Employee Incident Manager Procedure by fbk14637

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									                                                                                         Manual                     Type/Number
  Insert company logo or name
                                               MANAGEMENT                                 OHS
                                                 SYSTEM                                           Name
                                                                                    Incident Investigation Procedure

                                                          Procedure Contents


     1     Purpose: ............................................................................................................................. 2
     2     Scope:................................................................................................................................. 2
     3     References: ........................................................................................................................ 2
     4     Relevant Documents/Database: .......................................................................................... 2
     5     Procedure: .......................................................................................................................... 2
         5.1      What is an incident? .................................................................................................... 2
         5.2      Systematic Management of Incidents .......................................................................... 2
         5.3      Reporting Process ....................................................................................................... 2
         5.4      Determining the Root Cause ....................................................................................... 3
           5.4.1         Root Causes ........................................................................................................ 3
         5.5      Investigation of Incidents ............................................................................................. 3
           5.5.1         Basic Factors ....................................................................................................... 4
           5.5.2         Systems and Management Factors ..................................................................... 4
         5.6      When Should You Investigate? ................................................................................... 5
           5.6.1         Composition of a Standard Investigation Team ................................................... 5
         5.7      Reporting to Statutory Authorities ................................................................................ 5
         5.8      Review of Corrective Actions ....................................................................................... 5
         5.9      Risk Identification, Assessment and Control................................................................ 5
         5.10     Use of Incident Statistics ............................................................................................. 6
           5.10.1        Negative Performance Indicators ......................................................................... 6
           5.10.2        Positive Performance Indicators .......................................................................... 6
         5.11     Privacy Considerations ................................................................................................ 6




Authorised by:      Director            Date: 25/08/07            Review Date: 25/07/09 Issue No: 1                        Page 1 of 12

                                              This is an uncontrolled copy printed on 31/01/2011
                                                                           Manual         Type/Number
  Insert company logo or name
                                     MANAGEMENT                             OHS
                                       SYSTEM                                        Name
                                                                       Incident Investigation Procedure

     Purpose:
     The purpose of this procedure is to ensure a safe workplace for all employees, contractors and clients
     through effective and systematic Incident investigation and reporting mechanisms, to ensure that further
     risks of workplace incidents are eliminated.

     Scope:
     This procedure is applicable to all employees, contractors of the organisation.

     References:
     Refer to Individual state/country enforcing authority websites (Codes of Practice or Standards) in relation
     statutory reporting requirements of incidents.

     Relevant Documents/Database:
         Incident Reporting and Investigation Form

     Procedure:

     What is an incident?
     'Incident' for the purposes of this procedure includes:
                       Any event that results in injury or disease no matter how minor;
                       Any dangerous occurrence - this term includes near misses - any event that endangers
                        the health or safety of a person;
                       Any event that results in death.

     Systematic Management of Incidents
     The organisation is committed to maintaining a safe and healthy environment for all employees and non
     employees. Whilst incidents involving employees or non employees should never occur, unfortunately
     due to a number of reasons, they may still happen.

     Incident investigation and analysis can be still seen as a systematic pro-active approach to the
     continuous improvement of the OHS Management System. Constructive investigations yield essential
     information, which will assist in:

            Determining injury rates
            Identifying trends and problem areas;
            Permitting comparisons to be made, for example between injury rates for different areas of the
             workplace, across different time frames and involving different types of injury;
            Complying with legal requirements, for example, providing data required for personal injury
             claims involving workers compensation payments.
            Identifying the basic causes that contributed directly, or indirectly, to each incident
            Identifying deficiencies in the OHS Management System that permitted the incident to occur;
             and
            Suggesting specific corrective action alternatives for the management system.


     Reporting Process
     1.   Employee witnesses or is involved in an incident – the employee must complete Incident
          Reporting and Investigation Form and Injury Register (if injured) and report to management within
          24 hours.
     2.   The responsible manager will report injury to insurer and enforcing authority (if applicable) within
          the statutory reporting timeframes.
     3.   Management in consultation with employees will ensure immediate interim action is taken as
          required to minimise risk within the workplace.
     4.   Manager will investigate incident and review concerns raised. The level of investigation will be
          determined at this stage.



Authorised by:    Director      Date: 25/08/07        Review Date: 25/07/09 Issue No: 1        Page 2 of 12

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                                                                               Manual          Type/Number
  Insert company logo or name
                                         MANAGEMENT                             OHS
                                           SYSTEM                                        Name
                                                                           Incident Investigation Procedure
     5.        The responsible manager will carry out necessary interviews and review documentation (within the
               investigation team – if full investigation is warranted).
     6.        The responsible manager will complete the final section of the Incident Reporting and Investigation
               Form.
     7.        The responsible manager will complete the necessary risk management documentation ie. risk
               register and action plan.
     8.        Corrective actions will be implemented according to the risk action plan.
     9.        All documentation must be kept on file for easy access and retrieval, if required.
     10.       All incidents will be reviewed by management and health and safety representatives on a regular
               basis.


     Determining the Root Cause
     All incidents, including near misses, must be reported within 24 hours of the occurrence an investigation
     undertaken by management (scope of investigation dependant on degree of injury).

     There are essentially two major reasons why the organisation investigates incidents, these are:
         To determine the true and accurate circumstances which led up to and contributed to the event,
            and
         To prevent the event occurring again, potentially with even greater repercussions.


     Root Causes
     Identifying the root cause of an incident may be a relatively complicated process. Several coincidental
     causes making up a chain of causation factors may be identified, none of which alone may have resulted
     in the incident.

     The basic concept of incident prevention is that incidents can have several causes, each of which must
     be identified and controlled.

     Accurate, clear and complete information is needed from the investigation process. Details which
     should be recorded and included in the incident investigation report are:-

                A description of the sequence of events leading to the incident
                Correct identification of all causal factors
                A description of all causal factors
                The corrective actions already taken
                Further recommendations for corrective actions; and
                Review and sign-off by senior management


     Investigation of Incidents
     Accurate, clear and complete information is needed from the investigation process. It is important when
     investigating incidents not to allocate blame. If attempts are made to apportion blame, people who might
     otherwise provide useful information and guidance on remedial action needed, will simply become
     defensive. The results could be:-

                Witnesses not revealing all of the circumstances and events surrounding the incident
                Deliberate obstruction or provision of false information and
                The removal of relevant information, documents or evidence

     The investigator(s) must remain impartial and objective if all of the causes are to be established.

     For the incident investigation to be successful in identifying all of the causes of the incident, it will be
     necessary to establish:



Authorised by:       Director       Date: 25/08/07        Review Date: 25/07/09 Issue No: 1         Page 3 of 12

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                                                                             Manual           Type/Number
  Insert company logo or name
                                       MANAGEMENT                             OHS
                                         SYSTEM                                        Name
                                                                         Incident Investigation Procedure
            The events and circumstances leading up to the incident -
             -       The types of events and circumstances leading up to the incident, which will be
                     relevant for the investigation, may include:-
             -       the system of work currently in place
             -       the instructions given for the work
             -       variations from instructions or safe work systems
             -       workplace conditions such as lighting, floor surfaces, stair treads and handrails,
                     warning signs, and temperature and weather, if the incident occurred outside
             -       the exact location of the incident, with sufficient detail for the spot to be readily -
                     identified by somebody else reading the report
             -       the materials in use or being handled; and
             -       the type of equipment in use
            Facts of the incident – facts relevant to the incident may include:
             -       the state of the work system and the actions which occurred at the moment of the
                     incident
             -       the people directly involved, and those involved at a distance, if any
             -       the tools, equipment, materials and fixtures directly involved; and
             -       the time the incident occurred
            Facts of events immediately after the incident – relevant facts from events which occurred
                     immediately after the incident may include:-
             -       the injuries or damage resulting directly from the incident
             -       the events leading to consequential injury or damage
             -       the people involved, including those rendering aid; and
             -       any problems in dealing with the injuries, such as the lack of a process for
                     releasing a trapped person, presence of a faulty extinguisher etc


     Basic Factors
     In the investigation of the events leading up to an incident, there will be a number of basic factors to
     consider. They are important in determining causation. The basic factors comprise elements which
     must exist to enable the sequence to continue, and hence the damage to occur. These elements
     contribute to all incidents. In conducting an effective incident investigation, it is essential to look for each
     of these components and not to look for any single cause:

            Design Factors – poor systems design may result in exposure to hazards such as unguarded
             dangerous parts of machinery, ineffective safety devices or inadequate ventilation.
            Environmental Factors – The production system environment has a direct effect on safety
             behavior. How people function in the work environment depends on what they experience in it.
             The environmental factors may be both physical and psychosocial.
            Behavioral Factors – behavioral factors can result in exposure to hazards. Examples of
             behavioral factors are the misuse of safeguards, the improper use of tools and equipment,
             ignoring cautionary notices, failure to wear personal protective equipment, horseplay or poor
             standards of housekeeping.

     The reasons that lie behind the disregard for accepted safe systems of work and safety practices,
     procedures or rules need to be examined. Such behavior is not accepted within the organisation.
     Managers should look at improved communication, further training, supervision, counseling or
     modification of controls before disciplinary procedures are to be initiated.


     Systems and Management Factors
     It is necessary to locate, within the various levels of the management system, errors and omissions
     which permitted the event to occur. Such elements will always be present and the design, environmental
     and behavioral factors identified above can be traced or related to management failures.




Authorised by:    Director        Date: 25/08/07        Review Date: 25/07/09 Issue No: 1          Page 4 of 12

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                                                                            Manual          Type/Number
  Insert company logo or name
                                      MANAGEMENT                             OHS
                                        SYSTEM                                        Name
                                                                        Incident Investigation Procedure
     When Should You Investigate?
     Some incidents may require more detailed investigation and analysis, the risk management analysis tool
     will identify when a more detailed investigation utilising a group investigation technique should be used.


     Composition of a Standard Investigation Team
     The size and make-up of the investigation team is dictated by the incidents seriousness or complexity.
     A standard investigation team for a minor injury or property damage incident would usually consist of:
          The relevant Senior Manager of
          Relevant employees ie. health and safety representatives
          Specialist Consultants (Where applicable)

     In the event of an incident which is reported to the enforcing authority regarding a notifiable incident, the
     investigation team may involve specialist consultants and the enforcing authority representatives.


     Reporting to Statutory Authorities
     The organisation will comply with all the statutory reporting requirements. These arrangements oblige
     the organisation to report the details of certain incidents to the relevant enforcing authority. The types of
     incidents which must be reported are usually:-
           Incidents resulting in loss of life (which must be reported immediately)
           Incidents resulting in a worker taking a number of days off work due to injury; and
           Incidents involving damage or potential damage to dangerous items of plant (such as boilers)

     Refer to the Enforcing Authority website for up-to-date reporting timeframes and procedure.


     Review of Corrective Actions
     The responsible manager will review the information gained from the incident investigation and carry out
     a risk management process.

     After the investigation has been conducted, the Incident Investigation and Reporting form will be
     completed detailing the action needed to be carried out to eliminate or minimise the hazard using the
     risk management processes.


     Risk Identification, Assessment and Control
     The organisation shall identify and assess all hazards that have caused incidents using the following risk
     management methods:
         Defining the scope of the activity that is to be assessed.
         Identifying the risks.
         Assessing the risks.
         Controlling the risks.
         Monitoring and reviewing the process.

     The organisation shall implement all controls using the following hierarchy of hazard control:
         Eliminating the hazard.
         Substituting the hazard.
         Modifying the process.
         Isolating the hazard.
         Implementing engineering controls.
         Using a combination of controls.
         Using back up controls, such as personal protective equipment.

     See „Risk Management Policy and Procedure‟ for further information on risk identification, assessment
     and control and the hierarchy of hazard control.


Authorised by:   Director        Date: 25/08/07        Review Date: 25/07/09 Issue No: 1         Page 5 of 12

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                                                                            Manual           Type/Number
  Insert company logo or name
                                       MANAGEMENT                            OHS
                                         SYSTEM                                       Name
                                                                        Incident Investigation Procedure
     In addition, the organisation shall:
          See that all corrective actions identified in an investigation are authorised with signed
              documentation.
          Allocate responsibility against each corrective action, to ensure everyone is aware of what is
              required of them. Any lack of response shall be tracked to the responsible person.
          Ensure any corrective actions have a time frame allocated to them for completion.
          Ensure all employees concerned have received sufficient training, or arrange for retraining, as
              deemed necessary by the findings of the investigation.
          Where a specific task or process has caused the incident, a job safety and environmental
              analysis will be undertaken in order to re-assess the risks associated within the area.
          After implementing corrective actions, ensure they are evaluated at a future time. This is to
              ensure that the controls have not caused any further hazards, and that they are in fact
              appropriate to reducing the likelihood of a recurrence of the same event.


     Use of Incident Statistics
     The organisation will use the information gained from incident statistics to measure trends over a period
     of time so that the organisation has an indication of whether it is improving, stable or deteriorating with
     regards to Health and Safety performance.

     Negative Performance Indicators
     The organisation will measure “Average Lost Time Rate” and the average time lost per occurrence of
     injury or disease. This rate is an indication of the severity of occurrences being experience by
     employees over a period of time.

     Positive Performance Indicators
     It is important to note that negative performance indicators such as “Average Lost Time Injuries” give an
     indication of the state of the OHS Program and should be used with caution. Positive Performance
     Indicators are pro-active and show the effectiveness of training, management commitment and support,
     and resources given to safety, which are all part of the larger picture.

     Statistics will also provide the organisation with an indication of the effectiveness of the corrective or
     preventative actions taken to minimise or eliminate the hazard which caused the accident.


     Privacy Considerations
     The Privacy Act provides the legislative basis for protection of individuals' rights in regard to disclosure of
     personal information. Personal information may only be divulged in circumstances which correspond
     with the stated use.




Authorised by:    Director       Date: 25/08/07        Review Date: 25/07/09 Issue No: 1          Page 6 of 12

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                                                                            Manual                   Type/Number
  Insert company logo or name
                                      MANAGEMENT                             OHS
                                        SYSTEM                                        Name
                                                                        Incident Investigation Procedure

PART ONE
This form must be completed by the person responsible for the injured party (Supervisor/Manager)
for each incident in which an injury occurs or an illness is acquired whilst at work. It does not
replace and may not be used in addition to Sick Leave or Worker’s Compensation Claim Forms,
where applicable.
Details of Person involved in Injury/Illness/Incident
Employee Name:                                                       Contact No.:

                                                                            Male           Date of
Home Address:
                                                                            Female         Birth:



Work Details
Location:                                                            Department:


Employment or Relationship status to Organisation
                                    FT Employee
                                    PT Employee
Injured Party:                                                       Position:
                                    Contractor
                                    Visitor/Client
Does the employee work for
                                      Yes                                                    No
any other organisation?:
Visitor/Clients (Area Visited):


Injury/Illness/Incident Details
Date of Injury/illness/incident:                                  Time of Occurrence:




Description of Occurrence:




Type of Incident
                                           Manual Handling injury
   Fall of person                          Muscular effort –
                                                                                             Extreme temperature
   Falling object                         repetitive/continuous
                                                                                             Electrical current
   Explosion/Implosion                     Muscular effort – postural
                                                                                             Harmful substances
   Step on/strike object                   Non-person related incident
                                                                                             Radiation
   Caught in or between objects           (property/equipment damage)
                                                                                             Exposure to noise
   Muscular effort – single event          Struck by object (cut by knife,
                                          tools etc.)
Type of Injury



Authorised by:   Director         Date: 25/08/07       Review Date: 25/07/09 Issue No: 1                Page 7 of 12

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                                                                           Manual                 Type/Number
  Insert company logo or name
                                     MANAGEMENT                             OHS
                                       SYSTEM                                        Name
                                                                       Incident Investigation Procedure
                                         Damage to glasses, hearing aids
                                                                                          Burns and scalds
  No injury reported (go to agency    etc
                                                                                          Puncture/penetration
  and complete form)                     Occupational Overuse/injuries
                                                                                          Wounds
  Fractures/dislocation                  Poisoning and toxic effects of
                                                                                          Amputations
  Sprains/strains                        substances
                                                                                          Electric shock
  Concussion                             Confusions/bruising/crushing
                                                                                          Multiple Injuries
  Lacerations/Open cuts                  Grazes/abrasions
                                                                                          Bites/Stings
                                         Foreign bodies
Apparent Type of Illness
                                         Circulatory system/heart
                                      problem
   Epilepsy                                                                               Deafness
                                         Respiratory system/breathing
   Dermatitis/skin rashes                                                                 Headaches
                                         problems
   Dizziness/fainting                                                                     Shock
                                         Infectious and parasitic diseases
   Nausea/vomiting
                                         Psychological disorders (eg.
                                      Stress)
Bodily Location
                                                                                        Psychological
   Eye
                                          Arm                                           Internal organs
   Ear
                                          Hand and fingers                              Multiple parts
   Face
                                          Hip                                           Feet and toes
   Head (other than eye and face)
                                          Trunk                                         Leg
   Shoulder
                                          Back                                          General/Unspecified
   Neck
                                                                                     location

Agency (What caused the incident?)
                                         Fixed or mobile plant/machinery                  Biological agencies
   Animal(s)                             Ground and pathways                              Manual Handling
   Chemical(s)                           Hand tools (non powered)                         Person/People
   Physical environment                  Road transport (cars, bikes etc)                 Slips/trips/falls
   Insect(s)                             Equipment (includes powered                      Inadequate training
   Floors and passageways             tools)                                              Foreign bodies
   Stairs                                Syringes                                         Objects

When did the Incident Occur?
       During Work time                                                 During break from Work
       Journey/to/From Work (Insurer Journey form)                      Other




Where did the Incident Occur:




After the Incident:
                                      Return to Work
                                                                               Go to the Hospital
Did the person:                       Go Home
                                                                               Other ___________________
                                      Go to the Doctor
Was First Aid Received:               Yes                                      No
Has the Injuries Register
                                      Yes                                      No
form been filled in:


Authorised by:    Director      Date: 25/08/07        Review Date: 25/07/09 Issue No: 1                Page 8 of 12

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                                                                          Manual                 Type/Number
  Insert company logo or name
                                    MANAGEMENT                             OHS
                                      SYSTEM                                        Name
                                                                      Incident Investigation Procedure
                                From:                 To:
Was there any time lost?:                                             Time (Days/Hours):



Details of Witness to Incident (Witness to fill out Insurer Witness Form):
Name:                                                                      Contact No:

                                                                                              Employee
Address:
                                                                                              Visitor/Contractor


Preventative Action (To be filled in by the manager/supervisor responsible for the injured party):
Tick one or more of the appropriate preventative strategies for this incident:
                              Training/Retraining required              Change to the working environment
                              Equipment/machinery                       Change/review work procedures
Preventative
                              modifications required                    Improved supervision
Strategy:
                              Maintenance required of
                                                                        Other
                              equipment/machinery


Describe any
preventative action
which is required
both now and in the
future:


Has the person
taken any time off          Yes (Has the RTW Co-ordinator been
                                                                                         No
from normal duties           notified)
because of incident:
Supervisor:                                                                   Signature:

Department:                                                                   Date:


Manager’s Checklist (To be completed by the manager in charge of workplace):
Will an Accident Investigation              Yes
                                                            Comments:
be carried out:                             No
Has the Insurers’ Workers
Compensation or a Public                    Yes
                                                            Comments:
Liability claim been lodged for             No
the incident:
Do WorkCover need to be                     Yes
                                                            Comments:
notified?:                                  No
Has the Health and Safety Rep               Yes
                                                            Comments:
been notified:                              No
Has the RTW Co-ordinator been               Yes
                                                            Comments:
notified (if lost time)?:                   No




Authorised by:   Director       Date: 25/08/07       Review Date: 25/07/09 Issue No: 1                Page 9 of 12

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                                                                          Manual         Type/Number
  Insert company logo or name
                                    MANAGEMENT                             OHS
                                      SYSTEM                                        Name
                                                                      Incident Investigation Procedure

Has a Hazard Report Form                    Yes
                                                          Comments:
been completed?                             No


What further action is
recommended:


Manager:                                                                Signature:

Section:                                                            Date:
                                                   Original to Head Office
 Please send :
                                                   Copy to Workplace File




Authorised by:   Director       Date: 25/08/07       Review Date: 25/07/09 Issue No: 1     Page 10 of 12

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                                                                          Manual         Type/Number
  Insert company logo or name
                                    MANAGEMENT                             OHS
                                      SYSTEM                                        Name
                                                                      Incident Investigation Procedure
                              PART TWO (Appropriate Manager to complete)
                          Only complete this section for Accident Investigation
Major contributory factors (use multiple boxes as required)
                                                      Environment
                           Behavior
Design                                                   Ambient conditions     Management
                              Fatigue/Stress             (wind, dust, rain etc)
  Lighting                    Physical Disability        Terrain                  Work Procedures
  Ventilation                 Culpable act               Temperatures             Supervision
  Noise                       Skylarking or              Housekeeping             Prescribed safety
  Tools, machine,              misconduct                Building surface          equipment or clothing
  equipment etc               Possible personal          conditions (stairs,      Training provided
  Manual Handling              problems                  floors etc)              Plant or equipment
  Malfunction or defect       Inexperience               Storage/stacking of       maintenance
  in machine, tool or         Failure to use             material                 Suitable plant/
  equipment                    prescribed safety         Exposure or contact       equipment
  Safety clothing or           equipment                 with chemicals or        Instructions or
  equipment                   Work method used           other agents              information
  Maintenance                 Alcohol or drugs           Exposure to infectious
                                                         sickness/disease
                                                         Visibility
Other:




Investigation Team’s
Conclusions as to
main reason for this
Accident?




Specific Preventative
actions taken/
recommended
(Has a risk
assessment or/& Job
Safety Analysis been
undertaken to
address issue)
Who will be
responsible for
implementing these
actions?
Manager:                                                          Signature:
Department:                                                       Date:
Please Send to:




Authorised by:    Director      Date: 25/08/07       Review Date: 25/07/09 Issue No: 1     Page 11 of 12

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                                                                          Manual         Type/Number
  Insert company logo or name
                                    MANAGEMENT                             OHS
                                      SYSTEM                                        Name
                                                                      Incident Investigation Procedure




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