Basic Incident And Investigation

1. Introduction to Incident Investigation Defines incidents, near misses, and accidents, and explains the importance of structured investigation in workplace safety.

2. Legal and Regulatory Framework Reviews occupational safety laws, reporting obligations, and compliance requirements for incident documentation.

3. Types of Workplace Incidents Explores common categories of incidents including slips, falls, equipment failures, and hazardous exposures.

4. Incident Reporting Procedures Outlines the steps for timely reporting, notification protocols, and maintaining accurate records.

5. Investigation Planning and Preparation Covers how to assemble an investigation team, secure the scene, and gather initial evidence.

6. Data Collection Techniques Introduces methods such as interviews, witness statements, photographs, and physical evidence gathering.

7. Root Cause Analysis Explains tools like the “5 Whys” and fishbone diagrams to identify underlying causes beyond immediate triggers.

8. Corrective and Preventive Actions (CAPA) Focuses on developing effective recommendations to eliminate hazards and prevent recurrence.

9. Report Writing and Documentation Provides guidance on structuring clear, professional investigation reports suitable for audits and compliance checks.

10. Follow‑Up and Continuous Improvement Emphasizes monitoring corrective actions, evaluating effectiveness, and integrating lessons learned into safety programs.

• Builds competency in systematic incident investigation and reporting

• Enhances compliance with occupational safety regulations and audit standards

• Strengthens organizational safety culture and accountability

• Reduces recurrence of workplace incidents through effective root cause analysis

• Provides recognized certification to support career advancement in safety management

• Safety officers and compliance managers

• Supervisors and line managers in industrial, construction, and service sectors

• HR and administrative staff responsible for workplace safety reporting

• Health and safety committee members

• Professionals preparing for safety audits and certifications

• Assessment Type: Written exam + case study evaluation

• Format: MCQs, short answers, and incident case analysis

• Total Questions: 60 theory + 1 case study assignment

• Passing Score: 70%

• Duration: 90 minutes (written) + 30 minutes (case study)

• Certification: Basic Incident and Investigation Certificate

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.