Procedure:

INCIDENT
MANAGEMENT

Environmental and Social Procedure Incident Management XX-doc-XX

Management System
Status: Active Effective Date: TBD Version: Draft
Manual
Incident Management Procedure

Table of Contents

1. Purpose ................................................................................................................................................. 3
2. Scope .................................................................................................................................................... 3
3. Definitions .............................................................................................................................................. 3
4. Roles and Responsibilities .................................................................................................................... 4
5. Procedures ............................................................................................................................................ 5
5.1. Incident Classification ................................................................................................................... 5
5.2. Incident Reporting ......................................................................................................................... 6
5.3. Incident Investigation .................................................................................................................... 6
5.4. Corrective Action Tracking ............................................................................................................ 7
5.5. Lesson Learnt Sharing .................................................................................................................. 7
6. References ............................................................................................................................................ 8
7. Appendix ............................................................................................................................................... 8
7.1. Appendix: Simplified Work Instruction Flow Chart ........................................................................ 9
7.2. Appendix: Incident Reporting & Investigation Form .................................................................... 10
Guidance .............................................................................................................................................. 13

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Incident Management Procedure

1. PURPOSE

The purpose of Incident Management Procedure is to:

 Establish a process to investigate work-related injuries, ill health, diseases and incidents and
systematically report and respond ES incidents in a timely manner.
 Share lesson learnt to prevent and mitigate possible impacts and incidents from reoccurring.

2. SCOPE

Scope Definition

Phase Operation

Activities  Production operations and business facilities

 Design and development
 External providers (i.e. suppliers, service providers and contractors, key
business partners)
 Provision of products and services


Stakeholders being Employees, communities, contractors/ contract partner

impacted

3. DEFINITIONS

ES: Environmental, Health & Safety, and Community.

Incident: Any unplanned events resulting in, or having a potential impacts regarding injuries, health,
damages on the environment, community or other loss.

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4. ROLES AND RESPONSIBILITIES

Responsibilities When Who Tools

Incident Classification Prior to operation Section Manager

Incident Reporting As occurred Person involved in Incident Reporting and

incident Investigation Form

Incident Investigation Within 72 hours Plant Manager

after incident occurs
Section Manager

Corrective Action Tracking At least every Section Manager Corrective Action

month Request Form

Lessons Learned Sharing After investigation Section Manager

complete
Incident Management Procedure

5. PROCEDURES

5.1. Incident Classification

5.5.1 Classify incidents into four categories: environmental, health and safety, compliance and
reputational incidents. There four categories are classified into three severity levels according to Table 1
below.

Table 1: Incident Classification

Environmental Health and Compliance Reputational Near-miss
Level
Safety
 Aspect results  Fatality,  Loss or the  Potential  An event or
in an disability and/ suspension of significantly situation that
uncontained or or multiple lost operating impact the could have
sustained time injuries, permit; or company’s resulted in a
environmental hospitalization  Fine issued by corporate significant
release, thus (whether the responsible image or brand accident,
requiring employee, government (e.g., injury, illness,
continuous contractor, authority. transportation property loss
Level 3 remediation. visitor, sales incident, civil or
(Significant)  Oil /Chemical person, etc.) or disturbance); environmental
spill above 100 where multiple or impact
Barrel result in people are  Public protest; (“significant”
a significant hospitalized.; or is defined in
claim against or  National/ #3 below) but
the company  Asset damage global media did not, either
costing greater attention by chance or
than 100,000 through timely
USD intervention.
 Aspects (e.g.  Lost time  Written  Written ES
air emissions injuries, warning from complaint; or
or wastewater restricting work government  Local media
discharge ability; or authority; or attention
level) exceeds  Asset damage  Request from
regulatory costing government
Level 2
standard or between authority for
(Serious) condition in 10,000 USD to EH&S audit or
operating 100,000 USD. specific
permit. sampling.
 Oil /Chemical
spill less than
100 Barrel
 Aspects (e.g.  First aid  Unofficial  Verbal or non-
air emissions treatment or warning from documented
or wastewater medical government ES related
discharge treatment authority (e.g. complaint.
level) exceeds required but verbal or non-
Level 1
internal control with no lost documented).
(Minor) standards. time;
 Oil / Chemical  Asset damage
Spill less than costing less
1 Barrel than 10,000
USD.

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Incident Management Procedure

5.2. Incident Reporting

5.2.1 Record and complete all information pertaining to the incident.

 Who was involved/ impacted in the incident?
 What is the level of incident (i.e. as defined in Table 1)?
 When and where did the incident occur?

5.2.2 Report all incident including near-misses to the Section Managerimmediately. Employees or
contractors shall notify immediate supervisor, manager or EHS officer as appropriate.

5.2.3 Verbally report “significant” incidents Group EHS within 24 hours.

5.2.4 Notify external agencies of incidents as required by regulation.

Table 2: Incident Notification

Notification Period Primary Informer Secondary Informer Tertiary Informer

Level 3  Within 12 hours  Section Manager  Group EHS  Commitee

Level 2  Within 24 hours  Section Manager  Group EHS

Level 1  Within 72 hours  Section Manager - -

5.3. Incident Investigation

5.3.1 Verify all incident report and provide comments prior to performing an investigation.

5.3.2 Investigate all incidents at a level of detail that is commensurate with the potential impacts.

5.3.3 Involve relevant personnel in the investigation, including the Section Manager, those
whose actions may have contributed to the incident or could have prevented it, witnesses and
other personnel deemed appropriate.

5.3.4 Review and approve the incident report/ completed Incident Reporting and Investigation Form.

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Incident Management Procedure

Table 3: Investigation steps

Investigation Steps Level 3 Level 2 Level 1

Gather information Required Required

Form an investigation team Team required As appropriate

Develop an incident timeline Details required Required

Prepare an incident report Required Required

Determine root causes Required Required

Establish an action plan (corrective and preventive) Required Required

Review submission of incident report Required Required

5.4. Corrective Action Tracking

5.4.1 Implement the recommended actions to correct unsafe conditions/ acts and to prevent re-
occurrence of the incident.

5.4.2 Monitor the progress of corrective/ preventive actions until completion.

5.4.3 Update the management of the implementation progress of corrective/ preventive actions.

5.4.4 Maintain records of all incidents and the status of the corrective/preventive actions.

5.5. Lesson Learnt Sharing

5.5.1 Discuss lessons learned on incidents and near-misses at meetings.

5.5.2 Communicate lesson learned to all employees and contractors through typical means such as
bulletins at site, presentations at meetings, emails and intranet system as applicable.

5.5.3 Communicate key findings and completed actions across EGCO facilities for Level 3 incident.

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Incident Management Procedure

6. REFERENCES
 Non-Conformity Handling Procedure
 Stakeholder Engagement Procedure

7. APPENDIX

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Incident Management Procedure

7.1. Appendix: Simplified Work Instruction Flow Chart

5.1

5.2

5.3

5.4

5.5

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Incident Management Procedure

7.2. Appendix: Incident Reporting & Investigation Form

Incident Reporting Template

Name of Person Affect: 󠇯 Employee 󠇯 Contractor

Description of Incident: (Location, Date of Incident, Investigation Date)

Classification of Incident:
󠇯 Environmental
Impact of aspect to the environment:

󠇯 Uncontained or 󠇯 Exceedance of 󠇯 Exceedance of internal 󠇯 Other/ Details:

sustained released regulatory standards control

Aspect:

󠇯 Air Quality 󠇯 Water Quality 󠇯 Noise 󠇯 Vibration

󠇯 Greenhouse gases 󠇯 Terrestrial ecosystems 󠇯 Aquatic ecosystems 󠇯 Land use change

emission

Other/Details:

󠇯 Health and Safety

󠇯 Fatality 󠇯 Major disability 󠇯 Lost-injury time 󠇯 Restricting working

_____________________ ______________ days ability

󠇯 First aid/ medical 󠇯 No work time loss 󠇯 Asset damaged _________________________ with
treatment required an estimated value of __________________________

Other/Details: (Name, Age, Employee Number, Injured Area, Detail of Injury, Treatment Paid)

󠇯 Compliance issue

󠇯 Lost of operating permit 󠇯 Suspension of 󠇯 Fine issued 󠇯 Written warning

operating permit

󠇯 Received request from 󠇯 Received a verbal

government warning from government
Details of incident:

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Incident Management Procedure

Details of incident:

󠇯 Reputational

󠇯 Complaint 󠇯 Media Attention 󠇯 Protest 󠇯 Branding

Other/Details:

Details of incident:

Details of incident:

󠇯 Near-miss

Details:

Details of incident:

Additional evidence attached: (e.g. workbook logs, photographs, etc.)

Incident Investigation

A. Initial Cause (Unsafe operations)

󠇯 Operating without 󠇯 Absence of warning 󠇯 Absence of control 󠇯 Inappropriate speed

assigned responsibilities measures used

󠇯 Modified machinery 󠇯 Removed machine 󠇯 Inappropriate use of 󠇯 Inappropriate use

hence affecting usability safety guards tools transfer/ transport method

󠇯 Inappropriate use of 󠇯 Inappropriate storage 󠇯 Inappropriate lifting 󠇯 Inappropriate working

PPE method method used ergonomics

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Incident Management Procedure

󠇯 Lack of precaution while 󠇯 Use of alcohol or 󠇯 Lack of communication 󠇯 Others

working with operating substances during work _____________________
machinery _____________________

Details of unsafe operations:

B. Initial Cause (Unsafe environment)

󠇯 Lack of control over 󠇯 Inappropriate use of 󠇯 Faulty machinery used 󠇯 Restricting/ confined
machinery PPE working space

󠇯 Absence of warning 󠇯 Hazards from fire or 󠇯 Lack of order and 󠇯 Environmental hazards
signals explosion tidiness in workplace such as gas, dust, smoke,
fumes etc.

󠇯 Exceedance of 󠇯 Hazard from radioactive 󠇯 Hazard from heat/ 󠇯 Inappropriate

recommended noise level substance refrigerant illumination at workplace

󠇯 Lack of ventilation 󠇯 Others ____________________________________________________________

Details of unsafe working environment:

C. Root Cause (Personal Factors)

󠇯 Lack of knowledge 󠇯 Lack of competency/ 󠇯 Tiredness/ fatigue 󠇯 Pressure on physical

technicality body

󠇯 Pressure on mentality 󠇯 Lack of motivation 󠇯 Others ____________________________________

Details of root cause:

D. Root Cause (Work-related Factors)

󠇯 Lack of leadership 󠇯 Lack of efficient design 󠇯 Lack of appropriate 󠇯 Lack of maintenance

procurement

󠇯 Lack of tools, materials 󠇯 Lack of working 󠇯 Use of faulty equipment 󠇯 Others _____________
and equipment standard _____________________

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Incident Management Procedure

Details of root cause:

E. Corrective Action

No. Corrective/ Preventive Action Responsible Person Date

Investigator Signage:

1________________ 2________________ 3________________ 4________________

(………………………...) (………………………...) (………………………...) (………………………...)

Position: Position: Position: Position:

Date: Date: Date: Date:

Approval Closure Signage:

1________________ 2________________ 3________________ 4________________

(………………………...) (………………………...) (………………………...) (………………………...)

Position: Position: Position: Position:

Date:
Date: Date: Date:

Guidance

Gather information:
 Assign responsible person to gather information whereby the responsible person shall:
o Do not initiate any investigation until medical treatment has been given to impacted personnel
or the abnormal situation is under control.
o Once the incident is secured and/ or under controlled, the impacted area should be roped
and taped off to avoid irrelevant person from entering.

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Incident Management Procedure

o Interview and collaborate with witnesses or persons involved in the incident in order to gather
related observations and information. Sources of information may include interviews, review
of record and footage, analysis of the area/ machineries and samples, etc.
o Capture photographs of the incident area to document in incident report.
Form an investigation team:
 Form an investigation team based on the incident classification and severity of the incident. The size
of the team is not fixed as it is dependent on the complexity of each incident. However, it should be
ensured that personnel selected to form the team:
o Adds value to the investigation process;
o Competent and knowledgeable in the area of the incident (e.g. a specialists or subject matter
expert); and
o Able to identify and determine root causes.
Develop an incident timeline:
 Establish an incident timeline (in chronological sequence). Depending on the level of incident, details
included in the sequence time. It should be ensured that the incident timeline:
o Begins with the point where operations where at an normal state;
o Covers all knowledge and event occurring during the incident. Information can be complied
from the “Gather Information” stage.
Prepare incident report:
 Prepare the incident report. Information required in the report includes, but not limited to:
o General information regarding the incident (date, time, location, classification of incident,
name of witness/ person involved, immediate response taken).
o Name of applicable regulation or permit violated.
o Specific explanation regarding the incident.
o Initial response conducted.
o Supporting information (e.g. incident timeline and photos).
 Ensure responsible person is assigned to be accountable for confirming the completion and accuracy
of incident record.
Determine root cause:
 Adopt investigation tools and methods, such as, 5-Why’s, Fault Tree Analysis or Fishbone diagram to
determine the underlying or systematic causes of the incident. Examples of consideration point
includes, but not limited to:
o Failure in defence system;
o Personnel involved in the occurrence of incident (e.g. operators or maintenance personnel);
o Influential factors which may have affected the performance of personnel, equipment and/ or
system (e.g. fatigue, pressure, miscommunication, weathering, gas or chemicals, procedure
and management systems etc.);
Establish an action plan:
 Identify corrective and preventive actions to address and prevent reoccurrence of the identified
causes. Information from the root cause determination process should be used as source of input.
 Ensure that actions recommended are SMART recommendations such that it is specific, measurable,
accountable, relevant and has an assigned timeframe.

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Incident Management Procedure

Review incident report and completion of actions:

 Review the completeness of the incident report. This should be conducted by the EH&S officer.
 Submit the reviewed incident report to EH&S Site leader, Regional EH&S and Group EH&S
respectively for acknowledgement.
 Document incident report in a system such that the report can easily be found and used as reference
when required.

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