OHSS: H&S Management Standard 101 Incident reporting, investigation and follow-up Incident reporting, investigation and follow-up 1. Legal framework This policy is produced to ensure compliance with; 1.1. Health and Safety at Work Act 1974; 1.2. Management of Health and Safety at Work Regulations 1999; 1.3. Reporting of Injuries, Diseases and Dangerous Occurrence Regulations (RIDDOR) 1995; 1.4. The Fire Safety (Regulatory Reform Order) 2005. 2. Purpose and scope The purpose of this management standard is to ensure, so far as is reasonably practicable, that Newcastle University prevents or minimises the recurrence of similar types of incidents. This includes: adequately investigating the immediate and underlying causes of incidents and accidents to ensure that remedial action is taken lessons are learnt longer term objectives are introduced recording and analysing the results of monitoring activity identifying any underlying themes or trends which may not be apparent from looking at events in isolation. 2.1. Meets its duties to report certain serious workplace accidents, occupational diseases and specified dangerous occurrences (near misses) to the Health and Safety Executive. Page 1 of 6
3. Definitions 3.1. Incident - An accident or a near miss. 3.2. Accident - An unplanned, unexpected event that causes harm to people 3.3. Near miss - An unplanned, unexpected event that, under different circumstances, could have resulted in harm to people. 3.4. Major incident - Fatality RIDDOR Specified Injury, RIDDOR Dangerous Occurrence, RIDDOR Occupational Disease, Major fire (extensive damage, injury or ill health) 3.5. Significant incident - Any lost time in days, Person going to hospital 4. Standards and Responsibilities The following table sets out the standards that all University staff and students must adhere to. The Occupational Health and Safety Service (OHSS) will carry out auditing and monitoring of compliance with this management standard. Standard 4.1 Informing management representative of incidents All incidents should to be brought to the attention of the relevant line manager / PI (Principal Investigator) or other relevant person. Employees, Students and others Principal Investigators (PI), Managers and Supervisors School Office Staff Employees and postgraduate students should inform their line manager. Undergraduate students inform the School Office or follow local arrangements. Visitors should inform the member of staff who is their contact. Members of the public should be directed to OHSS. Anyone involved in an incident should cooperate with the University. Be aware of the on-line incident reporting, investigation and follow-up system. Ensure that all employees/students, for whom they are responsible, are aware of the requirement to report workplace incidents to them in their capacity as their line manager. Ensure incidents involving undergraduate students are reported to the School Manager. First Aider and Fire Marshal Complete the on-line first aid / fire report form respectively. Head of Unit Ensure that employees, students and others, for whom they are responsible, are aware of and comply with the above responsibilities. Page 2 of 6
Standard 4.2 Initial Reporting, Investigation, and Immediate Follow-up (a) An initial investigation should be undertaken for all incidents to establish the necessary details. (b) The immediate causes should be identified. (c) Any appropriate follow-up actions to address the immediate causes should be implemented. (d) Incidents should be reported as soon as reasonably possible using the on-line incident management system. PIs, Managers and Supervisors School Office staff / School Manager Persons involved in or witness to an incident Ensure the welfare of any individuals involved in an incident. Initiate investigative procedures ensuring that facts are established and recorded as soon after the event as is reasonably possible. This may involve interviewing any affected parties or persons who were witnesses to a workplace incident. Use the on-line incident management system to complete the Incident Report and Initial Investigation sections. Ensure the incident is reported as soon as reasonably possible (preferably by the next working day). Where hazards involve University plant, building fabric etc., ensure these are also reported through Estate Support Services (ESS) using the ESS defect reporting procedures. Take the basic details of the incident from an undergraduate student. Inform the School Manager an incident has been reported. The School Manager will oversee the recording of the incident on the on-line system and ensure that it is investigated by the appropriate manager / investigation team. Co-operate with the investigations at all stages OHSS Assess all incidents and report any work related accidents, dangerous occurrences or occupational diseases in accordance with RIDDOR. Head of Unit Ensure necessary oversight and resource support. 4.3. Full Investigation and Action Plan (a) Adequately investigate the underlying causes of all major and PIs, managers and supervisors including School Managers Assemble and lead an investigation team. This might include the Head of Unit, School (Unit) Safety Officer (SSO) and OHSS. Communicate with OHSS to enable onward reporting to the Health and Safety Executive. Upload all relevant documentation such as statement, photographs, plans, policies, risk assessments onto the incident system. Page 3 of 6
Standard significant incidents. (b) Document the investigation. (c) Create an action plan. 4.4. Implementation of Action Plan Ensure that remedial action is taken, lessons are learnt and longer term objectives are achieved 4.5. Performance monitoring Record and analyse the results of monitoring activity, to identify any underlying themes or trends which may not be apparent from looking at events in isolation. PIs, managers and supervisors including School Managers Create an action plan on the online system. Ensure records are made of any developments regarding the health of the injured party up to an including their return to normal duties. Approve actions determined by other member of the investigation team. Implement actions whether short, medium or long term to prevent recurrence as appropriate or ensure those persons with responsibility take actions. Monitor any adopted actions and ensure compliance with risk control measures. Council Receive and comment on the University Annual Health & Safety Report including incident performance trend data which is now benchmarked against the Higher Education Statistics Agency (HESA) health and safety data return. Executive Board Receive timely incident alerts for major incidents and review individual incident investigations from the relevant Faculty PVC/Registrar. Receive quarterly and annual incident reports from OHSS. Monitor the delivery of the health and safety strategy including progress against incident key performance indicators. Faculty Report on incidents and incidents statistics in the Faculty Annual Health & Safety Report. Ensure that incidents and incident statistics are discussed in Faculty Health & Safety meetings and Faculty Executive Board/ Senior Officers Group. Heads of Unit Receive reports of all incidents relating to areas in their control or shared space under their control. Receive timely details of relevant incidents which have occurred in other parts of the Faculty and wider University. This information will need to be disseminated within the Unit and remedial action taken if necessary Page 4 of 6
Standard Ensure that incidents are discussed at the Unit management team meeting and/or Unit Health & Safety as appropriate. OHSS Provide incident data to the HSE as per statutory requirements. Provide incident data to HESA. Maintain a record of incident data. Provide quarterly and annual reports on all incidents to University Health & Safety, Executive Board and Council. Monitor and review completed investigations for robustness. Page 5 of 6
5. Process Incident Occurrence First Aider or Fire Warden completes report, if required Immediate emergency response by staff, if required Members of staff inform line management of the incident. Students inform the School Office. Preliminary Management Investigation and Action Database Management Process Generate Health & Safety Incident Alert Full Investigation and Action Plan for Major and Significant Incidents Implementation of Action Plan Communication Performance Monitoring System Analyses Trend Information Prevention of Incident Recurrence Improve Safety Performance Page 6 of 6