Thermax Engineering Construction Co.

Ltd
Documen
4.5.3 Procedure for Incident OHS/P12
t no.
Investigation, Non-conformance, Rev no. 02
Corrective & Preventive action Date 20/06/2015

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PURPOSE:
To establish and maintain procedures for defining responsibilities &
authorities for:-
 Handling & investigation of incident & non conformance.
 Taking Corrective & Preventive Action.
To define the method of reporting Incidents occurring in the organization
and to prevent recurrence by improving working condition actions and
supervision as a part of Safety Management systems

SCOPE:
This document is valid for the scope mentioned in the Apex Manual.

RESPONSIBILITIES:
Safety Officer & MA, Dept. Head

PROCEDURE:
Incident Investigation: -
This procedure describes how to record, investigate and analyze the
incident in order to
1. Determine underlying OH&S deficiencies and other factors that
might be causing or contributing to the occurrence of incidents;
2. Identify the need for corrective action;
3. Identify opportunities for preventive action;
4. Identify opportunities for continual improvement;
5. Communicate the results of such investigations.

The investigations are performed in a timely manner.

Incident: work-related event(s) in which an injury or ill health
(regardless of severity) or fatality occurred, or could have occurred.

Rev. no. Date Changes

0 26/11/10 First Issue
1 20/06/13 Revision 1
2 20/06/15 Revision 2

Prepared by Approved by
Signature

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Documen
4.5.3 Procedure for Incident OHS/P12
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Investigation, Non-conformance, Rev no. 02
Corrective & Preventive action Date 20/06/2015

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Designation Safety Co-ordinator Management Appointee

Name Sujit Jog Mangu Achary

Ill health: identifiable, adverse physical or mental condition arising from

and/or made worse by a work activity and/or work-related situation

NOTE 1 An accident is an incident which has given rise to injury, ill

health or fatality.

NOTE 2 An incident where no injury, ill health, or fatality occurs may

also be referred to as a “near-miss”, “near-hit”, “close call” or
“dangerous occurrence”.

Major Incident:

 An Incidents Which cause death to any person or are of a serious

nature
 An Incident which causes such bodily injury as will prevent or will
probably prevent the person injured from working for a period of 48
hours immediately.
 Collapse of structure of permanent in nature e.g. Beam / Wall or
temporary (e.g., Stack of goods).
Minor Incident:
 Requiring first aid but not reportable under the Factories Act.
 Resulting in loss of maximum one-man day.

Near Miss:
 Any occurrence which could have resulted in an Incident but was
prevented.

Procedure for Incident Reporting

1. At site
2. At transit

1. At site

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4.5.3 Procedure for Incident Documen
OHS/P12
Investigation,
2.0Scope 3.0Why isNon-conformance,
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Accident, Incident and Near Miss Reporting and Investigation

Procedures

Definition of an Incident:-

Any event or sequence of events, that has caused, or could have

caused injury, illness and/or damage (loss) to the personnel asset,
the environment or third parties.

1.0 Summary

Accidents, incidents and near misses must be reported and investigated

in order to comply with company and statutory requirements. Any
corrective action identified and/or lessons learned should be
communicated to all employees and contractors to ensure a continuous
improvement in health, safety, security and environmental performance.

This procedure details the reporting, recording and investigation

requirements for accidents, incidents and near misses to satisfy the
requirements of THERMAX’s company and statutory obligations.

This procedure is applicable for all accidents, incidents and near misses
that involve THERMAX employees, and non-THERMAX employees
present on, or affected by THERMAX operations, namely, contractors,
visitors and members of the public. It describes the reporting and
investigation process to be followed, identifies the persons responsible
for its implementation, and the timescales for completion.

The reporting of accidents, incidents and near misses facilitates their

investigation. The determination of the root cause leads to the
introduction of risk reduction measures, which consequently improves
overall safety performance.

The reporting and investigation of accidents, incidents and near misses:

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 Satisfies legal and company requirements,

 Enables the identification of any immediate or underlying causes,
trends or common features,
 Provides a means of communicating the information and lessons
learnt to other parties, and
 Facilitates continuous improvement in HSE performance
throughout THERMAX.

TECC needs to ensure that:-

 All incidents are reported, and investigated and analyzed as
required by the procedures
 Corrective and preventive action is taken to prevent their
recurrence

The component elements of reporting and investigation comprise:-

 Internal reporting
 External reporting
 Investigation
 Analysis of data
 Information sharing
 Instruction and training
 Documentation

4.1 Internal Reporting

The reporting of accidents, incidents and near misses must include :-

 All incidents resulting into in any injury
 All near misses which could have resulted in an accident

4.1.1 Reporting Format

Initial Notification Form should be used to provide the first report

details for all incidents/accidents

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4.5.3 Procedure for Incident OHS/P12
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Site Incident Investigation Report Format should be used as a

standalone template for the initial and/or full investigation reports.

Near Miss Report Form should be used to advise near miss

occurrences.

An enquiry shall be conducted by a committee formed at HO and give its

findings to Management.

4.2 External reporting

Fatalities, lost time injuries and environmental releases must be notified

to the appropriate external body within the given timescales. (The safety
officer / site incharges will complete this reporting in all cases.

4.3 Investigation

The objectives of the investigation are to establish the root cause, to

identify remedial and/or preventative measures, and to disseminate
lessons to be learnt thereby improving overall safety performance.

An investigation is mandatory for any fatality and for all reportable

accidents. The Safety department will review all other reported incidents
and advise whether further investigation are required. If an investigation
is required, it must provide a detailed description of the incident, any
contributing factors and any other relevant events. The determination of
the root cause should be established considering:-
 Witness statements
 Operating conditions
 Reference to procedures
 Training provided
 Any other supporting evidence

The relevant Site in-charge/ Section Head/Dept. Head must initiate the
site investigation and will decide whether any additional internal or
external support is required. The HO Team shall visit the site and then

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carry out investigation. The HO Team will comprise of Division Head,

Head Corporate HSE and Safety Coordinator of the Division.

4.4 Information Sharing

Accident, incident and near miss reports, trend analysis data and results
will be made available to staff , through briefings and shared with
contractors through regular briefings.

4.5 Instruction & Training

1. All employees should be familiar with accident, incident and near
miss reporting procedures and documentation. Contractors must
also be made aware of reporting requirements and procedures.
2. Employees who could be involved in investigating serious accidents
/ incidents must be given the necessary investigation skills and
techniques training to ensure a suitable and
3. Adequate investigation is carried out, to ensure all required data is
collated and to make appropriate recommendations accordingly.

5.1 All employees and contractors shall:-

1. Report all accidents, incidents and near misses to their immediate

line manager within the given timescales
2. Complete the relevant documentation and submit it within the
given timescales.

5.2 All Line Managers shall:-

1. Ensure that all personnel within their area of operation report

accidents, incidents and near misses in accordance with this
procedure.
2. Forward documentation to the appropriate person within the given
timescales.

5.3 All SBU / BU Heads are responsible for ensuring that:-

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4.5.3 Procedure for Incident OHS/P12
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Corrective & Preventive action Date 20/06/2015

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1. This procedure is fully briefed, implemented and complied with by

all employees.
2. All appropriate accidents and incidents are identified and
investigated as required, including the completion of a written
report.
3. Sufficient resources are made available as required.
4. Risk reduction measures are briefed and implemented.

5.4 The Safety Coordinators in Division shall:-

1. Ensure reporting procedures have been followed correctly.

2. Submit final reports to corporate head HSE, B& H head and CEO -
TECC as required.
3. Ensure accident / incident analysis data collected is properly
recorded.
4. Ensure that appropriate care is taken at transit

Non conformance & Corrective Action

1. Non conformance is found through OH&S audit, from Emergency
situations, Incident, Deviation from Monitoring guidelines, non
compliance with respect to the Legal and other requirements,
deviation from work instructions and procedures.
2. After the non-conformance is identified, Department Head investigates
the non-conformance and decides about the action to be initiated to
mitigate immediate impact.
3. The non-conformance identified, is controlled by initiating Corrective
and Preventive actions as detailed in subsequent steps of this
procedure.
4. The non-conformance identified during audit for Corrective and
Preventive Actions.
5. The MA reviews non-conformance and effectiveness of Corrective
Action & Preventive Action as and when required. MA compiles
information on significant Corrective Action & Preventive Action,
which forms input for Management Review.

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4.5.3 Procedure for Incident OHS/P12
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Investigation, Non-conformance, Rev no. 02
Corrective & Preventive action Date 20/06/2015

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6. Any changes to the documented procedures as a result of corrective

and preventive action are implemented as per the procedure for
document control OH&S Manual.
7. Investigate the cause of non-conformance.
8. Determination of Corrective Actions needed to eliminate the cause of
Non-Conformance.
9. Ensure that the Corrective & Preventive Actions are effective through
risk assessment process prior to implement action.

Preventive action:
1. Analyze all processes to eliminate potential causes of non-Conformances.
2. Initiate Preventive Actions.
3. Ensure that the Preventive Actions are effective.
4. The findings of Internal OH & S Audit also forms input for taking necessary
Corrective / Preventive Actions.

DOCUMENT GENERATED:-
1. Incident recording document Doc. No. OHS/D24
2. Incident investigation report Doc. No. OHS/D25