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​Section 818: OHS Incident Reporting and Investigation (IRI)

Date issued: 01/02/2012
Revision date: 01/04/2014

Preamble

Executive government is responsible for setting standards and developing corporate processes that support permanent heads in ensuring healthy and safe workplaces. A standardized procedure for incident reporting and investigation captures information for the employer to identify trends and issues in order to be proactive in preventing incidents and reoccurrence of incidents.

Application

This policy applies to all employees of Executive government including individuals hired as employees under contract.

This policy applies to all workplaces of Executive government where any person is injured or could be injured.

Policy

Executive government employees shall report, investigate and implement corrective measures for all incidents occurring in an Executive government workplace in accordance with this policy.

Key Principles

  • Permanent heads are ultimately responsible to ensure workplace health, safety and welfare.

  • Every employee is responsible for health and safety in the workplace within their level of authority

  • Incident reporting to the permanent head and appropriate supervisors will occur, investigations will be completed and corrective action(s) will be implemented in accordance with this policy

Definitions

Central Incident Resource
An employee designated by the permanent head to coordinate and manage the required collection and distribution of incident information.

Dangerous Occurrence
Any incident that does not result in, but could have resulted in, a fatality or serious bodily injury, as outlined in The Occupational Health and Safety Regulations, 1996 (OHS Regulations), section 9.

First Aid
First Aid means immediate treatment received by someone in the workplace after an incident [OHS Regulations, section 2(y)]

First Aid Register                      
A First Aid Register (OHS Regulations, Part V) is a written log book required by every workplace for recording every first aid treatment received by someone in the workplace.

Injury                                           
Injury includes any disease or impairment of physical or mental condition [OHS Regulations, section 2(2)] caused by exposure to factors associated with employment. Injuries can occur immediately from an incident, or develop over time after ongoing exposure, such as to hazardous materials leading to illness, repetitive movements leading to strain, etc.

Incident                                       
An event that results in, or may result in, injury to persons. Types of incidents include: Injury; Serious Bodily Injury/Hospitalization (OHS Regulations, section 8); Near Miss; Dangerous Occurrence (OHS Regulations, section 9); and Fatality.

Incident Causes                        
Causes of an incident are identified during an investigation. There are often multiple causes at different levels including:

  • Direct cause of an incident is what occurred immediately before the incident to cause or potentially cause the incident.
  • Indirect causes of an incident are the sub-standard acts and/or conditions that lead to the incident occurring and answer "how" the incident happened.
  • Root cause is the broader or systemic underlying causes that lead to the incident. These are usually expressed as a deficiency in the safety system and answers "why" the incident happened. 

Incident Investigation Team    
Employees or external resources that are designated by a Director/ Manager to investigate incidents. Examples include employer and employee Occupational Health Committee (OHC) co-chairs or other OHC members; the Occupational Health Representative (OHR) and the supervisor; ministry safety professionals; external specialists; and/or employees with technical or operational expertise pertinent to the incident.

Near Miss                                   
An unplanned event that did not result in an injury or damage but had the potential to do so. Another familiar term is "close call". A near miss is not as severe as a Dangerous Occurrence.

Reasonably Possible               
Performed promptly without delay at the first possible opportunity.

Supervisor                                  
A person who is authorized by the employer to oversee and/or direct the work of others. There are varying levels of supervisory authority (e.g. Assistance Deputy Minister, Director, Manager, front-line, etc.)

Safety Champion                      
A ministry executive committee member designated by the permanent head to provide health and safety leadership and influence within his/her respective ministry.           

Time Loss and  No Time Loss Injury 

  • Time Loss Injury requires an employee to be absent from work beyond the day of injury; an employee is unable to return by his/her next scheduled shift.
  • No Time Loss Injury requires no absenteeism or absenteeism for only the remaining portion of his/her shift at the time of injury.

Workplace                                  
The physical location where work related responsibilities are authorized by the employer to be performed.

Roles and Responsibilities        

Every employee is responsible for health and safety in the workplace within their level of authority.

Permanent heads have the ultimate accountability for ensuring workplace health and safety legislated requirements and excellence within their respective ministry and are responsible for:

  • Achieving and maintaining an injury free workplace;
  • Ensuring knowledge transfer of this policy to all employees;
  • Designating a Safety Champion and Central Incident Resource;
  • Reviewing page one of completed Incident Reporting and Investigation Form 101;
  • Ensuring decisions and follow up actions are implemented effectively; and
  • Holding supervisors accountable for carrying out their responsibilities and adherence to this policy.

Safety Champions are responsible for:

  • Gaining a depth of expertise on this policy and related procedures to fulfill this leadership role at the executive level and throughout their respective ministry; and
  • Working with employees to ensure effective policy implementation within their respective ministry.

Supervisors are responsible for:

  • Ensuring the health and safety of employees and others within their level of authority and area of operational responsibility;
  • Ensuring employees receive training to this policy and holding employees and others accountable for carrying out their responsibilities and adherence to this policy;
  • Ensuring the scene has been secured after an incident (see Appendices A and B);
  • Ensuring completion and distribution of the Incident Reporting and Investigation Form 101 (see Appendix C) and follow-up actions in the required time frames (see Appendices A and B);
  • Mobilizing and collaborating with the Incident Investigation Team as required (Director/Manager level) (see Appendices A and B) then completing Formal Corrective Action Plan (see Appendix E);
  • Obtaining Supervision and Safety training and Incident Investigation training if responsible for performing incident investigations and reporting requirements; and
  • Completing the Employer (E1) form as required by Workers Compensation Board (WCB) and forwarding the E1 form to the Employee Service Centre (ESC) if the injury results in Time Loss (see Appendices A and B). 

Employees are responsible for:

  • Ensuring personal and workplace health and safety;
  • Participating in training and adhering to this policy;
  • Ensuring the appropriate supervisor is notified of all incidents immediately;
  • If first on the incident scene, securing the scene and performing follow up actions as required (see Appendices A and B);
  • Collaborating with those investigating an incident; and
  • Completing the Worker (W1) form as required by WCB (see Appendices A and B).

Incident Investigation Teams are responsible for:

  • Mobilizing as requested;
  • Investigating incidents and completing and distributing a report as per the Investigation and Reporting Guide (see Appendix D) in the required timeframes (see Appendices A and B); and
  • Obtaining incident investigation training. 

Central Incident Resources are responsible for:

  • Coordinating and supporting ministry incident reporting and investigation processes and statistical reporting. 

NOTE: Ministries may determine additional roles and responsibilities.

Incident Reporting

All incidents shall be documented on Incident Reporting and Investigation Form 101 (see Appendix C) and distributed as required.

The Ministry of Labour Relations and Workplace Safety (LRWS), Occupational Health and Safety Division, shall be notified of incidents as prescribed in the OHS Regulations: section 8, Accidents causing serious bodily injury; and section 9, Dangerous occurrences.

Employees and supervisors shall complete the Worker (W1) and Employer (E1) forms as required by (WCB) (see Appendices A and B.)

Incident Investigations

All incidents must be initially investigated by the supervisor who is operationally responsible for the area where the incident occurred. Utilize Appendix F to identify possible incident causes that may have contributed to the occurrence of the incident.

Incident Investigation Teams will perform investigations as per the Formal Incident Investigation Report Guide (see Appendix D) when:

  • A serious bodily injury/dangerous occurrence incident occurred that causes or could have caused the death of a worker or that requires a worker to be admitted to a hospital as an in-patient (refer to OHS Regulations, sections 8, 9, 29 and 31).

Forms and Statistics

Statistics and records shall be safeguarded, maintained and communicated as per applicable privacy legislation.
The Central Incident Resource will collate and report incident statistics to the permanent head of their respective ministry and for Executive government roll-up.

First Aid Register entries do not require the completion of Incident Reporting and Investigation Form 101. Supervisors shall ensure employees complete First Aid Registers as required by OHS Regulations, section 57, and ensure a list of the entries are maintained/received by OHC co-chairs on a quarterly basis.

Training

All employees shall participate in Incident Reporting and Investigation policy training. Policy training is knowledge transfer at a level appropriate to an employee's level of authority and responsibility in order to effectively comply with this policy.

All supervisors shall participate in Supervision and Safety training or equivalent.

All employees who perform incident investigations shall obtain Incident Investigation training.

NOTE:  Participation in Occupational Health Committee Level II or equivalent training meets the requirement for Incident Investigation training.

OHS Legislation

Key sections of the OHS Regulations related to incident investigation and reporting include:

  • Section 8   Accidents (incidents) causing serious bodily injury
  • Section 9   Dangerous occurrences
  • Section 29 Investigation of certain accidents (incidents)
  • Section 31 Investigation of dangerous occurrences

Refer to the OHS Regulations for specific requirements
There are additional sections in the OHS Regulations where an investigation may be required. Consult your supervisor, local OHC, ministry safety professional or the OHS Division of LRWS for clarification.

Additional Legislation 

The Occupational Health and Safety Act, 1993
The Public Service Act, 1998
The Health Information Protection Act
The Freedom of Information and Protection of Privacy Act
The Saskatchewan Human Rights Code

Appendices

Appendix A – OHS Incident Reporting and Investigation Flowchart
Appendix B – OHS Incident Response Procedures
Appendix C – OHS Incident Reporting and Investigation Form 101
Appendix D – OHS Formal Incident Investigation
Appendix E – OHS Formal Corrective Action Plan
Appendix F – OHS Incident Cause Reference

Inquiries

For inquiries, please contact the Human Resource Service Centre.

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If you have any questions or require more information please contact:

HR Service Centre

hrsc@gov.sk.ca

Phone: 1-877-852-5808 or 306-798-0000

Fax: 1-877-852-9219 or 306-798-9966

HR Service Centre Fax Cover Sheet

2100 Broad Street, Regina, SK, S4P 1Y5

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