Category: Loss Prevention

As an employer, it is your responsibility to provide a safe working environment for your employees. A great tool at your disposal, often overlooked is incident investigation. So many employers document an incident, taking statements, and cataloging that information away, until the next accident happens. BUT, if you instead investigate every incident, both near miss and injury incidents, you will begin creating a safer working environment, one where every incident is a learn experience, a chance for change, an opportunity to avoid a similar incident in the future.

Five Reasons to Report and Analyze Incidents

1) It is a tool for predicting accidents. The value of “near hit” reporting cannot be underestimated. We know that behaviors that cause “near hits” are essentially the same as the behaviors that cause “hits.” The only difference is a fraction of a second or a very small distance. Reporting “near hits” and working to remove the basic causes and the leadership/control problems will reduce accidents. Studies have shown that over 75% of all accidents which resulted in injury or property damage were preceded by similar “near hit” incidents.

2) The method has been tested. Researchers have tested the concept of “near hit” reporting in two different fields. Firstly, a study in the US Air Force focused on the use of aircraft equipment. During the study, a total of 270 incidents described as “pilot error,” were investigated. By collecting the causes of the errors, it was possible to detect similarities and trends. Secondly, another study carried out by the Bureau of Labor Statistics in the US, set out to evaluate the technique of “near hit” reporting. Their findings make interesting reading.

1) Reporting and managing “near hits,” proved to reveal factors which were described as “errors and unsafe conditions” which lead to industrial accidents.

2) The technique was able to identify the basic causes of incidents which led to loss.

3) Potentially serious industrial accidents were identified by “near hit” reporting.

3) It is an effective way of reporting incidents. It seems that people are much readier to discuss “near hits” than about personal injury or even property damage. Psychologists assume that this is because there has been no loss and the person may feel that they have contributed to the avoidance of damage or injury. This factor alone may be the reason why people may be more willing to discuss “near hits.”

There are many reasons for not reporting incidents which cause personal injury and damage.

1) Fear of blame.

2) Poor understanding of the need to report.

3) A feeling that management will use the information against the staff.

4) Fear of spoiling a good accident record.

5) An “anti-management” perception.

In most cases, there are not the same barriers to reporting “near hits.” However, there is a perception held by a small minority that this type of initiative is worthless. The greater number of employees are prepared to understand the value of reporting and acting on “near hits.”

In a large engineering work shop, the number of “near hits” reported were shown on the same graph as the lost time injuries. The evidence was plain. As “near hit” reporting increased so lost time accidents dropped, and as “near hit” reporting declined, so the lost time accidents increased.

The information collected from the “near hit” reports form the basis for understanding the causes of accident in the work place.

4) It can be used to inform and educate the staff. When “near hits” are reported, the information can be used in a team talk to make the rest of the staff aware of the potential danger of a method or procedure. This information can be used throughout the country where there are work groups operating in a similar fashion. Regular team talks which include “near hit” information send an important message from the team leader to the staff. “Your safety is important to us.” In addition, when team members report “near hits,” they will feel that they are contributing to the improved safety of the work place. The team leader can use positive reinforcement to recognize this contribution of the team member.

5) It is a way to develop leadership skills. The use of “near hit” reporting can help a team leader to develop important leadership skills. He or she can use of positive reinforcement to motivate the continuing reporting of “near hits.” Once a “near hit” has been reported the team leader can develop the use of questioning techniques to explore the circumstances surrounding the incident and put in place a method of prevention. Careful use of these skills will allow team members to contribute to the overall safety in the area and even have some influence in other work places.

This training explains how to investigate an incident, if you need more components of an incident investigation program, check out what else I have here

Beyond simply investigating the incident, you need to know how to root cause the incident as part of the investigation.

Download & view the Incident Investigation for Employers Training below:

 

There are many problems associated with investigating accidents in the workplace.

Seven common problems that you may encounter while investigating accidents:

• Accuracy. Accuracy is a real problem when you are trying to get to the bottom of an incident or an accident. The people that you interview have not been trained to be observant or to be a witness. This means that they are often unprepared to answer questions that require them to be accurate in their recollection. Because their memories will fade with time, its important to interview them as soon as possible after the event..
• What did they actually see? Many people claim to be witnesses to accidents when they have only seen the results but not the events leading up to the accident itself. For example, if there is a collision between two forklifts, the witness will claim to have seen the accident and then make an assumption regarding the cause when they have seen the result. If they are a witness to an impact accident, ask them where they were standing at the time of the impact. This will reveal whether or not they saw the events leading up to the incident.
• Protecting a workmate. Regrettably, in tight knit working communities, a witness will often try and minimize the actions of a workmate. They do this with the best of intentions but provide a considerable barrier to discovering the root cause of the accident. Their loyalty is misplaced but understandable. Often, with shrewd questioning you will be able to get to the truth of the matter.

Need more components for your incident investigation program? Check out what else I have to offer here

• Conflicting statements. When you go over your notes, you will notice that some of the statements are in direct conflict with each other. At this stage you have to remember that they are relying on their memory and interpretation of the events. This is not deliberate misinformation but the way we humans perceive events. Your only recourse is to go back and re-interview those people who have given you conflicting information.
• Interpretation of questions and answers. This can be a difficult situation which occurs when your questioning is a little bit too open. Sometimes it’s necessary to make sure that your witness understands your question clearly. By the same token, it is very easy to misinterpret their answers. With practice, your questioning technique and your listening technique will improve and become much more accurate.

Learn 9 tricks for interviewing witnesses to workplace accidents

• Changing their story. Some witnesses will answer a question and then immediately change their answer because they are thinking about the consequences of that particular answer. This is irritating because it prolongs the questioning process. These witnesses have to be treated gently so that they have sufficient confidence in their answers. You may have to encourage them and give them positive reinforcement when they stick to their original answer.
• Vague on details. Many people have speech patterns that are vague. As witnesses they are of limited value because they are so hard to pin down on any usable fact. My advice is to be patient, help them to become more accurate and factual until you have information which is usable.

Any professional in the safety & security industry, is probably familiar with writing reports. Writing reports isn’t just a one and done occurrence. Report writing is absolutely essential to successful investigations and case management. This post will explore the purposes and importance of reports as well as provide tips for beginning report writers to refine their skills. There are negative implications to unskilled report writing and may end up halting a person’s career to a standstill. Although many of today’s investigative reports can be completed in preformatted forms, even in an online/mobile format, there are still many scenarios in which one will not have this luxury. It is important to gain a thorough understanding of the purpose of report writing and the uses behind it.

Let’s examine a few of the ways in which reports are utilized in the workplace:

 

1.Accidents in the Workplace

Incident reports are crucial for corporations and businesses, especially those that are open to the public. Retailers, for example, must be keenly aware of the safety risks that are involved. With high traffic volumes, shelves and displays, potentially dangerous merchandise, escalators, etc., an accident is bound to happen, whether it is a customer or an employee. Filling out a thorough accident report immediately after an accident takes place will save the employer a lot of hassle in the future should any medical or legal issues ensue from the incident. The report can clear the employer of any liability in civil proceedings against the business. These reports are to be written by the individual responding to the scene of the incident.

Worker’s compensation and insurance fraud is a rapidly growing area of crime with the advancement of technology and the depressed economy. Some employees will jump at the chance to exploit and abuse the system. Writing a report immediately after a workplace incident will lower the risk of worker’s compensation or insurance fraud significantly. It can also alleviate the risk of civil liability should the employee decide to sue the employer afterwards. Employers who maintain an unsafe workplace riddled with safety hazards will find themselves embroiled in administrative fines and civil litigation.

2.Preliminary Reports

Preliminary reports are commonly written by uniformed officers when responding to a complaint or a crime. When writing a preliminary report, it should include any all information pertinent to the investigation. This includes information on the individual making the report or the victim, a thorough description or identification of the person making the complaint, details of the incident that transpired, and any other relevant information that can be collected. As Dempsey writes, the preliminary report is like a birth certificate in a case because it begins the investigation (2002, 86). A follow up report is later written to keep tabs on the progress of the investigation and include any new or relevant information gained.

3.Administrative and Managerial Entities

The reports one writes throughout his or her career are almost always going to be viewed by third parties. In almost all cases, administrative agencies and supervisors will require that subordinates submit regular reports for the purpose of reviewing progress of an investigation and keeping track of employee productivity. These are sometimes called supervisory review reports (Dempsey, 2002, 84) These reports, when done on a regular basis, help supervisors to keep track of subordinate productivity and the progress being made on all cases.

4.Chain of Custody and Lab Reports

Evidence will change hands throughout the course of an investigation. In this case, anyone who claims custody of the evidence must complete a chain of custody report. The report should include a detailed, chronological history of the evidence and should contain a detailed description of when and to whom it changed hands. If there are any discrepancies about the chain of custody, it will be hard to prove in court that the evidence shown at trial is the same that was collected at the crime scene. In this case, it is best to limit the transfer of evidence to as little as possible.

Lab reports are written regarding any form of evidence that requires a laboratory examination. A request for a laboratory analysis is sent to the lab by the investigator. The forensic analyst who conducted the analysis will then submit a report detailing the results of that analysis. The United States Environmental Protection Agency (EPA) provides instructional courses on sampling procedures, data acquisition, chain of custody, what it is used for, and how the forms are properly used to pass testing samples from one link of the chain of custody to another.

5.Observations

When assigned to conduct surveillance, a report written by the investigator conducting the surveillance is called an observation report. The report details all actions that the investigator witnesses during the course of the investigation.

 

These are just a few of the many kinds of reports the investigator may come into contact with throughout the course of his or her career!

 Need more components of an incident reporting program? Check out what else I have to help you out here

Tips on Investigative Report Writing

1. Follow the Principle of Expansible Significance

Minor crimes and inconsistencies often turn out to be major crimes or loss events. “Minor is major”! Get all the facts. This includes even the smallest of details. Even if it may seem irrelevant at the time, little pieces of information may manifest themselves as much more significant throughout the course of the investigation.

2. Write Professionally, but Not Pompously

The report you are writing won’t just be read by people within your department or your field. Don’t assume that everyone will understand certain things you write in the report, because it will only serve to confuse the readers and will damage your credibility. Keep the high-level vocabulary to a minimum and refrain from use of

any lingo or vernacular language. “Police talk” may work on the beat between two partners, but it will not work in a formal report.

3. Write Neatly and Concisely

The more one writes reports, the easier it will become to spill the words out and get it right after a few tries. A good report will consist of thorough, detailed information but will also be fairly brief and to the point. This may be difficult to do at first, but revising and rewriting the report will aid in honing one’s writing skills. Although many of today’s police and investigation departments are driven by technology and many officers can file reports from their computers, there are instances where they will need to be hand written, especially in times of emergency. Write legibly and make sure others will be able to read the writing.

4. Keep Reports Organized

All reports, documents and any audio/visual information should be stored and preserved. Many choose to compile a case folder that keeps everything intact and preserved should it be referred to in the future. This is especially important because it will serve as an easy method of reference and will help to jog the investigator’s memory. Some cases don’t go to court for months or even years, and it is impossible to remember every single detail of the investigation. Having a secure and effective method of storage for cases is extremely beneficial. Always have a hard copy of the report even if it is saved on a computer in case of a power surge or a scenario in which the file couldn’t be accessed or is deleted.

5. No Notes Equals No Report

The accuracy and quality of investigative reports is contingent upon the field notes. Constantly writing things down during one’s day-to-day routines will help to establish a solid foundation for a report should an incident arise. During an investigation it is also crucial to follow this strategy. The notes should be factual and accurate. These notes may include but are not limited to:

• Names of witnesses
• Notes from interviews of witnesses
• Vehicle descriptions
• List of items stolen/broken
• Names/contact information of victims
• Time the incident occurred
• Arrival times of emergency personnel
• Security or safety hazards such as nonworking lights, broken floor tiles, leaking pipes, etc.

Check Out: How to Investigate an Accident Or Incident in 9 Easy Steps

Other Interesting Suggestions that Will Make One a Better Report Writer

Many people often use the word “did” right before the verb. It is annoying for supervisors and judges to constantly read things such as “I did move the box, I did observe Joe walk through the door”, and “I did enter the facility” and should be avoided. It’s certainly okay to use “did not” to indicate an omission of action, however.

Try to keep words in the report to less than three syllables.

Keep the report properly punctuated so that readers can quickly decipher where one idea ends and another begins.

Jack Dempsey’s NEOTWY format should always be used (2002, 87). The word is an acronym derived from the last letters of When, Where, Who, What, How, and Why. It may sound silly, but it is easy to remember.

Does the report make sense? Try reading it aloud. If it doesn’t make much sense to the officer or investigator, it won’t make sense to a judge or supervisor.

 

What Case Folders May Contain

• Index sheet
• Incident report
• Follow-up or investigatory action reports
• Interview/Interrogation reports
• Record checks
• Photographs, sketches, visual evidence
• Evidence reports
• Chain of custody reports
• Computer printouts
• Audio/video material
• Medical examiner reports

View & Download the Top 10 Incident Investigation Mistakes below:

 

When an accident happens in the workplace, it is critical to conduct an accident investigation to determine the root cause of the events that led to the accident or injury. The point of the investigation should never be to assign blame, but rather to uncover the factors that led to accident so you can take corrective action to prevent it from happening again.

 

Get the overall picture by interviewing the people who know most about the accident or incident. This will enable you to carry out a thorough accident investigation.

The 9 steps to conducting an effective accident investigation interview are:

1) Create the “right” environment. Create an atmosphere of co-operation. Explain reason for the interview- prevention. Ask for person’s help. Ask your questions and listen carefully to the answers. Make notes and draw diagrams.

2) Interview as close as possible to the site of the accident/incident. This helps the accuracy of the witnesses because they are able to point and sometimes demonstrate what actually happened. At this stage, make absolutely certain you know where the witness was standing when the accident or the incident took place. This is because sometimes witnesses could not have seen what actually happened from where they were standing. There is a tendency for witnesses to assume what actually happened, even when they didn’t see it.

Check Out: 7 Problems Interviewing Witnesses to Workplace Accidents and Incidents

3) Discussions should be private. When you interview the witnesses, interview them one at a time. This will give you better information and there is no conflict with witnesses arguing about what happened. If descriptions don’t match there is only one option. Re-interview

4) Get the person’s perception of the accident/incident. Make sure that there is no outside influence or bias and as you listen remember to try not to interrupt. At this stage you are gathering information only. There is no need to evaluate the accident or the incident until you have collected all the information possible.

5) Listen more than you talk. Encourage the person to talk, listen to the answers and help the person not to become defensive or accept any blame for the accident or incident. Remember, the more they talk, the more you will learn.

Need more components of an Incident investigation program

6) Repeat the story back once you have heard it. Once you have heard the witness’s account firstly check your understanding by repeating the account back to the witness. This gives the person a chance to hear what they’ve said and correct or confirm it. The repetition allows the words and meanings to be matched.

7) End the discussion by thanking the person for their help. Thank the person for their help and cooperation and repeat that you are gathering information so that this sort of incident can be prevented in the future.

8) Note vital information at once. Make notes rather than try to write down the complete dialogue unless the person gave you some really critical information.

Check the Root Cause Book I have published on Amazon

9) Keep open the opportunity for further communication. Give the person the opportunity to get back to you in case they remember something at a later date. It always pays to go back to the person the following day or so, and have a casual conversation about the incident. Often vital information is a gathered at this point.