Accident & Incident Investigation January 2017 Ron Reid, Consultant ron.reid@shoosmiths.co.uk 1

Speed…. but Speed of essence but need to plan carefully What sort of investigation? Terms of Reference What resources needed? What do you need to know? Is litigation likely. If so might you need legal privilege? Who is appropriate investigator? – Consider any conflict of interest or likelihood to be easily influenced by those involved. Do they have sufficient knowledge and seniority? Has investigator been given sufficient time and if necessary freed up from other work to do it? Can they be relied upon to keep matters confidential Can they report / communicate well?

Plan and Prepare well What facts need to be established? What evidence needs to be collected? – Documents, video, CCTV, and oral What time frame? Terms of reference ( scope) helps focus Which policies are relevant? Are there relevant risk assessments / safe systems of work? Who to interview? Include those who say they saw nothing?

Investigative Meetings Consider order of evidence. What do you need first to inform discussions with witnesses? Give interviewee time, place, right to be accompanied but exclude other potential witnesses. Is English first language? Any interpreter needed and independent ? Self penned statements. May they have a place?

Questioning Use open questions However closed questions acceptable for specific facts Use probing questions – e.g. What do you mean by that? Any questions relating to feelings use sparingly Avoid interrogation, leading or multiple questions Always ask if they want to add anything else

Reluctant Witnesses Why? Reassure Do not offer anonymity unless real threat to interviewee Refusal to attend meeting – Why? Try to resolve Ultimately may be a disciplinary matter to refuse reasonable request

Statements Format Result of Q&A or self penned? Secondary Statements should refer to first Avoid Opinion Avoid Hearsay evidence Is all content relevant? Make sure it is signed and dated

Physical Evidence Secure it at earliest opportunity Accident book entries CCTV Training Records Policies E mails / social media Safe systems of work / method statement Manufacturers instructions for use etc. Safety Data Sheets Maintenance Records Relevant HSE or Industry Guidance RIDDOR report

Report Consider layout and content carefully Attach relevant documents or refer to them carefully What do you record? Warts and all? Terms of Reference Is there parallel investigation? (e.g. contractor) Is this initial report or root cause? Beware smoking gun memos Are some things better reported face to face?

Questions?