A4 Inv Investigation Courseproviderguide v4 Upload PDF
A4 Inv Investigation Courseproviderguide v4 Upload PDF
Qualification summary
Assessment 8
Qualification type 9
Conflict of interest 9
Syllabus
Syllabus 11
Qualification overview
Qualification
overview
Unit prefix and title Unit INV1: Introduction to Incident Investigation
Pass
Qualification grades
Refer
Students are required to complete all parts of the assessment to achieve a Pass. If the
Pass standard student does not achieve a Pass you are expected to work with the student to enable
them to meet the required standard.
Issued within 40 working days of the result declaration date for the last successfully
Parchment issue
completed unit.
5
Qualification Introduction to the qualification
“If minor incidents and near-
summary NEBOSH has collaborated on the development of
this specialist qualification with the British Health and misses are investigated well,
Safety Executive (HSE). HSE inspectors have noted organisations could potentially
that incident investigations were generally very poor. prevent more serious or
The collaboration, therefore, combines the advanced catastrophic incidents happening.
technical expertise of the HSE with NEBOSH’s Investigating incidents helps you
ability to deliver strong vocational qualifications. to identify trends and ensure your
The qualification is aimed at managers, supervisors,
control measures are effective.
SHE Champions, union representatives and aspiring
If you invest time in analysing
health and safety practitioners. On completion
incidents, you get a snapshot
of the qualification, candidates will be able to:
of what’s really happening
and you can improve your risk
• carry out a solo accident investigation for non- management system. Employees
complex accidents and incidents including: become more engaged,
>> gathering of evidence and morale improves.”
>> analysis of that evidence Jill De Nardo
• produce an action plan; and Head of Commercial Training at
the HSE Training and Events
• contribute to team incident investigations
for large-scale incidents.
Steff Williams
Health and Safety Manager
– Industrial Europe, Sonoco
Alcore Europe
1 1.1
Understand why incident Incident terminology, the
investigations are carried moral, legal and financial
out and how human and arguments for investigations
organisational factors and management system
contribute to incidents requirements
2
of a theoretical
Understand how to 1.3 Investigating incidents
incident investigation
investigate incidents and
confidently carry out an
investigation 1.4 Positive strategies for and
the barriers to successful
interviews
Pre-course reading 3
Syllabus Understand why incident 1.1 Moral, legal and financial arguments for Understand incident
investigations are carried investigations terminology, the
out and how human and • Definitions: accident, incident, near miss, dangerous moral, legal and
organisational factors occurrence, immediate cause, underlying cause, root financial arguments
contribute to incidents cause with reference to HSG245 and ISO 45001 for investigations and
management system
• How near misses and incident data can relate to major requirements.
injuries (reference to Bird’s Triangle)
• Examples of minor and major injury, dangerous
occurrences and near misses
• Moral, legal and financial arguments for investigating
incidents (including the challenges of near-miss
reporting)
• Management system requirements (ISO 45001):
>> an incident is also a non-conformity
>> procedures for incident reporting
>> concept of leading and lagging indicators
• Co-operation with regulators and other enforcement
agencies
• The role of insurers.
1.2 Human and organisational factors Recognise how human
• Factors that can contribute towards accidents and and organisational
incidents: factors can contribute to
an incident.
>> organisational factors (workplace design, time
pressures, goal conflicts)
>> human factors (competence, capability, morale)
• Causes of human failure (conscious and unconscious
actions).
Syllabus Understand how to 1.3 Investigating accidents and incidents Outline the process for
investigate incidents and • What a good investigation looks like (proportionality, investigating accidents
confidently carry out an finding the immediate, underlying and root cause(s), and incidents.
investigation identifying additional control measures)
• Levels of investigations: minimal, low, medium and
high
• How lessons learned from investigations can be used in
the future
• Accident investigation teams (who should be involved
and competencies required)
• Pre-investigation actions following an accident:
>> emergency response (first aid, making the scene
safe)
>> initial response to consider: preservation of
the scene, the names of those involved for
witness statements, equipment in use, recording
environmental conditions, concept of leading
and lagging indicators
• The accident/incident investigation process:
>> gathering information:
-- physical – from the scene of the accident,
eg, plant and equipment, including
photographs, CCTV footage, plan of the
area
-- verbal – witness statements
-- written – risk assessments, policies,
procedures, training records, etc
Syllabus Understand how to 1.3 >> analysis: Outline the process for
investigate incidents and investigating accidents
-- exploring all reasonable lines of enquiry in a
confidently carry out an and incidents.
investigation timely and structured way, setting out what
is known/unknown
-- objective/unbiased/evidence based
-- identifying sequence of events and adverse
conditions leading to the event
-- identifying immediate, underlying and root
causes (use of 5 Whys technique)
-- common themes from interviews
-- recording all findings/organisation of
findings/use of organisational tools and/or
procedures to drive the analysis (all findings
may not have an action/recommendation)
-- concept of barrier controls
>> risk control:
-- identifying missing/inadequate/unused
controls
-- complying with legislation/other standards
-- additional control measures (application of
hierarchy of control)
-- realistic recommendations based on the
outcomes of the investigation
Syllabus Understand how to 1.3 >> action plan: Outline the process for
investigate incidents and investigating accidents
-- consideration of human performance
confidently carry out an and incidents.
investigation -- deals with immediate, underlying and root
causes
-- lessons learned and communicated
(eg, outcomes discussed with relevant
stakeholders)
-- gives feedback to all parties involved
-- includes risk assessment review
-- arrangements to implement SMART
objectives
-- looks at tracking and closing of actions
• Post investigation – releasing the scene back to the
operational unit (if applicable).
1.4 Positive strategies and the barriers to successful Outline positive
interviews strategies that can be
• Reasons for carrying out prompt interviews following adopted for interviews
an accident/incident following accidents or
incidents and the barriers
• Use of the PEACE model for interviewing: to successful interview
>> Planning and preparation: outcomes.
Syllabus Understand how to 1.4 -- interview one person at a time Outline positive
investigate incidents and strategies that can be
-- use one interviewer with one scribe at a
confidently carry out an adopted for interviews
investigation time following accidents or
>> Engage and explain: incidents and the barriers
to successful interview
-- assess any needs of the interviewee; explain outcomes.
the purpose of the interview (aims and
objectives)
-- engage the interviewee in conversation
(establish and maintain rapport)
-- use of ‘active listening’ skills (including the
use of drawings, plans, etc)
-- language used is appropriate and
understood
-- when to use ‘closed’ questions (eg for
confirmation of specific points, such as
“Was the machine started at 10.10am?”)
and prevention of leading questions
>> Account, clarification and challenge:
-- consider the topic areas to be explored
-- summarise answers using interviewee’s
own words
-- challenge any inconsistencies or
contradictions
-- clarify inconsistences between other
evidence and the interviewee’s account
Syllabus Understand how to 1.4 • Bias, examples of it, and how it can affect interviews Outline positive
investigate incidents and and the wider incident investigation process: strategies that can be
confidently carry out an adopted for interviews
investigation >> self-serving following accidents or
>> fundamental attribution error incidents and the barriers
to successful interview
>> ‘cherry picking’. outcomes.
1.5 Advanced incident investigation techniques An introduction to
• Introduction to advanced incident investigation advanced incident
techniques: root cause analysis (fishbone/cause and investigation techniques.
effect analysis; event tree analysis; fault tree analysis).