IA3.4 Explain the reasons for loss and near miss investigations and the procedures to be followed.

Element IA3: Loss causation and incident investigation

5.1 Unit IA: Managing health and safety

Aim of the unit

This unit provides learners with a thorough grounding in all major aspects of managing health and safety. It aims to prepare learners for a career in health and safety by providing them with the ability to apply their knowledge and understanding of health and safety management issues in the workplace. In addition, this knowledge and understanding prepares learners for the written question paper assessment in Unit IA and the practical application (Unit DNI) which will be carried out in their own workplace.

Learning outcomes

IA3.1 Outline theories/models and use of loss causation techniques

IA3.2 Explain the use of quantitative methods in analysing loss data

IA3.3 Explain the significance and use of statutory and internal reporting of loss events

IA3.4 Explain the reasons for loss and near miss investigations and the procedures to be followed.

Content

IA3.1 Theories/models and use of loss causation techniques

• Understand the following theories/models: - accident/incident ratio studies, understanding their use and their limitations

- Birds domino and multi-causality theories (immediate, underlying and root causes)

- latent and active failures: purpose of Reason’s model of accident causation (swiss Cheese Model), fault tree, event tree and the Bowtie model

- behavioural root cause analysis.

IA3.2 The quantitative analysis of accident and ill-health data

• Methods of calculating loss rates from raw data: accident/incident frequency rate, accident incidence rate, accident severity rate, ill-health prevalence rate

• Presenting and interpreting loss event data in graphical and numerical format, using examples of histograms, pie charts and line graphs

• The principles of statistical variability, validity and the use of distributions (ie, importance of representative samples, sampling a population, errors in data).

IA3.3 Reporting and recording of loss events (injuries, ill-health and dangerous occurrences) and near misses

• Reporting requirements and procedures; with reference to the ILO Code of Practice: Recording and Notification of Occupational Accidents and Diseases (1996)

• The significance of internal reporting and recording systems.

IA3.4 Loss and near miss investigations

• Implied legal requirements

• The reasons for carrying out investigations: - legal reasons

- information/data gathering

- establishing the root, underlying and immediate causes

• The benefits of carrying out an investigation - to prevent recurrence

- improved employee morale

- developing managerial skills

- initial report (preserve the scene, note people and equipment involved, report event)

- decide whether further investigation is required

- gather information

- analyse the information

- identifying risk control measures

- produce and implement an action plan

• Investigation procedure with reference to ‘Investigating accidents and incidents - a workbook for employers, unions, safety representatives and safety professionals (HSG245)’:

• Sharing of information/lessons learned to prevent recurrence.

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