• Section 1 - Background and Purpose
• Section 2 - Scope
• Section 3 - Policy Statement
• Section 4 - Procedure
• Responsibilities
• Notifiable Incident Reporting
• Preservation of Notifiable Incident Site
• Incident Investigation and Documentation
• The Investigation Process
• Section 5 - Definitions

Section 1 - Background and Purpose

(1) All incidents and injuries must be reported to the University as soon as practicable to ensure managers and supervisors are aware of the occurrence and preventative action can be put in place to prevent recurrence. 

(2) The purpose of this Procedure is to describe the University’s incident reporting and recording requirements and the process for accident/incident investigation. The following Procedure specifies who is responsible for reporting, recording and investigating of incidents, and the process to report hazards / incidents.

Section 2 - Scope

(3) Refer to the Health and Safety Policy.

Section 3 - Policy Statement

(4) Refer to the Health and Safety Policy.

Section 4 - Procedure

Responsibilities

(5) Heads of Schools, Divisional Directors and Leadership Teams are responsible for:

1. Reviewing all notifiable incident reports and corrective /preventative actions brought to their attention in consultation with affected employees to determine that appropriate preventative actions are resourced and implemented.
2. Ensuring managers and supervisors are aware of reporting requirements. 
3. Intervening in situations where there is an immediate or continuing threat to the health and safety of persons within their area of management and control, to ensure the threat is controlled. This may involve directing that certain work activities cease or isolating an area until the appropriate controls have been implemented.
4. Ensuring appropriate resources are maintained for injury management. 

(6) Area Managers and Supervisors are responsible for:

1. Receiving and responding to incident reports relating to matters under their management/supervision.
2. Investigate the incident.  
3. Ensuring corrective and preventative actions are implemented and documented in a timely manner.
4. Reporting on incidents to Head of Area.
5. Informing the appropriate University Office immediately after a notifiable incident of dangerous occurrence has occurred (See Section 2-Notification incident reporting)
6. Ensuring the incident site (where incident notifiable) is left undisturbed until an inspector can view the site.

(7) All employees are required:

1. to report incidents as soon possible after the incident / near miss has occurred.

(8) La Trobe Health, Safety and Environment is responsible for:

1. phone and written notification to WorkSafe following notifiable incidents and dangerous occurrences.
2. maintaining the Register of Incidents.
3. reviewing “Preventative Action” on incident reports and undertaking further investigation as necessary in consultation with the supervisor Head of School or Divisional Manager.
4. Incident Notification records.

(9) The Security Office is responsible:

1. for phone notification to Victorian WorkCover Authority (WorkSafe) of notifiable incidents and dangerous occurrences that occur after hours and for informing the La Trobe Health, Safety and Environment at the beginning of the next business day.

Notifiable Incident Reporting

(10) All notifiable incidents must be reported to VWA (WorkSafe) in accordance with regulatory requirements.

(11) Failure to comply, and any subsequent prosecution, can lead to fines, for each offence.

(12) The Head of School or Divisional Director must inform the appropriate office below immediately a notifiable incident or dangerous occurrence has occurred, who will then report the matter to VWA (WorkSafe). This also applies to notifiable incidents or dangerous occurrences that occur after hours or off-campus.

(13) All campuses and all hours (and if the above offices cannot be contacted)

(14) Bundoora Security Telephone 9479 2222 (emergency) or 9479 2012 La Trobe Health, Safety and Environment or the Security Office shall notify the VWA( WorkSafe) immediately after becoming aware of the notifiable incident on 132 360 (all Victoria) and obtain a reference number.(To be included on the Notification form). 

(15) Note: WorkSafe will advise whether the incident site must be left undisturbed until an inspector can view the site.

(16) A University Incident Report (and a detailed written report if appropriate) must be completed and forwarded to La Trobe Health, Safety and Environment within 48 hours of the incident occurring.

(17) La Trobe Health, Safety and Environment will provide written details of the incident to WorkCover Authority within 48 hours of the incident, using the WorkCover Notifiable Incident Report Form. Incident Notifications are to be retained for 5 years.

Preservation of Notifiable Incident Site

(18) Unless directed otherwise by a WorkCover inspector at the time of notification, the scene of an incident must not be disturbed before a WorkCover inspector arrives. An exemption to this is when the site must be disturbed (or made safe) for the purpose of protecting the health and safety of a person, aiding an injured person involved in an incident or taking action to make the site safe or to prevent a further occurrence of an incident.

Incident Investigation and Documentation

(19) When an incident / hazard has been reported an investigation to the causes must take place within 24 hours of the event by the relevant manager / supervisor of the area. 

(20) When investigating the incident/hazard all events leading up to the incident should be reviewed. An effective investigation will look for the design, environmental and behavioural components of an incident and not look for a single cause. The investigation should:

1. Identify causes, such as design, environment, behavioural or management factors
2. Identify problem areas or particular hazards
3. Recommend corrective action
4. Provide information that can be used as a preventative tool
5. Provide management, supervisors, health and safety representatives and committees with data about health and safety problems
6. Provide information that can be used to analyse the need for training programs
7. Provide information to assist with the preparation of compensation claims. 

(21) All investigations must be documented and preventative controls put in place.

(22) La Trobe Health, Safety and Environment will investigate/assist in investigation of all notifiable incidents and dangerous occurrences in consultation with the area managers.

The Investigation Process

(23) Step 1:  An immediate inspection of the site should be conducted. This inspection should provide an objective assessment of the severity of the incident both in human and financial terms. 

(24) Step 2:  Establishment of the events leading up to the incident. These may include:

1. What was the system of work being carried out?
2. What were the instructions given for the work?
3. Were there any variations from instructions or safe work systems?
4. What were the workplace conditions such as lighting, floor surface, stair treads, warning signs, weather conditions if the incident occurred outside?
5. What was the exact location of the incident?
6. What materials were used or handled?
7. What type of transport or equipment used?

(25) Step 3:  Facts of the incident itself

1. The state of the systems and the actions that occurred at the moment of the incident.
2. Who were the persons directly involved and those involved at a distance, if any?
3. What tools, equipment, material and fixtures were directly concerned?
4. The time of the incident.

(26) Step 4:  Relevant facts of what occurred immediately after the incident

1. The injury or damage directly resulting from the incident
2. The events leading to consequential injury or damage
3. The persons involved, including those rendering first aid
4. Any problems in dealing with the injuries or damage such as no method for releasing a trapped person, a faulty extinguisher, isolation switch difficult to locate.

Section 5 - Definitions

(27) For the purpose of this Procedure:

1. Hazard: A hazard is a source of potential harm to people or a situation with potential to cause injury or loss to plant, property or equipment.
2. Incident: An incident is an unplanned event, which may or has lead to injury to persons or damage to property or equipment
3. Notifiable Incident: An incident which results in:
   1. The death of any person; or
   2. A person requiring medical treatment within 48 hours of exposure to a substance; or
   3. A person requiring immediate treatment as an in-patient in a hospital; or
   4. A person requiring immediate medical treatment for-
      1. the amputation of any part of his or her body; or
      2. a serious head injury; or
      3. a serious eye injury; or
      4. the separation of his or her skin from underlying tissue (such as de-gloving or scalping); or
      5. electric shock; or
      6. a spinal injury; or
      7. the loss of a bodily function; or 
      8. serious lacerations
4. Notice of Incident That  Exposes a Person To Risk: An incident at a workplace which exposed a person in the immediate vicinity to an immediate risk to the person’s health and safety through -
   1. The collapse, overturning, failure or malfunction of, or damage to, any plant that the regulations prescribe must not be used unless the plant is licensed or registered; or
   2. The collapse or failure of an excavation or of any shoring supporting an excavation; or
   3. The collapse or partial collapse of any part of a building or structure; or
   4. An implosion, explosion or fire; or
   5. The escape, spillage or leakage of any substance including dangerous goods as defined in the Dangerous Goods Act 1985; or
   6. The fall or release from a height of any plant, substance or object
   7. The following incidents in a mine*( reported to the department of primary Industries in lieu of the authority)
      1. the overturning or collapse of any plant; or
      2. the inrush of water, mud or gas; or
      3. the interruption of the main system of ventilation; or
   8. any other event or circumstance prescribed by the regulations. 
5. Workplace: Any place, whether or not in a building or structure, where employees or self–employed persons work.