F.09
Accident, incident and near miss reporting,
recording and investigation procedure for
managers
1.0 SCOPE
1.1 This procedure sets out Crossroads Care’s position on the reporting, suitable recording and
investigation of all accidents, incidents and near misses.
1.2 The intended outcome of this document is to ensure that wherever possible a proactive /
preventive approach is adopted (near misses and incidents) for Crossroads Care schemes,
although it is recognised that sometimes corrective actions may be reactive following an
accident.
Please note: where reference is made to ‘staff’ within this procedure, the term will include
volunteers as appropriate to the context and their use within individual schemes.
2.0 DEFINITIONS
2.1 The following terms are defined in Appendix 1 at the end of this document:
 accident
 incident
 near miss
 specified injuries
 reportable occupational diseases
 reportable dangerous occurrences.
3.0 RESPONSIBILITIES OF MANAGERS
3.1 Managers are required to have systems in place that ensure staff work to this procedure,
the health and safety guidance for staff (F.01b) and guidance for volunteers (F.01c) at all times.
This includes ensuring that:
 staff are instructed to promptly report and record all accidents, incidents and near misses
 accident / incident / near miss records and statistics are compiled and maintained so
that trends can be identified and focus areas for additional training or corrective
actions identified.
4.0 REPORTING
4.1 Staff will be instructed to promptly report to their line manager / the person on call:
 work-related accidents, incidents or near misses that cause harm or could have caused
harm
 work-related sickness.
Policy/Reporting&recordingoccurences/2012/08/APf009
Last updated July 2014, to be implemented by October 2014. Review due July 2015.
Carers Trust is a registered charity in England and Wales (1145181) and in Scotland
(SCO42870). Registered as a company limited by guarantee in England and Wales
No. 7697170. Registered office: 32-36 Loman Street, London SE1 0EH.
Crossroads Care trade mark is a collective mark.
© Carers Trust 2014
Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
4.2 Staff also need to report any incident where they feel there is potential for threatening,
abusive or confrontational behaviour and / or inability to properly follow the risk controls outlined
in the care plan. These situations may be associated with the work environment, work
equipment, a service user, family member, friend or another third party. This may not involve
potential for physical injury, but nevertheless may affect the health or wellbeing of the member
of staff, the service user or their family.
4.3 In order to comply with the Reporting of Injuries, Diseases and Dangerous Occurrences
Regulations (RIDDOR), managers are required to report all major accidents or conditions to the
HSE, as detailed in section 5.0 below.
4.4 The flowchart in Appendix 2 provides an overview of the action to take for reporting all types
of accident or incident, including those covered by RIDDOR.
4.5 Managers will ensure staff fill in the appropriate section of the incident report form (DT.03)
which managers then need to complete and submit to Crossroads Care insurance brokers
(Watson Laurie).
5.0 REPORTING INJURIES, DISEASES AND DANGEROUS OCCURRENCES TO THE HSE
5.1 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations as amended
2013 (RIDDOR) place a duty on employers and persons in control of premises to report the
following to the HSE:
5.1.1 Deaths
 All deaths to workers and non-workers arising from a work-related accident, including an
act of physical violence to a worker.
5.1.2 Specified injuries
 An accident connected with work in which an employee, or self-employed person working
on the premises sustains a specified injury (see Appendix 1).
5.1.3 Over seven days’ injuries
 Any accident resulting in an employee or self-employed person being away from work or
unable to perform their normal work duties for more than seven consecutive days, not
including the day on which the accident / incident occurred.
5.1.4 Injuries to non-workers
 Any work-related accident resulting in a member of the public or a person who is not at
work being taken from the scene of the accident to hospital for treatment to their injury
(examinations and diagnostic tests do not constitute ‘treatment’ in such circumstances).
There is no need to report incidents where people are taken to hospital purely as a
precaution when no injury is apparent.
5.1.5 Reportable occupational diseases
 Certain occupational diseases (see Appendix 1), where these are likely to have been
caused or made worse by work.
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
5.1.6 Reportable dangerous occurrences
 Incidents that do not result in a reportable injury, but which clearly could have done (see
Appendix 1).
5.2 How to report
5.2.1 Online
Go to www.hse.gov.uk/riddor and complete the appropriate online report form. The form will
then be submitted directly to the RIDDOR database and a copy will be sent to the person who
submitted it for recording purposes. Managers will be able to request amendments to the report
if they find any of the facts to be inaccurate.
5.2.2 Telephone
All incidents can be reported online but a telephone service is available for reporting fatal and
specified injuries only. Call the Incident Contact Centre on 0845 300 9923 (opening hours
Monday to Friday 8.30 am to 5 pm).
5.2.3 Reporting out of hours
HSE has an out-of-hours duty officer. Circumstances where HSE may need to respond out of
hours include:
 a work-related death or situation where there is a strong likelihood of death following an
incident at, or connected with, work;
 a serious accident at a workplace so that HSE can gather details of physical evidence
that would be lost with time; and
 following a major incident at a workplace where the severity of the incident, or the degree
of public concern, requires an immediate public statement from either HSE or
government ministers.
5.3 Time limits for reporting
5.3.1 Although the regulations specify varying timescales for reporting different types of
incidents, it is advisable to report any incident to the enforcing authority as soon as possible.
5.3.2 Cases of death, major injury or dangerous occurrences, must be reported immediately,
without delay.
5.3.3 Cases of over-seven-day injury need to be reported within fifteen days of the incident
occurring.
5.3.4 Where an employee is suffering from a disease, the manager needs to report it as soon
as they are notified by a doctor that it is a reportable work-related disease.
6.0 RECORDING
6.1 Crossroads Care schemes are required to keep a record of any accident, incident or near
miss, (including any injury, disease or dangerous occurrence that has been reported to the
HSE as outlined in section 5.0 above). This information may be needed to defend a claim for
damages several years after the incident occurred.
6.2 The record will include:
 the date and method of reporting
 the date, time and place of the event
 personal details of those involved, including job title of staff
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
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Accident incident and near miss reporting, recording and investigation procedure
factual details of the nature of the event or disease
the immediate action taken
measures put in place to mitigate the risk of a recurrence.
6.3 Staff will be trained to record factual information only and to avoid subjective opinion,
conjecture or diagnosis of a condition or injury (based on hearsay from a first aider for
example).
6.4 Records can be kept in various formats, including for example:
 keeping copies of completed report forms
 recording the details electronically
 maintaining a written log.
6.5 The accident, incident or near miss will also be recorded in the scheme’s accident book as
detailed in section 7.0 below.
6.6 All records relating to any accident, incident or near miss will be retained by the Crossroads
Care scheme for a period of not less than fifty years.
7.0 ACCIDENT BOOK
7.1 Anyone making a claim for Industrial Injury Benefit needs to have proof that the injury is
work related. Crossroads Care offices are required to keep a record of accidents for this
purpose.
7.2. All workplaces are required to have an accident book in which details of accidents /
incidents / near misses to staff, service users or visitors are recorded.
7.3 The Health and Safety Executive (HSE) has published an accident book (BI 510) to meet
the requirements of the Data Protection Act. Schemes are required to use this version of
accident book, which allows individual records to be removed and stored confidentially.
7.4 The accident book will also be used to record any sickness that may have been caused or
made worse by work.
7.5 The person responsible for keeping the accident book and recording accidents will be
identified in the health and safety policy. Managers will inform staff of the location of the
accident book as part of their induction training.
8.0 INVESTIGATION
8.1 Managers will ensure prompt investigation of all accidents, incidents and near misses in
order to establish root causes and to identify any corrective action required to prevent a
recurrence and / or to reduce risk. The investigation of near misses provides an opportunity for
improvement and allows for a proactive rather than reactive approach.
8.2 During the investigation, managers will liaise with the appropriate staff to prepare a report
that details the findings, conclusions and recommendations to prevent recurrence. Depending
on the circumstances, this may involve taking statements from the staff involved as well as
service users, carers, members of their family and friends and may also require photographs to
be taken as appropriate and commensurate with the risk.
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
9.0 WORKING WITH CARE PROVIDERS FROM OTHER AGENCIES
9.1 If Crossroads Care staff are asked to work alongside staff from another care provider there
needs to be clear agreement of procedures to ensure that accident, incident and near miss
reporting is consistently managed. Even though staff from the other care provider complete
their own accident / incident report forms, this does not remove the need to follow the
Crossroads Care procedure to report the accident, incident or near miss and to complete the
associated report form (DT.03).
10.0 LEARNING AND DEVELOPMENT
10.1 General learning and development requirements relating to this procedure are contained in
the learning and development policy, procedure and guidance for staff (E.13a, E.13b and
E.13c).
10.2 Members of staff will receive the necessary instruction and training so that they know how
to accurately report and record accidents, incidents and near misses at work.
10.3 Managers are responsible for assessing the roles undertaken by volunteers (including
trustees) within their scheme and the level of briefing / induction those volunteers require in
relation to the health and safety guidance for volunteers (F.01c).
11.0 ACCEPTANCE
11.1 Managers, care planners and staff members involved in the implementation of this
procedure are required to evidence that they have received, read and understood its contents.
Evidence required:
 title and reference number of the document
 name and signature of the staff member
 job title
 date.
11.2 Responsibility for following this procedure rests with the individual staff member. Failure to
do so may result in disciplinary proceedings.
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
APPENDIX 1
ACCIDENT
An accident is a separate, identifiable, unintended event that causes physical injury or ill health. It
specifically includes acts of non-consensual violence to people at work.
INCIDENT
An incident is a single distinct event that can include:
 violence to staff
 physical contact
 abuse
 threatening behaviour.
“NEAR-MISS”
A “near-miss” incident is any event, which under slightly different circumstances, may have resulted in
injury or ill health.
DANGEROUS OCCURRENCE
A dangerous occurrence is any incident that has a high potential to cause death or serious injury and is
specified by the Reporting of Incidents, Diseases and Dangerous Occurrences Regulations 1995
SPECIFIED INJURIES
Specified injuries include:
 a fracture, other than to fingers, thumbs and toes
 amputation of an arm, hand, finger, thumb, leg, foot or toe
 permanent loss of sight or reduction of sight
 crush injuries leading to internal organ damage
 serious burns (covering more than 10% of the body, or damaging the eyes, respiratory
system or other vital organs)
 unconsciousness caused by head injury or asphyxia
 any other injury arising from working in an enclosed space, which leads to hypothermia,
heat-induced illness or requires resuscitation or admittance to hospital for more than 24
hours.
REPORTABLE OCCUPATIONAL DISEASES
Reportable occupational diseases include:
 carpal tunnel syndrome
 severe cramp of the hand or forearm
 occupational dermatitis
 hand-arm vibration syndrome
 occupational asthma
 tendonitis or tenosynovitis of the hand or forearm
 any occupational cancer
 any disease attributed to an occupational exposure to a biological agent
REPORTABLE DANGEROUS OCCURENCES
A dangerous occurrence is any incident that has a high potential to cause death or serious injury. Not
all such events require reporting. There are 27 categories of dangerous occurrences that are
relevant to most workplaces. Examples include:
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
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Accident incident and near miss reporting, recording and investigation procedure
an accident or incident that could result in the release of a biological agent likely to cause
severe human illness or infection, or a sharps injury involving known blood / bodily fluid
infected with a blood borne virus (BBV) such as Hepatitis B or C or HIV
collapse, overturning or failure of load-bearing parts of lifts and lifting equipment (for
example hoists, stair lifts, through-floor lifts)
electrical short circuit or overload causing fire or explosion
unintentional collapse of a wall or floor in a place of work or any false work
accidental release of any substance that may damage health.
The above lists are not exhaustive. Full details are available on the HSE website:
www.hse.gov.uk
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
APPENDIX 2
Accident / incident / near miss reporting flowchart
Work-related accidents / incidents / near misses
involving staff
Near Miss
Accident
Incident
Over 7 days
incapacity /
absence from
work /
RIDDOR
Accidents / incidents / near misses to
service users, members of their family,
contractors, others
Fatality
Major
Injury
Notifiable
Disease
No
Yes
Yes
Has the person been taken from
scene to hospital for treatment or
has there been a fatality?
Yes
No
Yes
Staff to report to manager / person on
call immediately. Manager to report
under RIDDOR as required.
RIDDOR
Staff to inform manager who will
inform HSE and Carers Trust as
required and follow up with
F2508/F2508A or F2508A.
Staff to fill in report form (DT.03)
promptly. Staff to complete accident
book.
Manager to complete and sign off report
form (DT.03) and submit to Crossroads
Care insurance brokers (Watson Laurie).
Manager to investigate and identify
corrective actions if appropriate and
commensurate with risk
Records of accidents / incidents / near
misses will be retained by Crossroads
care schemes for at least fifty years
Staff to implement, operate and maintain
any corrective actions – manager to track
to completion.
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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Crossroads Care
Accident incident and near miss reporting, recording and investigation procedure
Policy/Reportin&recordingoccurences/2012/08/APf009
© Carers Trust 2014
Last updated July 2014
Review due July 2015
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