Topic 4:
Incident Prevention,
Investigation and
Corrective Action
Learning Objectives
1) Understand the differences between incident, accident, and near-
misses.
2) Recognise the principles of incident prevention and the importance
of implementing incident investigation.
3) Identify strategies and methods that are significant to incident
investigation.
4) Recommend preventive action to avoid incident.
5) Propose corrective action to rectify damages due to incident.
6) Discuss current / legal issues due to the absence of incident
prevent, investigation and corrective action.
What is Incident?
• An incident is an event that has accidentally happened.
However, despite the “unintentionally”, an incident may
still result in damage, harm, and injury. Hence, in can be
concluded that every accident is an incident, but not all
incidents can be called as an accident (NIOSH, 2005).
Incident VS Accident VS Near-Miss
• Incidents - an instance of something happening, an unexpected
event or occurrence that doesn’t result in serious injury or illness
but may result in property damage.
• Near miss - a barely avoided accident.
• Accidents - an unexpected event that results in serious injury or
illness of an employee and may also result in property damage.
So, an incident can involve a near miss, where someone narrowly avoided injury or
illness. But, if a serious injury takes place, it is already considered as an accident.
Types of Accidents
• Minor accidents:
Paper cut occurs on finger, box of materials dropped on
toe
• Serious accidents (cause injury or damage to equipment or
property):
Falling off a ladder, hazardous chemical spill, forklift
dropping a load
• Long Term:
Hearing loss, cancer resulting from exposure to chemicals
Root Causes of An Incident or Accident
(Accident Causation Model)
(Source: NIOSH
Topic 4 (Part I):
Incident Prevention
Be Prepared – Method to Prevent
• Conduct risk management which includes the HIRARC (Hazard
Identification, Risk Assessment, and Risk Control)
• Safety training (creating awareness) i.e., fire drill, campaign,
seminar, talk etc.
• Safety related policies and procedures development
Be Prepared – Before the Incident
• Identify the “person-in-charge” with the authority, experience, and aptitude,
and knowledge to investigate the incident. The appointed “person-in-charge”
must also be knowledgeable in conducting mitigation action, and the
corrective action.
• Company can also appoint or outsource a dedicated “trained” and
“competent investigator” that is only responsible in incident investigation.
• Company must be equipped with system to notify and record (capture) all
happened incidents and injuries.
Be Prepared – How Much to Prepare?
• Level of preparation is depending on:
the number of employees and type of workplaces.
the equipment required to conduct the investigation.
the ability for investigator / PIC to reach an investigation site as soon as
possible.
the geographical location of the workplace
the required and the availability of the reliable transportation
Topic 4 (Part II):
Incident Investigation
What is an Incident Investigation?
• A management tool by which:
Work-related injuries, ill health, diseases and incidents
are systematically studied so that their root causes and
contributing factors can be identified
The organisation’s Occupational Safety and Health
management system can be continually improved
Why Conduct Incident Investigation?
• To prevent repetition of the same work-related injuries, ill
health, diseases and incidents
• Compliance to Legal Requirement
• Accurate record (for insurance, legal prosecution, public
enquiries)
• Organization’s own policy and business reasons
Who Should Conduct Incident
Investigation?
• Internal Investigation team
Individuals involved
Supervisor, Safety officer
Upper management
External consultants
Members of the Safety and Health Committee
• External agency involvement
DOSH and / or DOE, Police, etc.
• However, the individual to conduct the incident investigation is still
depending on the severity (seriousness) of the incident.
“What” and “When” to do Incident
Investigation?
• All serious and long-term incidents & near misses
• As soon as possible to prevent:
Scene interference
Deterioration of evidence
Losing people’s recollection of the incidence
Principles of Incident Investigation
• Must be carried out according to the incident investigation
procedure:
The procedure applies to all types of incidents.
According to the procedure, incident investigation must be
conducted by competent persons with workers’ participation.
• It is also pivotal for the incident investigation to:
be systematic and documented
be treated as urgent (to prevent productivity loss and
deterioration of evidence)
be objective (fact finding only)
find the underlying root cause
identify failures in OSH management system
allow the implement of the corrective action
Principles of Incident Investigation
(Continued)
• The results / findings from the investigation should:
Be communicated to the Safety and Health Committee who
should make appropriate recommendations
Include external investigation reports such as DOSH and SOCSO
Be communicated to appropriate persons for corrective action
Included in management review (OHSAS 18001)
Investigation Kit Preparation
• Camera & Video Camera
• Cassette Tape Recorder
• Flash and Batteries
• Mobile Telephone / Walkie-Talkie
• Clipboard, Pre-printed Forms
• PPE
• Containers for Taking and Storing Samples
• Barrier Tape
Individuals’ Responsibilities (During
Investigation)
• Employee
Record in incident book (supervisor checks)
• Supervisor / Manager
Initiate risk control response: first-aid, fence area, etc. other preventive action
Inform SHO
• Safety and Health Officer (if available)
Organize camera, tape and report form
Check line management report
Investigate if incident is serious and require to notify authorities such as
DOSH, Department of Environment (DOE), Police, etc.
Complete incident record form
Summary report to Safety and Health Committee
Individuals’ Responsibilities (During Investigation)
(Continued)
• Investigator
Visit and survey incident scene
Eliminate the hazards:
Control of chemicals
De-energise
De-pressurise
Light it up
Shore it up
Ventilate
Topic 4 (Part III):
Incident Corrective
Action
Incident Corrective Action
• The incident corrective action should be carried out for:
the incidents that just happened
the “management system non-conformances”
• Recommendations or ideas for corrective actions must be communicated
clearly and understood thoroughly by everyone.
Implementing Corrective Action
• Must be based on the root cause
• Appropriate to the problem at hand
• Reviewed through risk assessment process to ensure that
the correction will not introduce a new hazard
• Establish a strict timetable for implementation (set
deadline)
• Conduct follow up action
THE END
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