INCIDENT REPORTING PROCEDURE Company: [COMPANY NAME] Effective Date: [DATE] Review Date: [DATE] Procedure Number: IR-001 1. PURPOSE This procedure establishes a systematic approach for reporting, investigating, and documenting all workplace incidents, near-misses, and hazardous conditions to prevent recurrence and improve workplace safety. 2. SCOPE This procedure applies to all incidents occurring on company premises or during company-related activities, including: • Work-related injuries and illnesses • Near-miss events • Property damage incidents • Environmental releases • Security incidents • Fire or explosion events 3. DEFINITIONS Incident: Any unplanned event that results in or could have resulted in injury, illness, property damage, or environmental impact. Near-Miss: An incident that could have resulted in injury, illness, or damage but did not due to chance or timely intervention. Serious Incident: Any incident resulting in fatality, permanent disability, hospitalization, or significant property damage. 4. RESPONSIBILITIES All Employees: • Report incidents immediately • Provide accurate information • Cooperate with investigations • Follow corrective actions Supervisors: • Ensure immediate response to incidents • Conduct preliminary investigations • Complete incident reports • Implement corrective actions • Communicate with management Safety Department: • Coordinate incident investigations • Analyze incident trends • Develop corrective action plans • Maintain incident records • Report to regulatory authorities Management: • Provide resources for incident response • Review investigation findings • Approve corrective actions • Ensure regulatory compliance 5. IMMEDIATE RESPONSE PROCEDURES STEP 1: ENSURE SAFETY • Secure the incident scene • Provide first aid if needed • Call emergency services (911) if required • Evacuate area if necessary • Prevent further incidents STEP 2: NOTIFICATION Immediate Notification (Within 1 Hour): • Supervisor or manager • Safety department • Security (if applicable) • Emergency contacts for serious incidents Serious Incident Notification: • Senior management immediately • Regulatory authorities within required timeframe • Insurance company within 24 hours • Legal department if applicable STEP 3: PRESERVE EVIDENCE • Do not disturb incident scene • Take photographs if safe to do so • Collect physical evidence • Identify and interview witnesses • Secure relevant documents 6. INCIDENT REPORTING REQUIREMENTS WHEN TO REPORT: All incidents must be reported, including: • Any injury requiring first aid or medical treatment • Near-miss events with potential for serious consequences • Property damage exceeding $[AMOUNT] • Environmental releases • Security breaches • Equipment failures REPORTING TIMEFRAMES: • Immediate verbal notification: Within 1 hour • Written incident report: Within 24 hours • Investigation report: Within 5 working days • Final report with corrective actions: Within 10 working days WHO MUST REPORT: • Injured person (if able) • Witness to the incident • Person discovering the incident • Supervisor of affected area • Anyone with relevant information 7. INCIDENT REPORT FORM COMPLETION Required Information: • Date, time, and location of incident • Names of injured persons and witnesses • Detailed description of what happened • Immediate and contributing causes • Actions taken immediately after incident • Recommendations for prevention Report Quality Standards: • Use factual, objective language • Avoid speculation or blame • Include all relevant details • Use clear, concise descriptions • Attach supporting documentation 8. INCIDENT INVESTIGATION PROCESS INVESTIGATION TEAM: • Supervisor of affected area • Safety representative • Employee representative • Subject matter expert (if needed) • External investigator (for serious incidents) INVESTIGATION STEPS: 1. Gather information • Interview witnesses separately • Examine physical evidence • Review relevant procedures • Analyze work environment 2. Determine sequence of events • Create timeline of incident • Identify decision points • Map contributing factors 3. Identify root causes • Use systematic analysis methods • Consider all contributing factors • Avoid single-cause conclusions 4. Develop recommendations • Address root causes • Follow hierarchy of controls • Set implementation priorities • Assign responsibilities INVESTIGATION METHODS: • 5 Why Analysis • Fishbone (Ishikawa) Diagram • Fault Tree Analysis • Change Analysis • Barrier Analysis 9. ROOT CAUSE ANALYSIS CATEGORIES OF CAUSES: Immediate Causes (Unsafe Acts/Conditions): • Substandard practices • Substandard conditions • Personal factors • Job factors Basic Causes (Management System Failures): • Inadequate program standards • Inadequate program compliance • Personal factors • Job factors Root Causes (Management System Deficiencies): • Lack of management commitment • Inadequate safety standards • Insufficient training • Poor communication • Inadequate resources 10. CORRECTIVE ACTION DEVELOPMENT ACTION PRIORITIES: 1. Immediate actions (within 24 hours) • Prevent recurrence • Address immediate hazards • Provide temporary controls 2. Short-term actions (within 30 days) • Implement interim controls • Revise procedures • Provide additional training 3. Long-term actions (within 90 days) • Systematic improvements • Equipment modifications • Program enhancements CORRECTIVE ACTION PLAN: • Specific action description • Responsible person assigned • Target completion date • Resources required • Success measures • Verification method 11. FOLLOW-UP AND VERIFICATION TRACKING SYSTEM: • Action item database • Regular status updates • Milestone reporting • Completion verification EFFECTIVENESS VERIFICATION: • Workplace inspections • Employee interviews • Performance monitoring • Trend analysis CLOSURE CRITERIA: • All actions completed • Effectiveness verified • Documentation updated • Lessons learned captured 12. INCIDENT TREND ANALYSIS MONTHLY ANALYSIS: • Incident frequency rates • Severity trends • Common causes • Department comparisons • Corrective action status ANNUAL ANALYSIS: • Comprehensive trend review • Root cause patterns • Program effectiveness • Benchmark comparisons • Improvement opportunities REPORTING METRICS: • Total Recordable Incident Rate (TRIR) • Lost Time Incident Rate (LTIR) • Near-miss reporting rate • Days Away, Restricted, Transfer (DART) rate • Severity rate 13. COMMUNICATION AND TRAINING INCIDENT COMMUNICATION: • Safety meetings • Newsletters • Bulletin boards • Email alerts • Lessons learned sessions TRAINING REQUIREMENTS: • New employee orientation • Supervisor training on investigations • Annual refresher training • Incident-specific training • Root cause analysis training 14. CONFIDENTIALITY AND NON-RETALIATION CONFIDENTIALITY: • Protect personal information • Limit access to need-to-know basis • Secure storage of records • Proper disposal of documents NON-RETALIATION POLICY: • No punishment for good faith reporting • Protection for witnesses • Anonymous reporting options • Clear complaint procedures 15. REGULATORY REPORTING OSHA RECORDKEEPING: • 300 Log maintenance • 301 Incident Report forms • Annual summary posting • Record retention requirements EXTERNAL REPORTING: • Regulatory authorities • Insurance companies • Client notifications • Public reporting (if required) REPORTING CRITERIA: • Fatalities: Immediately • Hospitalizations: Within 24 hours • Amputations: Within 24 hours • Loss of eye: Within 24 hours 16. RECORDKEEPING INCIDENT RECORDS INCLUDE: • Incident report forms • Investigation reports • Witness statements • Photographs and evidence • Corrective action plans • Follow-up documentation RETENTION PERIODS: • Incident reports: [X] years • Investigation files: [X] years • Medical records: [X] years • Training records: [X] years STORAGE REQUIREMENTS: • Secure, confidential storage • Electronic backup systems • Access control procedures • Regular archive reviews 17. PROGRAM EVALUATION ANNUAL REVIEW: • Procedure effectiveness • Reporting compliance • Investigation quality • Corrective action completion • Training effectiveness CONTINUOUS IMPROVEMENT: • Benchmark against best practices • Incorporate lessons learned • Update procedures regularly • Enhance investigation techniques • Improve reporting systems Approved by: _________________ Date: _______ [SAFETY MANAGER] Reviewed by: _________________ Date: _______ [OPERATIONS MANAGER] Document Control: Version: 2.0 Next Review: [DATE] Distribution: All Departments