Incident Investigation: Make The Most of An Opportunity to Improve

Posted 9 months ago by Sarah Glover 6 Minute(s) to read

Accidents happen! In the workplace and anywhere else, people will overlook things, slip up, or fall into bad habits. And often, the consequences are minimal or nonexistent—but sometimes it all really does hit the fan.

The test of your company’s processes and commitment to good governance is partly in prevention of incidents and partly in how you respond to them and learn from them. Any incident is an opportunity to improve—read on to find out how you can do so.

Why and when are incident investigations important?

An unbiased and thorough investigation is your best preventative measure for the future. Done properly, it will dig deep to uncover the root cause of any accident or incident. Good systems and processes are constantly being refined and tested, so take advantage. An incident is evidence of a gap or a weak point. It is also an opportunity to do better. Explore it, get to the bottom of it, and make high-impact improvements.

Any incident can warrant an investigation. Nobody needs to get hurt—even a near miss is a sign that something could very easily go wrong and changes are necessary. If you’re dealing with a near-miss situation, consider what could have happened all the way to the worst-case scenario. This isn’t pessimism, it’s preparedness!

Make the most of near misses

Here’s an interesting tidbit of information for business owners: for auditors and assessors, a business having NO near misses (and no incidents either) is actually a red flag. Having absolutely nothing go wrong, or even come close to going wrong, is almost impossible.

We understand that conducting a full investigation after what turned out to be a non-event can seem like unnecessary time and money spent. In reality, it’s a fantastic investment in prevention: of hurt, of expense, of hassle, of a blow to your reputation.

You can make investigating a near-miss into an informative and even engaging experience for the team. Make a dramatic skit out of it, acting out everything that could have gone wrong. Hamming it up is fine—anything to get people talking about what might have happened with different weather, different people, a slightly different location, etc. In addition to investigating that specific almost-incident, you’ve had everyone participate in a solid risk review. Add the new information and ideas into your register, put controls in place accordingly, and prevent your imagined drama from becoming the next big “true story” docuseries.

How to investigate effectively

We’ve got plenty of investigation experience under our belts here at Emendas: Emma is a licensed private investigator and is certified as an ISO Lead Auditor (ISO9001 Quality, 45001 Safety, 14001 Environmental). We’ve gained a lot of insight over the years, and have put together these top tips for an investigation that is impartial and will truly get to the bottom of things.

Make sure you have separation between the investigation and the decision maker. The person leading the investigation and the person making the decisions based on the findings should not be the same; this is why companies often bring in third parties.
Always have a scope for the investigation to keep things on track. Knowing exactly which questions you are seeking to answer will make sure all efforts are relevant and productive.
Make space, literally and figuratively. For a good investigation you’ll need a private space, time allotted for interviews and discussions, and some leeway to observe and ask questions.
Consider the Privacy Act and how it will affect any of your investigative practices. Be clear about who can see what and why or when they can see it.
To get started, focus on building a timeline of events. Ask questions to fill in any gaps. Plan ahead and have any reference materials such as SOPs or policies available so you can work without interrupting your train of thought.
When talking with witnesses or other involved parties, be careful to avoid using leading questions like a bad lawyer. False photographs have been shown to create false memories, and a high-profile case in New Zealand saw a man convicted and later exonerated of murder due to false and conflicting confessions after many sessions of questioning. While the stakes are lower in the case of an incident investigation, it’s important to find the unbiased truth.
Don’t look to blame, look to learn. Blame can block lines of communication and get in the way of necessary systemic change. In cases of clear and repeated negligence, individuals should certainly be held responsible—but you’re not setting out on a witch hunt. Let the facts speak for themselves.
As we mentioned earlier, when investigating a near miss or an incident that was not as bad as it could have been, take things further and imagine a worst-case scenario. What could have happened? Is there a risk of death or legal trouble if things went a different way? Think about how you can prevent incidents worse than what actually happened.

TL;DR: Investigate effectively and stay safe

Good, unbiased incident investigations are an investment into preventing similar or worse things from happening in the future. They are an opportunity to do better, and one that any business owner should grasp with both hands.

An incident doesn’t even need to fully eventuate to warrant an investigation. Investigating a near miss can be just as impactful—and you don’t need to suffer the consequences. With a little extrapolation, you can imagine what could have happened and determine how to prevent it from actually happening.

Here are some quickfire tips for conducting a solid investigation in the workplace:

Maintain separation between the investigator and the decision-maker; this may mean bringing in a third party.
Decide upon a scope for the investigation and stick to it. Know which questions you should answer, and then make space (literal and figurative) to answer them.
Put together a timeline of events as a starting point, interviewing witnesses and using any information available to do so. Consider the Privacy Act and what details you need to keep private or restrict access to.
Be careful of leading questions when interviewing people—you want the unbiased truth, so avoid planting any ideas in their heads.
Look to learn, not to blame. When necessary, people should be held accountable, but avoid making it a witch hunt.

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Get the experts on the case

Emendas offers investigation and auditing services, providing our clients with an unbiased third party to identify the root causes of incidents—or of complaints or employment issues. We have a licensed private investigator/certified lead auditor on the team with all the qualifications and experience necessary to truly get to the bottom of it. Contact us!