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Incident Investigating PDF
Incident Investigating PDF
Peer-Reviewed
Incident
Investigation
Our Methods Are Flawed
By Fred A. Manuele
I
t would be a rare exception if an outline for quality, with an emphasis on causal factors identifi-
a safety management system did not include a cation and corrective actions taken (Manuele, 2013,
requirement for incidents to be investigated and p. 316). This revealed that an enormous gap can
analyzed. And that is appropriate; incident inves- exist between issued investigation procedures and
tigation is a vital element within a safety manage- actual practice. On a 10-point scale, with 10 being
ment system. The comments in section E6.2 of best, an average score of 5.7 would be the best that
ANSI/AIHA/ASSE Z10-2012, Standard for Occu- could be given, and that could be a bit of a stretch.
pational Health and Safety Management Systems These reviews confirmed that people who com-
(OHSMS) (ANSI/AIHA/ASSE, 2012, p. 25), de- pleted investigation reports were often biased in
scribe the benefits that can be obtained from inci- favor of selecting an employee’s unsafe act as the
dent investigations: causal factor and thereby did not proceed further
In Brief •Incidents should be viewed into the investigation.
•An earlier review of incident investi- as possible symptoms of prob- The author then conducted a five-why analysis
gation reports revealed an enormous lems in the OHSMS. to determine why this gap exists between issued
gap between established reporting •Incident investigations procedures and actual practice. As the analysis
procedures and actual practice. should be used for root-cause proceeded, it became apparent that our model is
•Supervisors are commonly assigned analysis to identify system or flawed on several counts. The author’s observa-
responsibility for incident investiga- other deficiencies for develop- tions follow. These observations are made a priori,
tion. However, most supervisors are ing and implementing correc- that is, relating to or derived by reasoning from
not qualified to offer recommendations tive action plans so as to avoid self-evident proposition.
for improving operating systems be- future incidents.
cause they lack sufficient knowledge •Lessons learned from in- Why Incident Investigations
of hazard identification and analysis, vestigations are to be fed back May Not Identify Causal Factors
and risk assessment. into the planning and correc- When supervisors are required to complete inci-
•This article presents a sociotechnical tive action processes. dent investigation reports, they are asked to write
model for hazards-related incidents. As Z10 proposes, organiza- performance reviews of themselves and of those
Such a system stresses an interde- tions should learn from past to whom they report, all the way up to the board
pendent relationship between humans experience to correct deficien- of directors. Managers who participate in incident
and machines, and accommodates the cies in management systems investigations are similarly tasked to evaluate their
needs of both the system’s output goal and make modifications to own performance and the results of decisions
and workers’ needs. avoid future incidents. made at levels above theirs.
It is understandable that supervisors will avoid
Research Results expounding on their own shortcomings in inci-
The author has reviewed more than 1,800 dent investigation reports. The probability is close
incident investigation reports to assess their to zero that a supervisor will write: “This incident
Fred A. Manuele, P.E., CSP, is president of Hazards Ltd., which he Revisited: Truisms or Myths and coeditor of Safety Through Design.
formed after retiring from Marsh & McLennan where he was a manag- He was chair of the committee that developed ANSI/ASSE Z590.3,
ing director and manager of M&M Protection Consultants. His safety Standard for Prevention Through Design—Guidelines for Addressing
experience spans several decades. Manuele’s books, Advanced Safety Occupational Hazards and Risks in Design and Redesign Processes.
Management: Focusing on Z10 and Serious Injury Prevention, and On Manuele is an ASSE Fellow and received the Distinguished Service
the Practice of Safety, have been adopted for several graduate and un- to Safety Award from NSC. He has served on the board of directors
dergraduate safety degree programs. He is also author of Innovations in for ASSE, NSC and BCSP, which he also served as president. In June
Safety Management: Addressing Career Knowledge Needs and Heinrich 2013, BCSP honored Manuele with a Lifetime Achievement Award.
incident investigation report. In relatively few or- consultation with a state labor department, or
ganizations, this responsibility is assigned to a a federal agency, a union representative or an
team or an operating executive. outside expert may be warranted. If a contrac-
It is presumed that supervisors are closest to the tor’s personnel are involved in the incident, then
work and that they know more about the details of a contractor’s representative should also be in-
what has occurred. The history on which such as- volved in the investigation.
signments are based can be found in three editions The supervisor should make an immediate re-
of Heinrich’s Industrial Accident Prevention. Hein- port of every injury requiring medical treatment
rich’s influence continues to this day. Heinrich and other incidents he or she may be directed to
www.asse.org OCTOBER 2014 ProfessionalSafety 35
write a performance appraisal on him/herself and
on the people in the reporting structure above his/
her level. If contributing factors result from deci-
sions the manager made or his/her bosses made,
details about them may not be precisely recorded.
Investigation Teams
Discussions with several corporate safety profes-
sionals indicate that their organizations use a team
to investigate certain incidents. Assume the team
consists of supervisors who report to the same in-
dividual as the supervisor for the area in which the
incident occurred. The team is expected to write a
In a sense, the manager is performance appraisal on the involved supervisor
as well as on the person to whom all of them re-
required to write a perfor- port, and that person’s bosses.
mance appraisal on him/ A priori, it is not difficult to understand that su-
herself and on the people pervisors would be averse to criticizing a peer and
management personnel to whom they also report.
in the reporting structure The supervisor whose performance is reviewed be-
above his/her level. cause of an incident may someday be part of a team
appraising other supervisors’ performance.
investigate. The supervisor is on the scene and At all management levels above line supervisor, it
probably knows more about the incident than would also be normal for personnel to avoid being
anyone else. It is up to this individual, in most self-critical. Self-preservation dominates at all levels.
cases, to put into effect whatever measures can Safety professionals should realize that con-
be adopted to prevent similar incidents. (p. 285) straints similar to those applicable to a supervisor
Ferry (1981) also writes that the supervisor is also apply, in varying degrees, to all personnel who
closest to the action and most often is expected to lead or are members of investigation teams.
initiate incident investigations. But he was one of Nevertheless, the author found that incident
the first writers to introduce the idea that supervi- investigation reports completed by teams were
sors may have disadvantages when doing so. superior. Ferry (1981, p. 12) says, “Special investi-
The supervisor/foreman is closest to the action. gation committees are often appointed for serious
The mishap takes place in his domain. As a re- mishaps” and “their findings may also receive bet-
sult, he most often investigates the mishap. If it is ter acceptance when the investigation results are
the supervisor’s duty to investigate, he has every made public.”
right to expect management to prepare him for To the extent feasible, investigation team leaders
the task. should have good managerial and technical skills
Yet the same reasons for having the super- and not be associated with the area in which the
visor/foreman make the investigation are also incident occurred.
reasons he should not be involved. His reputa- Chapter 7 of Guidelines for Investigating Chemi-
tion is on the line. There are bound to be causes cal Process Incidents (CCPS, 2003) is titled “Build-
uncovered that will reflect in some way on his ing and Leading an Investigation Team.” Although
method of operation. the word chemical appears in the book’s title, the
His closeness to the situation may preclude an
text is largely generic. The opening paragraph of
open and unbiased approach to the supervisor-
Chapter 7 says:
caused elements that exist. The more thorough
the investigation, the more likely he is to be impli- A thorough and accurate incident investigation
cated as contributing to the event. (p. 9) depends upon the capabilities of the assigned
team. Each member’s technical skills, expertise
Ferry (2009) makes similar comments about line and communication skills are valuable consider-
managers and staff managers (e.g., personnel di- ations when building an investigation team. This
rectors, purchasing agents). chapter describes ways to select skilled person-
A thorough investigation often will find their func- nel to participate on incident investigation teams
tions contributed to the mishap as causal fac- and recommends methods to develop their capa-
tors. When a causal factor points to their function bilities and manage the teams’ resources. (p. 97)
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they immediately have a point in common with This book is recommended as a thorough dis-
the investigator. (p. 11)
sertation on all aspects of incident investigation.
In one organization whose safety director pro- Throughout the book, competence, objectivity, ca-
vided input for this article, the location manager pability and training are emphasized.
leads investigations of all OSHA recordable inci-
dents. That is terrific; senior management is in- Training for Personnel on Incident Investigation
volved. Many of the constraints applicable to the If personnel are to perform a function they should
people who report to the manager can be over- be given the training needed to acquire the nec-
come. But, in a sense, the manager is required to
36 ProfessionalSafety OCTOBER 2014 www.asse.org
essary skill. Others make similar or relative com- sideration all of the relative management systems
ments. Ferry (1981) says, “If it is the supervisor’s as a whole. He says:
duty to investigate, he has every right to expect The systems approach focuses on the whole, not
management to prepare him for the task” (p. 9). the parts. The interesting properties of systems
The following citation is from Guidelines for (the ones that give rise to system accidents) can
Investigating Chemical Process Incidents: “High only be studied and understood when you treat
quality training for potential team members and them in their entirety. (p. 91)
supporting personnel helps ensure success. Three Dekker is right: Whether persons at all levels are
different audiences will benefit from training: site aware of it, they apply their own model and their
management personnel, investigation support per- understanding of how incidents occur when in-
sonnel and designated investigation team mem- vestigations are made. Thus, two questions need
bers including team leaders” (CCPS, 2003, p. 105). consideration:
For each organization, several questions should •What have safety professionals been taught
be asked; the answers may differ greatly. about incident causation?
•How much training on hazards, risks and in- •What have safety professionals been teaching
vestigation techniques do supervisors and investi- people in the organizations they advise?
gation team members receive? Answers to those questions greatly affect the
•Does the training make them knowledgeable quality of incident investigations. Based on the
and technically qualified? author’s research (Manuele, 2011), the myths that
•How often is training provided? should be dislodged from the practice of safety are:
Consideration also must be given to the time 1) Unsafe acts of workers are the principal causes
lapse between when supervisors and others attend of occupational incidents.
a training session and when they complete an in- 2) Reducing incident frequency will achieve an
cident investigation report. It is generally accepted equivalent reduction in injury severity.
that knowledge obtained in training will not be re- These myths arise from the work of Heinrich and
tained without frequent use. It is unusual for team can be found in the four editions of Industrial Ac-
members to participate in two or three incident in- cident Prevention (1931, 1941, 1950, 1959). Analyti-
vestigations in a year. Inadequate training may be cal evidence developed by the author indicates that
a major problem. these premises are not soundly based, supportable
or valid.
What Is Being Taught: Causation Models Heinrich professed that among the direct and
Dekker (2006) makes the following astute ob- proximate causes of industrial incidents:
servation, worthy of consideration by all who are
involved in incident investigations. 88% are unsafe acts of persons; 10% are unsafe
mechanical or physical conditions; and 2% are
Where you look for causes depends on how you unpreventable. (1931, p. 43; 1941, p. 22; 1950,
believe accidents happen. Whether you know it p. 19; 1959, p. 22)
or not, you apply an accident model to your anal-
ysis and understanding of failure. An accident Heinrich advocated identifying the first proximate
model is a mutually agreed, and often unspoken, and most easily prevented cause in the selection of
understanding of how accidents occur. (p. 81) remedies for the prevention of incidents. He says:
Safety professionals must understand that how Selection of remedies is based on practical
they search for causal or contributing factors relates cause-analysis that stops at the selection of the
to what they have learned and their beliefs with re- first proximate and most easily prevented cause
(such procedure is advocated in this book) and
spect to incident causation. There are many cau-
considers psychology when results are not pro-
sation models in safety-related literature. Dekker duced by simpler analysis. (1931, p. 128; 1941;
(2006) describes three kinds of accident models. p. 269; 1950, p. 326; 1959, p. 174)
His models, abbreviated, are cited as examples of
the many models that have been developed. Note that the first proximate and most easily
prevented cause is to be selected (88% of the time,
•The sequence-of-events model. This model a human error). That concept permeates Hein-
sees accidents as a chain of events that leads up
rich’s work. It does not encompass what has been
to a failure. It is also called the domino model, as
one domino trips the next. [Author’s note: The
learned subsequently about the complexity of in-
domino sequence was a Heinrichean creation.] cident causation or that other causal factors may
•The epidemiological model. This model sees be more significant than the first proximate cause.
accidents as related to latent failures that hide in Many safety practitioners still operate on the be-
everything from management decisions to pro- lief that the 88-10-2 ratios are soundly based. As a
cedures to equipment design. result, they focus on correcting a worker’s unsafe
•The systemic model. This model sees acci- act as the singular causal factor for an incident
dents as merging interactions between system rather than addressing the multiple causal factors
components and processes, rather than failures that contribute to most incidents.
within them. (p. 81) A recent example of incident causation complex-
Dekker (2006) strongly supports a systems ap- ity appears in the following excerpt from the report
proach to incident investigation, taking into con- prepared by BP (2010) following the April 20, 2010,
Deepwater Horizon explosion in the Gulf of Mexico.
www.asse.org OCTOBER 2014 ProfessionalSafety 37
whose members represent Fortune 500 companies.
When the more than 85 attendees were asked by
show of hands whether Heinrich concepts domi-
Practitioners nated their incident investigation systems, more
than 60% responded affirmatively. This author
who are not believes that many of those who did not respond
informed on positively were embarrassed to do so.
current thinking At an August 2014 meeting of 121 safety person-
nel employed by a large manufacturing company,
with respect participants were asked: About what percentage of
to incident the incident reports at your location identify unsafe
causation are acts as the primary cause? The results follow:
% of reports Participant responses
not qualified 100% 3%
to identify 75% 33%
causal and 50% 37%
25% 12%
contributing < 25% 15%
factors. A total of 73% of participants indicated that for
50% to 100% of incident reports, workers’ unsafe
acts are identified as the primary cause. To quote
the colleague who conducted this survey, “We’ve
The team did not identify any single action or in-
got work to do.”
action that caused this incident. Rather, a com-
plex and interlinked series of mechanical failures, Also, note the following comments that are sig-
human judgments, engineering design, opera- nificant with respect to how big the problem is.
tional implementation and team interfaces came For more than 35 years, E. Scott Geller has been
together to allow the initiation and escalation of a prominent practitioner in behavior-based safety.
the accident. (p. 31) His current thinking is relative to the reality of
causal factors and their origins. Excerpts from a re-
During an incident investigation, a professional
cent article follow (Geller, 2014).
search to identify causal factors such as through
the five-why analysis system will likely find that A person who believes that most injuries are
the causal factors built into work systems are of caused by employee behavior can be viewed as
greater importance than an employee’s unsafe act. a safety bully. This belief could influence a focus
The author’s previous work (Manuele, 2011) cov- on the worker rather than the culture or manage-
ment systems, or many other contributing fac-
ered topics such as moving the focus of preventive
tors. As Deming warns, “Don’t blame people for
efforts from employee performance to improving problems caused by the system.”
the work system; the significance of work system When safety programs are promoted on a
and methods design; the complexity of causation; premise such as “95% of all workplace acci-
and recognizing human errors that occur at orga- dents are caused by behavior,” one can under-
nizational levels above the worker. stand why union leaders object vehemently and
Although response to that article was favorable, justifiably to such. Claiming that behaviors cause
some communications received contained a dis- workplace injuries and property damage places
turbing tone. It became apparent that Heinrich’s blame on the employee and dismisses manage-
premise that 88% of occupational incidents are ment responsibility. Most worker behavior is an
caused by the unsafe acts of workers is deeply em- outcome of the work culture, the system.
bedded in the minds of some safety practitioners It is wrong to presume that behavior is a cause
and those they advise. This is a huge problem. This of an injury or property damage. Rather, behavior
premise was taught to students in safety science is one of several contributing factors, along with
degree programs for many years and is still taught. environmental and engineering factors, manage-
The author received a call from one professor who ment factors, cultural factors and person-states.
said that the 2011 article gave him the leverage he (pp. 41-42)
needed to convince other professors that some of This author concludes that supervisors, manage-
Heinrich’s premises are not valid and should not ment personnel above the supervisory level, in-
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