Lesson Plan: Basics of Incident Investigation

Instructor: EHS Manager or Director

Target Audience: New EHS Specialists (OSHA 30-HR + STS Level)

Duration: 4 hours (can be split into two 2-hour sessions)

Learning Objectives

By the end of this session, participants will be able to:

• Describe the purpose and regulatory basis for incident investigations.

• Identify the steps in a structured investigation process.

• Apply root cause analysis techniques such as the "5 Whys."

• Develop a corrective and preventive action (CAPA) plan.

• Complete a compliant and effective incident investigation report.

Session Outline

I. Introduction to Incident Investigation (30 min)

• Purpose and Benefits

  • Legal and regulatory compliance (OSHA 1904.29, 1904.39)

  • Prevent recurrence, improve systems, enhance culture

• Types of Incidents

  • Injuries, illnesses, near-misses, property damage, environmental releases

Interactive: Ask participants to share a past experience with a near-miss or minor incident.

II. Regulatory and Organizational Requirements (30 min)

• OSHA Requirements

  • OSHA 1904.39 (Reporting fatalities, hospitalizations, amputations, eye loss)

  • Documentation and recordkeeping

• Company Policy

  • Timeliness

  • Notification procedures

  • Required team composition

Reinforcement Activity: Short quiz on OSHA 1904.39 reporting thresholds.

III. Investigation Process Overview (1 hour)

1. Secure the Scene

2. Collect Evidence

   • Physical evidence, photos, sketches

3. Conduct Interviews

   • Witness and involved personnel

4. Analyze Data

   • Sequence of events

5. Determine Root Causes

6. Develop Corrective Actions

7. Report and Follow-up

Example: Use a sample incident (real or fictional) to walk through the 7 steps.

IV. Root Cause Analysis (RCA) Techniques (1 hour)

• 5 Whys Method

• Fishbone (Ishikawa) Diagram

• TapRooT® (overview only)

Hands-On Activity: Participants conduct a “5 Whys” RCA on a case study.

V. Writing the Report & Action Planning (30 min)

• Elements of a Good Report

  • Objective, factual, complete

  • Include root cause, corrective/preventive actions

• SMART Corrective Actions

  • Specific, Measurable, Achievable, Relevant, Time-bound

Example Template: Review a sample investigation report template.

VI. Closing, Q&A, and Competency Check (30 min)

• Key Takeaways

  • Timeliness, objectivity, depth of analysis

  • Action not blame

• Competency Assessment

  • Short multiple-choice or case scenario quiz

Resources

• OSHA 1904 and 1910 standards

• BCSP STS Blueprint

• ANSI Z10 & ISO 45001 references for investigation

Follow-Up

• Assign an actual incident (with supervision) to apply learning

• Schedule follow-up session for feedback and mentoring