Critical factors in the incident and accident investigation
process
Incidents
that materialize in accidents are generally the result of several
interacting factors, which is why area supervisors must undertake
accident investigation in coordination with personnel specialized in
occupational health and safety. In this way, they must focus on three
essential factors: the human, the situational and the environmental
or environment.
Human
factors
Beyond
the training they may have, due to their human nature, the attitudes
and way of acting of the workers can become a source for the
occurrence of incidents. Thus, the following questions should be
asked when investigating the human factors related to an accident:
- What
was the worker doing at the time of the incident?
- Was
he doing a regular or special task?
- Was
he doing maintenance work?
- Was
he helping a partner?
- Was
the worker performing his or her work in accordance with established
procedures?
- Are
the tasks or work procedures new?
- Was
the area supervisor present?
- What
was the employment status of the worker? Are you a seasonal,
part-time, or full-time worker?
- How
much experience did the worker have to perform the task he was
developing?
- What
was the worker's posture and location?
- Did
any unsafe act contribute to the occurrence of the event?
Situational
factors (unsafe conditions)
The
analysis of possible unsafe conditions is a central element in the
investigation of accidents, so the equipment and tools must be
carefully examined. In this sense, the following questions should be
asked when carrying out the analysis of situational factors:
- Was
he being the machine properly?
- Were
the controls working properly?
- Were
the security measures working satisfactorily?
- Did
the analysis of materials or equipment indicate how the accident
occurred?
- What
was the place or location of the incident?
- What
tools, equipment or objects were involved in the incident?
- Was
the right equipment available to do the job?
- Was
personal protective equipment being used?
- Were
the machinery guards in place?
- What
time did the accident occur?
- What
work shift were you operating at the time of the incident?
Environmental
or surrounding factors
Environmental
factors such as light or noise can increase the likelihood of an
incident occurring. For example, if the reflection of light prevents
a machine operator from seeing clearly, this could lead to an
accident. Likewise, the noise generated by some machine could prevent
hearing the movement of vehicles or people in the work area.
Critical factors in the incident and accident investigation
process
The
investigation of incidents and accidents is closely linked to the
opportunity, severity (ie impact) and legal requirements.
The
opportunity in the investigation of incidents and accidents
Opportunity
is a critical factor in the investigation of incidents and accidents,
since time has a crucial impact on the generation of any type of
information. Delays in an investigation could cause the parties
involved to partially or completely forget the circumstances of the
occurrence of an accident, in addition to changes in the place of the
event or the loss of valuable evidence.
In
the case of people, if the investigation is not started in a short
period of time, it is highly possible that the details of the
circumstances of the accidents present distortions and the witnesses
do not provide reliable and accurate information.
The
investigation process should start immediately after people who may
have been affected by an incident are cared for and the scene of the
incident is secured to prevent further harm.
The
severity or impact
Since
any investigation requires time, companies must prioritize the
allocation of more resources to those incidents with the most
relevant consequences. This applies even to accidents that have not
generated significant damage, but due to their characteristics could
have a significant impact at some point.
Thus,
it is recommended that the following types of incidents be
investigated with greater emphasis:
- Those
that result in damage that generates a loss of time beyond the day of
the incident;
- Those
in which the personal damages have been minor, but the potential
damage has been high.
- Incidents
with property damage greater than USD1,000;
- Incidents
with loss of time resulting from the aggravation of previous damage.
In
general, beyond the system used by a company to determine the
severity of an incident, there is a legal obligation to report all
incidents that result in personal injury to employees.
Legal
requirements
Depending
on the severity of an incident, the presence of physical damage and
the jurisdiction where it occurred, certain reporting requirements to
the competent authorities must be met. Certain types of events, such
as those in which medical help is required or result in significant
loss of time, must be reported to special instances related to
workers' compensation mechanisms.
Investigation of incidents
and accidents in occupational health and safety
Incident
investigation is a fundamental component of any organization's
occupational health and safety program. Different studies identify
the benefits of incident investigation as follows:
Direct
determination of the causes: An investigation reveals the direct
causes of an incident, allowing corrective measures to be
established.
Identification
of associated factors: Incidents can be the result of many
factors, for example, the direct cause of an incident can be the
inadequate use of protective equipment on the machines, however,
there can also be associated factors, such as the lack of training in
handling equipment.
Prevention
of similar incidents: Once the direct causes and associated
factors are identified, corrective measures such as training programs
or improvements in the design of equipment or workplaces are
implemented to prevent similar incidents in the future.
Creation
of permanent reports: The reports generated in an investigation
can be used by the human resources area and occupational health and
safety specialists to identify trends related to the frequency of
incidents, inadequate plant design and layout, inadequate operating
procedures, etc. Reports are also important in situations where
compensation disputes or claims arise. The actions taken to improve
occupational health and safety records contribute decisively to
adequately allocate monetary, human and equipment resources to the
areas with the highest frequency of accidents or to those where the
effects are most harmful.
Determination
of associated costs: The reports help to understand a certain
situation more precisely and therefore to quantify and determine the
costs associated with the occurrence of an incident. All factors,
including lost time by workers, damage to equipment and machinery,
loss of supplies and materials, etc. they are likely to be
quantified, a task that can be better accomplished from the reports
that are part of the incident investigation.
Promotes
a culture of employee safety: When an incident investigation is
conducted appropriately, it signals to workers that top management
takes occupational health and safety seriously, seeking to maintain
the well-being of employees. The foregoing motivates the company's
workers, regardless of the area where they work or their rank, to
have a greater commitment to good safety and health practices in the
workplace.
Key
elements of health and safety management
The
key elements for effective health and safety management are similar
to those considered in good quality, finance and general business
management. The principles of good and effective management provide a
sound basis for the improvement of health and safety performance. The
key elements involved in a successful health and safety management
system are:
Policy
A
clear health and safety policy is essential for business efficiency
and continuous improvement throughout the operation. The
policy should state the decision of the organization in terms of
clear aims, objectives and targets.
Organizing
A
well-defined organization is an essential component of a positive
health and safety culture. An effective organization will be noted
for good staff involvement and participation, high quality
communications, the promotion of competency, and the empowerment and
commitment of all employees to make informed contributions.
Planning
and implementing
An
effective health and safety plan involves the setting and
implementation of performance standards, targets and procedures. The
plan is based on risk assessment methods in order to set priorities
and objectives for the effective control or elimination hazards and
the reduction of risks. Measuring success requires the establishment
of practical plans and performance targets against which achievements
can be identified.
Measuring
performance
Include
both active and reactive monitoring to see the effectivity of the
health and safety management system. Active monitoring involves
looking at the premises, the people, procedures and systems. Reactive
monitoring discovers through investigation of accidents and incidents
why controls have failed. Measure the organization against its own
long term goals and objectives is also important.
Reviewing
performance
The
results of monitoring should be systematically reviewed to evaluate
the performance of the management system against the objectives and
targets established by the health and safety policy. Comparisons
should be made with internal performance indicators and if it is
possible with external performance indicators of similar
organizations.
Costs
of accidents
The
occurrence of any accident will cause both direct and indirect costs.
It is important that all of these costs are taken into account when
the full cost of an accident is calculated. Different studies shown
that indirect costs or hidden costs could be more than 30 times
greater than direct costs of an accident. In other words, the direct
costs of an accident or disease represent the tip of the iceberg when
compared to the overall costs.
Direct
costs
These
are costs that are directly related to the accident and may be
insured or uninsured.
Insured
direct costs, normally include:
- claims
on employers and public liability insurance
- damage
to buildings, equipment or vehicles
- any
attributable production and/or general business loss.
Uninsured
direct costs, normally include:
- fines
resulting from prosecution by the enforcement authority
- sick
pay
- some
damage to product, equipment, vehicles or process not directly
attributable to the accident (e.g. caused by replacement staff)
- increases
in insurance premiums resulting from the accident
- any
compensation not covered by the insurance policy due to an excess
agreed between the employer and the insurance company
- legal
representation following any compensation claim.
Indirect
costs
Indirect
costs are costs which may not be directly attributable to the
accident but may result from a series of accidents.
Insured
indirect costs, typically include:
- a
cumulative business loss
- product
or process liability claims
- recruitment
of certain replacement staff.
Uninsured
indirect costs, can include:
- loss
of goodwill and a poor corporate image
- accident
investigation time and any subsequent remedial action required
- production
delays
- extra
overtime payments
- lost
time for other employees, who attend to the needs of the injured
person
- the
recruitment and training of most replacement staff
- additional
administration time incurred
- lower
employee morale possibly leading to reduced productivity
Some
of the items mentioned above, such as business loss, may be
uninsurable or too prohibitively because of the big amount of money
required.
Definition of safety and industrial hygiene
Safety
at work
According to Bestratén (1999), safety at work is
"the set of techniques and procedures that are designed to
eliminate or reduce the risk of accidents."
Therefore, safety
at work is concerned with addressing a number of hazards that affect
industrial accidents, such as:
- Lack
of mechanisms of protection against moving parts of machinery,
equipment and tools;
- Poor
conditions of order and cleanliness in the workplace;
To achieve safety at work, we should develop preventive
actions that fall within both general and specific rules, such as:
- The mission and vision of the company;
- The safety policies;
- Procedures at work;
- Staff training;
- Incorporation of
safety devices on machines, equipment and facilities.
Industrial
hygiene
According to Hernandez and Marti (1989), industrial
hygiene is the discipline that aims the prevention of occupational
diseases by controlling chemical, physical or biological agents in
the working environment.
The (chemical, physical or biological) agents
mentioned have effect in the workplace; not only directly for workers
who perform a particular task, but also for people from other areas
that are part of that environment. Moreover, the presence of these
agents also affects the external environment of the company like
nearby businesses, nearby communities and in general the soil, air
and water.
In order to reduce occupational risks of emerging
pollutants, three objectives are established:
Controls on the origin and source of danger;
Controls on the path between the hazard and the
worker;
Controls on the subject exposed to danger.
