1. Incident/Accident Analysis 1
Introduction to effective
Incident/Accident
Analysis

2. Incident/Accident Analysis 2
After attending this workshop you should be able to:
1. Describe the primary reasons for conducting an accident
investigation.
2. Discuss employer responsibilities related to workplace accident
investigations.
3. Conduct the six step accident investigation procedure
Objectives
© 2003 Steven J. Geigle. All rights reserved.
This material, or any other material used to inform employers of compliance requirements of OSHA standards through simplification of the regulations should not be considered a substitute for
any provisions of the Occupational Safety and Health Act of 1970 or for any standards issued by OSHA. The information in this publication is intended for training purposes only.

3. Incident/Accident Analysis 3
What’s the definition of an accident?
Identify two key conditions that must be present for any accident to occur.
A Hazard and Exposure
Incidents and accidents

4. Incident/Accident Analysis 4
What’s the difference between accident investigation and
Analysis?
The basics
To gain the greatest benefit, why does the
employer conduct accident analysis?
First - determine what happened to see safety
management system weaknesses exist.
What's the purpose of an OSHA
investigation?
First - determine what happened to see if
the employer violated safety rules.

5. Incident/Accident Analysis 5
What are the basic steps in doing the accident investigation and report?
Step 1 - Secure the accident scene
Step 2 - Collect facts about what happened
Step 3 - Determine the sequence of events
Step 4 - Determine the causes
Step 5 - Recommend improvements
Step 6 - Write the report
The process

6. Incident/Accident Analysis 6
Step 1: Secure the Scene
When is it appropriate to begin the investigation?
What are effective methods to secure an accident scene?

7. Incident/Accident Analysis 7
List methods to document the scene and collect data about what
happened.
What documents will you be interested in reviewing?
Why?
Step 2: Collect facts about what happened

8. Incident/Accident Analysis 8
When is it best to interview? Why?
Who should we interview? Why?
Where should we conduct the interview?
Interviewing

9. Incident/Accident Analysis 9
What are are effective interviewing techniques?
Always say this.. Why?
Always do this... Why?
Never say this… Why?
Never do this... Why?
Cooperate, don’t intimidate

10. Incident/Accident Analysis 10
Team Exercise: Cooperation is the Key
Instructions. Your instructor has had an accident. Your team and the
instructor are located at the scene of the accident (classroom) and your
job now is to ask initial and follow-up questions to gather information
about the accident.

11. Incident/Accident Analysis 11
Step 3: Develop the sequence of events
Each event in the unplanned accident process describes one:
Actor - The, object, person that is initiating action.
Action- The thing being done, behavior
“Dale slipped on a banana.”
“As Dale lay on the floor, a brick fell on his head .”
“Larry discovered Dale unconscious on the floor and
immediately began initial first aid procedures.”

12. Incident/Accident Analysis 12
Team Exercise: Develop the sequence
Instructions. Use the information in the interview summaries below to
construct a sequence of events listing the events prior to, during and after
the accident they describe.
1. Determine the “injury event.”
2. List the events that led up to the injury.

13. Incident/Accident Analysis 13
Step 4: Determine the causes
W. H. Heinrich's domino Theory
"The occurrence of an injury invariably results from a completed
sequence of factors, the last one of these being the accident itself."
Dan Petersen's Multiple Cause Theory
"Behind every accident there are many contributing factors, causes, and
subcauses. These factors combine in a random fashion causing
accidents."
What may be the cause(s) of the accident according to the multiple
causation theory?
What might be the solutions to prevent the accident from recurring?

14. Incident/Accident Analysis 14
Fails to inspect
No recognition planInadequate training plan
No accountability policy No inspection policy
No discipline procedures
Outdated hazcom programNo orientation process
U
n
g
u
a
rd
e
d
m
a
c
h
in
e
Horseplay
Fails to trainTo much work
Defective PPE
Fails to report injury
Inadequate training
Create a hazard
Fails to enforce
Untrained worker
Broken
tools
Ignore a hazard
Lack of time
Inadequate labeling
No recognition
Cuts
Burns
Lackofvision
Strains
Nomissionstatement
Chemical spill
17

15. Incident/Accident Analysis 15
The causes of Injury, Illness and Accidents
1. Direct Cause of Injury
2. Surface Causes of the Accident
3. Root Causes of the Accident
Steps in root cause analysis
1. Injury cause analysis
2. Surface Cause analysis
3. Root Causes analysis
- Accident Causes

16. Incident/Accident Analysis 16
Team Exercise: “Getting to the roots by asking why, why,
why, why”
1. Analyze the injury event to identify and describe the direct cause of injury.
a. Describe the injury and it’s cause.
b. Identify the accident type.

17. Incident/Accident Analysis 17
Injury -1 -2 -3 -4 -5 -6 -7 -8
Blade cuts Bob
Bob saws wood
Ralph removes guard
Replace blade
Ralph doesn’t replace
guard
Ralph directed to stop and fix
chipper
Bob behind schedule
Bob decides to ignore
missing guard
Corrective MX, blade is
broken
High priority emergency
repair
Wood shipment
arrives late
Others use the unguarded
saw
The guard slows work
No one is disciplined
Doesn’t want to make
boss mad

18. Incident/Accident Analysis 18
Exercise: Digging up the roots
1. Enter the direct cause of injury within the circle below.
2. List one hazardous condition and unsafe behavior from the sequence of
events your group developed.
3. Determine contributing surface causes for the hazardous condition and
unsafe behavior.
4. Determine implementation and design root causes for contributing
surface causes.

19. Incident/Accident Analysis 19
Use control strategies to make corrective actions
• Engineering Controls. Eliminate/reduce hazards through equipment redesign,
replacement, substitution, etc.
•
• Management Controls. Eliminate/reduce exposure to hazards by controlling
employee behaviors.
• Interim Measures. These include strategies that are used as a temporary fix
while permanent controls are being developed.
Step 5: Recommend corrective actions and
improvements

20. Incident/Accident Analysis 20
Team Exercise: Recommending Corrective actions
Purpose: In this exercise you’ll develop and recommend immediate
actions to correct the surface causes of an accident.
Instructions. Using the control strategies as a guide, determine
corrective actions that will eliminate or reduce one of the hazardous
conditions or unsafe behaviors identified in the previous exercise.
Write your recommendation below.

21. Incident/Accident Analysis 21
Recommend system improvements
Make improvements to policies, programs, plans, processes, and
procedures within one or more of the following elements of the safety
management system.
1. Management commitment
2. Accountability
3. Employee involvement
4. Hazard identification and control
5. Incident and accident analysis
6. Education and training
7. System evaluation

22. Incident/Accident Analysis 22
Making system improvements might include some of
the following:
• Including "safety" in a mission statement.
• Improving safety policy so that it clearly establishes
responsibility and accountability.
• Changing a training plan to include using checklists.
• Revising purchasing policy to include safety considerations
as well as cost.
• Changing the safety inspection process to include all
supervisors and employees.

23. Incident/Accident Analysis 23
Team Exercise: ”Fix the system...not the
blame"
Purpose: In this exercise you’ll develop and recommend one
improvement to make sure the case study accident does not recur.
Instructions. Develop and write a recommendation to improve one or
more policies, plans, programs, processes, procedures, and practices
identified as design weaknesses.

24. Incident/Accident Analysis 24
SECTION I. BACKGROUND
SECTION II. DESCRIPTION OF
ACCIDENT
SECTION III. FINDINGS
SECTION IV. RECOMMENDATIONS
SECTION V: SUMMARY
SECTION VI: FOLLOW-UP: ACTIONS
SECTION VII: COMMENTS/ATTACHMENTS:
Step 6: Write the report

25. Incident/Accident Analysis 25
Take Corrective Action
Conduct follow-up evaluation
Conduct annual review of reports
The report is an open document until all actions are
complete!

26. Incident/Accident Analysis 26
That's it!
Be safe