BASIC ACCIDENT INVESTIGATION

REFERENCE GUIDE & LECTURE NOTES

Written & Presented by Dr. Robert Ing, DSc, FAPSc, CPO www.drroberting.com July 2011 National Security & Intelligence Service Conference

BASIC ACCIDENT INVESTIGATION

What You Will Learn Common terminology & definitions How to assemble a basic accident investigation kit The 8 Steps of Accident Investigation 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

BASIC ACCIDENT INVESTIGATION COMPANY POLICY An Accident Investigation will be conducted for ALL Accidents and Incidents regardless of level of injury. An Accident is a situation where a person is injured or where property is damaged. The person need not require medical attention to be considered injured and the property 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 sustained any form of injury and there was no property damage. However, the Incident had the potential of injury and damage and 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.

BASIC ACCIDENT INVESTIGATION The Objective of Accident Investigation is . . .

ACCIDENT PREVENTION
This is accomplished by Determining the causes & circumstances of the accident. Making recommendations and taking steps to control or eliminate these causes & circumstances in order to prevent or reduce the risk of similar accidents.

BASIC ACCIDENT INVESTIGATION The Objective of the Accident Investigator is . . .

FACT FINDING NOT FAULT FINDING

This is accomplished by Examining all physical evidence Interviewing those directly involved & witnesses Identification of the causes & circumstances of the accident Making recommendations to control the risk of similar accidents Filing a detailed report on the accident.

BASIC ACCIDENT INVESTIGATION

Review
The Objective of Accident Investigation is ACCIDENT PREVENTION. The Objective of the Accident Investigator is FACT FINDING NOT FAULT FINDING. Accident Investigation DETERMINES CAUSES & CIRCUMSTANCES of the accident and makes RECOMMENDATIONS TO CONTROL THE RISK OF SIMILAR ACCIDENTS.

BASIC ACCIDENT INVESTIGATION BASIC ACCIDENT INVESTIGATION KIT

Recommended Contents 50 foot tape measure 12 inch metal ruler AA LED flashlight Digital flash camera Digital voice recorder 100 feet barrier tape 100 blank 3 x 5 card tents or evidence marking tents 100 assorted evidence bags (medium to extra-large) White sidewalk chalk Black permanent ink marker 3 pairs disposable latex gloves Black ink ballpoint pen and mechanical pencil Clipboard Accident investigation forms and checklists

BASIC ACCIDENT INVESTIGATION 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

BASIC ACCIDENT INVESTIGATION THE 8 STEPS OF AN ACCIDENT INVESTIGATION

STEP 1: EMERGENCY RESPONSE

STEP 2: SECURE SCENE

STEP 3: IDENTIFY WITNESSES

STEP 6: ANALYZE FACTS

STEP 5: INTERVIEW WITNESSES

STEP 4: GATHER EVIDENCE

STEP 7: PREPARE REPORT

STEP 8: FOLLOW UP

BASIC ACCIDENT INVESTIGATION

STEP 1: EMERGENCY RESPONSE

ASSESS * PREVENT * PROTECT * SECURE

BASIC ACCIDENT INVESTIGATION STEP 1: EMERGENCY RESPONSE

STEP 1: EMERGENCY RESPONSE

Emergency Response Objectives ASSESS the situation and take charge PREVENT the situation from getting worse PROTECT Life CONTACT EMERGENCY SERVICES PROVIDE FIRST AID PROTECT Property SECURE AREA to ensure free access for Emergency services and that nothing is disturbed

BASIC ACCIDENT INVESTIGATION

STEP 2: SECURE SCENE

ASSESS * CONTROL * ISOLATE

BASIC ACCIDENT INVESTIGATION

STEP 2: SECURE SCENE

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

BASIC ACCIDENT INVESTIGATION

STEP 3: IDENTIFY WITNESSES

IDENTIFY * INFORM * PLAN

BASIC ACCIDENT INVESTIGATION

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 second by making a list of names and contact information INFORM all witnesses that their help is needed to determine what happened and to reduce the risk of a similar accident PLAN to interview all witnesses within 24 hours

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

IDENTIFY * RECORD * DOCUMENT * LIST

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Gather Evidence Objectives

IDENTIFY articles of physical evidence at the scene by listing and tagging all physical evidence. RECORD appearance of the scene by photography or making a sketch of the scene. Take measurements of the area and note the locations of physical evidence. DOCUMENT scene environment such as weather, temperature, general conditions, surrounding areas to the scene. LIST questions regarding physical evidence that must be determined.

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Gather Evidence Objectives

IDENTIFY articles of physical evidence at the scene by listing 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

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE

Number here matches number on evidence list and reference numbers on sketches/photos

Sample Evidence Tag

Tag / Reference # ____________________________ Date ____________________ Time _______________ Item Name / Description _____________________ _________________________________________________ _________________________________________________ Location ______________________________________ _________________________________________________ Investigator ________________ Initials _________

E V I D E N C E

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Gather Evidence Objectives

RECORD appearance of the scene by photography or making a sketch of the scene. Take measurements of the area and note the locations of physical evidence. Scene Sketches must be drawn on graph paper with each square representing a unit of standard measure (ie. 1 foot, 1 yard, 1 meter, etc.). Measurements of the scene must include the size of the accident area, the distance between the victim and any other victims, equipment or other physical evidence involved.

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Sample Scene Photograph

South

9 27

Numbers here match numbers on evidence tags and reference numbers on evidence list
18

North

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Sample Scene Sketch

South

9 27

Numbers here match numbers on evidence tags and reference numbers on evidence list

18
North

1 Square = 6 inches

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Gather Evidence Objectives

LIST questions regarding physical evidence that must be determined. An INVESTIGATION MATRIX is used to follow details before, during and after an accident. The initial matrix will contain a detailed list of questions that must be answered in order to fully investigate the accident. A second matrix will list in point form, the answers to these specific questions and will build a process map of the accident.

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Sample Investigation Matrix Before During After

FACTORS
People Equipment & Tools Materials Environment Processes Methodology

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Sample Investigation Matrix Before

List those directly involved and witnesses After During List equipment and tools directly involved List all materials (hazardous and Non-hazardous) involved List weather conditions, internal conditions and observed conditions List in detail any specific procedures, methods or sequence of events that were being followed before or during the accident

FACTORS
People Equipment & Tools Materials Environment Processes Methodology

BASIC ACCIDENT INVESTIGATION

STEP 4: GATHER EVIDENCE

STEP 4: GATHER EVIDENCE Sample Investigation Matrix Before During After

FACTORS
People Equipment & Tools Materials Environment Processes Methodology

List questions and answers relating to the Relevant FACTORS for Before, During and After the accident

BASIC ACCIDENT INVESTIGATION

STEP 5: INTERVIEW WITNESSES

CONFIRM * IDENTIFY * CORROBORATE * OBTAIN

BASIC ACCIDENT INVESTIGATION

STEP 5: INTERVIEW WITNESSES

STEP 5: INTERVIEW WITNESSES Interview Witnesses Objectives

CONFIRM and explain what has happened before, during and after the accident. IDENTIFY the identity of all persons involved in the accident and those with possible knowledge of the accident. CORROBORATE and verify all other witnesses accounts of the accident. OBTAIN suggestions and feedback on preventing similar accidents.

BASIC ACCIDENT INVESTIGATION

STEP 5: INTERVIEW WITNESSES

STEP 5: INTERVIEW WITNESSES Interview Witnesses Guidelines

The Goal of Interviewing Witnesses is to find fact, not to determine fault. Conduct interviews as soon as possible. Information that is volunteered is more reliable than information that is demanded. Always tell the witness the purpose of the investigation and interview. Let them tell you what happened and ask your questions at the end. Take notes and only use a tape recorder to record statements if you have advised the witness first.

BASIC ACCIDENT INVESTIGATION

STEP 6: ANALYZE FACTS

IDENTIFY * SEPARATE * CROSS REFERENCE VERIFY * DETERMINE

BASIC ACCIDENT INVESTIGATION

STEP 6: ANALYZE FACTS

STEP 6: ANALYZE FACTS Analyze Facts Objectives

IDENTIFY what has been found and what is missing. SEPARATE facts from opinions. CROSS REFERENCE witnesses statements and examined evidence. VERIFY the consistency of statements and evidence. DETERMINE what the next course of action is.

BASIC ACCIDENT INVESTIGATION

STEP 7: PREPARE REPORT

OUTLINE * CATALOGUE * SUMMARIZE * RECOMMEND

BASIC ACCIDENT INVESTIGATION

STEP 7: PREPARE REPORT

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 investigating Agencies and will ensure that a copy is posted on the Companys Health & Safety Bulletin Board. The Health & Safety Committee will distribute copies of the report to all committee members, Health & Safety Representatives and other worker or safety representatives. Both the Health & Safety Committee and Management will work together To communicate and implement the recommendations in the report to all employees and will at all times provide a unified effort to dispel rumors or hearsay that may be circulating amongst the employees.

BASIC ACCIDENT INVESTIGATION

STEP 7: PREPARE REPORT

STEP 7: PREPARE REPORT Prepare Report Objectives

OUTLINE all events contributing to the accident in sequential order. CATALOGUE deficiencies or breakdowns in the system as they occurred. SUMMARIZE all deficiencies. RECOMMENDATIONS must always be included in the report and linked to specific deficiencies.

BASIC ACCIDENT INVESTIGATION

STEP 7: PREPARE REPORT

STEP 7: PREPARE REPORT Report 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 the investigation and preparing report.

BASIC ACCIDENT INVESTIGATION

STEP 8: FOLLOW UP

DISTRIBUTE * COOPERATE * SUPPORT

BASIC ACCIDENT INVESTIGATION STEP 8: FOLLOW UP

STEP 8: FOLLOW UP

Follow Up Objectives

DISTRIBUTE findings of investigation to stakeholders. COOPERATE with all stakeholders in developing policies & procedures that will reduce, manage or neutralize the risk of this accident happening again. SUPPORT any accident reduction initiatives.

BASIC ACCIDENT INVESTIGATION

Review
The Objective of Accident Investigation is ACCIDENT PREVENTION. The Objective of the Accident Investigator is FACT FINDING NOT FAULT FINDING. Accident Investigation DETERMINES CAUSES & CIRCUMSTANCES of the accident and makes RECOMMENDATIONS TO CONTROL THE RISK OF SIMILAR ACCIDENTS.

BASIC ACCIDENT INVESTIGATION The EIGHT STEPS of Review ACCIDENT INVESTIGATION are . . ..
STEP 1: EMERGENCY RESPONSE

STEP 2: SECURE SCENE

STEP 3: IDENTIFY WITNESSES

STEP 6: ANALYZE FACTS

STEP 5: INTERVIEW WITNESSES

STEP 4: GATHER EVIDENCE

STEP 7: PREPARE REPORT

STEP 8: FOLLOW UP

BASIC ACCIDENT INVESTIGATION

REFERENCE GUIDE & LECTURE NOTES

Written & Presented by Dr. Robert Ing, DSc, FAPSc, CPO www.drroberting.com July 2011 National Security & Intelligence Service Conference