The steps in the investigation are simple: the investigators gather data, analyze it, determine their findings, and make recommendations. Although the procedures are seemingly straightforward, each step can have its pitfalls. As mentioned above, an open mind is necessary in an investigation: preconceived notions may result in some wrong paths being followed while leaving some significant facts uncovered. All possible causes should be considered. Making notes of ideas as they occur is a good practice but conclusions should not be made until all the data is gathered.
Before attempting to gather information, examine the site for a quick overview, take steps to preserve evidence, and identify all witnesses. In some jurisdictions, an incident site must not be disturbed without approval from appropriate government officials such as the coroner, inspector, or police. Physical evidence is probably the most non-controversial information available. It is also subject to rapid change or obliteration; therefore, it should be the first to be recorded. Based on your knowledge of the work process, you may want to check items such as:
- positions of injured workers
- equipment being used
- products being used
- safety devices in use
- position of appropriate guards
- position of controls of machinery
- damage to equipment
- housekeeping of area
- weather conditions
- lighting levels
- noise levels
- time of day
You may want to take photographs before anything is moved, both of the general area and specific items. A later study of the pictures may reveal conditions or observations that were missed initially. Sketches of the scene based on measurements taken may also help in later analysis and will clarify any written reports. Broken equipment, debris, and samples of materials involved may be removed for further analysis by appropriate experts. Even if photographs are taken, written notes about the location of these items at the scene should be prepared.
Although there may be occasions when you are unable to do so, every effort should be made to interview witnesses. In some situations witnesses may be your primary source of information because you may be called upon to investigate an incident without being able to examine the scene immediately after the event. Because witnesses may be under severe emotional stress or afraid to be completely open for fear of recrimination, interviewing witnesses is probably the hardest task facing an investigator.
Witnesses should be kept apart and interviewed as soon as possible after the incident. If witnesses have an opportunity to discuss the event among themselves, individual perceptions may be lost in the normal process of accepting a consensus view where doubt exists about the facts.
Witnesses should be interviewed alone, rather than in a group. You may decide to interview a witness at the scene where it is easier to establish the positions of each person involved and to obtain a description of the events. On the other hand, it may be preferable to carry out interviews in a quiet office where there will be fewer distractions. The decision may depend in part on the nature of the incident and the mental state of the witnesses.
The purpose of the interview is to establish an understanding with the witness and to obtain his or her own words describing the event:
- put the witness, who is probably upset, at ease
- emphasize the real reason for the investigation, to determine what happened and why
- let the witness talk, listen
- confirm that you have the statement correct
- try to sense any underlying feelings of the witness
- make short notes or ask someone else on the team to take them during the interview
- ask if it is okay to record the interview, if you are doing so
- close on a positive note
- intimidate the witness
- ask leading questions
- show your own emotions
- jump to conclusions
Ask open-ended questions that cannot be answered by simply "yes" or "no". The actual questions you ask the witness will naturally vary with each incident, but there are some general questions that should be asked each time:
- Where were you at the time of the incident?
- What were you doing at the time?
- What did you see, hear?
- What were the work environment conditions (weather, light, noise, etc.) at the time?
- What was (were) the injured worker(s) doing at the time?
- In your opinion, what caused the incident?
- How might similar incidents be prevented in the future?
Asking questions is a straightforward approach to establishing what happened. But, care must be taken to assess the accuracy of any statements made in the interviews.
Another technique sometimes used to determine the sequence of events is to re-enact or replay them as they happened. Care must be taken so that further injury or damage does not occur. A witness (usually the injured worker) is asked to reenact in slow motion the actions that happened before the incident.
Data can be found in documents such as technical data sheets, health and safety committee minutes, inspection reports, company policies, maintenance reports, past incident reports, safe-work procedures, and training reports. Any relevant information should be studied to see what might have happened, and what changes might be recommended to prevent recurrence of similar incidents.
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