ENVIRONMENTAL HEALTH FOOD AND SAFETY TEAM HEALTH AND SAFETY

APPENDIX 5

ENVIRONMENTAL HEALTH

FOOD AND SAFETY TEAM

HEALTH AND SAFETY ENFORCEMENT PROCEDURES

ACCIDENT INVESTIGATION Reference: HS1 Issue No. 1. Date Authorised 16th July 2003 Authorised by E&LS Issued to Food and Safety Manager Author Daryl Littlejohns Review Date Reviewed 2/2006 Address: H:/sections/commercial /policy documents/H&S accident procedures.

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Date of issue 16th July 2003 Issue No.

TORRIDGE DISTRICT COUNCIL FOOD AND SAFETY TEAM

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TABLE OF AMENDMENTS...............................................................................................................3 1.0 LEGISLATION.........................................................................................................................3 2.0 REPORTABLE ACCIDENTS..................................................................................................3 3.0 ACCIDENT NOTIFICATION METHODS .............................................................................3

3.2 Telephone Notification..................................................................................................4 3.3 Facsimile and Postal Notifications ................................................................................4 3.4 Electronic Notification ..................................................................................................4

4.0 INCIDENT NOTIFICATIONS RECEIVED AFTER THE PRESCRIBED REPORTING TIMESCALES. .....................................................................................................................................5 5.0 INCIDENT INVESTIGATION SELECTION PROCEDURES ..............................................5 6.0 APPLICATION OF SELECTION CRITERIA FOR ACCIDENT ETC INVESTIGATION..6 7.0 FATALITIES ............................................................................................................................6 8.0 MAJOR INJURIES ...................................................................................................................6 9.0 DISEASES ................................................................................................................................6 10.0 FURTHER CONSIDERATIONS .............................................................................................6 11.0 RECEIPT OF ADDITIONAL INFORMATION......................................................................7 12.0 OVER THREE DAY INCIDENTS ..........................................................................................7 13.0 CIRCUMSTANCES ALLOWING DISCRETIONARY SELECTION...................................8 14.0 CRITERIA THAT MAY PREVENT AN INVESTIGATION.................................................8 15.0 INVESTIGATION OF ACCIDENT.........................................................................................8 16.0 AT THE SCENE OF THE ACCIDENT ...................................................................................9 17.0 ADMINISTRATION ................................................................................................................9 18.0 DISCLOSURE OF INFORMATION .....................................................................................10 19.0 COURSE OF ACTION BY LOCAL AUTHORITY..............................................................11 20.0 REFERENCES........................................................................................................................11 APPENDIX 1 ......................................................................................................................................12 ACCIDENT INVESTIGATION SELECTION CRITERIA...............................................................12 APPENDIX 2 ......................................................................................................................................14 Flow Diagram of Accident Investigation ............................................................................................14 INCIDENT INVESTIGATION SELECTION CRITERIA OVER 3 DAYS .....................................15

TABLE OF AMENDMENTS

REFERENCE DATE DESCRIPTION AUTHOR

15.3

4/5/04

National Care Standards Agency (NSCA). The officer should be minded to the memorandum of understanding between LA’s and the NCSA in terms of enforcement responsibility.

Daryl Littlejohns, SCSO

ACCIDENT INVESTIGATION 1.0 LEGISLATION 1.1 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 requires

an employer, self-employed or person in control of work premises to report some work related accidents, diseases and dangerous occurrences. It is applicable if a member of the public is killed or taken to hospital. It applies to all work activities.

1.2 The person responsible for reporting the accident, disease or dangerous occurrence must

notify the appropriate enforcing authority for health and safety. The report should be made to the Incident Contact Centre but reports direct to the Authority should be accepted and forwarded to that organisation (HSE Leaflet – RIDDOR Reporting (Misc 31 (rev 1)).

2.0 REPORTABLE ACCIDENTS 2.1 The Regulations define those accidents, diseases and dangerous occurrences that shall be

reported. They are defined as:

* death or major injury; * over three day injury; * disease; * dangerous occurrence; * member of the public is killed or taken to hospital.

2.2 Health and Safety Executive leaflet titled “RIDDOR Explained” H.S.E. 31(rev. 1) which includes the report form (F2508) is available to be provided to the person responsible for reporting accidents etc.

2.3 The person who is responsible for reporting the accident must complete the F2508, it is not

the responsibility of the Enforcing Authority. 2.4 All accidents reported to the Council which are within our enforcement remit will be entered

onto the EH System upon receipt by the Administration Support Officer. This will be the record of notification for recording actions and producing reports.

3.0 ACCIDENT NOTIFICATION METHODS

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3.1 Accidents etc. may now be reported by telephone, facsimile, and post or electronically on the Incident Contact Centre web-site.

3.2 Telephone Notification 3.2.1 The officer receiving the telephone call shall record details including where and when the

accident occurred, the extent of the injury and the name and position of the person reporting it.

3.2.2 The officer shall advise that the accident etc. must also be reported within 10 days to the

Incident Contact Centre. The Health and Safety Executive “RIDDOR Explained” and ‘RIDDOR Reporting’ leaflets may be distributed.

3.2.3 The recorded information shall be referred to the investigating officer. 3.2.4 If the accident is fatal, the investigating officer shall contact Devon and Cornwall Police on

0990 777444 to register the incident. 3.3 Facsimile and Postal Notifications 3.3.1 The F2508 shall be photo-copied and the copy sent to:

The Incident Contact Centre Caerphilly Business Park CAERPHILLY Cardiff CF83 3GG

3.3.2 The F2508 shall, after entry on the EH System in accordance with 2.4, be referred to the

investigating officer to determine appropriate action. 3.4 Electronic Notification 3.4.1 Each enforcing authority has been allocated a user identification code and password to access

the Incident Contact Centre web-site. This enables designated officers to access the web-site to retrieve reportable accidents etc. in the authority’s area. The passwords shall be changed if an officer leaves the Council's employment or if it has been disclosed to a third party or if unauthorised access has or it is considered may be gained to the web site.

3.4.2 If the reported accident notification is outside of the Council’s area or the premises is the

enforcement responsibility of the Health and Safety Executive it shall be re-allocated electronically to the appropriate agency to the appropriate agency.

3.4.3 Notifications within this council’s enforcement remit shall be accepted, entered onto the EH

system in accordance with 2.4 and printed off to be passed to the relevant Service Officer. 3.4.4 The Incident Contact Centre website will be checked each working day by the

Administration Support Officer




4.0 INCIDENT NOTIFICATIONS RECEIVED AFTER THE PRESCRIBED

REPORTING TIMESCALES. 4.1 If an incident is reported after the period of 10 days or as prescribed in the Regulations then

the "incident investigation selection procedure" should still be followed and appropriate action taken. The person who has notified the enforcing authority shall be advised in writing by the Enforcing Authority of the requirements to report incidents within a prescribed time period.

5.0 INCIDENT INVESTIGATION SELECTION PROCEDURES 5.1 Criteria for selecting incidents for investigation should target effort at the more significant

events, but not so as to distort the overall balance of resource between preventive and reactive work.

5.2 Criteria for selecting injuries, ill health and dangerous occurrences for investigation

should:

(a) Ensure that 100% of all reported fatalities are investigated except when circumstances indicate that investigation is not appropriate e.g. death from adult trespass, unless management failure is indicated; death from natural causes unrelated to work activity.

(b) Take account of:

* actual and potential severity of the event;

* seriousness of potential breach; * track record of duty holder;

* enforcement priorities, political factors, public expectations aversion to the risk;

* practicality of achieving results; * relevance of event to a wider range of premises;

* legal factors; * resource constraints.

Criteria can also relate to the judgements that are made about immediate or underlying causes, including deficiencies in the:

* premises or place of work;

* plant, equipment and substances involved; * systems and methods of work, written procedures or controlling

documentation; * behaviour of persons;

* risk assessment methods; * allocation of responsibilities, sufficiency of supervision; * provision of information, instruction and documentation; * selection of staff, adequacy of training and health surveillance;

* adequacy of professional health and safety advice; * arrangements for monitoring, auditing and reviewing performance.




5.3 Investigation may be made by telephone where it is cost effective. However, telephone enquiries to ascertain more facts to reach a decision about whether to investigate are not counted as investigations.

6.0 APPLICATION OF SELECTION CRITERIA FOR ACCIDENT ETC

INVESTIGATION 6.1 Where the following fatalities, major injuries, diseases etc. are reported they shall be

investigated.

7.0 FATALITIES 7.1 All fatalities as a result of an accident arising out of or in connection with work activities.

This specifically excludes suicides and deaths from natural causes as advised by the Coroner. See HELA circular 22/16 for Health and Safety Executive’s consideration of investigation of work related road traffic incidents.

8.0 MAJOR INJURIES 8.1 The following RIDDOR defined major injuries to all persons, including non-employees,

irrespective of cause: * all amputations of digit(s) past the first joint;

* amputation of hand/arm or foot/leg; * serious multiple fractures (more than one bone, not including wrist or ankle);

* crush injuries leading to internal organ damage (e.g. ruptured spleen); * head injuries involving loss of consciousness;

* burns and scalds greater than 10% of the surface area of the body; * permanent blinding of one or both eyes;

* any degree of scalping; * asphyxiation’s.

All incidents which result in a RIDDOR defined major injury in the following categories: * workplace transport incidents;

* electrical incidents; * falls from a height of greater than 2m;

* any incident which arose out of working in a confined space. 9.0 DISEASES 9.1 All reports of cases of disease that meet the criteria of reportability under RIDDOR, except

those arising from circumstances/situations which have already been investigated. 10.0 FURTHER CONSIDERATIONS 10.1 Consideration shall also be given to circumstances of an accident etc. and a judgement made

by the investigating officer as to the seriousness of the incident.

Public Concern




All incidents likely to give rise to serious public concern. This reflects the views of the public at large not just those of an individual. Give particular consideration to incidents involving children, vulnerable adults, and multiple casualties where the outcome or potential outcome or breach is serious.

Breach of Health and Safety Law

Any incident where there is likely to have been a serious breach of health and safety law. If the incident meets the selection criteria the following information shall be recorded:

* that the incident is to be investigated; * date of selection decision;

* name of investigating officer; * comments. The investigating officer shall ensure that the investigation is undertaken and records maintained in an appropriate manner.

If the selection criteria is not met and an investigation is not to be undertaken then the following shall be recorded:

* the incident is not for investigation;

* initials of officer; * date.

11.0 RECEIPT OF ADDITIONAL INFORMATION 11.1 Additional information may be received at a later date such as, letters from solicitors, injured

persons or others about incidents involving fatal and major injuries which have been notified previously and which have not been investigated. These will be attached to the original notification, where available, and passed to the appropriate officer for consideration and application of the selection criteria.

11.2 The investigating officer shall respond to the additional information as appropriate and

record action taken. 12.0 OVER THREE DAY INCIDENTS 12.1 The investigating officer shall apply the following selection criteria to over three-day

incidents to determine if an investigation is necessary:

Public Concern All incidents likely to give rise to serious public concern. This reflects the views of the public at large not just those of an individual. Give particular consideration to incidents involving children, vulnerable adults, and multiple casualties where the outcome or potential outcome or breach is serious.

Breach of Health and Safety Law




Any incident where there is likely to have been a serious breach of health and safety law.

13.0 CIRCUMSTANCES ALLOWING DISCRETIONARY SELECTION 13.1 Any incident where the investigation contributes to a Health and Safety Commission Priority

Programme or local health and safety awareness campaigns identified by the local authority or the Devon Chief Environmental Health Officers Health and Safety (Enforcement) Sub Group. Any incident which involves new process or plant which could enhance the local authority’s knowledge.

Training of investigating officer.

13.2 Each incident shall be assessed by the investigating officer against the selection criteria and the appropriate action recorded.

14.0 CRITERIA THAT MAY PREVENT AN INVESTIGATION 14.1 The following circumstances may prevent an incident being investigated:

* inadequate resources due to other priorities – in this circumstances the incident must be referred to the Commercial Services Manager;

* impracticability of investigation, e.g. unavailability of witnesses or evidence or disproportionate effort would be required;

* no reasonably practicable precautions available for risk reduction. * the death is from natural causes and is not related to a work activity.

15.0 INVESTIGATION OF ACCIDENT 15.1 The officer must investigate the accident etc. as soon as possible after the event.

15.2 The injured person (if possible) should be contacted within 5 working days having regard to

his/her condition to confirm the accident and facts. A formal statement may be taken if appropriate. If a fatality has occurred a visit to the scene shall be made within 24 hours or sooner if Police Officer requests attendance.

15.3 If the injured person is a resident of a care home then initial contact shall be with the

homeowner and the National Care Standards Agency (NSCA). The officer should be minded to the memorandum of understanding between LA’s and the NCSA in terms of enforcement responsibility.

15.4 It may be necessary to obtain evidence from emergency staff i.e. Police, Fire Authority,

Accident and Emergency Unit. Such information may be sensitive and the appropriately authorised officer may need to use the provisions of the Health and Safety at Work Etc. Act 1974 to obtain all the information necessary for the purposes of the investigation.




15.5 At the scene of the accident all known witnesses should be interviewed. Officers must be sensitive when interviewing and a record made of the information given.

15.6 The investigating officer shall meet the requirements of the Police and Criminal Evidence

Act, which shall be followed when obtaining information and conducting interviews. 16.0 AT THE SCENE OF THE ACCIDENT 16.1 The purpose of the investigation is to prevent a similar recurrence or further injuries. The

investigation is not for the purposes of assigning blame. The investigating officer may be accompanied where applicable by a senior officer or by a third party engaged by the Council to assist in the investigation.

16.2 The investigating officer shall, where appropriate, contact the appointed safety representative

under the Safety Representations and Safety Committees Regulations 1977 where that person represents the employee(s) concerned.

16.3 The following facts should be established:

* general environment * plant and machinery involved * sequence of events * training, supervision and experience of employees * system of work and procedures. * take photographs * draw sketches and take measurements * seize any relevant articles * any other relevant information.

16.4 At all times during the investigation the officer must have regard to his/her own health and

safety and that of other persons who may accompany them. Other parties who are requested to accompany the investigating officers may not be aware of the dangers etc. Regard shall also be given to officers working alone and their health and safety. If possible contact should be made and maintained with another officer or the office.

16.5 Officers must not:

(a) Enter a potentially hazardous area where PPE is required, if they are not wearing the appropriate apparatus.

(b) Touch any electrical equipment until they are sure it is not live. (c) Enter a situation with poor lighting conditions if a potential hazard exists. (d) Operate machinery themselves and only permit its operation/demonstration by others

if satisfied that it is properly guarded. (e) Enter a premises/situation if unsure of the hazards and to seek further advice. (f) Use a mobile telephone where this may pose a risk i.e. confined space, chemical leak

etc. 17.0 ADMINISTRATION




17.1 Where appropriate, consultation should take place with the lead authority for health and safety and the Enforcement Liaison Officer at the Health and Safety Executive, to ensure a consistent approach and to determine if any action taken may affect other local authorities nationally.

17.2 The investigation shall be documented by the officer and referred to the Commercial

Services Manager to determine further action. THE COUNCIL’S ENFORCEMENT POLICY SHALL BE UTILISED.

17.3 Following the determination of further action, legal proceedings shall be instigated and the

parties advised in writing of the course of action and outcome of the investigation itself. 17.4 The decision shall be recorded and the details and investigation documentation filed. 18.0 DISCLOSURE OF INFORMATION 18.1 In some circumstances it may be necessary to disclose information and documents to other

parties i.e. solicitors for the injured person to make a personal injury claim or following a death arising from an accident.

18.2 Under the Health and Safety at Work Etc. Act 1974 (Section 28) certain documents may be

voluntarily disclosed to other parties in proceedings. The documents that can be released are:

1. Relevant factual material in an investigation (this would include F2508). 2. Any relevant drawings or sketches. 3. Results of any relevant tests or sampling. 4. Any relevant photographs. 5. Relevant advice sent before or after the accident.

18.3 Section 28 of the Health and Safety at Work Etc Act 1974 says that the information obtained

1. Should only be used for the purpose of the investigation. 2. Factual information should only be provided following a written request. 3. Factual information can be released to an employer or their representative about

health, safety and welfare relating to those premises. This would include any action that the local authority has taken or proposes to take or in connection with those premises.

4. Information can be released to the injured party or their representative as a written statement of relevant facts.

18.4 It should be noted that the agreed category does not include documents that involve or relate

to:

1. Criminal proceedings (including appeals) or to appeals to employment tribunals. 2. Matters of national security or national interest. 3. Matters of commercial or medical confidence, and 4. Matters where disclosure could impair Local Authority effectiveness in maintaining

or improving standards of safety, health or welfare. In this regard, non-departmental documents, e.g. the investigation report or photographs provided by the occupier of




the premises investigated should not be voluntarily disclosed under this policy without the consent of the originator.

18.5 This policy is limited to the disclosure of such documents and a Court Order will be

necessary in every other case. 18.6 Disclosure of information shall only take place where:

* a request for information is made in writing or * after the commencement of legal proceedings.

18.7 If existing relevant documents include statements of witness other than the applicant, the

officer should write and inform the witness that an application has been made for the disclosure of their statements and enquire whether the witness consents to the disclosure. Statements of witness can only be provided with the consent of the witness.

18.8 If the officer has no relevant documents, the applicant should be so informed.

19.0 COURSE OF ACTION BY LOCAL AUTHORITY 19.1 The local authority shall monitor and review its current procedures and documentation

following: -

* a complaint; * provision of new or additional guidance from HELA or other organisations; * 10% of the incident notifications shall be sampled and reviewed by the Food and

Safety Manager to ensure that the appropriate procedures have been followed. 19.2.1 Any amendments made shall be documented and all health and safety officers advised

accordingly. 20.0 REFERENCES 20.1 Legislation - Health and Safety at Work Etc. Act 1974

- Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995

- Safety Representatives and Safety Committees Regulations 1977 - Police and Criminal Evidence Act 1984 20.2 Guidance: - LAC Number 22/13 Incident Investigation Selection Procedures

- LAC Number 72/7 New Arrangements for Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) from 1st April 2001




APPENDIX 1 ACCIDENT INVESTIGATION SELECTION CRITERIA

The following shall be investigated: (A) Defined Circumstance YES NO 1. Fatality Fatality arose out of, or in connection with, work activity. 2. Major Injury

The following RIDDOR defined major injuries to all persons, including non-employees, irrespective of cause: YES NO All amputations of digit(s) past the first joint;

Amputation of hand/arm or foot/leg;

Serious multiple fractures (more than one bone, not including wrist or ankle);

Crush injuries leading to internal organ damage (e.g. ruptured spleen);

Head injuries involving loss of consciousness;

Burns and scalds greater than 10% of the surface area of the body;

Permanent blinding of one or both eyes;

Any degree of scalping;

Asphyxiations.

YES NO 3. All incidents which result in a RIDDOR defined major injury in the following categories:-

Workplace transport incidents; Electrical incidents; Falls from a height of greater than 2m; Any incident, which arose out of working in a confined space.




4. Diseases All reports of cases of diseases that meet the criteria of reportability under RIDDOR, except those arising from circumstances/situations which have already been investigated.

YES NO (B) Circumstances requiring Judgement as to Seriousness 5. Public concern; 6. Breach of Health and Safety Law. (Was the accident reported under RIDDOR)? 7. Does the business have a good safety record? (C) Circumstances allowing discretionary selection 8. Any incident where the investigation contributes to an HSC

Priority Programme, e.g. manual handling, slips, trips and falls.

9. Any incident which involves new processes or plants which

could enhance local authorities’ knowledge.

10. Training of inspectors. 11. Premises Inspected within last 2 years/due date?( ) Comments: (D) Additional information received? Date of application of selection criteria: Date of receipt of additional information: YES NO Incident to be investigated: If “NO”, please state reason: Signed: (Invest. Officer) ____________________________ Date: _____________________ Signed: (F&SM) __________________________________ Date: _____________________




APPENDIX 2 Flow Diagram of Accident Investigation

Accident Notification

Additional Information

Received

Record Information on database

Apply Incident Investigation

Selection Criteria

Selection criteria not met - Selection criteria met -

Record details on file Record decision

Contact injured person within

5 working days

Interview other parties

Visit scene/gather data

Document investigation and record outcome




INCIDENT INVESTIGATION SELECTION CRITERIA OVER 3 DAYS

This form is only applicable to incidents over 3 days:- YES NO

Over 3 day injury

Has the incident been identified as one of the priorities, i.e. HELA, HSC, local priorities, etc?

Has the premises received a health and safety inspection within the last 2 years? Does the organisation have a good safety record? Comments: Public concern Breach of Health and Safety Law Comments: YES NO Additional information received? Date of application of selection criteria: Date of receipt of additional information: YES NO




Incident to be investigated: If “NO”, please state reason: Signed: (Invest. Officer) ____________________________ Date: _____________________ Signed: (F&SM) __________________________________ Date: _____________________

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