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Incident Reporting and Investigation

Submitted by dlwiwcha on Thu, 09/25/2014 - 4:38pm

All work-related accidents, incidents, and occupational illnesses must be reported to your Supervisor or Manager and in the Online Accident Reporting System (OARS) and, if necessary, to the Workers' Compensation Board (WCB).

What to REPORT - OARS classification

In OARS, incidents are classified into levels (1, 2, 3) based on the severity of the incident. Classification also establishes the appropriate level of notification and management involvement.

OARS

Classification

Reportable Criteria

Level 1

  • First aid with no lost time (temporary, immediate care)
  • Minor incident with no lost time
  • Spill or release NOT reportable to Alberta Environment (AENV) or City of Calgary but more that 5L or 5kg
  • Near Miss

Level 2

  • Medical aid with no lost time (medical care beyond first aid)
  • Injury reportable to WCB with NO Lost Time
  • Occupational Disease (Illness) reportable to WCB with NO Lost Time
  • Radiation incident internally reportable
  • Spill or release reportable to Alberta Environment (AENV) or City of Calgary that is not an adverse effect or contravention of an approval, license or code of practice.
  • Chemical Spill resulting in injury or exposure
  • Motor vehicle accident

Level 3 

  • Injury reportable to WCB with Lost Time
  • Occupational Disease (Illness) reportable to WCB with Lost Time**Injury or accident that results in death 
  • **Injury or accident that results in a worker being admitted to a hospital for more than 2 days
  • **Unplanned or uncontrolled explosion or fire that causes a serious injury or that has the potential of causing serious injury
  • **Unplanned or uncontrolled flood that causes a serious injury or that has the potential of causing serious injury
  • **The collapse or failure of any component of a building or structure necessary for the structural integrity of the building structure
  • **The collapse or upset of a crane, derrick or hoist
  • Release of dangerous goods reportable under Transportation of Dangerous Goods (TDG)
  • Radioactive incidents reportable to the Canadian Nuclear Safety Commission (CNSC)
  • Spill or release reportable to Alberta Environment (AENV) or City of Calgary that is potentially an adverse effect or contravention of an approval, license or code or practice

Definitions:

  • Near Miss means any undesired event or incident that under slightly different circumstances could have resulted in personal injury, illness, environmental release, or loss.

  • Environmental Releases reportable Alberta Environment (AENV) or City of Calgary -  http://www.ucalgary.ca/safety/environment/environmental-release
  • Medical Aid includes medical and other services provided by a person licensed to practise the healing arts in Alberta, and nursing, hospitalization, drugs, dressing, xray treatment, special treatment, appliances, apparatuses, transportation and any other matters and things that the Worker's Compensation Board authorizes or provides.
  • Radiation incidents internally reportable to the Radiation Safety Officer which are classified as Level 2 include;
      • External exposure greater than 3 mSv;
      • Known or suspected internal contamination;
      • Personal contamination including clothing;
      • Spill of radioactive material outside of radioactive work area.
      • The Radiation Safety Officer is automatically notified when a Level 2 Radiation incident is reported in OARS.
  • **Serious incidents or accidents reportable to Alberta Occupational Health and Safety as identified in Section 18 of the Alberta Occupational Health and Safety Act.
  • Radiation incidents reportable to the Canadian Nuclear Safety Commission (CNSC) are classified as Level 3 incidents. EH&S will report all Level 3 radiation incidents to the CNSC when:
    • The occurrence of an event is likely to result in the exposure of persons to radiation in excess of the applicable radiation dose limits prescribed by the Radiation Protection Regulations (Table 1 below);
    • Any theft or loss of a nuclear substance, prescribed equipment or prescribed information that is used in carrying on any activity that is authorized by the CNS Act;
    • A release of a quantity of radioactive nuclear substance into the environment not authorized by licensed activity;
    • An attempted or actual breach of security or sabotage at the site of the licensed activity;
    • A serious illness or injury incurred or possibly incurred as a result of the licensed activity; or
    • Fatality at a nuclear facility as a result of licensed activity.
    • The Radiation Safety Officer is automatically notified via email when a Level 3 Radiation incident is reported in OARS.

Table 1     Radiation Exposure Reportable Dose

Person Period  Effective Dose (mSv) 
Nuclear energy worker, including a pregnant nuclear energy worker  (a) One-year dosimetry period  50 
(b) Five-year dosimetry period  100 
Pregnant nuclear energy worker  Balance of the pregnancy   4
A person who is not a nuclear energy worker  One calendar year   1

 

 

What NOT to report in OARS

Not all incidents are required to be reported in OARS.  An OARS report is not required for:

  • Acts of Violence
  • Property Damage
Report to Campus Security at  403-220-5333
  • Odours
Report to the Customer Care Centre at 403-220-7555 during regular business hours or to Campus Security at  403-220-5333 after regular business hours.

 

WCB Reporting - Employees and Students

Online Accident Reporting System (OARS) does not replace Worker's Compensation Board (WCB) reporting requirements. All WCB reportable incidents require the completion of WCB forms and the University of Calgary's OARS incident report. 

Within 24 hours of Incident:


Employees

Report  accident or incident to their Supervisor or Manager as soon as possible.

Follow the WCB reporting procedure on the Staff Wellness website - http://www.ucalgary.ca/staffwellness/wcb

What needs to be reported to WCB? Any work-related injury or illness that results in:

  • lost time – or probable lost time - beyond the day of accident
  • the need for medical treatment beyond first aid (i.e. assessment by physician, physiotherapist, chiropractor)
  • a temporary or permanent change in your ability to perform the regular duties of your job
  • incurring medical aid expenses (i.e. dental treatment, eyeglass repair/replacement, prescription medications)
Students

Report all accidents or incidents to their Supervisor, Instructor or University Representative as soon as possible

Students injured during their course of study are covered by WCB through the Alberta Government - WCB Student fact sheet.

WCB reporting procedure for students injured during their course of study.

  1. Student seeks medical attention promptly.
  2. Student completes the WCB Student - Employee Form and faxes to WCB at 1.800.661.1993
  3. Student or University Representative to complete OARS report
  4. Faculty/Department of the student reporting the incident completes and faxes the WCB Student - Employer Report to WCB at at 1.800.661.1993.
  5. Faculty/Department of the student reporting the incident retains the original WCB Employer record.
  6. Ambulance costs for students who suffer an accident and who are in need of medical aid to a hospital are covered by Alberta Advanced Education and Technology. Invoices should be sent for payment to Melanie White, Office Manager, Training & Development Coordinator, 7th floor, Phipps - McKinnon Building, 10020 - 101 A Avenue, Edmonton,  Alberta T5J 3G2.

WHO Reports and Investigates

Employees
  • must report any accident or incident to their Supervisor as soon as possible.
  • WCB Claims - Completes and faxes the WORKER'S REPORT to the Health and Wellness Consultant at the Staff Wellness Centre within 24 hours of the injury (fax: 403-282-8603)
Students
  • must report all accidents or incidents to their Supervisor, Instructor or University Representative as soon as possible
Contractors
  • must report any accident or incident to a University Representative as soon as possible when the U of C is the Prime Contractor. Where the U of C is not the Prime Contractor, accidents and incidents shall be reported utilizing the Prime Contractor's reporting system.
Visitors or Volunteers
  • must report any accident or incident to a University Representative as soon
    as possible.
Person Reporting Incident
  • Notifies direct Supervisor or University Representative immediately or next higher authority as available.
  • Assists with incident investigation, if required. 
  • Completes OARS report within 24 hours of receiving notification of the accident
    or incident.
Supervisors or University Representatives
  • Completes OARS report within 24 hours of receiving notification of the accident
    or incident.
  • Completes incident investigation and develops recommendations, within 3 days for Level 1 incidents and within 7 days for Level 2 and Level 3 incidents.
  • WCB Claims
  • Completes and faxes the EMPLOYER'S REPORT to the Health and Wellness Consultant at the Staff Wellness Centre within 24 hours of receiving notification of the injury (fax: 403-282-8603).
    • On behalf of the employee, the Supervisor may forward the WORKER'S REPORT  to the Health and Wellness Consultant at the Staff Wellness Centre.
  • Ensures corrective actions are implemented.
  • Final sign-off to close Level 1 OARS reports.
Second Higher Authority 
  • Reviews incident investigation and corrective actions for Level 2 and Level 3 incidents.
  • Approves incident investigation and corrective actions for Level 2 incidents.
  • Ensures incident investigation corrective actions are developed within 7 days for Level 2 incidents.
  • Ensures corrective actions are implemented.
  • Final signoff to close Level 2 OARS reports.
Third Higher Authority 
  • Reviews incident investigation and corrective actions for Level 3 incidents.
  • Approves incident investigation and corrective actions  for Level 3 incidents.
  • Ensures incident investigation corrective actions  are developed within 7 days for Level 3 incidents.
  • Ensures corrective actions are implemented.
  • Final sign-off to close Level 3 OARS reports.
Environment, Health and Safety
  • Report incidents to Alberta  Occupational Health & Safety (OH&S), Canadian Nuclear Safety Commission (CNSC) and written reports to Alberta Environment (AENV)
  • Discretionary involvement with Level 2 and Level 3 incident investigations

Staff Wellness Centre

  •  Manage Worker's Compensation Board (WCB) claims at the University

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Training, OARS instructions and Process Flowchart

Training

Incident Reporting and Investigation online training is mandatory training for Supervisors and Managers, as well as all Employees who participate in conducting incident investigations. The purpose is to inform Employees, Supervisors and Managers of their responsibilities for reporting and investigating work-related accidents, incidents, and occupational illnesses.

OARS Instructions

Printable Worksheet

  • OARS Worksheet (pdf) - Use this printable worksheet to assist in completing the online form.

OARS Process Flowchart

OARS Process

 

 

Incident Investigation and Management Review - Summary Overview

Supervisors or Managers are required to investigate all incidents. 

OARS

Classification

Supervisor or Manager Responsibilities

Second Higher Authority Responsibilities

Third Higher Authority Responsibilities

Level 1

Level 1 incidents are considered to be minor events and require a lower level of oversight.

  • Conducts incident investigation (Identifies immediate, root causes and corrective actions)

  • Close OARS Report

Level 2

Level 2 incidents are considered to be serious events and require a higher level of oversight and sign-off from management.

  • Conducts incident investigation (Identifies immediate, root causes and corrective actions)

  • Identify the Second Higher Authority

 

  • Conducts management review 

  • Closes OARS report

Level 3 

Level 3 incidents are considered to be very serious events and require the highest level of oversight, sign-off from management & notification of external agencies.

  • Conducts incident investigation (Identifies immediate, root causes and corrective actions)

  • Identify the Second Higher Authority
  • Identify the Third Higher Authority
  • Conducts management review 

  • Conducts management review 
  • Closes OARS report

Definitions:

  • A Second Higher Authority is a University Employee to whom the Supervisor or Manager of the Employee involved reports to. A Second Higher Authority has oversight in the Management Review of Level 2 and 3 incidents and may be involved in the investigation.
  • A Third Higher Authority is a University Employee to whom the Second Higher Authority reports. This includes but is not limited to Department Heads, Directors, Deans and Vice Presidents. A Third Higher Authority has oversight in the Management Review of Level 3 incidents and may be involved in the investigation.

Supervisor - OARS Instructions and Screen Shots

Supervisors or Managers are required to investigate all incidents. This includes completing the investigation portion of the report on OARS Page 5. Investigative Details to identify the "Immediate Causes" and "Root Causes." and completing the Corrective Actions to Prevent Recurrence OARS page 6. Corrective Action to identify the "Corrective Actions to Prevent Recurrence.

 Level 1

Level 1 Incidents the "Supervisor or Manager" is required to:

  1. Identify the "Corrective Actions Target Date" (date the corrective actions are expected to be completed by)
  2. Identify the "Corrective Actions Complete Date" (date the corrective actions have actually been completed)
  3. Select "Yes" to "Approve the Investigation and Corrective Actions"
  4. Select "Yes" to confirm "Corrective Actions Complete" - Include additional comments in the text field provided.
  5. Click "Submit Completed Report" to close the report.

Level 2

Level 2 and 3 Incidents the "Supervisor or Manager" is required to:

  1. Identify the "Second Higher Authority" for Level 2 and 3 incidents. Identify the "Third Higher Authority for Level 3 Incidents.
  2. Identify the "Corrective Actions Target Date" (date the corrective actions are expected to be completed by)
  3. Identify the "Corrective Actions Complete Date" (date the corrective actions have actually been completed)
  4. Select "Yes" to "Approve the Investigation and Corrective Actions"
  5. Select "Yes" to confirm "Corrective Actions Complete" - Include additional comments in the text field provided.
  6. Click "Submit Completed Report" to initiate review by higher authorities. The report will be view only and no longer editable by the Supervisor

Level 3

2nd Higher Authority - - OARS Instructions and Screen Shots

  • A Second Higher Authority is a University Employee to whom the Supervisor or Manager of the Employee involved reports to.  Second Higher Authority has oversight in the Management Review of Level 2 and 3 incidents and may be involved in the investigation.

Level 2

Level 3

For Level 2 Incidents the "Second Higher Authority" is required to:

  1. Confirm that the Supervisor or Manager has identified the "Corrective Actions Target Date", "Corrective Actions Complete Date". and selected "Yes" to "Approve Investigation and Corrective Actions" and "Yes" to Corrections Actions Complete" - if these actions were not completed and the report is edited, the Supervisor or Manager will be locked out of the report.
  2. Select "Yes" to "Approve the Investigation and Corrective Actions"
  3. Select "Yes" to confirm "Corrective Actions Complete"-Include additional comments in the text field provided.
  4. Click "Submit Completed Report" to close the report.

Level 3 Incidents the "Second Higher Authority" is required to:

  1. Confirm that the Supervisor or Manager has identified the "Corrective Actions Target Date", "Corrective Actions Complete Date". and selected "Yes" to "Approve Investigation and Corrective Actions" and "Yes" to Corrections Actions Complete" - if these actions were not completed and the report is edited, the Supervisor or Manager will be locked out of the report.
  2. Select "Yes" to "Approve the Investigation and Corrective Actions"
  3. Select "Yes" to confirm "Corrective Actions Complete" - Include additional comments in the text field provided.
  4. Click "Submit Completed Report" to initiate review by the "Third Higher Authority". The report will be view only and no longer editable by the Supervis

3rd Higher Authority - OARS Instructions and Screen Shots

  • A Third Higher Authority is a University Employee to whom the Second Higher Authority reports. This includes but is not limited to Department Heads, Directors, Deans and Vice Presidents. A Third Higher Authority has oversight in the Management Review of Level 3 incidents and may be involved in the investigation.

Level 3

For Level 3 Incidents the "Third Higher Authority" is required to:

  1. Confirm that the Supervisor or Manager has identified the "Corrective Actions Target Date", "Corrective Actions Complete Date". and selected "Yes" to "Approve Investigation and Corrective Actions" and "Yes" to Corrections Actions Complete" - if these actions were not completed and the report is edited, the Supervisor or Manager will be locked out of the report.
  2. Confirm that the "Second Higher Authority" has selected "Yes" to "Approve Investigation and Corrective Actions" and "Yes" to Corrections Actions Complete" - if these actions were not completed and the report is edited, the "Second Higher Authority" will be locked out of the report.
  3. Select "Yes" to "Approve the Investigation and Corrective Actions"
  4. Select "Yes" to confirm "Corrective Actions Complete" - Include additional comments in the text field provided.
  5. Click "Submit Completed Report" to close the report.