Kevin Ian Schmidt

Incident Investigation: Top 10 Mistakes

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Any professional in the safety & security industry, is probably familiar with writing reports. Writing reports isn’t just a one and done occurrence. Report writing is absolutely essential to successful investigations and case management. This post will explore the purposes and importance of reports as well as provide tips for beginning report writers to refine their skills. There are negative implications to unskilled report writing and may end up halting a person’s career to a standstill. Although many of today’s investigative reports can be completed in preformatted forms, even in an online/mobile format, there are still many scenarios in which one will not have this luxury. It is important to gain a thorough understanding of the purpose of report writing and the uses behind it.

Let’s examine a few of the ways in which reports are utilized in the workplace:

 

1.Accidents in the Workplace

Incident reports are crucial for corporations and businesses, especially those that are open to the public. Retailers, for example, must be keenly aware of the safety risks that are involved. With high traffic volumes, shelves and displays, potentially dangerous merchandise, escalators, etc., an accident is bound to happen, whether it is a customer or an employee. Filling out a thorough accident report immediately after an accident takes place will save the employer a lot of hassle in the future should any medical or legal issues ensue from the incident. The report can clear the employer of any liability in civil proceedings against the business. These reports are to be written by the individual responding to the scene of the incident.

Worker’s compensation and insurance fraud is a rapidly growing area of crime with the advancement of technology and the depressed economy. Some employees will jump at the chance to exploit and abuse the system. Writing a report immediately after a workplace incident will lower the risk of worker’s compensation or insurance fraud significantly. It can also alleviate the risk of civil liability should the employee decide to sue the employer afterwards. Employers who maintain an unsafe workplace riddled with safety hazards will find themselves embroiled in administrative fines and civil litigation.

2.Preliminary Reports

Preliminary reports are commonly written by uniformed officers when responding to a complaint or a crime. When writing a preliminary report, it should include any all information pertinent to the investigation. This includes information on the individual making the report or the victim, a thorough description or identification of the person making the complaint, details of the incident that transpired, and any other relevant information that can be collected. As Dempsey writes, the preliminary report is like a birth certificate in a case because it begins the investigation (2002, 86). A follow up report is later written to keep tabs on the progress of the investigation and include any new or relevant information gained.

3.Administrative and Managerial Entities

The reports one writes throughout his or her career are almost always going to be viewed by third parties. In almost all cases, administrative agencies and supervisors will require that subordinates submit regular reports for the purpose of reviewing progress of an investigation and keeping track of employee productivity. These are sometimes called supervisory review reports (Dempsey, 2002, 84) These reports, when done on a regular basis, help supervisors to keep track of subordinate productivity and the progress being made on all cases.

4.Chain of Custody and Lab Reports

Evidence will change hands throughout the course of an investigation. In this case, anyone who claims custody of the evidence must complete a chain of custody report. The report should include a detailed, chronological history of the evidence and should contain a detailed description of when and to whom it changed hands. If there are any discrepancies about the chain of custody, it will be hard to prove in court that the evidence shown at trial is the same that was collected at the crime scene. In this case, it is best to limit the transfer of evidence to as little as possible.

Lab reports are written regarding any form of evidence that requires a laboratory examination. A request for a laboratory analysis is sent to the lab by the investigator. The forensic analyst who conducted the analysis will then submit a report detailing the results of that analysis. The United States Environmental Protection Agency (EPA) provides instructional courses on sampling procedures, data acquisition, chain of custody, what it is used for, and how the forms are properly used to pass testing samples from one link of the chain of custody to another.

5.Observations

When assigned to conduct surveillance, a report written by the investigator conducting the surveillance is called an observation report. The report details all actions that the investigator witnesses during the course of the investigation.

 

These are just a few of the many kinds of reports the investigator may come into contact with throughout the course of his or her career!

 Need more components of an incident reporting program? Check out what else I have to help you out here

Tips on Investigative Report Writing

1. Follow the Principle of Expansible Significance

Minor crimes and inconsistencies often turn out to be major crimes or loss events. “Minor is major”! Get all the facts. This includes even the smallest of details. Even if it may seem irrelevant at the time, little pieces of information may manifest themselves as much more significant throughout the course of the investigation.

2. Write Professionally, but Not Pompously

The report you are writing won’t just be read by people within your department or your field. Don’t assume that everyone will understand certain things you write in the report, because it will only serve to confuse the readers and will damage your credibility. Keep the high-level vocabulary to a minimum and refrain from use of

any lingo or vernacular language. “Police talk” may work on the beat between two partners, but it will not work in a formal report.

3. Write Neatly and Concisely

The more one writes reports, the easier it will become to spill the words out and get it right after a few tries. A good report will consist of thorough, detailed information but will also be fairly brief and to the point. This may be difficult to do at first, but revising and rewriting the report will aid in honing one’s writing skills. Although many of today’s police and investigation departments are driven by technology and many officers can file reports from their computers, there are instances where they will need to be hand written, especially in times of emergency. Write legibly and make sure others will be able to read the writing.

4. Keep Reports Organized

All reports, documents and any audio/visual information should be stored and preserved. Many choose to compile a case folder that keeps everything intact and preserved should it be referred to in the future. This is especially important because it will serve as an easy method of reference and will help to jog the investigator’s memory. Some cases don’t go to court for months or even years, and it is impossible to remember every single detail of the investigation. Having a secure and effective method of storage for cases is extremely beneficial. Always have a hard copy of the report even if it is saved on a computer in case of a power surge or a scenario in which the file couldn’t be accessed or is deleted.

5. No Notes Equals No Report

The accuracy and quality of investigative reports is contingent upon the field notes. Constantly writing things down during one’s day-to-day routines will help to establish a solid foundation for a report should an incident arise. During an investigation it is also crucial to follow this strategy. The notes should be factual and accurate. These notes may include but are not limited to:

  • Names of witnesses
  • Notes from interviews of witnesses
  • Vehicle descriptions
  • List of items stolen/broken
  • Names/contact information of victims
  • Time the incident occurred
  • Arrival times of emergency personnel
  • Security or safety hazards such as nonworking lights, broken floor tiles, leaking pipes, etc.
Check Out: How to Investigate an Accident Or Incident in 9 Easy Steps

Other Interesting Suggestions that Will Make One a Better Report Writer

Many people often use the word “did” right before the verb. It is annoying for supervisors and judges to constantly read things such as “I did move the box, I did observe Joe walk through the door”, and “I did enter the facility” and should be avoided. It’s certainly okay to use “did not” to indicate an omission of action, however.

Try to keep words in the report to less than three syllables.

Keep the report properly punctuated so that readers can quickly decipher where one idea ends and another begins.

Jack Dempsey’s NEOTWY format should always be used (2002, 87). The word is an acronym derived from the last letters of When, Where, Who, What, How, and Why. It may sound silly, but it is easy to remember.

Does the report make sense? Try reading it aloud. If it doesn’t make much sense to the officer or investigator, it won’t make sense to a judge or supervisor.

 

What Case Folders May Contain

  • Index sheet
  • Incident report
  • Follow-up or investigatory action reports
  • Interview/Interrogation reports
  • Record checks
  • Photographs, sketches, visual evidence
  • Evidence reports
  • Chain of custody reports
  • Computer printouts
  • Audio/video material
  • Medical examiner reports

View & Download the Top 10 Incident Investigation Mistakes below:

 

incident investigation top10 mistakes

BWC Emergency Action Plan Template

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free basic template for emergency action planA good business reviews their emergency action plan annually, not just with their employees as OSHA requires, but as a whole to ensure everything is still applicable that it works with your workforce, that it is still the most efficient.

This Emergency Action Plan is from Ohio’s BWC Office of Industrial Hygiene, it is a basic plan that addresses all applicable subsections of OSHA standard 1910.38.

This template is best for small businesses, including those that don’t require a written plan, so that they don’t miss a basic subsection.

If your business requires a more in-depth plan, or your workplace has specialized needs, this plan is not best for you, and instead you should check out some of our other offerings in the membership area.

Besides having an Emergency Response Plan, every workplace should have a a training on Emergency Response, that explains it to the employees. I have many emergency response plan posts you can check out here.

How best to utilize this Emergency Action Plan document

This form will not be 100% applicable to every workplace. So, it is best to rewrite this plan for your company. Simply start with the Scope and Purpose of the plan, as those are completely applicable to any business. Next, adjust the plan to the work performed by your business, and adjust the job titles to those in your workforce.

EXAMPLE: don’t have or need 40hr trained hazmat representatives in your retail store? Simply omit that portion.

Doing just a basic rewrite of this plan as outlined above, and using it as a guided template for your personalized plan, then you will be 100% compliant with the OSHA regulations, and more importantly, you will be providing the safest workplace for your employees.

An emergency action plan is a life saving document, and has many different considerations based upon the workplace, check out what else I have to offer around Emergency Action Plans

Download & Read the Basic Emergency Response Plan below

BWC Emergency Response Plan

How to Investigate an Accident Or Incident in 9 Easy Steps

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When an accident happens in the workplace, it is critical to conduct an accident investigation to determine the root cause of the events that led to the accident or injury. The point of the investigation should never be to assign blame, but rather to uncover the factors that led to accident so you can take corrective action to prevent it from happening again.

 

Get the overall picture by interviewing the people who know most about the accident or incident. This will enable you to carry out a thorough accident investigation.

The 9 steps to conducting an effective accident investigation interview are:

1) Create the “right” environment. Create an atmosphere of co-operation. Explain reason for the interview- prevention. Ask for person’s help. Ask your questions and listen carefully to the answers. Make notes and draw diagrams.

2) Interview as close as possible to the site of the accident/incident. This helps the accuracy of the witnesses because they are able to point and sometimes demonstrate what actually happened. At this stage, make absolutely certain you know where the witness was standing when the accident or the incident took place. This is because sometimes witnesses could not have seen what actually happened from where they were standing. There is a tendency for witnesses to assume what actually happened, even when they didn’t see it.

Check Out: 7 Problems Interviewing Witnesses to Workplace Accidents and Incidents

3) Discussions should be private. When you interview the witnesses, interview them one at a time. This will give you better information and there is no conflict with witnesses arguing about what happened. If descriptions don’t match there is only one option. Re-interview

4) Get the person’s perception of the accident/incident. Make sure that there is no outside influence or bias and as you listen remember to try not to interrupt. At this stage you are gathering information only. There is no need to evaluate the accident or the incident until you have collected all the information possible.

5) Listen more than you talk. Encourage the person to talk, listen to the answers and help the person not to become defensive or accept any blame for the accident or incident. Remember, the more they talk, the more you will learn.

Need more components of an Incident investigation program

6) Repeat the story back once you have heard it. Once you have heard the witness’s account firstly check your understanding by repeating the account back to the witness. This gives the person a chance to hear what they’ve said and correct or confirm it. The repetition allows the words and meanings to be matched.

7) End the discussion by thanking the person for their help. Thank the person for their help and cooperation and repeat that you are gathering information so that this sort of incident can be prevented in the future.

8) Note vital information at once. Make notes rather than try to write down the complete dialogue unless the person gave you some really critical information.

Check the Root Cause Book I have published on Amazon

9) Keep open the opportunity for further communication. Give the person the opportunity to get back to you in case they remember something at a later date. It always pays to go back to the person the following day or so, and have a casual conversation about the incident. Often vital information is a gathered at this point.

DHS Bomb Threat Checklist

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Bomb threats or suspicious items must always be taken seriously. How you react to a bomb threat can be the difference of people living or dying. So what should you do?

 

Whether the bomb threat is made via phone, handwritten note, email, or other means, the DHS Bomb Threat Checklist provides instructions on how to respond to a bomb threat and a comprehensive list of information that will assist law enforcement in a bomb threat investigation.

Bomb threats are primarily received via phone, but are also made in person, via email, written note, or other means. Most bomb threats are made by individuals wanting to create an atmosphere of anxiety and panic. Every bomb threat is unique and should be handled in the context of the facility or environment in which it occurs. Facility supervisors and law enforcement will be in the best position to determine the credibility of the threat.

Follow these procedures in the event of a bomb threat :

  • Remain calm.
  • Notify authorities immediately:
    • Notify your facility supervisor, such as a manager, operator, or administrator, or follow your facility’s standard operating procedure. (See below for assistance with developing a plan for your facility or location.)
    • Call 9-1-1 or your local law enforcement if no facility supervisor is available.
Check Out: Emergency Response Plan Best Practices

For threats made via phone:

  • Keep the caller on the line as long as possible. Be polite and show interest to keep them talking.
  • DO NOT HANG UP, even if the caller does.
  • If possible, signal or pass a note to other staff to listen and help notify authorities.
  • Write down as much information as possible—caller ID number, exact wording of threat, type of voice or behavior, etc.—that will aid investigators.
  • Record the call, if possible.

 

 

Download the DHS Bomb Threat Checklist below

View the DHS Bomb Threat Checklist below

DHS Bomb threat checklist

Loading Dock Safety Awareness

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This form on loading dock safety awareness can be used as a quick training for dock employees during huddle meetings.

This form is also good for employee orientation as part of the training process, to increase awareness of the dangers within the material transfer zone(MTZ).

Finally this form can be used as part of a walk through program to identify hazards.

Keeping the dock area clean and organized is the first part of this awareness training, as good housekeeping is the foundation of safety. Doing this will minimize slip/trip/fall potential injuries, which can be amplified in the dangerous MTZ, with the amount of powered equipment and material being moved within the area.

This awareness form is only a small part of a total dock safety program, don’t forget to check out the other offerings for loading dock safety.

Do you have other Loading Dock Safety needs? We also offer the following:

3 Tips to Raise Safety Awareness of the Risks at Loading Docks

  1. Not every worker knows when trucks are arriving or leaving. This can be a serious hazard for powered equipment operators. Establish a communication model at the docks to raise this awareness.
  2. Sometimes workers fall off docks. They may get injured or left vulnerable where trucks move in. Drivers can’t always see well behind the truck. Being crushed by a truck on the drive approach is the most common dock-related cause of death. This can be corrected with properly guarding the dock edges.
  3. Ensuring there is a proper bridge from dock to trailer is a great way to reduce risk at the loading dock. This can be done with Dock Plates, Dock Boards and Loading dock levelers. They help ensure smooth, safe moving of goods between the two components, especially when using material handling equipment.

Download the Loading Dock Safety Awareness form below

View the Loading Dock Safety Awareness form below

LoadingDockSafety- awareness

Loading Dock Safety Policy

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The foundation of a safe loading dock is a quality policy that outlines expectations for safety.

Partner this policy with all the other aspects of Loading dock safety offered here, and your company will have all the tools available for a safer loading dock.

Do you have other Loading Dock Safety needs? I also offer the following:

The policy here not only covers basics of loading dock safety but also covers physical security of the dock area, as that is an important aspect, that if neglected can create an unsafe working environment.

This policy is not all inclusive, as it specifically covers safety and security, but nothing concerning operations. Your company will need a policy/procedure for loading dock operations, since every workplace is different. Pairing this safety policy with a quality operation policy will provide a safe and secure environment in which employee productivity is optimized.

A quality loading dock safety policy should address the following risks employees face:

  • Trailer Separation: This problem is common enough that it goes by several nicknames: trailer walk, dock walk and — most commonly — trailer creep. The weight of forklifts entering and exiting the trailer can cause it to gradually drift away from the dock until there is a dangerous gap between the trailer and the dock.
  • Premature Departure: If a miscommunication occurs and a truck driver mistakenly pulls away from the dock prematurely, it could cause a forklift driver entering, exiting or inside of the trailer to be injured.
  • Landing Gear Collapse: Damaged or weak landing gear on a trailer can suddenly fail, allowing the trailer to move. It could either pitch forward or swing off to one side. This can injure employees who are entering, exiting or inside of the trailer.
  • Trailer Pop-Up and Up-Ending: Pop-up can occur when the weight of a loaded forklift entering the back end of the trailer causes the trailer to press down in the back and pop up in the front. Up-ending is the opposite, but equally dangerous, problem, where the trailer’s nose is forced down, causing the back to rise.
  • Dock Shock: Dock shock refers to the health and safety hazard that lift truck operators experience when they are jarred by a bumpy transition crossing over from the warehouse floor to the loading dock.
  • Unsecured Loads: When a load on a forklift or other powered truck isn’t properly secured, it can slide off, causing injury to the forklift driver or any other employees within close proximity.
  • Lifting: Though not unique to loading docks, lifting equipment is also a common source of warehouse injuries and often occurs when employees are loading and unloading goods at the loading dock. Though a back strain may seem less serious than a fall or other injury, a first-time back injury can cost $10,000 and can put an employee out of commission for some time.

The following recommendations can improve safety on loading docks:

  • Use portable jack stands when loading and unloading trailers to prevent potential tipping of lift trucks.
  • Have all equipment maintained in accordance with manufacturer’s recommendations – this includes lift trucks, dock levelers, vehicle restraining devices, dock doors, and automatic signaling devices.
  • Purchase forklifts with side shifting capability – they help to prevent product damage and promote safety by allowing the lift truck operator to perform the task with fewer movements and eliminating the need for the forklift to be right up against the wall of a trailer.
  • To prevent injuries from lifting heavy materials, make sure all employees follow best practices for lifting.
  • Make sure the dock area is well-lit and that lift trucks are equipped with spotlights so drivers can see everything in front of them, whether on the warehouse floor or in a semitrailer.
  • Whenever possible, avoid having workers in trailers while a lift truck is loading or unloading.
  • Perform a visual inspection of the trailer prior to driving a lift truck into it – damaged and rotting floorboards are common in older trailers.

Download the Loading Dock Safety Policy below

View the Loading Dock Safety Policy below

Loading Dock Access Safety and Security Policy

Loading Dock Safety Checklist

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When you think of a loading dock, does a flurry of activity and the classic “beep, beep, beep” noise come to mind? A company’s loading dock is a hub of activity for shipping and receiving functions that keeps the businesses flowing. Unfortunately, about 25 percent of reported warehouse injuries occur on loading docks.

With the use of forklifts, pallet jacks, and other manual means in these critical transition areas, it’s important to review the hazards associated with loading docks and safety practices to help prevent injuries and incidents.

 

Have you completed a loading dock safety assessment?

This Loading Dock Audit Checklist is a great tool to assess the hazards present within the material transfer zone(MTZ) and provides a clear picture of where you can improve your safety.

This checklist for dock safety should be completed, at minimum, every quarter to ensure your loading dock remains a highly functional safe working environment.

The loading dock safety checklist covers important aspects such as:

  • Training – This is a review of the relevant training needed for safe work within the MTZ
  • Housekeeping – a clean and orderly work environment is the foundation of a safe workplace
  • Material handling equipment(MHE) – a solid check of all MHE will ensure employees are only using the safest equipment possible.
  • Loading zone – Is the loading zone properly setup for safe operation
  • General safety – many of the questions here are applicable for total warehouse safety, but with the fast moving work within the MTZ it should be checked regularly.

 

A great way to perform a loading dock safety assessment is by bringing together your site safety committee and using this checklist, so there are multiple perspectives in helping to identify hazards at the loading dock.

Check Out: Safe Lifting and Carrying Training as proper lifting will help reduce injuries, and employees need proper training on how to lift and carry safely.

 

Do you have other safety needs for your loading dock?

 

Download the Loading Dock Safety Checklist below

View the Loading Dock Safety Checklist below

Loading Dock Safety checklist

Loading Dock Safety Training

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The loading dock in a business is a high hazard area, with many different risks. With freight and powered equipment moving through the area, injuries can be significant, an easy way to reduce risk of injury is by providing employees with this loading dock safety training.

Loading dock injuries reviewed

  • Every 3 days someone is killed in a forklift related accident at a loading dock.
  • An additional 94,750 forklift related injuries are reported each year.
  • $135,000,000 in immediate costs are incurred due to forklift accidents.
  • 7% of forklift accidents occur when a lift truck is driven off a loading dock.
  • 12% of all loading dock fatalities involving power equipment result from trailer/dock separation.
  • 70% of all reported accidents could have been avoided with proper safety precautions
    *nist.gov, “Performance Metrics for Intelligence Systems Workshop” 2009

Training employees to identify the hazards in a loading dock area, examples include:

  • Inspecting loads received to make sure they are stable and undamaged
  • Destroying damaged pallets
  • Inspecting loads before movement to ensure proper shrink-wrapping or banding
  • Securing dockplates or bridges
  • Chocking trailer wheels before accessing a trailer
  • Engaging locking devices before entering trailers
  • Guarding dock edges when trailers are absent

This loading dock training will provide employees with the proper knowledge to identify risks and also the foundations of a quality loading dock safety program.

Requirements and Recommended Practices:

  • Maintain a safe distance from the edge of loading dock.
  • Watch out for tail swing.
  • Keep working surfaces clear and clean.
  • Paint the edges of the loading dock to improve visibility.

From OSHA.gov

Do you have other Loading Dock Safety needs? I offer the following:

This safety training can be conducted in a classroom training environment or as part of a quality self learning training program.

Download the Loading Dock Safety Training below

View the Loading Dock Safety Training below

Dock Safety Training

Glad Hand Lock Training

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Loading dock fatalities and serious injuries occur when there is unwanted separation between the trailer or truck being loaded and the loading dock. A glad hand lock can be used to secure a trucks air lines from connecting to the trailer, which means they won’t be pressurized, therefore they will be engaged.

Trailer Air Brake Lock for Trailers and Containers

Trailers and containers hold precious cargo, so keeping them secure is critical. That’s where Trailer air brake locks step in, acting as security ninjas for your glad hand mounting bolts. They cover those little guys like a knight’s shield, stopping unauthorized tampering with brake lines and preventing trailer takeoffs by surprise.

Think Fort Knox for your fleet: This isn’t some flimsy padlock. We’re talking a high-security, push-button locking cylinder that makes unauthorized access about as easy as cracking a bank vault. Installation’s a breeze too, so you can get these guardians on duty in no time.

But wait, there’s more! These locks aren’t just security superstars, they’re also safety chameleons. They seamlessly integrate with your lockout/tagout procedures, adding an extra layer of protection during maintenance and repairs. It’s like a two-in-one deal for ultimate peace of mind.

So, whether you’re a big rig boss or a warehouse whiz, Trailer Air Brake Locks are your secret weapon for shielding your assets and safeguarding your crew. They’re a must-have in any comprehensive security strategy, ensuring your cargo and equipment stay put while your team works safely and efficiently.

Remember: Security isn’t an option, it’s an investment. Invest in Trailer Air Brake Locks and watch your worries disappear faster than a truck down the highway.

Glad Hand Lock Common Questions

Can a glad hand lock be used in place of wheel chocks?

  • No. The lock should be used in addition to wheel chocks or dock locks. They are an additional layer of security.

Can a glad hand lock be used in place of a king pin?

  • Yes. While a king pin prevents the truck from connecting to the trailer, a glad hand lock prevents the brakes from being energized. Best practice is to use both, whenever possible.

Can a trailer move with a glad hand lock in place?

  • Yes. Trucks can connect to the trailer and pull it, but with the brakes engaged, the wheels won’t turn.

Is glad hand lock usage required by OSHA?

  • General industry regulations relative to truck loading docks are largely embedded in requirements for Powered Industrial Trucks (1910.178). Specific requirements aimed at preventing trailer/dock separation incidents appear below:1910.178(k)(1): The brakes of highway trucks shall be set and wheel chocks placed under the rear wheels to prevent the trucks from rolling while they are boarded with powered industrial trucks.1910.178(m)(7): Brakes shall be set and wheel blocks shall be in place to prevent movement of trucks, trailers, or railroad cars while loading or unloading.OSHA has issued directives and interpretations that allow alternatives to chocking to prevent trailer/dock separation. Verbiage from a September 14, 2005 letter of interpretation summarizes the Agency’s most current position:“. . . in light of the changes in technology since the promulgation of 29 CFR 1910.178(k)(1) and (m)(7), OSHA as a matter of policy will regard failure to use wheel chocks or blocks as a de minimis violation and no citation will be issued if alternative methods of preventing truck movement are used. These alternatives may include the use of dock lock mechanisms, dock monitoring systems, or other systems which will prevent the unintentional movement of trucks and trailers while being boarded with powered industrial trucks.”

This training will teach employees how to put on and take off a glad hand lock. Besides making this part of an employee’s dock safety training, this sheet can be laminated and placed at the glad hand lock station to remind employees how to use them.


Do you have other Loading Dock Safety needs? We also offer the following:

Download the Glad Hand Lock Training below

View the Glad Hand Lock Training below

Glad Hand locks - Training

 

 

 

How Accurate is Your Company’s Incident Reporting?

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In any organization with a system for reporting accidents and incidents, there is always the risk of underreporting or overreporting. This discrepancy can significantly reduce the effectiveness and reliability of the reporting process. Accurate reporting is crucial because you can’t address issues that you aren’t aware of, and often, “near misses” serve as early warnings for potential serious injuries or accidents.

When there is a suspicion of underreporting, it’s essential to ask several critical questions to ensure that all relevant information about accidents and no-harm incidents is captured. This is necessary so that appropriate preventive measures can be implemented. To address the issue, it is important to take a step back and examine the organization’s culture. Understanding what behaviors and actions are being rewarded or punished is key to identifying the root causes of underreporting.

According to a basic principle of human behavior, “Things that get rewarded or recognized, get done.” In the context of accident and incident reporting, this means that employees are more likely to report incidents if they are positively acknowledged for doing so, and less likely if they fear negative consequences. Therefore, two fundamental questions must be asked: “Are employees being punished or blamed for reporting incidents?” and “Are employees being rewarded, either implicitly or explicitly, for not reporting?”

If the answer to either question is yes, it becomes clear how these conditions can influence human behavior and lead to underreporting. For example, if employees feel that reporting an incident will result in punishment or blame, they may choose not to report it. Conversely, if they believe that not reporting incidents will help them avoid trouble or gain rewards, they may be incentivized to keep issues under wraps. In both scenarios, the organization’s culture and policies play a significant role in shaping reporting behaviors.

To address these issues, organizations must foster a culture that encourages open and honest reporting without fear of repercussions. This involves creating a safe and supportive environment where employees feel comfortable sharing information about incidents and near misses. Recognizing and rewarding accurate and timely reporting can also help promote a culture of transparency and continuous improvement. By doing so, organizations can ensure that they have a complete understanding of workplace hazards and can take proactive steps to prevent accidents and injuries, ultimately creating a safer work environment for everyone.

Does your company need more components of an incident reporting program? I have many posts to help you here

Human behavior is often shaped by the outcomes that individuals and groups experience as a result of their actions. If employees are rewarded for not reporting accidents, they are likely to continue withholding this information because the consequences reinforce that behavior. Conversely, if reporting accidents leads to punishment or blame, employees will naturally try to avoid these negative outcomes by not reporting incidents. In both scenarios, underreporting becomes a common practice, which can create a false sense of security within the organization. Management may mistakenly believe that their workplaces are becoming safer when, in reality, crucial information about potential hazards is being suppressed.

Unfortunately, many organizations implement incentive programs aimed at improving safety, but these initiatives often have the unintended consequence of merely altering the reported statistics rather than enhancing actual safety. In these cases, safety statistics can become highly unreliable, as they may not accurately reflect the true state of workplace safety. It is entirely possible for unsafe practices to occur without being captured in the statistics, thereby weakening the connection between reported data and the actual level of safe behavior within the organization.

In some organizations, particularly those with multiple sites or divisions, a competitive element is introduced into safety reporting. This approach often exacerbates the problem of underreporting. When safety performance is turned into a competition, managers may feel pressured to avoid appearing at the bottom of safety rankings. The fear of being scrutinized or criticized for poor safety records can lead to deliberate underreporting of incidents. Managers may choose not to report accidents or near misses to avoid raising questions about their leadership or facing demands to “get your people to work safely.”

This competitive atmosphere creates an environment where the focus shifts from genuinely improving safety to simply maintaining appearances. As a result, the organization may continue to operate under the illusion that safety is improving when, in fact, serious risks are being overlooked. This can have dangerous consequences, as the true state of safety within the workplace remains hidden, and opportunities to address and mitigate hazards are missed.

To cultivate a truly safe working environment, organizations must prioritize accurate and honest reporting over superficial improvements in safety statistics. This requires a cultural shift away from punitive or reward-based systems that inadvertently encourage underreporting. Instead, organizations should foster an environment where reporting is seen as a positive and essential component of workplace safety. By doing so, they can gain a realistic understanding of safety conditions and take meaningful steps to protect their employees, rather than relying on misleading data that only serves to mask underlying problems.

 

The solution to this issue is 2 fold:

The first step in addressing the issue of accurate incident and accident reporting is to foster a deeper understanding of human behavior among managers and executives. Far too often, organizations invest substantial time, money, and effort in training leaders on the financial and operational aspects of the business, yet they overlook the importance of equipping these individuals with knowledge about the science of human behavior. This oversight leads to the implementation of initiatives that fail to address the underlying reasons behind why people act the way they do, especially in the context of safety reporting.

When managers and executives lack an understanding of human behavior, they may inadvertently create environments that discourage honest reporting. For instance, if leaders are not aware of how fear of punishment or desire for rewards can influence employees’ decisions to report—or not report—incidents, they might unintentionally reinforce behaviors that lead to underreporting. Without this foundational knowledge, even well-intentioned safety programs can miss the mark, resulting in a false sense of security and a failure to address real safety issues.

To effectively promote a culture of safety, it is crucial that those in leadership positions understand the psychological factors that drive human behavior. This understanding allows them to create policies and practices that encourage transparency and honesty in reporting, rather than fostering environments where employees feel pressured to hide incidents to avoid negative consequences.

The second solution to improving incident and accident reporting is to ensure that employees are thoroughly trained in incident reporting, incident investigations, and root cause analysis. It’s not enough to simply track the number of incidents that are reported; organizations must also delve deeper into understanding the root causes of these incidents and take corrective actions to address them. Many companies fall short by focusing solely on the incidents that are reported, without considering the underlying hazards that may have contributed to them. This narrow focus can lead to a reactive approach to safety, where issues are only addressed after an incident has occurred, rather than proactively identifying and mitigating risks before they result in harm.

Proper training in incident reporting and investigation empowers employees to identify and report potential hazards, even if an incident hasn’t yet occurred. Root cause analysis, in particular, is a critical tool for uncovering the fundamental reasons behind accidents and near misses. By identifying these root causes, organizations can implement corrective measures that address the source of the problem, rather than just treating the symptoms. This approach not only helps to prevent future incidents but also contributes to the overall safety culture within the organization.

In summary, the key to resolving the challenges of incident and accident reporting lies in two main strategies: first, educating managers and executives on the intricacies of human behavior, and second, providing employees with comprehensive training on incident reporting, investigations, and root cause analysis. By integrating these elements into the organizational culture, companies can create a more transparent, proactive, and effective approach to workplace safety. This not only protects employees but also strengthens the organization’s ability to maintain a safe and productive work environment.

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Accident Investigations for All Leadership