Auckland Transport

Incident management standard

STA-HS07-INC

  1. Background and purpose

The purpose of this health and safety standard is to ensure that all Health and Safety incidents associated with Auckland Transport (AT) operations are identified, reported, and thoroughly investigated; and that the appropriate corrective action, aimed at preventing recurrence of the incident, is undertaken while ensuring all statutory and regulatory reporting requirements are met in a timely manner. This will contribute to AT’s goal of a business wide zero harm culture.

  1. Scope

This standard applies to all AT employees, members of the public, visitors, and contractors who may be affected by AT’s activities or who undertake activities on behalf of AT. This procedure has been completed to align with Auckland Transport’s health and safety framework.

This standard is to be read in conjunction with the relevant AT Health and Safety Incident Reporting, Recording, and Investigation procedure.

  1. Responsibilities

Chief Executive

  • Accountable for the organisation’s compliance with AT’s Health and Safety Policies and Standards.
  • Ensuring allocation of competent resources and accountabilities across the organisation to meet the requirements set out in this Standard.

Divisional Managers

  • Accountable for implementing and maintaining the H&S Incident Management Standard requirements.

Health and Safety Manager

  • Ensure that AT’s Health and Safety Management System provides effective processes and procedures with tools to support management and contractors in meeting their H&S responsibilities.
  • Accountable for reporting notifiable events to relevant external parties in the timeframes stipulated under the Health and Safety in Employment Act 1992.
  • Line Managers (includes Project/Contract Managers).
  • Assist the Divisional Managers with identifying, investigating, and managing incidents.
  • Reporting and investigating incidents and ensuring all have prioritised corrective or preventative actions aimed at preventing recurrence of similar events.
  • Ensure that, in the event of a Class 1 incident, systems are in place to notify key internal and external stakeholders within specified timeframes.
  • Ensure that, in the event of a Class 1 incident, work only recommences once all necessary approvals have been obtained.

Suppliers

  • Comply with all reporting requirements set out in this Standard.
  • Ensure they have effective processes and systems in place to report and investigate all incidents.
  • Ensure all incidents are reported to their respective Project/Contract Manager in line with the requirements set out in this Standard.

Employees

  • Comply with the H&S Incident Reporting, Recording and Investigation procedure.
  • Only undertake tasks they are competent and authorised to perform.
  • Report all incidents involving themselves or others that they are aware of in accordance with this Standard.
  1. Standard

General requirements

Each Division will ensure processes are in place to meet the minimum requirements of this standard.

Business processes shall be established and maintained for the identification, reporting, and investigation of all health and safety incidents as per AT’s Health and Safety Procedure: Incident Reporting, Recording, and Investigation.

Business processes shall be established and maintained to ensure full compliance with the applicable legislation covering health and safety incidents, including but not limited to:

  • reporting to authorities;
  • securing of the site;
  • keeping records;
  • incident investigation.
  1. Schedule

The following sets out Auckland Transport’s minimum requirements for managing incidents.  The detailed processes and guidance for managing incidents is set out in Health and Safety Procedure: Incident Reporting, Recording, and Investigation.

Identification & reporting

All incidents will be reported as per the requirements set out in the table below.  All incidents will be recorded using AT’s Health and Safety Information Management System “Synergi Life”.

Serious or notifiable events and their details shall be promptly reported to the roles specified in the table below and in accordance with Health and Safety Incident Reporting, Recording, and Investigation Procedure.

The Health and Safety Manager will report all notifiable events to WorkSafe as soon as reasonably practicable.

The following table (Incident Notification) sets out the minimum reporting requirements:

Fig 1: Incident Notification Table

Severity Level

Incident Classification

Notification Requirement (to H&S Team)

Incident Report Form (to H&S Team)

Investigation Team

Investigation Report

(to H&S Team)

Class 1

Fatality/Death

Immediately upon identification

As soon as practicable within 2 hours

Divisional Manager & H&S Manager – Lead Investigators

Technical Specialist (case specific, i.e. engineer, occ health advisor)

10 Working days

Notifiable Event

Immediately upon identification

As soon as practicable within 4 hours

Department Manager – Lead Investigator

H&S Advisor

Technical Specialist (case specific, i.e. engineer, occ health advisor)

10 Working days

Serious Near Miss and/or Unsafe Event

Immediately upon identification but within the normal work day or shift period

As soon as practicable within 12 hours

Department Manager – Lead Investigator

H&S Advisor

Technical Specialist (case specific, i.e. engineer, occ health advisor)

10 Working days

Class 2

Lost Time Injury

As soon as practicable but within 24 hours

Within 24 hours

Department Manager - Lead Investigator

10 Working days

Medical Treatment/ Assessment

As soon as practicable and prior to attendance at medical practitioner, where practicable (within 24 hours)

Within 24 hours

Department Manager - Lead Investigator

10 Working days

Class 3

1st Aid Injury

Within 24 hours

Within 24 hours

Department Manager - Lead Investigator

10 Working days

Pain and Discomfort

Within 24 hours

Department Manager - Lead Investigator

10 Working days

Near Miss or Unsafe Event

Within 24 hour

Department Manager - Lead Investigator

10 Working days

Investigation

Full written investigations report using AT’s Health and Safety Investigation Template shall be submitted to the Health and Safety Manager within the timeframes specified in the Incident Notification Table.

All incident investigations will be undertaken to identify the root causes, determine corrective action, and make recommendations to prevent a recurrence.

Only competent persons and relevant personnel and/or their representatives may undertake an investigation under this Standard.

At least one AT employee must be part of any incident investigation arising from work being undertaken for or on behalf of Auckland Transport.

Exemptions

Exemptions or variations to the reporting requirements specified in this Standard must have approval from a relevant Contract Manager and the Health and Safety Manager.

Communication and lessons learnt

The results of any investigation and any recommendations made in an investigation report shall be communicated to all appropriate persons for corrective action, shall be included in the relevant Division’s health and safety performance review, and shall be considered for future improvement activities.

  1. Definitions

Related policy