Kevin Ian Schmidt

Lock-out Tag-out Training Expanded

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Keeping everyone safe at work starts with effective lockout/tagout (LOTO) procedures. But simply knowing the steps isn’t enough – employees need hands-on practice and certification to prove they can apply their knowledge in real-world situations.

Here’s how the process works:

  • Training kicks off: A qualified trainer, either one-on-one or in a classroom, breaks down the LOTO essentials. From identifying energy sources to applying locks and tags, every step is covered.
  • Putting theory into practice: Time to get physical! Under controlled conditions, employees simulate a real LOTO procedure, proving they can apply their knowledge safely and effectively. Pass this test, and you’re officially certified!
  • No one hazard left behind: The best training covers all energy types your workplace throws at you. If you’ve got both electrical and pneumatic dangers lurking around, the certification process should reflect that, using equipment that showcases both risks.
  • Certification with a twist: When it comes to reviewing certifications, there’s a cool twist. Not only does the original trainer observe, but certified employees can also join the party. This creates a self-sustaining “pay it forward” approach to LOTO safety, where everyone takes an active role in keeping their colleagues safe.

By combining thorough training, hands-on practice, and a dynamic certification process, you can build a workplace where LOTO isn’t just a procedure, it’s a safety culture everyone champions. And that’s something worth celebrating!

Remember: Safety first, always! Share your LOTO training tips and experiences in the comments below. Let’s keep the conversation going and make sure everyone goes home safe at the end of the day.

Check Out: How to Put Together a Workplace Safety Training Workshop

The certification should be performed annually, to ensure employees retain the necessary knowledge to perform their job safely.

If an employee violates the Hazardous Energy Control Policy, before they can perform lockout/tagout again they must be recertified.

Retain every certification form for active employees and forms for all terminated employees for 3 years after employment ends. This level of record retention will aid if there is ever an investigation after an injury related to uncontrolled hazardous energy.

Do you need more components of a lockout/tagout program?

View the expanded Lockout/Tagout Training below:

LOTO training expanded

Download the expanded Lockout/Tagout Training below:

 

View the Lockout/Tagout Inspection Form below:

Lockout_Tagout_Inspection

Download the Lockout/Tagout Inspection Form below:

lock out tag out

LOTO Lock Removal Documentation

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As part of a Lockout/Tagout (LOTO) program, there needs to be a process to safely remove lockout devices from equipment without the employee present.

It is not safe to simply remove a lock from equipment that is locked out without following a documented procedure.

In the event of an abandoned lock every avenue must be made to contact the employee and ensure they are not in the workplace. Removing a lockout device prematurely can result in an employee being injured or killed!

Following a documented procedure for this will ensure that no step in the process is missed, which can happen when pressure to re-energize equipment is coming from operations.

No amount of time pressure is worth an employee’s safety!

Abandoned Lockout Lock Removal Process

  • In the event that a LOTO Authorized Person is absent, or otherwise unavailable to remove his or her personal LOTO lock(s), the Responsible Individual (RI) may remove the LOTO lock(s) for the Authorized Person, subject to the restrictions in this section.
  • If a Responsible Individual has not been assigned, then either the absent Authorized Person’s supervisor or the Safety Manager (or his/her designee) may perform the task.
  • The following steps must be taken to remove an absent Authorized Person’s personal LOTO lock(s):
    • Obtain a printed copy of the Absent Authorized Person LOTO Lock Removal Form (see bottom of page).
    • Verify that the absent Authorized Person who applied his or her personal lock(s) is not present at the site.
    • Make all reasonable efforts to inform the absent Authorized Person that his/her lockout or tagout device needs to be removed.
    • Make all reasonable efforts to inform the absent Authorized Person’s supervisor that his/her employee’s lockout or tagout device needs to be removed.
    • Permission to remove an absent Authorized Person’s lock must be obtained from each of the following parties:
      • The absent Authorized Person or the absent Authorized Person’s line management and
      • The RI in charge of the specific LOTO, if assigned; or the Safety Manager
  • After obtaining all required approvals, the RI (or Safety Manager designee if necessary) must remove the lock(s). If present, the Absent Person’s supervisor must physically witness the lock removal and must retain possession of the lock(s).

This policy also needs to include a clause on ensuring the employee is made aware their lock was removed before resuming work. This can be as simple stopping them as they come in the door and inform them this occurred.

It is also important to recertify the employee for performing lockout/tagout before they are allowed to perform it again, as they violated procedure. This level of adherence to the process is important to safety and the OSHA standard.

Do you need more components of a lockout/tagout program?

If you ever have to remove a lockout device, ensure it is fully documented on this form, and retain this form in the employee’s training folder, along with the accompanying recertification form.

  • In the event the key to a lock is lost or misplaced, the lock may be cut by the LOTO Authorized Person after obtaining verbal permission from the Person In Charge of the LOTO.

View the LOTO Lock Removal Documentation below:

LOTO Lock Removal form

Download the LOTO Lock Removal Documentation below:

Control of Hazardous Energy Program

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A control of hazardous energy program is very important for workplace safety, and is often overlooked in many workplaces. Many workplaces think they are exempt from the OSHA standards of controlling hazardous energy.

Control of Hazardous Energy, often just called Lockout/Tagout (LOTO), is the #5 most common cited OSHA violation.

While often misunderstood, or misapplied, OSHA 1910.147 spells out the applicability of the standard, along with the steps to perform LOTO.

The foundation of a Hazardous Energy Control Program is a policy that explains all aspects of the program, sets expectations of when LOTO is performed, and by whom.

Besides a policy there are other important components of a LOTO program, which includes:
  • Training – for those performing Lockout/Tagout
  • Training – for “affected employees”; defined as employees in a work area where LOTO is performed, who may be impacted by the action
  • Annual retraining – Lockout/Tagout is not a set and forget program, it needs to include annual recertification for employees
  • Machine specific procedures – these are documented procedures to perform Lockout/Tagout for each piece of equipment, and needs to be reviewed at minimum annually.

Do you need more components of a lockout/tagout program?

Besides the above components, the policy, training,machine specific procedures, and recertifications need to be performed every time a new piece of equipment is added to the workplace.

To learn more about OSHA 1910.147 Control of Hazardous Energy Standards, OSHA has a published booklet, which helps explain the concepts of the standard, but should not be used to as a substitue for the standard in it’s applicability to workplace safety. View the booklet here.

If you need to sell the concept of Lockout/Tagout to your superiors, as it does require a substantial investment in time, new safety equipment, and enforcement, CDC/NIOSH has a fact sheet that can be used to explain the standard and it’s importance for workplace safety. View the fact sheet here.

Failure to have a Lockout/Tagout policy, or even a suitable program, can lead to employee injury or death, and is a direct violation of the OSHA General Duty Clause:

a) Each employer —

(1) shall furnish to each of his employees employment and a place of employment which are free from recognized hazards that are causing or are likely to cause death or serious physical harm to his employees;

(2) shall comply with occupational safety and health standards promulgated under this Act.

(b) Each employee shall comply with occupational safety and health standards and all rules, regulations, and orders issued pursuant to this Act which are applicable to his own actions and conduct.

I offer 2 policies for Control of Hazardous Energy:

  1. Is a basic program, which spells out the base minimum of an OSHA compliant program, good for a workplace with minimal need for LOTO, such as one where contractors perform all the work.
  2. Is an advanced policy, in which every component of a quality program is spelled out, including Tagout only, lock removal, and discipline for policy violation.

View the basic Control of Hazardous Energy Program below:

Control of Hazardous Energy Program

Download the basic Control of Hazardous Energy Program below:

View the advanced Control of Hazardous Energy Program below:

LOTO policy expanded

Download the advanced Control of Hazardous Energy Program below:

Control of Hazardous Energy Procedures and Policy

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There is no national data available on the number of workers killed each year by contact with uncontrolled hazardous energy. However, during the period between 1982 through 1997, the National Institute for Occupational Health (NIOSH) investigated 1281 fatal accidents as a part of its Fatality Assessment and Control Evaluation Program, (FACE). The FACE program was only active in 20 states during that period so the statistics represent just a portion of American workers. The findings, for this portion of workers, showed that 152 fatalities involved the installation, maintenance, service or repair tasks on or near machines, equipment, processes, or systems.

OSHA estimates that 29 CFR 1910.147 protects approximately 39 million workers and adhering to its requirements can eliminate nearly 2% of all workplace deaths in areas affected by this rule.

Basic steps of the control of hazardous energy procedure:

– Preparation for shutdown
– Notifying all employees
– Equipment shutdown
– Isolation from hazardous energy
– Render all stored or residual energy safe.
– Locking & Tagging the machines
– Performing maintenance or service activity
– Verification (observation, visual inspection & equipment testing)
– Removing Locks & Tags
– Notifying all employees to resume work

Testing or Repositioning of the Machines During Special Circumstances

OSHA allows the temporary removal of locks or tags only under special circumstances such as when:

  • The machines need to be tested or repositioned.

If power is needed to test the machines or reposition the machines, equipment or components, re-energization must follow a specific procedure.

  • When outside contractors are working on-site.

Both the onsite and off-site employers must communicate about their respective lockout and tagout procedures. Each must be certain that its personnel understand and comply with all restrictions and/or prohibitions of the other employer’s energy control program.

  • When servicing or maintenance is carried out by a group rather than one person.

The crew or group must follow a procedure that affords all employees a level of protection that is equal to that provided by the lockout/tagout device.

  • When there are shift or personnel changes during servicing or maintenance.

Either the energy isolating devices must remain under continuous control or the on-coming shift must verify the de-energization and lockout/tagout devices are in place on machinery and equipment.

Removal of Tags or Lockout Devices for Testing or Positioning of the Machines

When lockout devices or tags are removed and energy is restored to the machines or equipment for testing or repositioning, authorized employees must take these actions:

  • Check the work area to ensure that all non-essential items are removed and the machines are intact and capable of operation.
  • Check the area around the machinery to be certain all employees have been removed or are in safe positions.
  • Locks and tags are to be removed only by the employees who attached them when possible.
  • Notify all employees before restarting machinery.
  • Energize and reposition machinery.
  • De-energize all systems; isolate the machinery from the energy source.
  • Reapply lockout or tagout devices as specified.

Removal of Locks and Tags

  1. Inspect the work area to ensure that non-essential items have been removed and that machine or equipment components are intact and operate properly.
  2. Check the area around the machine or equipment to ensure that all employees have been safely positioned or removed from the area.
  3. Make sure that locks or tags are removed only by employees who attached them. When this is not possible, the device may be removed under the direction of the employer, provided he adheres to the specific procedures in the standard.
  4. Notify affected employees after removing locks or tags and before starting equipment or machines.

These policies must be closely followed – with no deviation. Inconsistency creates confusion and can lead to injury and even death.

Check out this process for removing abandoned lockout locks

What is Lock Out – Tag out (LOTO)

LOTO is a safety procedure followed to declare the industrial machines safe. The machines shall be incapable of starting again without the prior knowledge of all the people involved.

Lock Out – It means locking the concerned device and keeping it away from any power-inducing source. The machine should not be capable of restarting again without warning.

This involves locking devices like:

• Circuit breakers
• Cable lockouts
• Valves & springs
• Disconnect switches
• Key combinations
• Pneumatic lockouts

Tag Out – This refers to a process of labeling the device as powerless. The attached pointer includes: why the tag is there, time of application of the tag, & name of the authorized person.

All LOTO devices must have some standard functions and should meet the following requirements.

• Identifying the authorized person
• High durability level
• A “Do not open, start” warning
• Uniform in color, size, print, shape and format
• Devices should resist early removal, except using specific tools like bolt cutters, wire cutters etc.
• Non-releasable tags

Do you need more components of a lockout/tagout program?

There are three important definitions that are to be kept in mind while following these steps:

System – This refers to the machinery, process and equipment.

Authorized Employee – This refers to the person who’s qualified to carry out the lockout process.

Affected Employee – These employees work in the machines. They are not qualified to carry out the procedure like workers, housekeeping staff, ground staff etc.

Make sure you have the proper training for your employees:
Basic Lockout/tagout Training
Expanded Lockout Tagout Training

There are several responsible people for the job to take place smoothly.

The managers are responsible for drafting & updating. Monitoring the job is their primary aim.

The supervisors are responsible for ensuring that everyone follows protocols.

The employees are responsible for assisting and reporting issues if/when they occur.

View the Controlling Hazardous Energy Program below

Control of Hazardous Energy (Lock-out Tag-out) Policy and Procedures

Download the Controlling Hazardous Energy Program below

Who and Where does OSHA Regulate?

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OSHA standards are:

  • rules that describe the methods employers must use to protect employees from hazards
  • designed to protect workers from a wide range of hazards

OSHA writes standards (also called “rules”) for four industrial groups: general industry, construction, maritime, and agriculture. Where there are no specific standards, employers must comply with the General Duty Clause of the OSH Act.

OSHA issues standards for a wide variety of workplace hazards, including:

  • toxic substances
  • electrical hazards
  • fall hazards
  • hazardous waste
  • machine hazards
  • infectious diseases
  • fire and explosion hazards
  • dangerous atmospheres

OSHA standards appear in the Code of Federal Regulations (CFR). The OSHA standards are broken down into Parts:

  • Part 1910 is known as the General Industry Standards; Some of the types of industries covered by the General Industry standards are manufacturing, the service sector, and health care
  • Part 1926 covers the Construction industry
  • Parts 1915, 1917 and 1918 are Maritime Industry standards
Learn about the OSHA Inspection process used to apply the standards here

Most Frequently Cited OSHA Standards

Through the years, the same standards seem to be most frequently cited by OSHA. Their position on the list below varies from year to year, but they’re all on the TOP 10 list each year. Visit OSHA’s website on this topic. Just click on the image.

Notice the Fall Protection and Hazard Communication standards: these two standards are usually is at or near the top, so make sure you have an effective hazard communication program. Actually, it’s smart safety management to give priority to each of the top 10 in your safety program.

 

OSHA Coverage

The OSH Act covers most private sector employers and their workers, in addition to some public sector employers and workers in the 50 states and certain territories and jurisdictions under federal authority. Those jurisdictions include the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Northern Mariana Islands, Wake Island, Johnston Island, and the Outer Continental Shelf Lands.

Private Sector Workers

OSHA covers most private sector employers and workers in all 50 states, the District of Columbia, and other U.S. jurisdictions either directly through Federal OSHA or through an OSHA-approved state plan.

State Plans

State plans are OSHA-approved job safety and health programs operated by individual states instead of Federal OSHA. The OSH Act encourages states to develop and operate their own job safety and health programs and precludes state enforcement of OSHA standards unless the state has an approved program. OSHA approves and monitors all state plans and provides as much as fifty percent of the funding for each program. State-run safety and health programs must be at least as effective as the Federal OSHA program.

To find the contact information for the OSHA Federal or state plan office nearest you, call 1-800-321-OSHA (6742) or go to www.osha.gov.

 

hand and power tool safety plan

Hand and Power Tool Safety Plan

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Employees who use hand and power tools and who are exposed to the hazards of falling, flying, abrasive and splashing objects, or exposed to harmful dusts, fumes, mists, vapors, or gases must be provided with the particular personal equipment necessary to protect them from the hazard.

All hazards involved in the use of power tools can be prevented by following five basic safety rules:

  1. Keep all tools in good condition with regular maintenance.
  2. Use the right tool for the job.
  3. Examine each tool for damage before use.
  4. Operate according to the manufacturer’s instructions.
  5. Provide and use the proper protective equipment.

Hand and Power Tool Safety Guidelines

Power Tools

Power tools can be hazardous when improperly used. There are several types of power tools, based on the power source they use: electric, pneumatic, liquid fuel, hydraulic, and powder-actuated.

Employees should be trained in the use of all tools – not just power tools. They should understand the potential hazards as well as the safety precautions to prevent those hazards from occurring.

The following general precautions should be observed by power tool users:

  • Never carry a tool by the cord or hose.
  • Never yank the cord or the hose to disconnect it from the receptacle.
  • Keep cords and hoses away from heat, oil, and sharp edges.
  • Disconnect tools when not in use, before servicing, and when changing accessories such as blades, bits and cutters.
  • All observers should be kept at a safe distance away from the work area.
  • Secure work with clamps or a vise, freeing both hands to operate the tool.
  • Avoid accidental starting. The worker should not hold a finger on the switch button while carrying a plugged-in tool.
  • Tools should be maintained with care. They should be kept sharp and clean for the best performance. Follow instructions in the user’s manual for lubricating and changing accessories.
  • Be sure to keep good footing and maintain good balance.
  • The proper apparel should be worn. Loose clothing and jewelry can become caught in moving parts.
  • All portable electric tools that are damaged shall be removed from use and tagged “Do Not Use.”

Under 29 Code of Federal Regulation (CFR), 1910.242(a) employers are required to keep all tools in good repair. It states, “Each employer shall be responsible for the safe condition of tools and equipment used by employees, including tools and equipment which may be furnished by employees.”

Power tools present more hazards than hand tools due to the speed at which they operate and the potential for the user to come into contact with the power source (electrical, pneumatic , hydraulic etc.). There are differences between the PPE suggested for use with hand tools and the PPE suggested for safe power tool use.

Check out the Toolbox Talks for Maintenance and Mechanics that I have published

Hand Tools

Hand tools are non-powered. They include anything from axes to wrenches. The greatest hazards posed by hand tools result from misuse and improper maintenance.  Some examples:

  • The employer is responsible for the safe condition of tools and equipment used by employees but the employees have the responsibility for properly using and maintaining tools.
  • Employers should caution employees that knives, saw blades, or other tools be directed away from aisle areas and other employees working in close proximity. Knives and scissors must be sharp. Dull tools can be more hazardous than sharp ones.
  • Appropriate personal protective equipment, e.g., safety goggles, gloves, etc., should be worn due to hazards that may be encountered while using portable power tools and hand tools.
  • Safety requires that floors be kept as clean and dry as possible to prevent accidental slips with or around dangerous hand tools.
  • Around flammable substances, sparks produced by iron and steel hand tools can be a dangerous ignition source. Where this hazard exists, spark-resistant tools made from brass, plastic, aluminum, or wood will provide for safety.
Check Out: How to Conduct a Job Hazard Analysis

Download the Hand & Power Tool Safety Plan

 

Read the Hand & Power Tool Safety Plan

HandPower_Tool_Plan

Heat Stress Policy and Training

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This year OSHA is putting a serious focus on heat stress, and your workplace needs to be ready to deal with it. Do you have a policy? Do you train employees on the dangers of heat stress? If not, I have you covered, so check it out and get to work keeping employees safe.

Keeping employees safe during the hot and humid weather is very important, having a quality heat stress plan is important to that. This policy spells out how to keep employees safe during extreme weather.

Most importantly to remember is that it isn’t just the heat that will impact employees, but the humidity, calculated within the heat index. Knowing what each level of the heat index can mean to employee safety is important, and having a response as levels increase will keep employees safe during extreme weather.

Many companies assume that a heat stress policy is only important if employees are working outside, but this isn’t true, as being inside a building, even with A/C or great ventilation, can be equally dangerous, especially because employees may assume because they are inside, they aren’t susceptible to heat issues.

A quality response to dangerous levels of heat is more than just staying hydrated, it includes cool down time, the buddy system, and educating employees to be aware for themselves.

Download the Heat Stress Policy below

 

 

View the Heat Stress Policy below

Heat Stress Policy

Training staff to be aware of the dangers from heat is an important step towards keeping them safe.

This training includes a specific section for supervisors, so they can be aware of how to assist employees in keeping safe during dangerous heat.

Included in this heat awareness training is the signs of heat stress:

  • Heat Rash
  • Heat Cramps
  • Heat Exhaustion
  • Heat Stroke

Raising awareness of these conditions will assist employees in seeking care before their conditions worsen, and they end up in a dangerous predicament.

Check Out: How to Put Together a Workplace Safety Training Workshop

This training should be administered in a presentation, with an opportunity to answer questions to be most effective, but sections can also be used at huddles to continually remind employees of the dangers that heat can present.

 

Download the Heat Awareness training below

 

Read the Heat Awareness Training below

Heat Training
incident investigation is highly important to safety

Sample Accident Investigation Policy

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Workplace accidents cost companies approx $1 billion weekly in direct worker’s compensation costs, with an estimated $3 billion weekly in indirect costs! A quality accident investigation program can reduce workplace injuries by properly identifying hazards that have caused an injury, and taking appropriate actions to eliminate those workplace hazards.

 

 

So what does OSHA say about accident investigations:

“OSHA strongly encourages employers to investigate all incidents in which a worker was hurt, as well as close calls (sometimes called “near misses”), in which a worker might have been hurt if the circumstances had been slightly different.”

So what does this mean for employers? While an investigation is not required by OSHA, and not having a policy or procedure will not result in an OSHA fine, an injury can identify a known workplace hazard. Known workplace hazards that are not abated can expose a company to a fine under OSHA’s General Duty Clause:

a) Each employer —

1) shall furnish to each of his employees employment and a place of employment which are free from recognized hazards that are causing or are likely to cause death or serious physical harm to his employees;

Not conducting an investigation after an accident, might not identify the hazard, which OSHA would expect you to abate if it causes an injury to an employee.

Sound like a catch-22? It can be for employers.

Which is why implementing a policy for properly investigating workplace safety incidents can be so important.

Below is an excerpt from the Sample Accident Investigation Program, read and download the entire policy below:

The Power of Accident Investigation Programs

Accidents don’t happen in a vacuum. They are stories waiting to be told, revealing hidden vulnerabilities and missed opportunities for improvement. Enter the Accident Investigation Program, a powerful tool that transforms mishaps into stepping stones for progress. This management system isn’t about pointing fingers; it’s about dissecting incidents with a microscope, uncovering the “why” behind the “what.”

Think of an accident investigation program as a safety detective agency. Its skilled investigators meticulously analyze accidents and injuries, identifying contributing factors like dominoes in a chain reaction. By eliminating these factors, we prevent the dominoes from toppling again, creating a safer environment for everyone.

But the benefits of an accident investigation program go beyond the immediate incident. It’s a catalyst for broader progress:

  • Sharper Focus: Like a lighthouse in the fog, an accident investigation process shines a light on underlying inefficiencies and quality gaps. By understanding how accidents happen, we can address systemic issues and improve overall operations.
  • Foresight with Hindsight: Trends in accident data become whispers of future risks. A good policy listens carefully, analyzing patterns and emerging threats to proactively prevent similar incidents before they occur.
  • Empowered Supervision: An accident investigation process equips supervisors with the knowledge and tools to become champions of safety. By understanding accident causes, they can tailor their approach, implement preventive measures, and foster a culture of safety-first awareness.
  • Accountability and Transparency: An quality accident investigation doesn’t shy away from hard truths. It serves as an independent eye, monitoring the effectiveness of safety programs and ensuring compliance with regulations.
  • Informed Decisions: Accidents shouldn’t be swept under the rug. An accident investigation program provides valuable data for handling worker’s compensation claims, reporting to regulatory bodies, and maintaining accurate records – all crucial for informed decision-making.

An Accident Investigation Program isn’t just a box to tick; it’s a journey towards a safer, more efficient future. By embracing its power, we unlock the potential to learn from our past and build a brighter, safer tomorrow.

 

So check out the following:

 

Download the Sample Accident Investigation Policy below

View the Sample Accident Investigation Policy below

Sample Accident Investigation Program

Incident Investigation Training – Beginners

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Part of a quality incident investigation program is properly training for those tasked with investigating after an accident.

This training is geared for beginners, to get a foundation in incident investigation techniques. As skills grow I have  more advanced  investigation trainings available.

properly investigate all accidents and incidentsThis training covers fundamentals of incident investigation such as:

  • the importance of root cause analysis in an investigation;
  • the hierarchy of controls to minimize risk exposure;
  • how to identify “Red Flags” in an investigation.
Check Out: Incident Report Writing Guide

Benefits of Incident Investigations

When properly conducted, incident investigations:

  • help prevent future accidents,
  • help you identify and eliminate hazards,
  • expose deficiencies in your processes or equipment,
  • reduce injury and workers compensation costs, and
  • maintain and improve employee morale.

This training can be given to those in your company tasked with conducting an incident investigation, either in a class room environment or as part of a self learning exercise.

Learning Outcomes from Incident Investigation training

  • Broad understanding of incident investigation
  • Robust understanding of incident investigation
  • Readily applicable incident investigation procedures
  • Be able to collect, analyze and communicate data
  • Understanding of strategies to ensure the organization learns from safety failure
Check Out: The Challenge of Employees to Report All Safety Incidents

Who can benefit from this incident investigation training?

Managers and supervisors who are responsible for conducting incident investigations will most benefit from this course. The content is also beneficial to workers who have health & safety responsibilities, such as Health & Safety Representatives and First Responders.

Check out the following related program components available for free:

Download the Incident Investigation Training for Beginners

View the Incident Investigation Training for Beginners

Incident Investigation Training

 

Root Cause Worksheet

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Conducting a full and proper root cause analysis is important to completing an accident investigation. This worksheet will aid in a full root cause analysis.

Including this form in your accident investigation toolkit, will aid those conducting an investigation after a safety incident.

 

Using the Root Cause Investigation Worksheet

Example Accident: “An employee comes into the lobby, with uncovered marble flooring during a rain storm, and slips on water puddled near door; spraining their wrist.”

Even if this specific accident didn’t result in a serious injury, they can result in broken bones or head injuries. No matter the level of injury, each accident should be investigated equally to prevent future accidents that may result in a more serious injury.

Using the root cause worksheet, you read the environmental section and see multiple applicable items.

 

 

 

So, applying this to the above example, you can identify:

  • adverse weather: raining outside;
  • walking/working surface: uncovered marble floor;
  • poor housekeeping: water puddled at entrance on floor;

as causes of this instance. So which is a root cause and which is a causal factor of the incident? You can find that by applying some simple questions:

  • If it were raining outside, and the floor was covered with an anti-slip rug, would this have occurred?
  • If housekeeping had cleaned up the water pooled, would the person have slipped?
  • If there was no puddled water, but the person’s shoes were slick with rain could they have slipped on the marble floor?

Applying those questions, you will realize that the adverse weather and the poor housekeeping were contributing factors, while the walking/working surface was the root cause. Because a simple anti-slip rug could have stopped this, even if there wasn’t a puddle and it was raining outside, or if there was a puddle and it wasn’t raining outside.

 

 

 

If you follow through with this root cause analysis, and take action and place an anti-slip mat at the lobby entrance, you have negated the possibility for further accidents.

You can see how this root cause worksheet is a good tool to have as part of an accident investigation program.

Ensure you give your team the tools and training required to fully implement a quality accident investigation program, which includes ensuring they are aware of their roles in the program, that they have been trained on their responsibilities, and they know how to follow-up to create change.

I have also published a book for Root Cause Analysis, available in softcover and hardcover.

Check out my book on Amazon.

 

Check out the following related program components available for free:

 

View the Root Cause Worksheet here

Root Cause Worksheet

Download the Root Cause Worksheet here