Introduction to OSHA Directorate of Training and Educati.docx

Introduction to
OSHA
Directorate of Training and Education
OSHA Training Institute
Lesson Overview
Purpose:
information about OSHA
Topics:
1. Why is OSHA important to you?
2. What rights do you have under OSHA?
3. What responsibilities does your employer have
under OSHA?
4. What are OSHA standards?
5. How are OSHA inspections conducted?
6. Where can you go for help?
2
Topic 1:
Why is OSHA Important to You?
405 workers were killed on the

job in 2013 (3.2 per 100,000 full-
time equivalent workers)
die every day
were killed from work-related
injuries in 2013
ous
workplace injuries and illnesses
were reported by private industry
employers in 2012
3
OSHA Makes a
Difference
• Worker deaths in
America are
down–on
average, from
about 38 worker
deaths a day in
1970 to 12 a day
in 2013.
• Worker injuries
and illnesses are
down–from 10.9
incidents per
100 workers in
1972 to 3.0 per

100 in 2012.
Occupational Safety and
Health Administration, an
agency of the U.S.
Department of Labor
is to
improve worker safety and
health protection
4
the OSH Act
formally came into being on April 28, 1971
History of OSHA
OSHA’s Mission
mission of OSHA is to assure safe and
healthful working conditions for working men
and women by setting and enforcing

standards and by providing training,
outreach, education and assistance.
mission are:
◦ Developing job safety and health standards and
enforcing them through worksite inspections
◦ Providing training programs to increase knowledge
about occupational safety and health
5
Topic 2:
What Rights Do You Have Under OSHA?
ve the right to:
◦ A safe and healthful workplace
◦ Know about hazardous chemicals
◦ Report injury to employer
◦ Complain or request hazard correction from employer
◦ Training
◦ Hazard exposure and medical records
◦ File a complaint with OSHA
◦ Participate in an OSHA inspection
◦ Be free from retaliation for exercising safety and
health rights
6
Worker Rights

Handout #1:
OSHA Poster
work?
7
ection is Law: The Occupational
Safety and Health Act of 1970 (OSH Act)
right to a safe and healthful workplace
workplaces that are free of known dangers
that could harm their employees
to participate in activities to ensure their
protection from job hazards
8
Your Right to…

written, complete hazard
communication program that
includes information on:
physical and health hazards of the
chemicals and how workers can
protect themselves
9
Your Right to…
The Hazard Communication
Standard (HCS) requires chemical
manufacturers, distributors, or
importers to provide Safety Data
Sheets (SDSs) (formerly known as
Material Safety Data Sheets or
MSDSs) to communicate the
hazards of hazardous chemical
products. As of June 1, 2015, the
HCS will require new SDSs to be
in a uniform format.

requires most employers with
more than 10 workers to keep
a log of injuries and illnesses
report an injury* and review
current log
view the annually posted
summary of the injuries and
illnesses (OSHA 300A)
Your Right to…
10
*It is against the
OSHA law to
retaliate or
discriminate
against a worker
for reporting an
injury or illness
concerns in the workplace to their employers
without fear of discharge or discrimination

concerns to their employer or OSHA about
unsafe or unhealthful conditions in the
workplace
Your Right to…
11
training from employers on a
variety of health and safety
hazards and standards that
employers must follow
12
Your Right to…
ng covers topics such as,
chemical hazards, equipment hazards, noise,
confined spaces, fall hazards in construction,
personal protective equipment, along with a variety
of other subjects
workers can understand

physical agents are:
◦ Metals and dusts, such as, lead, cadmium, and
silica
◦ Biological agents, such as bacteria, viruses, and
fungi
◦ Physical stress, such as noise, heat, cold, vibration,
repetitive motion, and ionizing and non-ionizing
radiation
Your Right to…
13
complaint with OSHA if they believe a
violation of a safety or health
standard, or an imminent danger
situation, exists in the workplace
not be revealed to the employer
have the right to find out OSHA’s
action on the complaint and request
a review if an inspection is not made
Your Right to…

Note:
Often the
best and
fastest
way to get
a hazard
corrected
is to
notify
your
supervisor
or
employer.
14
OSHA inspector
e inspector privately
injuries, illnesses or near misses that resulted
from those hazards and describe any concern
you have about a safety or health issue
results, abatement measures and may object
to dates set for violation to be corrected

Your Right to…
15
retaliation for exercising safety and health
rights
health on the job without fear of punishment
the OSH Act
feel they have been punished for exercising
their safety and health rights
Your Right to…
16
e a workplace free from recognized hazards
and comply with OSHA standards
standards and provide workers access to their
exposure and medical records

their rights under the Act (Section 11(c))
17
Employer Responsibilities (cont.)
18
REPORTING AND RECORDING CHECKLIST
Employers must:
-related hospitalization,
amputation, or loss of an eye
ry or
illness to the employer
Topic 4:

What are OSHA Standards?
OSHA standards are:
methods employers
must use to protect
employees from
hazards
workers from a wide
range of hazards
19
Four Groups of
OSHA Standards
General Industry*
Construction
Maritime
Agriculture
*General Industry is the set that applies to
the largest number of workers and
worksites
Where there are no specific standards, employers must
comply with the General Duty Clause of the OSH Act.

OSHA Standards (cont.)
These standards also:
substances, or noise that workers can be
exposed to
and equipment
and keep records of workplace injuries and
illnesses
20
Most Frequently Cited OSHA Standards
21
OSHA’s website provides information regarding the
most frequently cited standards
Click: Frequently Cited OSHA Standards
to view current data
establishment,” select ALL or one of
the options listed
Federal or, from the dropdown

menu, a specific state
groups, or enter a valid 2 to 6 digit
code for a specific Industry from the
NAICS Manual
ults for: All
sizes of establishments, in Federal
jurisdiction, with a Construction
NAICS code of “23”
Common Most Frequently Cited Standards: Fall Protection;
Hazard Communication; Scaffolding; Respiratory
Protection; Electrical; Powered Industrial Trucks; Ladders
http://www.osha.gov/pls/imis/citedstandard.html
safety and health officers (CSHOs) to conduct
workplace inspections at reasonable times
notice, except in rare circumstances (e.g.
Imminent Danger)
an OSHA inspection in advance can receive
fines and a jail term
22

Different Types of OSHA Inspections
talizations
complaints/referrals
—
Local Emphasis Program
(LEP), National Emphasis
Program (NEP), particular
hazards or industries
-up Inspections
23 23
VIOLATION TYPE PENALTY
WILLFUL
A v io la tio n th a t th e e m p lo y e r in te n tio n a lly a n d
k n o w in g ly
c o m m its o r a v io la tio n th a t th e e m p lo y e r c o m m
its w ith p la in
in d iffe re n c e to th e la w .
O S H A m a y p ro p o s e p e n a ltie s o f u p to
$ 7 0 ,0 0 0 fo r e a c h w illfu l v io la tio n , w ith
a m in im u m p e n a lty o f $ 5 ,0 0 0 fo r e a c h
w illfu l v io la tio n .

SERIOUS
A v io la tio n w h e re th e re is s u b s ta n tia l p ro b a b
ility th a t d e a th
o r s e rio u s p h y s ic a l h a rm c o u ld re s u lt a n d th a t
th e e m p lo y e r
k n e w , o r s h o u ld h a v e k n o w n , o f th e h a za rd .
T h e re is a m a n d a to ry p e n a lty fo r
s e rio u s v io la tio n s w h ic h m a y b e u p to
$ 7 ,0 0 0 .
OTHER-THAN-SERIOUS
A v io la tio n th a t h a s a d ire c t re la tio n s h ip to s a
fe ty a n d h e a lth ,
b u t p ro b a b ly w o u ld n o t c a u s e d e a th o r s e rio u
s p h y s ic a l
h a rm .
O S H A m a y p ro p o s e a p e n a lty o f u p to
$ 7 ,0 0 0 fo r e a c h o th e r-th a n -s e rio u s
v io la tio n .
REPEATED
A v io la tio n th a t is th e s a m e o r s im ila r to a p re v
io u s v io la tio n .
O S H A m a y p ro p o s e p e n a ltie s o f u p to
$ 7 0 ,0 0 0 fo r e a c h re p e a te d v io la tio n .
24
conduct an inspection at your workplace

HA violations?
25
26
-workers and
union representatives
tion on
chemicals
training materials
27

OSHA offices (you can call or write)
istance Specialists in the area
offices
Health (NIOSH) – OSHA’s sister agency
ocal, community-based resources
28
http://www.osha.gov/
How to Raise a Concern
Handout #7: Identifying
Safety and Health Problems
in the Workplace
workplace hazards
ered safety
and/or health problems in the workplace/site
29

website
◦ Workers can file a complaint
◦ A worker representative can file a complaint
local regional or area offices to
discuss your concerns
– be specific and include
appropriate details
30
Handout #8a:
General Industry
discusses the industry-specific scenario
would be important to include in their
complaint
◦ What was included in the complaint?
◦ What was added to the complaint?

31
Handout #8b:
Construction
complaint
32
Handout #8c:
Maritime Industry
complaint

33
sources inside the
workplace that will help you find information
on safety and health issues?
workplace that will help you find information
on safety and health issues?
34
This lesson covered:
importance of OSHA, including the
history of safety and health regulation leading
to the creation of OSHA and OSHA’s mission;
esources, including how to
file a complaint.

35
Thank You!
Introduction to�OSHALesson OverviewTopic 1:�Why is
OSHA Important to You?History of OSHAOSHA’s
MissionTopic 2:�What Rights Do You Have Under
OSHA?Worker RightsSlide Number 8Slide Number 9Slide
Number 10Slide Number 11Slide Number 12Slide Number
13Slide Number 14Slide Number 15Slide Number 16Slide
Number 17Employer Responsibilities (cont.)Topic 4:�What are
OSHA Standards?OSHA Standards (cont.)Most Frequently Cited
OSHA StandardsSlide Number 22Different Types of OSHA
InspectionsSlide Number 24Questions for ReviewSlide Number
26Slide Number 27Slide Number 28How to Raise a
ConcernSlide Number 30Group Activity: Filing a
ComplaintGroup Activity: Filing a ComplaintGroup Activity:
Filing a ComplaintQuestions for ReviewSlide Number 35Slide
Number 36
Unit Assessment
QUESTION 1
What steps must an organization take before an accident occurs
to ensure it is prepared to conduct an effective accident
investigation?
Your response must be at least 200 words in length.
QUESTION 2

Explain the four levels of accidents, providing an example of
each. How are the categories different from each other?
QUESTION 3
Why is it important to include near misses in the accident
investigation process?
QUESTION 4
How do accident investigations help an organization avoid
spending money in the future?
QUESTION 5
Describe two characteristics of an effective accident
investigation process that you feel are particularly important.
Briefly explain your choices.
QUESTION 6

In addition to identifying accident causal factors, what other
benefits does an effective accident investigation process provide
to a safety and health program?
CHAPTER2 - ..•
An Accident Happens
What D o You Do?
How Long D o You Do It?
These two questions are major issues of accident investigation
that
must be addressed and answered. Answering the first is simple:
p1,;ovide
emergency response, protect the employees involved from
further harm, and
try to determine what happened so that measures can be taken to
prevent
its happening again. Answering the second question is more
difficult. Some
companies commit a specific amount of time to an accident
investigation-a
day, two weeks, or a month, for example-depending on the
severity
of the accident. In a perfect world, there is no time limit-an
accident
investigator investigates an accident until he or she is
reasonably certain
of what happened and why. This book answers the first
question-it tells

you what to do-and it provides ways to decrease the amount of
time it
takes to do it.
Accident investigations are a dreadful part of a safety
professional's job.
Accident outcomes may include injuries, fatalities, and property
or equipment
damage. It is sometimes difficult to "get over" the outcome of
an accident,
especially if there is a fatality or an employee is hospitalized
because of it.
However, accident investigations are a necessary and critical
part of the
9
Part I: Introduction to the Accident Sequence
10
occupational safety process. A thorough acciden~ investigation
can be of ~eat
benefit to your organization, not only by preventmg ~e same
type of accident
from happening again, but also by finding syste~c problems that
~ould
cause more severe accidents in the future. The main purpose of
an accident
investigation is to find the causes (what happened) and _fix the
problems to
prevent the accident from recurring. "Accidents do not )USt
happen, but are
caused" (Marshall 2000, 29).

Goals of Accident Investigation
Determine the Accident Sequence without Placing Blame
An accident investigation determines the accident sequence and
finds the
causal factors of an accident. Its purpose is not to find fault or
assign
blame.
How do you keep from finding fault when an individual
disregards a
major safety policy? The answer is to be fair and consistent
with your policy.
If there is no accountability for violating a safety policy or
disregarding the
safety program, then the safety program will eventually fail.
The main issue
is to find out why the individual violated the safety policy. The
accident
investigator must determine why the safety program allowed the
individual
to disregard the rule and why supervisors did not enforce the
rule. While
these types of situations are rare, it is imperative for companies
to correct
problems with their safety programs to keep accidents from
happening
(Sorrell 1998).
Recommend Corrective Actions
Accident investigations determine corrective actions so that
future accidents
are prevented and the overall safety program is improved.

Update the Overall Safety Program
By identifying hazards from th k
1 1 h
e wor er level up to the management systerns
eve , t e safety progr b
. am can e updated and improved. An accident is afl
opporturuty to find and fix problems wi·th th £
e sa ety program.
Chapter 2: An Accident Happens
Accident Reporting
Thorough Reporting Is Necessary
Accidents cannot be investigated if they are not properly
reported. All accidents,
including fatalities, injuries, and property damage, as well as
potential accidents
(near misses), should be reported. Formal company policy and
employee
training must spell out how to properly and consistently report
accidents, near
misses, and property damage (Vincoli 1994). Individuals must
have no fear
of repercussions for informing the company or the safety
department of an
accident or near miss. If people fear punishment or repercussion
(accusation
of fault or blame) for accidents, they are less likely to report
them (Speir
1998). It is crucial to a company's safety program and to the

prevention of
future accidents that all accidents and near misses be reported
so that all of
the problems in the safety program can be found.
Incentive Programs Must Reward Reporting
Incentive programs have been developed to reward safe
behaviors.
Unfortunately, many of them do not actually reward safe
behavior
but instead inhibit the reporting of accidents and near misses
because
employees fear losing their incentives. Such incentives do not
improve
safety programs. Reporting accidents and near misses, finding
causal
factors, and determining corrective actions, however, will
improve them.
Reporting accidents and near misses should be rewarded, and
incentive
programs should be designed to reward the reporting of all
accidents and
near misses.
Documentation versus Investigation
When accidents occur, it is not just meant to document the
occurrence. The
purpose of an accident investigation is to ask questions,
interview, analyze,
probe, and discover what happened. It is not just to take witness
statements
and document what happened. Many companies' accident
investigation forms
and record-keeping forms are just a documentation tool. The
purpose is to
use these forms and tools to investigate and determine the

causal factors and
prevent these instances from occurring.
11
12
Why Do We Need Accident Investigations?
To Avoid Spending Money on Accidents in the Future
Accidents are a major expense for companies. According to the
2011 edition
of I,gury Facts, in 2009 the total cost of unintentional injuries
at work Was
$168.9 billion dollars (National Safety Council 2011). This
monetary figure
does not reflect the cost of human pain and suffering as a result
of accidents.
In 2009, 3,582 fatal occupational injuries occurred and 5.1
million injuries
were reported (National Safety Council 2011).
Bird and Germain compare the costs of an accident to an
iceberg-like
an iceberg, most of the costs of an accident are not obvious and
are not
seen. For every dollar of medical and insurance costs an injury
or illness
incurs, the uninsured costs are $5 to $50 and miscellaneous
costs are $1 to
$3. The uninsured costs include damage to equipment, tools,

and products;
production delays; and legal expenses. The miscellaneous costs
include
accident investigation expenses, hiring replacement workers,
and loss of
business (Bird and Germain 1985).
As expensive as an accident may be, the resulting investigation
can
ultimately save money by helping to prevent future accidents
and update safety
programs. Future savings will be found in identifying systemic
problems in the
safety program and correcting them. Near misses are excellent
opportunities
to prevent costly accidents and identify and deal with systemic
problems in
the safety program.
Accident costs come directly from a company's bottom line.
While saving
money is a great motivator for improving safety procedures, a
bigger motivator
is avoiding the pain and suffering accidents produce. The field
of occupational
safety is very dynamic, with theories and concepts that change
over cirn_e.
However, most people would agree that "the ultimate goal of all
efforts 1~
. safety engineering should be to reduce accidents and harmful
exposures
(.Marshall 2000, 6).
To Prevent Future Accidents
A 'd . . . d . 1·ured, n acc1 ent 1nvest1gat1on cannot do

anything for the person alrea Y U1 . .
the machine already damaged, or the product already destroyed.
Its value is JJl
preventing future accidents. Although investigations are
performed reactively,
they allow companies to be proactive in improving their safety
programs.
To Comply with the Law and
Detennine the Total Cost of an Accident
Accident investigations must also be performed to complete
workers'
compensation claims, to comply with legal requirements and
Occupational
Safety and Health Administration (OSHA) regulations, and to
determine the
total costs of accidents.
Decisions to Be Made
Before an Investigation Begins
Determine the Level of Investigation
Companies define levels of accidents and levels of accident
investigations
to help answer questions about how an investigation will be
conducted-
such as how much detail the investigation should uncover and
how long the
investigation should take. In general, the more serious an
accident is, the more

detailed the investigation will be and the longer it will take. The
philosophy of
this book is that whether an accident is minor or catastrophic,
the investigation
process still follows the same steps---develop the accident
sequence, analyze
it, determine causal factors, and recommend corrective actions.
The levels of
accidents and types of accident investigations are listed in
Exhibit 2.1.
Decide Who Will Investigate
Once the accident level and the depth of investigation are
determined, your
company must decide whether to use an individual or a team to
do the
investigation. Many people from throughout your organization
may be able
to perform adequate accident investigations. The key is to
choose the person
(or persons) who is in the best position to discover what really
happened and
determine how to prevent it from happening again. Foremen and
supervisors
are excellent choices if they are able to look beyond their
departments to
13
14
Exhibit 2.1

CATEGORIZATION OF ACCIOENTS
LEVELS OF ACCIDENTS TYPES OF ACCIDENT
INVESTIGATIONS
1. Near miss Near misses can range from potentially minor to
potentially catastrophic accidents. At the least,
document the near miss on a form, determine its
causes, and recommend corrective actions.
2. Minor injury or
first-aid case
3. Major injury or
recordable injury
4. Catastrophic injury
(fatality, many
injured, or major
property damage)
Investigate, interview injured employee, determine
causes, and recommend corrective actions.
Document on a form.
Investigate, interview the injured employee and
witnesses, use analytical techniques, determine
causes, and recommend corrective actions. Write a
short report.
Team investigation. Interview injured, eyewitnesses,
and other employees; use analytical techniques;
determine causes; and recommend corrective
actions. Write a full report explaining the analytical
techniques used.

· • c gernent,
system1c causes-problems with the overall system of sa1ety
mana d
· shoul
They usually understand the workers' jobs and the roles
supervisors
play. Safety professionals can do investigations, but usually
they do;;
fully understand all of the workers' job functions, so they must
spen~ .is
1 · · b d · fessionai earruog JO uttes and sequences. A more
useful role for safety pro . aJs
· ·din · . fession is prov1 g assistance to accident investigators,
since safety pro (11
. d t syste
are trame to uncover and analyze systemic causes and
managernen
causes.
The Team Approach
. cioD
For large or comple "d th "d , ... vestlgi1 x acci ents, e team
approach to acc1 ent ,,, . Jess
seems loo-ical beca · . d th n with
. i:,· use more 10format1on must be analyze a ,vbO
senous accidents Th al . . }eade! · e usu team approach is to
appoint a team tbe
oversee~ and manages the investigation. The number of
individuals o:)•ect
team will vary dep din -ny s1.1 en g on the accident's
complexity. NortnaJ.L '

matter experts will be used to lend expertise about the complex
issues that
will be uncovered in the accident investigation.
In order for a team investigation to work effectively, the team
leader must
assign each subject matter expert to work in his or her area of
expertise.
Having the subject matter experts work separately on the overall
investigation
rather than concentrating on their own areas is a waste of time.
Each subject
matter expert should have a separate area to focus on, such as a
technical
or engineering issue, training, management systems,
supervision, emergency
response, etc. The team leader coordinates all of the efforts and
ensures that
all of the subject matter experts are working toward a common
goal- finding
out what happened and how to prevent it.
Decide How Much Time Will Be
Allotted to the Investigation
Deciding how much time the investigators will be given to
perform the
investigation and document the findings is a difficult decision.
Many
companies allot a set amount of time based on the level of the
accident and
the type of investigation to be performed. Ideally, the company
should allow

enough time to find out what happened and determine how to
prevent it from
recurring. In most cases, a first-aid case or an OSHA-recordable
case will take
a few days, while a major injury, fatality, or other complex
accident may take
anywhere from a couple of days to a month. Investigations of
catastrophes
with multiple fatalities and involving complex systems (plant
explosions, plane
crashes, etc.) usually take from a month to several years. The
time needed to
perform investigations at any level depends on the amount of
data collected,
the number of interviews, the number of people helping with the
investigation,
the analytical methods used, the complexity of the systems
involved, and the
length of the final report or form.
Determine Whether Additional
Resources Will Be Needed
For the most part, this book discusses nonproprietary
investigation techniques
that do not require extra expenses. However, in many
investigations,
consultants (subject matter experts, medical doctors, lawyers) or
special
15
16

equipment (testing equipment, external testing, laboratory work,
computer
software) may be needed. Coordinating these resources will
extend the tune
needed to perform an investigation.
Summary
The basic requirement for a successful accident investigation
program is a
formal accident-reporting policy with proper and consistent
reporting of all
accidents and near misses from employees who do not fear
repercussions. In
the past, most accident investigations began with the question
''Who did it?"
In a mod~m investigation, the accident investigator must
concentrate on causal
factors and corrective actions and not place blame. Accident
investigations
should be conducted by a qualified individual or team. The
purpose of the
investigation is to find the causal factors of the accident and
determine the
corrective actions to prevent recurrence of the accident as well
as to find
systemic causes and thus prevent other types of accidents in the
future.
Accident investigations are a necessary part of the occupational
safety
process. Although proactive accident prevention and loss
control strategies
are the main purpose of a safety program, accidents will occur.
The company

and the accident investigator must learn from each accident and
revise the
safety program as needed.
Part I
INTRODUCTION TO THE
ACCIDENT SEQUENCE
Accidents do not just happen-they are caused, and the key to
accident
investigation is to find the causes. The first step in finding the
cause of an
accident is to examine the sequence of events that led up to it.
Discovering
this sequence is the goal of many of the analytical techniques
discussed later
in the book. This part of the book includes many theories that
have been
developed to determine how accidents occur. Many have been
and continue
to be used, and many others have been disproven. This book
will mention
many theories, but will focus on those that are based on the
accident sequence.
The objective of this book is to present an analytical approach
to
accident investigations-gathering evidence, using analytical
techniques and
~e analytical process to determine the accident sequence, and
using this
Info .

rmatton to discover the causes and to recommend changes to
prevent
future accidents.
Ob· Jectives for Part I:
• Dnderstand that accidents have a sequence of events and be
able to
deter · thi mine · s sequence.
• Be familiar with several accident causation theories and know
how each
applies to the accident sequence.
2
• Be aware that most accidents have multiple causes.
• Be able to break down accidents and use an analytical
approach to
investigate them.
CHAPTER1
What is An Accident?
Nobody wants to answer the phone and hear the words, "There's
been
an accident." But what is an accident? There are many different

ways in which
that term is to describe something that should not have
occurred. A child
would say, "It was an accident. I didn't mean to break that
window with my
ball." However, in the realm of investigations, an accident is an
occurrence in a
sequence of events that produces unintended injury, death, or
property damage.
Definition of Terms
Accident
There are many definitions for accident. Most books agree that
an accident
is an undesired event that causes injury or property damage
(Bird and
Germain 1985). Many companies use the term incident rather
than accident
because accident implies human error, whereas, according to the
National
Safety Council, "an incident is an unintentional event that may
cause personal
harm or other damage" (National Safety Council 2009, viii).
The definition of
accident that best captures the analytical approach to accident
investigation is:
"Th at occurrence in the sequence of events that produces
unintended injury,
3

4
death, or property damage" (National Safety Council 2009, viii).
Accidents
are sequences of events. There are normal (positive) sequences
where there
is no accident and accident sequences, also called negative
sequences. An
accident is a result of a negative sequence of events. These
definitions and
others are listed in Exhibit 1.1.
Near Miss
The difference between an accident and a near miss is usually
luck or chance.
A near miss is an occurrence in a sequence of events that had
the potential
to produce injury, death, or property damage but did not. Near
misses can
and should be investigated the same way accidents are.
Accident Investigation
An accident investigation is a structured process that attempts
to uncover
the sequence of events that produced or had the potential to
produce
injury, death, or property damage so that causal factors can be
determined
and corrective actions can be taken. Any occurrence that has a
sequence
of events can be investigated by analytical techniques-first-aid
cases,
OSHA-recordable injuries or illnesses, fatalities, property

damage, or near
misses. The steps in an accident investigation are: analyzing the
facts,
developing an accident sequence, finding the causes, and
recommending
corrective action.
The next definitions have to do with the accident itself. Safety
professionals
use various terms for the basic terminology of the profession
(Sorrell 1998);
this book simplifies the definitions.
Causal Factors
The causes of the accident are called the causal factors. A
causal factor is
an event or circumstance that produced an accident. Other books
may use
the term root cause to mean something similar. Causal factors
can be at the
basic (worker or equipment) level, the intermediate
(supervisory) level, and
the upper management level. The causal factors of an accident
answer the
question, ''What happened?" After causal factors are determined
through an
Chapter 1: What is An Accident?
analytical process, con-ective actions are developed to prevent
similar types of
accidents.

Corrective Actions
Corrective actions are the actions taken to prevent recurrence of
the accident.
Causal factors link to corrective actions to address all levels of
causes and
accountability ( see Exhibit 1.1, Definitions).
Exhibit 1.1
DEFINITIONS
Accident-The occurrence in a sequence of events that produces
unintended
injury, death, or property damage.
Incident-An unintentional event that may cause personal harm
or other damage.
Near Miss-An occurrence in a sequence of events that had the
potential to
produce injury, death, or property damage but did not.
Accident Investigation-A structured process of uncovering the
sequence of
events that produced or had the potential to produce injury,
death, or property
damage to determine the causal factors and corrective actions.
Causal Factors-Events and circumstances that produced the
accident. Causal
factors incorporate "root causes," "basic causes," "immediate
causes," lower
level causes, upper level causes, and management causes. When
discovering
causal factors, it is important to analyze all causes at all levels.

Corrective Actions-The actions taken to prevent recurrence of
the accident.
Corrective actions are the "fixes" to prevent future accidents.
These fixes should
be performed at the appropriate level.
Accidents versus Incidents
There has been much debate from safety professionals on the
relevance of the
terms accident and incident. Many companies use the term
incident to lessen
the impact of human error or fault in the meaning. Many
companies and even
governmental agencies have switched to the term incident and
thus perform
5
6
incident investigations. Other companies use the concept of an
incident as
more of property or equipment damage. There is not much use
in trying to
contemplate the differences, and just embrace whichever one
works for your
company or industry.
The same accident investigation processes and analytical
techniques can

be used no matter what term is used to describe the unintended
injury, death,
or property damage.
Near Misses
How do near misses fit into the accident investigation process?
A near miss is
an occurrence in a sequence of events that had the potential to
produce injury,
death, or property damage but did not. In aeronautical terms,
when airplanes
almost collide or fly too close to each other, then it is a near
miss or you could
say a near hit-they nearly hit each other. In these instances you
want a far hit.
The concept of a near miss is widely confused among employees
and
these instances usually do not get properly reported. The best
concept that
can be used to describe a near miss is when someone sees you
do something
and says, ''You were lucky," or '"( ou dodged a bullet on that
occasion. That
almost got you that time." These are all instances that resulted
in a near miss.
What is the difference in an accident and a near miss? Again,
sometimes the
only difference in a near miss and an accident is a matter of
inches or seconds
and luck or chance. If the blade was one inch to the left, then it
would have
been a fatality. According to the definitions, the only difference
between these

two terms is the severity that one was hurt, or damage was
done. The moSt
important issue is to determine the potential of injury, death, or
property damage
for these instances. The biggest problem with near misses is the
procedure for
how these near misses are reported. If near misses are not
reported, then they
cannot be investigated; thus, the potential for an accident still
exists.
These near misses are extremely important to understand and
ensure
that all employees understand the importance of prompt
reporting of these
instances. Near misses usually fall into the categories that will
eventually ruro
into an accident. How companies handle and react to near
misses is the keY
to preventing these hazards and issues before they become
accidents. Praise
Chapter 1: What is An Accident?
and recognition for reporting near misses, instead of fault-
finding accusations,
will start a trend in more reporting of near misses, thus making
near misses
a proactive management tool to ensure a sincere message of
trying to fix
problems and prevent accidents (Clark 2010).
Property Damage and Equipment Damage Accidents

Property damage and equipment damage accidents are also
sometimes as
confusing as near misses and also often unreported. One of the
issues with
this type of accident is the monetary damage. Similar to near
misses, how
much monetary damage is enough to prompt a response or
reporting? A
broken hand tool might not get reported; however, a vehicle
crash might get
reported. These are also based on potential, in that even though
there was
no injury or death, there was still loss, but there was potential
for injury as
well. Just take a look at forklifts in plants: how many do you
see that are all
scratched and dented? I wonder how many of those were
reported.
Small versus Big Accidents
Many professionals get bogged down by the issue of big
accidents versus
small accidents. All accidents, no matter how big or small, can
and should
be investigated. It starts with a hazard or a hazardous situation.
The bigger
the hazard or hazardous situation or act/ omission, then the
more likelihood
of loss. There are instances where a near-miss accident had
more potential
than an injury accident; however, through chance and luck it
was just a small
accident or a near miss. That near miss must be investigated,
causal factors

found, and corrective actions taken to prevent a much bigger
accident and
loss the next time, if conditions remained the same. Just
because the accident
was a small one this time, if conditions and acts are not
corrected, then a big
accident will come later. Near misses, property damage, and
injury accidents
can all be investigated.
Risk and Accidents
There has been much debate over these terms over the years.
There is risk in
everything we do. Risk is the amount of probability of
occurrence and severity
of occurrence that is inherent in everything we do. There are
also hazards
7
8
that increase the amount of risk in our everyday life. Zero
accidents is a goal
that every company and every person should strive to meet.
While most
companies strive to reduce hazards and hazardous situations and
reduce the
amount of risk, there are risky situations that arise every day at
the workplace.

Summary
There are many types of accidents, near misses, and even
property damage
events that need to be investigated. The type of accident makes
no difference.
First aid injuries or fatalities and catastrophes are basically all
the same. The
theories apply to both the small accident and the large accident
and even
near misses. There is a sequence of events for all, and while
some are more
complicated than others, they are basically the same. Many of
the near misses
are categorized as a near miss because of luck more than safety
controls. No
matter what size of the accident (even near misses), they all
have causal factors
that caused the accident. They key to accident investigation is
to identify the
causal factors and correct them to prevent accident recurrence.
REVIEW QUESTIONS
I
1. What is an accident?
2. Why should near misses b~ investigated?
3. What is the difference in an accident, near miss, and property
damage
accident? ,
4. What are causal fac;tors?

1
Preserve/
Document
Scene
2
Collect
Information
3
Determine
Root
Causes
4
Implement
Corrective
Actions
United States Department of Labor
Occupational Safety and Health Administration
December 2015 i
TABLE OF CONTENTS

PURPOSE OF THE GUIDE –
WHY INVESTIGATE? ...........................................................
.................................... 1
PRINCIPLES OF INCIDENT INVESTIGATIONS .....................
................................................................................ 1
The Language of Incident Investigations ..................................
................................................................ 1
Investigate All Incidents, Including “Close Calls” ....................
.................................................................. 2
Investigate Programs, Not Behaviors .......................................
................................................................. 3
Focus on the Root Causes, Not Blame or Fault .........................
................................................................ 4
ESTABLISH AN INCIDENT INVESTIGATION PROGRAM .....
.................................................................................... 4
CONDUCT INCIDENT INVESTIGATIONS –
A FOUR‐STEP SYSTEMS APPROACH ..................................
........................ 6
Step 1. Preserve/Document the Scene .......................................
.............................................................. 7
Step 2. COLLECT INFORMATION .........................................
............................................................................. 8
Step 3. DETERMINE ROOT CAUSES .....................................
............................................................................. 9

Step 4. IMPLEMENT CORRECTIVE ACTIONS .......................
.............................................................................. 10
RESOURCES .........................................................................
.................................................................. 12
REFERENCES ........................................................................
.................................................................. 14
APPENDIX A: INCIDENT INVESTIGATION FORM ...............
..................................................................................... A‐1
APPENDIX B: INCIDENT INVESTIGATOR’S KIT .................
...................................................................................... B‐1
APPENDIX C: TIPS FOR VIDEO/PHOTO DOCUMENTATION
...................................................................................... C‐1
APPENDIX D: SKETCH THE SCENE TECHNIQUES ..............
..................................................................................... D‐1
APPENDIX E: COLLECT INFORMATION CHECKLIST ..........
....................................................................................... E‐1
APPENDIX F: SAMPLE QUESTIONS FOR IDENTIFYING INC
IDENT ROOT CAUSES ..........................................................
. F‐1
DISCLAIMER:
This guide was developed by OSHA's Directorate of Training an
d Education and is intended to assist employers, workers, and ot
hers as they
strive to improve workplace health and safety. This guide is adv

isory in nature and informational in content. It is not a new stan
dard or
regulation and does not create any new legal obligations or alter
existing obligations created by OSHA standards or regulations
or the
Occupational Safety and Health Act of 1970 (OSH Act). Pursua
nt to the OSH Act, employers must comply with safety and healt
h standards and
regulations issued and enforced either by OSHA or by an OSHA
‐approved state plan. In addition, the OSH Act’s General Duty
Clause, Section
5(a)(1), requires employers to provide their workers with a wor
kplace free from recognized hazards likely to cause death or ser
ious physical
harm. Implementation of an incident investigation program in ac
cordance with this guide can aid employers in their efforts to pr
ovide a safe
workplace.
Incident[Accident]Investigations:AGuideforEmployers
December 2015 1
WHYINVESTIGATE?
Incidentinvestigations
helpemployers:
illnesses
commitmenttohealth
andsafety

workplacemorale
Your company experienced an incident that resulted (or almost r
esulted) in a worker
injury or illness…Now what?
As a responsible employer, you need to react quickly to the inci
dent with a prescribed
investigation procedure for finding the root causes and impleme
nting corrective actions.
Quick and planned actions demonstrate your company’s commit
ment to the safety and
health of your workers, and your willingness to improve your sa
fety and health
management program to prevent future incidents.
PURPOSEOFTHEGUIDE–WHYINVESTIGATE?
The purpose of this Incident Investigation Guide is to provide e
mployers a systems approach to help
them identify and control the underlying or root causes of all in
cidents in order to prevent their
recurrence.
The Bureau of Labor Statistics reports that more than a dozen

workers died every day in American workplaces in 2013, and ne
arly 4
million Americans suffered a serious workplace injury. And ten
s of
thousands are sickened or die from diseases resulting from their
chronic exposures to toxic substances or stressful workplace
conditions. These events cause much suffering and great financ
ial
loss to workers and their families, and also result in significant
costs
to employers and to society as a whole. Many more “near misse
s” or
“close calls” also happen; these are incidents that could have ca
used
serious injury or illness but did not, often by sheer luck. Practic
ally all
of these harmful incidents and close calls are preventable.
All incidents – regardless of size or impact –
need to be investigated. The process helps employers look
beyond what happened to discover why it happened. This allows
employers to identify and correct
shortcomings in their safety and health management programs.

OSHA created this Guide to help employers conduct workplace
incident investigations using a four‐step
systems approach. This process is supported by an Incident Inve
stigation Form, found in Appendix A,
which employers can use to be sure all details of the incident in
vestigation are covered. Additional tools
to assist with the investigation process are found in Appendices
B through F.
PRINCIPLESOFINCIDENTINVESTIGATIONS
TheLanguageofIncidentInvestigations
Employers will notice this Guide uses the term “incident”, not “
accident”, to describe a workplace event.
This is because the word “accident” has come to be considered a
s a random event that “oh, well, it just
IncidentInvestigations:AGuideforEmployers
December 2015 2
happened” and could not have been prevented. However, the va
st majority of harmful workplace
events do not “just happen.” On the contrary, most harmful wor
kplace incidents are wholly preventable.

In short, the basic principle is that incidents do not have to occu
r; they can be prevented by addressing
the shortcomings in the programs that manage health and safety
in the workplace.
The following are the key terms that are used throughout this gu
ide:
Incident: A work‐related event in which an injury or ill‐health (
regardless of severity) or fatality
occurred, or could have occurred.
Root Causes: The underlying reasons why unsafe conditions exi
st or if a procedure or safety rule
was not followed in a workplace. Root causes generally reflect
management, design, planning,
organizational or operational failings (e.g., a damaged guard ha
d not been repaired; failure to
use the guard was routinely overlooked by supervisors to ensure
the speed of production).
Close Call: An incident that could have caused serious injury o
r illness but did not; also called a
“near miss.”
Investigating a worksite incident—
a fatality, injury, illness, or close call—

provides employers and
workers the opportunity to identify hazards in their operations a
nd shortcomings in their safety and
health programs. Most importantly, it enables employers and wo
rkers to identify and implement the
corrective actions necessary to prevent future incidents.
Incident investigations that focus on identifying and correcting
root causes, not on finding fault or
blame, also improve workplace morale and increase productivity
, by demonstrating an employer’s
commitment to a safe and healthful workplace.
InvestigateAllIncidents,Including“CloseCalls”
OSHA strongly encourages employers to investigate all workpla
ce incidents—both those that cause
harm and the “close calls” that could have caused harm under sl
ightly different circumstances.
Investigations are incident‐prevention tools and should be an int
egral part of an occupational safety and
health management program in a workplace. Such a program is
a structured way to identify and control
the hazards in a workplace, and should emphasize continual imp
rovement in health and safety

performance. When done correctly, an effective incident investi
gation uncovers the root causes of the
incident or ‘close call’ that were the underlying factors. Most i
mportant, investigations can prevent
future incidents if appropriate actions are taken to correct the ro
ot causes discovered by the
investigation.
Effective incident investigations are the right thing to do, not o
nly because they help employers prevent
future incidents, but because they help employers to identify ha
zards in their workplaces and
shortcomings in their safety and health management programs.
Investigations also save employers
money, because incidents are far more costly than most people r
ealize. The National Safety Council
estimates that, on the average, preventing a workplace injury ca
n save $39,000, and preventing a
fatality more than $1.4 million, not to mention the suffering of t
he workers and their families. The more
obvious financial costs are those related to workers' compensati
on claims, but these are only the direct

December 2015 3
“One central principle…is the
need to consider the
organizational factors that
create the preconditions for
errors as well as the
immediate causes.”
‐Sidney Dekker (2006)
costs of incidents. The indirect costs are less obvious, but very
commonly greater, and include lost
production, schedule delays, increased administrative time (for
emergency response, investigations,
claim processing and others), lower morale, training of new or t
emporary personnel, increased
absenteeism, and damaged customer relations and corporate rep
utation.
InvestigatePrograms,NotBehaviors
As stated previously, incident investigations that follow a syste
ms approach are based on the principle
that the root causes of an incident can be traced back to failures

of the programs that manage safety
and health in the workplace. This approach is fundamentally dif
ferent from a behavioral safety
approach, which incorrectly assumes that the majority of workpl
ace incidents are simply the result of
“human error” or “behavioral” failures. Under a systems approa
ch, one would not conclude that
carelessness or failure to follow a procedure alone was the caus
e of an incident. To do so fails to
discover the underlying or root causes of the incident, and there
fore fails to identify the systemic
changes and measures needed to prevent future incidents. When
a shortcoming is identified, it is
important to ask why it existed and why it was not previously a
ddressed.
For example:
a procedure or safety rule was not followed, why was the
procedure or rule not followed?
production pressures play a role, and, if so, why were
production pressures permitted to jeopardize safety?
the procedure out‐of‐date or safety training inadequate?
If so, why had the problem not been previously identified, or, if
it had been identified, why had it not been addressed?

A systems approach always looks beyond the immediate causes
of the incident. If a worker suffers an
amputation on a table saw, the investigator would ask questions
such as:
the machine adequately guarded? If not, why not?
Was the guard damaged or non‐functional? If so, why hadn’t it
been fixed?
the guard design get in the way of the work?
Had the employee been trained properly in the procedures to do
the job safely?
In a systems approach, investigations do not focus primarily on
the behaviors of the workers closest to
the incidents, but on the factors [program deficiencies] that pro
mpted such behaviors. The goal is to
change the conditions under which people work by eliminating
or reducing the factors that create
unsafe conditions. This is typically done by implementing adequ
ate barriers and safeguards against the
factors that cause unsafe conditions or actions.
Root causes often involve multiple deficiencies in the safety an
d health management programs. These

deficiencies may exist, for example, in areas such as workplace
design, cultural and organizational
factors, equipment maintenance and other technical matters, ope
rating systems and procedures,
December 2015 4
staffing, supervision, training, and others. Eliminating the imm
ediate causes is like cutting weeds, while
eliminating the root causes is equivalent to pulling out the roots
so that the weed cannot grow back.
FocusontheRootCauses,NotBlameorFault
A successful incident investigation must always focus on discov
ering
the root causes. If an investigation is focused on finding fault, it
will
always stop short of discovering the root causes. It is essential
to
discover and correct all the factors contributing to an incident,
which
nearly always involve equipment, procedural, training, and othe
r safety

and health program deficiencies.
Addressing underlying or root causes is necessary to truly under
stand
why an incident occurred, to develop truly effective corrective a
ctions, and to minimize or eliminate
serious consequences from similar future incidents.
Moreover, if an investigation is understood to be a search for “s
omeone to blame,” both management
and labor will be reluctant to participate in an open and forthrig
ht manner. Workers will be afraid of
retaliation and management will be concerned about recognizing
system flaws because of potential
legal and financial liabilities.
Investigationsthatfocusonidentifyingandcorrectingthereal
underlyingcausesnotonlypreventfutureincidents,butcanalso
improveworkplacemoraleandproductivity,bydemonstratingan
employer’scommitmenttoasafeandhealthfulworkplace.
ESTABLISHANINCIDENTINVESTIGATIONPROGRAM
When a serious incident occurs in the workplace, everyone will
be busy
dealing with the emergency at hand. Therefore, it is important t
o be

prepared to investigate incidents before they occur. An incident
investigation program should include a clearly stated, easy‐to‐fo
llow
written plan to include guidelines for:
and when management is to be notified of the incident
OSHA, which must comply with reporting
requirements that are:
o All work‐related fatalities within 8 hours
o All work‐related inpatient hospitalizations, all
amputations, and all losses of an eye within 24 hours
Who is authorized to notify outside agencies (i.e., fire, police,
etc.)
Who will conduct investigations and what training they should h
ave received
Timetables for completing the investigation and developing/imp
lementing recommendations
will receive investigation recommendations
EffectiveIncident
InvestigationPrograms:
writtenprocedures

trainedonincident
investigationandcompany
procedures
betweenworkers,worker
representatives,and
management
cause(s),noton
establishingfault
cause(s)
correctiveactionsbasedon
investigationfindings
programreviewtoidentify
andcorrectprogram
deficienciesandidentify
incidenttrends
Eliminating the immediate
causes is like cutting weeds,
while eliminating the root
causes is equivalent to pulling
out the roots so that the weed
cannot grow back.

December 2015 5
will be responsible for implementing corrective actions
Although a supervisor sometimes conducts incident investigatio
ns, to be most effective investigations
should be conducted by a team in which managers and employee
s work together, since each brings
different knowledge, understanding, and perspectives to an inve
stigation. Working together will also
encourage all parties to “own” the conclusions and recommenda
tions and to jointly ensure that
corrective actions are implemented in a timely manner.
Where the incident involves a temporary worker provided by a s
taffing agency, both the staffing agency
and the host employer should conduct an incident investigation.
Where the incident involves a multi‐
employer worksite, the incident investigation should be shared
with each employer at the worksite. It is
a fundamental principal that temporary workers are entitled to t
he same protections under the OSH Act

as all other covered workers. Therefore, if a temporary worker i
s injured and the host employer knows
about it, the staffing agency should be informed promptly, so th
e staffing agency knows about the
hazards facing its workers. Equally, if a staffing agency learns o
f an injury, it should inform the host
employer promptly so that future injuries might be prevented, a
nd the case is recorded appropriately.
Both the host employer and staffing agency should track and wh
ere possible, investigate the cause of
workplace injuries.
As we now know, investigations are to focus on identifying root
causes, not establishing fault. Employers
can reinforce a systems approach by stressing it in their written
program as well as their investigation
procedures. Identifying and correcting root causes should alway
s be the key objective.
December 2015 6
“Human error is not the

conclusion of an investigation.
It is the starting point.”
‐Sidney Dekker (2006)
“Errors are seen as
consequences rather than
causes”
‐James Reason (2000)
CONDUCTINCIDENTINVESTIGATIONS–
AFOUR‐STEPSYSTEMSAPPROACH
One of the biggest challenges facing the investigators is to
determine what is relevant to what happened, how it happened,
and especially why it happened. This involves conducting a syst
ems
approach incident investigation
that focuses on the root causes
of the incident to really help prevent them from happening agai
n.
This section of the guide assists the employer to implement a fo
ur‐

step approach to conduct a successful incident investigation. Inc
luded
is a set of appendices that can serve as tools for employers to us
e when conducting investigations. They
are:
A: Incident Investigation Form –
previously introduced; will be used to walk the
employer through the four incident investigation steps
B: Incident Investigator’s Kit –
lists the equipment recommended to have ready at all
times to be prepared to conduct the investigation
C: Tips for Video/Photo Documentation
D: Sketch the Scene Techniques
E: Collect Information Checklist
Appendix F: Sample Questions for Identifying Incident Root Ca
uses – Sample questions to ask in
a systems approach process
The four‐step systems approach in this guide is supported by
the Incident Investigation Form [Appendix A] and other tools.
This approach will assist employers through the incident
investigation and help to ensure the implementation of
corrective measures based on the findings.

The steps are:
1.
PRESERVE/DOCUMENT THE SCENE [see Appendices A, B,
C
and D]
2. COLLECT INFORMATION [see Appendix E]
3. DETERMINE THE ROOT CAUSES –
All the ‘Whys’ the incident occurred [see Appendix F]
4. IMPLEMENT CORRECTIVE ACTIONS –
Prevent Future Incidents
Safety First
Before investigating, all emergency response needs must be com
pleted and the incident site must be
safe and secure for entry and investigation.
December 2015 7
With an effective safety and health management program in plac
e, all the involved parties are aware of
the roles they play during the investigation. This helps the trans

ition from emergency response and site
safety to preserving the scene and documenting the incident.
Now is the time an employer’s incident investigation program’s
written plan goes into effect and the
incident investigation begins.
Step1.Preserve/DocumenttheScene
Preserve the Scene:
Preserve the scene to prevent material evidence from being rem
oved or altered; investigators can use
cones, tape, and/or guards.
Document the Scene:
Document the incident facts such as the date of the investigatio
n and who is investigating. Essential to
documenting the scene is capturing the injured employee’s name
, injury description, whether they are
temporary or permanent, and the date and location of the incide
nt. Investigators can also document the
scene by video recording, photogaphing and sketching.
Tools provided to help with Step 1 are:

Appendix A: Incident Investigation Form [applicable sections pi
ctured at all steps]
B: Incident Investigator’s Kit
C: Tips for Video/Photo Documentation
D: Sketch the Scene Techniques
December 2015 8
Step2.COLLECTINFORMATION
Incident information is collected through interviews, document
reviews and other means. Appendix E
provides a checklist to use to help ensure all information pertine
nt to the incident is collected.
In addition to interviews, investigators may find other sources o
f useful information. These include:
manuals
guidance documents
policies and records
schedules, records and logs
records (including communication to employees)
and follow‐up reports

policies and records
corrective action recommendations
Interviews can often yield detailed, useful
information about an incident. Since memories fade,
interviews must be conducted as promptly as
possible: preferably as soon as things have settled
down a bit and the site is both secure and safe. The
sooner a witness is interviewed, the more accurate
and candid his/her statement will be.
An incident investigation always involves interviewing
and possibly re‐interviewing some of the same or
new witnesses as more information becomes available, up to and
including the highest levels of
management. Carefully question witnesses to solicit as much inf
ormation as possible related to the
incident.
Since some questions will need to be designed around the interv
iewee, each interview will be a unique
experience. When interviewing injured workers and witnesses it

is crucial to reduce their possible fear
and anxiety, and to develop a good rapport. When conducting in
terviews, investigators should:
Conduct the interview in the language of the employee/intervie
wee; use a translator if needed
Clearly state that the purpose of the investigation and interview
is fact‐finding, not fault‐finding
Emphasize that the goal is to learn how to prevent future incide
nts by discovering the root
causes of what occurred
Establish a climate of cooperation, and avoid anything that may
be perceived as intimidating or
in search of someone to blame for the incident
Let employee know that they can have an employee representati
ve (e.g., labor representative),
if available/appropriate
Ask the individuals to recount their version of what happened
interrupt the interviewee
December 2015 9

Take notes and/or record the responses; interviewee must give p
ermission prior to being
recorded
Have blank paper and or sketch available for interviewee to use
for reference
clarifying questions to fill in missing information
Reflect back to the interviewees the factual information obtaine
d; correct any inconsistencies
Ask the individuals what they think could have prevented the in
cident, focusing on the
conditions and events preceding the injury
Step3.DETERMINEROOTCAUSES
The root causes of an incident are exactly what the
term implies: The underlying reasons why the
incident occurred in a workplace. Root causes
generally reflect management, design, planning,
organizational and/or operational failings (e.g.,
employees were not trained adequately; a
damaged guard had not been repaired).

Determining the root cause is the result of persistently asking “
why”
Determining the root cause is the most effective way to ensure t
he incident does not happen again
Finding the root causes goes beyond the obvious proximate or i
mmediate factors; it is a deeper
evaluation of the incident. This requires persistent “digging”, ty
pically by asking “Why” repeatedly.
Conclusions such as “worker was careless” or “employee did no
t follow safety procedures” don’t get at
the root causes of the incident. To avoid these incomplete and m
isleading conclusions in the
investigative process, investigators need to continue to ask “wh
y?” as in, “Why did the employee not
follow safety procedures?” If the answer is “the employee was i
n a hurry to complete the task and the
safety procedures slowed down the work”, than ask “Why was t
he employee in a hurry?” The more and
deeper “why?” questions asked, the more contributing factors ar
e discovered and the closer the
investigator gets to the root causes. If a procedure or safety rule
was not followed, why was the

procedure or rule not followed? Did production pressures play a
role, and, if so, why were production
pressures permitted to jeopardize safety? Was the procedure out
‐of‐date or safety training inadequate?
If so, why had the problem not been previously identified, or, if
it had been identified, why had it not
been addressed?
It cannot be stressed enough that a successful incident investiga
tion must always focus on discovering
the root causes. Investigations are not effective if they are focus
ed on finding fault or blame. If an
investigation is focused on finding fault, it will always stop sho
rt of discovering the root causes, because
it will stop at the initial incident without discovering their unde
rlying causes. The main goal must always
be to understand how and why the existing barriers against the h
azards failed or proved insufficient, not
to find someone to blame.
December 2015 10

The questions listed below are examples of inquiries that an inv
estigator may pursue to identify
contributing factors that, in turn, can lead to root causes:
If a procedure or safety rule was not followed, why was the proc
edure or rule not followed?
Was the procedure out of date or safety training inadequate? W
as there anything encouraging
deviation from job procedures such as incentives or speed of co
mpletion? If so, why had the
problem not been identified or addressed before?
Was the machinery or equipment damaged or fail to operate pro
perly? If so, why?
Was a hazardous condition a contributing factor? If so, why was
it present? (e.g., defects in
equipment/tools/materials, unsafe condition previously identifie
d but not corrected,
inadequate equipment inspections, incorrect equipment used or
provided, improper substitute
equipment used, poor design or quality of work environment or
equipment)
Was the location of equipment/materials/worker(s) a contributin
g factor? If so, why? (e.g.,
employee not supposed to be there, insufficient workspace, “err

or‐prone” procedures or
workspace design)
Was lack of personal protective equipment (PPE) or emergency
equipment a contributing
factor? If so why? (e.g., PPE incorrectly specified for job/task, i
nadequate PPE, PPE not used at
all or used incorrectly, emergency equipment not specified, avai
lable, properly used, or did not
function as intended)
Was a management program defect a contributing factor? If so,
why? (e.g., a culture of
improvisation to sustain production goals, failure of supervisor
to detect or report hazardous
condition or deviation from job procedure, supervisor accountab
ility not understood, supervisor
or worker inadequately trained, failures to initiate corrective act
ions recommended earlier)
Additional examples of questions to ask to get to the root causes
are listed in Appendix F.
Step4.IMPLEMENTCORRECTIVEACTIONS
The investigation is not complete until corrective actions are im
plemented that address the root causes

of the incident. Implementation should entail
program level improvements and should be
supported by senior management.
Note that corrective actions may be of limited
preventive value if they do not address the
root causes of the incident. Throughout the
workplace, the findings and how they are
presented will shape perceptions and
subsequent corrective actions. Superficial
conclusions such as "Bob should have used
common sense," and weak corrective actions such as “Employee
s must remember to wear PPE”, are
unlikely to improve the safety culture or to prevent future incid
ents.
December 2015 11
In planning corrective actions and how best to implement them,
employers may find that some root

causes will take time and perseverance to fix. Persisting in impl
ementing substantive corrective actions,
however, will not only reduce the risk of future incidents but als
o improve the company’s safety, morale
and its bottom line.
Specific corrective actions address root causes directly; howeve
r, some corrective actions can be
general, across‐the‐board improvements to the workplace safety
environment. Sample global corrective
actions to consider are:
Strengthening/developing a written comprehensive safety and he
alth management program
Revising safety policies to clearly establish responsibility and a
ccountability
Revising purchasing and/or contracting policies to include safet
y considerations
Changing safety inspection process to include line employees al
ong with management
representatives
Implementing a systems approach will help ensure all incident i
nvestigations are successful.

Thank you for your commitment to the safety and health of the
American workforce!
Incident[Accident]Investigations:AGuideforEmployers
December 2015 12
RESOURCES
OSHA Training Institute Education Centers: http://www.osha.go
v/otiec
The OSHA Training Institute (OTI) Education Centers are a nati
onal
network of non‐profit organizations authorized by OSHA to deli
ver
occupational safety and health training to public and private sec
tor
workers, supervisors and employers on behalf of OSHA. Releva
nt
courses are:
#7500 Introduction to Safety and Health Management
Description: This course covers the effective implementation of
a company’s safety and health
management system. The course addresses the four core elemen

ts of an effective safety and health
management system and those central issues that are critical to
each element’s proper management.
This course is an interactive training session focusing on class d
iscussion and workshops. Upon course
completion students will have the ability to evaluate, develop, a
nd implement an effective safety and
health management system for their company. Minimum studen
t contact hours: 5.5
OSHA #7505 Introduction to Incident [Accident] Investigation
Description: This course covers an introduction to basic inciden
t investigation procedures and describes
analysis techniques. Course topics include reasons for conducti
ng incident investigations, employer
responsibilities related to workplace incident investigations, an
d a four‐step incident investigation
procedure. The target audience is the employer, manager, empl
oyee or employee representative who is
involved in conducting incident and/or near‐miss or close call in
vestigations. Upon course completion
students will have the basic skills necessary to conduct an effect
ive incident investigation at the
workplace. Minimum student contact hours: 7.5

OSHA Website: www.osha.gov
Incident Investigation Webpage
http://www.osha.gov/dcsp/products/topics/incidentinvesti
gation/index.html
Injury and Illness Prevention Programs Webpage
http://www.osha.gov/dsg/topics/safetyhealth/index.html
This webpage provides information relevant to Injury and Illnes
s Prevention Programs in the
workplace. To learn more about Injury and Illness Prevention Pr
ograms, refer to:
http://www.osha.gov/Publications/OSHA3665.pdf and
http://www.osha.gov/dsg/topics/safetyhealth/OSHAwhite‐paper‐
january2012sm.pdf
December 2015 13
OSHA’s "$afety Pays" program

online tool can help employers assess the impact of
occupational injuries and illnesses on their profitability. To
learn more about OSHA’s "$afety Pays" program, visit
http://www.osha.gov/dcsp/smallbusiness/safetypays/
Other: UK Health and Safety Executive
Investigating Accidents and Incidents: A Workbook for employe
rs, unions, safety representatives,
and safety professionals. 2004. http://www.hse.gov.uk/pubns/hs
g245.pdf
December 2015 14
REFERENCES
Center for Chemical Process Safety publication, Guidelines for
Preventing Human Error in
Process Safety, Center for Chemical Process Safety (CCPS), 19
94.
Conklin, T., Pre‐Accident Investigations: An Introduction to Or

ganizational Safety, Ashgate
Publishing Company; 1 edition (September 28, 2012), ISBN‐10:
1409447820, ISBN‐13: 978‐
1409447825
Dekker, S., The Field Guide to Understanding Human Error, As
hgate Publishing Company; 1
edition (June 30, 2006), English, ISBN‐10: 0754648265; ISBN‐
13: 978‐0754648260
National Safety Council, http://www.nsc.org/pages/home.aspx
Reason, J., Human error: models and management, BMJ 2000;3
20:768
A‐1
APPENDIXA:INCIDENTINVESTIGATIONFORM
Form Section Systems Approach
Section A: Information Step 1
Company Name: ______________________________________
_ Date: ____________
Investigator (or) Team Name (s) and Titles:
Name Title

_________________________________
_____________________________________
_________________________________
_____________________________________
_________________________________
_____________________________________
_________________________________
_____________________________________
Section B: Incident Description/Injury Information
Step 1 and Step 2
1) Name and Age of Injured Employee:
_______________________________________________
Employee’s first language: ______________________________
__________________________
Employees Job Title: ___________________________________
__________________________
Job at time of injury:
_____________________________________________________
_______
Type of employment: Full‐time Temporary
Seasonal Other: ________
Length of time with Company:

____________________________________________________
Length in current position at the time of the incident:
_________________________________
Description and severity of injury:
_________________________________________________
2) Date and time of incident:
_____________________________________________________
__
3)
Location of Incident: __________________________________
__________________________
NOTE: Items 4, 5, and 6 are used for both Step 1 and Step 2
4)
Detailed description of incident: Include relevant events leadin
g up to, during, and after the
incident. (It is preferred that the information is provided by the
injured employee.)
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________

_____________________________
_____________________________________________________
_____________________________
Use additional pages if needed
A‐2
5)
Description of incident from eye witnesses, including relevant e
vents leading up to, during and
after the incident. Include names of persons interviewed, job titl
es and date/time of interviews.
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________

_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
6)
Description of incident from additional employees with knowled
ge, including relevant events
leading up to, during and after the incident. Include names of pe
rsons interviewed, job titles and
date/time of interviews.
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________

_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
A‐3
Section C: Identify the Root Causes: What Caused or Allowed t
he Incident to Happen? Step 3
The Root Causes are the underlying reasons the incident occurre

d, and are the factors that need to
be addressed to prevent future incidents. If safety procedures w
ere not being followed, why were
they not being followed? If a machine was faulty or a safety de
vice failed, why did it fail? It is
common to find factors that contributed to the incident in severa
l of these areas:
equipment/machinery, tools, procedures, training or lack of trai
ning, and work environment. If
these factors are identified, you must determine why these facto
rs were not addressed before the
incident.
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________

_____________________________________________________
_____________________________
Section D: Recommended Corrective Actions to Prevent Future
Incidents Step 4
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
Section E: Corrective Actions Taken/ Root Causes Addressed
Step 4
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________

_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
_____________________________________________________
_____________________________
B‐1
APPENDIXB:INCIDENTINVESTIGATOR’SKIT
Sample list of items to use to conduct the investigation:
Batteries (for phones, cameras, equipment, etc.)
/ Audio recorder
devices in various sizes
rod
and writing pad
pencils, markers

paper
Straight‐edge ruler (Can be used as a scale reference in photos)
investigation forms
stakes, warning tape
marking cones
Personal protective equipment: Gloves, hat, eyewear, ear plugs,
face mask, etc.
glass
visibility plastic tapes to mark off area
aid kit
gloves
Sampling [holding] containers with seals (Various types: bags, j
ars, containers, etc.)
tags
of tape: Scotch, masking, duct
ruler

stick (yellow/black)
(yellow/white)
C‐1
APPENDIXC:TIPSFORVIDEO/PHOTODOCUMENTATION
Note: Interviewees must be aware that they are being video reco
rded and/or photographed. It
is recommended that investigators obtain permission from the in
terviewee prior to the
interview.
Tips for Video Documentation:
Video the scene as soon as possible; doing this early on will pic
k up details that may
later add valuable information to the investigation
slowly 360 degrees left and right to establish location

Narrate what is being taped, and describe objects, size, directio
n, location, etc.
If vehicles were involved, record direction of travel, going and
coming
Tips for Photograph Documentation:
make notes about the photos taken
Start by taking distance shots first then move in to take closer p
hotos of the scene
Take photos at different angles (from above, 360 degrees of sce
ne, left, right, rear)
to show the relationship of objects and minute and/or transient d
etails such as ends
of broken rope, defective tools, drugs, wet areas, or containers
Take panoramic photos to help present the entire scene, top to b
ottom ‐ side to side
Take notes on each photo; these should be included in the incide
nt investigation file
with the photos
Identify and document the photo type, date/time/location taken,
subject, weather
conditions, measurements, etc.

Place an item of known dimensions in the photo to add a frame
of reference and
scale (e.g., a penny, a pack of cards)
the person taking the photo
Indicate the locations where photos were taken on sketches (See
Appendix D)
D‐1
APPENDIXD:SKETCHTHESCENETECHNIQUES
1.
Make sketches large; at least 8” x 10” and clear, be sure to print
legibly
2.
Include “Incident Details” (i.e., time, date, injured, location, co
nditions, etc.)
3.
Include measurements (i.e. distances, heights, lengths, etc.) and
use permanent points (e.g.,
telephone pole, building) to clearly present the measurements
4. Indicate directions – N= North; E= East; W= West; S= South
5.
Make notes on sketch to provide additional information such as
the photo location and/or

where people were at the time of the incident
Note: The sketch can be used during interviews to help intervie
wees identify their location before,
during or after the incident
E‐1
APPENDIXE:COLLECTINFORMATIONCHECKLIST
Investigators should be sure their investigation answers the foll
owing questions:
WHO? WHERE?
was injured?
saw the incident?
was working with the employee?
had instructed/assigned the employee?
else was involved?
else can help prevent recurrence?
did the incident occur?
was the employee at the time?
was the supervisor at the time?
were fellow workers at the time?
were other people who were involved at
the time?
were witnesses when incident occurred?

WHAT? WHY?
was the incident?
was the injury?
was the employee doing?
had the employee been told to do?
tools was the employee using?
machine was involved?
operation was the employee performing?
instructions had the employee been given?
specific precautions were necessary?
specific precautions was the employee given?
protective equipment should have been
used?
protective equipment was the employee
using?
had other persons done that contributed to
the incident?
problem or questions did the employee
encounter?
did the employee or witnesses do when the
incident occurred?
extenuating circumstances were involved?
did the employee or witnesses see?
will be done to prevent recurrence?
safety rules were violated?
new rules are needed?
was the employee injured?
and what did the employee do?

and what did the other person do?
wasn’t protective equipment used?
weren’t specific instructions given to the
employee?
was the employee in the position?
was the employee using the tools or machine?
didn’t the employee check with the supervisor
when the employee noted things weren’t as they
should be?
did the employee continue working under the
circumstances?
wasn’t the supervisor there at the time?
WHEN? HOW?
did the incident occur?
did the employee start on that job?
was the employee assigned on the job?
were the hazards pointed out to the
employee?
was the employee’s supervisor last check on
job progress?
did the employee first sense something was
wrong?
did the employee get injured?
could the employee have avoided it?
could fellow workers have avoided it?
could supervisor have prevented it ‐ could it

be prevented?
F‐1
APPENDIXF:SAMPLEQUESTIONSFORIDENTIFYINGINCIDE
NTROOTCAUSES
QUESTIONS
1.
Did a written or well‐established procedure exist for employees
to follow?
2.
Did job procedures or standards properly identify the potential h
azards of job performance?
3.
Were there any hazardous environmental conditions that may ha
ve contributed to the incident?
4.
Were the hazardous environmental conditions in the work area r
ecognized by employees or
supervisors?
5.
Were any actions taken by employees, supervisors, or both to el
iminate or control environmental
hazards?
6.
Were employees trained to deal with any hazardous environment
al conditions that could arise?

7. Was sufficient space provided to accomplish the job task?
8.
Was there adequate lighting to properly perform all the assigned
tasks associated with the job?
9. Were employees familiar with job procedures?
10.
Was there any deviation from the established job procedures?
11.
Were the proper equipment and tools available and being used f
or the job?
12.
Did any mental or physical conditions prevent the employee(s) f
rom properly performing their jobs?
13.
Were there any tasks in the job considered more demanding or d
ifficult than usual (e.g., strenuous
activities, excessive concentration required, etc.)?
14.
Was there anything different or unusual from normal operations
? (e.g., different parts, new or
different chemicals used, recent adjustments/maintenance/cleani
ng on equipment)
15.
Was the proper personal protective equipment specified for the j
ob or task?
16.
Were employees trained in the proper use of any personal protec
tive equipment?
17.
Did the employees use the prescribed personal protective equip
ment?
18.
Was personal protective equipment damaged or not properly fun

ctioning?
19.
Were employees trained and familiar with the proper emergency
procedures, including the use of
any special emergency equipment and was it available?
20.
Was there any indication of misuse or abuse of equipment and/o
r materials at the incident site?
21.
Is there any history of equipment failure, were all safety alerts a
nd safeguards operational and was
the equipment functioning properly?
22.
If applicable, are all employee certification and training records
current and up‐to‐date?
23.
Was there any shortage of personnel on the day of the incident?
24.
Did supervisors detect, anticipate, or report an unsafe or hazard
ous condition?
25.
Did supervisors recognize deviations from the normal job proce
dure?
26.
Did supervisors and employees participate in job review session
s, especially for those jobs
performed on an infrequent basis?
27.
Were supervisors made aware of their responsibilities for the sa
fety of their work areas and

employees?
28.
Were supervisors properly trained in the principles of incident p
revention?
29.
Was there any history of personnel problems or any conflicts wi
th or between supervisors and
employees or between employees themselves?
30.
Did supervisors conduct regular safety meetings with their empl
oyees?
31.
Were the topics discussed and actions taken during the safety m
eetings recorded in the minutes?
32.
Were the proper resources (i.e., equipment, tools, materials, etc.
) required to perform the job or
task readily available and in proper condition?
33.
Did supervisors ensure employees were trained and proficient b
efore assigning them to their jobs?
1
Course Learning Outcomes for Unit I
Upon completion of this unit, students should be able to:

1. Identify key benefits of conducting accident investigations.
2. Describe the accident investigation process.
2.1 Explain the differences in accident categories.
Reading Assignment
Chapter 1:
What is an Accident?
Chapter 2:
An Accident Happens: What Do You Do? How Long Do You Do
It?
Access the resource below, and read pp. 1-5:
Occupational Safety and Health Administration. (2015).
Incident [accident] investigations: A guide for
employers. Retrieved from
https://www.osha.gov/dte/IncInvGuide4Empl_Dec2015.pdf
In order to access the resource below, you must first log into
the myWaldorf Student Portal and access the
Business Source Complete database within the Waldorf Online
Library. To reduce the amount of results you
receive, it is recommended to search for the article by title and
author.
Boraiko, C., Beardsley, T., & Wright, E. (2008). Accident
investigations. Professional Safety, 53(9), 26-29.
Unit Lesson
The goal of any safety and health program is to prevent injuries,
illnesses, and property damage. When one

of these unwanted events happens, it is no surprise that it may
be seen as a failure of the safety program, the
safety manager, or the organization itself. After all, accidents
are preventable, right? Think about that for a
moment—do you believe that all accidents are preventable? Was
there a time in your life where you tripped
over your own feet for no apparent reason and stumbled or fell?
What could you have done to prevent this
from happening? Could you even foresee it happening? Is the
solution to pay attention to where/how you are
walking? How would you do that? The reality is that you
probably shrugged your shoulders and said, “Well,
that was a dumb thing to do,” and, most likely, you moved on
without making any changes to the way you
walked. The reality is that something caused you to stumble and
fall; you just cannot identify it (or you do not
want to take the time to identify it).
While it is likely true that all accidents are preventable, finding
and correcting the causes is not easy. Some
might even say that accidents are inevitable. We know that we
cannot reduce risk to zero, so there is always
a probability, however small, that an accident will happen.
Before we continue, perhaps we should look deeper into what
we mean by an accident. A simple definition of
accident would be an unplanned series of events that result in
injury, illness, or property damage (Oakley,
2012). Note that the definition does not indicate how serious the
injury, illness, or property damage would be
but, rather, includes everything from minor bumps and bruises
to fatalities. It includes one dollar’s worth of
property damage to millions of dollars’ worth of damage. The
key to the definition is the word “unplanned.” We
could also use the words unexpected, undesired, or unwanted.
Some organizations use terms like mishap or

UNIT I STUDY GUIDE
Introduction to Accident Investigation
https://www.osha.gov/dte/IncInvGuide4Empl_Dec2015.pdf
2
UNIT x STUDY GUIDE
Title
incident rather than accident, citing that the word accident
implies that nothing can be done to correct the
problem—hence the saying, “it was just an accident.” Different
terms are sometimes used to differentiate
injuries from property damage or to discern serious injuries
from minor injuries. For consistency in this course,
we will be using the term “accident” for all of these unwanted
events, regardless of severity.
Every accident provides an opportunity to identify conditions,
processes, or practices that, if corrected, would
aid our overall accident prevention efforts. A well-designed
accident investigation process ensures that
causes are identified without bias or blame, and effective
measures to eliminate or control the causes are
identified and implemented.
Most safety practitioners divide accidents into categories based
on severity. A typical list in order of
decreasing severity might resemble the following (Oakley,
2012):

Accidents of lower severity are often considered precursors to
accidents of greater severity, so there is a
prevention benefit to investigating all accidents. The severity
can be used to determine the depth of the
investigation and who will conduct it. You probably would not
want to expend the same resources
investigating a near miss as you would a fatality, but you also
would not want to completely ignore the near
miss.
The effectiveness of any accident investigation depends on the
knowledge and experience of the investigator.
Workplace accidents are, statistically speaking, a rare event,
considering the millions of man hours worked
every year. Many safety professionals will never have the
opportunity (or misfortune) to investigate a fatality.
This is a good thing, of course, but it creates a dilemma—how
does one acquire the necessary knowledge
and experience? Certainly, this course will help, but it does not
provide a cookbook or checklist solution.
Each accident scenario is different and can be approached from
many different angles. An organization’s
safety culture, or lack of safety culture, may also affect how
accidents are investigated. For some
organizations, a team approach to investigation may work best,
especially for serious accidents. Supervisors

are often tasked with conducting investigations of accidents that
happen within their work crews, but this
approach has some drawbacks. If accidents are rare events at the
organizational level, they are even rarer at
the worksite level, so supervisors will get fewer opportunities to
improve their skills. In addition, causal factors
may lead back to the supervisor, so there could be a significant
bias in how the investigation is conducted.
Accident investigation is a reactive process that happens only
after an adverse event, but that does not mean
the process cannot be planned in advance. Having a pre-accident
plan that defines roles and responsibilities
in the accident investigation process will reduce the time
needed to conduct the investigation and increase the
overall effectiveness. The plan should include the following:
ts are to be investigated,
ocess.
Each individual with responsibilities in the accident
investigation process should have a copy of the plan. The
first action to take when notified of an accident should be to

refer to the plan. The U.S. Department of the
Interior’s Bureau of Land Management has an excellent example
of a pre-accident plan at the following link:
BLM Pre-Accident Plan.
https://www.google.com/url?sa=t&rct=j&q=&esrc=s&source=w
eb&cd=5&cad=rja&uact=8&ved=0CD0QFjAEahUKEwje9MWo
weXHAhUTNYgKHV6FD00&url=http://www.ntc.blm.gov/krc/u
ploads/330/Pre-
accident%20plan.doc&usg=AFQjCNGxgieXo0lY4NVenC6NQD
dbf3Np9Q&sig2=ql0gJIxK-8Kh
3
UNIT x STUDY GUIDE
Title
In the next unit, we will examine various theories of accident
causation that can be used in the investigation
process. In subsequent units, will we outline the investigation
process and use some real-world scenarios to
which the theories can be applied.
Reference
Oakley, J. S. (2012). Accident investigation techniques: Basic
theories, analytical methods, and applications
(2nd ed.). Des Plaines, IL: American Society of Safety
Engineers.
Suggested Reading
Access the Washington State Department of Labor and
Industries at the link below, and download the
PowerPoint presentation on Accident Investigation Basics. This

presentation will provide more information on
what an accident is, why they should be investigated, and how
they should be investigated.
Washington State Department of Labor & Industries. (2009).
Accident investigation basics. Retrieved from
http://www.lni.wa.gov/SAFETY/TRAININGPREVENTION/ON
LINE/courseinfo.asp?P_ID=145
Reading this article will provide more insight into how accident
investigations can be used as part of an overall
accident prevention program.
In order to access the resource below, you must first log into
the myWaldorf Student Portal and access the
Business Source Complete database within the Waldorf Online
Library. To reduce the amount of results you
receive, it is recommended to search for the article by title and
author.
Cook, N. (2013). Accident investigation. Rospa Occupational
Safety & Health Journal, 43(11), 13-18.
The United Kingdom’s Health and Safety Executive workbook
on accident investigation is a good resource to
learn more about how investigations are handled outside of the
United States:
Health and Safety Executive. (2004). Investigating accidents
and incidents. Retrieved from
http://www.hse.gov.uk/pubns/hsg245.pdf
Learning Activities (Non-Graded)
After you complete your reading assignment from the course
textbook, answer the review questions on pages

8 and 16. Answer the questions as completely as you can, using
concepts and other information learned in
Chapters 1 and 2 of the textbook. Think about what you learned
that might apply to your organization and
how it might help you make your organization more safety
conscious.
The purpose of this activity is to help you study and learn the
concepts taught in this unit. This is a non-
graded activity, so you will not submit it. If you experience
difficulty in mastering any of the concepts, contact
your instructor for additional information and guidance.
Workers’ Compensation Insurance:
A Primer for Public Health
Department of Health and Human Services
Centers for Disease Control and Prevention
National Institute for Occupational Safety and Health
Workers’ Compensation Insurance: A Primer for Public Health
Workers’ Compensation Insurance:
A Primer for Public Health
David F. Utterback,
Alysha R. Meyers,

Introduction to OSHA Directorate of Training and Educati.docx

Introduction to OSHA Directorate of Training and Educati.docx

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