Incident Reporting and Investigation

Documentation Requirements
English (NZ)

The Problem

Workplace incidents, whether minor or serious, can disrupt operations, cause injuries, and even result in fatalities. Unfortunately, incidents are often not reported, or investigations fail to uncover the root cause—leaving hazards unresolved. Today, we’ll focus on how proper incident reporting and investigation can identify risks, prevent future incidents, and improve workplace safety.

Identify the Hazards

  • Unreported Incidents: Hazards remain unidentified, increasing the risk of repeated accidents.

  • Incomplete Reports: Missing details make it difficult to analyse and address root causes.

  • Fear of Repercussions: Workers may avoid reporting due to concerns about blame or disciplinary action.

  • Delayed Responses: Waiting too long to investigate leads to lost evidence and unclear facts.

Safety Practices and Preventative Measures

1. Investigation Procedures:

  • Secure the Scene: Immediately isolate the incident area to preserve evidence and prevent further harm.
  • Document Thoroughly: Take photographs, record witness statements, and note conditions at the time.
  • Act Quickly: Begin investigations promptly while evidence and memories are fresh.
  • Follow Procedure: Use the appropriate company-issued incident investigation forms and checklists.

2. Root Cause Analysis:

  • The 'Five Whys': Keep asking “why” to identify the real cause, not just the surface issue.
  • Assess All Factors: Look at worker actions, tools/equipment, and environmental conditions.
  • Go Deeper: Don’t stop at obvious errors—look for gaps in systems or training.

3. Corrective Actions:

  • Take Immediate Steps: Prevent similar incidents from recurring.
  • Assign Accountability: Make sure someone is responsible for each action item.
  • Set Deadlines: Ensure timely follow-up and completion.
  • Verify Completion: Confirm the fix has worked and been signed off.

4. Preventative Measures:

  • Review Processes: Update work procedures if necessary.
  • Train the Team: Provide refresher or task-specific training where gaps are found.
  • Repair or Replace: Address any defective or outdated equipment.
  • Communicate Improvements: Share changes with all relevant workers.

5. Trending and Analysis:

  • Track Incidents: Use incident data to identify patterns.
  • Include Near Misses: These are learning opportunities that should not be ignored.
  • Compare Across Sites: Identify which areas or teams have higher incident rates.

6. Lessons Learned:

  • Share Findings: Communicate key insights from investigations with workers.
  • Update Training Materials: Incorporate real-world examples into future training.
  • Track Success: Monitor if actions taken have successfully reduced future incidents.

Real-Life Case or Scenario

Where possible, use an actual incident that you have experienced or been involved in.

A worker slipped on a wet floor, resulting in a minor injury. The incident was not reported or investigated. A week later, another worker was seriously injured at the same spot. If the first incident had been reported, signage or improved drainage could have prevented the second injury.

Employee Responsibilities

  • Report all incidents, including near misses, as soon as possible.

  • Provide complete and honest information on incident forms.

  • Participate in incident investigations when required.

  • Follow updated procedures and safety measures after investigations.

Employer Responsibilities

  • Provide a clear and simple process for reporting incidents.

  • Investigate all incidents promptly and objectively.

  • Implement corrective and preventative actions.

  • Maintain accurate records and share lessons learned with the team.

Discussion & Questions

  • “Have you seen an incident go unreported? What stopped it from being raised?”
  • “What could make reporting and investigation easier on this site?”

Encourage workers to openly share suggestions or ask questions.

Commitment/Action Plan

Let’s all commit to reporting every incident and near miss immediately. Starting today, if you experience or witness something unsafe, report it right away. Your actions could prevent someone else from being harmed.

Wrap-Up

Incident reports are more than paperwork—they’re critical tools for making the workplace safer. When we take incident reporting and investigation seriously, we protect ourselves, our mates, and our company.

Standards Overview

WorkSafe NZ requires PCBUs (Persons Conducting a Business or Undertaking) to record and investigate all notifiable events and maintain these records in accordance with the Health and Safety at Work Act 2015. This includes:

  • Ensuring all incidents are reported and investigated.
  • Identifying causes and implementing corrective actions.
  • Keeping records of all incidents and outcomes for at least 5 years.

Disclaimer

These toolbox talks are provided for informational and educational purposes only and are not a substitute for professional legal, health and safety, or regulatory advice.

The content reflects recognised best practices and general industry standards as at the date of publication. However, it may not be applicable to all workplace environments or specific operational contexts.

It is the responsibility of the Person Conducting a Business or Undertaking (PCBU), as well as officers, workers, and other duty holders under the Health and Safety at Work Act 2015 (HSWA), to ensure compliance with all relevant laws, regulations, and WorkSafe New Zealand guidance.

The authors, presenters, and distributors of this toolbox talk disclaim all liability for any loss, damage, or injury arising from the use or reliance on the information provided. Users should seek advice from a suitably qualified health and safety professional or legal advisor for guidance tailored to their specific circumstances.

Always follow your organisation’s policies, procedures, and safe work practices to manage risks and maintain a safe and healthy workplace.

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Last Updated:
April 28, 2025