SECTION 4. ACCIDENT INVESTIGATION REPORTING

DEFINITIONS

Accident - an unexpected or unplanned event or series of events, associated with the operation of APO, resulting in personal injury or property damage, or both.

"Near-Miss" incident - an unplanned, undesired event, associated with the operation of APO, which under slightly different circumstances could have resulted in personal injury or other undesired loss of resources.

Personal injury - any occupationally-related injury or illness involving an APO employee or official visitor; any injury involving a member of the public; a fatality involving any of the above.

Property damage - damage to any APO/ARC property real or personal; any damage to private or public property.

4.1 Introduction

Also there must be concern for "near-miss" incidents that could result in personal injury or other undesired loss. It is also imperative such incidents be properly dealt with after they occur, and they be investigated and reported.

4.2 Categories of Accidents

Category A: accidents resulting in personal injury which are:

1. Fatal or imminently fatal.

2. Permanently disabling or resulting in hospitalization of 48 hours or more for reasons other than observation.

3. Temporarily disabling - requiring but not limited to emergency medical care normally resulting in one or more lost workdays and/or restricted work activity starting with the day following the injury.

Category B: accidents involving property damage and/or loss of:

1. $5,000 or more.

2. less than $5,000.

3. less than $500.

Category C: "near-miss" incidents - any which could have resulted in personal injury or other undesired loss of resources.

4.3 General Requirements

All accidents and "near-miss" incidents associated with the operation of APO will be promptly investigated and reported. The main purpose of this is to establish direct and indirect causes and to provide corrective measures to prevent recurrence. Other purposes are to ensure compliance with criteria involving insurance carriers, State Industrial Compensation Laws, OSHA regulations, and legal counsel.

4.4 General Responsibilities

Employees and official visitors, who observe or are involved in any accident, no matter how minor, or a "near-miss" accident, are responsible for immediately notifying the Site Operations Manager.

4.5 Investigation Responsibilities

All Category A1, A2 and/or B1 and C incidents with a potential loss of the same magnitude will be investigated immediately by the Site Operations Manager.

All other categories of accidents will be investigated by the Site Operations Manger or designate.

No statements to the press or public will be released except through the spokesperson appointed by the Site Operations Manager.

4.6 Notification Responsibilities

The responsible employee will, as soon as feasible, notify the Site Operations Manager of an A1, A2 and/or B1 accident. Alternates for notification are: 1) APO Site Safety Officer; 2) APO Site Director; and 3) APO 3.5m Director.

The notification should include the following information: names of persons involved (employees, visitors, or members of the public); employee's or visitor's assignments; circumstances of the accident; extent of personal injuries and/or property damage; and, extent of assistance rendered.

In the event of a fatality, the Site Operations Manager will notify by telephone the APO Site Director, and if the fatality is an employee, or any incident where 3 or more employees are hospitalized, within 8 hours the area director of NMSU Personnel Office, and NMSU Safety Office who will contact OSHA.

The responsible employee will, as soon as feasible, notify the Site Safety Officer of all other category accidents.

4.7 Reporting Responsibilities

A "Notice of Accident" and/or "Notice of Incident-State of New Mexico" will be filed for every Category A and/or B and C accident. The employee involved in the accident is responsible for completing the notices and forwarding a copy to the Site Operations Manager within one day following the accident. When the incident involves an official visitor, a copy of the notices will be sent to their employer immediately. When a third party is involved a copy will be forwarded to the APO Site Director.

For an employee related Category A accident, a copy of the notices, First Report of Injury, and Supervisor's Investigation shall be provided to NMSU Employee Benefits office within 24 to 48 hours. For a Category A accident involving an official visitor or a contractor, the notices shall be sent to their employer within 24 hours and the NMSU Safety Office. Further action will be at the discretion of the employee's supervisor.

For an employee related Category B or C incident, a copy of the "Notice of Accident" and the "Supervisor's Investigation" shall be reviewed by the Site Operations Manager and kept on file by the Site Safety Officer and forwarded to the NMSU Safety Office. For a Category B or C accident involving an official visitor or a contractor, the Notice of Accident and Supervisor's Investigation form shall be sent to their employer and the NMSU Environmental Health and Safety (EHS) Office as well.

When an injured employee requires medical attention, other than first aid as defined by OSHA, a First Report of Injury must be filed with the state worker's compensation agency within one working day following the accident.

Copies of the above referenced forms may be found at the end of this section.

When deemed necessary by the Site Safety Officer and the Site Operations Manager, an incident review meeting will be convened. This review will address the incident, cause, and remediation. A report will be prepared.

4.8 Motor Vehicle Accident Investigation Reporting

GENERAL

The following procedures and requirements will be implemented in the event of any accident involving a company, personal or rental vehicle when being used in connection with APO business.

PROCEDURE

Stop and Investigate:  no matter how minor the accident, stop and investigate.  Avoid obstructing traffic and take appropriate steps to prevent another accident.  Render reasonable assistance to any injured person; summon emergency/medical personnel and the police.

Notification:  notify the Site Operations Manager.  He/She is responsible for providing whatever assistance they can.

Obtain Information from Witnesses:  obtain the names, addresses, and phone numbers of witnesses and, whenever possible, a statement from witnesses.

Make No Statement to Anyone:  except to an officer of the law.  Be courteous and do not argue about the accident.  When requested, provide license and evidence of insurance.

Obtain Accident Facts:  when applicable, obtain a case number from the law enforcement officer.  If not, obtain:  name, address, and phone number of the persons involved; vehicle registration, driver's license and insurance data; the details of the accident, including location, time, speeds, weather, and damage.

If the accident involved an unattended vehicle or fixed object take reasonable steps to locate and notify the owner.  If the owner cannot be found, leave a note in a conspicuous place on the vehicle or object, listing your name and address, APOós name, and a brief description of the accident.  Whenever possible obtain a statement from a witness.

4.9 Conducting the Investigation

The level of accident/incident investigation will vary depending on a number of factors, including severity of personal injury, number of persons involved, property loss, first-time or repeat incident, etc.  The following basic steps should be followed to properly complete an accident/"near-miss" incident investigation.

Conduct Initial Investigation at the Scene:

- as soon as possible after the incident;

- preserve conditions;

- examine area (notes, diagrams, pictures);

- interview all involved parties;

- review pertinent procedures, training, signs, records, prints, etc.

Accumulate, Examine, Analyze Facts:

- compile all information;

- review with qualified individuals in technical aspects of processes/machines or equipment involved;

- develop list of all possible contributing factors;

- analyze and summarize findings.

Determine Causes/Develop Recommendations:

- review summary of findings with involved management and employees for accuracy;

- review findings;

- define direct and indirect causes;

- develop recommendations to prevent recurrence.

Prepare and Submit Investigation Report:

- all pertinent details of the accident/incident;

- results of occurrence or potential results of "near-miss" incident;

- all causes and factors determined to have a direct or indirect bearing on the accident in the sequence, which led to the incident;

- recommendations for action(s) to prevent recurrence (change in procedures, training, supervision, etc.);

- attach the report action plans that were generated to implement the recommendations.

Figure 1 - Notice of Incident-State of New Mexico

Figure 2 - Notice Of Accident

Figure 3 - First Report of Injury

Figure 4 - Supervisor Accident Investigation Report