The National Probation Service for England & Wales.

THE NATIONAL HEALTH & SAFETY POLICY MANUAL

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The National Probation Service for England & Wales National Health & Safety Policy Manual Statement of Commitment Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page i STATEMENT OF COMMITMENT. The health, safety and security of everyone who may be affected by our operations is of paramount importance to us all. The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’ undertaken in 2002-03 and the resultant improvement strategy launched in March 2003 identified a number of aspects of our performance which required improvement. Whilst the Review highlighted some Areas already performing to an acceptable standard in some aspects, it did not identify any Area as being an overall exemplar of good health and safety practice. We all recognise that this presents a number of challenges and that everyone employed in the National Probation Service for England & Wales has a role to play in meeting these. Working in partnership, it is our intention to strive continually to deliver a healthy and safe working environment that protects the welfare of all employees. This National Policy Manual, produced in partnership with the Trades Unions and the PBA, sets us on the road to improvement. It defines the national policy and standards of best practice which must be implemented throughout the NPS. It will be a living document, reflecting the strategy launched in March 2003 and the developing improvements in health and safety performance as we move forwards. Good health and safety performance is not just a legal requirement – it is an essential element to our goal of excellence and being an employer of choice which values its people. Reflective of the importance of our partnership approach to achieving these aims, this manual is fully endorsed on behalf of the key stakeholders. This Statement will be reviewed annually.

Roger Hill Director of Probation, NPS

Martin Wargent Chief Executive, Probation Boards’ Association Ben Priestley National Officer, UNISON

Judy McKnight General Secretary, Napo David Walton Staff Side Secretary, GMB/ Scoop Date: 1st April 2005

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The National Probation Service for England & Wales National Health & Safety Policy Manual Diversity Impact Statement Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page ii Diversity Impact Statement This Policy has been evaluated for the potential adverse impact it may have on any individual by reason of their ethnic origin (in accordance with the Race Relations (Amendment) Act 2000), disability, gender, sexual orientation, age, belief, marital status, caring responsibilities or chosen working pattern. It is not believed that this policy will have any such adverse impact on staff for any of these reasons. Future reviews of this policy will revisit this evaluation, and it may become subject to a full Impact Assessment examining workforce data and compliance information. .

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Index Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page iii INDEX

SUBJECT Statement of Commitment Diversity Statement General Index General Introduction The National Health & Safety Policy Organisation & Key Responsibilities The Arrangements. • Introduction • Arrangements index • Specific Arrangements Measuring & Reviewing Performance. • General Requirements • Model Workplace Inspection List Audit *

SECTION NUMBER Page i Page ii Page iii 1 2 3 4

Issue Number 2 1 2 1 2 2 1 2 *

Issue Date 1st April 2005 5th April 2004 1st April 2005 5th April 2004 1st April 2005 1st April 2005 5th April 2004 1st April 2005 * 5th April 2004 5th April 2004 5th April 2004 5th April 2004

5

1 1 1

6

1

Individual Arrangements are separately issued and dated. The ‘Arrangements Index’ identifies the current Issue Numbers and Dates.

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Introduction Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 1 of 5 1 GENERAL INTRODUCTION. This Section briefly outlines the essential elements of a Quality Health & Safety management system and how this will be applied within the NPS. It takes account of guidance published by the Health & Safety Executive, relevant British Standards and is also consistent with the approaches set out in the European Excellence Models. Where reference is made in this Manual to ‘NPS employees’ (or similar), this has the meaning ‘an employee of a Probation Board or a Home Office employee attached to the National Probation Directorate’. Background. The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’ undertaken in 2002-03 and launched in March 2003 comprehensively reviewed the effectiveness of the management of health & safety by the Local Probation Boards. The general findings were that some key controls did not exist and that where they did, they were not applied consistently or effectively. Accordingly, the Review concluded that the overall health & safety processes were inadequately controlled. As well as being a legal obligation (under the Health & Safety at Work etc Act, 1974), good health & safety performance is also an essential element of delivering the People Management Strategy of the NPS. Excellence in health & safety needs to be rooted in a quality management system that seeks to address all aspects of performance, from the inherent safety of the working environment (ie plant and equipment), through procedures and instructions that are owned and followed, and ultimately to ensuring a working culture that embraces a positive health & safety attitude across the organisation. Health & Safety Management Processes The general approach to a quality health & safety management system is illustrated in Figure 1.1. Within this, the key general elements are: • • Policy: a statement of the key objectives of the organisation signed by its most senior officer Organising: identification of the management structure for the delivery of good health & safety performance. This will also identify the specific responsibilities/accountabilities of key post holders and (in more general terms) all employees, contractors etc. Planning & Implementation (The Arrangements): a series of statements regarding how the organisation will deliver particular aspects of health & safety management. Typically this will include the processes for undertaking risk assessments (generally and for specific issues such as COSHH, DSE, Manual Handling etc), learning from accidents, training requirements etc. Measuring & Reviewing Performance: how well is the organisation doing. This aspect is key to ensuring continuing improvement. It should include

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Introduction Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 2 of 5 routine workplace inspections and feedback, the actual measures to be used and a statement of improvement targets and objectives. Audit: should be a continuing theme – from regular local audits through to full NPS wide reviews (eg the 2002-03 Thematic Audit).

Application of this approach within the NPS is illustrated schematically in Figure 1.2. The interactions and format of the three layers illustrated in this figure are as follows. • The National Policy Manual (ie this manual) sets out the overarching policy, principles and standards of best practice to be applied across the NPS. The degree to which these are mandatory (ie to be uniformly applied within all Areas) or are only intended as guidance on best practice will be specified on a case by case basis. The Local Area Policy Manuals will mirror the national policy in form and format. They may be developed and extended as necessary to reflect the local circumstances (and must be signed and authorised by the Chair of the Area Board as the representative of the Employer for that Area). As with the National Policy Manual, the production of the Local Manuals should be undertaken within a joint partnership framework. (Throughout this Manual, working in ‘Partnership’ means actively involving all key stakeholders (Boards, Management, recognised Trades Unions, Contractors (as appropriate) etc).) It is to be noted that to assist the implementation of the National Policy Manual within Areas, NPD have produced a ‘Model Area Policy Manual’. The best practice standards and any mandatory processes identified in the following Sections of this National Policy Manual must be complied with. Regarding implementation within Areas: For Areas with local Policies (including ‘Organisation’, ‘Planning & Implementation (Arrangements)’; ‘Measuring & Reviewing’; & ‘Audit’ aspects) mirroring this National Manual at its time of introduction, no additional changes to existing documentation are required For Areas with local Policies (including ‘Organisation’ etc) not mirroring (wholly or in part) this National Manual at its time of introduction, revision of relevant local documentation will be required within either a 6 or 12 month period dependent upon the current degree of consistency with this Manual (noting that particular overriding implementation requirements apply to specific ‘Arrangements’ in Section 4). The Local Workplace Instructions must provide the degree of detail needed within the workplace to ensure that all employees and other persons actually undertaking the work processes can do so safely. The form and format of these should reflect the local circumstances. To ensure that these are fully effective, those people directly involved in the work processes and the relevant Safety Representatives (who are approved by the Trades Unions) must be directly involved in the production of the relevant local instructions.

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Introduction Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 3 of 5 At all three levels, the documentation must be succinct and its intent clear and unambiguous. It is recognised that the production of high quality, fit for purpose documentation requires the allocation of sufficient resources to achieve the required objective. This commitment will increase as the processes develop through the three levels identified in Fig 1.2 simply due to the increased level of detail required in the local workplace instructions. It is important that sufficient resources are identified and applied to ensure that the commitments given in the preface to this Manual can be achieved. The remainder of this document sets out the National Policy in the form of Figure 1.1. Where it is a requirement for all Areas to comply fully with a particular aspect this is clearly stated. In all other cases the documentation is presented as guidance on best practice. Maintenance of Records Where there is a stated requirement to maintain records (as a consequence of either this Manual or statutory requirements), such records must be maintained (by the relevant Area or NPD as appropriate) for the minimum statutory period. Areas may wish to consider retaining records for longer periods, where this is reasonably practicable, to assist in future investigations or claims/actions taken against the Area in later years. Application within the National Probation Directorate. For the NPD, as a part of the NPS, this document will also serve as the basis of the ‘Local Area Policy Manual’. Compliance with all aspects of this manual is thus mandatory within the NPD. Review of National and Area Health & Safety Policy Manuals. This National Manual and the associated Area Manuals will be reviewed as follows: • As required to ensure compatibility with changing regulatory or other requirements, NPD/Area restructuring, changes in signatories etc; • Annually: Subject to the caveat below*, a brief review to ensure general consistency with current experience and practice (ie to take account of improvements, best practices etc) • Every five years: a full, in depth, review to ensure that the documentation is fully compatible with current requirements, HSE guidance on H&S management systems etc. (* In addition, this National Health & Safety Policy Manual will be subject to a specific phased review after one year of operation to take account of any issues arising from its practical implementation across the NPS)

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Introduction Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 4 of 5 Figure 1.1 The Essentials of a Quality Health & Safety Management System. (Based on the Health & Safety Executive’s guidance (HSG65), this figure shows the interrelationship between the various elements of a quality Health & Safety Management System.)

POLICY

ORGANISATION

AUDITING

PLANNING & IMPLEMENTATION (The Arrangements)

MEASURING & REVIEWING

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The National Probation Service for England & Wales National Health & Safety Policy Manual General Introduction Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 5 of 5

Figure 1.2 Schematic of the Application of a Quality Health & Safety Management System across the NPS. (This figure shows the interdependencies from the National Policy through to Area Policies and finally to the day to day local workplace instructions.)

NATIONAL POLICY MANUAL LOCAL AREA POLICY MANUAL

LOCAL WORKPLACE INSTRUCTIONS

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The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 1 of 6 2 THE NATIONAL HEALTH & SAFETY POLICY The National Probation Service People Management Strategy is: ‘Working in partnership to make the National Probation Service an excellent organisation and an employer of choice by having the right people doing the right things in the right way….’ The following statement of National Health & Safety Policy supports this strategy. All Local Area Policy Statements must, as a minimum, comply with the National Policy. The National Policy Statement. • We in the NPS believe that the health, safety and security of our employees, employees of other organisations working with us, the general public and the people for whom we have supervisory responsibility is of paramount importance. • Our goal is to aspire to a health & safety performance that is within the upper quartile for the Public Sector. • Working in partnership with local areas, the recognised Trades Unions and the Probation Boards Association (PBA) at all levels and by building on the best practice (within or external to NPS) we will seek to continually improve our performance. • We will ensure that all employees are properly trained and made aware of their responsibilities for contributing to a safe and healthy working environment. • We will work in partnership with our contractors (and other similar groups) to ensure that they contribute fully to our health & safety goals. • We recognise the importance of communication of our performance both internally and to our external stakeholders and we will openly report our health & safety performance. • We will work with the relevant Regulatory bodies and other external organisations to identify appropriate areas of best practice. • We will seek to continually learn from our own experiences by reviewing and auditing our performance and ensuring that lessons learnt are acted upon.

Roger Hill Director of Probation, National Probation Service Date: 1st April 2005

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The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 2 of 6 3 ORGANISATION & KEY RESPONSIBILITIES General Introduction. This Section sets out the top tier organisational structure within the National Probation Service in respect of the principal activities of people within NPD and the Areas. It includes the responsibilities for the provision of health & safety advice and for the production and maintenance of National & Local Area Policy Manuals and Local Workplace Instructions. Additionally it provides an outline of partnership arrangements for the delivery of health & safety excellence. The National Probation Service Organisation. Figure 3.1 sets out the NPS organisational structure. Within the NPS, the individual Areas are specific Employers (of the Area Staff) in their own right, with the Area Boards being the identified employers. The following inter-relationships thus apply: • The Area Boards are the local legal ‘employers’. • Area Board Chairs are accountable to (and work in association with), the Director of Probation through appropriate liaison arrangements. • Area Chief Officers report to and are accountable to the Director of Probation and are also members of the Area Boards in their own right. As with other Board Members they do not formally report to the Board Chair in terms of line management accountability. • Area staff report to the Chief Officer through the relevant Area management structure. • NPD Directors report to and are accountable to the Director of Probation . • NPD staff report to the Director of Probation through the relevant NPD management structure. Within this structure, the responsibilities for the delivery of a safe & healthy working environment are as set out below. In all cases it should be noted that whilst the practical delivery of a responsibility can be delegated, the accountability for that delivery cannot. These responsibilities and accountabilities must be incorporated into the relevant detailed job descriptions.

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The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 3 of 6 General Responsibilities of all NPS Employees. All employees are required to undertake their work in a safe manner having due regard for their own health and safety and that of others who may be affected by their work. Health and safety rules etc must be followed at all times. Failure to follow the appropriate rules is an offence under health & safety legislation and could render the employee liable to disciplinary action. Equally it is important that employees do not attempt to undertake work for which they are not adequately trained or for which the instructions are agreed to be inadequate. In addition, the following specific responsibilities for key posts are identified. Specific NPS Line Management Responsibilities for Health & Safety. a) The Director of Probation The Director of Probation (NPS) is responsible for ensuring that: A fit for purpose and up to date overarching Health & Safety Management System is in place within the National Probation Service (ie the National Policy Manual); Area Board Chairs are aware of their responsibility to comply with this Manual; Area Chief Officers have in place Local Area Policy Manuals which are compliant with the National Policy Manual; A safe and healthy workplace is provided for all employees of NPD; Suitable & sufficient resources are made available to Areas and within the NPD to ensure compliance with the Manual; The National Health and Safety Forum is provided with suitable & sufficient resources and delegated authority to oversee the management of health and safety throughout the NPS. The Director of Probation is accountable to The Commissioner for Correctional Services & Chief Executive, National Offender Management Service, for these matters. b) Area Responsibilities. The Chairs of the Local Area Boards are responsible for ensuring that: A fit for purpose and up to date Local Area Health & Safety Policy Manual is in place within that Area (implicit in this is a requirement for audit, review and feedback of lessons learnt); They liaise with the Chief Officer to ensure continuing improvement in health & safety performance; The Board receives regular reports and presentations from the Area Health & Safety Advisor (or the Chief Officer supported by the Health & Safety Advisor) on progress being achieved, matters requiring attention etc; Uncontrolled Copy

The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 4 of 6 A suitably experienced member of the Board is appointed to take a particular interest in the promotion of health & safety matters and to participate actively in the local Area Joint Health & Safety Committee; They seek generally to raise the profile of health & safety within the Area; Appropriate resources are identified within the business planning process to ensure compliance with this manual. The Area Chairs are accountable to the Director of Probation for these matters. Chief Officers are responsible for ensuring that: A safe and healthy workplace is provided for all employees within their Area; The production of a fit for purpose and up to date Local Area Health & Safety Policy Manual within their Area; They liaise with the Area Board Chair to ensure continuing improvement in health & safety performance; A Health & Safety Advisor (a ‘Competent Person’) is appointed to advise on health & safety matters within their Area; Appropriate mechanisms are in place for a partnership approach to health & safety improvements (ie through joint health & safety committees); Together with the Board Chair they seek generally to raise the profile of health & safety by taking a personal interest within their Area and ensuring that this is also mirrored by their senior staff; Appropriate resources (including funding) are available to ensure compliance with all statutory obligations and the requirements of this manual. This will include ensuring that appointed Safety representatives have the necessary resources and facilities (including appropriate adjustment of work requirements) to enable them to undertake their statutory functions. The Chief Officers are accountable to the Director of Probation for these matters. Local Area Health & Safety Advisors are responsible for: Assisting the CO in the production and maintenance of the Local Area Policy Manual; The provision of timely health & safety advice; Providing expert input into health & safety inspections, audits, reviews and investigations; Maintaining a current knowledge of health & safety legislation and improvement opportunities; Providing advice to the Area Health and Safety Committee; Advising on appropriate health and safety training of staff within the Area. Safety Advisors are not responsible for the safety of individuals or processes except those under their direct management supervision. The Accountability link for local Area Health & Safety Advisors will be identified in the Local Area Policy Manual. Uncontrolled Copy

The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 5 of 6

c) Specific NPD Responsibilities. All Directors are responsible for ensuring that Their staff receive the appropriate training in order to perform their work in a safe manner; The appropriate local health & safety procedures are in place and adhered to; The National Health and Safety Forum is kept informed of and consulted on any policy or process which could have a material impact on health and safety (as advised by the HR Manager, Health & Safety). The following Senior Managers have additional responsibilities: The Head of HR is also responsible for ensuring that arrangements exist in the NPD for: The appointment of appropriate Competent Persons to provide suitable ‘local’ (NPD) and ‘corporate’ (NPS) advice in respect of health & safety matters; Preparing local requirements necessary for the delivery of a safe & healthy working environment within NPD (ie additional to the National Policy Manual); The availability of the necessary resources and facilities to enable national union safety representatives to undertake their statutory functions including the participation in consultation on relevant matters. All Directors are accountable to the Director of Probation for the delivery of the relevant matters. The Head of Estates is responsible for ensuring that fit for purpose procedures are in place for the safe delivery of all NPD ‘facilities management’ contracts. These must ensure the provision of a safe & healthy workplace within those facilities. The Head of Estates is accountable to the National Offender Management Service (NOMS) for this matter. The HR Manager, Health & Safety is responsible for: The production and maintenance of the National Policy Manual; Promoting a high profile approach to health & safety across the NPD; The provision of Health & Safety advice within NPD and as appropriate within the broader NPS; Providing expert input into health & safety inspections, audits, reviews and investigations; Maintaining a current knowledge of health & safety legislation and improvement opportunities. The HR Manager, Health & Safety is not responsible for the safety of individuals or processes except those under their direct management supervision.

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The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 6 of 6 The HR Manager, Health & Safety is accountable to the Director of Probation through the Head of Human Resources. General Responsibilities of Contractors and other non NPS Employees Working in NPS Premises or on NPS Projects. All such persons must comply at all times with the local health & safety rules etc as well as those of their parent organisation. Where the local NPS requirement is the more onerous, this must take precedence. Failure to comply with this requirement will be deemed to be a serious breech of trust and may result in the contractor’s (etc) employee involved being barred from work on NPS premises. Further detailed requirements are set out in Section 4 of this Manual. Joint Health & Safety Consultative Mechanisms. Improving health & safety performance is dependent on a number of factors. Seeking solutions and promoting improvement through the medium of a joint partnership approach with all the key stakeholders is key to successful implementation. At National level, the ‘National Health & Safety Forum’ provides a mechanism for the joint consideration and agreement of health & safety issues. It is chaired by the Head of Human Resources. The membership comprises representation from: • NPD • Areas (H&S Advisors drawn from the Occupational Health & Safety Practitioners Group) • Trades Unions • The Probation Boards Association (PBA). The Forum works within an agreed set of ‘Terms of Reference’ in line with the framework for Local Area safety committees as set out in the Safety Representatives and Safety Committee Regulations1977. At a local level, all Areas are required to have in place a joint Board/ Management/Trades Union Health & Safety Committee to act as a focus for the sharing of experience within the Area. Section 4 (Planning & Implementation) sets out the detailed requirements including the provision for subsidiary level partnership fora within the larger Areas.

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The National Probation Service for England & Wales National Health & Safety Policy Manual Organisation & Key Responsibilities Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 7 of 6 Figure 3.1 The National Probation Service Organisational Structure. (This figure shows the outline reporting and accountability links from the Director of Probation to NPD staff and through Area Boards to Area staff.)

The Area Board Local Area Chair Director of Probation NPS

Local Area Chief Officer

NPD Directors & Senior Staff

NPD Employees Local Area Senior Staff The NPD

Local Area Employees

The Local Area

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The National Probation Service for England & Wales National Health & Safety Policy Manual The Arrangements Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 1 of 1 4) THE ARRANGEMENTS. General Introduction. This Section sets out the procedures detailing the standards of best practice which must be implemented by every Area within the timescales identified. In addition to the best practice standards, additional detailed procedures are also given (as appropriate) which are identified as being either: model solutions intended for guidance or generic solutions which are mandatory (ie they must be applied within the Areas). It is to be noted that this Section is not a substitute for statutory requirements which must be complied with at all times nor for guidance published by other parties – though these will be referred to as appropriate. Format of Procedures In addition to a Quality Control header (identifying the procedure reference, title, who authorised it, the number & date of issue and a page reference), each procedure includes the following standard sections: Statement of policy and objectives: setting out the aims of the procedure. Scope of the procedure: to whom does it apply (eg contractors)? This section will also identify whether the detailed procedures (see below) are model solutions intended for guidance or generic solutions which are mandatory. Statements of Best Practice: simply stated in bullet point form, these set out the standards to be achieved across the NPS. Implementation: this will specify the timescales for implementation by Areas. Generally this will be 12 months for Areas where high quality procedures already exist or 6 months where this is not the case. The judgement of whether existing procedures are suitable & sufficient must be subject to formal agreement (ie recorded in the minutes) by the Area’s Joint Health & Safety Committee advised, as necessary, by the NPD. (Where agreement cannot be reached, the National Health & Safety Forum will act as the arbiter.) Mandatory aspects must be implemented within the declared timescales by Areas. Guidance aspects should be used by Areas as a means of checking whether current local procedures are consistent (or better) than the guidance given – if this is the case then no further action is required by the Area for these aspects. Additional detailed procedures (including references to additional pre-existing documentation) will be incorporated into annexes. As noted above, these will be identified as being either mandatory or for guidance. The Specific Arrangements. The following contents list identifies the individual arrangements including a unique reference number and the date and number of the issue. This tabulation forms a part of the quality control process by identifying the current version of specific arrangements.

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The National Probation Service for England & Wales National Health & Safety Policy Manual The Arrangements Index Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 1 of 2 Index of Specific Arrangements (Listed in alphabetical order: Specific Arrangements are presented in numerical order.) Title Asbestos Biological Contamination Risk Assessment Competent Persons Contingency Planning Contractors COSHH Risk assessment Driving and NPS Transport Vehicles Drugs & Alcohol DSE assessments and the use of IT systems Electricity at Work Facilities, Time and Assistance for Trade Union Health & Safety Representatives Fire Protection First Aid Home Working Identification, Categorisation & Reporting of Accidents & Incidents Investigation of Accidents & Incidents & Learning from Experience Ref No NPS/HS/ 12 4 30 15 10 16 17 5 18 19 31 11 6 32 1 2 Issue No 1 1 1 1 1 1 1 1 1 1 1 2 1 1 2 2 Issue Date 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 1/12/04 1/4/05 5/4/04 1/12/04 1/4/05 1/4/05

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The National Probation Service for England & Wales National Health & Safety Policy Manual The Arrangements Index Issue Number 2 Date of Issue 1st April 2005 Issued by Kathryn Ball Page 2 of 2

Index of Specific Arrangements, Continued Joint H&S Committees Lone Working Management of safety in the NPS Estate(eg including accommodation, workplace safety etc) Manual Handling Risk Assessment New and Expectant Mothers Night working Occupational Health Services and Health Surveillance Outdoor Working (including on or near water) Permits to Work Personal Assistance Alarms Personal Protective Equipment Risk Assessment Stress Management Tobacco Smoking Training (induction, specific task, specialist & refresher) Use of Equipment and machinery in the workplace Violence in the Workplace 20 21 13 22 33 23 7 29 14 24 25 3 8 9 26 27 28 1 1 1 1 1 1 1 1 1 1 1 2 2 1 1 1 1 5/4/04 5/4/04 5/4/04 5/4/04 1/4/05 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 5/4/04 1/4/05 1/12/04 5/4/04 5/4/04 5/4/04 5/4/04

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 1 of 21 Statement of Policy & Objectives. It is National Probation Service (NPS) policy that accidents & incidents with a potential to harm people are reduced and, where possible, eliminated. The objective of this procedure is to ensure the uniform application of a system for the recording & reporting of such accidents & incidents as a contribution to a culture of proactive protection. Scope of Application. The requirements set out in this procedure are mandatory on all NPS Areas and the NPD in respect of the classification and reporting of: • Accidents & incidents affecting or potentially affecting NPS employees; • Accidents & incidents affecting or potentially affecting any other person as a consequence of activities under the control & supervision of NPS employees. In the event of any accident or incident affecting or potentially affecting a non NPS employee as a consequence of the activity of a third party (eg a Contractor’s employee injured as a consequence of the activity of a Contractor), the NPS Area must liaise with the appropriate bodies to ensure that the accident/incident is properly recorded & reported. The NPS reserves the right in such cases to independently record and report such accidents & incidents. The Specific Requirements: The following are statements of best practice to be applied across the NPS together with the relevant detailed arrangements set out in the annexes to this Procedure. Areas are required to have in place suitable & sufficient local arrangements to ensure the following: • All accidents & incidents, as identified in Annex 1, are promptly identified. • All accidents & incidents are appropriately categorised (Annex 1 sets out the mandatory procedures for accident & and incidents reportable to NPD and guidance for all other accident & incidents). • All accidents & incidents are reported both within the Area & externally within specific timescales (as identified in Annex 1). • All statutory notices served on an Area in respect of Health & Safety or Environmental Protection Legislation must be reported to NPD. • All accidents & incidents are properly recorded (Annex 2 identifies the general requirements). • The responsibilities for internal & external reporting (including out of office hours reporting) are clearly identified. • Appropriate persons are suitably trained to implement the local arrangements. The procedures for investigating accidents & incidents and consequent corrective actions are set out in Arrangement NPS/HS/2. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas within 12 months of the above issue date. Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 2 of 21 ANNEX 1 Detailed Categorisation of Accidents & Incidents and Reporting Routes & Timescales. Introduction The use of a common categorisation system (together with the associated timescales & routes for reporting of specified accidents & incidents) is an important contributor to the overall process of reducing accidents & incidents. The term ‘Accident & Incident’ includes ‘accidents’, ‘injuries’ and other ‘abnormal events’. In the following Tables, where information is identified as requiring to be notified to NPD, these requirements are mandatory on all Areas. (NB these comply with the requirements of the Human Resources ‘Workforce Information’ data set.) For all other categories of accidents & incidents (ie information not identified as notifiable to NPD), the Tables present guidance on ‘best practice’ which should be taken into account by the local Area Joint Health & Safety Committee when assessing the adequacy of pre-existing local arrangements. Areas may include additional local reporting categories (eg offender self harm; violence of offender to offender) as appropriate to local circumstances. Statutory Notices The reporting to NPD of statutory notices is not ascribed a specific category as these may or may not be associated with a particular accident or incident. For the purpose of this Arrangement, Statutory Notices include: • Improvement or Prohibition Notices issued by the HSE or a Local Authority; • Any similar notice issued by the Environment Agency; or • Any Court Summons alleging a breach of Health & Safety or Environmental legislation. Areas should also inform NPD of any written ‘Notices of Intent’ received from Regulatory Authorities in respect of requested health, safety or environmental improvements – especially where these may involve Crown resources (eg Estates). Categorisation The basic categorisation scheme comprises 2 principal elements: • The Type of Accident or Incident (eg physical injury); • The Severity of the Accident or Incident, ie the impact (actual or potential). Reporting Timescales & Routes All accidents & incidents must be reported within the local Area in accordance with the local requirements. In addition, the tables overleaf identify to whom (external to an Area) an accident or incident must be reported and on what timescale. Statutory Notices/Notices of Intent (which are not included in these tables) must be reported to the NPD (to the NPD HR Manager, Health & Safety) on the next working day Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 3 of 21 Detailed requirements The following tables identify the totality of the categorisation scheme covering both type and severity and the reporting requirements. Eight basic types of accidents & incidents are used (reflected in the subsequent eight tables) as follows: A B C D E F G H Physical Injury in the Workplace Road Traffic Accident (RTA) Violence & Intimidation in Prisons. Violence & Intimidation in Approved Premises. Violence & Intimidation in Community Punishment Projects Violence & Intimidation in other NPS Premises Abnormal Events Ill Health

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 4 of 21 A) Physical Injury (1)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Reportable to HSE/Police? Who Timescale

1 2 3 4 5

a) Death (3) a) Major Injury (4a) a) 3 day Lost Time Accident to employee (5) a) Injury to employee resulting in absence in excess of one day (6) a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid case (no absence). c) Injury to an offender (requiring first aid, hospital treatment etc but not including major injury or death (see Severities 1 & 2)) a) Near Hit/Miss & including minor injury not requiring first aid.

Yes Yes Yes Yes No No No

Immediate Next Working Day (See Note 4b) Quarterly only Quarterly only -

HSE & Police HSE HSE Neither Neither Neither Neither

Immediate Immediate Within 10 days -

6

No

-

Neither

-

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 5 of 21 B) Road Traffic Accident (7)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Reportable to HSE/Police? Who Timescale

1

a) Death of Employee (3) b) Death of third party (8) a) Major Injury to employee (4a) b) Major Injury to third party (4a & 4b) (8) a) Injury to employee resulting in the equivalent of a 3 day Lost Time Accident (5) a) Injury to employee resulting in absence in excess of one day (6) a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid case (no absence). a) Accident not involving injury b) Other accident/ incident which could have caused a significant RTA (eg involving failure of braking or steering, significant road rage which could have resulted in an RTA etc).

Yes

Immediate

Police

Immediate

Yes Yes Yes Yes

Immediate Next Working Day Next Working Day (See Note 4b) Quarterly only

Police Police Police Police

Immediate Immediate Immediate As soon as practicable -

2

3

4 5

Yes No No No No

Quarterly only -

Neither Neither Neither Neither Neither

6

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 6 of 21 C) Violence and Intimidation in Prisons (9)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Immediate Immediate (See Note 4b) Next Working Day Next Working Day Quarterly only Reportable to HSE/Police? Who Timescale HSE & Police HSE & Police Police (if necessary) Immediate Immediate As appropriate

1 2

a) Death occurring within one year of an assault a) Major injury (4a) as a consequence of an assault. b) Threat with intent to kill (ie a significant threat where there is considered to be a real risk of harm involved). a) 3 day Lost Time Injury (5) to employee as a consequence of an assault. b) Threaten with offensive weapon (10) c) Incident with health & safety implications resulting in a requirement to summon Police/ return to custody/ court. d) Incident with health & safety implications resulting in Final Warning a) Injury to employee resulting in absence in excess of one day (6) as a consequence of an assault. b) Use of racially/gender/sexual orientation/disability abusive language. c) Use of threatening behaviour/language not resulting in a formal warning. a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid treatment a) Minor injury not requiring first aid.

Yes Yes Yes

3

Yes

HSE & Police

Yes No

Police (if necessary) Police (if necessary)

HSE: within 10 days, Police: as soon as practicable As appropriate As appropriate

No Yes

Quarterly only -

Neither Neither

-

4

No

Neither

-

No

-

Neither

-

5

No No No

-

Neither Neither Neither

-

6

Detailed notes (identified by italic numerals in brackets) are after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 7 of 21 D) Violence and Intimidation in Approved Premises (9)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Immediate Immediate See Note 4b) Next Working Day Next Working Day Quarterly only Reportable to HSE/Police? Who Timescale HSE & Police HSE & Police Police (if necessary) Immediate Immediate As appropriate

1 2

a) Death occurring within one year of an assault a) Major injury (4a) as a consequence of an assault. b) Threat with intent to kill (ie a significant threat where there is considered to be a real risk of harm involved). a) 3 day Lost Time Injury (5) to employee as a consequence of an assault. b) Threaten with offensive weapon (10) c) Incident with health & safety implications resulting in a requirement to summon Police/ return to custody/ court. d) Incident with health & safety implications resulting in Final Warning a) Injury to employee resulting in absence in excess of one day (6) as a consequence of an assault. b) Use of racially/gender/sexual orientation/disability abusive language. c) Use of threatening behaviour/language not resulting in a formal warning. a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid treatment a) Minor injury not requiring first aid.

Yes Yes Yes

3

Yes

HSE & Police

Yes No

Police (if necessary) Police (if necessary)

HSE: within 10 days, Police: as soon as practicable As appropriate As appropriate

No Yes

Quarterly only -

Neither Neither

-

4

No

Neither

-

No

-

Neither

-

5

No No No

-

Neither Neither Neither

-

6

Detailed notes (identified by italic numerals in brackets) are after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 8 of 21 E) Violence and Intimidation in Community Punishment Projects (9)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Immediate Immediate (See Note 4b) Next Working Day Next Working Day Quarterly only Reportable to HSE/Police? Who Timescale HSE & Police HSE & Police Police (if necessary) HSE & Police Immediate Immediate As appropriate HSE: within 10 days, Police: as soon as practicable As appropriate As appropriate -

1 2

a) Death occurring within one year of an assault a) Major injury (4a) as a consequence of an assault. b) Threat with intent to kill (ie a significant threat where there is considered to be a real risk of harm involved). a) 3 day Lost Time Injury (5) to employee as a consequence of an assault. b) Threaten with offensive weapon (10) c) Incident with health & safety implications resulting in a requirement to summon Police/ take into custody; d) Incident with health & safety implications resulting in referral back to Court for breach of terms of the sentence e) Incident with health & safety implications resulting in a formal written warning of behaviour a) Injury to employee resulting in absence in excess of one day (6) as a consequence of an assault. b) Use of racially/gender/sexual orientation/disability abusive language. c) Use of threatening behaviour/language not resulting in a formal warning. a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid treatment a) Minor injury not requiring first aid

Yes Yes Yes

3

Yes

Yes No

Police (if necessary) Police (if necessary) Neither

No

-

No

-

Neither

-

4

Yes

Quarterly only -

Neither

-

No

Neither

-

No No No No

-

Neither Neither Neither Neither

-

5

6

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 9 of 21 F) Violence and Intimidation in Other NPS Premises or Activities (9)
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Immediate Immediate (See Note 4b) Next Working Day Next Working Day Reportable to HSE/Police? Who Timescale HSE & Police HSE & Police Police (if necessary) HSE & Police Immediate Immediate As appropriate HSE: within 10 days, Police: as soon as practicable As appropriate As appropriate -

1 2

a) Death occurring within one year of an assault a) Major injury (4a) as a consequence of an assault. b) Threat with intent to kill (ie a significant threat where there is considered to be a real risk of harm involved). a) 3 day Lost Time Injury (5) to employee as a consequence of an assault. b) Threaten with offensive weapon (10) c) Incident with health & safety implications resulting in a requirement to summon Police/ take into custody; d) Incident with health & safety implications resulting in referral back to Court/Parole Board for breach of terms of the sentence e) Incident with health & safety implications resulting in a formal written warning of behaviour a) Injury to employee resulting in absence in excess of one day (6) as a consequence of an assault. b) Use of racially/gender/sexual orientation/disability abusive language. c) Use of threatening behaviour/language not resulting in a formal warning. a) Hospital treatment of employee with absence of less than one day. b) Employee First Aid treatment a) Minor injury not requiring first aid

Yes Yes Yes

3

Yes

Yes No

Quarterly only -

Police (if necessary) Police (if necessary) Neither

No

-

No

-

Neither

-

4

Yes

Quarterly only -

Neither

-

No

Neither

-

No No No No

-

Neither Neither Neither Neither

-

5

6

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 10 of 21 G) Abnormal Events
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Reportable to HSE/Police? Who Timescale

1

2

3

a) Suicide of any person within NPS premises or while directly under NPS supervision. a) Discovery of explosives (including in suspect packages), firearms or ammunition b) Dangerous Occurrence. (11) c) Failure of fire or personal assistance alarms for more than 7 working days. a) Other fire requiring the attendance of the Emergency Services b) Discovery of any other offensive weapons. (12) c) Failure of fire or personal assistance alarms for more than 12 hours. d) Bomb Threat. e) Malicious damage to NPS property with significant health & safety implications (including arson, tampering with asbestos materials etc). a) Near Hit/Miss (13) None Identified at this time None Identified at this time

Yes

Immediate

HSE & Police

Immediate

Yes

Immediate

Police (if necessary)

As Appropriate

Yes Yes

Next Working Day Next Working Day Quarterly only -

HSE Neither

As soon as practicable -

Yes No No

Neither Neither Neither

-

No No

-

Neither Neither

-

4 5 6

No -

-

Neither -

-

Detailed notes (identified by italic numerals in brackets) are given after table H to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 11 of 21 H) Ill Health
Severity Detail of Accident/Incident Reportable to NPD? Yes/No Timescale (2) Reportable to HSE/Police? Who Timescale

1

2

3

4 5 6

a) Death resulting from asphyxiation or exposure to toxic substances. b) Death arising from a notifiable industrial disease (as defined in RIDDOR 95). c) Death resulting from other work activity (other than as defined in any other category, and including suicide where the Coroner has linked this to occupational causes). a) Death on NPS premises or during probation acitivities from any cause other than as defined in Categories A to G and Severity 1 of this Category (ie H1) b) Notifiable industrial disease (14) (as defined in RIDDOR 95). a) Sickness absence consequent upon work activity (eg occupational related asthma, dermatitis, muscular-skeletal, work related stress etc). a) Other sickness absence. (15) a) Infestation (eg cockroaches, rodents, lice, fleas etc) None Identified at this time

Yes

Immediate

HSE & Police HSE Police
(if necessary)

Immediate

Yes

Immediate

Immediate As appropriate As appropriate

Yes

Immediate

Police
(if necessary)

Yes

Immediate

HSE/Police

Immediate

Yes

Next Working Day Quarterly only

HSE

As soon as practicable -

Yes

Neither

Yes No -

Quarterly only -

Neither Neither -

-

Detailed notes (identified by italic numerals in brackets) are given overleaf to aid in the interpretation of the terms used.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 12 of 21 Specific notes to the Tables 1. Arising from work activity other than road traffic accidents (see category B) or assault (see categories C, D & E). 2. In all cases where reporting to NPD is required, a quarterly return via the NPD Workforce Information Report is required. This column identifies additional shorter timescale reporting of the more serious accidents/incidents. 3. Death (of any person) occurring within one year of a work related accident or incident as a result of physical injury. 4. a) Major Injury (of any person) as defined in RIDDOR 95 (see Annex 3). b) In the case of an injury (other than the specifically defined ‘major injuries’) resulting in a member of the public being taken to hospital on the direction of an Area employee (see Annex 3), the timescale for reporting to the NPD is only required on a quarterly basis. 5. Lost Time Accident (LTA) (employees only) as defined in RIDDOR 95. This relates to physical injury only and may or may not include major injuries – dependent on whether the individual is absent as a consequence of the injury (see also Annex 3 re specific definitions). 6. Physical injury, or trauma (following a violent incident), resulting in more than one day’s absence from work. (Employees only. By definition, this will include all RIDDOR defined ‘LTA’s’ as well; and again may or may not include major injuries – dependent on whether the individual is absent as a consequence of the injury.) (NB: see also Annex 3 re the totality of data for the general recording of one day LTA’s and the calculation of hours worked.) 7. Arising from accidents whilst travelling by road on NPS business, ie when the individual is ‘at work’ (eg whilst receiving mileage allowance). Injuries resulting from travel on public transport etc would be covered under Category A. This category does not include commuting to/from the normal place of work which by definition is not a ‘work activity’ and thus not under the control of the employer. 8. Where this information is made known to the Area by the police, insurers or the employee involved in the accident. 9. ‘Violence and Intimidation’ means a physical contact, verbal or attitudinal (ie non physical contact, non verbal) assault by a nonemployee on an employee or other person; or a hostage situation which may or may not result in actual physical harm to any person. 10. ‘Other offensive weapons’ includes knives or any other implement designed or used specifically for offensive purposes (NB: firearms are included elsewhere). 11. Dangerous occurrences are defined in RIDDOR (see Annex 3). 12. Discovery of offensive weapons includes weapons carried by a person on NPS property/projects or found on NPS property (& not attributable to a specific individual). 13. Near hit/miss includes the tampering with safety equipment (eg fire extinguishers, alarms etc), sabotage, vandalism or other damage to property or equipment, finding of sharps etc which are not otherwise recorded within a higher level of severity. Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 13 of 21 Notifiable industrial disease as defined in RIDDOR 95 (see Annex 3). General sickness absence is included for completeness. HR Departments are responsible for collecting and reporting this data. There is no requirement for an Accident & Incident Report Form (see Annex 2) for general sickness absences. General notes to the Tables The categories relate to general health & safety matters. They do not include such additional reporting requirements as may be required by local security requirements, Estates, Finance, General HR nor ‘one off’ epidemiological study requirements etc. 14 15 When ascribing a category to an accident or incident, the general rule is that it must be the most appropriate in respect of Type and Severity. In some cases the categorisation may need to change (especially the severity ranking as more information emerges). In most cases an accident or incident will appear in only one category. Note that the injury of, say, 3 persons from a single accident/incident (eg a road traffic accident) will be recorded as 3 individual injuries. The convention for stating the category will be: Basic Type – Severity – Sub Type. For example, a physical injury in the workplace (not from an assault or road traffic accident) requiring only first aid would be stated as: ‘A5b’. Timescales etc for Internal Reporting within Areas. Local arrangements must include the reporting routes for internal Area reporting together with the responsibilities for reporting to NPD and the relevant statutory authorities and also for keeping the relevant Safety Representatives appraised of accidents & incidents. These must take account of the requirements for reporting to HSE, the Police and NPD as set out below. In some circumstances this will include a requirement for reporting in ‘out of office’ hours. Timescales etc for Reporting to Statutory Authorities. For reporting accidents & incidents to HSE the relevant statutory forms must be used (using the HSE web site if appropriate). The timescales for reporting to HSE (as specified in RIDDOR) are: • Death or Major Injury: Immediate (ie without delay) by telephone (0845 300 9923) followed within 10 days by a completed HSE accident form (note this can be achieved through the HSE ‘web’ site riddor@natbrit.com). • Three day lost time injury: Within 10 days by a completed HSE accident form (note this can be achieved through the HSE ‘web’ site or by telephone: 0845 300 9923, Fax: 0845 300 9924). Reports to be made to the Local Police should be by telephone and without delay. Timescales etc for Reporting to NPD. • ‘Immediate’ Reporting: In normal NPD office hours, this must be to the office of the Director of Probation ; The Head of HR and also to the NPD HR Manager, Health & Safety. Telephone numbers are given in the NAPO Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 14 of 21 Directory. The route in ‘out of office’ hours must be to the Home Office Duty Officer (Contact via the Home Office Switchboard: 0870 000 1585). ‘Next Working Day’ Reporting: is defined as the next working day within NPD and must be to the NPD HR Manager, Health & Safety. ‘Quarterly reporting’ will be via the routine NPD HR ‘Workforce Information’ reports prepared by Area HR functions.

• •

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 15 of 21 ANNEX 2 The Common Recording Pro Forma. Introduction & Implementation The use of a coherent means of collection of information across all Areas is an important contributor to the overall process of reducing accidents & incidents by allowing a common approach to recording, analysing and sharing data and experience. This Annex sets out the mandatory requirements for the type of accident & incident information to be recorded together with guidance on the best practice for recording of such information. The Model Recording Pro Forma and Maintenance of Records Subject to the transitional arrangements noted below, all Areas are required to ensure that their local Area Accident & Incident Report Forms incorporate the data and information set out in the Model Accident & Incident Report Form illustrated in Fig 2.1. The actual format can take account of local circumstances and can include additional information and detail as required by an individual Area. Accident & Incident Records may be required in the event of claims against the Area. It is recommended that in addition to the statutory requirements (3 years is stipulated by the Department for Work & Pensions), Areas should give consideration to retaining records for longer periods as set out in the general introduction to this Section. Transitional Arrangements for the use of the Model Accident & Incident Reporting Form. The transitional arrangements are as follows: • Areas where existing systems are agreed by the Local Joint Health & Safety Committee to be not of high quality (ie the current local arrangements are significantly not in compliance with this arrangement - see ‘Implementation’ on Page 1) it is recommended that the revision of the local arrangements (required within 6 months of the implementation date of this Arrangement) incorporates the format without change. • Where the Local Joint Health & Safety Committee has agreed that existing systems are of high quality, the local forms are to include the data and information given in the Model Form (noting the caveats re format above) within 3 years of the implementation date of this Arrangement. The Model Accident & Incident Report Form will be subject to review in association with the normal review of this Arrangement and will take account of current approaches to ‘best practice’ for such reporting.

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 16 of 21 The Model Accident & Incident Recording Form The Model Accident & Incident Recording Form is set out overleaf. The responses to most of the questions posed are either simple ‘Yes/No’ answers or require simple basic data input (eg names, dates etc). Local Area Arrangements should identify who will be responsible for completing the form. Normally this should be the local line manager and/or the individual affected by the incident assisted as necessary by the Area Health & Safety Advisor (who will in any case determine the correct classification and verify whether the accident/incident is reportable). Accident & Incident Report Forms should be allocated a unique identifier number within a given Area to permit tracking of information. On the basis of advice provided by HSE, to comply with the requirements of personal privacy and the Date Protection Act, injured persons and witnesses should be asked to initial (or otherwise mark) the form to confirm they agree that their personal information included on the form can be passed to the relevant Safety Representative. Otherwise only HR Departments and Health & Safety Advisors may retain copies of the form including personal details. Copies of completed forms held by any other persons should have the relevant personal information appropriately obscured. Wherever possible, permanent records should be maintained in an ‘electronic’ format in which personal information can be restricted to authorised users only. As structured, the form conforms to the requirements of the ‘Social Security (Claims & payments) Regulations 1979’ and also provides the information required for completion of reports to the HSE. Therefore the use of this form removes the need for additional recording of accidents in the traditional ‘Yellow Accident Book’ (BI510).

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 17 of 21 Fig 2.1: Model Accident & Incident Reporting Form
THE NATIONAL PROBATION SERVICE: ………………………………AREA ACCIDENT & INCIDENT REPORT FORM ACCIDENT/INCIDENT FORM NUMBER Page 1 of 2 1) DETAILS OF THE ACCIDENT/INCIDENT Time of Accident/Incident (24hr clock) Detailed location (Division/site /post code) of the Accident/Incident Type of work undertaken Date of Accident/Incident Description of the Accident/Incident (attach drawings etc)

Did the Accident/Incident involve any of the following; (Tick/enter No of days of absence as appropriate.) (Definitions are given in the Reporting of Injuries, Diseases & Dangerous Occurrences Regulations): Death of any person Major Injury of any person Dangerous Occurrence Hospitalisation Unconsciousness Resuscitation Absence from work First Aid Treatment None of these? Details of any witnesses Name Name Address* Address Post Code* Post Code Tel* Tel * Agreement to disclosure of address/tel number to TU Safety Reps to assist in their investigation Family/Surname 2) DETAILS OF ANY INJURED PERSON PUT AT RISK. Forename Employer

Address* Address Post Code* Post Code Tel* Tel * Agreement to disclosure of address/tel number to TU Safety Reps to assist in their investigation DOB Gender (tick box) Male Female Race Disability (Nature)

STATUS (tick box) NPS Employee* Person under Supervision Approved Premises Resident * Please insert occupation or job title.

Contractor Trainee Member of Public Other

Details of the injury What was the Injury (eg fracture, laceration, burn, stab wound etc) What Part of the body was injured? If Hospitalised, name of Hospital Did the injury result from any of the following (tick as appropriate)
Contact with moving machinery/material being machined Hit by a moving, flying or falling object Hit by a moving vehicle Hit by something fixed or stationary Injured while handling, lifting or carrying Injury caused by sharps Slip trip or fall at same level Fall from height How high was the fall (metres) Trapped by something collapsing Drowned or asphyxiated Act of violence or assault Exposed to or in contact with a harmful substance Exposure to fire Exposed to an explosion Contact with electricity or an electrical discharge Injured by an animal Any other factor not covered above

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 18 of 21 Fig 2.1 Continued
THE NATIONAL PROBATION SERVICE: ………………………………AREA ACCIDENT & INCIDENT REPORT FORM ACCIDENT/INCIDENT FORM NUMBER Page 2 of 2 3) ACCIDENT & INCIDENTS INVOLVING VIOLENCE OR INTIMIDATION: DETAILS OF THE PERPETRATOR(S) Family/Surname Family/Surname Forename Forename Contact Address Contact Address Telephone Telephone If the perpetrator was under supervision, were they identified as posing a significant risk of harm to staff: Prior to the Accident/Incident? Y/N Subsequent to the Y/N Accident/Incident? Did the Accident/Incident involve violence or intimidation that was (tick box): Physical Verbal Sexual Racial Other (specify) Additional Comments

4) OCCUPATIONAL DISEASE Name of Disease/Condition Date of Diagnosis Name & Address of Doctor Note any special circumstances that could have contributed to the condition

5) FOLLOW UP ACTIONS What actions have been taken to prevent a recurrence?

Check list of Area Personnel to whom this Accident/Incident must be reported (tick box to confirm) Line Manager Building Manager Area H&S Advisor Safety Representatives 6) SIGNATURES Role Name Person completing this form * Manager responsible for the work activity (if not the person completing this form) * If you are not the injured person, please write your home address and post code together with your occupation or job title here: Attach any additional information using blank sheets Specific Actions Undertaken by the Area Health & Safety Advisor Category of Accident/Incident Type Severity Sub-Type External Reporting requirements: Insert date reported (or ‘N/A’ if not reportable) Statutory Authority (state Immediate/ Next Working which). Day to NPD (Severity 1 & 2 only) This form complies with the Social Security (Claims & Payments) Regulations) 1979 Signature

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IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 19 of 21 ANNEX 3 Definitions of RIDDOR ‘Lost Time Accidents’, ‘Major Injuries’ & ‘Dangerous Occurrences’. (See footnotes to the tables in Annex 1 for HSE contact numbers etc) Lost Time Accidents: ‘Three Day Lost Time Accidents’ means any accident/incident which results in an individual being unable to perform their full range of normal duties for more than 3 days (including any days they wouldn’t normally be expected to work but not counting the day of the injury itself). The total figure for reporting to HSE, and for general ‘3 day LTA’ records, will also include the data from Categories C, D & E (but not B). To calculate the Lost Time Accident Frequency Rate (ie the number of such accidents per 100,000 hours worked) the convention to be used for determining the ‘total hours worked’ in any quarter is: ‘Number of full time equivalent people x 11 x 40’ Where ‘11’ is the typical number of weeks worked per quarter (allowing for leave & other absence) and ‘40’ is a notional number of hours per week (allowing for overtime etc). Pro rata figures can be used for periods other than Quarters. Major Injuries (as defined by the Health & Safety Executive (HSE)): • Fracture other than to fingers, thumbs or toes; • Amputation; • Dislocation of the shoulder, hip, knee or spine; • Loss of sight (temporary or permanent); • Chemical or hot metal burn to the eye or any penetrating injury to the eye; • Injury resulting from electric shock or electrical burn leading to unconsciousness or requiring resuscitation or admittance to hospital for more than 24 hours; • Any other injury: leading to hypothermia, heat-induced illness or unconsciousness; or requiring resuscitation; or requiring admittance to hospital for more than 24 hours; • Unconsciousness caused by asphyxia or exposure to a harmful substance or biological agent; • Acute illness requiring medical attention, or loss of consciousness arising from absorption of any substance by inhalation, ingestion or through the skin; • Acute illness requiring medical treatment where there is reason to believe that this resulted from exposure to a biological agent or its toxins or infected material. In addition a ‘major injury’ (ie requiring immediate reporting to HSE) includes, for the purpose of this Arrangement, an accident where a member of the public (an offender, victim or any other person who is not ‘at work’) is taken to hospital on the direction of an Area employee. Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 20 of 21 • Dangerous Occurrences as defined by HSE: a) Those accidents & incidents more likely to be encountered in the work of the NPS: • Collapse, overturning or failure of load-bearing parts of lifts and lifting equipment; • Explosion, collapse or bursting of any closed vessel or associated pipe work; • Failure of any freight container in any of its load bearing parts; • Plant or equipment coming into contact with overhead power lines; • Electrical short circuit or overload causing fire or explosion; • Any unintended explosion, misfire, failure of demolition to cause the intended collapse, projection of material beyond a site boundary, injury caused by an explosion; • Malfunction of breathing apparatus while in use or during testing immediately before use; • Collapse or partial collapse of a scaffold over five metres high, or erected near water where there could be a risk of drowning after a fall; • Unintended collapse of: any building or structure under construction, alteration or demolition where over five tonnes of material falls; a wall or floor in a place of work; any false work; • Explosion or fire causing suspension of normal work for over 24 hours; • Accidental release of any substance which might damage health. b) Those accidents & incidents unlikely to be encountered in the work of the NPS but included for completeness: • Accidental release of biological agent likely to cause severe human illness; • Failure of industrial radiography or irradiation equipment to de-energise or return to its safe position after the intended exposure period; • Failure or endangering of diving equipment, the trapping of a dive, an explosion near a diver, or an uncontrolled ascent; • Unintended collision of a train with any vehicle; • Dangerous occurrence at a well (other than a water well); • Dangerous occurrence at a pipeline; • Failure of any load-bearing fairground equipment, or derailment or unintended collision of cars or trains; • A road tanker carrying dangerous substances overturns, suffers serious damage, catches fire or the substance is released; • A dangerous substance being conveyed by road is involved in a fire or released; • Sudden uncontrolled release in a building of: • 100 kg or more of a flammable liquid; • 10 kg or more of a flammable liquid above its boiling point; or • 10 kg or more of a flammable gas; or • 500 kg of these substances if the release is in the open air. Uncontrolled Copy

IDENTIFICATION, CATEGORISATION & Doc Ref: REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1 Issue Number: 2 Date of Issue. 1st April 2005 Issued by: Kathryn Ball Page 21 of 21 Reportable Diseases. Identification of a ‘Reportable Disease’ should only be made by an Occupational Health Specialist or a Medical Practitioner. It should also be noted that such diseases may arise during employment with NPS even though the cause could be connected with past employment. A full listing is available in a number of HSE publications including their detailed guide to RIDDOR. The list includes: • certain poisonings • some skin diseases such as occupational dermatitis, skin cancer, chrome ulcer, oil folliculitis/acne • lung diseases including occupational asthma, farmers lung, pneumoconiosis, asbestosis, mesothelioma • infections such as leptospirosis, hepatitis, tuberculosis, anthrax, legionellosis & tetanus • other conditions such as occupational cancer, certain musculoskeletal disorders, decompression illness, and hand-arm vibration syndrome.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 1 of 12 Statement of Policy & Objectives: It is NPS policy that accidents & incidents with a potential to harm people are properly investigated, the lessons learnt and improvements adopted. Scope of Application: The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the investigation of: • Accidents & incidents affecting or potentially affecting NPS employees; • Accidents & incidents affecting or potentially affecting any other person as a consequence of activities under the control & supervision of NPS employees. The Mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Guidance on the implementation of these is given in the annexes (noting that in the case of Severity 1 accidents & incidents (all associated with a death) the annexes set out a mandatory implementation requirement). In the event of any accident or incident affecting or potentially affecting a non NPS employee as a consequence of the activity of a third party (eg a Contractor’s employee injured as a consequence of the activity of a Contractor), the NPS Area must liaise with the appropriate bodies to ensure that the accident/incident is properly investigated and the improvements are implemented. The NPS reserves the right in such cases to independently investigate such accidents & incidents. The Specific Requirements The following are statements of best practice to be applied across the NPS. Detailed guidance on the implementation of the best practice is set out in the annexes to this procedure. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All accidents & incidents are properly investigated without delay to identify root and contributory causes (see Annex 1). • Investigations are properly constituted, resourced, conducted and reported (see Annex 1). • Lessons learnt are acted on both in the Area and, as appropriate, across the NPS (see Annex 2). • Mechanisms are in place to confirm that action has been taken (see Annex 2). • Such investigations are not associated with the apportionment of personal blame (this is a matter for independent management action). The procedures for the categorisation and reporting of accidents & incidents are set out in Arrangement NPS/HS/1. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 2 of 12 ANNEX 1 GUIDANCE ON INQUIRY PROCEDURES. Introduction. The level of inquiry will depend on the nature and severity of the accident/incident – and this procedure provides general guidance linked to the severity classification scheme set out Arrangement NPS/HS/1. The one exception to this guidance is in respect of the investigation of Severity 1 accidents & incidents (all associated with a death) where the detailed implementation requirements are mandatory across the NPS. The primary objectives of an inquiry procedure are to: • Identify the root cause(s). • Identify contributory causes. • Make recommendations to prevent a recurrence within the Area. • Make recommendations for broader dissemination where this could be of value to other Areas. • Report on these matters in a timely manner. An inquiry of this nature must not attempt to apportion or imply personal blame – that is a matter for Management to determine. All inquiries & investigations should be undertaken without delay in partnership with the key stakeholders (eg involving the Line Management, Safety Representatives, Health & Safety Advisors etc). This Annex provides guidance (mandatory requirements in respect of Severity 1 accidents & incidents) in respect of: • Levels of Inquiries (matched to the severity of an accident or incident)Annex 1.1; • The identification of a Convening Authority (to ensure an Inquiry is properly conducted) – Annex 1.2; • Membership of Inquiry Teams (to ensure an appropriate representation and independence) – Annex 1.3; • The conduct of an Inquiry (to ensure all relevant issues are considered) – Annex 1.4; • Inquiry Reports (to ensure all relevant information is properly recorded) - Annex 1.5.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 3 of 12 Annex 1.1 Levels of Inquiries. The level of inquiry will be dependent upon the severity (or in some cases the potential severity) of the accident/incident. Table 1 provides guidance (mandatory requirements in respect of severity 1 accidents & incidents) on the general nature of Inquiries etc. It should be read in conjunction with Annex 1.2 (Table 2: Definition of Convening authority) and Annex 1.3 (Table 3: Members of an Inquiry Team). The initial determination of the appropriate level of the proposed inquiry/investigation should be the relevant line manager (advised by the Area Health & Safety Advisor as necessary). Table 1: Levels of Inquiry. Category of Accident/Incident All Severity 1 Accidents & incidents All Severity 2 Accidents & incidents (other than as a sole consequence of any accident where a member of the public (an offender, victim or any other person who is not ‘at work’) is taken to hospital on the direction of an Area employee and which is not otherwise a ‘major injury’. All Severity 3 & 4 Accidents & incidents involving lost time injury or hospital treatment as a result of an injury together with a Severity 2 accident where a member of the public (an offender, victim or any other person who is not ‘at work’) is taken to hospital on the direction of an Area employee and which is not otherwise a ‘major injury. All other Accidents & incidents (other than Type H) Level of Inquiry National Board of Inquiry Area Board of Inquiry

Local Management Inquiry

Local Investigation

The Convening Authority (see annex 1.2) should have the authority to recommend a higher status inquiry if the circumstances are such that the consequences of the accident or incident could have resulted in a greater level of harm or where the actual level of harm incurred was greater than that indicated by the initial categorisation (eg trauma following an act of violence (a ‘Severity 4 accident/incident) resulting in a significant period of absence and ill health).

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 4 of 12 Annex 1.2 The Convening Authority. The Convening Authority is the Person sponsoring the Inquiry and to whom an Inquiry Team would report in the first instance. The seniority of the Convening Authority is dependent upon the level of severity of the accident/incident. It is to be noted that, due to the complexity of the senior reporting arrangements in the NPS (the role of the CO’s, the Area Boards & the Director of Probation ), a degree of joint responsibility is necessary. The role of the Convening Authority should be: • To be satisfied that the level of inquiry is correct; • Selecting and instructing the inquiry chair; • Approving the constitution of the inquiry team; • Ensuring the inquiry/investigation is conducted without delay; • Receiving & accepting the report; • Ensuring that all actions identified are acted upon. Table 2 provides guidance (mandatory requirements in respect of severity 1 accidents & incidents) on the appropriate levels of seniority for the Convening Authority. Table 2: The Convening Authority. Level of Inquiry Convening Authority National Board of Inquiry Area Board Chair in consultation with the Director of Probation, NPD Area Board of Inquiry CO in consultation with the Area Board Chair Local Management Inquiry ACO responsible for the area of work Local Investigation No formal requirement for a Convening Authority, but the local arrangements should ensure that matters are suitably & sufficiently investigated, the lessons learnt and who has the responsibility for ensuring that this happens.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 5 of 12 Annex 1.3 Membership of Inquiries. Table 3 provides guidance (mandatory requirements in respect of severity 1 accidents & incidents) on the membership of inquiry teams. Table 3: Membership of Inquiry Teams Member Inquiry Type National Board of Area Board of Inquiry Inquiry Chair ACO (or equivalent) from another area of work Health & NPD Health & Area Health & Safety Safety Manager Safety Advisor Technical ACO (or equivalent) Manager of from the Area (but appropriate not from the seniority (ie below accident/incident ACO) from another work area) or NPD area of work or an OH specialist in the OH specialist in case of Cat G the case of Cat G Employee Nominee of Nominee of local Representative relevant Trades Trades Union Union National Officers Officers Secretary Nominee of Nominee of Convening Convening Authority Authority Chair or CO from another Area

Local Management Inquiry Manager of appropriate seniority (ie below ACO) Area Health & Safety Advisor Nominee of inquiry chair.

Nominee of local Trades Union Officers Nominee of Inquiry Chair

Where practicable, Chairs should be trained in leading inquiries and at least one other member should have received training as an inquiry member. Equally the H&S input should be able to call upon a degree of experience in root cause analysis. Additional members may be appropriate to cover specific technical issues or as a consequence of local management organisational structures. It is essential that sufficient resources are made available to the Chair for the undertaking of the Inquiry (including ‘facility time’ for the identified employee representative (normally a Safety Representative)).

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 6 of 12 Local Investigations will normally be undertaken by an appropriate local manager in association with the relevant Safety Representative and, as necessary, the Area Health & Safety Advisor. Dependent on the local circumstances, the investigation may take the form of: • As a minimum, the completion of the Accident & Incident Report Form; or • The use of a simple accident & incident investigation form (Figure 1 provides an example of a suitable pro forma); or • An inquiry modelled on a ‘Local Management Inquiry’.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 7 of 12 Figure 1: Page 1 of a Model Accident & Incident Investigation Form
THE NATIONAL PROBATION SERVICE:………………………………AREA. ACCIDENT & INCIDENT INVESTIGATION FORM Re: Accident/Incident Report Form No Date of Investigation Name of Investigation Leader Name of Safety Representative Name of H&S Advisor (if present) DETAILS OF ACCIDENT/INCIDENT (See over for details of investigation) Date of Accident/Incident Time of Accident/Incident Category of Accident/Incident Personal Injury? Reported to HSE? Description of the Accident/Incident (refer to original Report Form if nothing to add)

CONCLUSIONS OF INVESTIGATION: CAUSES (See over for details of investigation): Initiating Event Contributory Causes

Root (underlying) Causes

RECOMMENDATIONS Recommendation

Date for completion:

Signature: 1) Line manager 4) Safety Representative 7) Others

SIGNATURE OF INVESTIGATION LEADER Date: DISTRIBUTION 2) Managers responsible for
recommendation implementation.

3) Area H&S Advisor 6) NPD H&S (as required)

5) OH Advisor (if applicable)
Page 1 of 2

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 8 of 12 Figure 1 Continued:
DETAILS OF THE INVESTIGATION Factors involved Environmental: • Lighting • Access/exits • Ventilation • Heating • Trip hazards • Housekeeping • Other factors Equipment: • Defective tools • Defective machine guards • Local ventilation • Other factors • Electrical isolation • Other factors Personal. Prot. Equip • Specified • Available • Worn • Suitable • Good condition • Other factors Procedures/supervision: • Instructions: available suitable understood followed • Adequate training • Adequate supervision • Other factors People Issues • Horseplay • Malicious damage • Alcohol • Drugs/medication • Excess workload • Exceeding authority • Exceeding training • Other factors Additional Comments Y/N Comments

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 9 of 12 Annex 1.4 The Conduct of Inquiries. The conduct of an inquiry is key to the value of its output. To assist in the delivery of the primary objectives (set out at the beginning of Annex 1), the following provides guidance (mandatory requirements in respect of severity 1 accidents & incidents) on the key issues to be considered: • • • • • • • • • • Clear Terms of Reference should be established (eg ‘to investigate…. to determine the root & contributory causes……to make recommendations to the Convening Authority’). Timescales should be set for completion (typically 28 days with an interim report if longer is required). Immediate issues of concern should be raised at once. Evidence should be taken orally (and in writing if necessary or requested by a witness). The scene of the accident/incident must be visited. Evidence/photos must be preserved. The evidence should be submitted to a root cause analysis procedure to ensure the true underpinning reasons are identified. Recommendations for preventing a recurrence must be agreed for promulgation within the Area and (if potentially relevant) further afield. A full record of the proceedings must be made by the Secretary. It is again stressed that the inquiry is not to apportion or imply personal blame in any circumstances.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 10 of 12 Annex 1.5 The Inquiry Report The degree of detail in the Report will obviously be dependent upon the scale of the investigation. A full National Board of Inquiry Report would be expected to be considerably more detailed than a Local Management Inquiry. Guidance (mandatory requirements in respect of severity 1 accidents & incidents) on the appropriate level of information etc to be presented/preserved is as follows. The Principal Report: • Name & position of the Convening Authority, the Chair & members. • Terms of reference. • Description of the accident/incident (including date, time, work in progress, what happened etc). • Details of any casualties. • Conclusions (re root & contributory causes). • Recommendations. The final report must be made available to all key stakeholders. Additional Information to be preserved: • The inquiry discussions. • Evidence taken (including any drawings, reports, photographs etc). • Witness statements. • Any other information deemed by any member to be relevant.

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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 11 of 12 ANNEX 2 GUIDANCE ON THE DISSEMINATION AND FOLLOW UP OF INQUIRY ETC FINDINGS & RECOMMENDATIONS. The proper and timely dissemination and follow up of Inquiry and investigation findings is essential to ensuring that any lessons learnt are promptly and fully implemented. In effect, this closes the accident/incident – inquiry – rectification loop. To assist in promoting a positive safety culture (and to reinforce the value of the timely completion of accident/incident reports), it is important that all relevant staff are appraised of the learning points and the actions being taken to prevent a recurrence. Responsibilities for these matters are given below. Responsibilities for ensuring the dissemination and follow up of Inquiry etc Findings & Recommendations. • Severity 1 accidents & incidents: the Convening Authority will be responsible for ensuring that proper follow up of Inquiry findings etc is achieved. For severity 2 accidents & incidents and for severity 3 & 4 accidents & incidents involving lost time injury or hospital treatment as a result of an injury: it is recommended that the Convening Authority be responsible for this aspect. For all other accidents & incidents (where the inquiry takes the form of a Local Investigation which may be no more than the completion of an Accident & Incident Report): Local Area arrangements should include the identification of the appropriate level of authority responsible for the follow up of investigation findings and recommendations. (Note: this must be within the line management team – it should not be the direct responsibility of the Health & Safety Advisor – see also the guidance re Tracking Systems.)

The Tracking of Inquiry Findings & Recommendations It is emphasised that the responsibility for closing out actions arising from inquiries & investigations rests with the individual specifically identified against those actions in the inquiry/investigation report etc. The objective of tracking is simply to provide a means of confirming the completion of actions and the identification of outstanding issues. To ensure the tracking of Inquiry findings & recommendations to completion, the following guidance (mandatory requirements in respect of severity 1 accidents & incidents) on tracking systems is given: • For National Boards of Inquiry, the NPD H&S Manager (in association with the Area Health & Safety Advisor) will, on behalf of the relevant Uncontrolled Copy

INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2 & LEARNING FROM EXPERIENCE Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 12 of 12 Area Board Chair and the Director of Probation, track the progress of actions. For Area Boards of Inquiry and Local Management Inquiries, the Area Health & Safety Advisor should, on behalf of the Convening Authority, track the progress of actions. For all other Investigations the Area Health & Safety Advisor should satisfy themselves that a suitably identified local manager is tracking the progress of actions. In all cases, the individual responsible for action tracking should make regular reports (for example monthly) to the Convening Officer (where appointed) or other appropriate Manager as to progress on implementation. In all cases, the Convening Officer (where appointed) or other appropriate manager must take action to ensure that any failure to implement recommendations is dealt with expeditiously. In all cases, the Area Health & Safety Advisor (in discussion with the NPD H&S Manager as necessary) should make periodic (eg six monthly) presentations to the Area Board re progress on implementing inquiry/investigation recommendations.

• • •

• •

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 1 of 15 Statement of Policy & Objectives. It is NPS policy that the hazards arising from all work activities are properly assessed for risk to ensure that where the elimination of harm is not possible, harm is minimised so far as is reasonably practicable. The objective of this procedure is to ensure a coherent approach to risk assessment across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS; - together with additional requirements applying to Contractors’ (etc) staff working on NPS premises. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Detailed statements for the implementation of these are given in the annexes, some of which are mandatory, some are for guidance. A general guide to Risk Assessment is given in Annex 1. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Detailed means of compliance are set out in the annexes to this procedure and are designated below as being either: mandatory (ie must be applied); or guidance on best practice. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All hazards to health and safety of anyone who may be affected by NPS activities are properly identified (see Annex 2 for guidance). • Those groups of people who may be harmed are properly identified (see Annex 3 for guidance). • The resultant risk is evaluated, the adequacy of existing levels of protection is assessed and additional levels of protection are determined as necessary (see Annex 4 for guidance). • The findings are properly recorded (See Annex 5 for guidance together with a model record form). • All Risk Assessments are periodically reviewed and revised as necessary (see Annex 6 for mandatory requirements to be employed by all Areas). Arrangements for work undertaken by Contractors etc is covered by a further Arrangement (NPS/HS/10). Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas within 12 months of the above issue date. Special transition arrangements continue to relate to pre-existing assessments (Annex 5).

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 2 of 15 ANNEX 1 A GENERAL INTRODUCTION TO RISK ASSESSMENT. Risk assessment is a simple technique that seeks, by examination of the work to be undertaken, to identify what aspects have the potential to cause harm to any person, who those people might be and how that harm can be eliminated or reduced. Whilst a systematic approach is necessary, it is important to remember that risk assessment is generally not an “objective” process. The basic aim is to determine whether the protective mechanisms, procedures etc in place provide an acceptable level of protection. The objective of a Risk Assessment is to enable work to proceed in a safe manner. Except in extreme cases it is not intended to stop or prevent work being carried out. With regard to Community Punishment overall project assessments, the processes described in this arrangement are complementary to and do not replace these more general assessments. Generally speaking, a work activity with a high chance of seriously harming someone (eg the use of power cutting machinery, or serious injury resulting from violence in certain situations) would be associated with a more detailed level of assessment. Conversely an activity where any harm would be minimal and with only low chance of it happening in the first place will require only a simple assessment. The competent (ie suitably trained & experienced) line manager undertaking the risk assessment will be able to make this evaluation prior to embarking on the full assessment. Whilst it is only necessary to maintain formal records of the more significant risk assessments, nonetheless it is advisable to maintain a record of all assessments even if only to simply demonstrate that the assessment has indeed been done and that no action was deemed necessary - this is good practice. The Annexes in this Procedure have been designed with this in mind. HSE have identified a five step approach to Risk Assessment. This is noted below together with the subsidiary steps needed to ensure satisfactory completion of each step. The HSE ‘Five Steps’ (paraphrased) 1) Look for hazards Subsidiary steps for completion • Identify the hazard. • Identify the way people coming into contact with the hazard can suffer harm to their health (if you are not aware of the harm that may occur seek advice). • Identify who is exposed to the hazard. • Are any of them particularly at risk? (new or expectant mothers; people under 18; pre-existing medical condition, disability, or other impairment; new or inexperienced staff; basic skills issues; any matters arising from the offender assessment etc.).

2) Who might be harmed

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 3 of 15 • Using a simple tool to estimate the risk. • Identify what you are presently doing to prevent or minimise exposure to the hazard. • Identify the way that things could be improved to further reduce the risk (including training & informing people of the residual hazards, risks & identified control measures to be implemented). • Identify who will be responsible for implementing the changes. • Set the time-scale over which the changes will be made. 4) Record your findings • Record all this information – This is your risk assessment. 5) Review your • Set a review date for monitoring the effectiveness assessment and revisit of your improvements (the procedures should also if necessary identify who will be responsible for co-ordinating the monitoring and evaluation process). 3) Evaluate the risks and check if more needs to be done All of these basic steps are explained in the remainder of the annexes to this procedure. Particular terms are used which have a specific meaning in risk assessment: • HAZARD means anything that has the potential to cause harm (eg violence & intimidation, lone working, moving machinery, working at heights, trip hazards, electricity etc etc). • PROBABILITY is the chance (or likelihood) that a particular level of harm arising from a hazard might be incurred. • RISK is the overall assessment that somebody will be actually harmed by the hazard – it is determined from a practical consideration of the severity of the hazard and the probability. Combining the significance of a hazard with the likelihood that that harm will be incurred allows the assessor to identify the most appropriate level of protection for a particular work activity. Harm may be either immediate (ie ‘acute harm’ such as a fall from a height) or delayed (ie ‘chronic harm’ such as exposure to a biological hazard). Personal susceptibility (‘sensitive harm’ eg from pre-existing medical conditions) should also be taken into account. It is accepted that a failure to disclose relevant personal circumstances by staff at risk means that the risk assessor is not able to take this into account when completing the risk assessment. Generally speaking, the assessment of risk should be undertaken by the individual who is responsible for managing the work activity and who has been suitably trained in risk assessment. They should be assisted by the local Trades Union/employee Safety Representative, the people undertaking the work and (as necessary) the Area Health & Safety Advisor. Copies of the assessment must be Uncontrolled Copy

RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 4 of 15 made available to people in the relevant work places and an appropriate copy should be retained by the Area. Attention is drawn to the specific requirements associated with the assessment of risk for the following work activities which are to be incorporated into individual Arrangements within this Health & Safety Policy Manual: • Asbestos • Display screen equipment (computers etc) • Fire • Harmful substances & materials • Manual Handling (lifting & carrying objects) • Potential contact with biological agents (Hepatitis, TB, HIV etc) Where there are activities which are undertaken in a similar manner in more than one place it is not necessary to do an individual risk assessment in each case. A Generic Risk Assessment may be prepared for general use provided that, in each situation where it is to be used, a review of local circumstances is made to ensure that it is applicable without modification and that the relevant people are made aware of its requirements. Generic risk assessments building on best practice within the Areas for use across the NPS are to be produced in due course. They will be set out in a separate manual.

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 5 of 15 ANNEX 2 THE IDENTIFICATION OF HAZARDS. Introduction This Annex sets out best practice guidance on the identification of possible hazards. There are a number of ways that hazards may become identified including in particular: • Inspections/surveys; • Incident reporting and investigation; • Notification of potential hazards by staff; • Job/task analysis; • Changes in work circumstances (including offender behaviour). Identifying the Hazards In undertaking a Risk Assessment, the first task is to identify what types of hazard a person may be exposed to. Common hazards likely to be encountered within the work of the NPS are as noted below. This is not an exhaustive listing, noting that other hazards might be applicable in local circumstances. • Ozone (eg in the vicinity of • Access/egress equipment and photocopiers & laser printers) possible impediments • Portable power tools • Compressed air equipment • Power washing equipment • Contagious diseases (eg HIV, Hepatitis B&C, TB, leptospirosis • Pressurised plant (Weil’s disease), zoonoses, • Slip trip & fall hazards legionella) • Stress at work (see also HSE • Electrical equipment and electrical guidelines for employers) supplies • Upper Limb Disorders • Falling objects • Use of NPS or other vehicles • Flammable & explosive substances (including fork lift trucks etc) • Hand tools • Vibration • Personal hygiene issues (NB Food • Violence & intimidation to staff hygiene is not covered by this • Working at height Arrangement) • Working environment (temperature, • Installed plant and machinery adverse weather, ventilation & (including non portable power tools) lighting etc) • Lone and out of hours working (eg • Working on or near water or other night working, working alone with environmental hazard offenders etc) • Workload (ie a significant change in • Musculo-skeletal disorder or injury nature or volume including the • Needle stick injury possibility of increasing the potential • Noise for workplace related stress) • Occupational asthma and dermatitis In undertaking a risk assessment, all the above hazards should be considered. The risk assessment pro forma given in Annex 5 (‘Recording the Findings’) provides an opportunity to record this aspect of the assessment. Annex 1 lists particular hazards that are subject to specific arrangements within this Manual. Uncontrolled Copy

RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 6 of 15 ANNEX 3 IDENTIFYING WHO MIGHT BE HARMED AND HOW. Introduction This Annex sets out best practice guidance on the identification of those groups of people who might be harmed. Particular care needs to be taken of groups who may be particularly at risk. These are identified later. Identifying Those Who Might be Harmed The first task is the identification of those who might be harmed by the hazards identified for the work activity. There is no need to identify individuals. What is required is the identification of groups of people who will be either undertaking the work or who may be affected by it (eg people working in the vicinity). Typical groups of people will include (in alphabetical order): • • • • • • • • • • • • • Approved Premises Staff. Community Punishment Staff (field work). Community Punishment Staff (workshops). Contractors, Agency workers, Partnership Staff etc. Members of the Public (including volunteers & visitors). NPS staff involved in victim liaison. Offenders and others for whom the NPS has a responsibility in the work place. Office and support Staff (in contact with offenders etc). Office and support Staff (not in contact with offenders etc). Probation Officers, Probation Services Officers and work supervisors in contact with offenders etc on NPS property. Probation Officers, Probation Services Officers and work supervisors in contact with offenders etc not on NPS property (eg in Courts, prisons, home visits etc). Reception Staff. NPS staff seconded to a third party employer.

As noted previously, special attention must be given to the following groups who may be at particular risk: • Disabled Staff/Offenders etc • New and expectant mothers • Inexperienced staff • Lone workers • Visitors • Young persons (aged under 18) • People returning to work after prolonged absence • Those people who may have difficulty in reading or comprehending written instructions for whatever reason.

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 7 of 15 Assessing the Level of Harm The second task is to make an assessment of the level of harm that could be experienced by those affected by the hazards if no further protective systems are put in place. This requires a sound knowledge and experience of the work being undertaken. As a general guide the following criteria may be used: • Slightly Harmful: eg the worst form of harm would be: ill-health leading to minor discomfort (eg, headaches, one-off emotional disturbance); or superficial injuries (eg minor cuts and bruises; eye irritation from dust etc). Moderately Harmful: eg the worst form of harm would be: ill-health leading to permanent minor disability or more significant discomfort (eg deafness, dermatitis, asthma, work-related upper limb disorders, regular emotional disturbance, disturbed sleep patterns etc); or more serious injuries (eg lacerations; burns, concussion, serious sprains, minor fractures – which could be reportable under RIDDOR). Very Harmful: eg the worst form of harm would be permanent major disability or a major injury (eg amputations, major fractures; poisonings; multiple injuries; occupational cancer, other severely life shortening diseases, severe emotional disturbance, sleep deprivation, threats with intent to kill, severe depression etc). Fatal: ie the activity could result in death from injury or acute (fatal) disease.

Assessing the probability of Harm The third task is to make an assessment of the probability (ie the likelihood or chance) that the level of harm (ie injury etc) identified might be incurred. This requires a sound knowledge and experience of the work being undertaken (including a knowledge of whether problems have occurred in the past). In assessing the probability the following factors should be born in mind. • The number of personnel exposed (though it is as important to protect the individual as it is the group); • The frequency and duration of exposure to the hazard (bearing in mind that even short duration exposure to a significant hazard will still be unacceptable); • Is the hazard or its likelihood increased if there is a failure of services (eg electricity and water) etc; • The failure of plant and machinery components and safety devices; • Unforeseen staff shortages (ie minimum levels of supervision may need to be specified) • Exposure to the elements; • The potential for unsafe acts (unintended errors or intentional violations of procedures) by anyone (eg from a lack of knowledge or training, personal capability, horseplay etc); • The consequences of unplanned events (eg flooding whilst working near water courses). Uncontrolled Copy

RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 8 of 15 As a general guide the following four levels of ‘probability’ provide a practical model. The assessment must be based on the level of protection currently in place (which for a new task may be none). • Low Probability: Where the probability of the hazard being experienced by anyone is extremely remote to the point where it can be generally ignored (noting the guidance given in Annex 4 re possible fatal consequences). Examples include: the chance of being physically assaulted if there is a suitable barrier between a receptionist and an offender. Intermediate Probability: Where the risk is judged to be reasonably foreseeable (eg needle stick injury in Community Punishment). High Probability: Where the risk is judged to be quite evident (eg trailing cables in a workplace, poorly stored equipment which could topple over). Immediate Probability: Where the chance of the hazard being experienced is almost certain (eg unguarded machine tools or an unguarded power take off from an agricultural tractor).

• • •

Having assessed the potential harm and the probability that an individual may incur that harm, the final step is to assess the overall risk. This is explained in Annex 4.

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 9 of 15 ANNEX 4 EVALUATING THE RISK. Introduction Annex 3 sets out, for people who may be harmed by the work activity, a means of assessing the potential level of severity of the harm and the probability of incurring that harm. This Annex sets out best practice guidance on combining these two elements to provide an overall assessment of risk. Evaluating the Overall Risk In establishing the level of risk and what further (if any) protective systems need to be implemented, two underpinning principles must be complied with: • The requirement to work within statutory constraints (limits etc). • The principle of ‘As Low As Reasonably Practicable’ (also known as ‘ALARP’). This requires that the level of expenditure to reduce harm should be typically not less than 10 times the cost associated with the harm. This is a basic requirement of all UK health & safety legislation and practice. When a work activity is within legal limits and the risk is ‘ALARP’ the activity is said to be ‘tolerable’. As an aid to enabling the level of risk associated with particular activity to be evaluated the following simple tools are recommended. Four clear levels of risk are identified as follows: • Minimal Risk: No additional protective controls are required. However it is still prudent to consider if there are any further cost effective protective measures which could be implemented to reduce the risk yet further. Monitoring is required to ensure that the protective measures in place are maintained. Moderate Risk: Action must be taken to reduce risk to a level that is ‘as low as reasonably practicable’ (ie “tolerable”). Risk reduction measures must be implemented within a defined time period. Where the risk is associated with extremely harmful consequences further assessment may be necessary to establish more precisely the likelihood of harm as a basis for determining the need for improved control measures. Significant Risk: New work must not commence until further permanent protective systems have been put in place. Work already in progress must stop immediately. It may recommence following the introduction of temporary control measures (eg specific temporary procedures, barriers etc). The temporary measures must be agreed by the relevant stakeholders (ie the line management, Safety Representatives and the Health & Safety Advisor). The objective must be to reduce the level of risk to at least ‘moderate’ and the period of such work must not exceed 21 days. Work beyond this time period must only continue following the implementation of permanent control measures. It is likely that significant resource may be needed to provide an acceptable level of protection in these cases. Intolerable Risk: New work must not commence and work already in progress must be stopped immediately until further permanent protective Uncontrolled Copy

RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 10 of 15 systems have been put in place to reduce the level of risk to at least the ‘moderate’ level. Guidance on the identification of further protective measures is given later in this Annex. The next step is to consider the combination of the severity and probability of harm. Figure 4.1 provides a simple model for this by identifying the level of risk associated with the various combinations of severity and probability.

Figure 4.1: A Model for Evaluating Risk.
Severity of Harm Slightly Harmful Moderately Harmful Very Harmful Fatal Low Minimal Minimal Minimal Moderate Probability of Harm Intermediate High Minimal Minimal Minimal Moderate Significant Moderate Significant Intolerable Immediate Moderate Significant Intolerable Intolerable

Having determined the level of risk, any additional protective measures needed to reduce the risk should be established using the hierarchy set out below. Identifying Further Protective Measures The specific detailed protective measures for reducing the overall risk will depend on the local circumstances of the work activity. However, in all cases, the introduction of measures must follow the following hierarchy. • Can the hazard be eliminated? This must always be the first option for consideration. Combating risks at source, rather than taking palliative measures, is always the best option. For example, if the steps are slippery, treating or replacing them is better than displaying a warning sign. Two questions should be addressed: o Does the work actually need to be done? If not then do not undertake the activity. If at all possible avoid the risk altogether by removing it. o If the work does need to be done, is there an alternative approach that eliminates the risk (eg doing the work in a different way, taking care not to introduce new hazards). o If neither of these can apply, then proceed to the next step.

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 11 of 15 • Are there physical means of reducing the risk? Basically the question being posed is whether the hazard and the individual can be physically ‘separated’ to reduce the risk (this is the fundamental principle of machine guarding, safety rails, reception windows, ventilation etc). In particular, take advantage of technological solutions aimed at reducing risk. In these circumstances the local instructions will need to be clear as to the requirement to work with the protective devices in place. Note that this measure does not include Personal Protective Equipment (PPE - see below). If this is not a practicable solution, proceed to the next step. What procedural systems can be put in place to reduce the risk? In simple terms, what additional workplace instructions can be put in place to reduce the risk (without the need for PPE)? This carries with it a commitment to ensure that all the relevant people are retrained in the new instructions and are properly supervised. In assessing the resultant level of risk (ie with the new instructions in place) the evaluation must take account of the likelihood of the harm being incurred as a consequence of any non compliance with those instructions. If the risk is still not acceptable then: What Personal Protective Equipment (PPE) may be necessary? Subject to the caveat given below, the use of PPE to protect individuals should be viewed as the final approach to protection. PPE includes any item of personal equipment designed to reduce or eliminate harm. It will range from respiratory protection (face masks), hard hats, safety foot wear, protective gloves, protective aprons, eye protection etc. The caveat to the use of PPE as a ‘last option’ is in its use in the workplace as a routine additional layer of defence (or indeed in some circumstances as a statutory requirement). In certain circumstances the use of PPE would be expected to be a normal requirement irrespective of the level of risk, for example, safety shoes in workshops.

In many cases the solutions will be a combination of these though the emphasis must be on prevention rather than cure. Other issues which will assist in reducing risk and should be considered are: • Giving priority to those measures which protect the whole workplace (ie give collective protective measures priority over individual measures); • Adapting the work to the requirements of the individual (consulting those who will be affected by the work); • Aiming to alleviate monotonous work and repetitive work which might otherwise undermine concentration.

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 12 of 15 ANNEX 5 RECORDING THE FINDINGS. Introduction This Annex sets out best practice for recording the findings of a Risk Assessment. It is reiterated that this methodology is complementary to and does not replace Community Punishment Project Risk Assessments which include consideration of issues relating to specific Offenders. The Recording Pro Forma and Maintenance of Records Subject to the transitional arrangements noted below, all Areas are required to ensure that their local Area Risk Assessment Forms incorporate the data and information set out in the Model Risk Assessment Form illustrated in Fig 5.1. (to enable assessments to be readily shared between Areas). The actual format can take account of local circumstances (and the risk evaluation model may vary from that given in this Arrangement provided it provides at least a similar degree of flexibility). The legal requirements for maintaining records are such that it is considered prudent that all Risk Assessments undertaken within the terms of the HSE’s Management of Safety regulations are recorded. Risk Assessments must be kept for the duration of the work to which they apply. Guidance on retaining records for longer periods is set out in the general introduction to this Manual. Transitional Arrangements for the use of the Model Risk assessment Form. The transitional arrangements relating to the implementation of Issue 1 continue as follows (noting that the original ‘6 month transitional criteria’ has now exceeded the originally set time limit (ie 6 months from 4th April 2004)); • Where The Local Joint Health & Safety Committee has agreed that existing systems are of high quality, the local forms are to include the data and information given in the Model Form (noting the caveats re format and the risk evaluation model above) within 3 years of the original implementation date of this Arrangement (ie 4th April 2004).

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 13 of 15 Fig 5.1: Risk Assessment Pro Forma: Page 1 of 2
Work Activity/Location Detailed Risk Evaluation (See Model below for determining the risk) Nature of Hazard (See separate No? Yes? Arrangements for COSHH, Asbestos etc) Severity Probability Access / egress Compressed air equipment Contagious/Infectious diseases Electrical equipment/supplies Falling objects Flammable/explosive substances Hand tools Hygiene issues (ie personal not food) Installed plant/ machinery Lone/out of hours working Musculo-skeletal injury Needle stick injury Noise Occupational asthma/dermatitis Ozone (photocopiers, laser printers) Portable power tools Power washing equipment Pressurised plant Slip trip & fall hazards Stress at work Upper limb disorders Use of NPS/other vehicles Vibration Violence/intimidation Working at height Working environment Working on/near water Workload change of significance Any other hazard:

Risk

Identification of Groups who may be harmed (note any Groups particularly at risk)

Severity of Harm Slightly Moderately Very Fatal

Low Minimal Minimal Minimal Moderate

Risk Evaluation Model Probability of Harm Intermediate High Minimal Minimal Minimal Moderate Moderate Significant Significant Intolerable Page 1 of 2

Immediate Moderate Significant Intolerable Intolerable

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 14 of 15 Fig 5.1 continued: Page 2 of 2
RESULTS OF ANALYSIS Existing Protection Systems in Place:

Further Protection Measures Required to Reduce Risk (Including training/informing relevant people & any special measures for particular groups) Identified Measures (resources must be concentrated Responsible Date for on the most significant risks) Person completion

Comments re Final Risk Evaluation (note re-evaluated risks):

Name of Assessor Date of Assessment Next Review Date

Signature Review Program Reviewer Name Signature

Date review completed

Fig 5.1: Risk Assessment Pro Forma: Page 1 of

Distribution Line Manager H&S Adviser

Safety Representatives Page 2 of 2

Workplace

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RISK ASSESSMENT Doc Ref: NPS/HS/3 Issue Number: 2 Date of Issue: 1st April 2005 Issued by: Kathryn Ball Page 15 of 15 ANNEX 6 REVIEWING AND REVISING RISK ASSESSMENTS. This Annex sets out best practice for reviewing and revising Risk Assessments. All Risk Assessments must be reviewed (by the manager/supervisor responsible for the work activity who should be assisted by the local Safety Representative, the people undertaking the work and (as necessary) the Area Health & Safety Advisor) and modified as necessary. Risk Assessments must be reviewed: Every 12 months to ensure that the arrangements are still ‘fit for purpose’. These should be linked to the nature of the risk concluded after all previously identified additional protective measures have been put in place. • If, in the meantime, the nature of work changes significantly. This does not mean that a re-evaluation is required every time an inconsequential change is introduced. • Or whenever there are reasons to believe the assessment is no longer valid (eg the identification of previously unidentified hazards). The review should be recorded (eg in the space provided in the Model Risk Assessment Form) where no changes are identified or by completing a new assessment form where changes are required. •

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BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 1 of 4 Statement of Policy and Objectives It is NPS policy that work involving biological hazards is subject to a suitable and sufficient risk assessment (Ref 1) to minimise health risks and to eliminate these where reasonably practicable. The objective of this procedure is to ensure a coherent approach to work involving biological hazards across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas in respect of the assessment of risk of exposure to biological hazards to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS. The mandatory elements of best practice that must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable and sufficient local arrangements to ensure that : • Persons whose work may place them at risk of exposure to biological hazards are identified. • The resultant risks are evaluated, the adequacy of existing levels of protection is assessed and additional control measures introduced as necessary. • The findings are properly recorded. • All risk assessment are periodically reviewed and revised as necessary. • Where the risk cannot be adequately controlled by other means and where a vaccination is available then local arrangements are made to offer vaccination to those staff considered at risk. • Local arrangements are made to ensure that appropriate advice and support is available in the event of an inoculation (eg needlestick or other puncture wound) injury. • Suitable arrangements are in place for the decontamination of any spillage of blood or other body fluids. Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date. Uncontrolled Copy

BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 2 of 4 ANNEX: OUTLINE GUIDANCE RE BIOLOGICAL HAZARDS Definitions For the purpose of this Arrangement, ‘biological hazards’ within the NPS include: • Potentially contaminated body fluids (including: urine, faeces, vomit, sweat, saliva, semen, breast milk, blood etc); • Contagious & infectious diseases; • Parasite infestations (lice etc). Who might be at risk? Current advice from the Department of Health is that the incidence of infectious diseases amongst probation staff is not apparently higher than in the population as a whole. Nonetheless there will be staff whose work places them at risk of infection etc. In particular this may include staff who regularly come into contact with offenders, hostel residents, prisoners on remand etc. Particular consideration should be given to the protection of new and expectant mothers. Further information is given in Ref 2 (The risks from exposure to body fluids), Ref 3 (General measures to reduce the risk of occupational exposure to blood borne viruses (universal precautions)) and Ref 4 (Needlestick Injuries). Evaluating the risk Figure 1 provides a model assessment pro forma indicating the information to be gathered and assessed. Irrespective of risk assessment, sharps bins (the contents of which must not be readily accessible) must be provided in appropriate locations (eg toilets, bathrooms etc.). These must be properly maintained and emptied. Maintaining Records Records of assessments must be maintained in accordance with current regulatory requirements (as a minimum, the duration of the work to which they apply). Records may be required in the event of claims against the Area. Areas should thus identify an appropriate archiving policy for this information. Reviewing the Assessments Biological hazard risk assessments must be reviewed: • Every 12 months to ensure that the arrangements are still ‘fit for purpose’. These should be linked to the nature of the risk concluded after all previously identified additional protective measures have been put in place. • If, in the meantime, the nature of the work changes significantly. This does not mean that a re-evaluation is required every time an inconsequential change is introduced. • Or whenever there are reasons to believe the assessment is no longer valid (eg the identification of previously unidentified hazards). The review must be recorded (eg in the space provided in the Model Assessments Form) where no changes are identified or by completing a new assessment form where changes are required. Uncontrolled Copy

BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 3 of 4 Vaccination, Inoculation and Treating Parasitic Infestations Subject to the outcome of an appropriate risk assessment, vaccination/inoculation may need to be made available in the following circumstances: • Where there is a potential for infection with Hepatitis B: ie where there is a significant risk of needlestick injury or exposure to body fluids (particularly cleaners, maintenance personnel and First Aiders). • Where there is a potential for contact with Tuberculosis carriers. Appropriate cleansing agents should be made available in the event of parasitic infestation of employees as a consequence of their work activity. The Area Occupational Health Provider or NPD Occupational Health Manager will be able to provide specific guidance on all the above issues. Training and Information All employees at risk of exposure to biological hazards are to be provided with suitable training/information in respect of the likely hazards, relevant risk assessments and countermeasures. De-contamination of any spillage of blood or other Body fluids • Only proprietary ‘spillage kits’ must be used. These must be used in strict accordance with the supplier’s instructions (to ensure compliance with COSHH requirements). Persons using ‘spillage kits’ must be suitably instructed in their use. • Care should be taken in selecting and using spillage kits as some of the chemicals used as microbial inhibitors (eg Trichlorosan) may have a detrimental environmental impact. • Where gross contamination (eg covering an extensive area beyond capability of proprietary ‘spillage kits’) is encountered, specialist cleaning may be appropriate. References Ref No Issue 1 General Risk Assessment 2 Guidance on the risks from exposure to body fluids 3 Guidance on blood borne viruses 4 Needlestick injuries Referenced Source HSE: INDG 136: COSHH, a Brief guide to the Regulations NPD: ‘The Risks from Exposure to Body Fluids’ NPD: ‘General Measures to Reduce the Risk of Occupational Exposure to Blood Borne Viruses (Universal Precautions) HSE: ‘Information Sheet on Needlestick Injuries’ (Ref No 9/93NIS/18/01CT50)

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BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 4 of 4 Figure 1: Model Biological Hazard Assessment Form.
Compiled by Signed Location Urine/Faeces/Vomit/Sweat/Saliva Semen/Breast Milk Blood/blood stained fluid Infection/contagion Infestation Other (please specify) Route of contamination Inhalation Skin Ingestion Splash to eyes or in mouth Injection Other (please specify) First Aid Measures (NB Medical Assistance may be required) Inhalation Nil required Skin contact Wash with soap and water Splash to eyes or in mouth Rinse with copious amounts of water Ingestion Rinse mouth with water Injection Encourage bleeding, Wash with soap and water. Infestation, infection etc Seek prompt medical attention People at Risk Who might be exposed? Any sensitive groups at special risk? Likelihood of exposure? Date compiled Nature of hazard

Precautions /Control Measures

Next Review Date

Review Program Reviewer Name Signature

Date review completed

Line Manager

Safety Reps

Distribution H&S Adviser

Workplace

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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 1 of 2 Statement of Policy and Objectives It is NPS policy that employees whose judgement is impaired through the use of alcohol or drugs must not be at work if the health & safety of themselves or others may be compromised. Scope of the Application The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the use of alcohol and drugs in the workplace. This applies to: • All employees • Other persons whose health and safety may be affected by the activities of the NPS • Persons for whom the NPS has a supervisory responsibility • Contractors working on NPS premises The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable and sufficient local arrangements and to ensure that; • Robust policy arrangements are in place for dealing with employees and others who are under, or are suspected of being under the influence of drugs or alcohol in the workplace, • No person whose judgement is impaired through the use of drugs or alcohol is allowed to work or remain on NPS premises , Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of the Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health and Safety Committee has formally agreed that the current local arrangements are of high quality; and in all other cases: • Within 6 months of the above issue date.

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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 2 of 2 ANNEX: OUTLINE GUIDANCE RE DRUG AND ALCOHOL USE AT WORK General introduction Under the Health and Safety at Work etc. Act 1974(HASAWA) an employer has a general duty to ensure the health and safety of those affected by the work that forms their ‘undertaking’. The use of alcohol or drugs may diminish an employee's concentration and greatly increase the risks to the safety of themselves and others. The reduction in concentration may occur if a member of staff is taking a prescribed medication or recreational drugs. General Guidance • It is recognised that the issue of drugs and alcohol in the workplace extends beyond the realms of health and safety. • Alcohol and drug addictions are serious medical problems and should be treated as such. However where an employee’s conduct is unacceptable this may lead to disciplinary action. Where an employee’s performance is significantly impaired this may lead to consideration of competence. • Local Area policy should include assistance and rehabilitation for members of staff who have an alcohol or drug problem • The use of recreational drugs may have legal implications and lead to disciplinary action being taken. • It is the employee’s responsibility to advise their employer if they are taking prescribed medication that may affect their ability to work safely. When so advised, the employer should make reasonable adjustments to the work of that employee. Advice must be sought from the occupational health provider on what adjustments may be required. • In the event that permanent adjustments are required the employee may need to be redeployed or their contract of employment reviewed to accommodate the necessary changes. • In circumstances where an employee’s judgement is significantly impaired (through the use of alcohol or drugs) whilst at work, suitable arrangements should be made to transport them to a place of safety (eg an ambulance to a hospital or a taxi home).

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FIRST AID Issue Number: 1 Issued by: Andrew Nicoll

Doc Ref: NPS/HS/6 Date of Issue: 5 April 2004 Page 1 of 3
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Statement of Policy and Objectives It is NPS policy to ensure that adequate and appropriate First Aid arrangements are available for all employees. The objective of this procedure is to ensure a coherent approach to the provision of First Aid across the NPS. Scope of the Application The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the First Aid arrangements for employees. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable and sufficient local arrangements and to ensure that: • An assessment is made of the first-aid needs appropriate to the circumstances of each workplace; • The materials, equipment, and facilities needed to ensure that the level of cover identified by the assessment will be available to employees at all relevant times; • Suitable people (who must be volunteers) receive appropriate first aid training; • All employees are informed of the arrangements that have been made in connection with the provision of first aid, including the location of equipment, facilities and personnel; Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of the Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health and Safety Committee has formally agreed that the current local arrangements are of high quality; and in all other cases • Within 6 months of the above issue date.

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FIRST AID Issue Number: 1 Issued by: Andrew Nicoll

Doc Ref: NPS/HS/6 Date of Issue: 5 April 2004 Page 2 of 3
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ANNEX 1 OUTLINE GUIDANCE: FIRST AID AT WORK General Guidance • General guidance on the provision of First Aid in the workplace, training etc is given in Reference 1. • Specific issues required for legal compliance are noted below. • Whilst in law there is no legal obligation to provide first aid to offenders, nonetheless, as a common duty of care, first aid should be available to anyone injured on NPS premises or as a result of NPS work activities in other places. However, non NPS employees will not be counted for the purpose of determining the number of First Aiders etc. Provision of First Aid Containers • At least one first aid container supplied with sufficient quantity of first-aid materials should be provided at each work site. For large work sites (employing many people over a large area, eg several floors of a building) the number of containers will need to take into account their accessibility in the event of an injury at any location. • Areas should liaise and consult with appropriate Contractors to ensure Contractors’ employees have access to either their own First Aid containers or those maintained by the Area. • Guidance on contents is given in reference 1 Suitably Trained Persons • Where the first aid assessment identifies a need for people to be available for rendering first aid, all Local Probation Areas should ensure that sufficient numbers of adequately trained personnel (who must be volunteers) are available. • Approved Premises and Workshops would normally be expected to fall within the above criteria without exception. • A least one person should be appointed in each work site to take charge of the first aid arrangements. A person should be available to undertake these duties at all times when people are at work. • Where fifty or more people work on any site at least one suitably trained ‘first-aider’ must be provided, with an additional First-Aider for every 100 employed. Suitable provision must be made to cover planned and unplanned absences of first-aiders. Other Issues • Suitable first aid arrangements should be made for non routine activities and employees who work away from the main site, who travel long distances or who are continually mobile. Typical examples will include Sessional Supervisors, Group Workers, Community Punishment projects etc.

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FIRST AID Issue Number: 1 Issued by: Andrew Nicoll References Ref No Issue 1 General Guidance

Doc Ref: NPS/HS/6 Date of Issue: 5 April 2004 Page 3 of 3
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Referenced Source Health and Safety (First-Aid) Regulations 1981 Approved Code of Practice and Guidance.

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OCCUPATIONAL HEALTH SEVICES & HEALTH Doc Ref: NPS/HS/7 SURVEILLANCE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Andrew Nicoll Page 1 of 1 Temporary Statement of Arrangements. Detailed arrangements relating to occupational health provision and health surveillance are currently under development. In the interim Areas are required to comply with the statutory requirements relating to health surveillance. Health surveillance may be required in order to comply in particular with the following: • Working Time Regulations, relating to Night Workers. • COSHH Regulations, including biological hazards. • Noise at Work Regulations. • Health & Safety (Display Screen Equipment) Regulations. • Management of Health & Safety at Work Regulations, this should include consideration of appropriate Health Screening for employees: who drive significant distances on behalf of the NPS (eg excess of 10,000 miles) in the course of a year or who regularly drive mini buses (eg on a weekly basis); who experience trauma from contact with particular offenders (eg high risk offenders, domestic violence offenders etc) ; are new or expectant mothers. Areas should ensure that health surveillance is undertaken by appropriately qualified personnel and in accordance with the relevant national guidelines. It is to be noted that health surveillance may be a new concept in some Areas and may be viewed with suspicion by staff. It is therefore vital that health surveillance is introduced sensitively and with full and timely consultation with staff and the Trades Union Safety Representatives.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 1 of 19 Statement of Policy & Objectives It is NPS Policy that the impact of stress on employees is properly managed by the minimisation/elimination (so far as is reasonably practical) of work related stress and its causes together with the provision of support for those employees who nevertheless may experience stress from whatever cause. The objective of this approach is to provide a positive contribution to a culture of proactive health promotion. (See Annex 1 for the definition of ‘stress’.) Scope of the Application NPS recognises that stress experienced by employees can result from a number of differing causes which may or may not be work related. Irrespective of the cause, stress is known to impact upon both work and non-work activities. The Arrangement applies to: • All NPS employees (whether engaged in activities on NPS premises or elsewhere); • Contractors’ etc employees who undertake activities within the NPS; Matters relating to offenders and others for whom Areas have supervisory responsibility (and hence a ‘duty of care’) must be managed through the Case Management Process (for which this Arrangement may be used as a source of guidance). The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annexes. Specific Requirements The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annexes (Annex 1 provides definitions and guidance). Areas are required to have in place suitable and sufficient local arrangements to ensure that: • Proactive management arrangements are in place to minimise/eliminate work related stress. (Annex 2 sets out outline guidance.) • Appropriate measurement tools are employed to routinely assess the working environment for the risk of stress and to gauge potential for harmful levels of stress amongst employees. (See Annex 3.) • Support is available for employees who nonetheless experience stress as a consequence of work or non-work related activities. (See Annex 4 which includes ‘Post Traumatic Stress’ issues.) • All employees are made aware of the Area’s approach to stress management and the importance of alerting managers to workplace issues resulting in harmful stress in respect of themselves or others. • All employees (at all levels) receive appropriate stress awareness training/ instruction/information in respect of the above requirements. Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of high quality; and in all other cases: • Within 6 months of the above issue date. Uncontrolled Copy

STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 2 of 19 Annex 1: General Introduction and Definition of Terms Definition of Terms. The HSE have acknowledged (Refs 1 & 2) that the term ‘Stress’ is not always recognised as a meaningful term. Nonetheless it is generally accepted that there is a clear link between poor work organisation and subsequent ill health. Accordingly the term ‘Stress’ has been retained to describe this experience and HSE have chosen to define stress as: ‘The adverse reaction people have to excessive pressure or other types of demand placed upon them’. It is essential to recognise that anyone can experience work related stress when they perceive that they cannot cope with what is being asked of them. The transition point of ‘acceptable ‘ to ‘excessive’ pressure will vary from person to person – and indeed for an individual can vary with time (ie changing circumstances). It is also important to ensure that the use of the term ’stress’ is limited to the meaning set out in the above definition – eg that it is not confused with elevated levels of pressure which are not in themselves unduly excessive. Background Information Analysis of sickness absence information within the NPS has indicated that approaching half of all such absence is attributable to stress – particularly work related stress. Knowledge that the current (2003/4) level of sickness absence in the NPS has been significantly higher than the national average for the Public Sector (15 compared to 11 days per employee per year) provides further evidence that stress is a significant contributor to ill health and therefore cost to the organisation. It is generally recognised that ‘Pressure’ within a job function is not in itself necessarily harmful. Indeed it is often a strong motivator. Problems occur when ‘pressure’ becomes excessive and a transition to ‘stress’ commences. It is, therefore, important for managers and employees to be able to recognise the causes and symptoms of stress – and to be empowered to act to prevent harmful stress. Equally, the causes of stress are many and various. The causes may arise from work related events or from non-work related experiences (eg personal finance, relationship problems). It may also result from any combination of a variety of causes. For example a low level of work related stress which, in itself, is not normally a problem may be sufficient to exacerbate an existing personal cause – and vice versa. Irrespective of the cause, the manifestation of stress can impact upon both the work life and home life of an individual. Stress at work can lead to problems in personal life and equally problems at home may result in poor performance at work. Both can lead to ill health and absence. Again it is important to recognise the value of timely support for an individual to ensure their overall wellbeing and consequent effectiveness in both work and home life situations.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 3 of 19 Whilst the control, by an employer, of causes of stress is generally limited to work related matters, nonetheless the guidance set out in Annexes 2 & 3 seeks to address all causes so far as is practical. In the case of individuals who find themselves experiencing the harmful effects of stress (irrespective of the cause) it is important that appropriate support is provided to assist them in addressing the relevant problems. Annex 4 provides guidance on this aspect as well as providing indicators of stress in individuals. It is also emphasised that all employees have a duty to inform managers of workplace issues resulting in harmful stress in respect of themselves or others in order to assist in alerting managers to potential or actual problems. The NPS Approach. Surveys undertaken in some Areas have indicated that the principal causes of stress within the NPS are linked to: • Excessive work-loads • General managerial style including: • Poor support and recognition of achievements; • Changing expectations; • Bullying and Harassment • Failure to set clear and achievable prioritised objectives; • General pressure from organisational culture; • Managing within budgetary constraints; • Working within a changing environment; • General physical work environment. These issues are taken into account in the development of the processes set out in Annexes 2 to 4. The key philosophy underpinning this Arrangement is Proactive Prevention & Elimination. The objective is to eliminate wherever reasonably practical* the causes of work related stress by: • Assessing the risk; • Assessing perceptions; • Invoking improvements or adjustments to remove causes. (*NB wherever ‘eliminate’ or similar wording is used in this Arrangement it is qualified by the term ‘so far as is reasonably practical.) Annex 2 sets out guidance on the fundamental issues to be considered and Annex 3 provides model formats for workplace Stress Risk Assessments and measurement techniques. This Arrangement also recognises that, irrespective of the proactive prevention & elimination measures, there remains a need for a positive Reactive Support culture for assisting those who find themselves experiencing the harmful (or potentially harmful) effects of stress (irrespective of its cause). Key to this is the importance of recognising that ill health as a result of stress will not be treated any differently to any other cause of ill health. Stress must not be seen by anyone as a stigma. Open reporting of stress at work should be encouraged together with the seeking of appropriate solutions. Annex 4 sets out various services to be considered as part of an overall Support Programme, and also provides guidance on the symptoms of stress which may be experienced by an individual.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 4 of 19 Resources It is recognised that the management of stress requires the provision of appropriate resources by Areas. These will include, amongst other issues: • Undertaking workplace Stress Risk Assessments (see Annex 3.1); • Undertaking self assessments and workplace attitude surveys; • Provision of suitable training/instruction/information for employees moved/promoted to positions requiring new management skills (both people and resource management); • Monitoring, reviewing and adjusting work load, working environments etc; • Empowering managers (within reasonable and practical limits) to provide a degree of work flexibility to be able to provide positive support to those who require it; • Provision of services and facilities as part of an overall Support Program. Given the current significant impact of stress in the workplace the provision of such resources to minimise/eliminate this will be potentially very cost effective. References The following documents/sources provide additional general and specific guidance. (NB the references given in the other Annexes also refer to these sources) Ref No 1 2 3 Issue Current Information, guidance and survey questionnaires Stress: causes & solutions Referenced Source The HSE web site at: www.hse.gov.uk/stress (Published November 2004) Real Solutions, Real People – A Manager’s Guide to Tackling Work-Related Stress: HSE (2003): ISBN 0 7176 2767 5. General reading and a Hard Labour – Stress, Ill-Health & Hazardous source of further Employment Practices. Published by the London contacts and Hazards Centre at www.lhc.org.uk resources. Specific NPS policy Model NNC Policy on Bullying and Harassment on Bullying & Harassment Priorities and Joint Agreement on Priorities and Employee Employee Care in the Care. NPS

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 5 of 19 Annex 2: Proactive Management: Prevention and Elimination Introduction Proactive measures to prevent and eliminate the harmful effects of work related stress (as far as is reasonable practical) are key to the successful management of stress at work. As with all forms of health & safety problems, removal of the cause/minimisation of the risk is the essential ingredient of success. This Annex sets out the best practice in respect of those issues to be considered by Areas for the prevention & elimination of work related stress and builds on advice currently available from the HSE. The identification of the key matters for a particular Area (or a function within an Area) should be facilitated by the use of one or more of the tools given in Annex 3. Training, Instruction and Information Appropriate training and instruction of all staff and provision of suitable information underpins a successful approach to proactive management of stress. Specifically Areas should make local arrangements to ensure that: • All staff undergo an appropriate stress awareness training/instruction to ensure that they are fully conversant with the local Stress Management Arrangements and in particular: • The need to be aware of the symptoms of stress; • The causes of work-related stress; • The confidential reporting arrangements; • The local Support Services. • Managers and Supervisors should, in addition, receive training in respect of: • Leading Stress Risk Assessments; • Identifying indicators of stress within their areas of responsibility. In both cases the training may take the form of either: formal training courses or provision of information to individuals or groups. Selection of the appropriate course of action should be a matter for local joint agreement to take account of local needs and circumstances. Work Related Stress: General Causes and Solutions to Consider This Section sets out the broad issues which can contribute to work related stress together with possible solutions for consideration. These build on the current HSE advice (Ref 1) which focuses on six specifically identified general causes of stress. In seeking solutions for a particular set of circumstances (associated with a specific team or work area), it is strongly recommended that a joint focus group approach is employed. This should involve appropriate line managers, staff and staff representatives. Reference 1 provides detailed guidance for organising and running Focus Groups. The objectives of the focus groups (or indeed any other approach to solving stress issues) should be: • To consider the issues identified; • To identify if any further work is necessary to clarify the issues; • To identify workable solutions (issues outside the control of the group should be formally referred to the appropriate authority for consideration);

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 6 of 19 To agree an action plan (specifying specific actions with timetables and who is responsible for delivery). Note that in all cases, the focus group must consider any possible additional consequences of their proposals (eg the impact of solutions on other individuals, groups etc). All proposed solutions must be compliant with local Area requirements. Action plans should be monitored for completion by the relevant line manager in partnership with the relevant employees and employee representatives. (Guidance on appropriate Action Plans is given in Reference 1.) The six general causes of stress together with the possible detailed causes and solutions (neither of which are exhaustive) are as set out below. 1) DEMANDS This includes workload, work patterns and the working environment Possible Causes • Excessive/unrealistic work loads. • Excessive working hours. • Poor – or no - prioritisation. • Changing priorities. • Lack of training/skills for the tasks. • Poor/inadequate working environments (eg noise, temperature). Possible Solutions • Application of work load measurement tools to: eliminate unnecessary/non prioritised work; redesign tasks; re-designate tasks etc. Work should be achievable within contracted hours with overtime/additional hours only by mutual agreement. Don’t forget to take account of authorised absences (eg Annual leave etc). • Consider what environmental improvements could be made. • Ensure tasks are designed and set according to the capability of the employee/team involved. • Ensure that task priorities are clearly set and understood. • Ensure staff have the correct resources to complete the tasks as planned. • Ensure that any particular needs of inexperienced staff, disabled staff and new/expectant mothers are fully taken into account. • Training of managers and supervisors to improve supervisory skills (setting priorities, managing work loads etc). • Training of staff to improve delivery skills (time management, local prioritisation, delegation etc). •

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 7 of 19 2) CONTROL In effect, how much say does an individual have over their work program Possible Causes • Lack of consultation in setting tasks and priorities. • Lack of promotion of initiatives by teams and individuals. Possible Solutions • Seek agreement on objectives, roles, priorities etc. • Establish agreed time boundaries – and keep to them • Ensure individuals & teams have a reasonable degree of control over the pace of their work. • Seek to allow reasonable individual control on daily work patterns (eg timing of breaks, sequencing of differing tasks etc) to ensure the use of the day is optimised. • Encourage individuals to use their skills and initiative in undertaking their work (within the boundaries of the requirements of the work). • Encourage individuals to develop their skills and knowledge to enable them to perform their current work more effectively and to take on new and interesting challenges within the Area. • Ensure regular Supervision and Appraisal sessions to promote and support the above issues. 3) SUPPORT & ENCOURAGEMENT Positively supporting and encouraging staff and colleagues. Possible Causes • Lack of a working culture that fails to recognise achievements. • No support or encouragement to staff or colleagues. • No feed back on performance (or only negative feedback). Possible Solutions • Develop a working culture that actively & regularly: praises achievements; thanks individuals & teams for tasks completed; provides general encouragement; acknowledges contributions of individuals & teams; etc. • Ensure staff appraisal interviews/supervision meetings include positive feedback. • Provide opportunities for individuals to further their experience, skills and career. • Train managers and staff to promote a positive behavioural culture. • Take account of non-work related issues which affect an individual’s ability to perform at work (eg those required to look after sick relatives or partners).

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 8 of 19 4) RELATIONSHIPS Positive working relationships are an essential feature of preventing work related stress and providing a platform for improvement. Possible Causes • Unacceptable styles of behaviour by both managers and staff towards each other. This includes: • Bullying; • Harassment; • Discrimination; • Gossiping; It may take the form of physical or verbal behaviour. Possible Solutions • Build a positive and open culture based on trust and respect. • Ensure that the Area policies on bullying, harassment, discrimination etc are in place, up-to-date, understood and fully implemented. Failure to follow the local policy/codes must be dealt with as a disciplinary matter without delay. • Ensure that the policies include provision for individuals to identify problems in a confidential manner. • Provide training/instruction/information to those who are the cause of poor relationships (to improve their behaviour) and to those affected by poor behaviour (to build confidence etc). 5) ROLE Do people understand their role within the Area’s work programme? Possible Causes • Lack of understanding of job requirements, objectives etc. • Changing circumstances since initial recruitment/appointment. • Poor communication. • Poor consultation and involvement in planning. Possible Solutions • Is the impact of possible future role changes adequately addressed at the time of selection (recruitment or appointment). • Ensure people are openly consulted on their roles and objectives (both routinely and, as appropriate, at scheduled appraisals). • Are detailed Job Descriptions available and do people fully understand the intent. • Are specific work plans agreed for both routine and occasional activities. • Ensure tasks/expectations and individuals’ skills, training & experience are matched. • Establish an agreed process by which individuals can raise concerns re possible conflicting roles and priorities.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 9 of 19

6) MANAGEMENT OF CHANGE Managing change to ensure stress is reduced/eliminated Possible Causes • By its very nature, change can be a cause of stress at all levels within an Area. • Change produces uncertainty re future job security, work demands etc particularly where there is not a positive consultation & communications programme in place. Possible Solutions • Early consultation provides a basis for good future communication, and can often result in positive input to the programme from within a team. • Staff should be actively consulted on proposals for change and the associated timetables. Reasons must be explained. • Staff should be encouraged to contribute to the change process. • Keep all employees informed of developments by providing timely information on timetabling and the reasons for change. • Where permanent or long term changes to jobs or roles are anticipated full training/instruction/information should be provided in advance to equip the individual with the necessary new skills/knowledge to undertake the new tasks effectively. (Note in the event of emergency cover being required to cover short term absence etc this will not be practical – line managers will need to assess if any short term training measures are required.) • Where it is recognised that some individuals may experience considerable anxiety as a consequence of the proposed changes then the Support Services set out in Annex 4 should be actively considered. Fundamentally, all the above issues are associated with a positive Organisational Culture which actively seeks and promotes high levels of open partnership working. Management styles should be positive and supporting, and individual employees should be open in their approach to their work, their colleagues and their line management. It is recognised that achievement of this may take some time, but use of the approaches set out above will provide a foundation on which to move forwards.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 10 of 19 Annex 3: Proactive Management: Risk Assessment and Monitoring Introduction This Annex provides guidance in respect of the assessment, and monitoring of stress in the workplace. The outcome of the assessment and monitoring should be used to inform the re-evaluation of Area processes and procedures as outlined in Annex 2. Guidance is also provided re establishing confidential reporting routes for alerting management to potential problems. It is recommended that all work undertaken in respect of the reporting, assessment and monitoring of Stress (including ensuing actions agreed and completed) is appropriately documented and recorded by Areas to ensure that a complete record of such activities exists in the event of any future legal action against the Area/individuals. Assessment and Monitoring Specific assessment and monitoring should be undertaken at a number of differing levels. Irrespective of the approach adopted by an Area it is essential that all the agreed improvement actions/activities identified are undertaken to an agreed plan (eg using an ‘Action Plan’ approach). The tools available include: 1. Specific Stress Risk Assessments: these may be undertaken on an individual, task or team level dependent on the circumstances. Annex 3.1 provides a Model Stress Risk Assessment format including guidance on when such assessments should be undertaken and reviewed. 2. Stress etc Surveys: These may form a part of regular overall ‘Staff Attitude’ surveys or may be undertaken as surveys in their own right. They can be Area wide or focussed on specific activities. Such an approach can provide a useful insight to local issues as a basis for identifying causes and solutions. Regular surveys are useful in establishing trends. A number of external organisations are able to provide specific support and advice for such surveys. A simple questionnaire approach which can be included in general staff attitude surveys etc has been developed by HSE (Ref 1 in Annex 1 – which includes an analysis tool). Where Stress Surveys are undertaken, these should be repeated at reasonable intervals (every 2 to 3 years) to determine trends (as noted above) and, in particular to measure the success of the preventative measures introduced and the need for any further actions.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 11 of 19 3. Self-Assessment Tools: The use of self assessment tools may provide additional insight. A number of options are generally available including: • Self Assessments for Managers – aimed at indicating how their own personal management styles might impact upon their staff; • Stress resilience assessment – to assist individuals in determining their own ability to cope with stress (note that an individual’s perception of their resilience will change with time and circumstances – individuals may particularly wish to consider their competencies and experience against the way their role may have changed with time). Where self assessment tools are used, these should be repeated periodically to enable individuals to monitor their performance. 4. Return to Work Interviews: when individuals return to work following a period of absence due to sickness, maternity leave or disability, the routine return to work interview should consider the issue of stress (it is a significant factor in NPS sickness absence) – particularly where this may have been indicated on any medical certificate. Occupational Health Providers will be able to provide advice on this matter. The headings/questions set out in Annex 3.1 (Stress Risk Assessments) provide a basis for establishing possible problems. Where Work Related Stress is specifically identified on a medical certificate, then the use of a suitable risk assessment tool (eg a formal Stress Risk Assessment) must be considered in respect of the individual prior to that individual resuming their full range of normal duties (noting that the return may need to be phased). 5. Counselling Outcomes: where counselling is used (eg as a routine tool for providing support to those involved in particularly onerous roles including working with sex and domestic violence offenders) the outcomes should be considered against the need for possible review of the Stress Risk Assessments. Such consideration must have due regard for the confidentiality of the counselling and should be in a non-attributable manner unless the individuals concerned agree otherwise. Counsellors must have the ability to report in absolute confidence to the appropriate level of management as identified by the Area. 6. Sickness Trend Monitoring: HR departments should monitor medical and self certificates for trends in respect of stress indicators. Occupational Health Providers will be able to provide advice on this matter. The objective is to identify tasks, teams or individuals where special attention may be appropriate (eg an early review of the Stress Risk Assessment). The monitoring should include: • Work related stress recorded on the certificate; • Specific medical conditions as identified in Annex 4; • Any other local factors known to the local HR Departments (eg previous history).

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 12 of 19 7. Performance Monitoring: Managers should be alert to changing trends in: • Performance (quality and quantity) of individuals or teams; • Changing trends in general attendance/timekeeping/ overtime/excessive hours; • Declining attitude of teams and individuals. Together with any obvious symptoms as set out in Annex 4. 8. All Employees: should be alert to the onset of symptoms of stress (Annex 4) in themselves, their colleagues and their Managers/ Supervisors. Employees at all levels should assist the process of reducing work related stress by taking a proactive approach to minimising risks wherever possible. Establishing Confidential Reporting Routes Generally speaking the use of confidential reporting routes should be seen as a final route following the failure to ensure improvement through the normal line management routes. Nonetheless, Areas should establish published arrangements for the reporting (by individuals or teams) of any concerns relating to stress (irrespective of the cause). The objective is to provide a non attributable route for alerting management to actual or impending problems not resolved elsewhere. The route should be through the HR Department (or if not, then through the Health & Safety/Occupational Health Advisor). An alternative confidential reporting route should be available as there could be problems within the normal reporting route. All employees must be aware of the reporting route, and all issues raised must be dealt with promptly by the relevant manager (together with anonymous feedback to the originator whenever possible).

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 13 of 19 Annex 3.1: Stress Risk Assessment – A Model Format Introduction All work activities should be assessed for work related stress where the general Risk Assessment (NPS/HS/3) has identified that this may be an unacceptable issue (ie where the risk is assessed to be ‘moderate’ or above). This Annex sets out a model format as the best practice for undertaking Stress Risk Assessments within the NPS. The format can be used for the assessment of risk to an individual or groups associated with specific tasks (ie by considering references to ‘individuals’ as being references to the ‘the Group’). Whilst the approach is focused on work activities, this Arrangement recognises the need to consider the potential for interaction between work and home– particularly when the form is used for an assessment of an individual rather than a group. Where there is information that might suggest such an interaction, then this should be included (with the individual’s agreement) in the ‘Any Additional Issues’ section of the form Use of the format is not mandatory provided that an alternative approach which provides the same basic requirements (identification of specific problems preferably from a series of prompting questions together with the establishment of appropriate remedial actions). Fig 3.1.1 sets out the Model Format. Who should undertake the Stress Risk Assessments As with general Risk Assessments (NPS/HS/3), Stress Risk Assessments should normally be undertaken (led) by the individual who is responsible for managing the relevant work activity (except where there are issues identified relating to particular aspects of management style, when the Stress Risk Assessment must be led by someone other than the line Manager). Individuals leading Stress Risk Assessments should be appropriately trained to ensure they fully understand and appreciate the requirements of the formal assessment process – ie they must be competent to undertake such assessments. The person undertaking the assessment should be assisted by the local Trades Union Appointed Safety Representative, the people undertaking the work and (as necessary) the Area Occupational Health or Health & Safety Advisor and an HR representative. Copies of the assessment must be made available to people in the relevant work places and the relevant Safety Representatives. An appropriate copy should be retained by the Area (NB where the assessment is specifically linked to an individual, then a copy should be retained on that individual’s personal file).

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 14 of 19 Reviewing and Revising Risk Assessments All Stress Risk Assessments must be reviewed (by the manager/supervisor responsible for the work activity who should be assisted by the local Safety Representative, the people undertaking the work and (as necessary) the Area Health & Safety Advisor) and modified as necessary. Risk Assessments must be reviewed: • Every 12 months to ensure that the arrangements are still ‘fit for purpose’. These should be linked to the nature of the risk concluded after all previously identified additional protective measures have been put in place. • If, in the meantime, the nature of work changes significantly. This does not mean that a re-evaluation is required every time an inconsequential change is introduced. • Where there are indications from local monitoring procedures (see Annex 2) that a problem may be arising/has arisen. • Or whenever there are reasons to believe the assessment is no longer valid (eg the identification of previously unidentified hazards). The review should be recorded (eg in the space provided in the Model Stress Risk Assessment Form) where no changes are identified or by completing a new assessment form where changes are required.

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 15 of 19 Fig 3.1.1: Model Stress Risk Assessment Form
MODEL STRESS RISK ASSESSMENT FORM (Page 1 of 2) Job Type/Location STRESS MANAGEMENT EVALUATION Issue to Consider
ROLE Does the jobholder understand how their work fits in to the overall aim of the organisation? Does the jobholder have a clear understanding of what their job entails which has been agreed with their line manager? CONTROL Does the role offer sufficient variety? Is there opportunity for learning and development? Does the jobholder have control over the speed at which they work? Does the jobholder have some control in deciding how they do their work? Does the jobholder have control over what they do at work? Is the jobholder able to use their own initiative? Is the jobholder able to influence decisions that may affect their job? Are the hours that are worked flexible? Can the jobholder decide when to take a break? DEMANDS Does the jobholder have to work only at relatively low speeds? Is the work demand generally light (ie not particularly intensive?) Is there enough time to do the job? Do demands come from only a few sources? Is the Jobholder only expected to work hours as set in their contract? Is the working environment conducive to the good health of the jobholder? RELATIONSHIPS Is there an effective bullying and harassment policy in place to protect staff? Are staff aware of the bullying and harassment policy? SUPPORT Is the jobholder able to get support from colleagues? Is the jobholder able to talk to their line manager if they have concerns about their priorities or the nature of their work Does the jobholder get sufficient and consistent information from their line manager? No Yes
In Part

Problems Identified

Rel Sig*

Remedial Action

* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 16 of 19 Fig 3.1.1 continued.
STRESS MANAGEMENT EVALUATION - continued Issue to Consider
CHANGE The organisation regularly communicates with employees when going through change? Employees have the opportunity to comment and ask questions about organisational change before, during and after it happens? No Yes
In Part

Problems Identified

Rel Sig*

Remedial Action

Any additional issues

Overall evaluation FURTHER PROTECTION MEASURES REQUIRED TO REDUCE RISK (Including training/informing relevant people & any special measures for particular groups) Identified Measures (resources must be concentrated on the most Responsible Person Date for completion significant risks)

COMMENTS RE EVALUATION

Name of Assessor Date of Assessment Next Review Date

Signature Review Programme Reviewer Name Signature

Date review completed

Line Manager H&S Adviser

Distribution Safety Representatives HR Manager

Workplace

* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 17 of 19 Annex 4: Reactive Support Introduction This Annex provides guidance on the provision of support programmes and symptoms of stress. It is important to recognise that, even in the event of general work-related stress being eradicated, there will need to be suitable support services to assist those experiencing stress caused by non work related issues together with those at risk from post traumatic stress. Support Program In addition to establishing confidential routes for the reporting (by individuals or teams) of concerns relating to stress as identified in Annex 2, Areas should consider establishing the following further support programmes: • General Confidential counselling/provision of advice available to employees experiencing work related or non work related stress. • Early follow up of employee sickness absence where stress is understood to be a factor. Arrangements should be made (for example within the Area’s Sickness Absence Management Programme etc) for an early contact to establish what assistance the Area’s support programme can provide to aid in the employee’s recovery. • Specific Confidential Post Traumatic Stress Disorder counselling routinely available for employees potentially at risk of PTSD as a consequence of working with specific offenders (especially sex and domestic violence offenders) or as a consequence of any incident (including the death, suicide or serious injury of any offender under the supervision of the Area) resulting in a potential for post traumatic stress. As with the confidential reporting routes, HR Departments (in consultation with Safety Representatives and with advice from the Health & Safety/ Occupational Health Advisor) should ensure that appropriate support services are provided and that they are available on reasonable demand. Counselling/advice may be provided through in house resources (suitably trained and equipped to provide the necessary service) or from an external provider. It is important to recognise that line managers should not, in general, operate in the role of counsellor – this is a specialised function. Symptoms of Stress Irrespective of the cause of stress, the relevant symptoms need to be understood by all parties to ensure people affected can be properly assisted through the work based support program. Stress from any cause can and does affect an individual’s performance and effectiveness – and might (indeed often does) lead to absence. For simplicity, symptoms of stress have been separated into three general categories: 1. Symptoms which can be recognised by anyone (managers, colleagues, friends, self); 2. Symptoms which are likely only to be recognised by the individual (or possibly their partners);

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 18 of 19 3. Symptoms which may be brought to a manager’s attention from external sources (eg information provided in documents such as sick-notes or (in extremis) coroner’s reports) which may indicate direct or contributory problems. It is emphasised that, in all cases, the symptoms exhibited may be as a consequence of causes other than stress. Nor is the list exhaustive. The very nature of stress is that it may manifest itself in a number of differing ways in different individuals. Nonetheless, the following are useful as indicators of possible stress arising from work or home activities. 1) Symptoms which can be recognised by anyone The following symptoms exhibited by an individual experiencing stress (from whatever cause) may be recognisable by themselves, colleagues, friends, or supervisors. • Changes in behaviour : • changing patterns of smoking, drinking etc; • changes in personal activity/energy levels – impulsive behaviour; • changes in interpersonal relationships (becoming withdrawn, or easily moved to anger or emotion); • confused or disorientated; • unusually critical/cynical about work/life; • low self esteem – self critical. • Changes in Work Output • reduction in performance (quantity and quality of work); • lack of attention in conversation/meetings; • prone to errors; • patterns of work; • indecisive, prone to irrational changes of direction; • obsessive about issues. 2) Symptoms which are likely only to be recognised by the individual (or possibly their partners); These are generally of a much more personal level. Nonetheless individuals (and their partners) aware of these will be in a better position to identify a possible stress related problem. • Tremors/trembling (eg of fingers); • Excessive dependency on alcohol, tobacco or drugs; • Loss of libido; • General feeling of being physically unwell (especially headaches, chest pains, stomach problems, loss of appetite, unusual heart beats, fatigue, dizziness); • Emotional problems (guilt, depression, anxiety, suspicion); • Disturbing dreams and disturbed sleep patterns; • Problems in establishing interpersonal relationships (inside & out of work); • Memory impairment; • Having to focus hard re concentration and accuracy. In addition, those experiencing Post Traumatic Stress Disorder might also experience:

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STRESS MANAGEMENT Doc Ref: NPS/HS/8 Issue Number: 2 Date of Issue: 12th December 2004 Issued by: Richard Cullen Page 19 of 19 • • • • • Feelings of numbness; Recurring recall of the incident; Distrust/hyper-vigilant; Sense of shame/guilt; Fantasies of retaliation/destruction.

3) Symptoms which may be brought to a manager’s attention from external sources These will normally arise from information provided in documents such as confidential reports following counselling etc, medical certificates, or (in extremis) coroner’s reports, and may indicate direct or contributory problems. HR Departments should have in place a mechanism for assessing relevant information to provide early warning of possible problems and alerting mangers to rapidly changing situations. The issues to be considered (in addition to ‘stress’ identified on a medical certificate) include: • Depression or similar illness recorded; • Heart/circulatory illnesses/disorders; • Recurrent non specific stomach/digestive problems (including ulcers); • Non specific back problems (eg not linked to a specific accident); • General fatigue; • Recurrent illness with no specific causes identified, in particular, those associated with the kidney, liver, blood disorders, thyroid and immune response problems; • Changing absence patterns in general – for an individual or a team.

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TOBACCO SMOKING Doc Ref: NPS/HS/9 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 1 of 3 Statement of Policy and Objectives It is NPS policy to ensure that all employees can work in a smoke free working environment. The objective of this procedure is to ensure a coherent approach to smoking at work across the NPS. Scope of the application The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the arrangements for tobacco etc smoking at work. This applies to: • All employees • All Contractors • All other persons who are on NPS premises, worksites and in NPS vehicles. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements The following is the statement of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable and sufficient local arrangements to ensure that: • Staff who do not smoke are protected from the dangers of other people’s tobacco smoke. Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of the Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health and Safety Committee has formally agreed that the current local arrangements are of high quality; and in all other cases: • Within 6 months of the above issue date.

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TOBACCO SMOKING Doc Ref: NPS/HS/9 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 2 of 3 ANNEX: OUTLINE GUIDANCE RE SMOKING AT WORK. Definition and General Guidance • Smoking includes the smoking of any substance (eg tobacco or herbal) in the form of a cigarette, cigar or pipe. • Occupational Health Advisors will provide advice to any employee who wishes to stop smoking. Provision of assistive devices (skin patches etc) is the responsibility of the employee and cannot be funded by the employer (NB they can often be obtained free of charge from NHS ‘Stop Smoking’ support services). Determining a Local Area Smoking Policy The Area Joint Health & Safety Committee should consider one of the following options, either: a. Smoking is not permitted in any part of any NPS premises; or b. Smoking is not permitted in any part of any NPS premises apart from individual residents’ own rooms. (NB: smoking must not take place when rooms are being cleaned or otherwise maintained by non smoking personnel, and doors must be kept closed to prevent drift of smoke beyond the room); or c. Smoking is only allowed in clearly designated smoking areas (see below) and is not permitted in any of the following locations: offices; reception areas; restrooms, kitchens, lavatories and washroom areas; committee and meeting rooms; group rooms and workshops; general circulation areas including corridors and stairs; NPS vehicles Smoking Areas (Option ‘c’ above) In the event of option ‘c’ being selected, the following criteria should be applied to designated smoking areas: • Where possible designated smoking areas should be provided at all premises, where they are not provided within the building an area outside of the building should be identified. • These must be properly identified by suitable signage on the doors/ entrances. • In all cases: Designated smoking areas must be sited so as to minimise the risk of accidental fire from the careless disposal of lighted matches etc. Suitable tamper proof containers for the disposal of cigarettes etc must be provided at the designated smoking area.

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TOBACCO SMOKING Doc Ref: NPS/HS/9 th Issue Number: 1 Date of Issue: 5 April 2004 Issued by: Andrew Nicoll Page 3 of 3 • Where designated general smoking areas are provided within a building (ie in a room specifically designated as a ‘smoking room’): External ventilation must be provided to prevent drift of smoke into the remainder of the building and to provide a clean environment for cleaning and maintenance personnel. (External ventilation by extractor fans capable of changing the air in the room 2 – 3 times per hour will normally suffice to prevent drift of smoke. These must be operated when smokers are using the room. Access by cleaning/maintenance personnel (other than those who are themselves smokers) should be arranged such that the air in the room has had time to adequately clear, typically for about an hour); Access doors must be kept closed to prevent drift of smoke into the general work areas. Where designated smoking areas are outside of a building they should be located: To afford smokers some protection from the elements (where reasonably practicable); In a way to ensure that non smokers are not exposed to environmental tobacco smoke eg not near entrances or open windows (smoking at entrances to buildings should be discouraged as a matter of principle).

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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10 PERFORMANCE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 1 of 4 Statement of Policy & Objectives. It is NPS policy to ensure that contractors employed to work in or on NPS premises are suitable and have the competence to undertake their activities in accordance with all relevant Health and Safety Legislation. The objective of this procedure is to ensure a coherent approach to the employment and management of contractors across the NPS in respect of health & safety issues. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and by the NPD in the arrangements made for the employment of contractors. The mandatory elements of best practice which must be implemented are stated below (specific requirements). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation (by NPD or Areas as appropriate) is set out in the attached Annex. NPD and Areas (as appropriate) are required to have in place suitable & sufficient local arrangements to ensure that: • The selection process for Contractors is undertaken with due regard for their ability to deliver the required services in a safe manner; • Contractors are made fully aware of their obligation to undertake their work in a safe manner; • The work undertaken by Contractors is monitored to provide assurance that the work is being undertaken in a safe manner; • There is proper consultation and effective liaison on all relevant health & safety issues between the Contractor, NPD, Areas and Trades Union Safety Representatives. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by NPD with immediate effect and by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10 PERFORMANCE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 2 of 4 ANNEX: OUTLINE GUIDANCE RE CONTRACTORS Definitions For the purpose of this Arrangement, ‘Contractor’ means any third party contracted by the NPD or an Area to undertake work on behalf of the NPS. General Guidance Specific detailed guidance is given in references 1 – 3. The following guidance identifies the key issues. • NPD are responsible for the continual development of relevant Health and Safety policies and guidance to ensure the continued improvement of health and safety performance of Contractors throughout the estate. • Area Boards are responsible for the assessment of risks arising from local NPS activities which could impact on the health & safety of Contractors’ employees working at NPS premises, and taking the appropriate action through consultation and liaison with the Contractor. • Area Boards will, as far as is reasonably practicable, conduct their own activities and undertakings in such a way that any persons not directly in their employ are not exposed to risks to their Health and Safety. • Contractors must undertake work safely at all times. All employees have the right to stop any work being undertaken by a contractor in an unsafe manner. • NPD and Areas must liaise and consult with relevant Contractors to ensure a suitable and sufficient system of monitoring Contractors’ performance is established. Selection Procedures • As an integral part of the National Estates Strategy (NESTS) the NPD is responsible for the assessment and appointment of competent contractors to work in the NPS estate (eg ‘CORGI’ contractors for work on gas installations). • For any other contract, the NPD or Area (as appropriate) is responsible for the assessment and appointment of competent contractors to undertake the work. • In assessing the competence of Contractors, due regard will be taken of, as a minimum: Recent safety performance (as measured by the numbers of injuries and dangerous occurrences reportable to HSE over the previous 5 years); The quality of their safety management procedures and policies; Their knowledge of Health & Safety legislation applicable to their area of work (in particular risk assessment); Any statutory notices issued in the previous 10 years by the HSE/Local Authorities or the Environment Agency; Any prosecutions for breaches of Health & Safety or Environment legislation; relating to the Contractor (and any sub-contractors) and (if applicable) their parent company

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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10 PERFORMANCE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 3 of 4 Specific Contractor Obligations The following specific requirements will be included in all contract terms. Contractors must (in respect of work undertaken by their own employees or those of their subcontractors): • employ staff who are competent and have been provided with suitable and sufficient Health and Safety information and training; • ensure that their staff comply with all statutory provisions, NPS safety rules and instructions and continually work in a safe manner (failure to do so will result in individual Contractor’s employees being barred from NPS Premises); • ensure that suitable Risk Assessments and or method statements are produced for all work activities. These will be made be available to Areas or the NPD upon request prior to work commencing; • ensure that proper consultation takes place, before work commences, with all persons (including appropriate Trades Union Safety Representatives) likely to be affected by that work; • communicate and cooperate fully with NPS staff on all matters associated with Health and Safety at all times. Failure to comply with these requirements will be considered a serious breach of the conditions of the contract. Monitoring Performance • Overall competence will be determined by continual and progressive improvement of the contractor’s Health and Safety performance • The assessment and subsequent performance monitoring in relation to Health and Safety will be a constant feature of the Contractor’s service delivery. • The NPD or Area (dependent on which party owns the contract) will be responsible for ensuring site inspections and audits, assessment of documentation and procedures and review of safety (including accident & incident) data. • Issues of poor health & safety performance and serious health & safety failures by Contractors will be brought to the attention of the National Health & Safety Forum. • Areas will identify an appropriate person(s) to supervise the work of Contractors within the Area. Consultation & Liaison • Area Boards are responsible for providing appropriate information and instruction to Contractors that is relevant to their health and safety whilst working on site. • NPD, the Areas and the Contractors are required to have in place adequate mechanisms for consultation and liaison on matters affecting the health and safety of all persons affected by the work of the various parties. This may take the form of regular liaison meetings at a national and local level as appropriate.

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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10 PERFORMANCE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 4 of 4 References Ref No 1 2 3 Issue General guidance General guidance General guidance Referenced Source NPD: Approved Premises Heath and Safety Manual NPD: Property Management Contract Guide NPD: PC52/2003 Health and Safety re Property

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FIRE PROTECTION Issue Number: 2 Issued by: Bill Wood

Doc Ref: NPS/HS/11 Date of Issue: 1st April 2005 Page 1 of 3

Statement of Policy & Objectives. It is NPS policy to ensure the effective provision of fire protection and procedures in all NPS premises. The objective of this procedure is to establish a coherent approach to the provision of adequate fire protection and procedures in NPS premises and to ensure, as far as is reasonably practicable, the safety of all persons using those premises. Scope of the Application. The requirements set out in this procedure present the best practice applied in all NPS Areas and the NPD in respect of fire protection and fire procedural arrangements. Note: the responsibility for the enforcement of Fire Safety legislation in NPS premises rests with the ‘Office of the Deputy Prime Minister Crown Premises Inspection Group’. However, Local Fire Authorities retain the power to inspect premises and make requirements to provide Fire Risk Assessments by virtue of the Management of Health & Safety Regulations 1999 (as amended). The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. NPD and Areas (as appropriate) are required to have in place suitable & sufficient local arrangements to ensure that: • All NPS Premises are subject to a suitable Fire Risk Assessment; • Premises comply with the findings of the Fire Risk Assessment; • Suitable information/training is given to all relevant persons; • Fire alarms and fire detection equipment are routinely tested and maintained; • Suitable and sufficient fire fighting equipment is provided; • Emergency procedures are available and regularly practised Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by NPD with immediate effect and by all Areas within 12 months of the above issue date.

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FIRE PROTECTION Issue Number: 2 Issued by: Bill Wood

Doc Ref: NPS/HS/11 Date of Issue: 1st April 2005 Page 2 of 3

ANNEX: OUTLINE GUIDANCE RE FIRE PROTECTION Fire Risk Assessment • NPD are responsible for arranging an initial Fire Risk Assessment of all NPS premises. The result of that assessment will be site specific. • Future and subsequent assessments will be the responsibility of the local Area and will be undertaken by a competent person. • Where any structural alteration is necessary or the provision of fire protection equipment is required, this will be undertaken by the NPD. • A fire risk assessment is not a one-off procedure; it should be continually monitored to ensure that the arrangements remain realistic. It should be reviewed if there is a significant change in: the occupancy, work activity, materials or equipment used or stored (including furniture and fittings), when building works are proposed or when it is thought the risk assessment is no longer valid. • When considering supervision of persons with a history of arson related offences, the offender management assessments must take this into account in assessing the overall risks particularly in respect of Approved Premises. • Where local issues are identified eg training of staff, provision of fire action plans or other control measures these will be undertaken by a competent person in the Local Area. Instruction & Training • Areas will ensure that local fire routines are understood, that staff training is current and records of training are maintained. • Training will include the identification and use of fire fighting equipment. • Areas will ensure emergency procedure notices are displayed and understood. • Consideration should be given to the provision of appropriately trained fire marshals, as may be identified by the Fire Risk Assessment. • Particular account should be taken for groups or individuals with special needs or mobility difficulties. Fire Alarm & Emergency Procedure Testing • NPD will arrange the inspection and maintenance of fire fighting equipment, detection and alarm systems and emergency lighting in accordance with manufacturers and statutory guidance. • Areas will ensure the weekly test of the fire alarm system and any additional periodic checks of emergency lighting and detection equipment. Records of these tests must be available for inspection on the premises. • Areas will arrange regular fire drills (6 monthly) in conjunction with a Contractors representative as appropriate. Other Issues • Areas will identify and maintain emergency escape routes from buildings. • Areas will arrange for the safe storage of all flammable substances in NPS buildings. • Additional guidance is given in Refs 1 to 3. Uncontrolled Copy

FIRE PROTECTION Issue Number: 2 Issued by: Bill Wood References Ref No 1 2 3 Issue Regulatory requirements General guidance General guidance

Doc Ref: NPS/HS/11 Date of Issue: 1st April 2005 Page 3 of 3

Referenced Source HSE: The Fire Precautions (Workplace) Regulations 1996 (as amended 1999) Fire Safety an employers guide ISBN 0-11341229-0 Fire Risk Assessment, a guide to complying. (Fire Industry Council)

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ASBESTOS Issue Number: 1 Issued by: Bill Wood

Doc Ref: NPS/HS/12 Date of Issue: 5th April 2004 Page 1 of 3

Statement of Policy & Objectives. It is NPS policy (Ref 1) to ensure the effective control and management of risk relating to Asbestos Containing Materials (ACM) in all places where NPS staff are employed. The objective of this procedure is to complement the national policy and procedures to provide a coherent approach to the management of ACM. This will ensure that, as far as is reasonably practicable, all persons will be protected from exposure to asbestos fibres. The policy document also contains advice and guidance on Machine Made Mineral Fibres (MMMF) and Vitreous Fibres (MMVF). Scope of the Application. The requirements set out in this procedure present the best practice to be applied by: • Areas for activities involving NPS employees (including secondees to other organisations) employed on NPS premises or elsewhere • NPD in the arrangements made for the management of asbestos containing materials in NPS premises. The mandatory elements of best practice which must be implemented are stated below (specific Requirements). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. NPD and Areas (as appropriate) are required to have in place suitable & sufficient local arrangements to ensure that: • All NPS Premises are surveyed to identify the presence of any asbestos containing materials; • All such findings are properly recorded in a Register which must be kept readily available on site; • Responsible persons are appointed to ensure local management of asbestos; • Suitable routine inspection is undertaken and appropriate signage provided where ACM have been identified; • Suitable information/training is given to all relevant persons; • Where removal or encapsulation of ACM is required this will be undertaken in accordance with the time scales set out in the NPS policy • Only specialist contractors are employed to undertake any work with asbestos (repair or removal). Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by NPD with immediate effect and by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date. Uncontrolled Copy

ASBESTOS Issue Number: 1 Issued by: Bill Wood

Doc Ref: NPS/HS/12 Date of Issue: 5th April 2004 Page 2 of 3

ANNEX: OUTLINE GUIDANCE RE ASBESTOS General Guidance • The ‘National Probation Service Policy and Procedures for Asbestos Containing Materials’ (Ref 1) sets out the detailed requirements for the management of asbestos in buildings occupied by employees and must be incorporated into all Area Health and Safety arrangements. • Additional guidance is available from HSE (Ref 2). • Asbestos surveys will be undertaken in all premises occupied by NPS employees. Where premises are leased, rented or shared by NPS employees and those of other agencies, NPD will ensure asbestos surveys are properly undertaken. Where NPS employees occupy shared buildings the requirements of this policy will apply unless better or more significant arrangements are in place. • Significant findings arising from the national surveys will be reported to the National Health & Safety Forum. • The results of the survey will be maintained on the premises in the form of an asbestos register. • The register will be updated and reviewed in accordance with legislative requirements. • NPS Areas shall designate a responsible person to ensure the local management of ACM in their Area (in accordance with the requirements of this Arrangement and associated guidance) and to check the presence and currency of the register in each premise, including those occupied but not owned by NPS (eg multi agency locations). • Where ACM is present in a building, Areas will be responsible for ensuring it is visually inspected for signs of damage or deterioration. These checks should take place at least once per quarter in conjunction with the quarterly Health and Safety inspection of the building. • Local areas must ensure that the Asbestos Register is readily available for inspection by visitors to the premises. Contractors working on site MUST be made aware of the Asbestos Register. • All employees must report signs of damage or deterioration to ACM immediately to their line manager. The area should then be isolated and the matter reported to the contractors Helpdesk. • Areas must ensure that staff are fully conversant with NPS ACM procedures and they are made aware of the location of any ACM in their workplace • Local Areas must include ACM in their Community Punishment (CP) project Risk Assessments. Local Areas should ensure that asbestos management and identification is included in training of CP Risk Assessors. • No work should be undertaken on CP projects where there is a risk of exposure to asbestos fibres. • If during the course of a CP project any suspect or damaged ACM is discovered, work should stop and the local area health and safety practitioner informed. • Visiting contractors must check the premises Asbestos Register before commencing any work which may disturb ACM.

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ASBESTOS Issue Number: 1 Issued by: Bill Wood • •

Doc Ref: NPS/HS/12 Date of Issue: 5th April 2004 Page 3 of 3

If they discover any suspect or damaged material during the course of their work they should report it to the local Area management and their own line manager. If they accidentally damage or disturb ACM during their work they should evacuate the area and report to the local Area management and their own line manager.

References Ref No 1 2 Issue Referenced Source NPD Asbestos Policy and Procedures for Managing Management Policy Asbestos Containing Materials (ACM) in Buildings HSE Guidance HSE: INDG223 Managing Asbestos in premises

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MANAGEMENT OF SAFETY IN THE NPS Doc Ref: NPS/HS/13 ESTATE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 1 of 3 Statement of Policy & Objectives. It is NPS policy to ensure that health and safety is proactively managed throughout the Estate. The objective of this procedure is to ensure a coherent approach to the provision of a working environment that minimises the risk to health and safely across the NPS. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the management of health and safety throughout the Estate. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. NPD and Areas (as appropriate) are required to have in place suitable & sufficient local arrangements to ensure that: • statutory obligations relating to the management of the estate are fully complied with; • work undertaken by Contractors is properly monitored; • working environments are commensurate with the nature of the work being undertaken. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by NPD with immediate effect and by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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MANAGEMENT OF SAFETY IN THE NPS Doc Ref: NPS/HS/13 ESTATE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 2 of 3 ANNEX: OUTLINE GUIDANCE RE MANAGEMENT OF SAFETY IN THE NPS ESTATE General Guidance • General guidance on employment of contractors, permits to work and fire protection can be found elsewhere in this manual. • Additional guidance is provided in references 1 & 2 • NOMS Property will produce health and safety policies and guidance for the whole of the estate. Statutory Obligations • NOMS Property will ensure the Estate is fully compliant in terms of statutory requirements in respect of: o Asbestos registers; o Legionella testing; o Fire risk assessments (ie the initial assessment); o Electrical system and portable appliance testing; o Lift maintenance testing; o Pressure testing o Gas safety; o Eye bolt testing; o Food hygiene tests(in approved premises); o Disability Discrimination Act audits; and any other statutory tests that may be required. • Local areas will continue to ensure that all Health and Safety statutory requirements are being met. Monitoring Contractors Performance (See also the NPS/HS/10, ‘Contractors: Selection & Performance’) • NOMS Property will collate and monitor information relating to accidents, incidents or dangerous occurrences involving Contractor’s employees throughout the Estate and make appropriate reports to the National Health & Safety Forum. • NOMS Property will monitor the health and safety arrangements made under the estates and facilities management contracts and make appropriate reports to the National Health & Safety Forum. Provision of a Safe Working Environment • The history of the Probation Service is such that many premises within the estate are not to modern standards in all respects. Key issues such as fire protection and precautions are covered elsewhere in this Manual (and apply irrespective of the age of the building). • General minimum statutory requirements for space/ accommodation etc are given in Reference 3. • Specific requirements for rest facilities for new and expectant mothers are given in Reference 4. • Specific requirements for working with display screen equipment are given in Reference 5.

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MANAGEMENT OF SAFETY IN THE NPS Doc Ref: NPS/HS/13 ESTATE Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 3 of 3 • Guidance in respect of electrical installations, electricity supply maintenance & testing etc is given in reference 6.

References Ref No Issue 1 General Guidance 2 Approved Premises Guidance 3 General space & accommodation etc requirements 4 Specific issues re new & expectant mothers 5 Specific issues re DSE work. 6 Electrical installations & maintenance/testing of supplies Referenced Source NPD: Property Management Contract Guide NPD: Approved Premises Contract Guide HSE: ‘Workplace (Health, Safety & Welfare) Regulations 1992’ HSE: ‘Management of Health & Safety at Work Regulations 1999’ HSE: ‘Health & Safety (Display Screen Equipment) Regulations 1992’ HSE: The Electricity at Work Regulations 1989.

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PERMITS TO WORK Doc Ref: NPS/HS/14 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 1 of 4 Statement of Policy & Objectives. It is NPS policy to ensure that all work activities carried out within its premises are undertaken safely and without risk to health. The objective of the procedure is to ensure a coherent approach to the implementation of systems of work that are safe and without risk to health. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of work requiring Permit to Work Systems. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. NPD & Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Suitable Permits to Work are used to control all relevant high risk activities undertaken by either Contractors’ employees or NPS employees; • Individuals undertaking the work, or who may be affected by the work, are informed of the terms and conditions of the Permit to Work; • Procedures are in place for commencing and closing off work covered by a Permit to Work. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by NPD with immediate effect and by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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PERMITS TO WORK Doc Ref: NPS/HS/14 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 2 of 4 ANNEX: OUTLINE GUIDANCE RE PERMITS TO WORK General Guidance • Permit to work systems are an essential part of safe systems of work for many maintenance activities. • They are required if there is a risk of serious injury which cannot be adequately controlled by normal physical safeguards (eg work in confined spaces – see Ref 1). • Specific permit forms are needed for certain tasks, such as; work in confined spaces, hot work or work on electrical systems. • Permits to work should provide a clear record that all foreseeable hazards have been considered and identify what precautions are required to protect the individuals involved in the task or others who may be affected by it. • Whilst Permits to Work will be primarily associated with work undertaken by Contractors (Ref 2), nonetheless the basic principles can be applied to any task or activity where the risk assessment has identified a particularly significant residual risk to an employee and where strict control is required to control that risk. Permits to Work: Formats and Procedures • Figure 1 sets out a model Permit to Work format which can be used as a guide within NPD and Areas. • Contractors are responsible for providing a Permit to Work for activities they are undertaking. • Areas should ensure that where these are required, the permit is supplied by the Contractor and that: o the hazards are clearly identified by the contractor; o the precautions necessary are outlined; o the Contractor’s signature is provided to confirm that these precautions have been undertaken; o the work area is protected from Area staff and other persons in the building. • The local Area management should expect those responsible for undertaking the work (usually a Contractor) to ensure; o The building representative is properly informed of the work to be undertaken; o a suitable risk assessment and permit to work document is produced and available; o the provision of trained personnel to under-take the work; o adequate supervision is provided (by the Contractor); o all required emergency evacuation procedures and action plans are in place; o records are correctly maintained. Information to Individuals • Local Area staff should be made aware of all emergency action plans associated with the Permit to Work. Uncontrolled Copy

PERMITS TO WORK Doc Ref: NPS/HS/14 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 3 of 4 Commencing and Closing off Work • Consultation must take place between local area staff and those responsible for undertaking the work (usually the Contractors) before work commences. • Consultation must take place between local staff and those responsible for undertaking the work following completion of the work; and a “hand back” confirmation produced (by those responsible for undertaking the work (usually the Contractors)) certifying the work has been carried out safely and the location is clear and ready for re-commissioning. References Ref No 1 2 Issue Confined Spaces Contractor’s Permits to Work (confined spaces) Referenced Source HSE: Safe work in confined spaces. NPD: Approved Premises Heath and Safety Manual.

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PERMITS TO WORK Doc Ref: NPS/HS/14 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Bill Wood Page 4 of 4

Figure 1: Model Permit to Work PERMIT-TO-WORK
Permit title:Job location:Plant identification:Description of work to be done and its limitations:Hazard identification:– (including residual hazards and hazards introduced by the work) Precautions necessary:– (person(s) who carries out precautions, eg, isolations, must sign that precautions have been taken) Permit number:-

Protective equipment:Authorisation:– (signature on behalf of the appropriate organisation confirming that isolations have been made and precautions taken, except where these can only be taken during the course of the work)

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Acceptance: – (signature of the person(s) actually undertaking the work confirming understanding of work to be done, hazards involved and precautions required. Also confirms permit information has been explained to all workers involved)

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Extension/shift hand over procedures:– (either: Signatures of those authorising the extension and those undertaking the extended work confirming checks have made and that the plant remains safe to be worked upon, and new acceptor/workers, made fully aware of hazards/precautions. A new expiry date/time must be given; or Signatures of those handing over the work and those taking on the work (in the event of a shift handover)confirming new shift is made fully aware of hazards/precautions) . Hand back:– (signed by the person responsible for the normal activity of the location (usually the relevant local NPS line manager) certifying work completed. Also signed by the person undertaking the task certifying work completed and plant ready for testing and re-commissioning)

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Completion:(signed by the person undertaking any required testing and re-commissioning to confirm plant etc
satisfactory)

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CONTINGENCY PLANNING Doc Ref: NPS/HS/15 Issue Number: 1 Date of Issue: 5th April 004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that Contingency Plans be in place to address the effect of a major disruption to operations. The objective of this procedure is to ensure a coherent approach to contingency planning across the NPS (in the initial phases following an emergency) is achieved with due regard to the health, safety and welfare of employees. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the: • Loss or major disruption of use of premises (eg from fire, flood, violence etc); • Loss of key services (eg IT, power, catering etc), or key records; • Loss of substantive numbers of staff (eg influenza epidemic); which could significantly affect the operation of the local Area or National NPS operations. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that in the event of: • Any premises becoming unusable, suitable arrangements are identified for alternative premises (which may or may not be owned/leased/rented by the NPS, but which should be in the same locality where possible). • Key services (eg IT, power, water, catering etc) being unavailable, suitable arrangements are identified for alternative means of supplying the required service. • The unavailability of substantive numbers of key staff, suitable arrangements are in place for using alternative resources from within or external to the Area. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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CONTINGENCY PLANNING Doc Ref: NPS/HS/15 Issue Number: 1 Date of Issue: 5th April 004 Issued by: Kathryn Ball Page 2 of 3 ANNEX: OUTLINE GUIDANCE RE CONTINGENCY ARRANGEMENTS. Introduction. It is a basic tenet of Contingency Planning that: • Key staff are identified to handle specific issues. • Key information re communication and the supply of equipment and services is available to those identified members of staff. The objective is to ensure that the right team of managers and support staff are rapidly deployed to resolve the immediate impact of the initiating event (eg fire resulting in loss of an Approved Premise). Detailed planning is not appropriate (all contingencies cannot be covered – key is flexibility). Whilst the various FM etc contractors will provide (though NPD) support in the longer term, nonetheless Areas need to be in a position to deal with the immediate aftermath of contingencies which render buildings or services unusable. This Arrangement is aimed primarily at ensuring that this initial phase is undertaken with due regard for the health, safety & welfare of employees and others who may be affected by the event. Where work is undertaken in non NPS premises (eg prisons, courts etc), the contingency arrangements will be the responsibility of the organisation responsible for those premises. Nature of events Identify the type of contingencies which could significantly affect operations within the given Area etc (eg Fire, flood, terrorist or other violent activity, loss of power, sudden loss of Approved Premises services, loss of significant numbers of staff etc). Key Staff • Identify: key staff and their respective roles in the event of an emergency. (This should include operational staff and the person in the Area responsible for media liaison.) • Ensure key staff are properly briefed/trained re their responsibilities. The training will need to take account of the circumstances under which the contingency plans must be activated. Exercising the plans provides an excellent opportunity to test both the training requirements and the plans themselves. • Ensure there are adequate means of alerting the key staff (problems may occur outside office hours). Resources • Maintain (and ensure the key staff have 24 hour access to) contacts for any immediate requirements for replacement resources including: o Alternate accommodation (neighbouring Areas may assist re Approved Premises); o Emergency generators; o Drinking water supplies & sanitation; Uncontrolled Copy

CONTINGENCY PLANNING Doc Ref: NPS/HS/15 Issue Number: 1 Date of Issue: 5th April 004 Issued by: Kathryn Ball Page 3 of 3 o o o o Catering in Approved Premises (eg local ‘take-away’ establishments); Temporary Staff Agencies; Furniture suppliers; IT supply and back up.

Other Issues • Maintain contact points for: o Insurers; o Emergency services (in the event of a fire, the most senior Fire Officer will take command); o NOMS Property/IT; o FM/EM etc contractors. • Include arrangements for briefing: o NPD; o Trades Union Representatives; o Staff; o Media; o Adjacent Areas (who might receive queries from the media). • For key records, consider the need for duplication or storage in a secure (eg fire proof) medium.

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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 5 Statement of Policy & Objectives. It is NPS policy that work with substances is subject to a suitable and sufficient risk assessment to minimise health risks. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk of exposure to hazardous substances to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS. - together with additional requirements applying to Contractors (etc) staff working on NPS premises. Matters relating to biological hazards are covered separately in NPS/HS/4 The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All substances which may be a hazard to the health and safety of anyone who may be affected by NPS activities are properly identified. • Those groups of people who may be harmed are properly identified. • The resultant risk is evaluated, the adequacy of existing levels of protection is assessed and additional levels of protection are determined as necessary. (Note: see Annex re proprietary substances.) • The findings are properly recorded. • All Risk Assessments are periodically reviewed and revised as necessary. • A suitably competent person (or persons) is identified to take a lead role re hazardous substance assessments. Arrangements for work undertaken by Contractors etc is covered by a further arrangement (NPS/HS/10). Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 5 ANNEX: OUTLINE GUIDANCE RE SUBSTANCES HAZARDOUS TO HEALTH General Guidance Detailed guidance on application of the current relevant regulatory requirements (‘Control of Substances Hazardous to Health’, COSHH) is available from HSE (Ref 1). This Annex provides an overview guide on the key issues to be considered within the Area Arrangements. Most substances used within NPS will be proprietary products (eg paints and solvents) accompanied by either explicit H&S advice on the packaging or a Safety Data Sheet (or equivalent). Where such materials are used in accordance with the supplier’s instructions additional assessments aren’t generally necessary under COSHH unless local circumstances are such that an assessment would be helpful to the management of the material. In either case there is a requirement for record keeping (see below). Specific assessments are required where: • The use of a proprietary substance falls outside the supplier’s advice (which should be rare); • There are no packaging etc instructions/advice available (proprietary substances should not generally be used in this event); • Proprietary substances are mixed other than in accordance with supplier’s instructions (this should be generally banned except in exceptional circumstances); • Any resulting fumes, dust etc are not covered by the supplier’s advice (in normal work exposure to fumes should be rare but exposure to wood dust may be encountered, for example in workshops); • Exposure to biological agents (eg body fluids) may be encountered. In this case reference should be made to NPS/HS/4 (Biological Contamination Risk Assessment); • Material is stored in bulk quantities (storage of hazardous materials should be minimised. In some cases, eg petrol, special regulatory requirements apply); • Where material has been spilt or otherwise dispersed to ensure the safe cleaning and disposal of such spillages (except where the supplier’s safety data sheets (or similar) have provided specific instructions for handling spillages – in this case those specific instructions must be followed). This requirement may be particularly applicable to materials such as toners where handling is normally in enclosed packaging. Where however the packaging is breached or the material is dispersed during dispensing, a COSHH assessment will be required if such spillages/dispersion are not covered in the accompanying instructions. (Note ‘H filter’ vacuums are required to safely clean toners because of the small particle size and the associated hazards.)

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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 5 As a general rule, when using any substance, consideration must be given before proceeding to the following principles: • Does this substance have to be used at all? • Is there a substitute substance (or process) which is less hazardous? The Supplier may be able to advise on alternatives. People using hazardous materials must be suitably instructed/trained in the correct usage. Supervisors must check that materials are being used in accordance with the risk assessment. Appointment of a Competent Person The Competent Person undertaking an assessment (who may be the Area Health & Safety Advisor) must have suitable and sufficient understanding of the COSHH Regulations and associated Codes of Practice (including the specific circumstances when a COSHH assessment must be undertaken). Further guidance is given in Ref 1. Assessing risks, who might be exposed and identifying any required protective measures Attention is drawn to the General Guidance at the beginning of this Annex which identifies the circumstances in which specific assessments will be required. In the event of a specific assessment being required, the example pro forma (figure 1) provides guidance on the information to be gathered and assessed. Assessments/allocation of work tasks must take into account people who may be at special risk (eg new and expectant mothers, young people, and those with respiratory, skin or sensitisation conditions). Maintaining Records A record of substances subject to an assessment (including those where the ‘assessment’ is simply the supplier’s instructions) must be maintained in accordance with the current regulatory requirements (as a minimum, for the duration of the work to which they apply). As a minimum, records should be maintained of: • Any special assessments undertaken; • Relevant Product Data sheets; • References to packaging instructions (ie identifying the product, including any identification code & Supplier, and the date (year) supplied). Records of assessments and usage may be required in the event of claims against the Area. Areas should thus identify an appropriate archiving policy for this information. Reviewing Assessments COSHH Risk Assessments must be reviewed: • Every 12 months to ensure that the arrangements are still ‘fit for purpose’. These should be linked to the nature of the risk concluded after all previously identified additional protective measures have been put in place.

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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 4 of 5

• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential change is introduced. • Or whenever there are reasons to believe the assessment is no longer valid (eg the identification of previously unidentified hazards).

The review must be recorded (eg in the space provided in the Model Assessment Form) where no changes are identified or by completing a new assessment form where changes are required. References Ref No 1 Issue General Guidance Referenced Source HSE: INDG 136. COSHH a brief guide to the Regulations.

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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 5 of 5 Figure 1: Model COSHH Assessment pro forma.
Compiled by Signed Location of use or storage Substance Date compiled

Nature of material and its hazard Very toxic Irritant Toxic Flammable Environmental impact Other Physical Properties Potential hazards Appearance Inhalation Odour Skin absorption MEL* Ingestion OES* Injection Additional comments on properties Nature Inhalation Skin contact Eye Contact Ingestion Injection Who might be exposed? Any sensitive groups at special risk? Precautions /Control Measures Inhalation Skin contact Eye Contact Ingestion Injection Health surveillance Fire Precautions Spillage/disposal Storage Do not store with: Static Electricity Considerations Additional Comments Health Effects & First Aid Effect First Aid

People at Risk

‘MEL’: Maximum Exposure Limit; ‘OEL’ Occupational Exposure Limit Next Review Date Name Review Program Reviewer Signature Date review completed

Line Manager

Safety Reps

Distribution H&S Adviser

Workplace

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DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that all use of road vehicles on NPS business be in accordance with current UK best practice standards. The objective of this procedure is to ensure a coherent approach to the safe use of road vehicles across the NPS. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of: • The use of private and hired vehicles on NPS business; • The use of NPS owned vehicles. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Work programs are planned to ensure that ‘driving time’ is properly accounted for within the working day; • Drivers are provided with suitable and appropriate training; • All vehicles used on NPS business are fit for purpose and properly insured. Specific requirements for health surveillance (for those employees whose work involves a significant amount of driving) are set out in NPS/HS/7. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX: OUTLINE GUIDANCE RE DRIVING ON NPS BUSINESS AND USE OF NPS VEHICLES Introduction. Business driving presents an additional level of occupational risk to the health & safety of staff. This Annex provides outline guidance aimed at minimising this additional risk factor. Choice of Vehicles All vehicles used on NPS business must be fit for the purpose to which they are being put. In particular they should: • Be properly insured for the purpose (ie have third party and business cover); • Be taxed and have a current MOT certificate (if appropriate); • Be roadworthy (tyres, brakes, lights, steering, safety belts etc all functional); • Not be fitted with ‘bull bars’; • Not be overloaded (with people or equipment); • All tools and equipment must be locked away from offenders. Any modifications to vehicles to permit the storage or carriage of tools and/or equipment must be in accordance with the appropriate Motor Vehicles (Construction and Use) Regulations. Work Planning Planning of work to minimise fatigue and minimise overall risk is a key element of occupational road safety. In particular: • Is the journey really necessary – can video conferencing or a simple telephone conference call suffice? Can public transport be used? • Journeys must be assessed and planned to ensure that sufficient time is available to reach the destination in good time whilst travelling within the appropriate speed limits (drivers are personally liable for any infringements). • Long spells at the wheel should be avoided. Current advice (Ref 1) is that breaks of 15 minutes per 2 hours should be taken. When other tasks are involved in the day (meetings etc), managers must take the total time into consideration in authorising the travel arrangements. This will need to take account of the likely duration of the ‘other’ tasks and the potential for additional causes of fatigue. • External factors (adverse weather, remoteness of locations, road conditions etc) and any additional factor which might have an impact on fatigue should be taken into account in work planning involving driving. Driving Competences For normal occupational driving within the NPS there is no need for special training and competences (other than the need to hold a current driving licence). Special training is required for staff who: • Are required to drive vehicles significantly different to their normal experience (eg mini-buses, towing trailers (NB: 50mph speed limit when towing) etc). This should normally be undertaken by an accredited trainer Uncontrolled Copy

DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 demonstrating practical knowledge and skills which should then be practised. A record of training should be maintained for ease of reference and identification of suitable drivers. • Drive significant distances on behalf of the NPS (eg in excess of 10,000 miles) in the course of a year. Such drivers should be invited to undertake appropriate training. A number of organisations (eg RoSPA and the Institute of Advanced Motorists) can provide relevant information and advice on suitable local accredited training courses. General considerations In addition the following matters should be considered: • There must be no distractions to the driver. This is a particular consideration if transporting disruptive offenders. If identified in the offender/group risk assessment, a second officer may need to be provided. Eating & drinking should be discouraged when a vehicle is in motion. Smoking is not permitted in NPS Vehicles (see NPS/HS/9). • Except in emergency situations where instant communication is necessary because of an accident, injury or threat of violence/assault: the use of hand held mobile telephones (or similar communications equipment) by drivers is prohibited whilst vehicles are either in motion or are stationary with the engine running; the use of ‘hands free’ mobiles should be discouraged (because of the distraction they present). See also Reference 2. • Seat belts must be used at all times. • Care should be exercised in respect of lone driving with a single passenger (particularly an offender). Subject to the risk assessment this should be discouraged where possible. • NPS owned vehicles should be fitted with first aid equipment, fire extinguishers, warning triangles, appropriate signage when carrying hazardous materials and mobile phones for emergency contacts. • Subject to an appropriate risk assessment, Areas should consider the provision of such equipment for private & hired vehicles used regularly (eg weekly) or for extensive annual distances (eg in excess of 10,000 miles) on NPS business. • Manual handling requirements will apply when loading and unloading vehicles, roof-racks and trailers. References Ref No Issue 1 Driving hours etc Referenced Source RoSPA: Managing Occupational Road Risk: Supplementary Guidance on Preventing Inappropriate Use of Speed; Preventing Falling Asleep at the wheel; & Ensuring Driver Competence (2002). NPS Policy for the Use of Mobile Phones Whilst Driving’: issued 28th Nov 2003. Uncontrolled Copy

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Use of Mobile Telephones.

DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 2 Statement of Policy & Objectives. It is NPS policy that work involving display screen equipment and associated IT systems is subject to an appropriate risk assessment. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk of working with Display Screen Equipment to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All display screen equipment is subject to prior use, and subsequent routine, risk assessments. • All new (and existing major) software systems are (or have been) subject to an ergonomic risk assessment, are accessible to all staff and are risk assessed by the local Area when piloting the implementation. • In both cases the resultant risk (re the health & safety of the user) is evaluated, and any improvements (to systems, software or for additional training) are determined as necessary. • The findings are properly recorded. • All Risk Assessments are periodically reviewed and revised as necessary. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 2 ANNEX: OUTLINE GUIDANCE RE DISPLAY SCREEN EQUIPMENT AND ASSOCIATED INFORMATION TECHNOLOGY Display Screen Equipment • As a minimum, all Display Screen Equipment (DSE) (including workstations, CCTV etc) must be subject to regular inspection in accordance with statutory requirements. Specific guidance is given in Ref 1. • Further information is available in a specific NPS Guide (Ref 2). Ergonomic Assessment of Software • Guidance on the ergonomic assessment of software is available in References 2, 3 & 4. • Software purchased or developed for use within the NPS should be subject to an ergonomic assessment prior to introduction into full usage (for software purchased from outside NPS this should form a part of the product suitability assessment prior to purchase). Records of Assessments Suitable records should be maintained by the relevant line management of all formal assessments. Additional Issues • Eye and eyesight tests and special spectacles: Areas will pay the cost of eyesight testing and any spectacles required specifically for working with DSE up to the NHS charge limit. Local arrangements should include an appropriate route to pre-authorise such testing. • Pregnancy: Taken as a whole there is no epidemiological evidence to suggest a link between working with DSE and harm to the unborn child, pregnant mothers should nonetheless be given the option of alternative work should they so request this after they have sought advice from their medical advisor. • Laser-jet printers should not generally be immediately adjacent to workstations (ie on the same desk). References Ref No 1 2 3 4 Issue DSE assessments DSE & Software assessments Software assessments Accessibility Referenced Source HSE Guide: HS(G)90. ‘A Guide to the Health and Safety Aspects of IT Management for the National Probation Service’ BS EN ISO 9241 (Parts 10 – 17) ‘Accessibility of Human Computer Interfaces’ ISO 16071

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ELECTRICITY AT WORK Doc Ref: NPS/HS/19 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 4 Statement of Policy & Objectives. It is NPS policy that mains electrical equipment and supplies are appropriate to the working environment and are subject to appropriate routine testing and inspection. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk of exposure to electrical supplies and mains operated electrical equipment to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS. These requirements also apply to contractors’ staff working on NPS premises with electrical equipment. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Suitable protective measures are in place to protect employees and others from electric shock/electrocution. • All (mains) electrical equipment and supplies are subject to formal testing and inspection by a competent person. • All mains operated electrical equipment is routinely inspected by the user. • Formal testing and inspections are properly recorded. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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ELECTRICITY AT WORK Doc Ref: NPS/HS/19 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 4 ANNEX: OUTLINE GUIDANCE RE WORKING WITH ELECTICITY Introduction Detailed Guidance on working with mains electrical supplies and equipment is available from the HSE (Ref 1). This Annex notes the key issues associated with such work whether this involves NPS, contractors, or personal equipment. General Safety Used in a sensible manner, mains electricity is a safe commodity. Used unsafely the consequences are often fatal. The following commentary provides guidance on the minimum standards to be achieved. • With the exceptions as noted below, work on mains electrical supplies and equipment must only be carried out by qualified electricians. The exceptions are (subject to suitable training and risk assessment): o Changing light bulbs; o Changing fuses in plugs/wall units; o Wiring of plugs. • Workshop supplies should be “drop down” where practicable and central emergency isolation switches should be installed. • Multiple extension cables (ie extensions plugged into extensions) must not be used (NB cable managed desks are to be considered as an extension). • Where extension cables are used they must be used in a manner which ensures that they cannot become damaged (or create a trip hazard). Rubber cable channelling must be used for all runs of cables across floors. Cabled reels should be used totally unwound to prevent overheating. • Where possible 110 volt systems should be used for portable equipment particularly where the local environment is potentially ‘wet’. 110 volts must be specified for all new portable equipment ordered after the date of issue of this Arrangement. Transformers should have only the minimum length of cable for connection to the mains supply. • Where mains voltage is used a Residual Current Circuit Breaker must be used (either locally to the work or by ensuring the mains supply is already protected by such a system). The RCCB should be tested before any work commences. • Personal electrical equipment (including Offender’s personal equipment (only permitted in Approved Premises)) must only be used with agreement of local management and subject to registration inspection & testing. Faulty equipment must not be used until repaired and responsibility to rectify faults rests with the owner of the equipment. • Electrical supply cupboards must be: clearly identified and signed; clear of flammable and combustible materials; and kept locked. Maintenance and other work on electrical supplies & equipment • No work is to be undertaken on live electrical supplies (cabling, fittings, extension cables etc). Any person maintaining electrical equipment must be suitably qualified and experienced (eg a qualified electrician) and must ‘isolate and check’ the supply before undertaking any such work.

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ELECTRICITY AT WORK Doc Ref: NPS/HS/19 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 4 • Lock-out boxes (or equivalent procedures) are recommended to ensure isolation during maintenance. (See also ‘Permits to Work’, NPS/HS/14.)

Inspection and testing The Electricity at Work Regulations require that all electrical supplies and equipment are regularly inspected and tested. Details are given in the regulations and associate guidance (Ref 1). In brief the following should be observed: • User Check o Before commencing any work with electrical equipment (eg portable tools) the cabling and plugs should be visually checked by the intended user for signs of obvious damage (eg broken plugs/sockets, cables not properly gripped by the plug, frayed cables etc). Any such damage should be reported to the line manager and the equipment suitably labelled & removed from usage pending rectification of the fault. o Regular checks (eg during routine workplace inspections) should be undertaken re ‘installed’ equipment for similar visible signs of damage to cabling, plugs, sockets etc. Any such damage should be reported to the line manager and the equipment not used pending rectification of the fault. • Formal Testing & Inspection Full details are given in the relevant HSE Regulations and Guidance Material. Formal testing and inspection must be undertaken by a suitably trained person (who does not need to be a qualified electrician). The detailed arrangements for testing undertaken by Contractors’ employees on behalf of Areas are set out in the relevant Facilities Management Contracts. This defines the formal routine testing of all electrical equipment. For personal equipment used by Approved premises Residents, the following special arrangements should be applied (as agreed nationally between the NPD and HSE): For those resident for less than 6 calendar months: no requirement for formal testing & inspection. The User checks will, however, be confirmed by the approved premises staff. For those resident for more than 6 calendar months, formal testing & inspection will be undertaken by the FM contractor either: at the planned testing & inspection; or by special arrangement for those persons whose residency will not include the planned date of inspection. HSE requirements for testing and inspection frequencies are given in the attached Table. Referenced Source HSE: INDG 236: Maintaining portable electrical equipment in offices and other lowrisk environments.

References Ref No Issue 1 Testing etc

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ELECTRICITY AT WORK Doc Ref: NPS/HS/19 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 4 of 4 Table extracted from HSE’s INDG 236 Equipment/environment Battery operated: (less than 20 volts). Extra low voltage: (less than 50 volts AC) eg telephone equipment, low voltage desk lights. Information technology: eg desktop computers, VDU screens. Photocopiers, fax machines: NOT hand-held. Rarely moved. Double insulated equipment: NOT hand-held Moved occasionally eg fans, table lamps, slide projectors. Double insulated equipment: HAND-HELD eg some floor cleaners. Earthed equipment (Class 1): eg electric kettles, some floor cleaners. Cables (leads) and plugs connected to the above. Extension leads (mains voltage). Formal visual inspection No No Combined inspection and testing No No

Yes, 2-4 years Yes, 2 - 4 years Yes, 2- 4 years Yes, 6 months - 1 year Yes, 6 months - 1 year Yes 6 months – 4 years depending on the type of equipment it is connected to.

No if double insulated – otherwise up to 5 years No if double insulated – otherwise up to 5 years No

No Yes 1 – 2 years Yes, 1 - 5 years depending on the type of equipment it is connected to.

Footnote: Where a range is given, older equipment should be inspected / tested at the shorter intervals .

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JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that all Areas and the NPD have in place Joint Health & Safety Committees. The objective of this procedure is to ensure a coherent approach to such Committees across the NPS. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of Joint Health & Safety Committees. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas and NPD are required to have in place suitable & sufficient local arrangements to ensure that: • A Joint Health & Safety Committee (JHSC) is established. • The JHSC meets on a regular basis with a formal agenda and agreed minutes. • Membership includes: • A member of the Area Board (not applicable to NPD); • Appointed Trades Union Safety Representatives; • The Senior Manager with functional responsibility for Health & Safety; • A Senior Operations Manager; • The Area Health & Safety Advisor. • The JHSC works within agreed objectives and terms of reference. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas as follows: • Any Area that does not have a local Joint Health & Safety Committee (comprising the membership and constitution as set out above) in place at the date of issue of this Arrangement must ensure (through the Chair & Chief Officer) that such a Committee is established within one month of that date. • Areas which do have a local Joint Health & Safety Committee (comprising the membership and general constitution as set out above) should ensure consistency/compliance with the detailed aspects of this Arrangement within 12 months of the above issue date.

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JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX 1 OUTLINE GUIDANCE: JOINT HEALTH & SAFETY COMMITTEES General guidance This Annex provides guidance for compliance with the mandatory requirements for Joint Health & Safety Committees (JHSC’s) in Areas and the NPD (a statutory requirement (Ref 1)). The JHSC’s provide an essential role in assisting in the improvement of health and safety performance. They are not, however, a substitute for the overall management role. Area (and NPD) management remains the accountable body for health & safety performance. Committee structures In most circumstances a single committee will suffice. However in larger Areas it may be appropriate to support the main Area JHSC by means of subcommittees representing geographical areas or types of work. In such cases the membership should mirror that of the main Area JHSC (except that a Board member would not be necessary) to be reflective of the management and Trades Union structures in that ‘sub unit’. Sub-committees would report to the main Area JHSC. Membership The minimum standards of membership are set out in the ‘Specific Requirements’ section of this Arrangement. The following provides additional guidance on membership: • The number of ‘Management’ and ‘Trades Union’ members should be balanced. • The Area Board member (not applicable to NPD) should be drawn from the independent Board Members (ie those who are not direct employees of the NPS/Area). • The ‘Appointed Safety Representatives’ are appointed and trained by the Trades Unions (as defined in the relevant statutory provisions). Appropriate ‘facility time’ must be made available as necessary to the requirements of the role. • Senior management representatives should include senior operational managers (including, where applicable, ACO or higher) representing the operational aspects of the Area (eg Approved Premises, Community Punishment, General Probation activities etc) as well as the functional activities (eg Human Resources). • As well as the Area Health & Safety Advisor, the Occupational Health Advisor (if appointed) should also be a member. • Other persons may be co-opted as agreed by the Committee. The JHSC arrangements must include the appointment of a Chair (this could rotate between Management and Trades Union members if agreed by all parties). Appropriate secretariat support must be provided. A quorum should be established to ensure representation of the essential members (see ‘Specific Requirements’) and appropriate Management/Trades Union balance. Meetings should not be cancelled except by joint agreement of all parties.

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JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 Objectives and Terms of Reference The JHSC will normally be a part of the joint consultation machinery within an Area/NPD. It must work within agreed objectives and terms of reference. An appropriate objective could be: ‘To monitor and review the measures taken to ensure a continuing improvement in health and safety performance for our employees and others affected by our activities’ Terms of Reference should embrace the following objectives: • Promoting cooperation on all aspects of health & safety. • Agreement as to the adequacy of existing local health & safety arrangements (ie do they satisfy the requirements of the National Health & Safety Policy Manual?). • Being actively involved in the production of local health & safety management systems/manuals/policies etc. • Monitoring & reviewing general health & safety performance and in particular: accidents, incidents & Notifiable diseases; audit and inspection reports; health & safety training programmes; and any input from the Health & Safety Advisor, the Appointed Safety Representatives, or the Regulators with the objective of agreeing proposals for improvement. • Promoting suitable cooperation and coordination with contractors, partnerships (eg Prisons, YOTS etc) etc. • Make recommendations/report to: the Board Chair/the Board/the Chief Officer on improvement opportunities, areas of concern, issues for inclusion in the annual plans etc. The operation of the JHSC should focus on broad issues and general standards of performance not on day to day issues which should be dealt with locally. Where, on key points of principle relating to the National Health & Safety Policy Manual, agreement cannot be reached, the National Health & Safety Forum will act as the arbiter. Frequency of meetings Main Area JHSC should meet on a frequency of not less than quarterly. Minutes Minutes (which should be agreed) should as a minimum record all decisions, agreements (or otherwise) and actions. Detailed minutes are not necessary. Minutes must be communicated to all employees. References Ref No 1 Issue Joint H&S Committees Referenced Source The Safety Representatives & Safety Committees Regulations, 1977(as amended)

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LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that all requirements for Lone Working are properly assessed to minimise the risk of harm to the employee. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk of hazards to all employees (whether engaged in activities on NPS premises or elsewhere) who may be required to work alone (with or without Offenders). The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All requirements for lone working are subject to an appropriate risk assessment; • Where the risk to the individual employee is significant then lone working is not undertaken unless precautions are implemented to adequately control the risk; • Trainees (and similarly designated persons) do not undertake lone working with offenders; • Suitable and sufficient procedures are in place to protect any employee required to undertake lone working irrespective of the risk. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX: OUTLINE GUIDANCE RE LONE WORKING Definition of Lone Working ‘Lone Working’ in the context of this Arrangement means any employee (or Contractor’s employee) required to work alone (ie not with an appropriate colleague) in the following circumstances: • During visits to non employees (offenders, victims etc) at their homes or other non NPS premises; • Work with offenders, victims etc on NPS premises or Community Punishment projects; • Working alone in office etc buildings in any circumstances. Specific requirements for these categories are set out below. Risk Assessments • Whilst lone working is a necessary and important part of the work of the Probation Service, nonetheless it should not be undertaken unless it has been subject to a proper risk assessment. NPS/HS/3 (Risk Assessment) provides the benchmark for general task risk assessments. When working with offenders, this should be used in association with the general NPS requirements for offender assessments to determine the overall risk. • Where the risk associated with working with offenders etc is judged to be ‘significant’ (as defined in NPS/HS/3 (Risk Assessment)) then lone working must not be undertaken. • In extreme cases a Permit to Work (See NPS/HS/14) might be relevant to ensure that all the necessary precautions have been taken. • Where the risk assessment identifies the need for a second person to be in attendance or available, that person must be suitably trained and experienced to respond to the relevant emergency situations. This may require the individual to be an operational staff member particularly when working with particular offenders. Visits to Offenders etc not on NPS Property • Home (and other similar) visits to offenders should not be undertaken before the offender has been interviewed and assessed within an NPS or prison office. • As noted above, where the risk associated with working with offenders etc is judged to be ‘significant’ then lone working must not be undertaken. • Risk assessments must be reviewed if information is received which could materially change the basis of the original assessment. Lone visits must not be undertaken until the risk assessment has been reviewed and any necessary protective mechanisms put in place. • Wherever possible, home (and other similar) visits should be undertaken within normal office hours and during the hours of daylight. Where visits outside these times are necessary, this must be taken into account in the overall risk assessment. • Areas should liaise with the relevant local authorities (including Police) to identify any issues relating to specific risks associated with the location of the intended visit (especially where the location is remote or has a history Uncontrolled Copy

LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 of public order disturbances) and to identify possible places of safety. Local knowledge obtained by other NPS employees should also be taken into consideration. All home (and other similar) visits must be logged before the visit together with the anticipated time of completion. The employee undertaking the visits must inform an identified contact point between visits and when the visits have been completed or when planned arrangements are changed.

Lone Working on NPS Property or Community Punishment (CP) Projects • Lone working (with offenders) should be considered against the general risk criteria noted above. Where the risk is considered to be ‘significant’ (eg in some circumstances of evening, night or weekend work) then the work should not be undertaken by a lone employee. Completion of out of hours work should be reported to an appropriate contact point. Suitable alerting systems should be available (eg mobile phones or remotely operating emergency alerting systems). • Lone working in offices, not with offenders or victims etc, carries significantly less risk and whilst no special measures are required over and above the normal workplace/task risk assessment, it should be discouraged. Where it is necessary, it should be undertaken with the agreement of the relevant local management. Additional considerations • Areas should have in place contingency arrangements for handling any problems, failure to report etc. • Employees undertaking Lone Working should be properly trained and informed of the hazards likely to be encountered. Due account must be taken of local conditions, access availability, adverse weather conditions etc. • Employees must always be advised to withdraw from a potentially violent situation. • The experience of the employee to detect an emerging problem should be taken into account when planning Lone Working together with any preexisting medical conditions which could affect their ability to handle such a problem. • Victim liaison work should be subject to a risk assessment to determine whether lone working is appropriate. • There is a requirement to comply with local procedures for lone working when working on the premises of third parties (eg prisons and courts) except where the local Area system is more restrictive – when this should take precedence.

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MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 2 Statement of Policy & Objectives. It is NPS policy that the hazards arising from all manual handling activities are properly assessed for risk to ensure the minimisation of harm so far as is reasonably practicable. The objective of this procedure is to ensure a coherent approach to manual handling risk assessment across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk to: • All employees (whether engaged in activities on NPS premises or elsewhere); • Other persons whose health & safety may be affected by the activities of the NPS; - together with additional requirements applying to Contractors (etc) staff working on NPS premises. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Where reasonably practicable, manual handling (particularly of heavy or unwieldy loads) is avoided; • Where this is not possible, all requirements for manual handling are subject to an appropriate risk assessment; • The resultant risk is evaluated and the appropriate means of undertaking the activity is determined to minimise the risk; • The findings are properly recorded; • All Manual Handling Risk Assessments (for continuing activities) are periodically reviewed and revised as necessary. Arrangements for work undertaken by Contractors etc is covered by a further Arrangement (NPS/HS/10). Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 2 ANNEX 1 OUTLINE GUIDANCE: MANUAL HANDLING ACTIVITIES. General Guidance Manual handling activities include the lifting, carrying, pulling or pushing of any object. There are three basic steps to Manual Handling assessments: • Avoid manual handling activities which could pose a hazard (eg design out; find alternative methods of working; or use appropriate lifting equipment); • Assess any activities which cannot be avoided; • Reduce the risk so far as reasonably practicable; • Avoid repetitive manual handling tasks. Detailed guidance on undertaking manual handling risk assessments for a broad range of tasks is available from the HSE (Ref 1 & 2). Issues to be taken into account in assessing and minimising risk are: • Review the task: are long carrying distances involved, is there a better way of doing it – eg by using a trolley or splitting the load into smaller units; • Review the ‘load’: beware sharp edges, is the load unwieldy, does it contain hazardous materials, are there suitable carrying handles/grips; • Review the intended working environment: is space restricted; are there steps, stairways, uneven floors, slippery surfaces or other obstructions on the route (is there a better route?); • What is the capacity of the individual: are they reasonably capable of performing the task,(taking account of groups at particular risk eg new and expectant mothers, particular medical conditions, disabled people etc) have they been instructed or trained in lifting techniques; • Ensuring that information is available in the workplace eg posters regarding good lifting techniques etc. Recording the Assessment. Where a formal written assessment has been made (in accordance with regulatory requirements or for any other reason - usually for activities posing a significant risk of injury without additional precautions having been taken) this should be maintained in accordance with the NPS guidelines for normal workplace Risk Assessments (NPS/HS/3). Reviewing the Assessment. For continuing manual handling activities, the risk assessment should be reviewed in accordance with the NPS guidelines for normal workplace Risk Assessments (NPS/HS/3). Note that in this case a review will be required when the individual(s) involved in the activity change from those involved at the time of the original assessment (ie capabilities of individuals will differ). References Ref No Issue 1 Assessments 2 Assessments Referenced Source HSE: Manual Handling Regulations, Guidance on Regulations. HSE: ‘Manual Handling Assessment Charts’ (known as ‘MAC’).

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NIGHT WORKING Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/23 Date of Issue: 5th April 2004 Page 1 of 3

Statement of Policy & Objectives. It is NPS policy that the hazards arising from night working are properly assessed for risk to ensure the minimisation of harm so far as is reasonably practicable. The objective of this procedure is to ensure a coherent approach to Night Working across the NPS as a contribution to a culture of proactive protection. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas in respect of the assessment of risk to all employees who may be engaged on ‘night working’ (ie in Approved Premises). The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Shift working patterns and associated rest periods are consistent with the requirements of the Working Time Regulations (Ref 1); • Employees who are required to work at nights are suitably trained for managing violent or potentially violent situations; • Lone working should be avoided unless the risk is assessed as being acceptably low; • Effective means of summoning assistance must be available at all times. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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NIGHT WORKING Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/23 Date of Issue: 5th April 2004 Page 2 of 3

ANNEX 1 OUTLINE GUIDANCE: NIGHT WORKING Definition of Night Working General information regarding acceptable working hours etc are given in Reference 1. Specifically, night working is defined as any employment for at least 3 hours during the night time. Night time is defined as any 7 hour period including time worked between midnight and 5 am. Risk Assessment In assessing the overall risk to the night worker, account must be taken of: • The normal (ie non offender related) risks associated with the tasks involved (see NPS/HS/3); • The Offender risk assessments (taking due account of the particular circumstances of residents in Approved Premises); • The physical security measures within the Approved Premises (lighting, visibility in communal areas, availability of CCTV, personal assistance alarm availability etc). • The needs of any special employee groups (NB expectant mothers and the newly disabled should be offered alternative day work). The objective must be to minimise the risk to the employee and any contractor on the premises. Where the risk is judged to be significant additional protective measures to remedy the deficiency must be introduced. Figure 1 provides an outline of a model assessment framework for guidance. Other Issues. General guidance is given elsewhere in this Manual in respect of training (NPS/HS/26), lone working (NPS/HS/21), personal assistance alarms (NPS/HS/24), health screening (a requirement for night workers)(NPS/HS/7), and contingency planning (NPS/HS/15). References Ref No 1 Issue Working hours & rest periods etc Referenced Source The Working Time Regulations, 1998 (as amended)

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NIGHT WORKING Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/23 Date of Issue: 5th April 2004 Page 3 of 3

Figure 1: Model Night Work Risk Assessment Process Guide NB the general task assessment must already have been completed in accordance with NPS/HS/3 and the residual risk should be ‘moderate’ or better. The following relates to the Offenders and the facilities within the Approved Premise (or similar) MODEL NIGHT WORK RISK ASSESSMENT PROCESS GUIDE Assessing the Risk Issue Assessment of individual and groups of residents or offenders: are any judged to be of significant risk (particularly where there is a history of violence, firearms offences etc)? Are there any ‘natural ring leaders’ who might ferment problems? Are there any factors which might prompt collective violence (alcohol, drugs, serious discontent with the accommodation, catering, particular individuals)? Are any communal areas not covered by CCTV? Are any fire doors not fitted with an automatic closer system or not provided with visibility panels? Are there any locations where an ‘ambush’ could be mounted? Is the Personal Assistance Alarm system inoperable or not accessible at all locations? Is ‘lone working’ permitted (including shift patterns where sleep periods are permitted), are there other staffing issues? Any other local factors which could present a significant risk: if so note below. Note any additional factors: Response (yes/no)

If the answer to all the above questions is ‘NO’ then no further action is necessary. If any answer is ‘YES’ then further action should be taken to reduce the risk. Actions taken should be noted below: Actions taken to reduce the risk

Name, signature & date of assessment Name of Assessor Signature of Assessor Date of Assessment

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PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that Personal Assistance Alarms are available for use by employees involved in activities where there is a risk of assault & violence or other reason for summoning emergency assistance. The objective of this procedure is to ensure a coherent approach to such systems across the NPS. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and by the NPD (in respect of Estates issues) in respect of Personal Assistance Alarms. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas and NPD (in respect of Estates issues) are required to have in place suitable & sufficient local arrangements to ensure that: • Personal Assistance Alarms are available where there is a risk of assault and violence in the workplace; • Such systems are capable of alerting (directly or indirectly) the appropriate authorities; • Systems are regularly tested and appropriate records maintained; • Faults are promptly reported (see also NPS/HS/1 re specific reporting requirements); • Contingency plans are in place for reaction to an alarm and for situations where the alarms fail; • All relevant staff are suitably trained in the use of the alarms and the action to be taken when an alarm is activated. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX 1 OUTLINE GUIDANCE: PERSONAL ASSISTANCE ALARMS General Comments • Personal Assistance Alarms (PAA’s) include installed systems with fixed alarm points, installed systems with mobile alarm activators carried by employees, telephones (mobile or landline) with a single button/speed dial capability of dialling the emergency number, etc. Where mobile alarm activators are used with neck lanyards etc these must be of a quick release design. • PAA’s are the last form of defence. As such they form a key part of a ‘defence in depth’ approach to the avoidance of assault and violence. • The type of PAA and the location/positioning of fixed call points should be assessed against the level of risk to the employee. All systems should be capable of being easily activated, in an unobtrusive manner, by all employees (taking into consideration disability issues). • Employees should be encouraged to summon assistance as soon as they feel the situation is significantly deteriorating. • Alarms should be indicated in areas other than just reception areas (particularly in respect of reception area activated alarms). • Whilst NOMS Property may be responsible for installation & maintenance of PAA systems, nonetheless, Areas (as the ‘Local Employer’) are accountable for provision of a safe place of work. This must be taken into account in respect of the installation of systems and the actions to be taken in the event of a system failure. Situations requiring alarms The following are generalised situations where Personal Assistance Alarms should be installed as a matter of routine: • Approved Premises (which should have a capability of directly notifying an external centre and, where reasonably practicable, the ability to identify the particular location of the alarm point); • Interview & Group rooms in NPS premises or Court/Prison Offices; • Reception Desks; • Community Punishment workshops and projects (dependent on the level of risk established (see also NPS/HS/3: Risk Assessment); • Any other area where offenders and employees are likely to interact and where the risk is considered sufficiently significant to warrant such a system. In addition, consideration should be given to means of summoning assistance on Community Punishment projects and during home visits (eg mobile telephones with a single button number activation). Notification of Appropriate Authorities. • Where out of hours work is involved, or the risks of physical attack are significant, the PAA system should be capable of alerting the local police. • In other situations the alert could be restricted to within the building involved. Uncontrolled Copy

PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3

Testing. • PAA systems should be tested at least weekly (with particular emphasis on testing local alarm points at particularly vulnerable locations particularly in Approved Premises and interview rooms). • The local office/AP log should record the test and the outcome. • Faults must be reported immediately to the line management (and to NOMS Property where they are responsible for the installation). Contingency plans. • Areas should have in place contingency plans for actions to be taken in the event of an alarm being activated (particularly the responsibility for alerting the appropriate authorities where this is not automatically activated) and also to cover the event of a PAA failure. • NOMS Property should have in place procedures for responding to a failed PAA system to ensure the problem is rectified without delay. • Suitable records should be kept of the use of alarms.

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PERSONAL PROTECTIVE EQUIPMENT Doc Ref: NPS/HS/25 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy all Personal Protective Equipment (PPE) provided for use in the workplace is fit for purpose, used, maintained and stored correctly. The objective of this procedure is to ensure a coherent approach to such equipment across the NPS. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the provision and use of personal protective equipment by employees and offenders. Contractors are responsible for the provision and use of PPE by their own employees. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Where the use of PPE is identified within any risk assessment, suitable and sufficient equipment is provided within the workplace; • PPE is adequately stored; • PPE is properly maintained; • PPE is used as required by the risk assessment (failure of an individual (employee or offender) to comply with a requirement to wear the specified PPE is a disciplinary offence); • All people required to wear PPE are trained in its correct use and any limitations as to its use. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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PERSONAL PROTECTIVE EQUIPMENT Doc Ref: NPS/HS/25 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX 1 OUTLINE GUIDANCE: PERSONAL PROTECTIVE EQUIPMENT Provision of PPE PPE includes all clothing and other safety equipment worn to protect an individual from hazards in the workplace. It embraces overalls, aprons, head/foot/hand/eye/hearing protection, safety harnesses etc. It does not, in law, include protective equipment associated with vehicles (seat belts, crash helmets etc) but the same basic principles should apply where this is used during a work activity. Generally the need for PPE will be identified by the appropriate risk assessments (general, COSHH, Manual handling, Noise etc). The risk assessment should normally only identify the use of PPE when there are no other forms of protection available for reducing the risk. Nonetheless there are some circumstances where a ‘blanket’ use of certain equipment is necessary such as: • Workshop and allied activities: where the use of safety shoes may be appropriate; • Construction (and similar) sites: specific legal requirements apply including the mandatory use of hard hats. Storage of PPE • PPE must be stored in a manner to ensure it is fit for use (eg dry, clean etc conditions). • The storage should allow appropriate access for use by the intended wearers. Maintenance of PPE • PPE must be maintained in accordance with the manufacturers/suppliers instructions. • Items of PPE should be adequately cleaned after use. Where an item might be used by more than one person, the cleaning must take into account hygiene factors (eg the use of appropriate cleaning wipes, disinfectant sprays etc). Use of PPE • PPE must fit properly and take account of any needs specific to the individual user. • PPE should be visually inspected by the user before use and any obvious defects reported. Defective equipment must be withdrawn from use immediately. • Where differing types of PPE are identified by different risk assessments for the same job, care must be exercised to ensure that the overall protection of the individual is not compromised. Examples include ‘hot working’ (outer garments may need to be fire proof) and working in confined environments (vision may need to be assured). • Interfering with PPE or refusing to wear it is a disciplinary offence in any situation.

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PERSONAL PROTECTIVE EQUIPMENT Doc Ref: NPS/HS/25 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 Training All users of PPE must be trained in the correct use of the equipment including: • Dressing and checking (some equipment such as respiratory protective equipment needs to be properly donned and checked to ensure it works as required); • Undressing (eg the correct procedure for respiratory protective equipment and potentially contaminated clothing/gloves etc). • The conditions in which the equipment may be used (noting any relevant limitations of individual items of equipment). Other Issues. Contractors’ employees should be provided with the relevant PPE by their own employer. Nonetheless Area arrangements should include the need to liaise and cooperate with Contractors to ensure that where PPE to protect against hazards created by each others’ activities is required that this is identified and supplied as necessary.

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TRAINING & INSTRUCTION Doc Ref: NPS/HS/26 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that all employees and other relevant people receive suitable and sufficient training and instruction to enable them to perform their duties and tasks in a safe manner. The objective of this procedure is to ensure a coherent approach to training and instruction across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of training and instruction. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Local rules & instructions are in place (and available to those concerned) for all activities which might pose a hazard to the health & safety of employees others who might be affected. • All new employees (and offenders) receive initial outline induction instruction on their first day of employment/attendance at NPS premises. • All new employees (and offenders as appropriate) receive further detailed induction training as soon as practicable after their first day (and certainly within one month). • All employees and offenders receive task specific training associated with any task for which such training has been identified in the associated Risk Assessments. • All levels of supervisors and managers receive additional role specific training relevant to the needs of the management position. • Refresher training in all the above elements is periodically undertaken. • Suitable records of all training are maintained. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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TRAINING & INSTRUCTION Doc Ref: NPS/HS/26 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX 1 OUTLINE GUIDANCE: TRAINING & INSTRUCTION General issues • The training requirements apply to all employees (irrespective of grade) and, as appropriate, offenders. Contractors are responsible for ensuring their employees are properly trained – but Areas must liaise with the Contractors to ensure any local hazards (eg violence and assault) are properly covered (either by the Contractor, NOMS Property or the Area). • Health and Safety training needs analysis should be undertaken by management to determine specific needs. • Training may be undertaken in-house, using external trainers (who must comply with the terms of the Area Health & Safety Policy Manual) or external training courses (particularly where these are accredited by, for example, the Institute of Occupational Safety & Health (IOSH)). Local rules and instructions • Local rules and instructions must be simple, succinct and comprehensive. • Wherever possible these should be written by or in association with the people actually undertaking the work activity. Initial outline induction instruction • As a minimum this should cover fire & emergency warnings, exits and procedures. Detailed induction training • As a minimum this should include all general issues which might affect the individual including: local rules and instructions, who to contact for safety advice, the role of Safety Representatives, basic training re coping with violent behaviour, arrangements for First aid, the importance of reporting accident & incidents, defective equipment etc. Task specific training • Training and instruction specific to given tasks (eg dealing with violence and aggression, use of DSE, use of portable tools, manual handling etc). This must be delivered prior to commencement of the work activity. Role specific training • Training and instruction specific to a given role (eg undertaking risk assessments (including DSE), workplace inspections, accident & incident reporting and investigation etc). This should be delivered as soon as practicable after the taking up of a post requiring these skills and knowledge. Refresher training • Practices, regulations and best practice develop with time. Refresher training of all staff is thus essential whenever there are significant changes to procedures etc. Uncontrolled Copy

TRAINING & INSTRUCTION Doc Ref: NPS/HS/26 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 • Irrespective of such changes all staff should undergo appropriate refresher training typically on a 3 yearly cycle to ensure they are fully conversant with the current requirements.

Records Areas should maintain records of the training undertaken by individual employees. Case records should include the training undertaken by offenders.

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USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 3 Statement of Policy & Objectives. It is NPS policy that the hazards arising from the use of equipment in the workplace are minimised so far as is reasonably practicable. The objective of this procedure is to ensure a coherent approach to the use of such equipment across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the use of equipment in the workplace. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Reference to ‘equipment’ means in all cases such equipment etc used either on NPS premises or in association with NPS activities not on NPS premises. Areas are required to have in place suitable & sufficient local arrangements to ensure that all workplace equipment is: • Used in accordance with the manufacture’s/supplier’s instructions (including the environment in which it is or is not to be used); • Used only by persons who have been appropriately trained or instructed; • Accompanied by the appropriate safety marks, warning signs etc; • Visually checked(by the operator) for any defect before its use; • Properly maintained in accordance with the manufacturer’s/supplier’s guidance. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 3 ANNEX 1 OUTLINE GUIDANCE: USE OF EQUIPMENT General considerations • Detailed guidance is available from the HSE (Ref 1). • ‘Equipment’ includes machines, portable power tools, hand tools, lifting equipment, ladders, scaffolding, office equipment etc. • The key element contributing to safety is to follow the manufacturer’s/supplier’s instructions for the use and maintenance of the equipment. Care should be taken of any other local factors as might have been identified in a risk assessment. • The equipment must be suitable for the job (see also NPS/HS/19 re the use of lower voltage electrical equipment). • General housekeeping around fixed equipment should such as to promote general cleanliness and tidiness. • Training must be appropriate to the hazard potential and the skill/experience of the operator. • Care should be taken to prevent damage of equipment as a consequence of exposure to the elements. • Special care should be taken with petrol and proximity of other hazardous materials (eg a risk of fire, explosion). Inspection and maintenance • All equipment is to be visually checked, by the operator, for obvious defects before use. Defects (damaged wiring, casings, missing or faulty guards and interlocks etc) must be reported at once to the relevant manager/supervisor and the equipment labelled and immediately removed from service. • Repairs must only be undertaken by competent persons. • Special equipment is required for cleaning certain materials eg “H filter” vacuum cleaners for toners and heavy duty vacuum cleaners for wood dust or wet materials. • Pre-planned maintenance should follow manufacturers’ recommendations. • Records should be kept of formal inspections and pre-planned maintenance. Special issues relating to ‘mobile equipment’ • In this context, mobile equipment includes any item which is designed to carry or convey goods or people (mobile platforms, ‘cherry pickers’, trolleys, self propelled equipment etc). • Mobile equipment designed for carrying people must be fitted with suitable devices to prevent the operator falling from the device (eg harnesses etc). • Riding on such equipment in an unauthorised manner is a disciplinary offence. • Note special legal requirements relate to the use of Fork Lift Trucks.

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USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 3 References Ref No Issue 1 General Guidance

Referenced Source HSE: ‘Safe use of Work Equipment’

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VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 4 Statement of Policy & Objectives. It is NPS policy that all work related violence and intimidation is unacceptable. In the event of serious violence or intimidation, prosecution will be sought through the Crown Prosecution Service. The objective of this procedure is to ensure a coherent approach to the health & safety issues associated with such violence across the NPS as a contribution to a culture of proactive protection. Scope of the Application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of work related violence. In this context this means violence and assault perpetrated by an offender or member of the public upon an NPS or Contractor’s employee. Assessment of risk relating to an offender’s likely behaviour is covered elsewhere within the NPS procedures. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All employees (including Contractors’ employees and Agency staff) who come into any contact with offenders are suitably informed/trained in handling potentially or actual violent situations relevant to the degree of contact; • Where reasonably practicable, work planning avoids the need for lone working with offenders judged to be of significant risk; • Facilities for interviewing offenders are arranged to ensure the safety of the employee; • Reception areas are designed to reduce the likelihood of violent assault. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 4 ANNEX 1 OUTLINE GUIDANCE: WORK RELATED VIOLENCE General Issues • ‘Violence and intimidation’ means a physical, verbal or attitudinal (ie non physical, non verbal) assault by a non-employee on an employee or other person; or a hostage situation which may or may not result in actual physical harm to any person. • General guidance is given elsewhere in this Manual in respect of training (NPS/HS/26), lone working (NPS/HS/21) and personal assistance alarms (NPS/HS/24). Where appropriate, additional guidance is given below. • Areas should publicise the unacceptability of violence and intimidation and the intent to seek prosecution of offenders. • Staff involved in attacks of violence or intimidation should be properly debriefed to ascertain the facts and identify opportunities for improvement. Where the level of violence/intimidation is such that a formal inquiry or investigation is required (see NPS/HS/2) the debriefing will form an input into that inquiry process. • Special consideration should be given in respect of evening group working to ensure that the potential risks to all staff involved (receptionists, group leaders, contractor’s employees on the premises etc) are taken into account. • Care should be exercised to avoid the unnecessary identification of staff and their home addresses/telephone numbers etc. Name badges should be limited to first names (commonly used in other organisations) and staff may wish to ensure that their names/addresses/telephone numbers are not included in publicly available registers and directories. • Additional information is available from the Suzy Lamplugh Trust (Ref 1) the London Chamber of Commerce & Industry (Ref 2). Training (and counselling) • All employees working directly or indirectly (ie receptionists) with violent offenders must receive information on techniques aimed at handling abuse and identifying early signs of likely violence, the means of seeking to neutralise a deteriorating situation, and the appropriate escape routes where these may be necessary. • Instruction in breakaway techniques may be appropriate in some circumstances. Generally the rule should be to withdraw from physical conflict – prevention of personal injury is more important than prevention of damage to property. • Training should emphasise: The importance of activation of personal assistance alarms before escalation (and the contingency arrangements in the event of an alarm sounding); and The requirement to report incidents of violence. These are not an indication of personal failure. • Appropriate professional counselling must be offered to any employee who has been subjected to an assault (verbal or physical).

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VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 3 of 4 Work planning • Particular care need to be exercised to avoid offenders or groups of offenders coming into inappropriate contact with each other or other persons. • Working in pairs reduces the risk (particularly applicable to high risk offenders/groups of offenders). • When making home visits, plan the route, car parking and access to the home with care. Home visits should be in normal office hours and in daylight. • Specific risk assessments are required when handling money or other valuables in premises or where these need to be transported regularly (which should be avoided – if it is necessary, vary the route & timing and use pairs). Interview facilities Consideration should be given to the following: • Convex mirrors, CCTV and vision panels in doors; • Personal assistance alarms unobtrusively in reach (essential in nearly all cases); • There should be restricted access between interview rooms and general office areas. In the event of assistance being summoned this should be immediately available. • Furniture arrangements (employees nearest the door) and no inadvertent materials which could become potential missiles. Reception areas It is generally accepted that reception areas should be welcoming (to minimise anxiety and reduce the possibility of violent behaviour). Nonetheless they should be designed to ensure that adequate protection is afforded to the reception worker. This will vary from location to location but due account should be taken of: • Physical barriers (ranging from simple systems designed to prevent direct access to full toughened glass screens); • Switchable microphone systems (which allow a degree of isolation from verbal abuse). General building environment The following factors should be taken into consideration: • Access control; • Restricted access to general office areas in Office buildings; • Intruder alarms; • Corridor mirrors, CCTV etc. • External lighting (especially in car parks, by staff entrances etc).

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VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 4 of 4 References Ref No Issue 1 General Information & Guidance 2 General Information & Guidance

Referenced Source The Suzy Lamplugh Trust: Tel. 020 8876 0305; www.suzylamplugh.org ‘Tackling Violence and Abuse at Work, an Employer’s Guide’: by Pamela Carr, available from the Occupational Help Line at the London Chamber of Commerce and Industry. Tel 020 7203 1871; health@londonchamber.co.uk

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OUTDOOR WORKING Doc Ref: NPS/HS/29 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 2 Statement of Policy & Objectives. It is NPS policy that the hazards arising from working outdoors (including on or near water) are minimisation so far as is reasonably practicable. The objective of this procedure is to ensure a coherent approach to working outdoors across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas in respect of working outdoors. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • Appropriate outdoor clothing is available; • Suitable safety devices are immediately available in the event of an emergency (especially with work on or near water); • Suitable protective clothing is available in respect of biological hazards; • Suitable welfare arrangements are available (including refreshments, toilets and washing). All these aspects should be addressed at the Project Assessment stage. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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OUTDOOR WORKING Doc Ref: NPS/HS/29 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 2 of 2 ANNEX 1 OUTLINE GUIDANCE: WORKING OUTDOORS General Guidance The general Risk Assessment associated with the intended work will identify any particular training requirements (eg associated with working on or near water, on farms etc). The following points should also be considered in undertaking the risk assessment and also as a matter of general welfare. Outdoor clothing Account should be taken of any need for: • Suitable clothing to protect against the elements (eg warm/waterproof clothing, protection against sunburn etc); • Special footwear (Wellington boots, boots with adequate grip soles when working in muddy areas etc); • High-visibility jackets if working near roads; • Change of clothing. Safety devices etc • When working on or near water (of appropriate depth) lifebuoys and lines should be immediately available. Rescue craft should be considered when working in deep open water. • Fire extinguishers might be appropriate in certain circumstances where there is a risk of fire. • First aid materials should be readily available. • Access to (and by) the emergency services. Protective clothing • Work on or near water (rivers, streams, ponds, lakes etc), with livestock and in certain other locations carries a special risk of contact with biological hazards (eg weils disease, tics etc). In such circumstances appropriate protective clothing must be worn (particularly gloves, ensuring normal clothing prevents exposure of skin to parasites etc etc). • Work on farmland may carry particular risk of exposure to biological and chemical hazards (herbicides, pesticides etc) and appropriate clothing may be required. • Working with some vegetation carries a risk of abrasions from thorns etc – appropriate clothing should be worn to guard against this. • Work on construction sites requires specific use of protective clothing (eg hard hats) as a matter of law. • As a general rule, when in doubt, wear gloves. Toilets, washing and general hygiene. • Suitable arrangements should be made for access to toilet facilities and clean water & soap for washing hands. • Cuts should be covered by waterproof dressings. Allergies • Special care should be taken in respect of any individuals with particular allergies (eg wasp stings). Uncontrolled Copy

Competent Persons Doc Ref: NPS/HS/30 Issue Number: 1 Date of Issue: 5th April 2004 Issued by: Kathryn Ball Page 1 of 1 Statement of Policy & Objectives. It is NPS policy that all Areas shall have access to health & safety advice from a ‘competent person’. The objective of this procedure is to ensure a coherent approach to the provision of such advice across the NPS. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the appointment of health & safety competent persons. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). The Specific Requirements. The following are statements of best practice to be applied across the NPS. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • They have access to health and safety advice from a competent person (the ‘Area Health and Safety Advisor’); • Appointees as competent health & safety advisors are either employees (though their roles may be wider than just health and safety) or provided by an adjacent Area or external supplier (noting the importance of recognising the special health & safety issues associated with probation work). In all cases they must be able to provide advice as and when it is required. • There is, on average, at least one competent person per ~500 employees (eg 1 competent person for ~500 employees, 2 for ~1000 employees etc with a local judgement made for the need for any additional resources required between these numbers, taking into account additional local factors such as the geographical spread of facilities etc). • The Health & Safety Advisors have direct access to the Chief Officer & Chair on matters of health & safety importance. • Competent persons must be suitably qualified and experienced as follows: 1. Qualified to: NVQ Level 4; or NEBOSH Diploma (part 2); or equivalent (see also the ‘transitional arrangements’ below). 2. Have at least three years experience as a health and safety professional. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date. Transitional arrangements: Where employees are currently undertaking an accredited course (for the relevant qualifications defined above) at the date of issue of this Arrangement, the qualifications are to be achieved within 2 years of that date (except in exceptional circumstances as ratified by the local Area Board). Uncontrolled Copy

Facilities, Time and Assistance for Trade Union Doc Ref: NPS/HS/31 Health & Safety Representatives Issue number: 1 Date of Issue1st December 04 Page 1 of 3 Issued by Bill Wood Statement of Policy and Objectives It is NPS policy that effective and meaningful consultation takes place between the employer and employees. The objective of this procedure is to ensure the continuous improvement of health and safety performance by promoting a joint partnership approach with employees’ representatives, in order to develop a positive health and safety culture and continue to work towards maintaining a safe and healthy working environment throughout the organisation. Scope of the application The requirements set out in this procedure present the best practice to be applied in all NPS Areas in respect of the provision of facilities, paid time and assistance for Trade Union Safety Representatives to enable them to undertake their functions. The mandatory elements of best practice which must be implemented are stated below (Specific Requirements). Outline guidance on the implementation of these are given in the Annex. The Specific Requirements The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable and sufficient local arrangements to ensure that: • Safety Representatives appointed by a recognised Trade Union are provided with facilities, paid time and assistance which are necessary for the purpose of carrying out their functions to; o Represent employees in consultation on the health and safety implications relating to new and existing practices, the working environment and any proposed changes; o Investigate potential hazards and dangerous occurrences; o Examine the causes of accidents; o Investigate complaints by any employee relating to health, safety or welfare at work; o Consult with staff; o Carry out inspections; o Receive relevant information; o Attend meetings of Safety Committees; o Attend training courses; o Have access to appropriate facilities to carry out the role; Implementation Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date. Uncontrolled Copy

Facilities, Time and Assistance for Trade Union Doc Ref: NPS/HS/31 Health & Safety Representatives Issue number: 1 Date of Issue1st December 04 Page 2 of 3 Issued by Bill Wood

ANNEX: OUTLINE GUIDANCE REGARDING FACILITIES, TIME AND ASSISTANCE FOR TRADE UNION HEALTH & SAFETY REPRESENTATIVES General Guidance
This Annex provides general guidance for compliance with the Specific Requirements of this arrangement, specific details and guidance on the legal requirement is contained in Reference 1. Facilities • Trade Union Safety Representatives must be allowed reasonable access to the following; o Office equipment (computer, telephone, etc.) o Suitable and secure storage facilities for health and safety documentation o Interview facilities (which may need to be private) Paid Time • The Regulations provide for Trade Union Safety Representatives to have time off with pay for training. There is also a requirement to provide; “Time off with pay during working hours as shall be necessary for the purpose of performing their functions” The time will be used mainly in the fulfilment of the following functions; o Inspection of Probation workplaces; o Consultation with staff, individually and through union meetings. o Attendance at Safety Committee meetings; o Attendance at and preparation for Trade Union Health and Safety meetings; o Investigation of accidents/incidents and complaints. Assistance The time taken by Trade Union safety representatives to undertake their functions should, where possible, be factored into their workload. As a guide, to quantify the time that may be necessary to undertake the functions and to assist workforce planning arrangements, the following may be considered; o Office inspections, travel and report writing. inspection o Working party or sub committee, Inc travel. meeting o Trade Union Safety Representatives’ meeting meeting o Trade Union Branch meeting meeting Uncontrolled Copy 1½ days per 1 day per ½ day per ½ day per

Facilities, Time and Assistance for Trade Union Doc Ref: NPS/HS/31 Health & Safety Representatives Issue number: 1 Date of Issue1st December 04 Page 3 of 3 Issued by Bill Wood o Training (TUC Safety Representatives) 10 days o Training (TU Health and Safety update) 2 days per annum o Response to complaint, Accident/Incident Inspection Unpredictable Note; certain situations may arise which are unpredicted and actions needed to be taken as and when. Safety Representatives should wherever possible give advanced notification to the employer of their planned functions.

References Ref No 1 2 Issue Regulatory requirements General Guidance Referenced Source Safety Representatives and Safety Committees Third edition 1996 HMSO ISBN 0-7176-1220-1 NPS Health and Safety Policy Manual April 2004

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HOME WORKING

Issue Number: l Issued by: Bill Wood

Doc Ref: NPS/HS/32 Date of Issue: 1 December 2004 Page 1 of 3
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Statement of Policy & Objectives. It is NPS policy that in the event of employees being contractually required or authorised by local agreement, to undertake ‘Home Working’, this is done with due regard for the health and safety of the employee and any other person potentially affected by the work. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of all employees who are contractually required or authorised by local agreement to work at their own home as a regular part of their work activities (i.e. ‘Home Working’). It does not apply to employees who choose to undertake additional work at home outside their normal office hours. The mandatory elements of best practice which must be implemented are stated below (Specific Requirements). Outline guidance on the implementation of these is given in the Annex. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annex. Areas are required to have in place suitable & sufficient local arrangements to ensure that, before Home Working is undertaken: • The employee’s home has suitable accommodation for the work to be undertaken with due regard to general health and safety considerations for themselves and others. • All hazards to health and safety of anyone who may be affected by the activities are properly identified. • The resultant risks are evaluated, the adequacies of existing levels of protection are assessed and additional control measures introduced as necessary. Specific assessment may be needed for new and expectant mothers, disabled people and people with health issues. • The findings are properly recorded. • The Risk Assessment is periodically reviewed and revised as necessary in accordance with NPS/HS/03. • Suitable arrangements to ensure security of information both in storage and in transit. • Appropriate materials and equipment are supplied and installed for the work to be undertaken. • Specific advice is available from the Area Health & Safety Advisor. Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date. Uncontrolled Copy

HOME WORKING

Issue Number: l Issued by: Bill Wood

Doc Ref: NPS/HS/32 Date of Issue: 1 December 2004 Page 2 of 3
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ANNEX: OUTLINE GUIDANCE RE HOME WORKING Introduction The Health & Safety at Work etc Act 1974 (HSWA) places duties on employers, self employed people and employees. Under HSWA, employers have a duty to protect the health, safety and welfare of their employees, including Home Workers. Most of the Regulations made under HSWA apply to Home Workers as well as to employees at the workplace. The Management of Health and Safety at Work Regulations 1999 require risk assessments of work activities to be undertaken, this also applies to Home Workers. Employers have a duty to ensure that the possibility of harm to the employee or to anyone else that may be affected by their work activity is eliminated or minimised so far as is reasonably practicable. The following general guidance should be applied within the NPS. General Issues • Home Working impacts on other members of the household. Home working should thus not be undertaken without considering the impact on those household members. • Face to face work with offenders must not be undertaken within an employee’s private home. • Employees should conduct their work with due regard to their own health and safety and that of others potentially affected by their work as if they were working within NPS premises. Assessment of Risk The NPS Health and Safety Policy document (Ref: NPS/HS/3) provides guidance on the requirements and method for Risk Assessment. However there may be other hazards either within the home or arising from the activities of Home Working which may not be immediately recognised. The following list contains references to some of those potential hazards and risks. (It is not exhaustive or restrictive): Accommodation and Environment • Lighting, heating, ventilation: Are these adequate and sufficient? • Noise: is this excessive? (Ref: Workplace Health, Safety and Welfare Regs 1992) Use of Substances and Materials in the home • Any materials or substances provided by the employer must be COSHH assessed and appropriately stored. It will be necessary to consider appropriate control measures in relation to handling and spillage. (Ref NPS/HS/10 COSHH Risk Assessment) Provision and use of equipment • Equipment provided must be appropriate, regularly checked and tested. (Ref Provision and Use of Work Equipment Regs.1992) Uncontrolled Copy

HOME WORKING

Issue Number: l Issued by: Bill Wood

Doc Ref: NPS/HS/32 Date of Issue: 1 December 2004 Page 3 of 3
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All electrical equipment used for work activities must be regularly checked, tested and maintained. (Ref NPS/HS/19 Electricity at Work) and (HSE: Portable Electrical Equipment INDG 236) Where Home Working involves the manual handling of equipment or materials a manual handling risk assessment should be undertaken. (Ref NPS/HS/22 Manual Handling Risk Assessment) Home workers who use a display screen as part of their work will require a DSE workstation assessment in accordance with NPS National policy. (Ref NPS/HS/18 Display Screen Equipment)

Further legislative requirements • Areas (and NPD) are required to have in place suitable and sufficient arrangements to ensure that: The Home Worker is provided with suitable health and safety training and instruction in relation to working at home. Adequate provision of first aid material is made available for the Home Worker. All accidents and incidents which occur whilst working at home are properly reported and recorded. The requirements of the Working Time Regulations are adhered to.

References Ref No 1 Issue HSE Guidance Referenced Source HSE: INDG 226. Home Working Guidance for Employers on Health and Safety

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NEW AND EXPECTANT MOTHERS

Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/33 Date of Issue. 1st April 2005 Page 1 of 8

Statement of Policy & Objectives. It is NPS policy that work involving new and expectant mothers is subject to an appropriate individual risk assessment. The objective of this procedure is to ensure a coherent approach to such work across the NPS as a contribution to a culture of proactive protection. (Annex 1 provides the definition of ‘new & expectant mothers’.) Scope of the application. The requirements set out in this procedure present the best practice to be applied in all NPS Areas and the NPD in respect of the assessment of risk for new and expectant mothers who are employees of the NPS whether engaged in activities on NPS premises or elsewhere. It does not apply specifically to either: • Contractors’ etc employees employed on NPS premises although there is a legal requirement for the Area concerned to liaise with the Contractor when such an employee notifies their employer that they are a new or expectant mother; • Persons for whom the Area has supervisory responsibilities (ie offenders & other service users) although when such a person notifies their Supervising Officer that they are a new or expectant mother this must be taken into account as part of the case management process. The mandatory elements of best practice which must be implemented are stated below (‘Specific Requirements’). Outline guidance on the implementation of these is given in the Annexes. The Specific Requirements. The following are statements of best practice to be applied across the NPS. Outline guidance on best practice for implementation is set out in the attached Annexes. Areas are required to have in place suitable & sufficient local arrangements to ensure that: • All employees are aware of the need to notify the employer (in writing and, where applicable, supported by a medical certificate) without delay when they become a new or expectant mother. • A review of the specific work, processes and working environment is undertaken by the relevant line manager by means of a further risk assessment as soon as practicable on being informed of the situation (See Annex 2). • The employee is personally involved in the Risk Assessment process. • The resultant additional risks are evaluated and additional levels of protection implemented as necessary. • The findings are properly recorded. • The line manager and employee regularly review that assessment during the period of the pregnancy/breast feeding etc. (See Annex 2). Implementation. Consistency with the guidance aspects and compliance with the mandatory aspects of this Arrangement must be demonstrated by all Areas: • Within 12 months of the above issue date where the local Joint Health & Safety Committee has formally agreed that the current local arrangements are of a high quality; and in all other cases: • Within 6 months of the above issue date.

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Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/33 Date of Issue. 1st April 2005 Page 2 of 8

Annex 1: General Introduction & Definition of Terms Definition of Terms For the purpose of this arrangement, the HSE’s definition has been used. Accordingly a ‘New or Expectant Mother’ is defined as someone who is currently either: • Pregnant; or • Breast feeding; or • Has given birth within the previous six months. HSE define ‘given birth’ as ‘delivering a living child or, after 24 weeks of pregnancy, a stillborn child’. Note also that ‘breast feeding’ may relate to the breast feeding of a child of another mother. HSE have also stated that: ‘Pregnancy is not an illness. It is part of everyday life and its health and safety implications can be adequately addressed by normal health and safety management procedures’ This is recognised by the NPS and this Arrangement reflects this approach. Duties of Employees When an employee becomes pregnant, is breast feeding or has given birth within the past 6 months they must inform their line manager without delay. In practice this means that they should provide their employer with a written note together with, if applicable, a certificate from their medical adviser (eg GP, Midwife or possibly the local Occupational Health Adviser). The medical certificate will identify any particular individual issues to be taken account of by the Area. Medical certificates are specifically required where the employee is a night worker or where the medical advisor has identified to the employee that certain work activities should not be undertaken. The employee must be involved in the consequential ‘New & Expectant Mothers Risk Assessment’ (see Annex 2) to ensure that their individual circumstances are properly taken into account. Duties of the Employer There is a statutory obligation to undertake a detailed risk assessment (see Annex 2) when an employee has informed her management that she is a new or expectant mother. HR departments should liaise with line managers to ensure that this is undertaken as advised in this Arrangement. Irrespective of the level of risk identified, the Area will ensure that, when an employee has informed their line management that they are a new or expectant mother, the relevant facilities are made available as follows: • Appropriate rest facilities. In particular, this should include the facility for an expectant mother to sit or lie down comfortably, in privacy and without disturbance – a first aid room may provide the appropriate facilities. • Additional rest periods should be agreed. • A source of drinking water must be readily available. Uncontrolled Copy

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HSE recommend it is good practice to provide a private, healthy and safe environment for nursing mothers to express and store milk (this is not a legal requirement however, toilets must not be used for this purpose). They can form a part of the rest facility noted above. Consideration must be given to the general work environment to take account of accessibility, comfort etc particularly during pregnancy (eg work stations, chair types etc to ensure the welfare of the expectant mother).

These matters are covered as a checklist in the Model NEM Workplace Review & Risk Assessment Format set out in Annex 2 (Figure 2.1) Related Issues This Arrangement refers specifically to employees who are themselves ‘new or expectant mothers’. In certain related circumstances the Arrangement should be used to provide guidance on good practice to be adopted. In particular this might be of value in respect of a newly adopted mother where the child is less than 6 months old.

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NEW AND EXPECTANT MOTHERS

Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/33 Date of Issue. 1st April 2005 Page 4 of 8

Annex 2: New & Expectant Mother Risk Assessments Introduction Irrespective of the pre-existing risk assessments for the work location/activities with which the employee is involved a specific ‘New & Expectant Mother Risk Assessment’ (called an ‘NEM Risk Assessment’ for the purpose of this Arrangement) must be undertaken as soon as practicable after notification by the employee. This must be specific to the individual employee. This Annex provides guidance on how these assessments should be undertaken. The Objective of an NEM Risk Assessment The primary objective is to determine if there are any additional matters of relevance that may be required as a consequence of the employee’s current situation. Preexisting risk assessments will have taken into consideration the general question of new & expectant mothers but not necessarily the particular circumstances of a particular individual. The objective is, thus, to determine what additional precautions may be necessary. In all cases the objective is to protect the health & safety of the employee and the child. Where the employee has provided a medical certificate full account must be taken of any restrictions identified on that certificate. Who should undertake the NEM Risk Assessment? The following people should be involved (or be invited to be involved) in the assessment (noting that, with the exception of the employee herself, this must be subject to the agreement of the employee): • The assessment must be led by the appropriate line manager (noting that the employee may wish this to be a female manager). • The employee must be involved in the assessment to ensure that their individual circumstances are properly taken into account. • The appropriate Appointed Trades Union Safety Representative should be consulted and invited to be involved (with the agreement of the employee. • The OH Adviser, the H&S Adviser and HR Manager should be informed and, as necessary, involved (with the agreement of the employee). Evaluating the Initial Risk Figure 2.1 sets out a model NEM Workplace Review & Risk Assessment format indicating the matters to be considered and assessed. In undertaking the specific NEM Risk Assessment the following information should be taken into account: • Pre-existing risk assessments (ie: General, Manual Handling, COSHH, Biological Hazards, DSE assessments) which will provide general background to the process. • Any information provided by the employee’s personal Medical Advisers or the Area Occupational Health Advisor. • Close attention must be paid to the risks inherent to the particular working environment to the individual employee and her unborn child. In assessing the risk, consideration should be taken of: 1) The nature of the possible harm (three levels are given in respect of new & expectant mothers). • Slightly harmful to mother/child (ie no significant or lasting harm) Uncontrolled Copy

NEW AND EXPECTANT MOTHERS

Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/33 Date of Issue. 1st April 2005 Page 5 of 8

Moderately harmful to mother/child (ie there is a risk of harm sufficient to warrant medical intervention) • Very harmful to mother/child (ie there is a potential for serious or fatal harm to the mother or child – eg as a result of violence or significant stress). In all cases, the view of an OH Advisor may be required to properly assess the potential harm in a particular instance. 2) The likelihood that the harm might be incurred. General guidance on this aspect is set out in NPS/HS/3 but is repeated in summary below for information (with examples specifically linked to new & expectant mothers). Three levels are given in respect of new & expectant mothers. • Low Probability: the probability of the hazard being experienced is so low that it can be ignored (eg where there is a physical barrier between a receptionist and an offender). • Intermediate probability: where the hazard is reasonably foreseeable (the need to carry items of equipment, stationary etc). • High probability: where the risk is quite self evident (eg working with violent offenders or with certain substances). Using the matrix in the model format (See Figure 2.1) will permit the determination of the overall risk. Further guidance on this aspect is given in NPS/HS/3 but is reproduced in summary below: • Minimal Risk: no additional control measures are needed. • Moderate Risk: action is required to reduce the risk to a level that is ‘as low as reasonably practicable’. • Significant Risk: new work must not be commenced and work already in progress must be stopped until protective systems have been put in place. • Intolerable Risk: new work must not commence and existing work must be stopped immediately until further permanent protective systems have been put in place to reduce the level of risk to at least the moderate level Note that in the case of NEM Risk Assessments the additional protective measures will only be required during the time that the employee is a new or expectant mother (though it may be cost effective to introduce permanent solutions where more than one employee may be involved over a period of time). There is, thus, no distinction made in this respect between ‘significant’ and ‘intolerable’. Remedial actions and Implementing Requirements Following the evaluation of the initial additional risks (if any) an assessment of remedial actions should be completed (as per the model format). In the particular case of NEM Risk Assessments these will need to consider: • Modifying the task requirements; • Modifying the working environment; • Modifying the work patterns; • Providing alternative work; • In extreme cases suspending the employee on paid leave for as long as necessary – this must be considered as a ‘last resort’ option where no alternative work can be provided. The level of actions required will depend on the level of risk identified. Uncontrolled Copy

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Issue Number: 1 Issued by: Kathryn Ball

Doc Ref: NPS/HS/33 Date of Issue. 1st April 2005 Page 6 of 8

The actions taken will have reduced the level of risk to either ‘moderate’ or ‘minimal’. However, as a prudent employer and irrespective of the actions taken, reasonable consideration should also be taken of the perception of the employee in respect of the residual risk. The following provides guidance in this respect. 1) Where the residual risk is ‘moderate’ following proposed modification to the task requirements, working environment or work patterns, reasonable consideration should be given to alternative employment where this is specifically requested and particularly where the employee's medical advisor considers this would benefit the health & safety of the mother or child. 2) Where the residual risk is ‘minimal’ following the proposed modification to the task requirements, working environment or work patterns, consideration should only be given to alternative employment where this is supported by specific written advice from the employee’s medical advisor. 3) Irrespective of the level of residual risk (minimal or moderate) the employee should have the facility to discuss with their line manager if they are concerned that the circumstances of a particular task are such that they are concerned for the health and safety of themselves or their child – and may be concerned about proceeding with the allotted task. The Area OH/H&S Advisor will be able to assist in such cases. In all cases, the remedial actions must be implemented without delay Reviewing the NEM Risk Assessments The risk assessment should be regularly reviewed during the period to which it applies. Reviews should be undertaken: • Periodically as the pregnancy progresses. In the early stages of pregnancy this might be every 4 – 6 weeks but with a shorter periodicity in the later stages. Reviews post birth or during breast feeding would not normally be required at shorter time intervals. • If, in the meantime, the individual notifies the employer of significant clinical changes; • If, in the meantime, the nature of the job changes or there are other reasons to believe the assessment is no longer valid. The review should be recorded (eg in the space provided in the Model Format set out in Figure 2.1) where no changes are identified or by completing a new assessment form where changes are required. Maintaining Records Areas should maintain a copy of the NEM Workplace Reviews and the NEM Risk Assessments (Figure 2.1 provides a model format) for the duration of the period to which they apply. Guidance on maintaining records for longer periods is set out in the General Introduction to the National Health & Safety Policy Manual.

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Figure 2.1: Model Review and Assessment Format
NEM Workplace Review & Risk Assessment Format: Page 1 of 2 Employee Expected date of delivery Work Activity/Location Expectant Mother Reason for NEM Risk New mother & breast feeding Assessment date New Mother & not breast feeding (Tick as appropriate) General Workplace Review Requirements Checklist (irrespective of Risk) Are the following facilities readily available (indicate ‘yes’, ‘no’, or ‘N/A’) Appropriate rest facilities. Appropriate facilities for breast feeding/expressing of milk. Agreed additional rest periods. A source of drinking water. Ease of accessibility, comfort etc particularly during pregnancy. Detailed Risk Evaluation (See Model overleaf for determining the risk) Not Nature of Hazard State the Present: Risk present Severity Probability Hazard General Risk Assessment • Violence • Access • Vibration • Noise • Travelling for work • Other? Biological Hazards • Infection/contagion • Needlestick • Body fluids • Parasites • Other? COSHH • Office chemicals • Workshop chemicals • Pesticides • Other? Display Screen Equipment • CRT display • Proximity to laser printers • Other? Manual Handling • Office Stationary etc • Other MH requirements • Access/stairs? • Other? Night working • Violence • Other? Stress • (Specify) Any other hazard: • (Specify)

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NEM Workplace Review & Risk Assessment Format: Page 2 of 2 Risk Evaluation Model Severity of Probability of Harm Harm Low Intermediate High Minimal Minimal Moderate Slightly Minimal Moderate Significant Moderately Moderate Significant Intolerable Very RESULTS OF ANALYSIS Existing Protection Systems in Place:

Additional General Workplace Requirements and Further Risk Reduction Protection Measures Identified Identified Measures (resources must be Responsible concentrated on the most significant risks) Person

Date for completion

Comments re Final Risk Evaluation (note re-evaluated risks):

Key Signatures and Date of Initial Assessment Name of Assessor Signature Signature of Employee Date of Assessment Review Program Next Review Date Reviewer Name Signature

Date review completed

Line Manager H&S Adviser

Distribution Safety Representatives OH Advisor

Employee HR Manager

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The National Probation Service for England & Wales National Health & Safety Policy Manual Measuring & Reviewing Performance Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 1 of 6

5) MEASURING & REVIEWING PERFORMANCE. General Introduction. The monitoring of performance by specific measures and reviews provides a practical mechanism for assessing progress. Where this can be linked to preset practical targets the rate of improvement can be properly judged and resources best allocated to where they can provide the optimum impact. Since the NPS is a relatively new organisation, there has, to date, been no collection of health & safety performance data by NPD. This is currently being rectified and it is anticipated that the first annual review of this manual will permit the establishment of a full regime of monitoring against targets for the subsequent years. For the present this is not practicable and what follows is therefore based on what can in practice be achieved in 2004. Specific Monitoring and Review Processes The following monitoring and review processes are to be introduced within all Areas (including NPD) within the timescales indicated. Unless stated otherwise, the local arrangements are a matter for agreement through the Local Area Health & Safety Forum. 1. Accident & Incident Information: The detailed requirements (including implementation timescales) are set out in Section 4 of this Manual. 2. General Workplace Inspections: The primary objective of workplace inspections is to confirm a healthy & safe general working environment. It is not a substitute for more formal Audits nor for Risk Assessments – though they may inform both of these processes (eg the inspections may identify that a particular activity has not been the subject of a formal risk assessment). Figure 5.1 outlines a suitable ‘check list’ to assist the conduct of Workplace Inspections. Workplace Inspections should be undertaken in respect of work undertaken by NPS staff irrespective of whether this is on NPS premises or elsewhere. In the latter case (eg in Prisons) the Workplace Inspection regime of the host organisation may provide the necessary level of inspection provided it conforms with the requirements set out below and there is full cooperation between the relevant parties. All Workplace Inspections are to be led by the appropriate line manager/supervisor for the physical area/function being inspected. Relevant Safety Representatives must be invited to be party to the inspection together with (if appropriate) the relevant Health & Safety Advisor. (Note this does not preclude the Safety Representatives undertaking independent inspections (as allowed for under the Health &

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The National Probation Service for England & Wales National Health & Safety Policy Manual Measuring & Reviewing Performance Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 2 of 6

Safety at Work etc Act) which are to be in addition to management led inspections.) Workplace Inspections should be undertaken on the following bases: • Local Inspections: eg within a workshop, an Approved Premises, a long term Community Punishment Project, an office suite etc. These should generally be broadly based (eg using the model check list in figure 5.1) though they may be focused on specific work activities if a need is indicated by poor previous performance. • Thematic Inspections: which may be focussed on specific activities or facilities across an Area particularly (but not exclusively) where previous health & safety performance has not been to the expected standard. Again the model check list may be used for this purpose. Workplace Inspections should be undertaken on the following frequencies: Local Inspections at not less than quarterly intervals for all areas except in Approved Premises where the frequency should be monthly because of the higher risk potential. All Areas should undertake one ‘Thematic Inspection’ each calendar year. Larger Areas (eg those with more than 1000 staff) should consider a more frequent level of Thematic Inspections dependent on their overall health & safety performance. The results of the inspection (in the form of recommendations) must be made available to the management and staff of the relevant area of work – and more broadly if there are more general lessons to be shared (NB this might include generally across the NPS). The completion of actions must be tracked (the method identified for the tracking of accident/ incident investigation recommendations set out in Section 4 of this Manual is recommended). It is essential that all recommendations are promptly implemented. Area Health & Safety Advisors should review the Inspection findings on a quarterly basis and raise any outstanding issues with the appropriate line manager and the Area Joint Health & Safety Committee. These requirements for Local Inspections & Thematic Inspections must be implemented in all Areas within 6 months of the implementation date of this Policy Manual. 3. Specific Inspections of Display Screen Equipment: is a specific statutory requirement. Specific detailed procedures are set out in Section 4 of this Manual. This requirement must be implemented with immediate effect. Uncontrolled Copy

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Improvement Targets. Since the current level of performance has not previously been collated across the NPS, it is not practicable to identify specific detailed targets for improvement. In lieu of these there is a general requirement for Areas to demonstrate a year on year statistically significant improvement in their personal injury performance (eg as measured by the (over) 3 or 1 day lost time accident frequency rate – as defined in NPS/HS/1). Specific targets will be set for future years when the current level of performance is established. Reporting Performance. Section 4 sets out the internal and external reporting requirements for accidents/incidents. The results of all inspections must be notified to the staff working in the affected work area. In addition, the results of general workplace and DSE inspections should be brought to the attention of the Area Board at six monthly intervals. This will need to demonstrate: The number of inspections – and how this compares with the planned inspection regime; The main areas inspected; The principal findings and recommendations; Progress on closing the recommendations (eg percentage closed and any key matters outstanding). The views of the Board should be taken into account in planning future inspection programmes. Benchmarking etc. Benchmarking provides a valuable means of assessing the standard of performance. Areas are encouraged to benchmark and share experience at a local, regional and national level with other Public Service agencies. Involvement in local and national ‘Health & Safety Events’ (eg as sponsored from time to time by the HSE) provides a further source of identifying improvement opportunities.

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The National Probation Service for England & Wales National Health & Safety Policy Manual Measuring & Reviewing Performance Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 4 of 6

Figure 5.1: Model Inspection Check List National Probation Service: Model Workplace Inspection Checklist Page 1 of 3: General information, findings & recommendations.
Workplace Inspected Date Time AM / PM / NIGHT

Inspection Team Team Leader Safety Representative Other Members Previous Inspection Date Time AM / PM / NIGHT Comments on Recommendations (especially any outstanding)

Current Inspection General comments

Recommendations Recommendation Responsible person Date for completion Date Completed

Signed/dated (Inspection Leader) Distribution (Include persons responsible for implementing recommendations). Workplace Manager Line Manager of Workplace Safety Representative H&S Advisor

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The National Probation Service for England & Wales National Health & Safety Policy Manual Measuring & Reviewing Performance Issue Number Date of Issue Issued by Page 5 of 6 Figure 5.1 continued: Model Inspection Check List National Probation Service: Model Workplace Inspection Checklist Page 2 of 3: General Checklist.
ISSUE Housekeeping Access and Egress Background noise Cleanliness Disabled Audit Doors and windows opening safely Dust Control in Workshops Effective blinds Facilities for new & expectant mothers Furniture and equipment Heating Lighting Low level glazing (ie safety glass) Objects stored above head height Safe Glazing (ie not damaged) Safe working procedures Sanitary and Washing facilities Storage of equipment Slip & trip Hazards: Clear walk-ways/access Trailing cables Personal belongings Floor Surfaces Stair rails Ventilation Wall bolts for window cleaning Working space Workplace risk assessments Health and Safety at Work Poster First Aid Accident Book (or equivalent) available First aid boxes First Aiders/Appointed Persons identified First Aid poster Contractors Are Contractors Staff working safely Equipment & Machinery Safety Instructions displayed Lock off systems operable Guards in place Cables in good order Cut off switches not obstructed Electrical distribution etc cupboards labelled & locked Electrical equipment checked Local exhaust ventilation Safe Storage of tools Use of access equipment Testing in date Acceptable? Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Comments

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The National Probation Service for England & Wales National Health & Safety Policy Manual Measuring & Reviewing Performance Issue Number Date of Issue Issued by Page 6 of 6
Figure 5.1 continued: Model Inspection Check List

National Probation Service: Model Workplace Inspection Checklist Page 3 of 3: General Checklist.
ISSUE Personal Protective Equipment (PPE) Required PPE available Required PPE worn Storage facilities Inspection records Fire Safety & Emergency Evacuation Fire risk assessment Fire exits/routes clearly marked Fire exits clear of obstruction Fire extinguishers in place Fire extinguishers in date Fire instructions displayed & Nominated Persons identified Staff Fire training Fire drill in last 6 months? Fire log book up to date & call points tested Fire doors operating correctly Emergency lighting working Door viewing windows clear Emergency egress for disabled people Storage of flammable liquids Storage of combustible materials Acceptable? Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Y/N Comments

Chemicals & Other Hazardous Materials (eg paints, cleaning fluids, bio contaminants) Y/N Safety Instructions available Y/N Storage of chemicals Y/N Asbestos register, signage etc Y/N Is the condition of asbestos as recorded in the register Y/N Body fluid spillage info / equipment Y/N Sharps bins Y/N DTTO: procedures Y/N Printer toner provision Security Reception arrangements Interview facilities Personal alarm (inc testing) Effective alarm procedure Visitors : log book, instructions, identification NPS Vehicles (including trailers) Fire Extinguisher in place Taxed / tested / MoT First Aid Kit Routine Service record User log book Visible defects (tyres, leaks etc) Y/N Y/N Y/N Y/N Y/N

Y/N Y/N Y/N Y/N Y/N Y/N

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The National Probation Service for England & Wales National Health & Safety Policy Manual Audit Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 1 of 2 6 AUDIT. General Introduction As illustrated in Figure 1.1, the audit process closes the loop in the quality management system. It is a means of testing (independently of the area of work being reviewed) the level of compliance with external and internal requirements – and indeed the validity of the internal requirements themselves. (NB Audit must not be confused with ‘inspection’ which is a more regular and lower level of testing performance.) The Thematic Review (ie Audit) undertaken in 2002 – 03 served to identify the current level of Health & Safety performance and compliance. Because of the current need to improve significantly in this area the question of a detailed audit programme within the NPS has been deferred for the present time. In lieu of a detailed programme, the following general audit requirements will be followed across the NPS. NPD sponsored audits: A further Thematic Audit across the NPS will be planned during the implementation of the three phases of the Health & Safety Strategy announced in March 2003. NPD sponsored audits will be developed in conjunction with the National Health and Safety Forum. Local Area Audits: Individual Areas should identify an audit programme to provide a higher level of confidence to the Area Board and all staff of the level of overall compliance with specific activities (eg compliance issues relating to, for example, Display Screen Equipment). Typically an Area should seek to undertake a Health & Safety Audit of a key element of its activities on an annual basis. Note that these are not to be confused with ‘Local Thematic Inspections’ which are led by the appropriate line manager/supervisor for the physical area/function being inspected. As noted, audits should be conducted independently of the line management. Unless other reasons prevail, audit programmes should be developed through the Local Joint Health & Safety Committee and be endorsed and properly resourced by the Area Board. For Areas where Health & Safety performance is currently judged to be poor, it is recommended that this be deferred until significant progress has been made in adopting the procedures to be developed in section 4 of this Manual.

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The National Probation Service for England & Wales National Health & Safety Policy Manual Audit Issue Number 1 Date of Issue 5th April 2004 Issued by Kathryn Ball Page 2 of 2 The following factors should be taken into account in developing and executing an internal audit programme using NPS staff: Where reasonable practicable, all members of the audit team should be appropriately trained (if this is not possible, then at least the Audit Leader should be suitably trained and/or experienced). The majority of the audit team must be independent of the area/function being audited (typically the team might include one nonindependent member). The audit team should include a Safety Representative. The terms of reference of the audit (set by the audit sponsor – typically at ACO level or higher) must be clear and unambiguous. The audit team must not stray from this without agreement of the sponsor. The audit report must identify all levels of performance found without bias. Recommendations must be practical. Matters of fact must be checked with the local management. The Report must be made available to all key stakeholders affected by its results together with the local management’s response on how any issues are to be closed out. All audit recommendations must be tracked to completion (the method identified for the tracking of incident investigation recommendations set out in Section 4 of this Manual is recommended). Audit reports should be made available to NPD on request.

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