Workplace Investigations: A Guide for Small businesses

The following are guidelines have been issued by the Small Firms Association (SFA) on Sept 23.

Employers have a statutory obligation to investigate accidents. This article lays out how you as a small business owner can report incidents occurring in your workplace.

Investigations

Work-related accidents are investigated for a variety of reasons however the main purpose of any investigation should be to;

• Establish the root cause of the accident/ incident / dangerous occurrence

• To identify and implement corrective actions / control measures

• To prevent reoccurrence.

Investigations can be undertaken for the following purposes:

• Statutory Obligation - Health and Safety Authority Accident report form

• For Organisational purposes to enable the employer to: Review policy

• Update risk assessment / controls

• Update Safety Statement

• Defence - to provide information for insurers in the event of a claim ensuing

When should an accident investigation take place?

As soon as possible after notification of the accident. Early investigation is important. Employees should be required to report all incidents / accidents, including near miss incidents as soon as possible and prior to the completion of their shift.

The speed at which an accident is investigated is of vital importance if full and comprehensive information is to be recorded pertaining to the event. For example, for the purposes of interviewing the injured person/s or any witnesses and inspecting the incident location before the situation changes.

Upon completion of immediate actions by the organisation, i.e. the provision of first aid, etc, the investigation process should commence as soon as possible thereafter.

How should a small business owner investigate an incident?

• Establish the root cause of the accident and identify corrective actions to prevent re-occurrence.

• Establish the facts of the event and find out: Who? – Who was involved in the accident / incident?

• What? – What was being undertaken at the time?

• Where? – Where, precisely did the event take place?

• When? – When did it take place?

• Why? – Why did it happen?

• How? How can it be prevented from happening again?

To establish these facts the investigator or responsible person should:

• Visit and take control of the vicinity of the accident / incident taking note of the general environment of the scene, e.g. lighting, floors, housekeeping arrangements, etc.

• Take photographs and/or sketch diagrams of the accident/incident scene and investigate the system of work which was in place prior to the incident occurring.

• Take details of the plant/machinery involved in the accident/incident.

• Take details of the injured person/s and thereafter obtain necessary information pertaining to their training, age, experience and position.

• Note the level of supervision at the time of the accident/incident.

• Record details of the nature of the work – whether it was routine, sporadic or incidental.

• Obtain and review the safe work procedure for the activity that was being undertaken at the time.

• Note compliance with the safe work procedure for the activity that was being undertaken at the time.

• Record details relating to witnesses – including their statements which should

include:

• Where witness was at the time of the accident/incident occurring.

• The time of the incident as he/she recalls it to establish the timing and the sequence of events.

• Relevant information to support any of the physical evidence.

• Factual evidence to establish the circumstances of the accident or the workplace before or after the incident.

• The date and time of the statement.

• Signatures of both the witnesses and the investigator.

Investigation Follow-Up and Sign Off:

A written report, detailing the findings of the investigation, the recommended corrective actions – remedial and long term, the timeframe for the implementation of such corrective actions and the persons responsible should be produced and signed off on completion. All documentation relevant to the investigation should be maintained on file. All notes, report forms and statements should be dated and signed.

The Companies’ insurers should be fully informed and provided with necessary documentation.