Incident Reporting Policy

Oakleaf CC

Policy Number: 008

Pages: 12
Effective Date: 06/06/2023
Policy Approval Authority: RR

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TABLE OF CONTENTS
1 Policy Statement...............................................................................................................................4
1.1 Statement of Intent..........................................................................................................................4
1.2 Aims and Objectives........................................................................................................................5

2 Policy Outline....................................................................................................................................6
2.1 Reporting Procedure: ......................................................................................................................6
2.2 Potential Incidents...........................................................................................................................7

3 Applicability and NON-COMPLIANCE..............................................................................................9

3.1 Oakleaf Responsible.......................................................................................................................9
3.2 Non-compliance.................................................................................................................................9

4 Definitions.......................................................................................................................................12
5 Getting Help....................................................................................................................................13
5.1 OAKLEAFCC.....................................................................................................................................13
5.1.1 https://www.google.com/url?
sa=t&rct=j&q=&esrc=s&source=web&cd=&cad=rja&uact=8&ved=2ahUKEwiz_-
nt8aeDAxVYVkEAHT2vDlgQFnoECCUQAQ&url=https%3A%2F%2Fassets.publishing.service.gov.uk
%2Fgovernment%2Fuploads%2Fsystem%2Fuploads%2Fattachment_data%2Ffile%2F32121%2F1-949-agency-
workers-regulations-guidance.pdf&usg=AOvVaw1VMcTliMMCZRQmt6ViSF25&opi=89978449 13
5.1.2 Modern Slavery Act 2015 ................................................................................................................. 13
5.1.3 Health and Safety at Work, etc Act 1974 ..................................................................................13
5.1.4 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 .......13
5.1.5 Agency Workers (Amendment) Regulations 2011 ...................................................................13
5.1.6 Agency Workers Regulations 2010 ............................................................................................... 13
5.1.7 Management of Health and Safety at Work Regulations 1999 ..........................................14
5.1.8 Provision and Use of Work Equipment Regulations 1998 ...................................................14
5.1.9 Health and Safety Information for Employees Regulations 1989 .....................................14

5.2 External Agencies..........................................................................................................................14

5.2.1 Emergency Services: ......................................................................................................................... 14
5.2.2 Health and Safety Executive (HSE): ............................................................................................14
5.2.3 Environmental Protection Agency (EPA) or Equivalent: ......................................................14
5.2.4 Local Authorities: ................................................................................................................................ 14
5.2.5 Public Health Agencies: ................................................................................................................... 14
5.2.6 Occupational Health Services: ....................................................................................................... 14

5.3 Incident Hotline...............................................................................................................................14

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6 Policy Authority...............................................................................................................................14
7 Further references..........................................................................................................................15
8 Incident Reporting procedure.........................................................................................................17
9 Disciplinary Process flow chart.......................................................................................................18
10 Here............................................................................................................................................19
11 here............................................................................................................................................ 19

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 INCIDENT REPORTING

1 POLICY STATEMENT
1.1 Statement of Intent
At OAKLEAFCC, we prioritize the safety and well-being of our employees, visitors, and the
community. We are committed to maintaining a secure and healthy environment by promptly
addressing and resolving incidents that may occur within our facilities or during our activities.
Our Commitment:
i. Safety First: The safety of our personnel, visitors, and stakeholders is our top priority. We are dedicated to creating
and sustaining a workplace culture that values safety, where everyone is empowered to report incidents without fear
of reprisal.
ii. Open Communication: We encourage open and transparent communication regarding incidents. It is our belief that
reporting incidents promptly allows us to identify potential hazards, implement corrective measures, and prevent
future occurrences.
iii. Continuous Improvement: We are committed to continuous improvement in our health and safety practices. Incident
reporting is viewed as an opportunity to learn and enhance our procedures, ensuring that we create a safer and more
secure environment for all.
iv. Our Expectations:
v. Employee Responsibility: All employees are expected to report incidents promptly and accurately. This includes near
misses, accidents, injuries, and any other events that may impact health and safety.
vi. Immediate Reporting: Incidents should be reported as soon as possible to the designated supervisor, manager, or
through the designated reporting channels outlined in our incident reporting procedures.
vii. Non-Retaliation: We prohibit any form of retaliation against individuals who report incidents in good faith. Our
commitment to a culture of safety means that reporting incidents is a valued contribution to our collective well-being.
viii. Our Response:
ix. Timely Investigation: Upon receiving a report, we will conduct a prompt and thorough investigation to determine the
root cause of the incident and implement corrective actions.
x. Communication: We will communicate the outcomes of incident investigations to relevant parties, sharing lessons
learned and steps taken to prevent recurrence.
xi. Continuous Monitoring: We will monitor incident trends, seeking patterns that may indicate systemic issues. This
information will inform our ongoing efforts to improve health and safety measures.
xii. By adhering to this incident reporting policy and fostering a culture of safety, we aim to create an environment where
everyone feels empowered to contribute to our collective well-being.

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1.2 Aims and Objectives
i. Promote Safety and Well-being:
Aim: Foster a culture that prioritizes the safety and well-being of all individuals within the organization.
Objective: Instil a sense of responsibility among employees to actively contribute to a safe working environment.
ii. Early Detection of Hazards:
Aim: Identify and address potential hazards and risks in the workplace promptly.
Objective: Encourage timely reporting of near misses, unsafe conditions, and incidents to facilitate proactive hazard
mitigation.
iii. Compliance with Regulations:
Aim: Ensure compliance with local, national, and industry-specific health and safety regulations.
Objective: Develop reporting processes that align with legal requirements and industry standards.
iv. Continuous Improvement:
Aim: Establish a culture of continuous improvement in health and safety practices.
Objective: Use incident reports as learning opportunities to enhance existing procedures and prevent future incidents.
v. Non-Retaliation Environment:
Aim: Create an environment where individuals feel comfortable reporting incidents without fear of retaliation.
Objective: Implement measures to protect individuals who report incidents in good faith from any form of reprisal.
vi. Effective Communication:
Aim: Facilitate clear and effective communication regarding incidents.
Objective: Establish reporting channels and communication processes that ensure information about incidents is
relayed promptly to the appropriate parties.
vii. Timely Response and Investigation:
Aim: Ensure incidents are responded to and investigated in a timely and thorough manner.
Objective: Define procedures for prompt incident response, investigation, and implementation of corrective actions.
viii. Establish Reporting Procedures:
Objective: Clearly define the steps and methods for reporting incidents, including the information required and the
individuals or departments to contact.
ix. Training and Awareness:
Objective: Provide training to employees on incident reporting procedures, emphasizing the importance of reporting
and their role in maintaining a safe workplace.

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 x. Documentation and Record-Keeping:
Objective: Develop a system for documenting and maintaining records of incident reports, investigations, and
corrective actions taken.
xi. Analysis and Trend Monitoring:
Objective: Regularly analyse incident data to identify trends and patterns, enabling the organization to address
underlying systemic issues.
xii. Accountability:
Objective: Clearly define roles and responsibilities for incident reporting, investigation, and resolution, ensuring
accountability at all levels of the organization.
xiii. Review and Revision:
Objective: Periodically review and update the incident reporting policy to reflect changes in regulations, industry
standards, and organizational needs.
xiv. Integration with Other Policies:
Objective: Ensure alignment with other organizational policies, such as emergency response plans, to create a
cohesive approach to health and safety.
xv. Feedback Mechanism:
Objective: Establish a feedback mechanism to communicate investigation outcomes and implemented corrective
actions to relevant stakeholders.
xvi. Performance Metrics:
Objective: Define key performance indicators (KPIs) to measure the effectiveness of the incident reporting process
and use the data to drive continuous improvement.

2 POLICY OUTLINE
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2.1 Reporting Procedure:

i. Immediate Response: In the event of an incident, the staff member who witnesses, becomes aware of, or is involved
in the incident must immediately ensure the safety and well-being of all individuals involved.
ii. Notify Supervisor: The staff member must report the incident to their immediate supervisor or the designated authority
as soon as possible after ensuring the safety of those involved. If the supervisor is unavailable, the next senior staff
member should be informed.

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 iii. Complete Incident Report Form: The staff member or supervisor must complete an incident report form detailing the
date, time, location, individuals involved, description of the incident, and any actions taken following the incident. This
report should be submitted within [insert timeframe] of the incident occurrence.
iv. Investigation: Upon receiving the incident report, the designated authority will conduct an investigation to determine
the cause of the incident and implement necessary corrective actions to prevent future occurrences.
v. Confidentiality: All incident reports and related information will be kept confidential and shared only with authorized
personnel involved in the investigation or those who have a legitimate need to know.
vi. Training and Awareness: OAKLEAFCC will provide training to all staff members regarding the incident reporting
procedure, emphasizing the importance of prompt reporting and maintaining confidentiality.
vii. Policy Review: This incident reporting policy will be reviewed annually or as necessary to ensure its effectiveness and
relevance to the childcare centre’s operations.
viii. Compliance: Non-compliance with this incident reporting policy may result in disciplinary action, up to and including
termination of employment or association with OAKLEAFCC.
ix. Conclusion: It is the responsibility of every individual associated with OAKLEAFCC to promptly and accurately report
any incidents to ensure the safety, security, and well-being of all involved parties.

2.2 Potential Incidents

An incident reporting policy should cover a wide range of potential incidents to ensure a
comprehensive approach to health and safety in the workplace. Here is a list of potential
incidents that employees may need to report:
a) Accidents:
i) Falls, slips, or trips
ii) Strains or sprains
iii) Cuts, abrasions, or punctures
iv) Burns or scalds.
v) Electric shocks or electrical accidents
b) Near Misses:
i) Unsafe conditions or practices observed.
ii) Equipment malfunctions or failures
iii) Close calls involving potential injuries or damage.
c) Environmental Incidents:
i) Spills or leaks of hazardous substances
ii) Environmental pollution incidents
iii) Improper waste disposal
d) Health and Safety Hazards:
i) Unsafe work conditions (e.g., poor lighting, blocked exits)
ii) Hazardous substances exposure
iii) Inadequate personal protective equipment (PPE)
e) Security Incidents:
i) Unauthorized access or trespassing

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 ii) Suspicious activities or persons
iii) Theft or vandalism
f) Work-related Illnesses:
i) Occupational diseases or illnesses
ii) Allergic reactions to workplace substances
iii) Respiratory issues related to work conditions.
iv) Equipment or Machinery Incidents:
v) Equipment malfunctions
vi) Machinery breakdowns
vii) Unsafe use of tools or equipment
g) Vehicle Incidents:
i) Accidents involving company vehicles.
ii) Near misses related to transportation
iii) Vehicle breakdowns impacting safety.
h) Fire or Emergency Evacuation:
i) Fire incidents or alarms
ii) Evacuation drills or procedures not followed.
iii) Blocked fire exits or emergency exits.
i) Incidents Involving Customers or Visitors:
i) Customer or visitor injuries
ii) Disruptive behaviour by customers or visitors
iii) Security concerns related to external individuals.
j) Workplace Violence or Harassment:
i) Physical altercations or threats
ii) Verbal or written harassment
iii) Bullying incidents
k) Power Outages or Utility Failures:
i) Electrical power outages
ii) Water supply disruptions
iii) Gas leaks or disruptions
l) Communicable Diseases or Public Health Concerns:
i) Outbreaks of infectious diseases
ii) Employee or visitor illnesses affecting others.
iii) Failure to follow health protocols.
m) Training or Safety Procedure Concerns:
i) Lack of training or awareness
ii) Inadequate safety signage or communication
iii) Non-compliance with safety procedures
n) Structural or Building Issues:
i) Structural damage or concerns
ii) Building maintenance issues affecting safety
iii) Poor ventilation or air quality concerns
o) Cybersecurity Incidents:
i) Unauthorized access to computer systems
ii) Data breaches or leaks
iii) Malware or ransomware attacks
This list is not exhaustive, and the specific incidents to be reported may vary depending on the
nature of the work, industry, and organizational context. It's essential to encourage a culture where

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 all employees are aware of the reporting procedures and feel empowered to report any situation that
may pose a risk to health, safety, or the overall well-being of individuals in the workplace.

3 APPLICABILITY AND NON-COMPLIANCE

3.1 Oakleaf Responsible
Management responsibilities and appropriate procedures must be established to ensure an effective
response against an incident and determine the most appropriate response.
An incident management process must be created and include details of:
i. Identification of the incident, analysis to ascertain its cause and vulnerabilities it exploited.
ii. Limiting or restricting further impact of the incident.
iii. Tactics for containing the incident.
iv. Corrective action to repair and prevent reoccurrence.
v. Communication across the company to those affected.
The process must also include a section referring to the collection of any evidence that might be
required for analysis as forensic evidence. The specialist procedure for preserving evidence must be
carefully followed.
The actions required to recover from the security incident must be under formal control. Only
identified and authorised staff should have access to the affected systems during the incident and all
of the remedial actions should be documented in as much detail as possible.

3.2 Non-compliance
Non-compliances with an incident reporting policy can pose significant risks to the safety, health, and
well-being of individuals within an organization. Identifying and addressing non-compliances is
essential for maintaining a proactive and effective safety culture. Here are some potential non-
compliances to an incident reporting policy and how they might be addressed:
1) Failure to Report Incidents:
a) Indicators:
i) Employees not reporting incidents promptly.
b) Addressing Non-Compliance:
i) Conduct regular training sessions to reinforce the importance of incident reporting.
ii) Communicate the non-retaliation policy to assure employees that reporting incidents is
encouraged and protected.
2) Incomplete or Inaccurate Incident Reports:
a) Indicators:
i) Incident reports lacking essential information.
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 ii) Inaccurate details in incident reports.
b) Addressing Non-Compliance:
i) Provide clear guidelines on the information required in incident reports.
ii) Offer training on completing thorough and accurate incident reports.
3) Failure to Investigate Incidents:
a) Indicators:
i) Lack of follow-up on reported incidents.
ii) Incomplete or delayed investigations.
b) Addressing Non-Compliance:
i) Establish clear procedures for incident investigation and follow-through.
ii) Assign responsibilities for timely investigations and corrective actions.
4) Inadequate Corrective Actions:
a) Indicators:
i) Recurrence of similar incidents.
ii) Lack of implementation of preventive measures.
b) Addressing Non-Compliance:
i) Emphasize the importance of identifying root causes and implementing effective corrective
actions.
ii) Monitor the effectiveness of corrective measures and adjust as needed.
5) Non-Compliance with Reporting Channels:
a) Indicators:
i) Incidents reported to the wrong person or channel.
b) Addressing Non-Compliance:
i) Clearly communicate reporting channels and ensure employees are aware of the correct
points of contact.
ii) Provide multiple reporting options to facilitate accessibility.
6) Lack of Training and Awareness:
a) Indicators:
i) Employees unaware of incident reporting procedures.
ii) Lack of understanding of the importance of incident reporting.
b) Addressing Non-Compliance:
i) Implement regular training programs to educate employees on incident reporting policies
and procedures.
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 ii) Reinforce the organizational commitment to safety through awareness campaigns.
7) Non-Retaliation Concerns:
a) Indicators:
i) Fear among employees of reprisals for reporting incidents.
b) Addressing Non-Compliance:
i) Emphasize the non-retaliation policy and provide assurances that reporting incidents in
good faith will not result in negative consequences.
ii) Investigate and address any reported incidents of retaliation promptly.
8) Failure to Review and Revise the Policy:
a) Indicators:
i) Outdated incident reporting policy.
ii) Lack of alignment with current regulations or industry standards.
b) Addressing Non-Compliance:
i) Establish a regular review schedule for the incident reporting policy.
ii) Ensure the policy is updated to reflect changes in regulations, organizational structure, or
industry best practices.
9) Communication Breakdown:
a) Indicators:
i) Lack of communication regarding incident outcomes.
ii) Employees unaware of implemented corrective actions.
b) Addressing Non-Compliance:
i) Establish a robust communication plan for sharing investigation outcomes and
implemented corrective actions.
ii) Ensure information is disseminated to relevant stakeholders in a timely manner.
10) Non-Compliance with Legal and Regulatory Requirements:
a) Indicators:
i) Failure to adhere to specific legal obligations related to incident reporting.
b) Addressing Non-Compliance:
i) Regularly review and update the incident reporting policy to align with current laws and
regulations.
ii) Conduct legal reviews to ensure compliance.
Addressing non-compliances requires a proactive and systematic approach, including ongoing
training, clear communication, and a commitment to continuous improvement. Regular audits and

11
 assessments can also help identify areas of non-compliance and provide opportunities for corrective
action.

4 DEFINITIONS
i. Incident: An incident is any event that deviates from the normal operations of the childcare centre and has the
potential to cause harm, injury, or damage to individuals, property, or the reputation of OAKLEAFCC.
ii. Near Miss: A near miss is an incident that could have resulted in harm, loss, or damage but did not, either by chance
or through timely intervention.
iii. Accident: An accident is an incident that results in injury to a person, damage to property, or both.
iv. Hazard: A hazard is any condition, activity, or substance that has the potential to cause harm, injury, or damage.
v. Unsafe Condition: An unsafe condition refers to any aspect of the workplace environment or activities that poses a
risk of harm to individuals or property.
vi. Emergency: An emergency is a sudden and unexpected situation requiring immediate action to prevent or mitigate
harm, injury, or damage.
vii. Security Incident: A security incident involves any unauthorized access, breach of security protocols, or threat to the
safety and security of individuals or property.
viii. Work-related Illness: A work-related illness is any illness or health condition that is caused or aggravated by exposure
to workplace factors.
ix. Equipment/Machinery Failure: Equipment or machinery failure refers to the malfunction, breakdown, or inadequate
performance of tools, machinery, or equipment used in the workplace.
x. Environmental Incident: An environmental incident involves any event that results in harm or potential harm to the
environment, such as spills, leaks, or pollution.
xi. Security Threat: A security threat is any circumstance or event that has the potential to compromise the safety or
security of individuals, assets, or information.
xii. Cybersecurity Incident: A cybersecurity incident is any unauthorized access, compromise, or disruption of computer
systems, networks, or data.
xiii. Infectious Disease Outbreak: An infectious disease outbreak refers to the occurrence of an increased number of
cases of a particular disease in a specific population or geographic area.
xiv. Bullying and Harassment: Bullying and harassment involve persistent, unwelcome behaviours or actions that create a
hostile or intimidating work environment.
xv. Workplace Violence: Workplace violence encompasses any act or threat of physical violence, intimidation, or
harassment that occurs in the workplace.
xvi. Structural Concern: A structural concern is any issue related to the stability, integrity, or safety of buildings, facilities,
or structures.

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 xvii. Critical Infrastructure Failure: A critical infrastructure failure refers to the disruption or failure of essential systems or
services that are critical to the organization's operations.

5 GETTING HELP
5.1 OAKLEAFCC
1.1. https://www.google.com/url?
sa=t&rct=j&q=&esrc=s&source=web&cd=&cad=rja&uact=8&ved=2ahUKEwiz_-
nt8aeDAxVYVkEAHT2vDlgQFnoECCUQAQ&url=https%3A%2F
%2Fassets.publishing.service.gov.uk%2Fgovernment%2Fuploads%2Fsystem%2Fuploads
%2Fattachment_data%2Ffile%2F32121%2F11-949-agency-workers-regulations-
guidance.pdf&usg=AOvVaw1VMcTliMMCZRQmt6ViSF25&opi=89978449
1.2. Modern Slavery Act 2015
1.3. Health and Safety at Work, etc Act 1974
1.4. Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
1.5. Agency Workers (Amendment) Regulations 2011
1.6. Agency Workers Regulations 2010
1.7. Management of Health and Safety at Work Regulations 1999
1.8. Provision and Use of Work Equipment Regulations 1998
1.9. Health and Safety Information for Employees Regulations 1989

5.2 External Agencies

5.2.1 Emergency Services:
i. Police: In cases involving criminal activities, violence, or threats to security.
ii. Fire Department: For incidents such as fires, hazardous material spills, or emergency evacuations.
iii. Medical Emergency Services (EMS): Immediate response to medical emergencies and serious injuries.
5.2.2 Health and Safety Executive (HSE):
i. The HSE in the UK is responsible for enforcing health and safety regulations. They may provide guidance, conduct
investigations, and take enforcement actions.
5.2.3 Environmental Protection Agency (EPA) or Equivalent:
i. For incidents involving environmental pollution, hazardous material spills, or other environmental concerns.
5.2.4 Local Authorities:
i. Local government agencies may be involved in incident response, especially in cases that impact the community or
public safety.

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5.2.5 Public Health Agencies:
i. For incidents involving the spread of infectious diseases or other public health concerns.
5.2.6 Occupational Health Services:
i. External health services for employee health assessments, follow-up care, and assistance with occupational health
issues.

5.3 Incident Hotline

6 POLICY AUTHORITY

7 FURTHER REFERENCES

1. Health and Safety at Work Act 1974:

o The primary legislation governing workplace health and safety in the UK. It sets out the general duties of
employers to ensure the health, safety, and welfare of employees.
2. Management of Health and Safety at Work Regulations 1999:
o These regulations provide further details on the requirements for managing health and safety in the workplace,
including incident reporting.
3. Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR):
o RIDDOR is a key regulation that specifies the legal requirements for reporting certain types of incidents, injuries,
diseases, and dangerous occurrences to the Health and Safety Executive (HSE).
4. Health and Safety Executive (HSE) Guidance:
o The HSE provides a wealth of guidance on various aspects of health and safety, including incident reporting.
Their website offers specific resources and tools for organizations to improve their incident reporting processes.
5. HSE's Incident Contact Centre (ICC):
o The ICC is the primary point of contact for reporting incidents under RIDDOR. The HSE website provides contact
details and guidance on reporting incidents to the ICC.
6. Trade Union Health and Safety Representatives:
o Engaging with trade union health and safety representatives can provide valuable insights and collaboration in
developing incident reporting policies. They play a role in representing workers' health and safety interests.
7. ACAS (Advisory, Conciliation and Arbitration Service):

14
 o ACAS offers guidance on workplace relations, and while not specific to incident reporting, their resources may
provide insights into effective communication and dispute resolution related to incidents.
8. British Standards Institution (BSI):
o BSI develops standards that may be relevant to incident reporting. Organizations may refer to relevant British
Standards for guidance on best practices.
9. Institution of Occupational Safety and Health (IOSH):
o IOSH is a professional body for health and safety practitioners. Their resources and publications may offer
insights into best practices and the latest developments in health and safety, including incident reporting.
10. Royal Society for the Prevention of Accidents (RoSPA):
o RoSPA provides resources and guidance on accident prevention and safety. Their insights may be valuable in
developing effective incident reporting policies.
11. Health and Safety Laboratory (HSL):
o HSL, part of the HSE, conducts research and provides scientific expertise in support of health and safety. Their
research publications may offer insights into incident investigation and prevention.
12. Construction (Design and Management) Regulations 2015 (CDM):
o Relevant for the construction industry, CDM regulations place duties on those involved in construction projects,
including incident reporting requirements.

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 APPENDICES

8 INCIDENT REPORTING PROCEDURE

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9 REPORTING PROCESS FLOW CHART

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10 DISCIPLINARY PROCESS

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