3 - Conducting Effective Incident Investigations

Abstract

Investigations must be approached as fact-finding efforts, where there is an analysis and account of what actually happened based on collected information. Effective investigations include the objective evaluation of all the facts, opinions, statements, related information, and the identification of the root cause(s) and actions that can be taken to prevent recurrence. Facts should be reported without regard to personalities, individual responsibilities, or actions. The root cause, if identified, could help to prevent recurrence of similar occurrences. The root cause does not apply only to a specific occurrence but has generic implications to a broad group of possible occurrences. An incident may have many more events than causes. The success or failure of any incident investigation processes can frequently be traced directly to the actions of management or the failure of the management system. Before interviewing the injured employee, the supervisor should briefly explain that the purpose of the interview is to learn what happened and how it happened so that the recurrence of similar incidents can be prevented. Witnesses are an important source of information. Results of the investigation, including the identification of the root causes and the preventive and corrective actions, should be shared with all the employees in the workplace affected by the findings.