Hazard & Incident Reporting Procedure – HS307

Version Approved by Approval date Effective date Next full review

9.0 Director, Risk and Safety Management 7 March 2022 7 March 2022 March 2025

Procedure Statement
To outline the process in identifying hazards to the health and safety of staff,
Purpose students, contractors and visitors to UNSW campuses; and the reporting and
recording of hazards and incidents.

This procedure applies to all workers, including staff, students, contractors and
Scope
visitors on any UNSW campus or affected by UNSW business.

Are Local Documents on this ☒ Yes, however Local Documents must be consistent with this ☐ No
subject permitted? University-wide Document

Procedure Processes and Actions

Contents
Introduction .............................................................................................................................................................. 1
1. Identifying a hazard or incident ....................................................................................................................... 1
2. Recognise and Respond ................................................................................................................................. 2
3. Completing hazard and incident reports ......................................................................................................... 2
4. Managing hazard and incident reports ........................................................................................................... 2
4.1. Incident investigations ............................................................................................................................. 2
5. Reporting incidents to Authorities ................................................................................................................... 4
5.1. Reporting Notifiable Incidents to the Regulator ....................................................................................... 4
5.2. Reporting to other Authorities .................................................................................................................. 4
5.3. Preservation of the site ............................................................................................................................ 4
6. Roles and Responsibilities .............................................................................................................................. 4
7. Recordkeeping ................................................................................................................................................ 5
Appendix 1 – Hazard and Incident Reporting Flowchart ......................................................................................... 7
Appendix 2 – Notifiable incidents ............................................................................................................................ 8

Introduction
Early reporting of hazards and incidents enables prompt identification of corrective actions that need to be
implemented to prevent recurrence of similar hazards and incidents, ultimately reducing the number of
hazards and incidents occurring across UNSW.
Reporting of hazards and incidents also enables senior management to identify and address areas of
concern and trends in occurrence (Refer to Appendix 1: Hazard and Incident Reporting Flowchart).

1. Identifying a hazard or incident

Hazards may be identified in several ways including during normal day-to-day activities, during an
inspection or audit, or as the result of an incident investigation. An incident may occur as a result of a
hazard/s impacting the safety of people, equipment, or the environment. This may result in injury, damage,
or environmental releases.
All hazards and incidents must be reported as soon as practicable after the event.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 1 of 8
Version: 9.0 Effective 7 March 2022
 Death, serious illness or injury and dangerous incidents (defined as Notifiable – see Appendix 2), must be
reported immediately to the Senior Manager, Safety and Injury Management, or a member of the Safety
Unit located here - https://safety.unsw.edu.au/contacts.

2. Recognise and Respond

• Assess the situation and at no time put yourself or others in danger
• Inform a supervisor if possible
• Assess the need to trigger an Emergency Response, such as raising alarm, evacuation, access
control, obtaining first aid assistance
• Initiate response for rescue, medical, fire, security, isolation, containment where required
• Consider site preservation and data gathering for the investigation phase
• Consider debrief, counselling and EAP services for those potentially affected.

3. Completing hazard and incident reports

Confidential reports are to be submitted directly to the Senior Manager, Safety and Injury Management by
emailing a completed Hazard & Incident Report Form – HS001 to [email protected]. Indicate Confidential in
the email header.
All other hazards and incidents are to be reported online in WHS Monitor which can be accessed via myUNSW /
WHS Monitor. For further details on how to report an entry in WHS Monitor, refer to:
• How to Report a Hazard
• How to Report an Incident
• How to Report an Inspection.

To avoid the use of paper forms, those who have access to myUNSW can submit a report ‘on behalf’ of another
staff member, visitor or contractor.
Hazard & Incident Report Form – HS001 can be used to report a hazard or incident if:
• WHS Monitor is off-line; or
• The person reporting the issue does not have access to the online platform.
The person completing the form must submit the form to their supervisor/manager as soon as practical for
recording in MyUNSW / WHS Monitor. A copy of the paper form must be emailed to [email protected].

4. Managing hazard and incident reports

The supervisor responsible for the person who reported the hazard or incident must carry out further
investigations to identify corrective actions, in consultation with the person reporting the issue. Corrective
actions must be recorded in the related report and assigned to an appropriate responsible person. The
nominated responsible person must ensure the corrective actions are implemented in a timely manner.
Corrective actions should then be reviewed for effectiveness, prior to closing out the relevant entry in WHS
Monitor.
For further details in managing an entry in WHS Monitor, refer to:
• How to Manage a Hazard
• How to Manage an Incident
• How to Manage an Inspection
• How to Create Corrective Actions.

4.1. Incident investigations

Safety related incidents falling in the below categories require a detailed investigation to be conducted:
a) A serious incident has been reported, which may need to be reported to the State Regulator (e.g., .in
NSW - SafeWork NSW; in Canberra - WorkSafe ACT)
b) An incident/issue that has been accepted as a Workers Compensation claim
c) An issue that has been previously raised with the worker’s supervisor or their work group’s Safety
Representative (HSR), or the Safety Committee (L3) which has not been able to be resolved
d) As requested by the Senior Manager, Safety and Injury Management.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 2 of 8
Version: 9.0 Effective 7 March 2022
 In addition to reporting the incident in WHS Monitor, Investigation Report Form – HS003 must be completed
to record the detail of the investigation.

The Safety Unit will coordinate the investigation with other relevant persons as required, such as the Senior
Manager of the area, supervisor of the area, HS Committee representative, the UNSW Legal Office. The
Safety Unit will coordinate any external investigation report that is to be forwarded to SafeWork NSW,
WorkSafe ACT or other relevant authorities. If required, a content expert in the area, field or equipment
relating to the incident will be consulted.
The investigation process should include the following steps to gather information required to complete the
Investigation Report Form – HS003:
1. The formation of the investigation team which may include a central safety contact; management
representatives who have knowledge of the relevant work area or process; the relevant
manager/supervisor from the School or Unit, and the appointment of a lead investigator.

2. If there are any witnesses or persons that were involved in the incident/issue, the lead investigator
should attempt to interview them. Some useful things to remember in interviews are:
a. Avoid asking leading questions or prompting the witness (e.g., Open: Where were you at the
time? Leading: You were in the kitchen at the time, were you?)
b. Document only the facts: what the interviewee said, did or saw

3. The persons involved in the investigation should inspect the area and/or equipment related to the
incident/issue

4. Photos should be taken wherever possible; these are particularly beneficial to those who may not be
familiar with the area

5. Any test equipment (e.g., air monitor) used must be properly calibrated and within service date

6. Obtain copies of Risk Management Forms (RMFs), Safe Work Procedures (SWPs), training records,
induction records, etc. related to the incident/issue

7. Narrow down the causes of the incident/issue by a process of elimination. Determine whether the
following contributing factors had an impact on the incident/issue:
a. Environment
b. Equipment
c. Organisation
d. People
e. Procedure

8. Identify the root cause/s of the incident/issue

9. Attach all supporting investigation information to the Investigation Report Form

10. Identify any corrective actions to prevent the incident/issue from happening again, or suggested
measures to help resolve the matter. To ensure corrective actions arising from the incident investigation
are appropriate and realistic, it is important to consult with workers or worker representatives who will
be directly affected by those actions

11. Enter the corrective actions into the related WHS Monitor report and assign an appropriate responsible
person for each corrective action.

12. A copy of the completed Investigation Report Form is to be uploaded as an attachment in the relevant
WHS Monitor report

13. A copy of the completed Investigation Report Form should be emailed to the Senior Manager, Safety
and Injury Management at [email protected].
All investigations should be treated as confidential, and the Investigation Report form should not be widely
distributed.
For reportable incidents, a Safety Unit contact must be involved in the investigation.
Local copies should only be retained in RAMS.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 3 of 8
Version: 9.0 Effective 7 March 2022
5. Reporting incidents to Authorities

5.1. Reporting Notifiable Incidents to the Regulator

Any notifiable incident must be reported to the Regulator immediately after UNSW is aware it has happened
by the fastest means possible e.g., by telephone or in writing. The Senior Manager, Safety and Injury
Management will coordinate the reporting of notifiable incidents to SafeWork NSW or WorkSafe ACT.
Note - Firstly, it is important to ensure the wellbeing of potential injured parties - providing emergency care
e.g., first aid or ambulance, prior to contacting the Regulator.
Where an incident occurs outside of business hours the Security Manager will contact the Senior Manager,
Safety and Injury Management in order to coordinate the reporting.
At UNSW Canberra, the Manager HS & Facilities will coordinate the reporting of notifiable incidents to
WorkSafe ACT. If a notifiable incident occurs outside of business hours the relevant UNSW Canberra
manager must either notify WorkSafe ACT on 6207 3000 or the Manager HS & Facilities as soon as
practicable.

5.2. Reporting to other Authorities

In the event of a serious incident which requires reporting to other regulatory authorities, contact the
relevant responsible officer (e.g., in the event of a radiation incident contact the UNSW Radiation Safety
Officer, in the event of a release of, or exposure to, a genetically modified organism (GMO) contact the
GTRC Support Officer in the UNSW RECS Unit). The Senior Manager, Safety and Injury Management can
also be contacted to assist in direct reporting.

5.3. Preservation of the site

Where UNSW is the controller of the workplace where a notifiable incident has occurred we will ensure, so
far as is reasonably practicable, that the site (e.g., plant, substance, structure) is not disturbed until an
inspector arrives or directs so.

6. Roles and Responsibilities

Take immediate actions to remove any identified hazards, if safe to do so
Report all hazards and incidents as soon as practicable after the event
Record hazard and incident reports online via WHS Monitor (if WHS Monitor is off-line,
Workers and Students or you do not have access to WHS Monitor Hazard and Incident Report Form-HS001 is
to be completed)
Inform a supervisor/manager as soon as practicable
Participate in the investigation process and assist in identifying corrective actions.

Encourage workers and students to report any hazards and incidents as soon as
practicable
Carry out further investigations to identify corrective actions, in consultation with the
Supervisors/Managers person reporting the issue
Monitor corrective actions for timely implementation
Liaise with the Local Safety Contact and Safety Unit as required.

Person designated
Ensure corrective actions are implemented in a timely manner and reviewed for their
responsible for corrective
effectiveness prior to closing out the report.
actions

Local Safety Contacts Assist in identifying corrective actions and assist in the investigation process.

Coordinate the investigation process of significant and notifiable incidents and liaise with
Safety Unit all relevant persons as required, such as workers, supervisors, relevant authorities and
relevant experts.

Senior Manager, Safety and Coordinate the reporting of notifiable incidents to SafeWork NSW, WorkSafe ACT or
Injury Management other relevant authorities.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 4 of 8
Version: 9.0 Effective 7 March 2022
7. Recordkeeping
All records relating to HS hazard and incident reporting and investigation must be maintained in accordance
with the University’s Recordkeeping Policy.

Accountabilities

Responsible Officer Director, Risk and Safety Management

Contact Officer Senior Manager, Safety and Injury Management

Supporting Information
This Procedure supports the University’s compliance with the following legislation:
Legislative Compliance Work Health and Safety Act 2011 (NSW)
Work Health and Safety Regulation 2017

Parent Document (Policy) Health and Safety Policy

Hazard & Incident Report Form – HS001

Investigation Report Form – HS003

How to Report a Hazard

How to Report an Incident

How to Report an Inspection

Supporting Documents
How to Manage a Hazard

How to Manage an Incident

How to Manage an Inspection

How to Create Corrective Actions

Related Documents HS329 Risk Management Procedure

Superseded Documents HS307 Hazard & Incident Reporting Procedure, v8.0

File Number 2014/15659

Definitions and Acronyms

An action taken to eliminate or minimise health and safety risks so far as is reasonably
Corrective action
practicable.

An occurrence or set of circumstances, as a consequence of which pollution (air, water,

Environmental Incident noise, or land) or an adverse environmental impact has occurred, is occurring, or is
likely to occur.

A situation or thing that has the potential to harm a person or property, damage
Hazard
equipment or cause environmental impact.
With regards to health and safety, an unplanned event related to a person or property
Incident resulting in or potential for injury/ill health or other loss (including environmental and
near miss).

Any event arising as a result of work performed which results in a work injury, illness, or
Injury/Accident
damage to property.

Near Miss An event that could have resulted in human injury or damage to property, process or the
environment, but did not.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 5 of 8
Version: 9.0 Effective 7 March 2022
 Is an event that must be reported to the Regulator, that is:
(a) the death of a person, or
(b) a serious injury or illness of a person, or

Notifiable incident (c) a dangerous incident.

See Appendix 2 for a list of serious injuries or illnesses and dangerous incidents,
detailed within Part 3 of the Work Health and Safety Act 2011 (WHS Act 2011).
Note: All events that lead to an injury, illness or possible injury/illness must be reported
to UNSW, regardless of whether they are a “notifiable incident”.

The possibility that harm (death, injury or illness) might occur when exposed to a
Risk
hazard.

Any person who carries out work for a PCBU, including work as an employee,
contractor, subcontractor, self-employed person, outworker, apprentice or trainee, work
Worker
experience student, employee of a labour hire company placed with a 'host employer'
and volunteers.

Any place where work is carried out for a business or undertaking and includes any
place where a worker goes, or is likely to be, while at work. This may include offices,
Workplace
factories, shops, construction sites, vehicles, ships, aircraft or other mobile structures on
land or water.

Revision History
Version Approved by Approval date Effective date Sections modified
Director, Risk Management
1-5 Unit 2001-2005 2001-2005

5.1 Director, Human Resources 1/3/2007 1/1/2007 All

Details of investigation
6.0 Director, Human Resources 1/1/2007 1/1/2007 committee added. Scope
increased.
Reporting serious incidents
and recordkeeping added.

6.1 OHS Manager 1/1/2007 1/1/2007 Details of investigator

competency added

7.0 Director, Human Resources 19/11/2010 19/11/2010 Hazard and incident reporting
procedure changed to reflect
online system.
7.1 Specified that any WorkCover
Director, Human Resources 24/04/2013 24/04/2013 NSW notifiable or Workers
Compensation Incident must
have detailed investigation.
Updated the notifiable
incidents to what is specified in
the new legislation.
Added the need to preserve
the site. Removed reference to
travel to or from work.

7.2 Director, UNSW Safety and Reviewed for administrative

30 April 2014 30 April 2014
Sustainability updates

8.0 Reviewed for administrative

Director, UNSW Safety and updates, investigation
16 March 2016 16 March 2016
Sustainability processes and reporting
timeframes to authorities.

Director, Risk and Safety

9.0 7 March 2022 7 March 2022 Full review + new flowchart
Management

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 6 of 8
Version: 9.0 Effective 7 March 2022
Appendix 1 – Hazard and Incident Reporting Flowchart
Appendix 1: HAZARD AND INCIDENT REPORTING
FLOWCHART

A Hazard is identified or an Incident has occurred

Recognise and respond

Is the issue Notifiable?

NO YES

Complete a hazard or incident report in myUNSW/WHS Monitor

If WHS Monitor is off-line; the matter is confidential; or the person reporting

does not have access to WHS Monitor, complete Hazard & Incident Report
Form – HS001

And submit the completed form to a supervisor as soon as practical for Preserve the site
recording in myUNSW

Note: where the matter is confidential, the completed form is to be emailed to

[email protected] – indicating Confidential in the email header.

Managing hazard and incident reports Supervisor receives notification of the Immediately notify the
new hazard or incident via WHS Monitor Senior Manager, Safety
and Injury Management,
Supervisor to review and amend (where necessary) the hazard or incident or a UNSW Safety Team
report and carries out further investigations to identify corrective actions member
Corrective Actions are to be documented into the related hazard or incident
entry in WHS Monitor

Has the incident

- been accepted as a workers compensation claim; or

- been previously raised with the worker’s supervisor or their work group’s
YES Safety representative (HSR), or the Safety Committee (L3) which has not been
able to be resolved; or A detailed investigation is to
be conducted using
Investigation Report Form –
- the Senior Manager, Safety and Injury Management has requested that an HS003
Investigation Report Form should be completed?

NO

A detailed
investigation is to
be conducted using Nominated person responsible to monitor
Investigation for implementation of corrective actions
Report Form –
HS003

Nominated person responsible to review

corrective actions for effectiveness then
close out the hazard or incident report in
WHS Monitor

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 7 of 8
Version: 9.0 Effective 7 March 2022
Appendix 2 – Notifiable incidents
(Reference- Work Health and Safety Act 2011- Part 3 Incident Notification, Section 35-39)

1. Death of a person
2. Serious injury or illness of a person

A serious injury or illness of a person means an injury or illness requiring the person to have:

(a) immediate treatment as an in-patient in a hospital, or

(b) immediate treatment for:
(i) the amputation of any part of his or her body, or
(ii) a serious head injury, or
(iii) a serious eye injury, or
(iv) a serious burn, or
(v) the separation of his or her skin from an underlying tissue (such as de-gloving or scalping), or
(vi) a spinal injury, or
(vii) the loss of a bodily function, or
(viii) serious lacerations, or
(c) medical treatment within 48 hours of exposure to a substance,
and includes any other injury or illness prescribed by the regulations but does not include an illness or
injury of a prescribed kind.

3. Dangerous incident

A dangerous incident means an incident in relation to a workplace that exposes a worker or any other
person to a serious risk to a person’s health or safety emanating from an immediate or imminent exposure
to:
(a) an uncontrolled escape, spillage or leakage of a substance, or
(b) an uncontrolled implosion, explosion or fire, or
(c) an uncontrolled escape of gas or steam, or
(d) an uncontrolled escape of a pressurised substance, or
(e) electric shock, or
(f) the fall or release from a height of any plant, substance or thing, or
(g) the collapse, overturning, failure or malfunction of, or damage to, any plant that is required to be
authorised for use in accordance with the regulations, or
(h) the collapse or partial collapse of a structure, or
(i) the collapse or failure of an excavation or of any shoring supporting an excavation, or
(j) the inrush of water, mud or gas in workings, in an underground excavation or tunnel, or
(k) the interruption of the main system of ventilation in an underground excavation or tunnel, or
(l) any other event prescribed by the regulations but does not include an incident of a prescribed kind.

___________________________________________________________________________________________________
Hazard and Incident Reporting Procedure -HS307 Page 8 of 8
Version: 9.0 Effective 7 March 2022