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An Incident and Non-Conformance Management Policy outlines how organizations handle unexpected events and deviations from standard procedures. It helps Kiwi businesses track, investigate, and respond to workplace incidents, accidents, and situations that don't meet quality or safety requirements under the Health and Safety at Work Act 2015.

The policy guides staff through reporting processes, corrective actions, and preventive measures to stop similar issues from happening again. It's particularly vital for industries like manufacturing, healthcare, and construction, where maintaining compliance with WorkSafe NZ guidelines is crucial. A good policy includes clear steps for documentation, root cause analysis, and continuous improvement practices.

Use an Incident and Non-Conformance Management Policy when your organization needs to systematically handle workplace accidents, near-misses, or quality issues. This becomes essential after serious incidents, when WorkSafe NZ investigators request documentation, or during quality audits that reveal gaps in your safety processes.

The policy proves particularly valuable when scaling operations, introducing new equipment, or merging teams with different safety cultures. It helps meet obligations under the Health and Safety at Work Act 2015 and creates a reliable framework for preventing future incidents. Many businesses implement it during ISO certification or when establishing risk management systems.

• Basic Incident Management: Focuses on accident reporting, investigation procedures, and immediate response protocols - ideal for small businesses and low-risk environments
• Comprehensive HSE Policy: Combines incident management with broader health, safety, and environmental compliance - suited for industrial and high-risk sectors
• Quality-Focused Systems: Emphasizes non-conformance tracking, corrective actions, and ISO 9001 compliance - common in manufacturing and service industries
• Integrated Management System: Merges incident reporting with quality, environmental, and safety management - perfect for larger organizations seeking unified compliance
• Industry-Specific Variations: Tailored to sector requirements like construction site incidents or healthcare adverse events reporting

• Health & Safety Managers: Lead the development and implementation of the policy, ensuring it aligns with WorkSafe NZ requirements
• Senior Management: Review, approve, and champion the policy while allocating necessary resources for implementation
• Department Supervisors: Ensure staff compliance, manage incident reporting, and oversee corrective actions
• Frontline Workers: Report incidents, follow procedures, and participate in investigations when needed
• Quality Assurance Teams: Monitor non-conformances, track corrective actions, and maintain documentation
• External Auditors: Assess policy effectiveness and compliance during certification or regulatory reviews

• Current Processes: Document existing incident reporting methods and non-conformance handling procedures
• Risk Assessment: Review past incidents, identify high-risk areas, and map out common non-conformance issues
• Legal Requirements: Check WorkSafe NZ guidelines and Health and Safety at Work Act 2015 obligations
• Stakeholder Input: Gather feedback from safety representatives, department heads, and frontline staff
• Response Procedures: Define clear steps for reporting, investigation, and corrective actions
• Documentation System: Plan how incidents and non-conformances will be recorded and tracked
• Review Process: Establish timeframes for policy updates and effectiveness reviews

• Purpose Statement: Clear objectives and scope of the policy aligned with Health and Safety at Work Act 2015
• Definitions: Detailed explanations of incidents, near-misses, and non-conformances
• Reporting Procedures: Step-by-step process for incident notification and documentation
• Investigation Framework: Methods for root cause analysis and evidence gathering
• Corrective Actions: Protocols for implementing and monitoring remedial measures
• Roles & Responsibilities: Clear designation of duties for all staff levels
• Review Mechanisms: Timeframes and processes for policy updates and effectiveness assessment
• Compliance Statement: Reference to relevant WorkSafe NZ guidelines and industry standards

The Incident and Non-Conformance Management Policy is often confused with a Health and Safety Policy, but they serve distinct purposes in workplace safety management. While both documents support compliance with the Health and Safety at Work Act 2015, they differ in several key ways:

• Scope and Focus: A Health and Safety Policy outlines broad safety commitments and general preventive measures, while an Incident Management Policy specifically details procedures for handling accidents and quality deviations after they occur
• Implementation Timing: Health and Safety Policies guide daily operations and preventive measures, whereas Incident Management Policies activate when specific events or non-conformances happen
• Documentation Requirements: Incident Management Policies include detailed investigation procedures and corrective action protocols, while Health and Safety Policies focus on risk assessment and prevention strategies
• Regulatory Context: Both policies work together - the Health and Safety Policy sets the framework, while the Incident Management Policy provides the specific response mechanisms required by WorkSafe NZ