Health and Safety Policy Guidance for Incident Reporting and Investigation Document Reference: H&S No.10/00/00.48 This document includes a statement of Policy of Glasgow Caledonian University together with summary guidance to assist Executive Board Members and Heads of Professional Support Departments in discharging their health and safety responsibilities. The subject of this policy and guidance is incident/near miss reporting; in particular taking into account the requirements of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995. Note: Schools and Professional Support Departments must develop local arrangements to comply with this policy and incorporate them within their respective Health and Safety files. Prepared By: Health & Safety Department Date Issued: May 2004 Authorised By: University Health and Safety Committee (Ref: 00.48) Last Reviewed: 2008
Contents Table of Contents.. 2 1. Introduction......3 2. Summary of Action Required to Facilitate this Policy.4 3. Background.....5 4. Accident Reporting Procedure.... 6 5. Dangerous Occurrence/Near Miss Reporting Procedure....7 6. Over 3 Day Injuries......7 7. Reporting the Subsequent Death of an Employee... 8 8. Reporting of Cases of Disease.....8 9. Definitions 8 Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 2
1. INTRODUCTION Glasgow Caledonian University Incident Reporting Policy Glasgow Caledonian University acknowledges its duty to make sufficient provision for the management of health and safety in the workplace. It is the policy of the University to fully implement the requirements of the Management of Health and Safety at Work Regulations 1999 by providing the facilities, procedures and resources to effect a suitable and sufficient health and safety management system. For each of the University Schools, the primary operational responsibility for discharging the health and safety requirements with regards to this policy lies with the Executive Members. In addition, for professional support departments and other groupings within the University, the appropriate Heads of Department have primary operational responsibility. Duties of implementation may be delegated to individuals in a manner that accurately reflects their existing levels of competence and responsibility. These individuals must plan, organise, control, monitor and review their health and safety management systems. However, in certain circumstances, the advice and assistance of specialist advisors will be required. Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 3
2. SUMMARY OF ACTION REQUIRED TO FACILITATE THIS POLICY 2.1 Summary Guidance All Staff*: Ensure that any accident to yourself, no matter how minor, is reported in the Accident Book, which is found either in the first aid box, or in some other central location within your Department. Call a first aider for anyone who needs first aid treatment. Inform a responsible person of any dangerous occurrence or near miss. *Please note that, for the purposes of making an entry in an Accident Book, students should not be regarded as staff unless they are actually employed by the University e.g. some research students, placement students who are paid by the University. Heads of Department: The Head of Department shall ensure that any incident which occurs within their area of responsibility and control should be properly investigated. Designate a responsible person to assist in collecting incident information, completing paperwork and taking remedial action. The responsible person could be the Departmental Safety Co ordinator or any other member of staff. Note that the reporting of dangerous occurrences and near misses is mandatory. Communicate to all staff within your department the procedures for dealing with incidents and ensure that they have been informed of the name(s) of the responsible person(s). Ensure that any paperwork is completed and forwarded according to this guidance to ensure compliance with legislation. Ensure that the Health and Safety Adviser is informed as soon as it becomes apparent that an employee will be off work for more than three days as a result of a workplace accident. Ensure that the Health and Safety Adviser is informed if an employee subsequently dies with one year as a result of an incident at work. Inform the Health and Safety Adviser if an employee suffers from a notifiable disease. First Aiders: After giving treatment to any injured person, complete an Incident Report Form (Form S1) and forward the form to the Health and Safety Adviser. If the injured person is an Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 4
employee, also make an entry in the Accident Book. In the case of a major injury or fatality telephone the Health and Safety Adviser. Responsible Persons: In the case of a dangerous occurrence telephone the Health and Safety Adviser. Investigate incidents before completing the relevant parts of any Incident Report Form and recommending remedial action, identifying where possible any immediate or underlying causes. Ensure remedial action is carried out. Health and Safety Adviser: Ensure that any injuries, diseases and dangerous occurrences are reported to the HSE in accordance with RIDDOR 95. Assist and advise as required with any incident investigation where the incident is serious and provide a report for management. Compile incident statistics to be fed back to Departments through the University Health & Safety Committee. 3. BACKGROUND 3.1 This document will guide you on the University s policy and procedures for complying with the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995. For more detailed guidance on the Regulations you may wish to obtain a copy of A guide to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (HSE Books, L73, ISBN 0 7176 1012 8). 3.2 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (hereafter known as RIDDOR 95) have certain statutory reporting requirements which must be observed in the event of an incident which occurs on University premises and involving employees, clients, contractors, students and other persons, or involving employees engaged in University business on other premises. 3.3 An incident in this document refers to any accident resulting in fatality, major or first aid injury, or a dangerous occurrence or a near miss. The reporting of diseases is also covered in this set of policy arrangements. Please refer to 8. DEFINITIONS starting on page 8 for a full explanation of the key terms used throughout this document. 3.4 The Health and Safety Adviser will: Provide an interface between the University and the Health and Safety Executive ensuring that any injuries, diseases and dangerous occurrences are reported to the HSE in accordance with RIDDOR 95. Act as a point of contact should the HSE wish to investigate an incident. Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 5
Assist and advise as required with any incident investigation where the incident is serious and provide a report for management. Compile incident statistics to be fed back to Departments through the University Safety Committee to ultimately inform the risk assessment process. 3.5 Heads of Department must designate a responsible person to assist in collecting incident information, completing paperwork and taking remedial action. The responsible person would normally be the Departmental Safety Co ordinator but it could also be any other member of staff or indeed the Head of Department. The important point is that the responsible person is made aware of their responsibilities as outlined in this document and that their role is communicated by the Head of department to all other members of the Department. The Health and Safety Adviser should also be informed of the name, designation and phone number of the responsible person(s). It should also be noted that there is nothing wrong with appointing more than one responsible person (especially in larger Departments) and indeed, at the very least, a depute should be designated to take over the responsibilities when the responsible person is not at work. 4. ACCIDENT REPORTING PROCEDURE (used in the event of an injury to a person) 4.1 If an employee receives a slight cut or abrasion whilst at work and does not require the assistance of a first aider they may obtain a small dressing or plaster from a first aid box. However they have a legal responsibility, under the Social Security (Claims and Payments) Regulations 1979, to record any injury at work, no matter how minor. They should do so by making an entry in their Department s Accident Book, which is kept either in the First Aid Box, or at some other central point. Sometimes an employee may be injured but does not require any of the contents of the first aid box (e.g. plaster, dressings). Even in such circumstances the employee should still make an entry in the Accident Book. 4.2 When an accident occurs and a person is more seriously injured a First Aider should be summoned immediately to provide treatment. In the event that the accident causes the death of an employee or a major injury to an employee, arising out of or in connection with the work of the University (this also includes a death or major injury as a result of physical violence), the First Aider will contact the Health and Safety Adviser by telephone on 331 8859 as soon as they have finished attending to the injured person. In the event that the accident causes the death of a non employee or leads to the non employee to being taken to hospital by whatever means, and the injury arises out of or in connection with the work of the University, again the First Aider will contact the Health and Safety Adviser by telephone as soon as they have finished attending to the injured person. Note: For a definition of major injury please refer to 8. DEFINITIONS starting on page 8. 4.3 For every accident attended, regardless of whether the injuries were serious or the Health and Safety Adviser was contacted by telephone, the First Aider must submit an Incident Report Form (Form S1 shown in the Appendix) to the Health and Safety Adviser within 3 working days of the accident. In addition, when the injured person is an employee, the First Aider must make an entry in the Accident Book, which they carry in their First Aid kit. 4.4 Once the Form S1 is received by the Health and Safety Adviser it will be logged onto a computer database and, where necessary, forwarded to the relevant Department s responsible Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 6
person. This will not be necessary if the injury sustained did not arise out of or in connection with the work of the University. 4.5 On receiving the Form S1 the responsible person may have to visit the scene of the accident to gather information before completing the Form S1 for the signature of the Head of Department (in the absence of the Head of Department the responsible person will sign the form). The Form S1 will then be returned to the Health and Safety Adviser within 4 working days of the responsible person having received it. Note that the form is in triplicate so that a white copy can be retained by the responsible person and a pink copy can be retained by the head of Department. 4.6 For ease of understanding, these reporting procedures are illustrated as a flowchart shown as Figure 1 on page 6. 5. DANGEROUS OCCURRENCE/NEAR MISS REPORTING PROCEDURE 5.1 In the event of a dangerous occurrence or a near miss the Department s responsible person or Head of Department should be informed immediately. If the incident happens on the campus in an area which is outwith the scope of a particular Department (e.g. car parks, central concourse) then Estates Department should be contacted to act as the responsible person. Note: For definitions of dangerous occurrence and near miss please refer to 8. DEFINITIONS starting on page 8. 5.2 The responsible person will then visit the scene of the incident to gather information where necessary. If the incident is a dangerous occurrence the responsible person will contact the Health and Safety Adviser immediately by telephone (331 8859). 5.3 The responsible person will complete the relevant parts of Form S1 (shown in the Appendix) for the signature of the Head of Department (in the absence of the Head of Department the responsible person will sign the form). The Form S1 will then be returned to the Health and Safety Adviser within 7 working days of the incident. A form should be sent to the Health and Safety Adviser even where the Adviser has already been contacted by telephone. Note that the form is in triplicate so that a white copy can be retained by the responsible person and a pink copy can be retained by the head of Department. 5.4 For ease of understanding these reporting procedures are illustrated as a flowchart. (See Appendix 1 and Appendix 2) 6. OVER 3 DAY INJURIES 6.1 According to RIDDOR 95 where a person is incapacitated for work for more than three consecutive days (excluding the day of the accident but including any days which would not have been working days) because of an injury resulting from an accident arising out of or in connection with work the responsible person shall send a report thereof to the relevant enforcing authority. In order for this to happen the responsible person within a Department, or the Head of Department, must monitor the progress of any employee injured in an accident at work. As soon as it becomes apparent that the employee will be off work for more Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 7
than three days, i.e. at least four days, the responsible person or Head of Department should inform the Health and Safety Adviser on 331 8859. 6.2 The Health and Safety Adviser will already have been notified that an employee was injured (see 3. ACCIDENT REPORTING PROCEDURE on page 4) and will be able to use the information from the Form S1 to provide a report to the Health and Safety Executive (the enforcing authority). 7. REPORTING THE SUBSEQUENT DEATH OF AN EMPLOYEE 7.1 Under RIDDOR 95 there is a requirement to report the subsequent death of an employee who dies as a result of a reportable injury within one year of the incident. 7.2 In order for this to happen the responsible person within a Department, or the Head of Department, must monitor the progress of any employee seriously injured in an accident at work. As soon as the responsible person or HOD becomes aware of the subsequent death of an employee they should inform the Health and Safety Adviser on 331 8859. 7.3 Reasonable steps must also be taken to monitor the progress of any employee who is seriously injured and leaves their employment within a year of the incident. 8. REPORTING OF CASES OF DISEASE 8.1 Certain occupational diseases which affect employees have to be reported to the Health and Safety Executive. Examples of such diseases can be found under 8. DEFINITIONS below. The requirement to report a case applies only where a written diagnosis from a registered medical practitioner has been received. 8.2 In such circumstances the Manager, Head of Department or responsible person will have to check whether the employee s job involves work activities specified under Schedule 3 of RIDDOR 95 which are linked to certain diseases. In practice the Manager or Head of Department may seek the advice of the Health and Safety Adviser. In any event the Health and Safety Adviser must be informed of any notifiable diseases so that the correct form can be completed and submitted to the Health and Safety Executive. 9. DEFINITIONS 9.1 In this document a responsible person is a Departmental Safety Co ordinator or any other member of staff who is designated by the Head of Department to assist in collecting incident information, completing paperwork and taking remedial action. 9.2 An incident in this document refers to any accident resulting in fatality, major or minor injury, or a dangerous occurrence or a near miss. 9.3 First Aid injuries are any injuries which require first aid treatment but do not require any further treatment (e.g. taken to hospital). In this document we exclude very minor cuts and scratches which are self treated, for example by the application of a plaster. However it Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 8
should be remembered that for any accident, no matter how minor, an entry should be made in the Accident Book. 9.4 Reportable major injuries are: Any fracture other than to fingers, thumbs or toes. Any amputation. Dislocation of the shoulder, hip, knee or spine. Loss of sight (temporary or permanent). Chemical or hot metal burn to the eye or any penetrating injury to the eye. Any injury resulting from an electrical shock or electrical burn (including any electrical burn caused by arcing or arcing products) leading to unconsciousness or requiring resuscitation or admittance to hospital for more than 24 hours. Any other injury: (a)leading to hypothermia, heat induced illness, or to unconsciousness (b) requiring resuscitation, or (c)requiring admittance to hospital for more than 24 hours. Unconsciousness caused by asphyxia or exposure to a harmful substance or biological agent. Acute illness requiring medical treatment, or loss of consciousness arising from absorption of any substance of inhalation, ingestion or through the skin. Acute illness requiring medical treatment where there is reason to believe that this resulted from exposure to a biological agent or its toxins or infected material. 9.5 Dangerous occurrences include: Collapse, overturning or failure of load bearing parts of lifts and lifting equipment. Explosion, collapse or bursting of any closed vessel or associated pipework. Failure of any freight container in any of its load bearing parts. Plant or equipment coming into contact with overhead power lines. Electrical short circuit or overload causing fire or explosion. Any unintentional explosion, misfire, failure of demolition to cause the intended collapse, projection of material beyond a site boundary, or injury caused by an explosion. Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 9
Accidental release of a biological agent likely to cause severe human illness. Failure of industrial radiography or irradiation equipment to de energise or return to its safe position after the intended exposure period. Malfunction of breathing apparatus while in use or during testing immediately before use. Failure or endangering of diving equipment, the trapping of a diver, an explosion near a diver, or an uncontrolled ascent. Collapse or partial collapse of a scaffold over five meters high, or erected near water where there could be a risk of drowning after a fall. Dangerous occurrence at a pipeline. A dangerous substance being conveyed by road is involved in a fire or released. Unintended collapse of any building or structure under construction, alteration or demolition where over five tonnes of material falls, a wall of floor in a place of work, any false work. Explosion or fire causing suspension of normal work for over 24 hours. Sudden uncontrolled release in a building of 100kg or more of flammable liquid, 10kg of flammable liquid above its boiling point, 10kg or more of flammable gas, or of 500kg of these substances if the release is in the open air. Accidental release of any substance which may damage health. Note: This list has been abbreviated from RIDDOR 95 and the full list of Reportable Dangerous Occurrences can be obtained by contacting the Health and Safety Adviser on 331 8859. Although these definitions are very specific, serious incidents may happen at the University which are a cause for concern to the line manger/safety coordinator and they wish to draw it to the attention of the Health and Safety Adviser immediately. Such incidents should be dealt with as if they were a dangerous occurrence and the procedure described on page 5 should be followed for this purpose. 9.6 In this document a near miss excludes dangerous occurrences as defined above but includes any other event which did not cause injury, ill health or damage, but had the potential to do so. 9.7 Over 3 day injury describes an injury where a person is incapacitated for work for more than three consecutive days (excluding the day of the accident but including any days which would not have been working days) because of an injury resulting from an accident arising out of or in connection with work. 9.8 Reportable diseases include: Certain poisonings; Some skin diseases such as; occupational dermatitis skin cancer chrome ulcer oil folliculitis/acne Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 10
Lung diseases including; occupational asthma farmers lung pneumoconiosis asbestosis mesothelioma Infections such as; leptospirosis hepatitis tuberculosis anthrax legionellosis tetanus Other conditions such as; occupational cancer certain musculoskeletal disorder decompression illness hand arm vibration syndrome. Note: This list is not exhaustive and the full list of reportable diseases can be obtained by contacting the Health and Safety Adviser on 331 8859. Glasgow Caledonian University/Incident Reporting Policy Guidance and Procedures/H & S No.10/00.48 11