Incident Investigation Checklists

Importance and Benefits

In a work setting, having an incident investigation checklist with you in your organization is an important aspect of incident management and workplace safety. By thoroughly investigating incidents, organizations can determine the underlying causes and take corrective action to prevent similar incidents from occurring in the future. A well-done incident investigation checklist provides a structured approach to investigating incidents and analyzing the contributing factors that lead to the event. It can also help identify and correct hazards that contribute to accidents and near-misses.

Moreover, an incident investigation checklist can also aid organizations in complying with local and international safety standards. Some safety organizations require the presence of a dedicated checklist to report incidents, not just for incident management but also for recordkeeping purposes. Some of the well-known safety organizations that mandate incident investigation checklists as a requirement are the US Occupational Safety and Health Administration (OSHA), the Canadian Centre for Occupational Health and Safety (CCOHS), and Safe Work Australia (SWA).

Additionally, an incident investigation checklist can also help safety officers and managers with the following:

• Ensure that all necessary steps are taken during the investigation process.
• Promote consistency in the investigation process.
• Help identify underlying issues and trends.
• Identify areas for improvement in workplace safety policies, procedures, and training programs.

Types and Examples of Incident Investigation Reports

Incident investigation reports may come in different forms that should suit the environment of the workplace. Here are some examples forms of incident investigation reports:

• Near Miss Report: Documents an unexpected event that almost caused injury or damage but did not. It helps identify potential hazards and prevent future incidents by addressing unsafe conditions or behaviors.
• Accident Report: Details an event that resulted in injury or damage. It provides insights into what happened and supports claims and corrective actions to prevent recurrence.
• Hazard Report: Identifies and discloses potential hazards or unsafe workplace conditions, such as mold or faulty equipment, before they cause an incident.
• Security Incident Report: Covers breaches of physical or information security, including phishing attacks, unauthorized access, or data leaks. It helps identify security patterns and improve defenses.
• Fire Incident Report: Describes incidents involving fire, aiming to identify contributing factors like faulty wiring or overloaded sockets to prevent future fires.
• Exposure Incident Report: Records incidents where individuals are exposed to hazardous substances or environments (chemicals, radiation, biological agents), facilitating risk assessment and health management.

What Should be Included in an Incident Investigation Checklist

An effective incident investigation checklist should include the following key elements:

• Incident details: The checklist should include a section for recording the incident details, such as the date, time, location, and what was happening before, during, and after. If possible, also strive to get statements from injured folk and witnesses for additional clarity.
• Contributing factors: Make sure to also include a section for identifying the contributing factors that led to the incident, such as equipment, environment, work systems, and other human factors.
• Corrective actions: The checklist should include a section for recording corrective actions that have been taken or need to be taken to prevent similar incidents from occurring in the future.
• Reporters’ details: Finish off your incident investigation checklist with the details of whoever is in charge of reporting, responsible for the area, or those involved in the incident itself. This will allow other members of management to know exactly who to call for additional details, compensation, and support later on as necessary.

How to Use an Incident Investigation Checklist

According to OSHA, there are three main elements to conducting an incident investigation in the workplace. These are:

1. Preparation: This is where incident prevention and mitigation training is provided to managers, workers, and safety professionals. Part of this process involves identifying what documents will be needed when reporting and documenting an incident, so this is also where you will be creating and finalizing your incident investigation checklist with the help of those around you.
2. On-site investigation: This is where you are now fully utilizing your checklist. You or your workers will be investigating the incident at hand directly and will need to document it. If you are often on the go and working in high-risk areas, having a digital checklist would be best, as you can ensure that your files will be stored in the cloud and available for easy access anytime and anywhere. A digital checklist can also allow you to capture evidence, such as photos, to better help in documentation.
3. Development of a report: Now that you have filled up your incident investigation checklist, it is time to save it for recordkeeping along with other reports you might need for documentation and creating formal incident reports. It is essential to store your checklist somewhere safe, preferably in the cloud, so you can always refer back to it anytime you need it, especially for future recommendations.

Here is a sample report of how an incident investigation checklist can look like:

Incident Investigation Checklist Sample PDF Report | SafetyCulture

Common Mistakes to Avoid

When creating and using an incident investigation report, it’s important to be aware of common mistakes to avoid:

• Delays in starting the investigation: Waiting too long after the incident can cause loss of evidence and witness memory, reducing investigation accuracy.
• Failing to assign responsibilities: If the guidelines for using the checklist and the responsibilities associated with it are not clearly assigned, it can be easy for the incident investigation steps to be overlooked or duplicated.
• Incomplete Documentation: Failure to document all information gathered, decisions made, and actions taken can make it difficult to identify underlying issues and trends.
• Not using a template: To save time and work more efficiently, consider using or creating a template for your incident investigation checklist. With a template, you can conduct incident investigations quicker, as everything will be ready from the start.