Incident Investigation and RCA

1. Introduction to Incident Investigation
Overview of investigation goals, principles, and the benefits of robust incident analysis.

2. Legal and Organizational Requirements
Understanding statutory obligations, internal policies, and reporting duties after an incident.

3. Types of Incidents and Near Misses
Classification of incidents, severity scales, and the importance of near miss reporting.

4. Steps in the Investigation Process
Structured workflow from initial response, scoping, evidence gathering, to conclusion.

5. Evidence Collection and Preservation
Techniques for securing physical, digital, and documentary evidence, chain of custody basics.

6. Interview Techniques and Witness Management
How to plan and conduct fair, effective interviews, and manage witness statements.

7. Data Analysis and Root Cause Identification
Using tools such as 5 Whys, fishbone diagrams, and fault tree analysis to find root causes.

8. Corrective and Preventive Actions (CAPA)
Designing, prioritising, and implementing CAPA, and linking actions to risk reduction.

9. Reporting and Documentation
Preparing clear, factual investigation reports, recommendations, and management briefings.

10. Review, Follow-up, and Continuous Improvement
Monitoring action effectiveness, lessons learned, and embedding changes into the safety system.

Builds practical investigation skills, improves root cause diagnosis, reduces incident recurrence, strengthens compliance and legal preparedness, and supports a learning safety culture.

Safety officers, supervisors, HSE managers, incident investigators, auditors, team leaders, and anyone responsible for incident response or safety improvement.

• Assessment type, written exam and practical case study

• Format, multiple-choice questions, short answers, plus a scenario-based investigation exercise

• Total questions, 40 theory questions and 1 practical case study

• Passing score, 70 percent overall

• Duration, 90 minutes for theory, plus practical submission timing as specified by the provider

• Certification, RSKW-018 Incident Investigation and RCA certificate on successful completion

To deliver this Qualification, HiQual UK Approved ATPs must demonstrate the capability to deliver, assess, and internally quality assure qualifications in line with recognised regulatory principles and the expectations of the Regulated Qualifications Framework (RQF).

Approved centres must operate effective systems to ensure the validity, reliability, fairness, consistency, and security of assessment.

1. Centre Recognition and Legal Compliance

Centres must be formally recognised by HiQual UK prior to the delivery or assessment of any qualification. To maintain recognition, centres must: Be a legally constituted organisation operating in compliance with applicable legislation and regulatory requirements. Demonstrate effective governance, management oversight, and clear lines of accountability. Comply with all HiQual UK policies, procedures, and conditions of centre recognition. Notify HiQual UK promptly of any material changes that may affect delivery, assessment, or internal quality assurance arrangements.

2. Resources, Facilities, and Learning Environment

Centres must ensure that sufficient and appropriate resources are in place to support learning and assessment. This includes: Learning environments appropriate to the mode of delivery, including classrooms and, where applicable, specialist or practical facilities. Access to learning and assessment resources that enable learners to meet qualification outcomes. Secure systems for managing learner data, assessment records, and certification claims. Arrangements that support equality of access and reasonable adjustments for learners where required.

3. Staff Competence and Occupational Expertise

Centres must ensure that all staff involved in delivery, assessment, and internal quality assurance are competent and suitably qualified. Centres must: Appoint tutors with appropriate subject knowledge, teaching competence, and relevant occupational or professional experience. Ensure assessors are trained and competent in applying HiQual UK assessment requirements and standards. Appoint a qualified Internal Quality Assurer (IQA) responsible for monitoring assessment practice and decisions. Maintain records of staff qualifications, experience, training, and continuing professional development (CPD).

4. Assessment Practice and Internal Quality Assurance (IQA)

Centres must operate robust internal quality assurance systems to ensure assessment integrity. Centres must: Ensure assessment is valid, fit for purpose, and conducted in line with HiQual UK requirements. Implement effective IQA procedures to monitor assessor performance and confirm the consistency of assessment decisions. Maintain accurate, complete, and auditable records of learner registration, assessment evidence, and outcomes. Carry out regular internal reviews and standardisation activities to support continuous improvement.

5. Integrity, Risk Management, and Malpractice

Centres must take appropriate measures to protect the integrity of assessment. Centres must: Maintain policies and procedures for the prevention, identification, and management of malpractice and maladministration. Ensure secure handling, storage, and retention of assessment materials and learner evidence. Report any suspected or confirmed malpractice to HiQual UK in accordance with published procedures.

6. Health, Safety, Safeguarding, and Learner Protection

Centres must provide a safe, inclusive, and supportive learning environment. Centres must: Comply with applicable health and safety and safeguarding legislation. Conduct risk assessments for learning activities, particularly where practical or technical work is involved. Maintain procedures to safeguard learner welfare and wellbeing.

7. Learner Information, Support, and Fair Treatment

Centres must ensure learners are informed, supported, and treated fairly. Centres must: Provide clear and accurate information on programme requirements, assessment methods, and certification. Ensure learners receive timely and constructive feedback on assessment outcomes. Operate transparent complaints and appeals procedures aligned with HiQual UK requirements. Manage learner information securely in compliance with data protection legislation.

• Level 4 Diploma in Occupational Health and Safety.

• Level 4 Diploma in Process Safety Management.

• Level 5 Diploma in Occupational Health and Safety.

• HAZOP Leader.

• Certified Safety Professional.

• ISO 45001 Internal Auditor Certification.

• ISO 45001 Lead Auditor Certification.

• ISO 31000 Risk Management Professional.

• Professional development in Advanced Accident Investigation, Process Hazard Analysis (PHA), Root Cause Analysis (RCA), Safety Leadership, Operational Risk Management, Business Continuity Management, and Safety Management Systems.

• Career opportunities as Incident Investigation Specialist, Root Cause Analysis Specialist, HSE Officer, Incident Investigation Coordinator, Safety Manager, Process Safety Coordinator, Risk Management Officer, Compliance Manager, Health and Safety Consultant, Industrial Safety Specialist, and Safety Auditor.