Incident Reporting and Investigation Procedure

Goulburn Ovens
Institute of TAFE
Title: Incident Reporting and Investigation Procedure

Executive Management approved: 9/5/2005
Reviewed: 12/10/2005, 16/01/2006, 12/06/2007, 13/03/2008, 19/04/2011, 13/04/2015
Procedure no. CS15-P75
Executive Management approved: 28/04/2015

Reviewed: 29/08/2016
Refer OHS Policy no. CS15 Responsible Officer: Executive Manager People Capability and Culture
Authorising Officer: CEO
Review: Biennial (28th April 2017)
(Copy on Web Site)
Disclaimer: Printed hard copies of this document are uncontrolled. For the current version, please
refer to Policy Central.
INCIDENT REPORTING AND

INVESTIGATION PROCEDURE
1.
PURPOSE
to ensure all OHS incidents are reported;

to ensure all OHS incidents are investigated appropriately, with a view to
prevention of similar occurrences;
to ensure compliance with legal requirements for incident notification to
WorkSafe Victoria
2.
SCOPE
This procedure is applicable to all incidents:
that occur on Institute premises, &/or;
that occur on Institute premises under the control of Institute staff, &/or;
involve Institute staff or students, while involved in work related to Institute

business or programmes.
3.
DEFINITIONS
Incident:
An incident is an event or chain of events which has or could have

caused occupational injury, ill health, and/or damage (loss) to
people, assets or reputation. Incidents may involve actual or
potential injury/illness, property/environment damage, motor
vehicle accidents or near-misses.
Hazard:
Any situation, substance, activity, event or environment that could

potentially cause injury or ill health, damage to
property/plant/equipment, or damage to the environment.
Near Miss:
An incident that occurred at the place of work, which although did

not result in personal injury/illness or disease, damage to people,
property or the environment had the potential to do so.
A near miss may highlight workplace hazards and the need to
initiate corrective action, eg: tripping without falling.
Staff:
Staff refers to any persons employed by the Institute, whether

employment is ongoing, fixed term, part-time or casual/sessional.
Supervisor:
An Institute Staff member with supervisory responsibilities, either

of students or other staff. Staff supervisors will include
Commercial Managers, Support Managers, and Executive
Officers. Student Supervisors will include teaching staff, as well as
the listed staff supervisors.
29/08/2016
1
Environment:
Environmental
Incident:
First Aid Injury

(FA):
Lost Time Injury

(LTI):
Incident Reporting and Investigation Procedure
Surroundings in which Goulburn Ovens Institute of TAFE

operates.
An incident resulting in an unplanned and/or unauthorized release
of substance(s) into the environment, whether it be air, water or
land, or any combination of the three.
Any work injury which requires a 'one-time treatment' of first aid
and subsequent observation of minor scratches, cuts, burns,
splinters, and so forth provided by a recognised first aider..
A lost time injury is a work injury, which results in the inability to
work for at least one full day, or shift, any time after the day or
shift in which the incident occurred.
Medical Treatment
Injury (MTI):
An injury that requires treatment by, or under specific orders of, a
registered medical practitioner or another registered treatment
provider, eg. Chiropractor; Physiotherapist; Osteopath; Nurse and
which is beyond the scope of normal first aid but does not result in
a lost time injury.
Occupational
Injury:
Occupational
Disease:
Place Of Work:
Property
Damage:
Symptomatic
Report:
Third Party:
Any work injury such as a cut, fracture, sprain, amputation, burn

etc. which resulted from a work incident or a single instantaneous
exposure in the work environment.
Any abnormal condition or disorder, other than one resulting from
an occupational injury, caused by exposure to environmental
factors associated with work. Acute and chronic diseases caused
by inhalation, absorption, ingestion or direct contact are included.
Premises, or any other place, where employees and contractors
work. It includes (a) any land, building or part of any building; (b)
any vehicle; (c) any installation on land; or (d) any tent or movable
structure controlled by the employer.
Any incident that results in damage to property; ie. company
assets including vehicles, equipment, buildings and plant etc.
A report made of symptom(s), immediate or gradual onset without

damage, and where there has been no specific incident identified,
eg. pain, headache.
A third party is not an employee or contractor of the Insitute who is
injured or incurs damage/loss and/or anything which may result in
29/08/2016
2
Work Injury:
Work
Fatality:
Risk:
Risk
Assessment:
a public liability issue as a result of the organisations activities.

An injury or disease which arises out of, or is linked with, or
occurs during a person's employment.
A work-related fatality is a death to any employee or contractor
resulting from a work-related occupational injury/disease,
regardless of the time intervening occupational injury/disease and
death.
Risk is the likelihood of injury or harm resulting from exposure to a
hazard
The process of analysing all of the risks associated with hazards
and evaluating them to determine steps for risk control and
priorities. Risk Assessment considers two (2) main factors: the likelihood that the hazard will result in injury/illness, loss or
damage to the environment, property, plant or equipment. This
assessment of likelihood also needs to consider frequency or
exposure to the hazard
the potential severity of that injury, illness, loss or damage
Risk Score:
The risk score is the number allocated following risk assessment,

which describes the level of risk, ranging from H (very high risk) to
L (very low risk). The risk score is also used to identify the priority
and timeframe of response to the identified hazard.
Risk Control:
Risk Control is a method of managing the risk, which involves

taking actions to eliminate &/or reduce the likelihood that
exposure to a hazard will result in injury/disease. There is a
hierarchy of control measures to be followed with the primary
emphasis on controlling the hazards at source. Methods of Risk
control in preferred priority order are: Elimination
Substitution
Isolation enclosing or isolating a hazard
Engineering controls/Redesign changing processes,
equipment, tools
Administrative controls changing work procedures
Personal Protective Equipment
Notifiable Incident:
Notification is required to WorkSafe Victoria when an incident at a
workplace or incidents involving items of plant/equipment used at
the workplace or site results in:(a) the death of any person
(b) a person requiring medical treatment within 48 hours of
exposure to a substance
(c) a person requiring immediate treatment as an inpatient in a
hospital
(d) a person requiring immediate medical treatment for:
amputation
29/08/2016
3
serious head injury

serious eye injury
separation of skin from underlying tissue (for example
degloving or scalping)
electric shock
spinal injury
loss of bodily function
serious lacerations
Notifiable Dangerous
Occurrence:
A Dangerous Occurrence is an incident at a workplace which
may seriously endanger the health and safety of people in the
immediate vicinity: the collapse, overturning, failure or malfunction of, or
damage to, any item of plant listed in Schedule 2 of the
OHS Regulations 2007;
the collapse or failure of an excavation, or the shoring
support of an excavation;
the collapse or partial collapse of any part of a building or
structure;
an implosion, explosion or fire;
the escape, spillage, or leakage of substances;
the fall from a height of dangerous or heavy objects.
4.
PROCEDURE
4.1 INCIDENT REPORTING PROCESS
The Institute Incident Reporting Flowchart outlines the steps involved in
Incident Management. There are 5 main steps:4.1.1 Immediate Response to an Incident
4.1.2
Appropriate First aid/Medical treatment provided/arranged as

required
Incident reported to Manager/Supervisor verbally
Manager/Supervisor takes any steps required to protect the health
and safety of all persons following incident
Significant Incidents must be reported immediately in the first instance

via phone to the OHS Coordinator, who is responsible for reporting all
Notifiable Incidents &/or Dangerous Occurrences immediately to
WorkSafe Victoria.
Notifiable Incidents or Notifiable Dangerous Occurrences reported to

OHS Coordinator
OHS Coordinator co-ordinates notification to WorkSafe Incident
Notification Unit (if required) Ph: 132 360
In the case of a workplace death or notifable incident, where
practicable, the site of the incident must be preserved (ie: not
disturbed) until directed by a WorkSafe Inspector.
In the event that the OHS Coordinator is not available, the incident
must be reported to the Executive Manager People, Capability and
Culture
29/08/2016
4
In the event that the Executive Manager People, Capability and

Culture.is not available, the most senior manager aware of the
incident, should notify WorkSafe Victoria on Ph: 132 360
A WorkSafe Victoria Incident Notification Form must then be
completed online or in hard copy (available from WorkSafe website)
and forwarded to WorkSafe Victoria within 48 hours of the incident.
4.1.3 Incident Documentation and Investigation
Completion of Incident Report Form (GOTAFE Incident Notification)

If it is not possible for the involved person to complete the Institute
Incident Report form, the staff or student supervisor, or another
responsible officer is to complete the form on their behalf.
Scan and Email (preferred option) to OHS Coordinator or Fax
Incident Report Form, to Human Resource Department within 24
hours of incident
Completion of Incident Report Form (Incident Follow-up) is
to be completed for all Incidents including Major Incidents
(Reportable to WorkSafe) or accidents requiring a doctor or a
hospital visit.
Incident follow-up conducted within department by supervisor, with
involved person and Health and Safety representative as appropriate
Incident follow-up to include:
a. identification of contributing factors to incident
b. risk assessment
c. development of risk control measures in a Corrective Action Plan,
according to hierarchy of risk controls
4.1.4
OHS Coordinator involved in further Accident Investigation process

or Risk Assessments if required, eg: for serious incidents or incidents
involving manual handling, chemical substances, plant/machinery.
Implementation of Risk control measures within Corrective Action Plan
Corrective Action Plan including Risk control measures, implemented

by department
The Corrective Action Plan may include multiple risk control
measures, for example interim control measures that can be
implemented immediately, and longer term control measures that
may be more effective.
4.1.5 Follow-up to ensure that implemented risk control measures are effective
Steps taken to ensure that implemented risk control measures are

effective may involve supervisor, health and safety representative
&/or OHS Coordinator
4.2 RESPONSIBILITIES
4.2.1 All Staff and Students
All Staff and students are required to report any incidents, near
misses, actual or potential hazards to their supervisor or elected
Health and Safety Representative as soon as possible. It is expected
29/08/2016
5
that staff and students report incidents promptly, ie: on the day the
incident occurred.
Incidents should be reported verbally and then in writing using an

Institute Incident Report Form.
Institute Staff should ensure that incidents that involve visitors to the
Institute, are also reported.
4.2.2 Contractors
All contractors engaged by the Institute are required to report any

incidents, near misses, actual or potential hazards to the relevant
Divisional Manager or Institute representative.
Incidents must be immediately reported verbally, and then

subsequently using an Institute Incident Report Form.
If any notifiable incidents or dangerous occurrences occur involving

Contractors, these must be immediately reported to the relevant
Institute Representative, and appropriate notification made to
WorkSafe by the Contractor.
All incidents involving contractors are to be investigated by the

contractor in conjunction with the Institutes relevant Health and Safety
Representative &/or OHS Coordinator/OHS Officer.
The contractor must implement identified corrective or preventative

risk control measures. If the involvement of the Institute is required in
relation to the implementation of risk control measures, the contractor
must advise the relevant Institute representative.
4.2.3 Supervisors/Managers
Ensure that all staff are aware of the incident reporting procedure and
the importance of prompt reporting of incidents.
Managers/Supervisors are responsible for taking any immediate steps

required following an incident to render the area safe, and protect the
health and safety of all persons
Managers/Supervisors must ensure that if first aid is required as a

result of an incident, this is arranged appropriately.
Managers/Supervisors are responsible for ensuring that the Institute

Incident reporting and investigation procedure is implemented within
areas under their control, or where their staff &/or students are based.
This includes following recommended timeframes for incident
reporting, and notification via telephone to the OHS Coordinator for
significant incidents.
Managers are responsible for ensuring that all incidents are reported
according to regulatory and Institute requirements. For notifiable
incidents &/or dangerous occurrences, if the OHS Coordinator and
the OHS Officer are unavailable, senior managers should report
29/08/2016
6
directly to the WorkSafe Incident Notification Unit on Ph: 132 360, and
notify the OHS Coordinator of their actions.
Managers/Supervisors must check that the Incident Report Form is

fully completed. Signing the Incident Report Form indicates that
supervisors are aware of the incident, are reasonably sure that the
information is correct and are committed to an agreed prevention
action.
Managers/Supervisors should involve the relevant Health and Safety

Representative to assist in the Incident Follow up/Investigation
process.
Managers/Supervisors are responsible for ensuring that appropriate

risk control measures are developed within the Corrective Action plan,
and for the implementation of these risk control measures.
Managers/Supervisors should also ensure that risk control measures

that have been implemented are effective and that additional hazards
have not been created as a result. The Institute OHS Coordinator
should be contacted for assistance with this if required.
4.2.4 Health and Safety Representatives
Health and Safety Representatives may be involved immediately

following an incident to assist with steps required to make the area
safe, to protect the health and safety of all persons.
Health and Safety Representatives may be involved to assist with

incident investigation and development of appropriate risk control
measures.
In their capacity as OHS Committee members, Health and Safety

Representatives monitor incident trends and make recommendations
regarding preventative action.
4.2.5 Institute OHS Coordinator
The OHS Coordinator is to coordinate reporting of all Notifiable

incidents or dangerous occurrences to the WorkSafe Victoria.
The OHS Coordinator is to assist with investigation of significant

incidents, in consultation with Supervisor/Manager and Health and
Safety Representative.
Review of Incident Report Form completion and monitoring of the

Incident Reporting and Investigation Procedure is to be undertaken by
the OHS Coordinator, including assessment of developed corrective
action plans, identified risk control measures and implementation.
The Register of Incidents is to be maintained by the OHS Coordinator.
29/08/2016
7
An incident summary report is to be provided to the OHS Committee

to monitor incident trends and corrective actions.
29/08/2016
8
INCIDENT/INJURY CONTRIBUTING FACTOR GUIDELINES

The following categories are a guideline to incident/injury cause and multiple categories can be selected:
Plant/Equipment
Correct equipment provided?
Regular maintenance performed?
Current maintenance records?
SOP's for equipment used?
Persons appropriately trained/
competent to use equipment/plant?
Personal Protective equipment has
plant been adapted or modified for the
job/task?
Equipment design/location?
Equipment failure.
Was the equipment required for the job
readily available on the day?
Protective Clothing and Protective
Equipment
Had the protective equipment required
been assessed for the job?
Had the protective equipment required
been provided for the job?
Materials
Was the material suitable for the
intended use?
Work Area/Work Environment
Were inspection checks conducted to
maintain housekeeping?
Training Information Instruction
Had the employees been formally
trained?
Emergency Responses
Were we able to cope with the
emergency caused by the accident?
Environment
Did the weather conditions contribute
to the hazardous condition?
Road conditions?
Workplace layout, housekeeping
inspections completed?
Manual Handling:
> Was the task repetitious?
> High forces exerted?
> Prolonged postures?
> Nature of the object handled?
> Work schedule?
Personnel/Employees
Has the employee been working double
shifts/overtime, fatigue?
Was the employee physically
capable/fit to perform the task?
Was the employee trained/competent
to perform the task, including
induction?
Was alcohol or other drugs involved?
Was it a criminal or willful act of
damage?
Supervision?
Job Related Hazards
Methods/Procedures/Competencies
Was the procedure in place for the
task?
Did the employee know the method of
procedure?
Did the job comply with legislation
standards prior to the accident?
Was the hazardous condition
recognised or recognizable?
OHS CONSEQUENCE SEVERITY RANKING TABLE

Factors for Determining the Level of Risk and the Consequence in Order to Rank the Severity of the Incident
Insignificant
Minor
Moderate
Level 1
Level 2
Level 3
Injury and Disease (Includes Employees and Contractors)
Low level short-term

symptoms.
No medical
treatment required.
Near miss injuries.
Temporary
disability/impairment
and/or first aid
treatment, and/or
medical treatment.
Moderate
permanent disability
to one or more
persons.
Injuries requiring
hospitalisation.
Major
Level 4
Catastrophic
Level 5
Single fatality and/or

severe permanent
disability or
impairment to one or
more persons.
Short or long term

health effects
leading to multiple
fatalities, or
significant human
health affects to
several persons.
Major damage to
facility requiring
significant
corrective/
preventative action.
Loss of production
< six months.
Future operations at
site seriously
affected. Urgent
corrective/remedial
action.
Loss of production
> six months.
Operational Impact (Safety & Health Incidents Only)
Easily addressed or
rectified by
immediate
corrective action.
No loss of
production.
No damage to
equipment.
Minor or superficial
damage to
equipment and/or
facility.
No loss of
production.
Moderate damage
to equipment and/or
facility. Loss of
production < one
week.
CORRECTIVE ACTION GUIDELINES

Use the hierarchy of controls, start from Elimination and work down the list to ensure all controls/corrective actions are documented.
1.
Eliminate the Hazard
Eg. Redesign the machinery, repair damaged equipment, dispose of unwanted

chemicals.
If this is not practicable, then

2.
Substitute the Hazard
Eg. Lift smaller package, use a less toxic chemical.
With something of a lesser risk, if this is not practicable, then
3.
Modify the Process
Eg. Modify the work process.
4.
Isolate the Hazard
Eg. Place barriers around a spill until cleaned up, enclose the process or the person.
Eg. Provide a trolley to move heavy loads, place guards on moving parts of
5.
Use Engineering Controls
machinery.
Eg. Introduce job rotation, ensure equipment is maintained regularly.
6.
Use administrative Controls
Eg. Provide hearing and eye protection, hard hats, gloves, masks.
Note: Relying on personal protective clothing and equipment is the least acceptable control measure. It should only be
used as an interim measure until a more reliable solution can be found or with other controls. Sometimes the most
effective control of risk involves a combination of the above methods.
29/08/2016
9
5.
DOCUMENTATION
OHS Policy - CS15
Incident Report Form FOH-01
Incident Reporting Flowchart (Attached)
Worksafe Publication: Controlling OHS Hazards and risks - A handbook for

workplaces ODOH-02
Worksafe Publication - OHS Act Summary ODOH-04
First Aid Procedure CS15-P80
Occupational Health and Safety Act (2004)
Occupational Health and Safety (Incident Notification Regulations), 2007
Equipment Public Safety (Incident Notification) Regulations, 2007
Occupational Health and Safety (Issue Resolution) Regulations, 2007
WorkSafe Guide to Incident Notification, January 2008
WorkSafe Victoria Incident Notification Form (to be obtained from WorkSafe

Victoria Website)
29/08/2016
10
INCIDENT REPORTING FLOWCHART

INCIDENT
Personal, Property, Environment, Near Miss, Motor
Vehicle Accident/Traffic Infringement
Appropriate first aid/medical treatment provided if

required, and Report to Manager/Supervisor verbally
Manager/Supervisor takes steps required to protect

health and safety of all persons following incident
Incidents involving significant injury/illness reported

immediately to OHS Coordinator by telephone, email or
fax. All Notifiable Incidents must be reported directly by
phone to the OHS Coordinator. If OHS Coordinator is not
available, Manager/Supervisor is to report incident directly
to Executive Manager People, Capability and Culture
Incident Report Form (GOTAFE Incident Notification)

completed & signed by Involved person/s, with supervisor
(If it is not possible for the involved person to complete the
Incident Report Form, the Manager/Supervisor or another
responsible officer is to complete the form)
Incident Report Form (GOTAFE Incident Notification)

scanned & emailed to ohs@gotafe.vic.edu.au or faxed to
Human Resource (payroll) Department within 24 hours of
incident
OHS Coordinator actions receipt of Incident Report Form,

using Institute Incident/Injury Register :
recording on database
notification to injured/ill staff
notification to 3rd parties WorkSafe Victoria,

Assets/Institute Insurer
notification to other Institute staff if appropriate

Management, Assets (facilities), Health and
Safety Representatives
Liaison with Institute staff regarding WorkCover

if indicated
Quarterly Incident Summary Report provided to OHS

Committee for review and discussion
Incident follow up conducted within Department by

Manager/Supervisor, with the involved person and the
Health and Safety Representative (HSR) as appropriate
Incident Report Form sent to OHS/Human Resource Dept

(Department to retain copy)
Steps taken by Department to implement Corrective Action

Plan
Once risk control measures are in place,

Manager/Supervisor and Health and Safety Representative
monitor to ensure effectiveness
Any further hazards/concerns re: risk control measures, unsafe practices notified to relevant
Manager
29/08/2016
11
OHS Coordinator monitors progress/resolution of OHS

issues & hazards. Once issue resolved, Incident
Recording database noted accordingly
29/08/2016
12

Incident Reporting and Investigation Procedure

Загружено:

Сведения о документе

Оригинальное название

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

Incident Reporting and Investigation Procedure

Загружено:

Авторское право:

Доступные форматы

Goulburn Ovens

Title: Incident Reporting and Investigation Procedure

Procedure no. CS15-P75

Executive Management approved: 28/04/2015

(Copy on Web Site)