How Does ISO 45001 Handle Incident Investigation?

What Is Incident Investigation in ISO 45001?

Incident investigation is a systematic process used to understand what happened before, during and after an occupational health and safety incident.

An organisation can collect information from workers, witnesses, workplace observations, records and other relevant sources. The information can then be analysed to understand the causes and identify appropriate corrective actions.

The investigation should be proportionate to the nature and potential consequences of the incident.

Which ISO 45001 Clause Covers Incident Investigation?

Incident investigation is addressed under Clause 10.2 of ISO 45001:2018, which covers incidents, nonconformity and corrective action.

The organisation needs to react to incidents or nonconformities and take action to control and correct them. It should also determine whether similar incidents or nonconformities have occurred or could occur.

The organisation should determine the causes of the incident or nonconformity and evaluate whether existing risks and controls need to be reviewed.

Why Is Incident Investigation Important in ISO 45001?

Incident investigation helps organisations learn from what has happened and identify opportunities to improve their OH&S controls.

For example, if a worker is injured while operating equipment, the organisation should look beyond the immediate event. It may need to consider whether there were issues with training, procedures, equipment, supervision, maintenance or existing controls.

This connects naturally with What Is Risk Assessment in ISO 45001? A Simple Guide for Beginners? because the organisation may need to review its OH&S risks after an incident.

How Is an Incident Investigated in ISO 45001?

The organisation should first respond to the incident and take appropriate action to control the situation. It can then gather relevant information about what happened.

The investigation may involve speaking with workers and witnesses, reviewing workplace conditions, examining equipment and checking relevant procedures or records.

The organisation then determines the causes and considers whether corrective action is needed. Where appropriate, the organisation should review its existing risks and controls and make necessary changes.

Does ISO 45001 Focus Only on the Immediate Cause?

No. An effective investigation should consider why the incident happened rather than stopping at the immediate cause.

For example, if a worker slips because of a wet floor, the investigation may consider why the floor was wet, whether the hazard was identified, whether suitable controls were available and whether workers understood the relevant procedure.

Looking deeper into the causes can help the organisation identify weaknesses in its OHSMS and prevent recurrence.

What Is Corrective Action in ISO 45001 Incident Investigation?

Corrective action is action taken to eliminate the cause of an incident or nonconformity and prevent recurrence.

The action should be appropriate to the consequences of the incident or nonconformity. After corrective action is implemented, the organisation should review whether the action was effective.

For more information about auditing and corrective-action evidence, see What Are the Common Documents Required for an ISO 45001 Audit?

What Role Do Workers Play in ISO 45001 Incident Investigation?

Workers can provide important information during an incident investigation because they may have direct knowledge of the activity, workplace conditions and events that led to the incident.

Worker involvement can help the organisation understand what happened in practice and identify realistic improvements.

This also connects with What Is Worker Consultation and Participation in ISO 45001?, which explains how workers can contribute to the OH&S management system.

How Does an ISO 45001 Auditor Check Incident Investigation?

During an ISO 45001 audit, an auditor may review incident records, investigation findings, identified causes and corrective actions.

The auditor may also check whether the organisation evaluated the effectiveness of corrective actions and whether relevant risks or controls were reviewed following an incident.

An auditor may interview workers and responsible personnel to determine whether the documented investigation process is actually being followed.

For a broader understanding of the audit process, see How Does an ISO 45001 Audit Work From Start to Finish?

How Does Incident Investigation Support Continual Improvement?

Incident investigation provides information that can help an organisation identify weaknesses and improve its OHSMS.

When an organisation learns from incidents, reviews existing controls and implements effective corrective actions, it can reduce the possibility of similar problems occurring again.

Conclusion

ISO 45001 treats incident investigation as an opportunity to understand what happened, determine the causes and improve the OHSMS. Organisations should not focus only on the immediate event but should consider the underlying factors and whether existing risks and controls need to be reviewed.

Effective incident investigation, corrective action and follow-up can help organisations learn from incidents and strengthen their occupational health and safety processes.