Health & Safety Policy Arrangements – Adverse Events (Accidents & Incidents) Post Event Reporting

Health & Safety Policy Arrangements

HSA07 (Ref. Code)

Version Control table

(to be included)

1.Purpose

These corporate arrangements setspecificstandards for thereporting (post event) and investigation of accidents and incidents in order that the objectives of the corporate health, safety and environmental policymay be achieved.

All colleges and professional service units (PSU) are required to report and investigate accidents and incidentsin accordance with these arrangements.

Swansea University has a duty to ensure that all hazards are controlled and that risk control measures are implemented to reducerisks to an acceptable level in order to prevent accidents and cases of ill health. When an adverse event occurs it is important to review whether control measures are adequate. It is possible to learn lessons from near misses that can in turn prevent costly accidents.

Swansea University is committed to recording and investigating adverse events to:

  • Comply with relevant legislation
  • Ensure that as an organisation, we are operating within the law
  • Identify deficiencies in risk control management and make improvements
  • Prevent further similar adverse events
  • Monitor statistics and identify trends

Certain incidents must be reported to the HSE within statutory time limits as a requirement of the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR).

All employees, students, contractors, visitors and others associated with the University are positively encouraged to report adverse events that arise out of the work of Swansea University. This includes work duties that may take place off campus e.g. meetings, visits or field trips.

Terms used within the arrangements:

Adverse event includes:

  • accident: an event that results in injury or ill health;
  • incident:

-near miss: an event that, while not causing harm, has the potential to cause injury or ill health. (includes dangerous occurrences) or damage to the environment;

-undesired circumstance: a set of conditions or circumstances that have the potential to cause injury or ill health, e.g.untrained members of staff handling heavy loadsor damage to the environment;

Dangerous occurrence: one of a number of specific, reportable adverse events, as defined in the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR). (Appendix 1)

Hazard: the potential to cause harm, including ill health and injury; damage to property, plant, products or the environment or increased liabilities.

Immediate cause: the most obvious reason why an adverse event happens, e.g the guard is missing; the employee slips etc. There may be several immediate causes identified in any one adverse event.

Environmental damage to any of the following

  • protected species or natural habitats, or a SSSI
  • surface water or groundwater
  • marine waters, which means damage to marine waters such that their environmental status is significantly adversely affected
  • land by means of contamination from substances, preparations, organisms or micro-organisms that result in a significant risk to human health

The Environmental Damage Regulations apply to serious environmental damage to land, water and to species and habitats. The Regulations aim to preventenvironmental damage to prevent, limit or remediateenvironmental damage. They apply to damage to protected species, natural habitats, sites of special scientific interest (SSSIs), water and land.

Likelihood that an adverse event will happen again:

certain:it will happen again and soon;

likely:it will reoccur, but not as an everyday event;

possible:it may occur from time to time;

unlikely:it is not expected to happen again in the foreseeable future;

rare:so unlikely that it is not expected to happen again.

Consequence:

Fatal

/ work-related death.

Dangerous occurrence

/ certain, specified ‘near miss’ events with the potential to cause harm.

Specified injury/ill health

/ including fractures (other than fingers or toes), amputations, loss of sight, a burn or penetrating injury to the eye, any injury or acute illness resulting in unconsciousness, requiring resuscitation or requiring admittance to hospital for more than 24 hours;

Over 7 day injuries

/ where the person affected is unfit to carry out his or her normal work for more than 7 consecutive days;

Over 3 day injuries

/ where the person affected is unfit to carry out his or her normal work for more than three consecutive days;

Injury to non-workers

/ work-related accidents involving members of the public who are not at work and are injured and taken to hospital for treatment to that injury;

Minor injury

/ all other injuries, where the injured person is unfit for his or her normal work for less than three days;

Damage only

/ damage to property, equipment or the environment.

Significant

/ significant adverse effect on reaching or maintaining the favourable conservation status of the protected species or natural habitat including following:
-damage or danger to the natural environment
-pollution of water or land
-illegal tree felling
-fish in distress or dead fish
-wildlife crime that has already been committed
-destruction of bat roosts
-blocked main watercourses, or other blockages that might pose a risk of flooding
-illegal dumping of hazardous waste or large amounts of industrial waste
-incidents involving odour and noise
-burning of any waste type, including asbestos
-damage to Sites of Special Scientific Interest
-illegal waste sites and unlicensed waste carriers
-sightings of invasive/non-native species
-spillage of special, hazardous or restricted substances (e.g. oil, detergent, paint)

Risk/Environmental Aspect: The level of risk is determined from a combination of the likelihood of a specific undesirable event occurring and the severity of the consequences (ie how often is it likely to happen, how many people could be affected and how bad would the likely injuries or ill health effects be)

Risk control measures: are the workplace precautions put in place to reduce the risk to a tolerable level.

Root cause: an initiating event or failing from which all other causes or failings spring. Root causes are generally management, planning or organisational failings.

Underlying cause: the less obvious ‘system’ or ’organisational’ reason for an adverse event happening, e.g pre-start-up machinery checks are not carried out; the hazard has not been adequately considered via a suitable and sufficient risk assessment etc.

Relevant person: any person outlined who is assigned responsibility in the reporting and investigation of adverse events

2.Legislation Requirements

2.1 Legislation

  • Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR)
  • Management of Health & Safety at Work Regulations 1999
  • Social Security Administration Act 1992
  • The Environmental Damage Regulations 2009

2.2 Guidance

HSG245 – Investigating Accidents and Incidents

3.Roles & Responsibilities & Responsibilities

In addition to the roles and responsibilities set out in the Health and Safety Policy, the following tasks will be required to managein accordance with these arrangements:

3.1Head of College/ Director of Professional Service Unit (PSU)

It is the responsibility of the Head of College/ Director of PSU to ensure that all adverse events and dangerous occurrences involving staff, students, visitors and contractors in their dept. and/ or property for which they have responsibility, are reported, investigated and corrective/ preventative action is identified, assigned and completed.

In order to fulfil this responsibility Heads of College/ Directors of PSUs must:

  • Ensure that the requirements and procedures for reporting adverse events and dangerous occurrences are adequately communicated throughout the College/ PSU, to staff, students, contractors and visitors and that procedures are followed.
  • Ensure that appropriate staff receive suitable training and can demonstrate competency to carry out their role in adverse event and dangerous occurrence reporting, investigation and recording;
  • Liaise, where appropriate, with the Safety, Health & Environment team and management within other Colleges/ PSUs in relation to adverse event investigations.
  • Review adverse events reports for the College/ PSU, indicate the status of recommendations and ensure their effectiveness.
  • Ensure, so far as reasonably practicable, that adequate financial provision is made available to complete actions resulting from adverse event investigations.
  • Ensure that records of adverse events together with the progress of recommended corrective/ preventative action are maintained and stored appropriately.

3.2Managers/ Iine manager roles

Managers and supervisors must:

  • Ensure they are aware of the requirements and procedures for the reporting of adverse events and dangerous occurrences at the University of Swansea.
  • Ensure that members of staff and students within their areas of responsibility are aware of the University’s requirements and procedures for reporting adverse events and dangerous occurrences.
  • Ensure that any adverse event or dangerous occurrence they are aware of is reported within 2 days,investigated and recorded in line with procedures using the online reporting form.
  • Cooperate with any adverse event or dangerous occurrence investigation.
  • Ensure that corrective and preventative actions identified following an investigation are implemented and reviewed to ensure their effectiveness.
  • Familiarise themselves with RIDDOR reporting requirements and procedures to ensure the Safety, Health and Environment team are informed as soon as possible.
  • Report all environmental adverse events to the Safety, Health and Environment team within the University, who will then contact Natural Resources Wales after assessing the severity of the event and resulting damage.
  • Report the outcomes of investigations to the Head of College/ Director of PSU and College/ PSU H&S Management Steering Group.

3.3Health and Safety/ EMS Coordinator (College/ PSU)

The role of the Health and Safety/ EMS Co-ordinator is to facilitate and co-ordinate reporting, recording and investigation of adverse events by:

  • Informing the relevant members of staff of reporting and investigation requirements in line with procedures
  • Immediately notifying the Safety, Health and Environment team following the occurrence of a notifiable adverse event and ensuring the report is submitted within 2 days.
  • Depending on the level of severity, in line with the procedures, leading or assisting with investigations and providing technical input
  • Advising the Manager/ Supervisor who is participating in the investigation on requirements for the report and assisting in the preparation and circulation of the report
  • Attending the College/ PSU SHE Management Steering Group to report on adverse events and investigations.
  • Providing advice to the College/ PSU SHE Management Steering Group on any proposed changes that may arise from investigations.

3.4Safety, Health & Environment team

The Safety, Health and Environment team ensure that requirements and procedures for the reporting of adverse events and dangerous occurrences are reviewed, updated and adequately communicated throughout the University to staff, students, contractors and the public.

The team are responsible for:

  • Reporting all notifiable incidents to the relevant statutory authorities and assist with any subsequent enquiries or investigations
  • Notifying the Deputy Director of Safety, Health and Environment and Director of Estates & Facilities Managementof adverse events and dangerous occurrences in line with procedures
  • Notifying Occupational Health and HR of injuries sustained by employees in line with procedures
  • Notifying the University Insurance Officer - Finance dept in relation to adverse events and dangerous occurrences as appropriate
  • The review and endorsement of the level of investigation required by Colleges/ PSUs
  • Taking the lead in investigating or advising on investigations, in line with procedures, any adverse events occurring on the University premises or arising out of the work of the University
  • Liaising, where appropriate with line managers and supervisors in Colleges / PSUs in relation to investigations.
  • Monitoring the adequacy of investigations undertaken and the appropriateness and effectiveness of the corrective/ preventative actions recommended
  • Reviewing the implementation and effectiveness of recommended corrective/ preventative actions from previous adverse events
  • Disseminating relevant information arising from adverse event investigations to Colleges/ PSUs including Occupational Health, HR and Finance, as appropriate
  • Providing periodical statistic returns to College/ PSU SHE Steering Management Steering Groups and SHE Committee
  • Providing advice on corrective/ preventative action recommended and/ or make further recommendations as necessary
  • Reviewing the level of investigation required by Colleges/ PSUs and
  • Ensuring records are kept of all adverse events and dangerous occurrences reported through the University’s reporting procedure

3.5Security

Security are responsible for receiving emergency ‘333’ calls. Where the emergency call relates to an adverse event (level 1 or 2)including a fatality, major environmental leak or emission or RIDDORspecified injury or dangerous occurrence reportable to statutory authorities, the Incident Management Plan will be initiated.

Adverse events that take place outside of normal working hours and are attended to by security must be reported in line with procedures. Reports must be made within 2 days of the adverse event to SHE and the relevant College/ PSU H&S and/ or EMS Coordinator via the online reporting form.

3.6HR and Occupational Health

To maintain effective communication with the Safety, Health and Environment team in relation to notifying:

  • Absence from work of any member of staff of 7 days or more following injury in the workplace or in the course of carrying out work duties
  • Cases of reportable occupational illness and illnesses that have been caused by workplace activities

3.7Employees

All Swansea University employees shall:

  • Ensure they are aware of the requirement and procedures for reporting adverse events
  • Ensure any adverse eventthey are aware of is reported through the appropriate procedures
  • Cooperate fully with any investigation

3.8Contractors

Contractors undertaking work for Swansea University on university premises should make reports of adverse events through Swansea University procedures as well as their own. Contractors could include those brought in by Estates and Facilities Management, Student Union, retail outlets on campus, delivery drivers, contract cleaners etc.

3.9Student Union

The student’s union shall:

  • Ensure they are aware of the requirement and procedures for reporting adverse events
  • Ensure any adverse event they are aware of is reported through the appropriate procedures
  • Cooperate fully with any investigation

3.10Students

Students shall:

  • Ensure they are aware of the requirement and procedures for reporting adverse events
  • Ensure any adverse event is reported through the appropriate procedures
  • Cooperate fully with any investigation

3.11Visitors

If any visitor to the university is involved in an adverse event it should be reported by a member of Swansea University staff using the appropriate procedures.

4.General Arrangements & Working Practices

4.1What should I report and in what timescales?

All adverse events must be reported post event and include:

4.1.1Incidents or injuries to staff, students, contractors and visitors whilst in university owned or occupied buildings and grounds.

4.1.2Incidents or injuries to staff, students, contractors and visitors sustained whilst engaged in University activities.

4.1.3Incidents involving environmental damage to land, water, protected species, natural habitats, sites of special scientific interest (SSSIs), noise levels within local communities that exceed regulatory limits and that result from any activity undertaken by the university.

4.1.4Ill-health that has been caused by, or made worse by work, as reported by a GP

Adverse events can be reported in two ways:

Quick report form: the quick report form is available on the SHE website and can be used to report hazards or concerns e.g.trip hazard. It can also be used to provide an initial quick report for any low level adverse events (level 3 and 4) outlined in section 4.2.2 before the full adverse report form is completed. Any hazards that present a risk to anyone should also be reported to the estates helpdesk for rectification.

Adverse report form: an electronic adverse report form is available on the SHE website and is also available in a word doc format if required. The preferred method for reporting is via the electronic report form. This form should be completed for all adverse events resulting in an injury or damage to the environment.

Timescales: All reports should be made to your line manager as soon as practicably possible following the event. An adverse event form must be completed using the adverse event e-form on the University website within 2 days of the adverse event occurring.

If the adverse event is likely to become RIDDOR reportable it should be reported within 2 days by the line manager. If full details of what happened during the adverse event are not available, the quick adverse event e-form can be completed until more details can be established. The important thing is that the adverse event is reported.

The adverse event should not be reported via the e-form on the website if it is ongoing and requires emergency assistance. If emergency assistance is required the emergency plans/ procedures relating to the event should be initiated and/ or call ‘333’ for Security involvement and to invoke the University Incident Management Plan.

4.2What should I do following an adverse event

All Colleges/ PSUs must have written emergency procedures relevant to the hazards associated to the tasks and activities undertaken.

4.2.1Emergency response

The initial immediate action to take will depend on the severity of the situation. Local emergency procedures should be initiated. The adverse event report levels correspond to the seriousness of the event. If the event is serious (level 1 or level 2) and the emergency number 333 has been called the Incident Management Plan will initiate and the emergency response and investigation will be coordinated by the Incident Management team.

4.2.2Initial report

Preserve the scene (where appropriate) and report: (new quick report form and online report)