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									                                                     www.walsall.org.uk/healthandsafety




Reporting and
Responding to
Incidents Safety
Management
Standard
Issue 5
October 2008




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                                         Standards

This SMS provides the minimum legal standards that departments and schools must keep
to. It gives guidance but does not limit departments and schools in how they achieve the
standard.

Definitions
Accidents causing injury, near misses, ‘dangerous occurrences’ (those incidents on the
HSE’s list of reportable dangerous incidents), violent incidents and ill health caused by
work will be referred to as incidents.

1   You will name a person who is responsible for reporting incidents to the Health and
    Safety Executive (HSE) under the Reporting of Injuries, Diseases and Dangerous
    Occurrences Regulations (RIDDOR), and tell the safety, health and wellbeing (SHAW)
    service team who they are. Head teachers should advise Children’s Services Serco
    safety advisers.

2   All incidents arising out of, or in connection with, work must be reported to managers
    or head teachers. The relevant forms must be completed and distributed as soon as
    possible
             a. Incidents involving employees will be recorded on the relevant form
             b. Incidents involving non-employees will be recorded on the relevant form.
                Non-employees include visitors, pupils, service users and agency workers.
             c. Incidents involving violence will be reported on the relevant form.

    All forms can be downloaded from the SHAW website

3   You must tell the HSE and SHAW services (or Children’s Services Serco) about all
    reportable incidents as defined in RIDDOR as soon as possible (by phone or e-mail).
    You must take all reasonable steps to make sure that reportable incidents are brought
    to the HSE’s notice.
            a. Deaths, major injuries involving employees (arising from work activities)
                and dangerous occurrences must be reported to the HSE reporting centre
                as soon as possible after the incident – often this means by phone. Full
                information on form F2508 (see appendix 6) must be sent to the HSE
                reporting centre within 10 days of the incident.
            b. Accidents arising from work activities which make an employee absent from
                work for more than three days must be reported to the HSE reporting centre
                within 10 days.
            c. Deaths or injuries arising from work activities that need a non-employee to
                be taken directly to a hospital will be reported to the HSE reporting centre
                as soon as practical.
            d. Incidents of disease arising out of work activities will be reported to the HSE
                reporting centre when a registered medical practitioner has reported them
                to us.

4   You must tell SHAW services (or Children’s Services Serco) as soon as possible (by
    phone or e-mail) when an HSE inspector has told you that they are visiting our
    premises as a result of an incident.

5   You will make sure that all incidents are investigated. The standard of investigation
    and the manager responsible for the investigation is based on the seriousness of
    incident. (See appendix 3). Investigation reports will be passed to SHAW services (or
    Children’s Services Serco) and the line manager or head teacher of the activity
    involved. The distribution of other copies will be authorised jointly by the line manager
    or head teacher manager of Safety, Health and Wellbeing services.



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6   People responsible for reporting or investigating incidents will receive training, as
    shown in the training grid (see appendix 1).

7   Risk assessments will be reviewed after all incidents.

8   You will produce and analyse relevant information about incidents at least every three
    months.

9   All internal incident report forms will be kept for 10 years. Reports which relate to
    children will be kept until the child is at least 21. Reports which relate to a long-term
    health problem (for example, exposure to asbestos fibre) will be kept for 40 years.

10 Records of any incident reported to the HSE must be kept for at least three years. This
   will be kept by the person nominated to report to the HSE, and this record must be
   produced if the HSE asks for it.

11 You will put a system in place to record dangers that are found in the workplace.

12 The SHAW service team will
         a. monitor incident records, although the department or school is responsible
            for keeping original records.
         b. make available courses on reporting and investigating incidents in-house
            every three months.
         c. report Corporate incident statistics every 3 months and prepare a report for
            Cabinet every year.

13 You must publish your own local arrangements relating to reporting and responding to
   incidents.

Relevant national legislation

Health and Safety at Work etc Act
Management of Health and Safety at Work Regulations
Reporting of Injuries Diseases and Dangerous Occurrences Regulations (RIDDOR)
Safety Representatives and Safety Committees Regulations
Health and Safety (Consultation with Employees) Regulations
Social Security Regulations

There may be other guidance notes which may affect how we manage incidents at work.
Contact the safety, health and wellbeing service if you need more information.




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Appendix 1:       Training grid




                                                                                Assistant Directors



                                                                                                      to report incidents
                                                                                                      People nominated




                                                                                                                            People nominated
                                           First and Second




                                                              General Service

                                                              Head Teachers
                                           Line Managers




                                                              Managers and




                                                                                Directors and




                                                                                                                            to investigate
                           Employees




                                                                                Executive




                                                                                                                            incidents
                                       *                *            *                   *                                           *
      Safety induction



      CIEH Level 3
      Award in Health                                                *
      and Safety in
      the Workplace
      (Supervising)

      IOSH Managing
      Safely                                                         *



      IOSH Directing                                                                     *
      Safely


      Reporting and                                                                                                 *
      recording                                         *            *                                                               *
      incidents



      Investigating                                                  *                                                               *
      incidents


                 Note: The stars in the boxes show what training is needed.
                      Safety representatives may go on all training courses.




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        Appendix 2: Reporting and responding to incidents safety management: System
       audit form

Directorate:                                                     Location:
Site Representative:                                             Date:
Question




                                                                   
                                                             
                                                                                      Comment




                                                        
                                                    
                                               0    1 2      3     4
1          Topic included in your service
           health and safety plan.
2          Local management system and
           arrangements in place.
3          Management team competent,
           briefed and involved.
4          Evidence that risk assessments                                 For this standard- reviewed after
           are available, suitable and                                    incident
           adequate.
5          Evidence of risk assessment                                    Post incident action planning
           action planning.
6          Evidence of suitable information
           instruction and training.
7          Evidence of measuring
           performance.
8          Evidence of systems to comply
           with all the standards from this
           SMS.

Calculation
Overall assessment
Priorities for action




Date for review

Auditor’s name                          Signature                                       Date


Site representative’s name              Signature                                       Date


Scrutiny by SHAW Manager                Signature                                       Date




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Appendix 2: Summary of standards (for full description see section 2)


Summary of Standards for audit purposes only                                   Compliance
(those not already covered in questions 1-7 over)                             √ or X or N/A
Standards                                                                     ----------------
1     Name a person responsible for RIDDOR reporting. Tell SHAW who.
2     All incidents reported on yellow, green or blue forms and distributed
3     Tell HSE and SHAW about reportable incidents (RIDDOR), in a
      timely manner
4     Efforts made to make sure employer is informed of reportable
      incidents
5     Tell SHAW if an HSE inspector is visiting
6     Investigate all incidents
7     Distribute accident reports
8     Analyse local statistics 3 monthly
9     Report form storage, 10 years or until 21 for under 16 or 40 years
      for ill health
10    Records of HSE reports kept for three years




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   Appendix 3: Incident Investigation Responsibilities

Incident description                 (A)                     (B)                        (C)                          (D)                                (E)
 (including property          Trivial Incident          Minor Incident           Lost-time Injury                Major Injury                         Fatality
    damage value)                  (<£10)                 (<£1000)                 (<£10,000)                    (<£100,000)                        (>£100,000)
Incident Type            Violent Incident –Verbal    Minor Injury           Injury causing over 3 day     Dangerous Occurrence or        Fatality
                         Minor Injury                First Aid needed       (reportable) lost time        Major RIDDOR Injury
                                                                                                                                         Multiple major injuries
                         No or Minor First Aid       Violent injury         accident                      Near miss which - but for
                         Near Miss with negligible   Near Miss with only    Near miss which - but for     chance - could have led
                         possible consequences       minor possible         chance - could have           to catastrophic
                                                     consequences           caused a major injury         consequence
Level of Investigation   Minor local investigation   Local Investigation    Local Investigation           Formal Investigation           Investigation Board

                         Check to ensure no other    Identify immediate     Identify immediate and root   Full written report- actions   Full report with legal
                         consequences                and root causes        causes using accident         plan with targets set          assistance
                         Minimal Time                using accident         investigation form
                                                     investigation form


Investigation Team       Immediate line manager      Line manager           Service Manager to            GM or HT to formally           CE to appoint executive
Membership               or team leader                                     formally conduct              conduct investigation &        director as chair
                                                                            investigation                 detail team (based on          Team to include: GM or HT
                                                                                                          incident type )                from department, principal
                                                                            Advice available from
                                                                                                                                         safety officer , emergency
                                                                            SHAW services if required     Led by GM, team to
                                                                                                                                         planning officer and legal
                                                                                                          include safety officer.
                                                                                                                                         adviser
Reporting                Internal employee/non-      As (A) plus            As (A)+(B) plus               As (A) plus                    As (A)+(D) plus
Requirements             employee forms
                         Police where needed for     Investigation report   HSE reporting centre within   Written report                 CE
                         violent incident                                   10 days (copy report to       HSE –Immediate                 Police where necessary
                         Risk & Insurance for                               SHAW services)                telephone 0845 300 9923
                         property damage                                    General Manager               Executive Director
                                                                                                          PR Officer
                                                                                                          Head Risk & Insurance




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