INCIDENT REPORTING AND
INVESTIGATION SOP
1. Scope:
To ensure that any person entering the Namaqua Engineering premises take the correct measures and
precautions when encountering incidents or accidents.
2. Purpose:
The purpose of this document is:

To identify the immediate and underlying causes of those incidents so that appropriate action
may be taken to prevent re-occurrence.

To satisfy legal and contractual obligations, and

To provide all levels of employees with a consistent approach to incident investigation in order
to achieve a quality reporting, investigation, analysis and follow-up standards.
3. Definitions:
TERM
DEFINITION
Near Hit/miss
where a dangerous act / condition occurred and no one got injured and no
damage to property, but the likelihood exists that as a result of the act /
condition an injury could be caused or property could be damaged.
Health / Hygiene
Incident (Occupational Illness / Disease) an incident which affects the health
or hygiene of an employee. An Occupational Illness or Disease is contracted
or exacerbated as a result of the conditions or environment of employment.
The basic difference between injury and illness is the single event concept. If the event resulted from
something that happened in one instance, it is an injury. If it resulted from prolonged or multiple exposure
to a hazardous substance or environment factor, it is an illness.
Categories may include:

Noise Induced Hearing Loss

Dust disease.

Occupational Exposure Disease / Disorder (e.g. Lead / chemical).

Allergic Reaction / Environmental Sensitivity.

Respiratory Diseases / Disorders (e.g. Asthma / rhinitis)

Cardio Vascular diseases / Disorder.

Infections Disease.
Environmental Incident


an incident which results in an impact on the environment, and can
classed as one of the following categories:
Category 1: Negligible (caused negligible, reversible environmental impact, requiring very
minor or no remediation)
Category 2: Minor (caused minor, reversible environmental impact, requiring minor
remediation)
Category 3: Significant (caused moderate, reversible environmental impact with short-term effect,
requiring moderate remediation)

A truck rollover on a public road resulting in a moderate spillage of chemical, oil, fuel or
product that is contained within a limited area and that does not impact sensitive habitat
that is difficult to remediate.

Category 4: Serious (caused serious environmental impact, with medium-term effect,
requiring significant remediation.)
Property Damage – an incident which results in the damage to company property.
First Aid Case (FAC) – A first aid case (FAC) is a minor work-related injury which in normal circumstances
can be treated by the victim himself/herself. This usually includes application of non-prescription
medicines e.g. antiseptic ointment and small wound dressings. If the treatment given by a medical
professional amounts only to that described in this definition the case will remain an FAC.
Medical Treatment Case (MTC) – A medical treatment case (MTC) is a work-related injury which has not
been classified as an LTI or RWI, and which results in the injured receiving attention which under normal
circumstances would only be received from a medical professional (e.g. doctor, nurse, paramedic,
physiotherapist etc.) via medical treatment and/or prescription. The injured will be able to resume his/her
regular duties on the day following that of the injury.
The following notes apply:

An injury which first resulted in (for example) an LTI and where the injured after resuming
work continues to receive medical treatment for that injury will remain reported as an LTI.

Precautionary examinations, such as the taking of X-rays, are not considered to be MTCs. The
application of sutures (stitches), or the removal of a foreign body embedded in the eye, are
examples of MTCs. The criterion is the treatment, not the examination.
A Lost Time Injury (LTI) – occurs when a person is injured in the execution of his/her duties and as a result
of this injury is unable to perform his/her regular duties for one full shift or more on the day following the
day on which the injury was incurred, whether a scheduled workday or not.
A lost time injury is registered as a safety statistic when the injury is confirmed as a work-related
compensable case by the jurisdictional worker’s compensation board. The injury must also be confirmed
by a medical practitioner / physician, as deemed appropriate by the jurisdictional worker’s compensation
board.
A fatality is also recorded as an LTI.
Disabling Injuries – Disabling Injuries are LTI‟s and RWI‟s.
Restricted Work Injury (RWI) – A restricted work Injury, illness or disease (RWI) is a work related injury,
illness or disease which results in the injured being able to return to work on the following shift, but unable
to carry out his/her regular duties (light duty or light work).
Project Incident Statistics - are the monthly returns of:

Fatalities;

Lost Time Injuries;

Medical Treatment Cases;

First Aid Cases

Near Hits Damages Environmental Incidents

Hygiene / Health Incidents (Occupational Illness / Disease)
Reportable Injury
Where an employee got seriously injured and the injury must be reported, according to the
Occupational Health and Safety Act and Compensation for Occupational Injuries and Diseases Act,
to the Department of Labour.
4. Roles and responsibilities:
4.1
MANAGER

Define arrangements for project incident reporting;

Provide a progress report to the executive board.

Ensure that Managers are aware of their responsibilities, in regards to incident reporting and
investigation, where deemed necessary to ensure effective information flow and coordination
of remedial actions;

Implement, monitor and verify the effectiveness of this procedure.
4.2
LINE MANAGERS

Ensure that employees are adequately trained for the implementation of this procedure;

Investigate external notification requirements and prepare (but not issue) external
notifications;

Conduct regular reviews of all incidents reported within their areas, ensure that necessary
actions arising from these reviews are followed up;

Ensure timely completion of corrective/preventative actions and provide regular progress
reports to the Project Construction Manager;

Authorize and close out all incident reports within their area.
4.3
SUPERVISORS

Ensure that all incidents within their respective area are identified, investigated and reported
in accordance with this procedure.
4.4
SHE OFFICER
Establish the training standards required by this procedure;
Confirm return to work progress has been followed:
Maintain files of original incident reports in accordance with prevailing company and legal
requirements;

Provide assistance to Line Managers in setting up appropriate teams for investigation and
follow-up of serious safety related incidents;

Review incident reports, initiate further investigations and/or recommend extra corrective
action as considered necessary to reduce risk



4.5
5.
5.1
ALL EMPLOYEES

Report incidents to their supervisors as soon as practicable within the shift that the incident
occurs or as soon as the employee becomes aware of a hazard; participate in subsequent
investigations and implementation preventative action as required.
Procedures:
GENERAL

All incidents occurring on site/premises must be reported and investigated in accordance with
this procedure;

Line managers shall notify the Management, Safety Officer on duty, and Safety Representative
immediately of any non-conformance to procedures or of any other incident areas of
responsibility.
5.5. The Investigation Process
The investigation process for incidents will involve some or all of the following steps,
depending on assessment of the potential:

Internal notification of the incident;

Detailed investigation including inspections, interviews, etc.;

Time Line of incident

Root cause analysis;

Recommendation for remedial action;

Investigation report;

Distribution of investigation findings; and

Follow-up and close out.
The investigation should be such as to achieve the following primary aims:

To identify the root cause/s of the incident such that actions can be taken to prevent
recurrence of future incidents;

To review the application of management practices and their impact on SHE;

To establish the facts surrounding the incident for use in relation to potential insurance
claims or litigation;

To meet relevant statutory requirements on incident reporting.

Investigations must take place as soon as possible after the incident has occurred. The
quality of evidence can deteriorate rapidly and delayed enquiries are usually not as
conclusive as those conducted immediately.

Where possible, the site should remain untouched until at least a preliminary
investigation has taken place (within 1 hour). If this is not feasible because of residual
hazards or other serious factors, photograph or sketch the area, then carry out remedial
actions.

For serious incidents the scene should be cordoned off until the SHE officer releases the
area for normal activity.

The incident must be logged within the same shift.
5.6
Incident Reporting Formats
All incidents shall be reported to the Manager immediately. The appointed responsible
manager for the company shall be held accountable to ensure compliance. Relevant
documentation to be used.
1. Incident/accident report form.
Investigation report format.