8/12/22, 10:29 AM EHS Incident Investigation and Reporting Procedure
EHS Incident Investigation and Reporting Procedure
1.0 Purpose
The purpose of this procedure is to define the minimum requirements in HCT for immediate notification, reporting and to conduct the necessary investigation (after an E
accident/ hazard/near miss) to identify the root cause of the incident and take the necessary corrective action(s) towards preventing the reoccurrence.
2.0 Scope
This procedure is applicable to all types of incidents and near misses that may or could affect the Environment, Health and Safety of HCT employees, students and contractors.
3.0 Control and Distribution
3.1 The Executive Director - General Services is the owner of this procedure.
3.2 All requests for revisions shall be addressed to the Executive Director - General Services. This procedure shall be reviewed as required. Amendments shall be made, if any a
required, after approval as per the DoA, and superseded versions of the procedures shall be retained for future reference.
3.3 Date of next review: 30 May 2026
4.0 Definitions
Near Miss : An unplanned event or series of events that occurred at the workplace which, although not resulting in an injury, illness or equipment/ propert
damage, had the potential to do so.
Injury : Physical harm or damage to a person resulting from traumatic contact between the body of the person and an outside agency.
Occupational injury : Physical harm to employee that resulted from single exposure event to chemical, physical or biological agents in the work environment.
Reportable injury : Total reportable injuries are the sum of fatalities, permanent total disabilities, lost time cases, and cases involving restriction of work or motio
medical treatment or loss of consciousness.
Recordable : Death or cases of occupational injuries or illnesses that result in days away from work, days of restricted work, loss of consciousness, temporary o
injuries/illness permanent job transfer, termination of injured employee for medical treatment beyond first aid.
Incident : An event or chain of events, which has caused or could have caused fatality, injury, illness and/or damage (loss) to assets, environment, entit
reputation or third parties.
Incident Owner : The responsible manager for the area of operation or activity where the incident took place.
First Aid Injury : Minor work-related injury or illness that calls from only simple "First Aid" treatment and does not call for follow-up treatment by a health ca
professional. First Aid injuries don't result in lost time from work or work restrictions.
Restricted work : Any injury/illness because of which employees are unable to perform one or more of the routine functions of the job (job functions that th
injuries/illness employee regularly performs at least once per week), or from working the full workday that he would otherwise have scheduled to work, regardles
of whether or not an employee is scheduled to work on those day(s).
Occupational Illness : Any abnormal condition or disorder, other than one resulting from an occupational injury, caused by exposure to factors associated with employmen
and/or work environment. It includes acute and chronic illness or diseases, which may be caused by inhalation, absorption, ingestion or dire
contact. It includes acute and chronic illnesses, or diseases that may be caused by inhalation, absorption, ingestion or contact.
Fatality : Work-related fatality is a death resulting from a work-related injury or illness, regardless of the time intervening between injury and death.
Investigation : Formal process of identifying the causes of the incident to reveal the root cause of the incident.
Abbreviations:
HCT : Higher Colleges of Technology.
HQ : Head Quarter.
EHS : Environment, Health and Safety.
OSHAD : Abu Dhabi Occupational Safety & Health Center.
ADPHC Abu Dhabi Public Health Center.
ISO : International Organization for Standardization.
5.0 Roles and Responsibilities
5.1 EHS Unit
Ensure necessary resources are available for the effective implementation and maintenance of this procedure.
Ensure the availability of competent staff to investigate the incident(s) and identify the root cause(s).
Ensure that all near-miss/ incidents are reported.
Participate in all incident investigations (If necessary) along with Environment, Health and Safety Specialist/ In-Charge.
Ensure corrective actions are taken as per the outcome of the investigation.
Reporting to concerned regulator based on their reporting requirements.
Reviewing the lessons learned from the implementation of this procedure.
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Compiling the incident reports for all incidents within HCT and ensure the necessary actions taken as a result of the investigation.
Maintain, review, update and enhance this procedure.
5.2 EHS Committee - Campus Level
Develop a positive environment, health, and safety culture wherein the employees take the initiative in reporting incident(s)/near miss(s).
Ensure the availability of competent staff to investigate the incident(s) and identify the root cause(s).
Ensure that all campus EHS near miss (es)/ incident(s) are reported.
Reviewing the lessons learned from the implementation of this procedure
5.3 Environment, Health & Safety Specialist/ In-Charge
Implementation of this procedure.
Communicating this procedure to all levels of campus.
Compiling the incident reports for all incidents and ensure the necessary actions taken as a result of the investigation.
Coordinating with any external parties involved in incident reporting and investigation.
5.4 HCT Employees/ Reporter
Report any potentially unsafe act or condition.
Report all EHS near misses, incidents to the concerned.
6.0 Procedure Description
6.1 Classifying EHS Incidents
Occupational Health & Safety (OHS) Incidents are classified for recording, notification and reporting purposes according to the severity of the incident. The types of t
Occupational Health & Safety (OHS) incidents to be recorded, reported and/or notified by HCT to the concerned regulator are listed below (Refer to Incident Reporting
Investigation Flow Chart);
6.1.1 Lost Time injury;
6.1.1.1 Fatality;
6.1.1.2 Permanent Total Disability;
6.1.1.3 Permanent Partial Disability;
6.1.1.4 Lost Workday Case.
6.1.2 Serious Injury;
6.1.2.1 An injured person temporarily unable to perform any regular job or restricted work activity on a subsequent scheduled workday or shift, supported by
medical report from an approved medical practitioner.
6.1.2.2 Immediate medical treatment of the injured person(s) as an inpatient in a hospital.
6.1.2.3 Medical treatment of the injured persons within 48 hours of exposure to a substance.
6.1.2.4 Immediate medical treatment of the injured persons for;
Fracture (not including fingers & toes)
The loss of a distinct part or organ of the body, including the amputation of any part of body.
Loss of consciousness and/ or requiring resuscitation.
A serious head injury.
A serious eye injury, including loss of sight (temporary or permanent).
Exposure to hazardous material.
The separation of skin from any underlying tissue (such as scalping or de-gloving).
An electric shock or electrical burn.
Serious burns due to thermal and chemical agents.
Entrapment of a body part in machinery/equipment/plant.
A spinal injury.
Dislocation of joint.
The loss of bodily function and
Serious laceration.
6.1.3 Serious Occupational Illness / Disease;
6.1.3.1 Conditions caused by vibrations.
6.1.3.2 Conditions caused by abnormal pressure
6.1.3.3 Etc.
6.1.4 Serious Dangerous Occurrence;
6.1.4.1 Explosion or Fire
Explosion or fire in a room or place in which persons are at work, and which results in substantial damage to the structure of the site, or to any machine
or plant. The incident shall have also resulted in the complete suspension of ordinary work at the site or stoppage of machinery or workplace for at least
hours.
Electrical short circuit or failure of electrical machinery, plant or apparatus, which results in an explosion, fire or structural damage and involves
stoppage or disuse for at least 5 hours.
Explosion or fire affecting any site in which persons are at work and causing complete suspension of ordinary work in the site for at least 24 hours.
6.1.4.2 Failure and/or Collapse of Equipment
Failure or collapse of false-work or its supports.
Collapse, partial collapse, overturning or failure of load-bearing parts of scaffold, lifts and lifting plant, equipment and/ or accessories.
The collapse, overturning, failure or malfunction of, or damage to, any plant/ equipment that the employee is in contact with that had the potential
cause injury/ illness.
6.1.4.3 Machinery Damage
Bursting of a revolving vessel, wheel, and grindstone wheel moved by mechanical power.
Explosion or failure of the structure of a steam boiler, receiver or any container used for the storage at the pressure greater than atmospheric pressure
any gas or gasses (including air) or any liquid or solid resulting from the compression of gas.
6.1.4.4 Collapse of Building/ Structure or Excavation
Any unintended collapse or partial collapse of;
Any building or structure (whether above or below ground) under construction, reconstruction, alteration or demolition; and/ or
Any floor or wall of any building (whether above or below ground) used as a place of work; and/ or
Of an excavation or any shoring supporting an excavation.
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6.1.4.5 Electric Lines, Cables and Pipelines
Any unintentional incident in which plant or equipment either;
Comes into contact with overhead or underground electric lines, cables or pipeline; or
Causes an electrical discharge from such an electric line by coming into close proximity to it; and/ or
Causes an overhead line be at a height less than that required by regulation.
6.1.4.6 Malfunction of Radiation Generating Equipment
6.1.4.7 Escape of Flammable Liquids and Gases
6.1.4.7.1 The sudden, unintentional uncontrolled release inside a building;
Of 100 KG or more of a flammable liquid; and/ or
Of 10 KG or more of a flammable liquid at a temperature above its normal boiling point; and/ or
Of 10 KG or more of a flammable gas
6.1.4.7.2 The sudden, uncontrollable release in the open air of 500 KG or more of any of the aforementioned referred material
6.1.4.8 Escape of Hazardous Material
6.1.4.9 The accidental release or escape of any materials in any quantity sufficient to cause the death, major injury or any other damage to the environment and/
health and safety of any person.
6.1.4.10 Biological Agent
6.1.4.11 Any incident which resulted in or could have resulted in the release or escape of a biological agent likely to cause severe human infection or injury.
6.1.5 Restricted Workday Case;
6.1.6 Medical Treatment Case;
6.1.7 First Aid Injury;
6.1.8 Equipment / Property Damage; and
6.1.9 Near Miss
6.2 Notify and report all EHS Incident(s)/ Hazard(s) / Near Miss (es)
Employees are required to inform about all incidents and Near Misses in HCT at the earliest to the Environment, Health and Safety Specialist/ In-Charge. All EHS incidents i
HCT shall be recorded and investigated as per OSHAD, Mechanism 11.0 - Version 3.0 (EHS Incident notification, Investigation and Reporting).
6.3 Notify and report Serious OHS Incident
On receipt of information related to an incident such as fatality or serious injury, Environment, Health and Safety Specialist/ In-Charge shall proceed to the incident sce
immediately and shall take the following actions:
6.3.1 Inform the nurse/ first aid personnel about the incident and arrange for first aid;
6.3.2 If the injury is serious, call the ambulance for medical assistance and advise the nurse/first-aid personnel to stay put until the ambulance arrives and takes the char
6.3.3 Advise the security personnel to secure the incident site to ensure that the valuable evidences such as equipment, material that were associated with the incide
are not disturbed; and
6.3.4 Preserving incident site and evidence
6.3.5 In case of reportable incidents Environment, Health and Safety Specialist/ In-Charge shall preserve the site and all evidences as far as reasonably practicable
investigation purpose until the concerned authorities (Police, Civil, Defense, Educational Sector, EHS Inspector/ Investigator, OSHAD Center Inspector/Investigat
etc.) arrives on spot.
6.3.6 HCT shall notify the concerned regulator on an incident occurring at the workplace as follow;
6.3.6.1 Fatal incidents - within 24 hours.
6.3.6.2 Serious incidents - within a maximum of 3 working days from the date of the incident for the following incident types;
Serious dangerous occurrence
Serious injury
Receipt of a written diagnosis or other knowledge of the occurrence of a serious occupational illness or disease arising out and in the course of work.
Reportable occupational illness.
Major or moderate environmental incidents
6.4 Appoint Incident Investigation Team
6.4.1 Depending upon the nature of the incident, EHS Unit/ EHS Specialist/ In-Charge shall establish an incident investigation team (when required). At least one member
the incident investigation team should have sufficient expertise on the subject matter related to the incident. The team formation may be verbally informed to st
the investigation at the earliest. However, for serious incidents, a formal notification shall be sent within 24 hours to the management, incident owner, a
investigation team members.
6.4.2 EHS Unit/ EHS Specialist/ In-Charge shall set the deadline for the submission of the report. If required, the help of external consultants may be sought.
6.5 Collecting Evidence
6.5.1 The investigation team shall visit the site and start collecting the evidence(s). The evidence(s) may be obtained from four primary sources namely; people, positio
parts and papers. To arrive at a clear picture and to identify the immediate and root cause correctly, all the possible sources shall be examined.
6.5.2 A detailed survey shall be conducted while collecting the evidence(s). The investigation shall be carried out as deemed appropriate, but not limited to the following;
Position of equipment, materials, parts or any other item at the incident site;
Possible position of the individual before the incident, during the incident and actual position after the incident;
Position of personal protective equipment.
Operating conditions.
6.5.3 Once the detailed survey is performed (if deemed appropriate and necessary), the incident scene shall be documented and photographs should be taken (if require
After completion of documentation and obtaining the advice(s) of (legal counsel) where necessary, the physical evidence(s) shall be moved from the incident scen
Physical evidence(s) involves materials, parts, equipment and personal protective equipment.
6.6 Interview Witness(es)
Interview of the incident witness(es) shall be performed at the earliest possible opportunity by at least one member of the investigation team (if applicable). Interview mu
be documented by the interviewer (if deemed necessary). If there is more than one witness, interviews must be conducted separately. Upon completion of interview,
interview notes should be shown to the employee and if required signature of the interviewee may be obtained on the notes.
6.7 Review Relevant Documentation
6.7.1 The investigation team shall review the documents relevant to the circumstances of the incident and the indicators based on the evidence(s). The documentation m
include, but not limited to:
Work Permits;
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Material Safety Data Sheet and certificates;
Fitness/Inspection certificates for the equipment;
Operating procedures;
Method statements;
Training certificates;
Risk assessments; and
Any other relevant documents.
6.8 Evaluate Investigation Evidence
The head of the investigation team shall be responsible for the coordination of all evidences collected by investigation team members. Based on the evidence, witness
statements and following review of documentation, the investigation team shall determine the sequence of events leading up to the incident, immediate and root cause.
The investigation team shall recommend the appropriate recommendation to prevent such incidents from recurrence in the future.
6.9 Investigate EHS Incident
6.9.1 Based on the findings of the investigation, investigating team shall submit the detailed report to EHS Unit within the stipulated time or upload to the respect
platform. The report may be submitted along with the evidences collected. Upon receipt of the report, EHS Unit shall review the report and obtain clarifications
any) from the investigation team. EHS Unit shall present the finding to the chair of the EHS committee - system level and the management (if required) for furth
deliberation and actions thereon.
6.9.2 All EHS incidents in HCT, including near-miss (es) and dangerous occurrences, shall be investigated. The objective of the investigation is to identify the root caus
and avoid the reoccurrence.
6.9.3 HCT shall initiate an investigation of all EHS incidents as soon as practicable:
HCT shall use methods, processes and techniques sufficient to identify the root causes of the occurrence.
HCT shall utilize the findings of investigations to improve the control of hazards or significant impacts on other activities.
Investigator(s) shall be competent in the application of investigation techniques.
Investigator(s) shall be independent from the task, operation, individual, etc. those are involved in the incident.
Investigator(s) shall collect the statements of witness and other relevant evidence(s) to the incident (as required) as soon as practicable after the incident.
Investigator(s) shall consult with witnesses and other relevant evidences and with the specialist in that process to conclude the root cause.
6.10 Produce The Investigation Report
6.10.1 Environment, Health and Safety Specialist/ In-Charge and/or Investigation Team Members shall;
Prepare incident investigation report, including relevant evidence(s) (if any), such as photographs, interview records etc.
Recommend appropriate actions to prevent such incidents in the future.
6.10.2 The incident investigation report shall include, but not limited to, information such as;
Type of EHS incident.
Details of the injured person (e.g. Gender, occupation, experience, training, etc.);
Details of the location;
Details of the event
Evidence collected – if any (e.g. Arrangements and location for witness interviews, the statements of the interviewees, photographs of the scene);
Actual consequences (e.g. people, environment, assets, reputation) and potential consequences of the incident;
The direct and root causes of the incident
Details of the investigation outcome (e.g. equipment maintenance records; risk assessments/registers; the status of the implementation of the emergency p
and procedures, where appropriate);
Recommendations on preventing the reoccurrence of a similar incident (the recommendations shall prioritize the actions with target completion dates a
stipulate the action parties and responsibilities).
6.10.3 Incident Investigation shall be performed for all serious and non-serious incidents like first aid cases, near misses and the investigation report shall be complet
and reported internally by completing the EHS Incident Investigation form.
6.10.4 The incident investigation report shall be completed and submitted to the concerned regulator within 30 calendar days of the date of the incident by completi
and submitting Form G1 - OHS Incident Investigation (the requirements of the concerned regulator supersede the aforementioned requirements – if stringent).
6.11 Implement Corrective Action(s)
6.11.1 Based on the investigation recommendations, the incident owner shall initiate necessary corrective actions and implement them in a timely manner.
6.11.2 EHS Unit or EHS Specialist/ In-Charge shall review the corrective actions and update the status accordingly. The effectiveness of corrective actions should
verified during the internal audit.
6.12 Communicate Lessons Learned
As a proactive measure, based on the investigation report and corrective actions taken, EHS Unit and/ or Environment, Health and Safety Specialist/ In-Charge shall
communicate the lessons learned from an incident to staff, students and workers (as applicable).
6.13 Follow up Action
6.13.1 Environment, Health and Safety Specialist/ In-Charge shall Capture the following information monthly basis:
Incidents reported in the previous month.
Incidents that are not closed.
Action items that are overdue.
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(/Other%20Related%20Documents/Incident%20FlowChart%20-%20Final.pdf)
7.0 Related Documents
- Incident Investigation and Reporting Forms:
(https://myhctportal.hct.ac.ae/sites/pnp/Admin/facilities/HCT%20EHS%20Management%20System/EHSMS%20Forms/FORMS/Incident%20Investigation%20%26%20Reportin
csf=1&e=aQDiEf)
- Serious OHS Incident Notification – OSHAD FORM – G
- Serious OHS Incident Investigation – OSHAD FORM – G1
- OHS Incident Notification Form
- OHS Incident Investigation Report Form
- OSHAD SF - Element 7 – Monitoring, Investigation and Reporting, Version 3.1
- Mechanism 11.0 - Incident Notification, Investigation and Reporting, Version 3.0
- ISO 14001:2015- Environmental Management System.
- ISO 45001:2018 – Occupational Health & Safety Management System.
Version Control and Change History
Version Amendment details Review and approval details
0.0 New Procedure Approved by EC: January 2017
1.0 - Adding the students and Contractors to the scope of this procedure. Amendments done by EHS Unit on June 2018
- Replacing the Health & Safety Sr. Officer with Health & Safety Specialist/In-Charge.
- Adding the responsibilities of Health & Safety Specialist/In-Charge.
- Change ADEC into Concerned SRA/ Regulator.
- Classification of serious incidents that needs to be notified within 3 days.
- Change in the requirements of interview of witness.
- Adding the upload requirements to the investigation process.
- Adding the students into the communication of lessons learnt.
2.0 Adding the Incident Reporting & Investigation Flow Chart. Amendment done by EHS Unit on February 2019
3.0 Adding the nurse role as per HAAD requirements. Amendment done by EHS Unit on October 2019
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Version Amendment details Review and approval details
4.0 Add reporter into roles and responsibilities. Approved by EC: 31/5/2021
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