Basic Accident Investigation

BASIC ACCIDENT INVESTIGATION

REFERENCE GUIDE & LECTURE NOTES

Written & Presented by Dr. Robert Ing, DSc, FAPSc, CPO

www.drroberting.comJuly 2011

National Security & Intelligence Service Conference


What You Will Learn -

•Common terminology & definitions

•How to secure and survey the scene

•How to identify witnesses & conduct interviews

•How to gather information & evidence

•The basic components of an accident report

•How to determine causes & make recommendations

•How to assemble a basic accident investigation kit

•The 8 Steps of Accident Investigation

BASIC ACCIDENT INVESTIGATIONCOMPANY POLICY

An Accident Investigation will be conducted forALL Accidents and Incidents regardless of level of injury.

An Accident is a situation where a person is injured orwhere property is damaged. The person need not require

medical attention to be considered injured and theproperty damage may be only superficial but they are

still the result of an ACCIDENT and need to be investigated.

An Incident is a situation where no individuals sustainedany form of injury and there was no property damage.

However, the Incident had the potential of injury and damageand could be considered a “near-miss” or “close call” accident.

An INCIDENT must be investigated.We Investigate to Learn to MANAGE the RISK

of Personal Injury and Property Damage.


The Objective of Accident Investigation is . . .

ACCIDENT PREVENTIONThis is accomplished by

•Determining the causes & circumstances of the accident.

•Making recommendations and taking steps to controlor eliminate these causes & circumstances in orderto prevent or reduce the risk of similar accidents.


The Objective of the Accident Investigator is . . .

FACT FINDING NOT FAULT FINDINGThis is accomplished by

•Examining all physical evidence

•Interviewing those directly involved & witnesses

•Filing a detailed report on the accident.

•Identification of the causes & circumstances of the accident

•Making recommendations to control the risk of similar accidents


The Objective of Accident Investigation is ACCIDENT PREVENTION.

Accident Investigation DETERMINES CAUSES & CIRCUMSTANCES

of the accident and makes RECOMMENDATIONS TO CONTROL THE RISK OF SIMILAR ACCIDENTS.

The Objective of the Accident Investigator isFACT FINDING NOT FAULT FINDING.

Review


BASIC ACCIDENT INVESTIGATION KITRecommended Contents –

50 foot tape measure12 inch metal rulerAA LED flashlightDigital flash cameraDigital voice recorder100 feet barrier tape100 blank 3” x 5” card tents or evidence marking tents100 assorted evidence bags (medium to extra-large)White sidewalk chalkBlack permanent ink marker3 pairs disposable latex glovesBlack ink ballpoint pen and mechanical pencilClipboardAccident investigation forms and checklists


BASIC ACCIDENT INVESTIGATION KIT

The Accident Investigation Kit should be -

•Inspected on a monthly basis

•Kept in the office or vehicle of a senior investigator


THE 8 STEPS OF AN ACCIDENT INVESTIGATION

STEP 1:EMERGENCYRESPONSE

STEP 3:IDENTIFY

WITNESSES

STEP 2:SECURESCENE

STEP 4:GATHER

EVIDENCE

STEP 5:INTERVIEWWITNESSES

STEP 6:ANALYZE

FACTS

STEP 7:PREPAREREPORT

STEP 8:FOLLOW UP



ASSESS * PREVENT * PROTECT * SECURE



Emergency Response Objectives

STEP 1: EMERGENCY RESPONSE

•PREVENT the situation from getting worse

•PROTECT Life

•PROVIDE FIRST AID•CONTACT EMERGENCY SERVICES

•PROTECT Property•SECURE AREA to ensure free access for Emergency services and that nothing is disturbed

•ASSESS the situation and take charge


STEP 2:SECURESCENE

ASSESS * CONTROL * ISOLATE


STEP 2:SECURESCENE

STEP 2: SECURE SCENE

Secure Scene Objectives

•ASSESS the situation and take charge

•CONTROL crowds and onlookers

•ISOLATE the accident scene so nothing is removed


STEP 3:IDENTIFY

WITNESSES

IDENTIFY * INFORM * PLAN


STEP 3:IDENTIFY

WITNESSES

STEP 3: IDENTIFY WITNESSES

Identify Witness Objectives

•IDENTIFY witnesses first by making a list of names and contact information

•IDENTIFY those directly involved in the accident secondby making a list of names and contact information

•INFORM all witnesses that their help is needed todetermine what happened and to reduce the risk of asimilar accident

•PLAN to interview all witnesses within 24 hours


STEP 4:GATHER

EVIDENCE

IDENTIFY * RECORD * DOCUMENT * LIST


STEP 4:GATHER

EVIDENCE

STEP 4: GATHER EVIDENCE

Gather Evidence Objectives

•IDENTIFY articles of physical evidence at the scene bylisting and tagging all physical evidence.

•RECORD appearance of the scene by photography ormaking a sketch of the scene. Take measurements ofthe area and note the locations of physical evidence.

•DOCUMENT scene environment such as weather, temperature, general conditions, surrounding areas tothe scene.

•LIST questions regarding physical evidence that must be determined.


STEP 4:GATHER

EVIDENCE



•IDENTIFY articles of physical evidence at the scene bylisting and tagging all physical evidence.

Evidence tags must contain the following information:

Unique reference number for each piece of evidence

Date and time evidence was found/tagged

Physical name or description of evidence

Exact location where evidence was found

Printed name and written initials of investigator on scene


STEP 4:GATHER

EVIDENCESTEP 4: GATHER EVIDENCE

Sample Evidence Tag

Tag / Reference # ____________________________

Date ____________________ Time _______________

Item Name / Description _______________________________________________________________________________________________________________________

Location _______________________________________________________________________________________

Investigator ________________ Initials _________

EVIDENCE

Number here matches numberon evidence list and referencenumbers on sketches/photos

BASIC ACCIDENT INVESTIGATIONSTEP 4:GATHER

EVIDENCE

Scene Sketches must be drawn on graph paper with eachsquare representing a unit of standard measure

(ie. 1 foot, 1 yard, 1 meter, etc.).


•RECORD appearance of the scene by photography ormaking a sketch of the scene. Take measurements ofthe area and note the locations of physical evidence.

Measurements of the scene must include the size of theaccident area, the distance between the victim and anyother victims, equipment or other physical evidence

involved.



STEP 4:GATHER

EVIDENCE


Sample Scene Photograph

18

9

27Numbers here match numberson evidence tags and reference

numbers on evidence list

South

North


STEP 4:GATHER

EVIDENCE


Sample Scene Sketch

Numbers here match numberson evidence tags and reference

numbers on evidence list

9

27

18

1 Square = 6 inches

South

North


STEP 4:GATHER

EVIDENCE



•LIST questions regarding physical evidence that must be determined.

An INVESTIGATION MATRIX is used to follow detailsbefore, during and after an accident.

The initial matrix will contain a detailed list of questionsthat must be answered in order to fully investigate theaccident. A second matrix will list in point form, theanswers to these specific questions and will build a

process map of the accident.


EVIDENCE


Sample Investigation Matrix

ProcessesMethodology

Environment

Materials

Equipment& Tools

People

AfterDuringBeforeFACTORS


EVIDENCE




Environment

Materials

Equipment& Tools

People

AfterDuringBeforeFACTORSList those directly involved

and witnesses

List equipment and tools directly involved

List all materials (hazardous andNon-hazardous) involved

List weather conditions, internal conditionsand observed conditions

List in detail any specific procedures, methodsor sequence of events that were being followed

before or during the accident


EVIDENCE




Environment

Materials

Equipment& Tools

People

AfterDuringBeforeFACTORS

List questions and answers relating to theRelevant FACTORS for

Before, During and After the accident



CONFIRM * IDENTIFY * CORROBORATE * OBTAIN



STEP 5: INTERVIEW WITNESSESInterview Witnesses Objectives

•CONFIRM and explain what has happened before, during and after the accident.

•IDENTIFY the identity of all persons involved in theaccident and those with possible knowledge of theaccident.

•CORROBORATE and verify all other witnesses’ accounts of the accident.

•OBTAIN suggestions and feedback on preventingsimilar accidents.



STEP 5: INTERVIEW WITNESSESInterview Witnesses Guidelines

•The Goal of Interviewing Witnesses is to find fact,not to determine fault.

•Conduct interviews as soon as possible.

•Always tell the witness the purpose of the investigation and interview.

•Information that is volunteered is more reliablethan information that is demanded.

•Let them tell you what happened and ask yourquestions at the end.

•Take notes and only use a tape recorder to recordstatements if you have advised the witness first.


STEP 6:ANALYZE

FACTS

IDENTIFY * SEPARATE * CROSS REFERENCEVERIFY * DETERMINE


STEP 6:ANALYZE

FACTS

STEP 6: ANALYZE FACTSAnalyze Facts Objectives

•IDENTIFY what has been found and what is missing.•SEPARATE facts from opinions.

•CROSS REFERENCE witnesses’ statements andexamined evidence.

•VERIFY the consistency of statements and evidence.

•DETERMINE what the next course of action is.



OUTLINE * CATALOGUE * SUMMARIZE * RECOMMEND



STEP 7: PREPARE REPORT

The Accident Report must be completed and distributed to management, and the Health & Safety Committee within 72 hours.

Management will distribute copies to any applicable government investigatingAgencies and will ensure that a copy is posted on the Company’s Health & SafetyBulletin Board.

The Health & Safety Committee will distribute copies of the report to all committee members, Health & Safety Representatives and other workeror safety representatives.

Both the Health & Safety Committee and Management will work togetherTo communicate and implement the recommendations in the report to all employees and will at all times provide a unified effort to dispelrumors or hearsay that may be circulating amongst the employees.



STEP 7: PREPARE REPORTPrepare Report Objectives

•OUTLINE all events contributing to the accidentin sequential order.

•CATALOGUE deficiencies or breakdowns in thesystem as they occurred.

•SUMMARIZE all deficiencies.

•RECOMMENDATIONS must always be included in the report and linked to specific deficiencies.



STEP 7: PREPARE REPORTReport Contents

•Location, date and time.•Names & addresses of persons involved and witnesses.

•Nature of injuries and attending emergency services.

•Property damage.

•Detailed description of accident.•Identified cause of accident.

•Recommendations for corrective action.•Names and signatures of those conducting theinvestigation and preparing report.


STEP 8:FOLLOW UP

DISTRIBUTE * COOPERATE * SUPPORT


STEP 8: FOLLOW UPFollow Up Objectives

•DISTRIBUTE findings of investigation to stakeholders.

•COOPERATE with all stakeholders in developingpolicies & procedures that will reduce, manage

or neutralize the risk of this accident happening again.

•SUPPORT any accident reduction initiatives.

STEP 8:FOLLOW UP


The Objective of Accident Investigation is ACCIDENT PREVENTION.

Accident Investigation DETERMINES CAUSES & CIRCUMSTANCES

of the accident and makes RECOMMENDATIONS TO CONTROL THE RISK OF SIMILAR ACCIDENTS.

The Objective of the Accident Investigator isFACT FINDING NOT FAULT FINDING.

Review

BASIC ACCIDENT INVESTIGATIONThe EIGHT STEPS of

ACCIDENT INVESTIGATION are . . ..Review


STEP 3:IDENTIFY

WITNESSES

STEP 2:SECURESCENE

STEP 4:GATHER

EVIDENCE


STEP 6:ANALYZE

FACTS


STEP 8:FOLLOW UP


REFERENCE GUIDE & LECTURE NOTES

Written & Presented by Dr. Robert Ing, DSc, FAPSc, CPO

www.drroberting.comJuly 2011

National Security & Intelligence Service Conference

Documents

Basic Accident Investigation