Guidance on the investigation and reporting of incidents

Version history

March 2024, Rev. 1.2 – Refresh of preface and alignment to current template; no change to content    

March 2022, Rev. 1.1 – Revised and minor changes to wording        

October 2016, Rev. 1 – Revised and information updated during the 2016 review period

January 2007 – Initial publication

Summary

The IMCA Safety Environment & Legislation (SEL) Core Committee first published this guidance in 2007. It was intended to provide guidance for setting up incident investigation and reporting procedures, and to examine how these may be improved to help identify the true root causes of incidents. The guidance has been thoroughly revised and updated during the 2016 IMCA review period. The document was further reviewed, and minor changes made in early 2022.

The scope of this document is to give guidance on the structure of company procedures for the investigation of incidents. It should also be of use to those conducting the actual investigation and reporting of incidents.

The objective of the procedures and for those conducting the investigation should be to determine the true root cause(s) so that appropriate preventative measures can be implemented. This guidance describes methods for conducting an investigation into any incident, whether it involves injury to persons, damage to equipment or to the environment, or the potential to do so.

The identification of all causal factors is a vital step in ensuring the prevention of further incidents. Only by completing a thorough investigation will there be a possibility of determining all the root causes of an incident. This guidance seeks to assist that process by setting out the procedures that will help. It can be used by companies developing their own procedural instructions or by those actually charged with the task of investigating and reporting an incident.

Contents

• Introduction
• General Principles of Investigation
• What Procedures Should There Be?
• An Incident Occurs – What Should Happen?
• Interviewing Personnel
• Site Investigation – Evidence
• Initial Analysis
• Subsequent Analysis
• Other Considerations
• Appendices
• Appendix 1 – Example Flowchart
• Appendix 2 – Sample Company Incident Reporting Form
• Appendix 3 – Sample Incident Management Review Report Format
• Appendix 4 – Sample Company Investigation Report Format
• Appendix 5 – Sample Incident Flowchart
• Appendix 6 – Sample Near-Miss Reporting Form
• Appendix 7 – Sample Format for ‘Infringement of Safety Zone’ Report Procedure
• Appendix 8 – Sample Company Incident Classification Scheme
• Appendix 9 – Sample Insurance Reporting Procedure
• Appendix 10 – Example Introduction for a Privileged Document