INCIDENT REPORTS

Function/Purpose
An incident report is not part of the patients chart, but it may be used later in litigation. A report
has two functions:
1.
It informs the administration of the incident so management can prevent
similar incidents in the future.
2.
It alerts administration and the facilitys insurance company to a potential
claim and the need for investigation.
Regulations issued under OSHA require all employers with more than ten employees at any time
during the previous calendar year to maintain records of recordable occupational injuries and
illnesses.
When To Report
Incidents that must be reported and documented include:
1. Exposure Incidents: skin, eye, mucous membrane or parental contact with blood or other
potentially infectious materials that may result from the performance of an employees
duties.
2. Accident, Injury: patient, visitor, employee slips or falls, or other incident, which results
or may result in injury.
3. Event, Behaviors, or Actions: incidents that are unusual, contrary to agency policy or
procedure or which may result in injury.
4. Vaccine Adverse Event Reporting System: reaction to vaccine administered at agency
(use VAERS form, instructions and sample in Immunization section).
5. Medication reaction: reaction to any drug administered at or provided by health
department. Complete Adverse Drug Reaction Form. For more information,
call 1-800-332-1088.
6. Property damage or missing articles.
7. Administration of wrong medication or vaccine.
8. Improper administration of medication or vaccine.
OSHA Recordkeeping Requirements
OSHA 300 Log-recordable and nonrecordable injuries are distinguished by the treatment
provided; i.e., if the injury required medical treatment, it is recordable; if only first aid was
required, it is not required, it is not recordable. However, medical treatment is only one of
several criteria for determining recordability. Regardless of treatment, if the injury involved loss
of consciousness, restriction of work or motion, transfer to another job or termination of
employment, the injury is recordable. An explanation, with examples, is included on the
backside of the OSHA 300 Form.

Page 1 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

Who Should Report

Only people who witness the incident should fill out and sign the incident report. Each
witness should file a separate report. Once the report is filed, the nursing supervisor,
department heads, administration, the facilitys attorney, and the insurance company may
review it.
Because incident reports will be read by many people and may even turn up in court, you
must follow strict guidelines when completing them. If an incident report form does not
leave enough space to fully describe an incident, attach an additional page of comments.
Document the incident as it occurred in the patients medical record, Incident Report
Completed should never appear in the patients record. The incident report should never be
referred to in any way in the medical record.
Employee Responsibility
All employees are responsible for preparing an incident report as soon as possible and
reporting immediately to their supervisor or in the supervisors absence report to the
administration any incident or injury including near misses. Recommendations and
appropriate changes shall be discussed with the supervisor and necessary corrections
implemented to prevent further accidents.
Supervisor Responsibility
Upon receiving a report of an incident, written or oral, the supervisor shall conduct an
investigation. Following the investigation, supervisors are to review and complete the
Incident Report and initiate Worker Compensation Report if indicated for the LHDs
insurance carrier. The supervisor shall take action to implement corrective measures
immediately when the investigation reveals such actions are necessary.
The supervisor shall provide a copy of the Incident Report and the Workers Compensation
Report (if necessary) to the LHDs Safety Officer within five working days of the accident.
Reports of all incidents and near misses should be discussed during meetings with employees
of the work unit to prevent problems of the same nature in the future.

Page 2 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

Tips For Reporting Incidents

1. Include essential information, such as identity of the person involved in the incident,
the exact time and place of the incident and the name of the doctor you notified.
2. Document any unusual occurrences that you witnessed.
3. Record the events and the consequences for the patient in enough detail that
administrators can decide whether or not to investigate further.
4. Write objectively, avoiding opinions, judgments, conclusions, or assumptions about
who or what caused the incident. Tell your opinions to your supervisor later.
5. Describe only what you saw and heard and the actions you took to provide care at the
scene. Unless you saw a patient fall, write found patient lying on the floor.
6. Do not admit that you are at fault or blame someone else. Steer clear of statements
like better staffing would have prevented this incident.
7. Do not offer suggestions about how to prevent the incident from happening again.
8. Do not include detailed statements from witnesses and descriptions of remedial
action; these are normally part of an investigative follow-up.
9. Do not put the report in the medical record. Send it to the person designated to
review it according to your facilitys policy.
From the book Charting Made Incredibly Easy Springhouse Corporation.
The following are SAMPLE copies of Incident/Complaint Report, Laboratory Incident
Report, Employee Consent for Blood Testing-Post Exposure, and Patient Consent for
Blood Testing-Post Exposure. Some agencies may use Incident Reports supplied or
recommended by their Insurance Carrier.

Page 3 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

INSTRUCTIONS FOR COMPLETION OF FORM

The Complaint/Incident Form is to be used to document the following:
1.
2.
3.
4.

Any type of accident, vehicle or otherwise, which may or may not involve injuries.
Patient provider conflicts.
Employee conflicts.
Complaints.

When reporting a complaint/incident follow these steps:

1. Complete the form and obtain appropriate signatures.
2. Submit the original form to the district office within five working days.
3. If a copy is kept at the local office, it must be filed in a locked cabinet.
If any further assistance is needed, please contact your discipline director.

Page 4 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

INCIDENT/COMPLAINT REPORT
EMPLOYEE: Return this COMPLETED FORM to your SUPERVISOR as soon as possible.
Name of Person Involved: ________________________________________________________________
Address: ____________________________________ City: _____________________________________
Phone Number: _____________________ Age: _________ DOB: _____________ Sex: M ____ F _____
SS#: _________________________ Date of Incident: _____________ Time: ______ am/pm
Exact Location of Incident: _______________________________________________________________
Check Type of Accident:
Check:
Clerical/Data Entry
_____ Patient
Communications
_____ Employee
Testing Process
_____ Visitor
Result reporting
_____ Volunteer
Safety
_____ Other
Medical Device Failure
Policy/Procedural Violations
Adverse Drug Reaction
Vehicle Accident
Needlestick
Exposure to Hazardous Substance
Medication Error (Wrong: Route, Dosage, Medication, Schedule)
EMPLOYEE: Involved _____ yes _____ no
Were they doing their regular job duties: _____ yes _____ no
Observed by employee
yes
Hire Date: ____________ Marital Status: _____________ Situation observed only by employee
yes
Employee Classification: ______________________________
Protective Equipment being used: _____ yes _____ no
If not used, Why: ______________________________________________________________________
_____________________________________________________________________________________
Description of Incident/Complaint (Who, What, Where, How, Why, Include sequence of events, personnel
involved, body part injured, reason incident occurred) (If medication error include brand name, manufacturer,
dosage) (Use additional form if necessary)
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Actions Taken by Staff Members: _________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
Witness Name: __________________________________ Phone Number: _________________________
Address: _____________________________________________________________________________
Witness Name: __________________________________ Phone Number: _________________________
Address: _____________________________________________________________________________
MEDICAL FOLLOW-UP: Was Medical Attention Sought: _____ yes _____ no
Treatment Refused: _____ yes _____ no First Treatment Date: _________________________________
Treating Physician: ________________________________ Phone Number: ______________________
Address: _____________________________________________________________________________
First Day Off Work: _________________________ Return to Work Date: _______________________
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Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

Duties Restricted: _____ yes _____ no Explain: ____________________________________________

INCIDENT/COMPLAINT REPORT
Incident Reported By: __________________________________ Date: __________________________
Supervisor Notified: _____ yes _____ no
Date: _________________ Time: _______________
Name of Supervisor: ____________________________________________________________________
Signature and Title of Person Preparing Report: _______________________________ Date: _________
Supervisor Comments: __________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_____________________________________________________________________________
Supervisor Signature: ____________________________________________________ Date: ________
Corrective Action Taken/Follow-Up: (Things that have been or will be taken to prevent recurrence)
_________________________________________________________________________________________
_________________________________________________________________________________________
_____________________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________
Director Comments: ____________________________________________________________________
_________________________________________________________________________________________
_________________________________________________________________________________________
_____________________________________________________________________________
Director Signature: ______________________________________________________ Date: _________
Nursing Administrator Signature: ___________________________________________ Date: _________
Administrator Signature: __________________________________________________ Date: _________
Signature of Person making Complaint: ______________________________________ Date: _________
Worker Compensation first Report Sent: _____ yes _____ no Date: _______ OSHA 300 Log # : ______
_____ I understand the potential risks related to the exposure to the incident that occurred and agree to receive
an examination and/or treatment for the exposure, as recommended by my physician. This includes serological
testing for Hepatitis B and the HIV virus as indicated.
_____ I understand the potential risks related to the exposure incidents that occurred and DO NOT agree to
have an examination or treatment for the exposure.
Employee Signature: _____________________________________________________ Date: _________
Supervisor Signature: ____________________________________________________ Date: _________
I understand the information above will be used by my employer to help determine liability for injury. I
acknowledge that the above statements are true and accurate representation of the requested information.
Employee Signature: _____________________________________________________ Date: _________
Job Title: ___________________________________________
Testing for HBV: Baseline and 6 months*
Testing for HIV: Baseline, 6 weeks, 3 months, 6 months, and 1 year**
Current references may be found on the CDC website: www.cdc.gov (Morbidity and Mortality Weekly
Report [MMWR], June 29, 2001/Vol.50/No.RR-11 or latest version; Morbidity and Mortality Weekly Report
[MMWR], September 30, 2005/Vol.54/No. RR-9, update)

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Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

LABORATORY INCIDENT REPORT

Document the incident:

Todays Date: ____________________

Health Department Name: ____________________________________________________

Who was involved?
In-house
External, person involved (if any) _______________ Organization ______________
When did it happen?
Date of incident ____/____/____

Time: _________________________

How did the incident come to your attention?

Was involved
Reported to me
Other _________________________
Type of incident:
Clerical/Data Entry
Communications
Proficiency Testing

Testing Process
Result Reporting
Safety

Other _____________

Describe the incident: (include multiple versions when applicable)

__________________________________________________________________________
_
__________________________________________________________________________
_
__________________________________________________________________________
_
__________________________________________________________________________
_
__________________________________________________________________________
_
__________________________________________________________________________
_
__________________________________________________________________________
_
Page 7 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

__________________________________________________________________________
_
Incident Reported By:
__________________________________
___________________________________
Signature
Date

Signature

Page 8 of 13
Kentucky Public Health Practice Reference
Section: Incident Reports
July 31, 2008

Date

Initial Review Process: (To be completed by the Local Supervisor and/or Co-director and
other essential personnel, as needed. Briefly describe the outcome of the incident
investigation, include any necessary plan of corrective action or any policy change to be
implemented.)
Reviewers summary_________________________________________________________
__________________________________________________________________________
_
__________________________________________________________________________
_
Signature ________________________________

Date _______________

Laboratory Directors Review: (Following the initial local review and evaluation, please
copy to the State Lab Director for review.)
Directors summary __________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
_
Signature ________________________________

Date _______________

Follow-up Review: (To be performed 3 months from the initial date filed. After the remedial
action has been monitored and evaluated for effectiveness. If the incident has not been
satisfactorily resolved, the Supervisor and/or Co-director should repeat the Initial Review
Section, performing monthly reviews, and additional remedial action until satisfactory
resolution is attained.)
Has the Incident recurred since the Initial Review?
YES
NO
Follow-up Reviewers summary ________________________________________________
__________________________________________________________________________
__________________________________________________________________________
_
Signature ________________________________

Date _______________

Filing the FINISHED Report:

Signature ________________________________

Date _______________

POST-EXPOSURE INCIDENT
SOURCE INDIVIDUAL CONSENT FORM
___________________________________
Patient Name (PLEASE PRINT)

_________________________________
Social Security Number

Informed Consent to Blood Testing

I have been informed that an individual has been exposed to my blood or body fluids. As a result
of the exposure, I have been asked to permit my blood to be tested for HIV (known to cause
AIDS), HBV and HCV.
(Check One)
I hereby give my consent to such testing.
I consent to have my blood tested for HBV, but I decline to have my blood tested for HIV
at this time. I understand that by choosing this option, a sample of my blood will be kept
for 90 days, during which period I may change my mind and have my blood tested for
HIV at that time.
My consent is based on the understanding that:
1.
My test results will remain confidential and provided only to those who have a
need to know in accordance with current federal, state, and local statutes.
2.
I have been provided with information concerning HIV and HBV, and understand
the contents thereof.
3.
I have been given the opportunity to ask questions concerning HIV and HBV
testing.
4.
I will receive a copy of all test results.
___________________________________
Signed

_________________________________
Date

Employers Representative
I certify that the above-named individual received a copy of the HIV/HBV information sheets
and has had the contents thereof fully explained.
__________________________
Date

_______________________________________
Employers Representative (PLEASE PRINT)
_______________________________________
Title
_______________________________________
Signature

This document will be retained in the exposed employees medical file.

POST-EXPOSURE INCIDENT
EXPOSED EMPLOYEE CONSENT FORM
___________________________________
Employee Name (PLEASE PRINT)

_________________________________
Social Security Number

Employee Consent to Blood Testing

As a result of my exposure to blood or other potentially infectious material, it is recommended
that I have my blood tested for HIV (known to cause AIDS), HBV and HCV.
(Check One)
I hereby give my consent to such testing.
I consent to have my blood tested for HBV, but I decline to have my blood tested for HIV
at this time. I understand that by choosing this option, a sample of my blood will be kept
for 90 days, during which period I may change my mind and have my blood tested for
HIV at that time.
My consent is based on the understanding that:
1.
My test results will remain confidential and provided only to those who have a
need to know in accordance with current federal, state, and local statutes.
2.
I will be provided with counseling whether the tests are negative or positive.
3.
I have been provided with information concerning HIV and HBV, and understand
the contents thereof.
4.
I have been given the opportunity to ask questions concerning HIV and HBV
testing.
5.
I have received risk behavior guidelines concerning HIV.
6.
I will receive a copy of all test results.
___________________________________
Signed

_________________________________
Date

Employers Representative
I certify that the above-named individual received a copy of the HIV/HBV information sheets
and has had the contents thereof fully explained.
__________________________
Date

_______________________________________
Employers Representative (PLEASE PRINT)
_______________________________________
Title
_______________________________________
Signature

This document will be retained in the exposed employees medical file.