of the accident, and each witness should complete a witness statement.
Organizations may also want the supervisor to complete an incident report that details what
he or she witnessed or any history of the work environment that may have led to the accident.
Questions to ask during the investigation might include:

 What was the employee doing at the time of the accident?

 Was the employee qualified to perform this operation?
 Were company procedures being followed?
 Is the job or process new?
 Were proper tools or equipment being used?
 Was the proper supervision being provided?
 Had the employee received training on this operation prior to the accident?
 Where did the accident take place?
 What was the physical condition of the area when the accident occurred (for example, was
the temperature of the area hot or cold; if outside, was it wet or muddy, was debris in the way
or was the area clear)?
 What were witnesses doing at the time of the accident?
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 What immediate or temporary action could have prevented the accident or minimized its
effect?
 What long-term or permanent action could have prevented the accident or minimized its
effect?
 Had corrective action been recommended in the past but not adopted? (Josso, n.d.)

STEP 4: OBSERVE ACCIDENT SCENE AND ANALYZE THE FACTS

Employers should then visit the accident scene and photograph any equipment, wet
floors, or objects that might have contributed to the mishap (such as a filing cabinet drawer
that was left open and that an employee tripped over; an exposed electrical cord that the
employee tripped over; or a crack in the concrete floor that created an uneven surface).
(Josso, n.d.)

Action plans should be immediately implemented to correct any issues that can be addressed
to ensure that the work area is safe for employees and customers, such as tagging out faulty
equipment. Some questions that the HR professional may look to answer while observing the
scene include:

 What prompted this investigation?

 Why did the incident occur?
 What are the facts surrounding the occurrence? (This is the heart of the investigation—the
investigator must determine who, what, when, where and why.)
 Has a previous action been taken to correct the problem? If so, what was it? Why did it fail
this time?
 What should be done going forward to correct the problem?
 Is there a new method that should be used to correct the problem? Is there a way to eliminate
the cause(s) of the incident?

Employers should document any actions they have taken to secure an unsafe worksite.
(Josso, n.d.)

STEP 5: FILE A WORKERS’ COMPENSATION CLAIM

Next, organizations should contact their insurance carriers and file a work-related
injury report. All information required by the insurance carrier should be provided;
employers should also provide statements and any other relevant supporting documentation,
including available doctor’s notes, therapy and medical treatment statements, and a return-to-
work statement. For more details on workers’ compensation claim administration, see How
to Administer a Workers’ Compensation Claim. All work-related claims must be recorded on
the OSHA log. (Josso, n.d.)

STEP 6: FOLLOW UP

After the accident investigation is over, the employer should check in with the
employee to see how they're doing. Someone from the company should visit the employee in
the hospital if they are admitted. A fruit box, flowers, or a get-well letter from coworkers can
show the employee that the organization genuinely cares about them and will motivate them
to come back to work. The employer should check with the employee that no medical
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attention relating to the injury has been required if the employee first refused medical
attention. (Josso, n.d.)

STEP 7: CORRECTIVE ACTION

Corrective action should be identified in terms of how to prevent a recurrence and

improve the overall operations of the company. If an employee violated a major or minor
safety rule, the employer will need to follow its company work rule violation policy and take
the corrective action necessary. Taking immediate corrective action will ensure workplace
safety and help reduce or eliminate work-related injuries. If a company has a safety
committee, members should review investigations of all accidents to help form
recommendations for appropriate corrective action to prevent future reoccurrence. Thorough
investigations will help employers identify causes of accidents and will reveal any accident
trends. (Josso, n.d.)

Hazard Reporting

The health and safety legislation requires employees to report hazards to their
supervisor. The immediate hazard reporting process allows employees to report hazardous
conditions or practices as they notice them. This allows for prompt corrective action without
waiting for the next round of regular inspections.
Hazards can be reported verbally or by filling a simple form. The following is an example of
such a form. (Hrycay, M., 2022)

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V. COMPOSITION OF MAIN INVESTIGATION COMMITTEE

The main investigation committee is generally composed of local personnel. Whereas the
post-incident investigation was composed of the personnel onsite when the incident occurred,
the main investigation committee should be composed of different members (if possible) to
avoid bias. For example, it would be preferred to select an operator(s), familiar with the
process involved in the incident, who were not on the shift that the incident occurred. Avoid
selecting those persons that may not be able to investigate the incident objectively. Exclude
the designers of the process, those involved in marketing or selling the products from the
process, and all supervision, including management, of the operators of the process. Where it
is not possible to find people who will evaluate the incident objectively, serious consideration
must be given to utilizing outside personnel. Again, the method used to create this
committee, and the protocols and techniques this committee employs, should be specified in
the IIR plan.

Avoid creating an "ad hoc" investigation committee that is outside the rules of the IIR
plan. Any committee created in such fashion is likely to be biased in favor of the person(s)
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 creating the committee.

The committee should appoint a leader and a scribe (or secretary). The leader will be
responsible for assigning tasks to complete the goals of the investigation. This person should
be familiar with the written IIR plan. The scribe will be responsible for documenting the
committee's work which will be used later for the basis of the written investigation report.
(Hrycay, M., 2022)

The accident investigation team generally consists of the following:

 manager or supervisor
 company safety officer (if available)
 health and safety committee representative(s)
 union representative, if applicable
 employees with experience in investigations
 other outside help, if needed, such as experts or local government representative

See if you can do this!

Instruction: Make your own Accident Report using the 7

steps.

Injury Incident Report:

“At 11.20am on Tuesday 7th July 2020, a worker, Timothy Johnson, tripped over an
electrical wire on the Blue & Green construction site, located on Main Street, Riverside.
He was carrying a hammer at the time.

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It is believed the wire should not have been stretched across the ground without safety
tape securing it to the ground and drawing attention to it. Timothy fell to the ground
and dropped the hammer but did not injure himself with it. He twisted his ankle, which
immediately began to swell and scrapped the side of his leg in a minor way. A co-worker
came to assist Timothy to his feet and helped him walk to a nearby bench. Timothy
could not put his weight on his left foot, so he was taken to a nearby hospital. Once at
the hospital, doctors confirmed that Timothy had sprained his ankle and would have to
keep the foot elevated and use crutches for the next two weeks. He would not be able to
work during this time.

The foreman for the construction site has assessed the wires on the ground and
concluded that brightly colored tape should secure the wires to the ground to draw
attention to them and to ensure there are no bumps in the wire that are easy to trip over
so that this does not happen again”.

REFERENCES

An Overview of Incident Investigation and Reporting - a PDH online course for engineers and
surveyors. (n.d.). https://pdhonline.com/courses/g137/g137_new.htm?
fbclid=IwAR2Q7A8Eugkaz4jzfMilx9osArxPLoPuoUgaazYzWawBmBzmJtol5PGyLPM

Hrycay, M. (2022, October 5). Reporting accidents, incidents, near misses and injury. Pressbooks.
https://pressbooks.pub/siitcarpentryrefresherprogrammanual/chapter/reporting-accidents-
incidents-near-misses-and-injury/

JOSSO 2 by Atricore. (n.d.). https://www.shrm.org/resourcesandtools/tools-and-samples/how-to-

guides/pages/accident-investigation.aspx

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 ANSWER KEY

Try this!

1. PRE-INCIDENT PREPARATION
2. INITIAL INVESTIGATION PHASE 1
3. INITIAL INVESTIGATION PHASE 2
4. MAIN INVESTIGATION AND CAUSE ANALYSIS
5. HAZARD REPORTING
6. COMPOSITION OF MAIN INVESTIGATION COMMITEE

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Think ahead!
ANSWERS MAY VARY.

See if you can do this!

ANSWERS MAY VARY.

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