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Probation

Circular

REVITALISING HEALTH & SAFETY: REFERENCE NO:


PHASE TWO 75/2005

PURPOSE ISSUE DATE:


To ensure all Areas have been made aware of the work completed in Phase 27 September 2005
Two and the associated revisions to the NPS H&S Policy.
IMPLEMENTATION DATE:
ACTION
Local Areas to take note of the revisions to the Policy and ensure that they Immediate
comply with the recommendations contained therein.
EXPIRY DATE:
SUMMARY December 2006
Phase Two of the National Strategy was launched, alongside the national
audit results, in March 2005. TO:
1. Pieces of work completed in Phase two include: Chairs of Probation Boards
• Generic H&S Risk Assessments for: Chief Officers of Probation
Probation Work Activities
Secretaries of Probation Boards
Community Punishment Projects
Approved Premises
CC:
• Inclusion of H&S in the NPS Annual Report Pro Forma
Board Treasurers
2. The NPS H&S Policy now includes the following new or revised
arrangements: Regional Managers
• Revised Arrangements to National Policy:
NPS/HS/1 – Identification, categorisation and reporting of Accidents AUTHORISED BY:
NPS/HS/2 – Investigation of Accidents Richard Cullen, Head of HR
NPS/HS/3 – Risk Assessment
NPS/HS/8 – Stress Management ATTACHED:
NPS/HS/11 – Fire Protection Annex 1: Revised H&S Policy
• New Arrangements to National Policy:
NPS/HS/31 – Facilities Time & Assistance for TU H&S
Representatives
NPS/HS/32 – Home Working
NPS/HS/33 – New and Expectant Mothers

RELEVANT PREVIOUS PROBATION CIRCULARS


PC26/2005 – Health and Safety: National Audit Results
PC65/2003 – Health and Safety Strategy Phase One

CONTACT FOR ENQUIRIES


Kathryn Ball, HR kathryn.ball@homeoffice.gsi.gov.uk 0207 217 8954
Brenda Pendlebury, HR brenda.pendlebury@ntlworld.com 07876 131818
Bill Wood, NOMS Property billwood03@onetel.com 07713 214850

National Probation Directorate


Horseferry House, Dean Ryle Street, London, SW1P 2AW
The National Probation Service
for England & Wales

THE NATIONAL HEALTH & SAFETY

POLICY MANUAL

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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 Martin Wargent


Director of Probation, NPS Chief Executive, Probation Boards’
Association

Judy McKnight Ben Priestley


General Secretary, Napo National Officer, UNISON

David Walton
Staff Side Secretary, GMB/ Scoop

Date: 1st April 2005

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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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General Index
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page iii

INDEX

SUBJECT SECTION Issue Issue Date


NUMBER Number
Statement of Commitment Page i 2 1st April 2005

Diversity Statement Page ii 1 5th April 2004

General Index Page iii 2 1st April 2005

General Introduction 1 1 5th April 2004

The National Health & Safety 2 2 1st April 2005


Policy
Organisation & Key 3 2 1st April 2005
Responsibilities
The Arrangements. 4 1 5th April 2004
• Introduction
• Arrangements index 2 1st April 2005
• Specific Arrangements * *

Measuring & Reviewing 5 1 5th April 2004


Performance.
• General Requirements 1 5th April 2004
• Model Workplace 1 5th April 2004
Inspection List
Audit 6 1 5th April 2004

* Individual Arrangements are separately issued and dated. The ‘Arrangements


Index’ identifies the current Issue Numbers and Dates.

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General Introduction
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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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General Introduction
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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:
ƒ 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
ƒ 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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General Introduction
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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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General Introduction
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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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General Introduction
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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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Organisation & Key Responsibilities
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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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Organisation & Key Responsibilities
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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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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:


ƒ 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);
ƒ Area Board Chairs are aware of their responsibility to comply with this
Manual;
ƒ Area Chief Officers have in place Local Area Policy Manuals which are
compliant with the National Policy Manual;
ƒ A safe and healthy workplace is provided for all employees of NPD;
ƒ Suitable & sufficient resources are made available to Areas and within the
NPD to ensure compliance with the Manual;
ƒ 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:
ƒ 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);
ƒ They liaise with the Chief Officer to ensure continuing improvement in health
& safety performance;
ƒ 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;

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ƒ 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;
ƒ They seek generally to raise the profile of health & safety within the Area;
ƒ 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:


ƒ A safe and healthy workplace is provided for all employees within their Area;
ƒ The production of a fit for purpose and up to date Local Area Health & Safety
Policy Manual within their Area;
ƒ They liaise with the Area Board Chair to ensure continuing improvement in
health & safety performance;
ƒ A Health & Safety Advisor (a ‘Competent Person’) is appointed to advise on
health & safety matters within their Area;
ƒ Appropriate mechanisms are in place for a partnership approach to health &
safety improvements (ie through joint health & safety committees);
ƒ 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;
ƒ 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:


ƒ Assisting the CO in the production and maintenance of the Local Area Policy
Manual;
ƒ The provision of timely health & safety advice;
ƒ Providing expert input into health & safety inspections, audits, reviews and
investigations;
ƒ Maintaining a current knowledge of health & safety legislation and
improvement opportunities;
ƒ Providing advice to the Area Health and Safety Committee;
ƒ 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.
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c) Specific NPD Responsibilities.

™ All Directors are responsible for ensuring that


ƒ Their staff receive the appropriate training in order to perform their work in a
safe manner;
ƒ The appropriate local health & safety procedures are in place and adhered to;
ƒ 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:
ƒ The appointment of appropriate Competent Persons to provide suitable ‘local’
(NPD) and ‘corporate’ (NPS) advice in respect of health & safety matters;
ƒ Preparing local requirements necessary for the delivery of a safe & healthy
working environment within NPD (ie additional to the National Policy Manual);
ƒ 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:


ƒ The production and maintenance of the National Policy Manual;
ƒ Promoting a high profile approach to health & safety across the NPD;
ƒ The provision of Health & Safety advice within NPD and as appropriate within
the broader NPS;
ƒ Providing expert input into health & safety inspections, audits, reviews and
investigations;
ƒ 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 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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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


Director of
Local Probation
Area NPS
Chair

NPD
Local Area Directors &
Chief Officer Senior Staff

NPD
Employees
Local Area
Senior Staff
The NPD

Local Area
Employees

The Local Area

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The Arrangements
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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:
ƒ model solutions intended for guidance or
ƒ 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:
ƒ Statement of policy and objectives: setting out the aims of the procedure.
ƒ 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.
ƒ Statements of Best Practice: simply stated in bullet point form, these set out
the standards to be achieved across the NPS.
ƒ 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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Index of Specific Arrangements


(Listed in alphabetical order: Specific Arrangements are presented in numerical
order.)

Title Ref No Issue Issue


NPS/HS/ No Date
Asbestos 12 1 5/4/04

Biological Contamination Risk Assessment 4 1 5/4/04

Competent Persons 30 1 5/4/04

Contingency Planning 15 1 5/4/04

Contractors 10 1 5/4/04

COSHH Risk assessment 16 1 5/4/04

Driving and NPS Transport Vehicles 17 1 5/4/04

Drugs & Alcohol 5 1 5/4/04

DSE assessments and the use of IT systems 18 1 5/4/04

Electricity at Work 19 1 5/4/04

Facilities, Time and Assistance for Trade Union 31 1 1/12/04


Health & Safety Representatives
Fire Protection 11 2 1/4/05

First Aid 6 1 5/4/04

32 1 1/12/04
Home Working
Identification, Categorisation & Reporting of 1 2 1/4/05
Accidents & Incidents

Investigation of Accidents & Incidents & Learning 2 2 1/4/05


from Experience

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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 20 1 5/4/04

Lone Working 21 1 5/4/04

Management of safety in the NPS Estate(eg including 13 1 5/4/04


accommodation, workplace safety etc)

Manual Handling Risk Assessment 22 1 5/4/04

New and Expectant Mothers 33 1 1/4/05

Night working 23 1 5/4/04

Occupational Health Services and Health 7 1 5/4/04


Surveillance
Outdoor Working (including on or near water) 29 1 5/4/04

Permits to Work 14 1 5/4/04

Personal Assistance Alarms 24 1 5/4/04

Personal Protective Equipment 25 1 5/4/04

Risk Assessment 3 2 1/4/05

Stress Management 8 2 1/12/04

Tobacco Smoking 9 1 5/4/04

Training (induction, specific task, specialist & 26 1 5/4/04


refresher)
Use of Equipment and machinery in the workplace 27 1 5/4/04

Violence in the Workplace 28 1 5/4/04

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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.

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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

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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 Physical Injury in the Workplace
B Road Traffic Accident (RTA)
C Violence & Intimidation in Prisons.
D Violence & Intimidation in Approved Premises.
E Violence & Intimidation in Community Punishment Projects
F Violence & Intimidation in other NPS Premises
G Abnormal Events
H 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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A) Physical Injury (1)

Severity Detail of Reportable to NPD? Reportable to


Accident/Incident HSE/Police?
Yes/No Timescale (2) Who Timescale
1 a) Death (3) Yes Immediate HSE & Immediate
Police
2 a) Major Injury (4a) Yes Next Working HSE Immediate
Day
(See Note 4b)
3 a) 3 day Lost Time Yes Quarterly only HSE Within 10
Accident to employee days
(5)
4 a) Injury to employee Yes Quarterly only Neither -
resulting in absence in
excess of one day (6)
5 a) Hospital treatment of No - Neither -
employee with absence
of less than one day.
b) Employee First Aid No - Neither -
case (no absence).
c) Injury to an offender No - Neither -
(requiring first aid,
hospital treatment etc
but not including major
injury or death (see
Severities 1 & 2))
6 a) Near Hit/Miss & No - Neither -
including minor injury
not requiring first aid.

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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B) Road Traffic Accident (7)


Severity Detail of Reportable to NPD? Reportable to
Accident/Incident HSE/Police?
Yes/No Timescale (2) Who Timescale
1 a) Death of Employee Yes Immediate Police Immediate
(3)

b) Death of third party Yes Immediate Police Immediate


(8)
2 a) Major Injury to Yes Next Working Police Immediate
employee (4a) Day
b) Major Injury to third Yes Next Working Police Immediate
party (4a & 4b) (8) Day
(See Note 4b)
3 a) Injury to employee Yes Quarterly only Police As soon as
resulting in the practicable
equivalent of a 3 day
Lost Time Accident (5)
4 a) Injury to employee Yes Quarterly only Neither -
resulting in absence in
excess of one day (6)
5 a) Hospital treatment of No - Neither -
employee with absence
of less than one day.
b) Employee First Aid No - Neither -
case (no absence).
6 a) Accident not No - Neither -
involving injury
b) Other accident/ No - Neither -
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).

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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C) Violence and Intimidation in Prisons (9)


Severity Detail of Reportable to NPD? Reportable to
Accident/Incident HSE/Police?
Yes/No Timescale Who Timescale
(2)
1 a) Death occurring within Yes Immediate HSE & Police Immediate
one year of an assault
2 a) Major injury (4a) as a Yes Immediate HSE & Police Immediate
consequence of an assault. (See Note
4b)
b) Threat with intent to kill Yes Next Police As
(ie a significant threat Working (if necessary) appropriate
where there is considered Day
to be a real risk of harm
involved).
3 a) 3 day Lost Time Injury Yes Next HSE & HSE: within
(5) to employee as a Working Police 10 days,
consequence of an assault. Day Police:
as soon as
practicable
b) Threaten with offensive Yes Quarterly Police As
weapon (10) only (if necessary) appropriate
c) Incident with health & No - Police As
safety implications resulting (if necessary) appropriate
in a requirement to
summon Police/ return to
custody/ court.
d) Incident with health & No - Neither -
safety implications resulting
in Final Warning
4 a) Injury to employee Yes Quarterly Neither -
resulting in absence in only
excess of one day (6) as a
consequence of an assault.
b) Use of No - Neither -
racially/gender/sexual
orientation/disability
abusive language.
c) Use of threatening No - Neither -
behaviour/language not
resulting in a formal
warning.
5 a) Hospital treatment of No - Neither -
employee with absence of
less than one day.
b) Employee First Aid No - Neither -
treatment
6 a) Minor injury not requiring No - Neither -
first aid.
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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D) Violence and Intimidation in Approved Premises (9)

Severity Detail of Reportable to NPD? Reportable to


Accident/Incident HSE/Police?
Yes/No Timescale Who Timescale
(2)
1 a) Death occurring within Yes Immediate HSE & Police Immediate
one year of an assault
2 a) Major injury (4a) as a Yes Immediate HSE & Police Immediate
consequence of an assault. See Note
4b)
b) Threat with intent to kill Yes Next Police As
(ie a significant threat Working (if necessary) appropriate
where there is considered Day
to be a real risk of harm
involved).
3 a) 3 day Lost Time Injury Yes Next HSE & HSE: within
(5) to employee as a Working Police 10 days,
consequence of an assault. Day Police:
as soon as
practicable
b) Threaten with offensive Yes Quarterly Police As
weapon (10) only (if necessary) appropriate
c) Incident with health & No - Police As
safety implications resulting (if necessary) appropriate
in a requirement to
summon Police/ return to
custody/ court.
d) Incident with health & No - Neither -
safety implications resulting
in Final Warning
4 a) Injury to employee Yes Quarterly Neither -
resulting in absence in only
excess of one day (6) as a
consequence of an assault.
b) Use of No - Neither -
racially/gender/sexual
orientation/disability
abusive language.
c) Use of threatening No - Neither -
behaviour/language not
resulting in a formal
warning.
5 a) Hospital treatment of No - Neither -
employee with absence of
less than one day.
b) Employee First Aid No - Neither -
treatment
6 a) Minor injury not requiring No - Neither -
first aid.
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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E) Violence and Intimidation in Community Punishment Projects (9)


Severity Detail of Accident/Incident Reportable to NPD? Reportable to
HSE/Police?
Yes/No Timescale Who Timescale
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4a) as a Yes Immediate HSE & Immediate
consequence of an assault. (See Note Police
4b)
b) Threat with intent to kill (ie Yes Next Police As
a significant threat where Working (if appropriate
there is considered to be a Day necessary)
real risk of harm involved).
3 a) 3 day Lost Time Injury (5) Yes Next HSE & HSE: within
to employee as a Working Police 10 days,
consequence of an assault. Day Police: as
soon as
practicable
b) Threaten with offensive Yes Quarterly Police As
weapon (10) only (if appropriate
necessary)
c) Incident with health & No - Police As
safety implications resulting in (if appropriate
a requirement to summon necessary)
Police/ take into custody;
d) Incident with health & No - Neither -
safety implications resulting in
referral back to Court for
breach of terms of the
sentence
e) Incident with health & No - Neither -
safety implications resulting in
a formal written warning of
behaviour
4 a) Injury to employee Yes Quarterly Neither -
resulting in absence in only
excess of one day (6) as a
consequence of an assault.
b) Use of No - Neither -
racially/gender/sexual
orientation/disability abusive
language.
c) Use of threatening No - Neither -
behaviour/language not
resulting in a formal warning.
5 a) Hospital treatment of No - Neither -
employee with absence of
less than one day.
b) Employee First Aid No - Neither -
treatment
6 a) Minor injury not requiring No - Neither -
first aid
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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F) Violence and Intimidation in Other NPS Premises or Activities (9)


Severity Detail of Accident/Incident Reportable to NPD? Reportable to
HSE/Police?
Yes/No Timescale Who Timescale
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4a) as a Yes Immediate HSE & Immediate
consequence of an assault. (See Note Police
4b)
b) Threat with intent to kill (ie Yes Next Working Police As
a significant threat where Day (if appropriate
there is considered to be a necessary)
real risk of harm involved).
3 a) 3 day Lost Time Injury (5) Yes Next Working HSE & HSE: within
to employee as a Day Police 10 days,
consequence of an assault. Police: as
soon as
practicable
b) Threaten with offensive Yes Quarterly Police As
weapon (10) only (if appropriate
necessary)
c) Incident with health & No - Police As
safety implications resulting in (if appropriate
a requirement to summon necessary)
Police/ take into custody;
d) Incident with health & No - Neither -
safety implications resulting in
referral back to Court/Parole
Board for breach of terms of
the sentence
e) Incident with health & No - Neither -
safety implications resulting in
a formal written warning of
behaviour
4 a) Injury to employee Yes Quarterly Neither -
resulting in absence in only
excess of one day (6) as a
consequence of an assault.
b) Use of No - Neither -
racially/gender/sexual
orientation/disability abusive
language.
c) Use of threatening No - Neither -
behaviour/language not
resulting in a formal warning.
5 a) Hospital treatment of No - Neither -
employee with absence of
less than one day.
b) Employee First Aid No - Neither -
treatment
6 a) Minor injury not requiring No - Neither -
first aid
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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G) Abnormal Events

Severity Detail of Reportable to NPD? Reportable to


Accident/Incident HSE/Police?
Yes/No Timescale (2) Who Timescale
1 a) Suicide of any Yes Immediate HSE & Immediate
person within NPS Police
premises or while
directly under NPS
supervision.
2 a) Discovery of Yes Immediate Police (if As
explosives (including necessary) Appropriate
in suspect packages),
firearms or
ammunition
b) Dangerous Yes Next Working HSE As soon as
Occurrence. (11) Day practicable
c) Failure of fire or Yes Next Working Neither -
personal assistance Day
alarms for more than 7
working days.
3 a) Other fire requiring Yes Quarterly only Neither -
the attendance of the
Emergency Services
b) Discovery of any No - Neither -
other offensive
weapons. (12)
c) Failure of fire or No - Neither -
personal assistance
alarms for more than
12 hours.
d) Bomb Threat. No - Neither -

e) Malicious damage No - Neither -


to NPS property with
significant health &
safety implications
(including arson,
tampering with
asbestos materials
etc).
4 a) Near Hit/Miss (13) No - Neither -
5 None Identified at this - - - -
time
6 None Identified at this - - - -
time

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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H) Ill Health
Severity Detail of Reportable to NPD? Reportable to HSE/Police?
Accident/Incident
Yes/No Timescale Who Timescale
(2)
1 a) Death resulting from Yes Immediate HSE & Immediate
asphyxiation or Police
exposure to toxic
substances.
b) Death arising from a Yes Immediate HSE Immediate
notifiable industrial
disease (as defined in Police As
RIDDOR 95). (if necessary) appropriate
c) Death resulting from Yes Immediate Police As
other work activity (if necessary) appropriate
(other than as defined
in any other category,
and including suicide
where the Coroner has
linked this to
occupational causes).
2 a) Death on NPS Yes Immediate HSE/Police Immediate
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 Yes Next HSE As soon as
disease (14) (as Working practicable
defined in RIDDOR Day
95).
3 a) Sickness absence Yes Quarterly Neither -
consequent upon work only
activity (eg
occupational related
asthma, dermatitis,
muscular-skeletal, work
related stress etc).
4 a) Other sickness Yes Quarterly Neither -
absence. (15) only
5 a) Infestation (eg No - Neither -
cockroaches, rodents,
lice, fleas etc)
6 None Identified at this - - - -
time

Detailed notes (identified by italic numerals in brackets) are given overleaf to


aid in the interpretation of the terms used.

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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 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.
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.

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14 Notifiable industrial disease as defined in RIDDOR 95 (see Annex 3).


15 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.
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

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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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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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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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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
Date of Accident/Incident Time of Accident/Incident (24hr
clock)
Detailed location (Division/site /post code) of
the Accident/Incident
Type of work undertaken

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
2) DETAILS OF ANY INJURED PERSON PUT AT RISK.
Family/Surname 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) Race Disability (Nature)
Male
Female

STATUS (tick box) Contractor


NPS Employee* Trainee
Person under Supervision Member of Public
Approved Premises Resident Other
* Please insert occupation or job title.
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 Slip trip or fall at same level Exposed to or in contact with a
machinery/material being machined harmful substance
Hit by a moving, flying or falling Fall from height Exposure to fire
object
Hit by a moving vehicle How high was the fall (metres) Exposed to an explosion

Hit by something fixed or stationary Trapped by something Contact with electricity or an


collapsing electrical discharge
Injured while handling, lifting or Drowned or asphyxiated Injured by an animal
carrying
Injury caused by sharps Act of violence or assault Any other factor not covered
above

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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 Signature
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

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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.

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• 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.

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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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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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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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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 Level of Inquiry
All Severity 1 Accidents & incidents National Board of Inquiry
All Severity 2 Accidents & incidents Area Board of Inquiry
(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 Local Management Inquiry
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 Local Investigation
than Type H)

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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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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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 Local
Inquiry Inquiry Management
Inquiry
Chair Chair or CO from ACO (or Manager of
another Area equivalent) from appropriate
another area of seniority (ie
work below ACO)
Health & NPD Health & Area Health & Area Health &
Safety Safety Manager Safety Advisor Safety Advisor
Technical ACO (or equivalent) Manager of Nominee of
from the Area (but appropriate inquiry chair.
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 Nominee of local
Representative relevant Trades Trades Union Trades Union
Union National Officers Officers
Officers
Secretary Nominee of Nominee of Nominee of
Convening Convening Inquiry Chair
Authority Authority

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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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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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 OF INVESTIGATION LEADER


Signature: Date:
DISTRIBUTION
1) Line manager 2) Managers responsible for 3) Area H&S Advisor
recommendation implementation.
4) Safety 5) OH Advisor (if applicable) 6) NPD H&S (as required)
Representative
7) Others
Page 1 of 2

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Figure 1 Continued:
DETAILS OF THE INVESTIGATION

Factors involved Y/N Comments


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

Page 2 of 2

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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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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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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

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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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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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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’ Subsidiary steps for completion


(paraphrased)
1) Look for hazards • 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).
2) Who might be harmed • 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.).

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3) Evaluate the risks and • Using a simple tool to estimate the risk.
check if more needs to • Identify what you are presently doing to prevent or
be done 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).

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

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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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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.
• Access/egress equipment and • Ozone (eg in the vicinity of
possible impediments photocopiers & laser printers)
• Compressed air equipment • Portable power tools
• Contagious diseases (eg HIV, • Power washing equipment
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.

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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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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).

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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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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
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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 Probability of Harm
Harm Low Intermediate High Immediate
Slightly Minimal Minimal Minimal Moderate
Harmful
Moderately Minimal Minimal Moderate Significant
Harmful
Very Minimal Moderate Significant Intolerable
Harmful
Fatal 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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• 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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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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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? Risk
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:

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

Risk Evaluation Model


Severity of Probability of Harm
Harm Low Intermediate High Immediate
Slightly Minimal Minimal Minimal Moderate
Moderately Minimal Minimal Moderate Significant
Very Minimal Moderate Significant Intolerable
Fatal Moderate Significant Intolerable Intolerable
Page 1 of 2

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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 Signature


Date of Assessment
Review Program
Next Review Date Reviewer Date review
Name Signature completed
Fig 5.1: Risk Assessment Pro Forma: Page 1 of

Distribution
Line Manager Safety Representatives Workplace
H&S Adviser
Page 2 of 2

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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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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.

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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.

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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 Referenced Source
1 General Risk HSE: INDG 136: COSHH, a Brief guide to
Assessment the Regulations
2 Guidance on the risks NPD: ‘The Risks from Exposure to Body
from exposure to body Fluids’
fluids
3 Guidance on blood NPD: ‘General Measures to Reduce the
borne viruses Risk of Occupational Exposure to Blood
Borne Viruses (Universal Precautions)
4 Needlestick injuries HSE: ‘Information Sheet on Needlestick
Injuries’ (Ref No 9/93NIS/18/01CT50)

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Figure 1: Model Biological Hazard Assessment Form.


Compiled by
Signed Date compiled
Location
Nature of hazard
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?

Precautions /Control Measures

Review Program
Next Review Date Reviewer Date review
Name Signature completed

Distribution
Line Manager Safety Reps H&S Adviser Workplace

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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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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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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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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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References
Ref No Issue Referenced Source
1 General Health and Safety (First-Aid) Regulations 1981
Guidance Approved Code of Practice and Guidance.

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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:
ƒ 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);
ƒ who experience trauma from contact with particular offenders (eg high risk
offenders, domestic violence offenders etc) ;
ƒ 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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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.

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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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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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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 Issue Referenced Source


1 Current Information, The HSE web site at:
guidance and survey www.hse.gov.uk/stress
questionnaires (Published November 2004)
2 Stress: causes & Real Solutions, Real People – A Manager’s
solutions Guide to Tackling Work-Related Stress:
HSE (2003): ISBN 0 7176 2767 5.
3 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.
4 Specific NPS policy Model NNC Policy on Bullying and Harassment
on Bullying &
Harassment
5 Priorities and Joint Agreement on Priorities and Employee
Employee Care in the Care.
NPS

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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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• 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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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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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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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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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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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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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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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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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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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 No Yes In Problems Identified Rel Remedial Action
Part Sig*
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?
* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)

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Fig 3.1.1 continued.


STRESS MANAGEMENT EVALUATION - continued
Issue to Consider No Yes In Problems Identified Rel Remedial Action
Part Sig*
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?

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 Signature


Date of Assessment
Review Programme
Next Review Date Reviewer Date review
Name Signature completed

Distribution
Line Manager Safety Representatives Workplace
H&S Adviser HR Manager
* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)

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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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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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• 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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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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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:
ƒ offices;
ƒ reception areas;
ƒ restrooms, kitchens, lavatories and washroom areas;
ƒ committee and meeting rooms;
ƒ group rooms and workshops;
ƒ general circulation areas including corridors and stairs;
ƒ 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:
ƒ Designated smoking areas must be sited so as to minimise the risk of
accidental fire from the careless disposal of lighted matches etc.
ƒ Suitable tamper proof containers for the disposal of cigarettes etc must
be provided at the designated smoking area.

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• Where designated general smoking areas are provided within a building (ie
in a room specifically designated as a ‘smoking room’):
ƒ 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);
ƒ 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:
ƒ To afford smokers some protection from the elements (where
reasonably practicable);
ƒ 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:
ƒ Recent safety performance (as measured by the numbers of injuries
and dangerous occurrences reportable to HSE over the previous 5
years);
ƒ The quality of their safety management procedures and policies;
ƒ Their knowledge of Health & Safety legislation applicable to their area
of work (in particular risk assessment);
ƒ Any statutory notices issued in the previous 10 years by the HSE/Local
Authorities or the Environment Agency;
ƒ 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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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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PERFORMANCE
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References

Ref No Issue Referenced Source


1 General guidance NPD: Approved Premises Heath and Safety
Manual
2 General guidance NPD: Property Management Contract Guide
3 General guidance NPD: PC52/2003 Health and Safety re
Property

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FIRE PROTECTION Doc Ref: NPS/HS/11
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Bill Wood 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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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.

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References

Ref No Issue Referenced Source


1 Regulatory HSE: The Fire Precautions (Workplace)
requirements Regulations 1996 (as amended 1999)
2 General guidance Fire Safety an employers guide ISBN 0-11-
341229-0
3 General guidance Fire Risk Assessment, a guide to complying.
(Fire Industry Council)

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ASBESTOS Doc Ref: NPS/HS/12
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 (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.

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Issued by: Bill Wood 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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• 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 Issue Referenced Source


1 NPD Asbestos Policy and Procedures for Managing
Management Policy Asbestos Containing Materials (ACM) in
Buildings
2 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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• Guidance in respect of electrical installations, electricity supply maintenance


& testing etc is given in reference 6.

References

Ref No Issue Referenced Source


1 General Guidance NPD: Property Management Contract Guide
2 Approved Premises NPD: Approved Premises Contract Guide
Guidance
3 General space & HSE: ‘Workplace (Health, Safety & Welfare)
accommodation etc Regulations 1992’
requirements
4 Specific issues re new HSE: ‘Management of Health & Safety at
& expectant mothers Work Regulations 1999’
5 Specific issues re DSE HSE: ‘Health & Safety (Display Screen
work. Equipment) Regulations 1992’
6 Electrical installations HSE: The Electricity at Work Regulations
& maintenance/testing 1989.
of supplies

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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.

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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 Issue Referenced Source


1 Confined Spaces HSE: Safe work in confined spaces.

2 Contractor’s NPD: Approved Premises Heath and Safety


Permits to Work Manual.
(confined spaces)

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Figure 1: Model Permit to Work

PERMIT-TO-WORK
Permit title:- Permit number:-

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)

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)

. 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)

. 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)

. 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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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;

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o Catering in Approved Premises (eg local ‘take-away’ establishments);


o Temporary Staff Agencies;
o Furniture suppliers;
o 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
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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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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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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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• 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 Issue Referenced Source


1 General Guidance HSE: INDG 136. COSHH a brief guide to the
Regulations.

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Figure 1: Model COSHH Assessment pro forma.


Compiled by Substance
Signed Date compiled
Location of use or storage
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
Health Effects & First Aid
Nature Effect First Aid
Inhalation
Skin contact
Eye Contact
Ingestion
Injection
People at Risk
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

‘MEL’: Maximum Exposure Limit; ‘OEL’ Occupational Exposure Limit


Review Program
Next Review Date Reviewer Date review
Name Signature completed

Distribution
Line Manager Safety Reps H&S Adviser Workplace

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DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17
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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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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

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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:
ƒ 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;
ƒ 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 Referenced Source
1 Driving hours etc RoSPA: Managing Occupational Road Risk:
Supplementary Guidance on Preventing
Inappropriate Use of Speed; Preventing
Falling Asleep at the wheel; & Ensuring
Driver Competence (2002).
2 Use of Mobile NPS Policy for the Use of Mobile Phones
Telephones. Whilst Driving’: issued 28th Nov 2003.

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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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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 Issue Referenced Source


1 DSE assessments HSE Guide: HS(G)90.
2 DSE & Software ‘A Guide to the Health and Safety Aspects of
assessments IT Management for the National Probation
Service’
3 Software BS EN ISO 9241 (Parts 10 – 17)
assessments
4 Accessibility ‘Accessibility of Human Computer Interfaces’
ISO 16071

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ELECTRICITY AT WORK Doc Ref: NPS/HS/19
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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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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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• 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):
ƒ 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.
ƒ 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.
References
Ref No Issue Referenced Source
1 Testing etc HSE: INDG 236: Maintaining portable
electrical equipment in offices and other low-
risk environments.

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Table extracted from HSE’s INDG 236

Equipment/environment Formal visual Combined inspection


inspection and testing
Battery operated: No No
(less than 20 volts).
Extra low voltage: No No
(less than 50 volts AC) eg
telephone equipment, low
voltage desk lights.
Information technology: eg Yes, No if double insulated
desktop computers, VDU 2-4 years – otherwise up to 5
screens. years
Photocopiers, fax machines: Yes, No if double insulated
NOT hand-held. Rarely 2 - 4 years – otherwise up to 5
moved. years
Double insulated equipment: Yes, No
NOT hand-held Moved 2- 4 years
occasionally eg fans, table
lamps, slide projectors.
Double insulated equipment: Yes, No
HAND-HELD eg some floor 6 months
cleaners. - 1 year
Earthed equipment (Class 1): Yes, Yes
eg electric kettles, some floor 6 months 1 – 2 years
cleaners. - 1 year
Cables (leads) and plugs Yes Yes,
connected to the above. 6 months – 4 1 - 5 years depending
years on the type of
Extension leads (mains depending on equipment it is
voltage). the type of connected to.
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
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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 sub-
committees 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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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 Issue Referenced Source


1 Joint H&S The Safety Representatives & Safety
Committees 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
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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

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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 pre-
existing 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
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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 Referenced Source
1 Assessments HSE: Manual Handling Regulations,
Guidance on Regulations.
2 Assessments HSE: ‘Manual Handling Assessment Charts’
(known as ‘MAC’).

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NIGHT WORKING Doc Ref: NPS/HS/23
Issue Number: 1 Date of Issue: 5th April 2004
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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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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 Issue Referenced Source


1 Working hours & The Working Time Regulations, 1998 (as
rest periods etc amended)

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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 Response
(yes/no)
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:

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
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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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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.

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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
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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.

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• 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
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Issued by: Kathryn Ball Page 3 of 3

References
Ref No Issue Referenced Source
1 General Guidance 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:
ƒ The importance of activation of personal assistance alarms before
escalation (and the contingency arrangements in the event of an alarm
sounding); and
ƒ 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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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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References
Ref No Issue Referenced Source
1 General Information The Suzy Lamplugh Trust:
& Guidance Tel. 020 8876 0305; www.suzylamplugh.org
2 General Information ‘Tackling Violence and Abuse at Work, an
& Guidance 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).

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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).

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

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.

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

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. 1½ days per


inspection
o Working party or sub committee, Inc travel. 1 day per
meeting
o Trade Union Safety Representatives’ meeting ½ day per
meeting
o Trade Union Branch meeting ½ day per
meeting

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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 Issue Referenced Source


1 Regulatory Safety Representatives and Safety Committees
requirements Third edition 1996 HMSO ISBN 0-7176-1220-1
2 General Guidance NPS Health and Safety Policy Manual April 2004

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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.

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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)
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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:
ƒ The Home Worker is provided with suitable health and safety training and
instruction in relation to working at home.
ƒ Adequate provision of first aid material is made available for the Home
Worker.
ƒ All accidents and incidents which occur whilst working at home are properly
reported and recorded.
ƒ The requirements of the Working Time Regulations are adhered to.

References

Ref No Issue Referenced Source


1 HSE Guidance HSE: INDG 226. Home Working Guidance
for Employers on Health and Safety

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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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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.

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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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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. Pre-
existing 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)
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• 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.

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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
Reason for NEM Risk Expectant Mother
Assessment date New mother & breast feeding
(Tick as appropriate) New Mother & not breast feeding
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)
Nature of Hazard State the Not Present: Risk
Hazard present Severity Probability
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
Slightly Minimal Minimal Moderate
Moderately Minimal Moderate Significant
Very Moderate Significant Intolerable
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 Date for
concentrated on the most significant risks) Person 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 Date review
Name Signature completed

Distribution
Line Manager Safety Representatives Employee
H&S Adviser OH Advisor HR Manager

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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 pre-
set 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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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:
ƒ 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.
ƒ 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.

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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:
ƒ The number of inspections – and how this compares with the planned
inspection regime;
ƒ The main areas inspected;
ƒ The principal findings and recommendations;
ƒ 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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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 Date for Date


person completion Completed

Signed/dated (Inspection Leader)

Distribution (Include persons responsible for implementing recommendations).

Workplace Manager Safety Representative H&S Advisor


Line Manager of Workplace

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

Uncontrolled Copy
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 Acceptable? Comments
Personal Protective Equipment (PPE)
Required PPE available Y/N
Required PPE worn Y/N
Storage facilities Y/N
Inspection records Y/N
Fire Safety & Emergency Evacuation
Fire risk assessment Y/N
Fire exits/routes clearly marked Y/N
Fire exits clear of obstruction Y/N
Fire extinguishers in place Y/N
Fire extinguishers in date Y/N
Fire instructions displayed & Nominated Y/N
Persons identified
Staff Fire training Y/N
Fire drill in last 6 months? Y/N
Fire log book up to date & call points Y/N
tested
Fire doors operating correctly Y/N
Emergency lighting working Y/N
Door viewing windows clear Y/N
Emergency egress for disabled people Y/N
Storage of flammable liquids Y/N
Storage of combustible materials Y/N
Chemicals & Other Hazardous Materials (eg paints, cleaning fluids, bio contaminants)
Safety Instructions available Y/N
Storage of chemicals Y/N
Asbestos register, signage etc Y/N
Is the condition of asbestos as recorded Y/N
in the register
Body fluid spillage info / equipment Y/N
Sharps bins Y/N
DTTO: procedures Y/N
Printer toner provision Y/N
Security
Reception arrangements Y/N
Interview facilities Y/N
Personal alarm (inc testing) Y/N
Effective alarm procedure Y/N
Visitors : log book, instructions, Y/N
identification
NPS Vehicles (including trailers)
Fire Extinguisher in place Y/N
Taxed / tested / MoT Y/N
First Aid Kit Y/N
Routine Service record Y/N
User log book Y/N
Visible defects (tyres, leaks etc) 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.

ƒ 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.

ƒ 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:

ƒ 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).
ƒ The majority of the audit team must be independent of the
area/function being audited (typically the team might include one non-
independent member).
ƒ The audit team should include a Safety Representative.
ƒ 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.
ƒ The audit report must identify all levels of performance found without
bias.
ƒ Recommendations must be practical.
ƒ Matters of fact must be checked with the local management.
ƒ 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.
ƒ 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).
ƒ Audit reports should be made available to NPD on request.

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