SAFETY

INVESTIGATION
 Why
•
Investigate?
Prevent future incidents (leading to accidents).
• Identify and eliminate hazards.
• Expose deficiencies in compliance, process and/or equipment.
• Reduce injury and worker compensation costs.
• Maintain worker morale.
• Meet DOLE/TMP rule requirement that you investigate
serious accidents
Who Should Investigate?
 Who Should Investigate?
1. The Supervisor or Foreman – the supervisor or foreman is the most desirable investigator. Why?
i. The supervisor has a personal responsibility and interest in preventing losses in his area.
ii. The supervisor knows the most about his area’s people, equipment, materials and environment.
iii. Supervisors stand to benefit from properly conducted investigation.
iv. The Supervisors knows best how to get the necessary investigation information.

2. The Safety Officer – The safety officer should verify the findings of the supervisor or foreman and make
an investigation of every important accident for his own information and make a written report to his
superior.

3. Special Investigative Committee – in some companies, a special committee is set up to investigate and
report on all serious accidents. This function is particularly important where a contributing factor was an
unsafe act on the part of the worker.

4. The General Safety Committee – companies who belong to the small and medium scale industries, a
number of safety activities are foisted to the general safety committee. Accident investigation is one of
them.
LEGAL BASIS IN
CONDUCTING SAFETY
INVESTIGATION
GOVERNMENT AGENCIES INVOLVED IN
SAFETY INVESTIGATION
 DEPARTMENT OF LABOR AND EMPLOYMENT
mandated as the primary policy-making, programming,
coordinating and administrative entity of the Executive
Branch of the government in the field of labor and
employment.

 BUREAU OF FIRE PROTECTION

(BFP) Section 54, RA 6975
The Fire Bureau shall have the power to investigate all
causes of fires and, if necessary, file the proper
complaints with the city or provincial prosecutor who
has jurisdiction over the case.
 The Philippine National Police (PNP)
is tasked with enforcing the law, to prevent and control crimes,
maintain peace and order, and ensure public safety and internal
security with the active support of the community.
GOVERNMENT AGENCIES… DOLE

DOLE

Occupational Health and

Safety
Book IV, Title I
Chapter I
Medical and Dental Services

Chapter II
Occupational Safety
GOVERNMENT AGENCIES… DOLE
Occupational Health and Safety

 Chapter I, Title II, Book IV:

Occupational Health and Safety
Coverage:
This Shall apply to all establishments, workplaces,
other undertakings, including agricultural enterprises,
whether operating for profit or not except the
following:
• Those engaged in land, sea and air transportation
• Those classified as “Mining Industry” by the National
Economic Development Authority
• Residential places exclusively devoted to
dwelling purposes
GOVERNMENT AGENCIES… DOLE
Occupational Health and Safety

Book IV, Title I – Medical, Occupational Safety

Dental and and Health Standards,
Occupational Safety (OSHS)1978
GOVERNMENT AGENCIES… DOLE
Occupational Health and Safety

Occupational Safety and Health

Standards
• A set of mandatory rules on OSH
which codifies all safety orders
issued prior to its promulgation
• Patterned after the Standards of
other developed countries
“AN ACT STRENTHENING COMPLIANCE WITH
OCCUPATIONAL SAFETY AND HEALTH STANDARDS
AND PROVIDING PENALTIES FOR VIOLATIONS
THEREOF”
DEPARTMENT ORDER NO.
198 SERIES OF 2018

IMPLEMENTING RULES AND REGULATIONS OF

REPUBLIC ACT NO. 11058 ENTITLED “AN ACT
STRENTHENING COMPLIANCE WITH OCCUPATIONAL
SAFETY AND HEALTH STANDARDS AND PROVIDING
PENALTIES FOR VIOLATIONS THEREOF”
SAFETY INVESTIGATION

DEFINITION
OF TERMS

Safety Officer – any Safety Officer 1 (SO1) – Safety Officer 2 (SO2) Safety Officer 3 (SO3)
employee or officer of an employee who has – an employee who - 40-hour OSH training
the company trained completed the has completed the course applicable to
by DOLE or DOLE- mandatory 8-hour mandatory forty 40- the industry
Accredited Training - additional 48 hours
OSH orientation hour OSH training
Organization and of advanced/
course as prescribed course applicable to
tasked by the specialized OSH
employer to in the OSH standards the industry as training course
implement an OSH and 2-hour trainer’s prescribed in the OSH - at least 2 years
program trainings standards. experience in OSH
SAFETY INVESTIGATION

DEFINITION
OF TERMS
Safety Officer 4 (SO4)
- 4o-hour OSH training course
Workplace – any site or location
where workers need to be present or
- 80hours of advanced/ to go to by reason of their work, and
specialized Occupational which are under the direct or indirect
Safety training course control of the employer
- aggregate of 320 hours of
OSH related training or
experience Worker – any member of the labor
force, regardless of employment
status
Safety Signage – any
emergency, warning or
danger signpost using the Workers’ OSH Seminar – the
standard colors and mandatory 8-hour module conducted
including sizes,
the standard by the safety officer of the workplace
symbols for safety as prescribed by the OSH standards
instructions and warnings in
the workplace
SAFETY INVESTIGATION

SAFETY
OFFICER In the implementation of OSH program, safety officers
shall be employed or designated with the following
duties and responsibilities:

 Oversee the overall management of the OSH program in coordination with the
OSH committee;
 Frequently monitor and inspect any health or safety aspect of the operation
 Assist government inspectors in the conduct of safety and health inspection at
any time whenever work is being performed
 Issue Work Stoppage Order (WSO) when necessary based on the requirements
and procedures provided by the OSH standards
SAFETY INVESTIGATION

SAFETY
OFFICER
Safety officer/s of all
workplace must
possess the necessary
training and experience
requirement according
to its category as
contained herein.

The respective
qualifications of safety
officers are as
follows:
SAFETY INVESTIGATION

SAFETY
OFFICER The number and
qualification of safety
officers shall be
proportionate to the total
number of workers and
equipment, size of work
area, classification of the
workplace and such other
criteria as required by
the OSH standards.

The number and qualification of safety officers shall be proportionate to the total
number of workers and equipment, size of work area, classification of the workplace and
such other criteria as required by the OSH standards.
SAFETY INVESTIGATION

SAFETY
OFFICER
Minimum classification and number of safety officer for all covered workplaces shall be as
follows:
SAFETY INVESTIGATION

SAFETY
OFFICER
Minimum classification and number of safety officer for all covered workplaces shall be as follows:

The engagement of the

services of a certified
OSH consultant (SO4)
shall be allowed for a
period not longer than 1
year for establishments
whose designated
safety officer has to be
trained or is in the
process of completing
the prescribed training
courses and relevant
experience.
SAFETY INVESTIGATION

OCCUPATIONAL HEALTH
PERSONNEL AND FACILITIES
The number of health personnel, which may be classified as full time (FT) or part-time (PT),
equipment and facilities, and the amount of supplies shall be proportionate to the total
number of workers and the risk or hazard involved in the workplace, the ideal ratio of which
shall be as follows:
Covered workplaces shall
have qualified
occupational health
personnel such as
certified first-aiders,
nurses, dentists, and
physicians duly
complemented with the
required medical supplies,
equipment and facilities.
SAFETY INVESTIGATION

OCCUPATIONAL HEALTH
PERSONNEL AND FACILITIES
SAFETY INVESTIGATION

OCCUPATIONAL HEALTH
PERSONNEL AND FACILITIES
Every employer covered by this Rules shall provide his/her workers medical services and
facilities and shall not be an excuse by employer from maintaining in his/her workplace a first
aid treatment room or clinic for workers which shall be as follows:
GOVERNMENT AGENCIES… DOLE
Occupational Health and Safety

RA 11058; DO 198
I. GOVERNMENT AGENCIES… DOLE
Incident Accident
Investigation
Summary of Administrative Rules

•
N otification & Keeping of Records of Accidents &/or Occupational Illnesses (Rule
1050)

• O ccupational Health Services (Rule 1960)

•
R egistration of business (Rule 1020)

•
T raining & Accreditation of Personnel in OSH (Rule 1030)

•
H ealth & Safety Committee (Rule 1040)
Incident Accident
Investigation
Summary of Administrative Reporting

• Work Accident/Illness Report (WAIR)

• Annual Exposure Data Report (AEDR)
• Report of Safety Organization (RSO)
• Minutes of the Meetings of Health and Safety Committee
• Annual Medical Report (AMR)
Incident Accident
Summary of DOLE Requirements
Investigation

Health & Safety Compliance

• 1.Report of Safety Organization (RSO) for 2020 as per Rule 1040 (using attached IP Form No. 5)
IP-5
• 2.The Minutes of OSH Committee Meetings covering October – December 2019) for submission to
DOLE as per Rule 1040 (no specific format)
• 3.Annual Exposure Data Report (AEDR) for January – December 2019 as per Rule 1050 (using IP-6b
attached IP Form No. 6b)
• 4.Work Accident/Illness Report (WAIR) if there is a disabling accident or illness as per Rule 1050
(using attached IP Form No. 6) IP-6

• 5.Annual Medical Report (AMR) for January – December 2019 as per Rule 1960 (using attached OH
Form No. 47); Note deadline is on or before March 31, 2020
H-47-A
• Lastly, we would like to remind you of the following requirements:
• · Approved/Received OSH Program with HIRAC (see attached DOLE-prescribed template)
OSH Pro
• · Appointment of Safety Officers (with the right levels - SO2 and SO3) Template

• · Conduct of Mandatory 8-hours Workers OSH Seminar (WOSHS) to all employees

• · Mental Health Policy (along with the other mandatory Policies like Drugs, HIV-AIDS, TB, Letter of
Appointment
B and Anti Sexual Harassment)
Hepatitis-
Any wlllful failure or ref
usali
of an emp oyer, co trac
or or subcontractor to
comply
wfth the following OSH
standards below or with a
compliance order issued
by the Secretary of Labor
and
mployment or his/her
autho·rized
representative shall be
penahzed of the
adm1nistr tive fines as
follows computed on a
 WHAT IS ACCIDENT
INVESTIGATION?

An effective and systematic

techniqueto know the root
cause of the accident in order to
avoid future occurrence.
ACCIDENT INVESTIGATION

The Eight Key Facts of Accidents

1. Nature of Injury – the type of physical injury incurred should be designated. If
two or more injuries were incurred and one injury obviously was more severe
than any others, that injury should be selected.

Foreign body in the eye Amputation

Cut Punctured wounds
Bruises and Contusions Hernia
Laceration Respiratory collapse
Suffocation Dermatitis
Strain and Sprain Ganglion
Fracture Abrasions
Burns (Hot, Cold, Chemical, Scald)
Avulsion Drowning
Others
ACCIDENT INVESTIGATION

2. Part of the Body – If the injury was localized in one part of the body, that part
should be named. If the injury extended to several sections of a major body
part, that major body part should be named.

Head and Neck Upper Extremities Body Lower Extremities

Scalp Shoulder Back Hips
Eyes Arms (upper) Chest Buttocks
Ears Elbow Abdomen Thigh
Mouth, Teeth Forearm Groin Legs
Neck Wrist Others Knee
Face Hand Ankle
Skull Fingers and Thumb Feet
Others Toes
Nape
ACCIDENT INVESTIGATION

3. Source of Injury – the object, substance, exposure or bodily motion (ergo-related

movements) that directly produced the injury should be identified as the source of injury.
Sometimes, an injury results from forcible contacts with two or more objects, occurring
either simultaneously or sequence, and it is impossible to determine which object directly
produced injury. In such cases, the source of the injury should be determined as follows:
a. When the choice is between a moving object and a stationary object, choose the
moving object.
b. When the choice is between two moving and two stationary objects, the one
contacted last should be selected.
4. Accident Type – the accident type is directly related to the source of injury classification
and explains how that source produced the injury. If the injury resulted from contact with
an object or substance, the action that best describes that contact should be named as
the accident type.
Fall on same level Fall to below
Caught on Caught in
Caught between Struck by
Struck against Over-
Contact with (electricity, acid, caustic, hot, cold. Toxic , etc.) exertion
beyond the threshold limit of the body or structure.
ACCIDENT INVESTIGATION

5. Unsafe Condition – the hazardous physical condition or circumstance which directly caused
or permitted the occurrence of an accident should be named. The hazardous condition is
related directly to both the accident type and the agency of accident.
Improper guarded equipment Improper illumination
Defective tools and equipment Improper ventilation
Hazardous arrangement or procedures Poor housekeeping
Unsafe design or construction Congested areas
Unsafe dress or apparel (PPE) Others
6. Agency of Accidents – the object, substance, or part of the premises in which the unsafe
condition should be named. The agency of accident may or may not be identical with the
source of injury. These two classification are entirely unrelated to each other.
Examples are:
Machine Hoist and cranes Ladders
Vehicles Elevators Slings, couplers, gears
Tin plates Floors, stairs, rungs Boilers, compressors
Electrical appliances Pressure vessels Scaffolds
Can and end conveyors Chemicals Forklift
V-belts, chains, cables Ladders Others
ACCIDENT INVESTIGATION

7. Agency of Accident Part – If the agency of accident had a specific hazardous part that
contributed to the occurrence of the accident, that part should be named.
8. Unsafe Act – the unsafe act committed by the injured that directly caused or permitted
the occurrence of the accident should be designated. The selected unsafe act may be
something an injured person did which should not have been done, something he should
have done differently, or his failure to do something that he should have done. Since the
unsafe act classification represents the personal causes of accident, the data in this
category may be labeled as “accident causes”. Below are examples of more common
unsafe acts:

Operating equipment without authority Failure to use personal protective equipment

Failure to warn or secure
Taking unsafe position
Using unsafe equipment
Drinking of liquor or
using drugs
Working on moving or dangerous equipment
Making safety devices inoperative
Horseplay
Improper lifting

Note: There are instances where the injured did not really perform any unsafe act and yet he
got injured. This could be attributable to an unsafe act perform by another people. In
making your investigation, include this in your report and term it as Contributory Factor.
What's the difference between
an accident and a near miss?
Accident - an unplanned, unexpected event that interferes with or
interrupts normal activity and potentially leads to personal injury or
property loss.

Near miss is an unplanned event in which no property was damaged

and no personal injury was sustained, but where, given a slight shift in
time or position, damage or injury easily could have occurred.
Reporting near misses can help prevent future incidents by alerting
safety professionals of potential hazards and unsafe conditions.
Because near misses don’t have serious effects, they can go
unreported in some workplaces. This is unfortunate because these
events are usually caused by a series of dangerous conditions that will
eventually result in an accident if they go unaddressed. In other words,
a near miss is an accident that's waiting to happen.
What's the difference between an accident and a near miss?

BASIC TYPES OF ACCIDENTS

 MINOR ACCIDENTS
• Such as paper cuts to fingers or dropping a box
of materials

 MAJOR ACCIDENTS
• More serious accidents that cause injury or
damage to equipment or property:
• Such as a forklift dropping a load or
someone
falling off a ladder
• Accidents that occur over an extended
time
frame:
--Such as hearing loss or an illness resulting from
exposure to chemicals
What is a Policy?
Policy is a predetermined course of action or a standard of general applicability which
is established to provide a guide toward accepted business strategies and objectives.

What is a Procedure?
Procedure is a clear and easily understood plan of action required to carry out or
implement a policy. A well-written procedure identifies job responsibilities and
spell out boundaries for the jobholders.

Policies and Procedures:

 required for consistency in the day-to-day operational activities.

 provide clarity to the reader when dealing with accountability issues or
activities that are of critical importance to the company, such as, safety and
health, legal liabilities, regulatory requirements or issues that have serious
consequences.
  Are general in nature
 Identify company rules
Explain why they exist
Policies

 Tells when the rule applies

 Describe who it covers
 Shows how the rule is enforced
 Describes the consequences
 Are normally described using simple sentences and paragraphs

 Identify specific actions

Procedures

 Explain when to take actions

 Describe alternatives
 Shows emergency procedures
 Includes warning and cautions
 Gives examples
 Shows how to complete forms
 Are normally written using an outline format
Definition

Unsafe Act - Performance of a task or other activity that is

conducted in a manner that may threaten the health
and/or safety of workers.
For example:
 Lack of or improper use of PPE
 Failure to tagout/lockout
 Operating equipment at unsafe speed

Unsafe Condition - A condition in the work place that

is likely to cause property damage or injury.
For example:
 Defective tools, equipment, or supplies
 Inadequate supports or guards
 Inadequate warning systems
 Why we need to Investigate on
time ?

• Operations are disrupted

• Memories Fade
• Employees are at risk
• They are used in the system for
managing
• Required by Law in some cases
ACCIDENT INVESTIGATION
PROCESS
1. REPORTING PHASE
2. INVESTIGATION PHASE
3. FOLLOW UP PHASE
 WHO WILL REPORT AN
INCIDENT/ACCIDENT
(Reporting Phase)

• The person involve in

the
accident
• Witness of the
accident
What is the content of the
(Reporting Phase)
report?
• Use official company Report Forms
• Fill up the bonafide information of
the accident
• Indicate the time, date, location and nature
of the accident.
• Make a brief description of the task being
performed before the accident happen and
describe how it happen?
• Have the immediate supervisor sign the
form once the person involve sign the
report and submit it to Safety Department
 Why workers do not report
an accident? (Reporting
• FearPhase)
from being reprimanded
• Fear for having a bad reputation
• Fear of medical treatment
• Fear of embarrassment
• Afraid to lose work time
• Afraid of destroying an accident record
• Afraid of ruining the company safety
record
• And 100 more reasons of not wanting to
report an accident.
 Accident Investigation is a
reactive to pro active approach
in safety

Not a blaming game

Not a fault finding session
Not to create more problems
Not to fire people involved in
an accident
But to
Find out the root cause of
 STEPS OF INVESTIGATION
(Investigation Phase)

CAUTION CAUTION CAUTION CAUTI

SECURE THE ACCIDENT SITE

GATHER INFORMATION
ANALYZE THE FACTS
RECOMMEND CORRECTIVE
ACTIONS
 Steps 1 Secure the area
(INVESTIGATION PHASE)

• Secure the accident area with caution

tape around the perimeter
• All moving vehicles and pedestrian are
requested to avoid the area.
• Assigned an Officer in securing the
area
• Identify and assess additional hazard
that might cause another accident
• Make an announcement that an
accident just occurred and provide
safety signage.
 Step 2 Gather Information
(Investigation Phase)

• Get information from the witness

• Collect Physical evidences
• Take photographs
• Look for existing records
• Use your imaginations
• Information gathered should be based
on facts not just merely assumption
• Be courteous and amicable in
gathering
Step 3 analyze the facts
(Investigation Phase)

• Use why – why analysis

• Use cause and effect diagram
 Why – Why analysis

“CONTINUE TO ASK WHY

WHY WHY WHY WHY
UNTIL YOU COME UP WITH
THE ROOT CAUSE OF THE
PROBLEM ’’
 Two
pumps
failed
Step 4 Corrective Actions
(Investigation Phase)

• Engineering Control
• Administrative Control
• PPE Personal Protective
Equipment
 Conducting an Investigation
(Investigation Phase)

Assign an investigating officer or group of

investigators depending on the severity of
the accident.
Assign a date of investigation depending
on the urgency or the availability of people
concern (ASAP).
Completion date of Investigation should
be accomplish ASAP submitted to
Managers and Safety department.
 Investigation Phase

 Nature of the accident, place and time.

Interviewing the person involve and the
witness
 Correct and incorrect way of interview
Major investigation errors and mistakes to
avoid
 Planning the corrective actions
 Investigation Phase

 investigate promptly after the

accident, with time, people will
easily forget the details , but do not
interview if the victim is upset or in
pain
 Investigate at the scene of accident,
helps
in re-enact events, gives clear picture of
environmental condition.
 Correct ways to make interviews
(Investigation Phase)

• Interview people concern one at a time in a

private office free from noise and interruption
• Seat the person in front of you and try to make
a comfortable atmosphere
• Let the employee know the purpose of the
session is to prevent recurrence and not as a
fault finding session.
• Let the employee freely tell you the story and
take note off all the good informations
• Avoid intimidating actions, voice tone, manners,
eye contacts and gestures.
CREATE A FRIENDLY APPROACH.
You get more good information when the person is
comfortable
• Ask the witness open-ended questions. Examples:
Did you see when the forklift hit the wall?
Where were you standing? Did you have a clear
view?
• Avoid asking leading questions to the witness ,
examples;
Did you see the over speeding forklift? Why is
he/she driving recklessly?
• Assure the witness and the victim the
confidentiality of the report.
• Request for a written statement, sign and dated
for documentation.
• End the conversation with a positive note and a
friendly gestures. ( smile and handshake)
 The WHO questions
• Who was injured?
• Who saw the accident?
• Who was working with the injured worker?
• Who had instructed/assigned the job to the
injured?
• Who else was involved?
• Who has the information of the events prior to
the accident?
 The WHAT questions
• What is the injury?
• What was the damaged or loss?
• What is the injured doing?
• What was he/she instructed to do?
• What tools ,equipment and machinery being
used by the injured?
• What did the injured and witness saw?
• What training had been given?
• What communication systems was used?
• What safety rules was violated?
• What safety procedures and systems were
used?
• What were the contributory causes of the
accident?
• What is the state of the injured?
• What were the PPE used by the worker?
 The WHEN questions
• When did the accident occur?
• When did the injured start the job?
• When did the supervisor last see the injured?
• When did the injured has his/her break or rest?
• When was the permit to work issued?
• When did the damaged become evident?
• When was the toolbox talk begun?
• When was the last food intake and drinks of the
injured?
 The WHY questions?
• Why did the injury occurred?
• Why did the communication failed?
• Why were the unsafe condition permitted?
• Why was the training not given?
• Why was the hazard not eliminated prior to
work?
• Why was PPE not provided or not used?
• Why are there no safety instruction not
given
 Plan ahead, always put SAFETY
first. Because when it comes to
ACCIDENTS, nobody can go back
and start a new beginning, but
anyone can start today and make a
new ending.

-Steve Fuller
THANK YOU