Incident Investigation and Reporting Procedures - Code of Practice 3.11

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1 - Code of Practice 3.11 Distribution: To be brought to the attention of all Heads of Service, managers, supervisors, employees, trade union representatives and Head Teachers Introduction This code of practice has been developed to describe the standards to be applied to ensure thorough investigation and recording of incidents. The purpose of incident investigation is to identify the cause of all work related accidents, injuries, near misses, ill health conditions, and violence at work incidents in order to prevent or reduce the likelihood of recurrences. Incidents are also recorded to identify trends and measure performance. Employees are required to report all work related incidents to their managers and supervisors, who must then investigate the events. This code of practice is not intended to include reporting and investigation of racist incidents. There is a separate procedure managers must follow in this event, please refer to the How to report a racist incidence: Guidance. Contents Incident Reporting Procedure page 1 Definitions page 3 Accident Investigation page 4 Further Information & Advice page 4 Incident Procedure Mapped - (Form HSIR2) page 5 Incident Report Form - (Form IR1) (Link) Incident reporting procedure In the event of a work related incident the following procedures must be followed: 1. Work related incidents can be accidents; violence at work, near miss and work related ill health conditions (see Definitions). 2. All fatalities, major injuries, and reportable dangerous occurrences, arising out of or in connection with work (see Definitions), must be immediately notified to the Corporate Health and Safety Team by telephoning or Injuries to members of the public, arising out of or in connection with work activities that result in the person being immediately taken from the scene to hospital must also be immediately notified to the Corporate Health and Safety Team. 1

2 4. During normal operating hours (Monday - Thursday , Friday ) immediate support and advice will be provided by a health and safety adviser, who will notify the Health and Safety Executive if appropriate. 5. In the case of a fatality occurring outside normal working hours the Civic Centre Control Room ( /1998) will assist in contacting the Duty Senior Health and Safety Advisor. The emergency services will contact the Health and Safety Executive Duty Officer. 6. Major injuries, member of the public reportable injuries and reportable dangerous occurrences will be responded to by 9.30am on the next working day following any such event. 7. The manager must complete an Incident Report Form (IR1) for all unsafe events. Preferably the injured person should complete and sign Section 1 of the IR1 form. However if this is not possible a representative can do this on the injured persons behalf. Please note all relevant sections of the form must be completed, failure to do so will result in the form being returned. 8. The manager must investigate the incident and complete Section 2 of the IR1 form. A copy of the IR1 form must be made and held on the site premises where the incident occurred. The original copy of the IR1 form must be sent to the Corporate Health and Safety Team, Human Resources and Organisational Development, Office of the Chief Executive, Civic Centre, Sunderland, SR2 7DN. 9. Dates of absence section is only required for employees of the Council. In calculating the number of days the employee has been unfit for work you must include all nonworking days such as weekends, break days due to shift patterns, public holidays and leave entitlement (please refer to the Definitions section for further guidance). With effect from 6 April 2012, where the employee is unfit for work for more than 7 days (not counting the day on which the accident happened) the incident becomes reportable to the Health and Safety Executive within 15 days of the accident date. Therefore, the Corporate Health and Safety Team must be notified of this fact, by the employee s supervisor, immediately it becomes apparent that their absence has exceeded 7 days. 10. The Corporate Health and Safety Team must complete Section 3 of the form and where appropriate report incidents to the Health and Safety Executive. Where appropriate, the Health and Safety Adviser will further investigate an incident. All cases of industrial disease will be referred to the Occupational Health Service. The Health and Safety Team will then report confirmed cases to the Health and Safety Executive. 11. The Corporate Health & Safety Team will forward relevant information regarding the incident to the Chief Executive, Directors, Heads of Service and managers and supervisors as appropriate. 12. The Corporate Health and Safety Team will record and analyse all incidents for statistical purposes. 2

3 Definitions Accident Unplanned event linked to Council activity or workplace that results in death or personal injury. Violence at work Any incident, in which a person is abused, threatened or assaulted in circumstances relating to their work. This includes verbal and physical abuse, and deliberate animal attack. Racial abuse is not included in the reporting criteria of this code of practice. There is a separate reporting and investigation procedure for racial incidents. Managers should be aware of Directorate specific arrangements for this. Near miss Any unsafe event that results, or could have resulted in damage to property or equipment, or could have resulted in personal injury, including reportable dangerous occurrences. Work related ill health Any work related ill health condition an employee claims to be or appears to be suffering from. Examples may include contact dermatitis, vibration white finger, work related upper limb disorders and occupational asthma. Employees with a suspected work related ill health condition must be referred to Occupational Health and the condition diagnosed by an occupational health doctor before an IR1 Form is completed and the condition is recorded as such. Major Injuries requiring telephone notification to Corporate Health & Safety Team Fracture (except fingers, thumbs or toes) Amputations Dislocation of shoulder, hip, knee or spine Loss of sight; chemical or hot metal burn to eye or penetrating eye injury Any injury or burn resulting in unconsciousness, requiring resuscitation or admittance to hospital for more than 24 hours Acute illness from chemicals, infected materials or biological agents Dangerous occurrences requiring telephone notification to Corporate Health & Safety Team Collapse, overturning or failure of any load bearing part of lifting equipment/machinery Fire or explosion Collapse or failure of part of scaffold or access equipment Dangerous contact with underground electric cables, gas pipes or overhead electric lines Dangerous failure or malfunction of any plant, machinery or equipment Failure in explosion during demolition Electrical fault in equipment or plant causing electric shock Dangerous collapse of a structure or excavation Dangerous release of hazardous substances including dusts, fumes chemical and biological agents. 3

4 Over 7 Day Injury If there is an accident connected with work (including an act of physical violence) and the employee or self-employed person working on Council premises, suffers an over-7-day injury it must be reported to the Health and Safety Executive within fifteen days from the day of the accident. An over-7-day injury is one which is not "major" but results in the injured person being away from work OR unable to do their full range of their normal duties for more than seven consecutive days. Accident Investigation What type of accident should be investigated? Nearly every accident offers the possibility of preventing another accident/incident sometime in the future and so should be investigated regardless of whether it has or has not resulted in injury and/or damage to property. The time and resource that is allocated to an investigation will depend on the details surrounding the accident including the severity of injury/damage caused. What is the purpose of carrying out this investigation? To identify both the immediate and underlying cause of the accident and the appropriate remedial action to prevent a reoccurrence. This evidence may also be used to mitigate civil law claims against the Council. How do I carry out the investigation? Step 1 Find out what happened and what conditions and actions influenced the adverse event, for example guards being removed from machinery, poor condition of flooring. Begin this as soon as possible after the event occurs. Talk to everyone who was close by especially those who saw it or know anything about the events that led to it. Step 2 Examine the facts and determine what happened and why. Step 3 Identify suitable risk control measures both in the short and long term and implement these. Consider whether similar risks exist elsewhere in your service or the Council as a whole and what steps can be taken to avoid a reoccurrence elsewhere. The results of your investigation will enable you to complete Section 2 of the IR1 Form. Further information and advice Is available from the Corporate Health and Safety Team, telephone or You will also find it useful to read the HSE s guidance booklet HSG245, Investigating Accidents and Incidents which can be downloaded for free from 4

5 Incident Procedure Mapped Incident Occurs Accident, Violence at Work, Ill Health Condition, Near Miss Is the injury serious or likely to result in the employee being absent from work for more than 7 days? Fatality/Major Injury/Notifable Dangerous Occurrence/Member of the Public taken from scene directly to hospital Telephone Health and Safety Team / Telephone the Health and Safety Team on / IR1 Form Section 1 Manager raises form Injured party/ representative completes Section 1 Provide details of the injured person, injury and account of incident Photocopy (2 copies) IR1 Form Send original to Health and Safety Team, Civic Centre, Sunderland SR2 7DN. Forms must be forwarded as soon as possible after the event. Incidents that are notifable to the HSE, such as injuries which result in employees being unable to work for over 7 days (not including the day the accident occurred) and injuries to the public which result in them being taken from the scene to hospital must be reported to the HSE with 15 days of the incident. IR1 Form Section 2: Manager, Head Teacher, Head of Service Carry out accident investigation and complete Section 2, parts A, B (for employees only) and C. Provide details of the incident, action taken as a result. Make reference to relevant risk assessments and consider the review of risk assessments. Is referral to OHU for employees necessary, has counselling been offered, for violence at work have directorate follow up procedures been instigated? Is it appropriate to notify the Risk Management Team or Insurance? 1 x copy to be held on the premises incident log file. Original to Health and Safety Team. IR1 Form Section 3: Health and Safety Adviser Only Major injuries, over 7 day absences, public taken to hospital, dangerous occurrences Notify HSE, complete form F2508/F2508A. Where appropriate investigate, report, feedback to managers. Record on SAP System. 5