Professional Documents
Culture Documents
UK Home Office: PC25 2006
UK Home Office: PC25 2006
UK Home Office: PC25 2006
Circular
POLICY MANUAL
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Statement of Commitment
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page i
STATEMENT OF COMMITMENT.
The health, safety and security of everyone who may be affected by our operations
is of paramount importance to us all.
The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’
undertaken in 2002-03 and the resultant improvement strategy launched in March
2003 identified a number of aspects of our performance which required
improvement. Whilst the Review highlighted some Areas already performing to an
acceptable standard in some aspects, it did not identify any Area as being an overall
exemplar of good health and safety practice.
We all recognise that this presents a number of challenges and that everyone
employed in the National Probation Service for England & Wales has a role to play
in meeting these. Working in partnership, it is our intention to strive continually to
deliver a healthy and safe working environment that protects the welfare of all
employees.
This National Policy Manual, produced in partnership with the Trades Unions and
the PBA, sets us on the road to improvement. It defines the national policy and
standards of best practice which must be implemented throughout the NPS. It will
be a living document, reflecting the strategy launched in March 2003 and the
developing improvements in health and safety performance as we move forwards.
David Walton
Staff Side Secretary, GMB/ Scoop
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Diversity Impact Statement
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page ii
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.
.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Index
Issue Number 3 Date of Issue 1st January 2006
Issued by Kathryn Ball Page iii
INDEX
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Introduction
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 1 of 5
1 GENERAL INTRODUCTION.
This Section briefly outlines the essential elements of a Quality Health & Safety
management system and how this will be applied within the NPS. It takes account
of guidance published by the Health & Safety Executive, relevant British Standards
and is also consistent with the approaches set out in the European Excellence
Models.
Where reference is made in this Manual to ‘NPS employees’ (or similar), this has the
meaning ‘an employee of a Probation Board or a Home Office employee attached to
the National Probation Directorate’.
Background.
The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’
undertaken in 2002-03 and launched in March 2003 comprehensively reviewed the
effectiveness of the management of health & safety by the Local Probation Boards.
The general findings were that some key controls did not exist and that where they
did, they were not applied consistently or effectively. Accordingly, the Review
concluded that the overall health & safety processes were inadequately controlled.
As well as being a legal obligation (under the Health & Safety at Work etc Act,
1974), good health & safety performance is also an essential element of delivering
the People Management Strategy of the NPS. Excellence in health & safety needs
to be rooted in a quality management system that seeks to address all aspects of
performance, from the inherent safety of the working environment (ie plant and
equipment), through procedures and instructions that are owned and followed, and
ultimately to ensuring a working culture that embraces a positive health & safety
attitude across the organisation.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Introduction
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 2 of 5
Application of this approach within the NPS is illustrated schematically in Figure 1.2.
The interactions and format of the three layers illustrated in this figure are as follows.
• The National Policy Manual (ie this manual) sets out the overarching policy,
principles and standards of best practice to be applied across the NPS. The
degree to which these are mandatory (ie to be uniformly applied within all
Areas) or are only intended as guidance on best practice will be specified on
a case by case basis.
• The Local Area Policy Manuals will mirror the national policy in form and
format. They may be developed and extended as necessary to reflect the
local circumstances (and must be signed and authorised by the Chair of the
Area Board as the representative of the Employer for that Area). As with the
National Policy Manual, the production of the Local Manuals should be
undertaken within a joint partnership framework. (Throughout this Manual,
working in ‘Partnership’ means actively involving all key stakeholders
(Boards, Management, recognised Trades Unions, Contractors (as
appropriate) etc).) It is to be noted that to assist the implementation of the
National Policy Manual within Areas, NPD have produced a ‘Model Area
Policy Manual’.
The best practice standards and any mandatory processes identified in the
following Sections of this National Policy Manual must be complied with.
Regarding implementation within Areas:
For Areas with local Policies (including ‘Organisation’, ‘Planning &
Implementation (Arrangements)’; ‘Measuring & Reviewing’; & ‘Audit’
aspects) mirroring this National Manual at its time of introduction, no
additional changes to existing documentation are required
For Areas with local Policies (including ‘Organisation’ etc) not mirroring
(wholly or in part) this National Manual at its time of introduction, revision
of relevant local documentation will be required within either a 6 or 12
month period dependent upon the current degree of consistency with this
Manual (noting that particular overriding implementation requirements
apply to specific ‘Arrangements’ in Section 4).
• The Local Workplace Instructions must provide the degree of detail needed
within the workplace to ensure that all employees and other persons actually
undertaking the work processes can do so safely. The form and format of
these should reflect the local circumstances. To ensure that these are fully
effective, those people directly involved in the work processes and the
relevant Safety Representatives (who are approved by the Trades Unions)
must be directly involved in the production of the relevant local instructions.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Introduction
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 3 of 5
At all three levels, the documentation must be succinct and its intent clear and
unambiguous. It is recognised that the production of high quality, fit for purpose
documentation requires the allocation of sufficient resources to achieve the required
objective. This commitment will increase as the processes develop through the
three levels identified in Fig 1.2 simply due to the increased level of detail required in
the local workplace instructions. It is important that sufficient resources are
identified and applied to ensure that the commitments given in the preface to this
Manual can be achieved.
The remainder of this document sets out the National Policy in the form of Figure
1.1. Where it is a requirement for all Areas to comply fully with a particular aspect
this is clearly stated. In all other cases the documentation is presented as guidance
on best practice.
Maintenance of Records
Where there is a stated requirement to maintain records (as a consequence of either
this Manual or statutory requirements), such records must be maintained (by the
relevant Area or NPD as appropriate) for the minimum statutory period. Areas may
wish to consider retaining records for longer periods, where this is reasonably
practicable, to assist in future investigations or claims/actions taken against the Area
in later years.
(* 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)
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Introduction
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 4 of 5
Figure 1.1
The Essentials of a Quality Health & Safety Management System.
(Based on the Health & Safety Executive’s guidance (HSG65), this figure shows the
interrelationship between the various elements of a quality Health & Safety
Management System.)
POLICY
ORGANISATION
AUDITING
PLANNING &
IMPLEMENTATION
(The Arrangements)
MEASURING &
REVIEWING
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
General Introduction
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 5 of 5
Figure 1.2
Schematic of the Application of a Quality Health & Safety Management System
across the NPS.
(This figure shows the interdependencies from the National Policy through to Area
Policies and finally to the day to day local workplace instructions.)
NATIONAL
POLICY
MANUAL
LOCAL
AREA POLICY
MANUAL
LOCAL
WORKPLACE INSTRUCTIONS
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
The National Health & Safety Policy
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 1 of 1
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.
Roger Hill
Director of Probation, National Probation Service
Date: 1st April 2005
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Organisation & Key Responsibilities
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 1 of 6
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.
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.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Organisation & Key Responsibilities
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 2 of 6
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.
b) Area Responsibilities.
The Chairs of the Local Area Boards are responsible for ensuring that:
A fit for purpose and up to date Local Area Health & Safety Policy Manual is
in place within that Area (implicit in this is a requirement for audit, review and
feedback of lessons learnt);
They liaise with the Chief Officer to ensure continuing improvement in health
& safety performance;
The Board receives regular reports and presentations from the Area Health &
Safety Advisor (or the Chief Officer supported by the Health & Safety Advisor)
on progress being achieved, matters requiring attention etc;
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Organisation & Key Responsibilities
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 3 of 6
The Area Chairs are accountable to the Director of Probation for these matters.
The Chief Officers are accountable to the Director of Probation for these
matters.
Safety Advisors are not responsible for the safety of individuals or processes
except those under their direct management supervision.
The Accountability link for local Area Health & Safety Advisors will be identified in
the Local Area Policy Manual.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Organisation & Key Responsibilities
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 4 of 6
The Head of HR is also responsible for ensuring that arrangements exist in the
NPD for:
The appointment of appropriate Competent Persons to provide suitable ‘local’
(NPD) and ‘corporate’ (NPS) advice in respect of health & safety matters;
Preparing local requirements necessary for the delivery of a safe & healthy
working environment within NPD (ie additional to the National Policy Manual);
The availability of the necessary resources and facilities to enable national
union safety representatives to undertake their statutory functions including
the participation in consultation on relevant matters.
All Directors are accountable to the Director of Probation for the delivery of the
relevant matters.
The Head of Estates is responsible for ensuring that fit for purpose procedures
are in place for the safe delivery of all NPD ‘facilities management’ contracts.
These must ensure the provision of a safe & healthy workplace within those
facilities.
The HR Manager, Health & Safety is not responsible for the safety of individuals
or processes except those under their direct management supervision.
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.
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.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Organisation & Key Responsibilities
Issue Number 2 Date of Issue 1st April 2005
Issued by Kathryn Ball Page 6 of 6
Figure 3.1
The National Probation Service Organisational Structure.
(This figure shows the outline reporting and accountability links from the Director of
Probation to NPD staff and through Area Boards to Area staff.)
NPD
Local Area Directors &
Chief Officer Senior Staff
NPD
Employees
Local Area
Senior Staff
The NPD
Local Area
Employees
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
The Arrangements
Issue Number 2 Date of Issue 1st January 2006
Issued by Kathryn Ball Page 1 of 1
4) THE ARRANGEMENTS.
General Introduction.
This Section sets out the procedures detailing the standards of best practice which
must be implemented by every Area within the timescales identified. In addition to
the best practice standards, additional detailed procedures are also given (as
appropriate) which are identified as being either:
model solutions intended for guidance or
generic solutions which are mandatory (ie they must be applied within the
Areas).
It is to be noted that this Section is not a substitute for statutory requirements which
must be complied with at all times nor for guidance published by other parties –
though these will be referred to as appropriate.
Format of Procedures
In addition to a Quality Control header (identifying the procedure reference, title, who
authorised it, the number & date of issue and a page reference), each procedure
includes the following standard sections:
Statement of policy and objectives: setting out the aims of the procedure.
Scope of the procedure: to whom does it apply (eg contractors)? This section
will also identify whether the detailed procedures (see below) are model solutions
intended for guidance or generic solutions which are mandatory.
Statements of Best Practice: simply stated in bullet point form, these set out
the standards to be achieved across the NPS.
Implementation: this will specify the timescales for implementation by Areas.
Generally this will be 12 months for Areas where high quality procedures already
exist or 6 months where this is not the case. The judgement of whether existing
procedures are suitable & sufficient must be subject to formal agreement (ie
recorded in the minutes) by the Area’s Joint Health & Safety Committee advised,
as necessary, by the NPD. (Where agreement cannot be reached, the National
Health & Safety Forum will act as the arbiter.) Mandatory aspects must be
implemented within the declared timescales by Areas. Guidance aspects should
be used by Areas as a means of checking whether current local procedures are
consistent (or better) than the guidance given – if this is the case then no further
action is required by the Area for these aspects.
Additional detailed procedures (including references to additional pre-existing
documentation) will be incorporated into annexes. As noted above, these will be
identified as being either mandatory or for guidance.
The Specific Arrangements.
The following contents list identifies the individual arrangements including a unique
reference number and the date and number of the issue. General safety and
occupational health Arrangements are separated in the contents list for ease of
reference. This tabulation forms a part of the quality control process by identifying
the current version of specific arrangements.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
The Arrangements Index
Issue Number 3 Date of Issue 1st January 2006
Issued by Kathryn Ball Page 1 of 2
Contractors 10 1 5/4/04
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
The Arrangements Index
Issue Number 3 Date of Issue 1st January 2006
Issued by Kathryn Ball Page 2 of 2
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 1 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 2 of 21
ANNEX 1
Detailed Categorisation of Accidents & Incidents and
Reporting Routes & Timescales.
Introduction
The use of a common categorisation system (together with the associated
timescales & routes for reporting of specified accidents & incidents) is an
important contributor to the overall process of reducing accidents & incidents.
The term ‘Accident & Incident’ includes ‘accidents’, ‘injuries’ and other
‘abnormal events’.
In the following Tables, where information is identified as requiring to be
notified to NPD, these requirements are mandatory on all Areas. (NB these
comply with the requirements of the Human Resources ‘Workforce
Information’ data set.)
For all other categories of accidents & incidents (ie information not identified
as notifiable to NPD), the Tables present guidance on ‘best practice’ which
should be taken into account by the local Area Joint Health & Safety
Committee when assessing the adequacy of pre-existing local arrangements.
Areas may include additional local reporting categories (eg offender self harm;
violence of offender to offender) as appropriate to local circumstances.
Statutory Notices
The reporting to NPD of statutory notices is not ascribed a specific category
as these may or may not be associated with a particular accident or incident.
For the purpose of this Arrangement, Statutory Notices include:
• Improvement or Prohibition Notices issued by the HSE or a Local
Authority;
• Any similar notice issued by the Environment Agency; or
• Any Court Summons alleging a breach of Health & Safety or
Environmental legislation.
Areas should also inform NPD of any written ‘Notices of Intent’ received from
Regulatory Authorities in respect of requested health, safety or environmental
improvements – especially where these may involve Crown resources (eg
Estates).
Categorisation
The basic categorisation scheme comprises 2 principal elements:
• The Type of Accident or Incident (eg physical injury);
• The Severity of the Accident or Incident, ie the impact (actual or potential).
Reporting Timescales & Routes
All accidents & incidents must be reported within the local Area in accordance
with the local requirements. In addition, the tables overleaf identify to whom
(external to an Area) an accident or incident must be reported and on what
timescale. Statutory Notices/Notices of Intent (which are not included in these
tables) must be reported to the NPD (to the NPD HR Manager, Health &
Safety) on the next working day
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 3 of 21
Detailed requirements
The following tables identify the totality of the categorisation scheme covering
both type and severity and the reporting requirements. Eight basic types of
accidents & incidents are used (reflected in the subsequent eight tables) as
follows:
A 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.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 4 of 21
Detailed notes (identified by italic numerals in brackets) are given after table H
to aid in the interpretation of the terms used.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 5 of 21
Detailed notes (identified by italic numerals in brackets) are given after table H
to aid in the interpretation of the terms used.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 6 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 7 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 8 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 9 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 10 of 21
G) Abnormal Events
Detailed notes (identified by italic numerals in brackets) are given after table H
to aid in the interpretation of the terms used.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 11 of 21
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
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 12 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 13 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 14 of 21
Directory. The route in ‘out of office’ hours must be to the Home Office
Duty Officer (Contact via the Home Office Switchboard: 0870 000 1585).
• ‘Next Working Day’ Reporting: is defined as the next working day within
NPD and must be to the NPD HR Manager, Health & Safety.
• ‘Quarterly reporting’ will be via the routine NPD HR ‘Workforce Information’
reports prepared by Area HR functions.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 15 of 21
ANNEX 2
The Common Recording Pro Forma.
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.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 16 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 17 of 21
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
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 18 of 21
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:
This form complies with the Social Security (Claims & Payments) Regulations) 1979
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 19 of 21
ANNEX 3
Definitions of RIDDOR ‘Lost Time Accidents’, ‘Major Injuries’ &
‘Dangerous Occurrences’.
(See footnotes to the tables in Annex 1 for HSE contact numbers etc)
Lost Time Accidents:
‘Three Day Lost Time Accidents’ means any accident/incident which results in
an individual being unable to perform their full range of normal duties for more
than 3 days (including any days they wouldn’t normally be expected to work
but not counting the day of the injury itself). The total figure for reporting to
HSE, and for general ‘3 day LTA’ records, will also include the data from
Categories C, D & E (but not B).
To calculate the Lost Time Accident Frequency Rate (ie the number of such
accidents per 100,000 hours worked) the convention to be used for
determining the ‘total hours worked’ in any quarter is:
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.
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 20 of 21
Uncontrolled Copy
IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 2 Date of Issue. 1st April 2005
Issued by: Kathryn Ball Page 21 of 21
Reportable Diseases.
Identification of a ‘Reportable Disease’ should only be made by an
Occupational Health Specialist or a Medical Practitioner. It should also be
noted that such diseases may arise during employment with NPS even though
the cause could be connected with past employment. A full listing is available
in a number of HSE publications including their detailed guide to RIDDOR.
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 1 of 12
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 2 of 12
ANNEX 1
GUIDANCE ON INQUIRY PROCEDURES.
Introduction.
The level of inquiry will depend on the nature and severity of the
accident/incident – and this procedure provides general guidance linked to the
severity classification scheme set out Arrangement NPS/HS/1. The one
exception to this guidance is in respect of the investigation of Severity 1
accidents & incidents (all associated with a death) where the detailed
implementation requirements are mandatory across the NPS.
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 3 of 12
Annex 1.1
Levels of Inquiries.
The level of inquiry will be dependent upon the severity (or in some cases the
potential severity) of the accident/incident. Table 1 provides guidance
(mandatory requirements in respect of severity 1 accidents & incidents) on the
general nature of Inquiries etc. It should be read in conjunction with Annex
1.2 (Table 2: Definition of Convening authority) and Annex 1.3 (Table 3:
Members of an Inquiry Team). The initial determination of the appropriate
level of the proposed inquiry/investigation should be the relevant line manager
(advised by the Area Health & Safety Advisor as necessary).
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).
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 4 of 12
Annex 1.2
The Convening Authority.
The Convening Authority is the Person sponsoring the Inquiry and to whom an
Inquiry Team would report in the first instance. The seniority of the Convening
Authority is dependent upon the level of severity of the accident/incident. It is
to be noted that, due to the complexity of the senior reporting arrangements in
the NPS (the role of the CO’s, the Area Boards & the Director of Probation ), a
degree of joint responsibility is necessary.
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 5 of 12
Annex 1.3
Membership of Inquiries.
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)).
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 6 of 12
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 7 of 12
Contributory Causes
RECOMMENDATIONS
Recommendation Date for completion:
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 8 of 12
Figure 1 Continued:
DETAILS OF THE INVESTIGATION
Page 2 of 2
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 9 of 12
Annex 1.4
The Conduct of Inquiries.
The conduct of an inquiry is key to the value of its output. To assist in the
delivery of the primary objectives (set out at the beginning of Annex 1), the
following provides guidance (mandatory requirements in respect of severity 1
accidents & incidents) on the key issues to be considered:
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 10 of 12
Annex 1.5
The Inquiry Report
The degree of detail in the Report will obviously be dependent upon the scale
of the investigation. A full National Board of Inquiry Report would be expected
to be considerably more detailed than a Local Management Inquiry.
Guidance (mandatory requirements in respect of severity 1 accidents &
incidents) on the appropriate level of information etc to be
presented/preserved is as follows.
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 11 of 12
ANNEX 2
GUIDANCE ON THE DISSEMINATION AND FOLLOW UP OF INQUIRY
ETC FINDINGS & RECOMMENDATIONS.
The proper and timely dissemination and follow up of Inquiry and investigation
findings is essential to ensuring that any lessons learnt are promptly and fully
implemented. In effect, this closes the accident/incident – inquiry –
rectification loop. To assist in promoting a positive safety culture (and to
reinforce the value of the timely completion of accident/incident reports), it is
important that all relevant staff are appraised of the learning points and the
actions being taken to prevent a recurrence. Responsibilities for these matters
are given below.
• 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.)
• For National Boards of Inquiry, the NPD H&S Manager (in association
with the Area Health & Safety Advisor) will, on behalf of the relevant
Uncontrolled Copy
INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 12 of 12
Area Board Chair and the Director of Probation, track the progress of
actions.
• For Area Boards of Inquiry and Local Management Inquiries, the Area
Health & Safety Advisor should, on behalf of the Convening Authority,
track the progress of actions.
• For all other Investigations the Area Health & Safety Advisor should
satisfy themselves that a suitably identified local manager is tracking
the progress of actions.
• In all cases, the individual responsible for action tracking should make
regular reports (for example monthly) to the Convening Officer (where
appointed) or other appropriate Manager as to progress on
implementation.
• In all cases, the Convening Officer (where appointed) or other
appropriate manager must take action to ensure that any failure to
implement recommendations is dealt with expeditiously.
• In all cases, the Area Health & Safety Advisor (in discussion with the
NPD H&S Manager as necessary) should make periodic (eg six
monthly) presentations to the Area Board re progress on implementing
inquiry/investigation recommendations.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 1 of 15
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas within 12 months
of the above issue date.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 2 of 15
ANNEX 1
A GENERAL INTRODUCTION TO RISK ASSESSMENT.
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 3 of 15
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 4 of 15
made available to people in the relevant work places and an appropriate copy
should be retained by the Area.
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 5 of 15
ANNEX 2
THE IDENTIFICATION OF HAZARDS.
Introduction
This Annex sets out best practice guidance on the identification of possible
hazards. There are a number of ways that hazards may become identified
including in particular:
• Inspections/surveys;
• Incident reporting and investigation;
• Notification of potential hazards by staff;
• Job/task analysis;
• Changes in work circumstances (including offender behaviour).
Annex 1 lists particular hazards that are subject to specific arrangements within
this Manual.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 6 of 15
ANNEX 3
IDENTIFYING WHO MIGHT BE HARMED AND HOW.
Introduction
This Annex sets out best practice guidance on the identification of those groups
of people who might be harmed. Particular care needs to be taken of groups who
may be particularly at risk. These are identified later.
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 7 of 15
• 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).
• Fatal: ie the activity could result in death from injury or acute (fatal)
disease.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 8 of 15
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 9 of 15
ANNEX 4
EVALUATING THE RISK.
Introduction
Annex 3 sets out, for people who may be harmed by the work activity, a means of
assessing the potential level of severity of the harm and the probability of
incurring that harm. This Annex sets out best practice guidance on combining
these two elements to provide an overall assessment of risk.
systems have been put in place to reduce the level of risk to at least the
‘moderate’ level.
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.
Having determined the level of risk, any additional protective measures needed to
reduce the risk should be established using the hierarchy set out below.
• 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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 11 of 15
• Are there physical means of reducing the risk? Basically the question
being posed is whether the hazard and the individual can be physically
‘separated’ to reduce the risk (this is the fundamental principle of machine
guarding, safety rails, reception windows, ventilation etc). In particular,
take advantage of technological solutions aimed at reducing risk. In these
circumstances the local instructions will need to be clear as to the
requirement to work with the protective devices in place. Note that this
measure does not include Personal Protective Equipment (PPE - see
below). If this is not a practicable solution, proceed to the next step.
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.
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 12 of 15
ANNEX 5
RECORDING THE FINDINGS.
Introduction
This Annex sets out best practice for recording the findings of a Risk Assessment.
It is reiterated that this methodology is complementary to and does not replace
Community Punishment Project Risk Assessments which include consideration of
issues relating to specific Offenders.
The 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).
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 13 of 15
Identification of Groups who may be harmed (note any Groups particularly at risk)
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 14 of 15
Distribution
Line Manager Safety Representatives Workplace
H&S Adviser
Page 2 of 2
Uncontrolled Copy
RISK ASSESSMENT Doc Ref: NPS/HS/3
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Kathryn Ball Page 15 of 15
ANNEX 6
REVIEWING AND REVISING RISK ASSESSMENTS.
This Annex sets out best practice for reviewing and revising Risk Assessments.
All Risk Assessments must be reviewed (by the manager/supervisor responsible
for the work activity who should be assisted by the local Safety Representative,
the people undertaking the work and (as necessary) the Area Health & Safety
Advisor) and modified as necessary. Risk Assessments must be reviewed:
• Every 12 months to ensure that the arrangements are still ‘fit for purpose’.
These should be linked to the nature of the risk concluded after all
previously identified additional protective measures have been put in
place.
• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential
change is introduced.
• Or whenever there are reasons to believe the assessment is no longer
valid (eg the identification of previously unidentified hazards).
The review should be recorded (eg in the space provided in the Model Risk
Assessment Form) where no changes are identified or by completing a new
assessment form where changes are required.
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 1 of 6
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 2 of 6
ANNEX 1
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).
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.
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 3 of 6
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)
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 4 of 6
Review Program
Next Review Date Reviewer Date review
Name Signature completed
Distribution
Line Manager Safety Reps H&S Adviser Workplace
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 5 of 6
ANNEX 2
SPECIFIC GUIDANCE RE NEEDLE STICK INJURIES AND VACCINATION
Introduction
This Annex sets out guidance which must be followed by all Areas in respect of
needle stick injuries (specifically to reduce the risk of HIV transmission) and
vaccination. It is derived from the most recent (2005) advice from the HSE’s
Employment Medical Advisory Service.
By 4-5 hours post event the effectiveness ceases. Areas should therefore
ensure the following local arrangements are put in place:
• To identify local A&E/Casualty units where post exposure prophylaxis is
available (noting that a 24 hour capability will be required).
• Everyone (employees and others) identified as being at risk from needle
stick injury is made aware of the need for prompt medical attention at the
identified facilities – and that s/he informs the facility immediately on
arrival of the nature of the injury.
• As necessary, appropriate transport (eg taxi, private car etc) is provided
to convey the injured person to the nearest identified A&E/Casualty unit.
Vaccination
Vaccination is available for a number of diseases which may be encountered by
employees and others associated with the work of the NPS. The local
Occupational Health Practitioner will be able to provide locally based advice on
these matters. However, certain vaccinations should be offered to employees
(and contractor’s employees – see footnote) specifically at risk from exposure to:
• Hepatitis B (from contact with contaminated blood – noting that the virus
can remain active in dried blood for up to three months);
• Tuberculosis.
The Biological Risk Assessment will identify those specifically at risk.
Uncontrolled Copy
BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
st
Issue Number: 2 Date of Issue: 1 January 2006
Issued by: Kathryn Ball Page 6 of 6
Uncontrolled Copy
DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 1 of 2
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.
Uncontrolled Copy
DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 2 of 2
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).
Uncontrolled Copy
FIRST AID Doc Ref: NPS/HS/6
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 1 of 3
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.
Uncontrolled Copy
FIRST AID Doc Ref: NPS/HS/6
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 2 of 3
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.
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.
Uncontrolled Copy
FIRST AID Doc Ref: NPS/HS/6
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 3 of 3
References
Ref No Issue Referenced Source
1 General Health and Safety (First-Aid) Regulations 1981
Guidance Approved Code of Practice and Guidance.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 1 of 8
Implementation
Subject to the transitional arrangement noted below, consistency with the
guidance aspects and compliance with the essential aspects of this
Arrangement must be demonstrated by all Areas within 12 months of the above
issue date. Satisfactory progress towards this requirement must be
demonstrable to the satisfaction of the local Joint Health & Safety Committee
within 6 months of that date.
Where an Area has a pre-existing contract with an external provider, the
contract should be reviewed at the earliest opportunity to ensure consistency
with the guidance aspects and compliance with the essential aspects of this
Arrangement.
Attention is drawn to Annex 2 regarding the additional timescale relating to the
training of occupational health nurses (as necessary). This does not override
the basic requirement to comply with the timescales for implementation of this
Arrangement as set out above.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 2 of 8
ANNEX 1
NATURE AND SCOPE OF AREA OCCUPATIONAL HEALTH FUNCTIONS
Introduction
This Annex sets out the detailed essential requirements for the provision of
Occupational Health (OH) support within Areas together with the relevant local
and national service delivery monitoring requirements and supporting
guidance.
Medical Confidentiality
The requirements of medical confidentiality must be strictly observed at all
times. OH Practitioners must stay within the terms of their code of professional
conduct. They are not permitted to divulge personal medical information
relating to specific individuals without the agreement of that individual.
Essential Requirements
In order to comply with the overriding requirement for the provision of OH
functions within Areas, each Area must make the necessary arrangements to
ensure compliance with the following criteria:
• The OH Function should, as a minimum, be nurse led (other than where
current arrangements are with an appropriately qualified physician (see
Annex 2)).
• OH nurses must have access to a suitably qualified and experienced OH
physician.
• OH advice is to be available at times appropriate to the needs of the
Area. Provision must be made for matters requiring urgent attention at
other times. (NB this latter provision relates to general (ie non treatment)
OH advice. Matters requiring immediate medical treatment must be
referred to the appropriate local NHS services).
• The OH Function provides relevant advice and support on the range of
issues identified within the OH subsection of the Arrangements Index
within Section 4 of the National Health & Safety Policy Manual.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 3 of 8
Where the provision is from an external supplier, the Area should consider
whether this is on the basis of a unique contract from the Area or whether a
joint supply partnership contract with other parties would be more cost
effective. Partnership contracts could be established with:
• Adjacent Areas (whether or not on a regional basis). NPD HR will assist
in the facilitation of inter-Area partnerships where required.
• With other local organisations – eg Local Authorities, the NHS, Prisons,
Courts etc.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 4 of 8
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 5 of 8
Introduction
This Annex provides general guidance on the issues which should be covered
within tendering documents, service agreements, role descriptions etc. It is not
intended to be exhaustive – but covers the basic underpinning requirements.
Areas should use this guidance in the preparation of local detailed
documentation in accordance with local practice (eg re general tender
conditions etc). The relevant documentation should include the following
features.
Medical Confidentiality
• The statement on medical confidentiality set out in the Area Arrangement
must be clearly referenced within the documentation.
OH Practitioner
• The role must, as a minimum, be nurse led – specify the minimum
qualification and experience requirements (see Annex 2).
• Access to be required to an OH Physician - specify the minimum
qualification and experience requirements (see Annex 2).
OH Practitioner availability
• Specify the hours to be worked and when these are to be worked
(determined on local need).
• Indicate the need/requirements for ‘out of hours’ access and the means for
achieving this.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 6 of 8
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 7 of 8
Other OH Support
• Provision of OH advice relating to reasonable adjustments to work activities.
• The following issues may also be of value to an Area dependent on the
availability of appropriate resource/funding:
• Provision of advice relating to new OH legislative requirements/
initiatives;
• Involvement in local workplace inspections where health issues have
been identified;
• Advising on/organising local health promotion initiatives/events and
raising general awareness.
Maintenance of Records
• The OH provider must maintain adequate records.
• Subject to the caveat given immediately below, relevant records must be
available for inspection by the appropriate authority (eg those charged with
the responsibility of managing the contract, undertaking clinical excellence
monitoring etc).
• The maintenance of, access to, and security of storage, of all OH records
must take account of personal medical confidentiality.
• Appropriate records should include:
• Pre employment/placement referrals;
• Individual records relating to sickness absence advice;
• Medical examinations and assessments;
• Review of sickness absence information;
• All reports provided to the Area.
Uncontrolled Copy
PROVISION OF Doc Ref: NPS/HS/7
OCCUPATIONAL HEALTH SUPPORT TO AREAS
Issue Number: 2 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 8 of 8
ANNEX 2
MINIMUM QUALIFICATION & EXPERIENCE REQUIREMENTS FOR OH
PRACTITIONERS
Introduction
This Annex sets out the minimum qualification and experience requirements for
OH Practitioners (Nurses and Physicians).
OH NURSES
1. Subject to the caveat at ‘2’ below, an OH nurse must be one who is
currently registered as an ‘Occupational Health Nurse in Public Health’
by the Nursing and Midwifery Council.
2. It is acknowledged that there is currently a national shortage of
registered OH nurses in England & Wales. Where it is not reasonably
practical to acquire the services of such an individual, a nurse
undergoing OH training is acceptable provided they are:
• Under the supervision of an OH registered nurse;
• The supervising OH nurse is available to provide timely advice to the
trainee – though does not have to be co-located;
This interim measure will cease to have effect from 1st January 2010.
3. Where reasonably practicable, the OH nurse (or nurse undergoing OH
training) should have experience of working in a diverse, multicultural,
multiethnic organisation. This requirement will be dependent on local
needs.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 1 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 2 of 19
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:
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.
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
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 3 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 4 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 5 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 6 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 7 of 19
2) CONTROL
In effect, how much say does an individual have over their work program
Possible Causes
• Lack of consultation in setting tasks and priorities.
• Lack of promotion of initiatives by teams and individuals.
Possible Solutions
• Seek agreement on objectives, roles, priorities etc.
• Establish agreed time boundaries – and keep to them
• Ensure individuals & teams have a reasonable degree of control over the
pace of their work.
• Seek to allow reasonable individual control on daily work patterns (eg timing
of breaks, sequencing of differing tasks etc) to ensure the use of the day is
optimised.
• Encourage individuals to use their skills and initiative in undertaking their
work (within the boundaries of the requirements of the work).
• Encourage individuals to develop their skills and knowledge to enable them
to perform their current work more effectively and to take on new and
interesting challenges within the Area.
• Ensure regular Supervision and Appraisal sessions to promote and support
the above issues.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 8 of 19
4) RELATIONSHIPS
Positive working relationships are an essential feature of preventing work
related stress and providing a platform for improvement.
Possible Causes
• Unacceptable styles of behaviour by both managers and staff towards each
other. This includes:
• Bullying;
• Harassment;
• Discrimination;
• Gossiping;
• It may take the form of physical or verbal behaviour.
Possible Solutions
• Build a positive and open culture based on trust and respect.
• Ensure that the Area policies on bullying, harassment, discrimination etc are
in place, up-to-date, understood and fully implemented. Failure to follow the
local policy/codes must be dealt with as a disciplinary matter without delay.
• Ensure that the policies include provision for individuals to identify problems
in a confidential manner.
• Provide training/instruction/information to those who are the cause of poor
relationships (to improve their behaviour) and to those affected by poor
behaviour (to build confidence etc).
5) ROLE
Do people understand their role within the Area’s work programme?
Possible Causes
• Lack of understanding of job requirements, objectives etc.
• Changing circumstances since initial recruitment/appointment.
• Poor communication.
• Poor consultation and involvement in planning.
Possible Solutions
• Is the impact of possible future role changes adequately addressed at the
time of selection (recruitment or appointment).
• Ensure people are openly consulted on their roles and objectives (both
routinely and, as appropriate, at scheduled appraisals).
• Are detailed Job Descriptions available and do people fully understand the
intent.
• Are specific work plans agreed for both routine and occasional activities.
• Ensure tasks/expectations and individuals’ skills, training & experience are
matched.
• Establish an agreed process by which individuals can raise concerns re
possible conflicting roles and priorities.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 9 of 19
6) MANAGEMENT OF CHANGE
Managing change to ensure stress is reduced/eliminated
Possible Causes
• By its very nature, change can be a cause of stress at all levels within an
Area.
• Change produces uncertainty re future job security, work demands etc
particularly where there is not a positive consultation & communications
programme in place.
Possible Solutions
• Early consultation provides a basis for good future communication, and can
often result in positive input to the programme from within a team.
• Staff should be actively consulted on proposals for change and the
associated timetables. Reasons must be explained.
• Staff should be encouraged to contribute to the change process.
• Keep all employees informed of developments by providing timely
information on timetabling and the reasons for change.
• Where permanent or long term changes to jobs or roles are anticipated full
training/instruction/information should be provided in advance to equip the
individual with the necessary new skills/knowledge to undertake the new
tasks effectively. (Note in the event of emergency cover being required to
cover short term absence etc this will not be practical – line managers will
need to assess if any short term training measures are required.)
• Where it is recognised that some individuals may experience considerable
anxiety as a consequence of the proposed changes then the Support
Services set out in Annex 4 should be actively considered.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 10 of 19
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.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 11 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 12 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 13 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 14 of 19
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.
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 15 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 16 of 19
Overall evaluation
COMMENTS RE EVALUATION
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)
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 17 of 19
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.
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);
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 18 of 19
Uncontrolled Copy
STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 19 of 19
Uncontrolled Copy
TOBACCO SMOKING Doc Ref: NPS/HS/9
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 1 of 3
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.
Uncontrolled Copy
TOBACCO SMOKING Doc Ref: NPS/HS/9
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 2 of 3
Uncontrolled Copy
TOBACCO SMOKING Doc Ref: NPS/HS/9
th
Issue Number: 1 Date of Issue: 5 April 2004
Issued by: Andrew Nicoll Page 3 of 3
• Where designated general smoking areas are provided within a building (ie
in a room specifically designated as a ‘smoking room’):
External ventilation must be provided to prevent drift of smoke into the
remainder of the building and to provide a clean environment for
cleaning and maintenance personnel. (External ventilation by extractor
fans capable of changing the air in the room 2 – 3 times per hour will
normally suffice to prevent drift of smoke. These must be operated
when smokers are using the room. Access by cleaning/maintenance
personnel (other than those who are themselves smokers) should be
arranged such that the air in the room has had time to adequately clear,
typically for about an hour);
Access doors must be kept closed to prevent drift of smoke into the
general work areas.
• Where designated smoking areas are outside of a building they should be
located:
To afford smokers some protection from the elements (where
reasonably practicable);
In a way to ensure that non smokers are not exposed to environmental
tobacco smoke eg not near entrances or open windows (smoking at
entrances to buildings should be discouraged as a matter of principle).
Uncontrolled Copy
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
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by NPD with immediate
effect and by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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
Uncontrolled Copy
CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10
PERFORMANCE
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 3 of 4
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.
Uncontrolled Copy
CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10
PERFORMANCE
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 4 of 4
References
Uncontrolled Copy
FIRE PROTECTION Doc Ref: NPS/HS/11
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Bill Wood Page 1 of 3
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.
Uncontrolled Copy
FIRE PROTECTION Doc Ref: NPS/HS/11
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Bill Wood Page 2 of 3
Uncontrolled Copy
FIRE PROTECTION Doc Ref: NPS/HS/11
Issue Number: 2 Date of Issue: 1st April 2005
Issued by: Bill Wood Page 3 of 3
References
Uncontrolled Copy
ASBESTOS Doc Ref: NPS/HS/12
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by NPD with immediate
effect and by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
ASBESTOS Doc Ref: NPS/HS/12
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 2 of 3
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.
Uncontrolled Copy
ASBESTOS Doc Ref: NPS/HS/12
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 3 of 3
• If they discover any suspect or damaged material during the course of their
work they should report it to the local Area management and their own line
manager.
• If they accidentally damage or disturb ACM during their work they should
evacuate the area and report to the local Area management and their own
line manager.
References
Uncontrolled Copy
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
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by NPD with immediate
effect and by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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
Uncontrolled Copy
MANAGEMENT OF SAFETY IN THE NPS Doc Ref: NPS/HS/13
ESTATE
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 3 of 3
References
Uncontrolled Copy
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
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by NPD with immediate
effect and by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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
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.
Information to Individuals
• Local Area staff should be made aware of all emergency action plans
associated with the Permit to Work.
Uncontrolled Copy
PERMITS TO WORK Doc Ref: NPS/HS/14
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 3 of 4
References
Uncontrolled Copy
PERMITS TO WORK Doc Ref: NPS/HS/14
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Bill Wood Page 4 of 4
PERMIT-TO-WORK
Permit title:- Permit number:-
Job location:-
Plant identification:-
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)
. Completion:-
(signed by the person undertaking any required testing and re-commissioning to confirm plant etc
satisfactory)
Uncontrolled Copy
CONTINGENCY PLANNING Doc Ref: NPS/HS/15
Issue Number: 1 Date of Issue: 5th April 004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
CONTINGENCY PLANNING Doc Ref: NPS/HS/15
Issue Number: 1 Date of Issue: 5th April 004
Issued by: Kathryn Ball Page 2 of 3
Introduction.
It is a basic tenet of Contingency Planning that:
• Key staff are identified to handle specific issues.
• Key information re communication and the supply of equipment and
services is available to those identified members of staff.
The objective is to ensure that the right team of managers and support staff
are rapidly deployed to resolve the immediate impact of the initiating event (eg
fire resulting in loss of an Approved Premise). Detailed planning is not
appropriate (all contingencies cannot be covered – key is flexibility).
Whilst the various FM etc contractors will provide (though NPD) support in the
longer term, nonetheless Areas need to be in a position to deal with the
immediate aftermath of contingencies which render buildings or services
unusable. This Arrangement is aimed primarily at ensuring that this initial
phase is undertaken with due regard for the health, safety & welfare of
employees and others who may be affected by the event.
Where work is undertaken in non NPS premises (eg prisons, courts etc), the
contingency arrangements will be the responsibility of the organisation
responsible for those premises.
Nature of events
Identify the type of contingencies which could significantly affect operations
within the given Area etc (eg Fire, flood, terrorist or other violent activity, loss
of power, sudden loss of Approved Premises services, loss of significant
numbers of staff etc).
Key Staff
• Identify: key staff and their respective roles in the event of an emergency.
(This should include operational staff and the person in the Area
responsible for media liaison.)
• Ensure key staff are properly briefed/trained re their responsibilities. The
training will need to take account of the circumstances under which the
contingency plans must be activated. Exercising the plans provides an
excellent opportunity to test both the training requirements and the plans
themselves.
• Ensure there are adequate means of alerting the key staff (problems may
occur outside office hours).
Resources
• Maintain (and ensure the key staff have 24 hour access to) contacts for
any immediate requirements for replacement resources including:
o Alternate accommodation (neighbouring Areas may assist re Approved
Premises);
o Emergency generators;
o Drinking water supplies & sanitation;
Uncontrolled Copy
CONTINGENCY PLANNING Doc Ref: NPS/HS/15
Issue Number: 1 Date of Issue: 5th April 004
Issued by: Kathryn Ball Page 3 of 3
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.
Uncontrolled Copy
COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 5
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 5
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.)
Uncontrolled Copy
COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 5
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.
Uncontrolled Copy
COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 4 of 5
• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential
change is introduced.
• Or whenever there are reasons to believe the assessment is no longer
valid (eg the identification of previously unidentified hazards).
The review must be recorded (eg in the space provided in the Model
Assessment Form) where no changes are identified or by completing a new
assessment form where changes are required.
References
Uncontrolled Copy
COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 5 of 5
Distribution
Line Manager Safety Reps H&S Adviser Workplace
Uncontrolled Copy
DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 3
Introduction.
Business driving presents an additional level of occupational risk to the health
& safety of staff. This Annex provides outline guidance aimed at minimising
this additional risk factor.
Choice of Vehicles
All vehicles used on NPS business must be fit for the purpose to which they
are being put. In particular they should:
• Be properly insured for the purpose (ie have third party and business
cover);
• Be taxed and have a current MOT certificate (if appropriate);
• Be roadworthy (tyres, brakes, lights, steering, safety belts etc all
functional);
• Not be fitted with ‘bull bars’;
• Not be overloaded (with people or equipment);
• All tools and equipment must be locked away from offenders. Any
modifications to vehicles to permit the storage or carriage of tools and/or
equipment must be in accordance with the appropriate Motor Vehicles
(Construction and Use) Regulations.
Work Planning
Planning of work to minimise fatigue and minimise overall risk is a key
element of occupational road safety. In particular:
• Is the journey really necessary – can video conferencing or a simple
telephone conference call suffice? Can public transport be used?
• Journeys must be assessed and planned to ensure that sufficient time is
available to reach the destination in good time whilst travelling within the
appropriate speed limits (drivers are personally liable for any
infringements).
• Long spells at the wheel should be avoided. Current advice (Ref 1) is that
breaks of 15 minutes per 2 hours should be taken. When other tasks are
involved in the day (meetings etc), managers must take the total time into
consideration in authorising the travel arrangements. This will need to
take account of the likely duration of the ‘other’ tasks and the potential for
additional causes of fatigue.
• External factors (adverse weather, remoteness of locations, road
conditions etc) and any additional factor which might have an impact on
fatigue should be taken into account in work planning involving driving.
Driving Competences
For normal occupational driving within the NPS there is no need for special
training and competences (other than the need to hold a current driving
licence). Special training is required for staff who:
• Are required to drive vehicles significantly different to their normal
experience (eg mini-buses, towing trailers (NB: 50mph speed limit when
towing) etc). This should normally be undertaken by an accredited trainer
Uncontrolled Copy
DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
General considerations
In addition the following matters should be considered:
• There must be no distractions to the driver. This is a particular
consideration if transporting disruptive offenders. If identified in the
offender/group risk assessment, a second officer may need to be provided.
Eating & drinking should be discouraged when a vehicle is in motion.
Smoking is not permitted in NPS Vehicles (see NPS/HS/9).
• Except in emergency situations where instant communication is necessary
because of an accident, injury or threat of violence/assault:
the use of hand held mobile telephones (or similar communications
equipment) by drivers is prohibited whilst vehicles are either in motion
or are stationary with the engine running;
the use of ‘hands free’ mobiles should be discouraged (because of the
distraction they present).
See also Reference 2.
• Seat belts must be used at all times.
• Care should be exercised in respect of lone driving with a single
passenger (particularly an offender). Subject to the risk assessment this
should be discouraged where possible.
• NPS owned vehicles should be fitted with first aid equipment, fire
extinguishers, warning triangles, appropriate signage when carrying
hazardous materials and mobile phones for emergency contacts.
• Subject to an appropriate risk assessment, Areas should consider the
provision of such equipment for private & hired vehicles used regularly (eg
weekly) or for extensive annual distances (eg in excess of 10,000 miles)
on NPS business.
• Manual handling requirements will apply when loading and unloading
vehicles, roof-racks and trailers.
References
Ref No Issue 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.
Uncontrolled Copy
DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 2
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 2
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
Uncontrolled Copy
ELECTRICITY AT WORK Doc Ref: NPS/HS/19
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 4
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
ELECTRICITY AT WORK Doc Ref: NPS/HS/19
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 4
Uncontrolled Copy
ELECTRICITY AT WORK Doc Ref: NPS/HS/19
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 4
Uncontrolled Copy
ELECTRICITY AT WORK Doc Ref: NPS/HS/19
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 4 of 4
Uncontrolled Copy
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
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.
Uncontrolled Copy
JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 3
ANNEX 1
OUTLINE GUIDANCE: JOINT HEALTH & SAFETY COMMITTEES
General guidance
This Annex provides guidance for compliance with the mandatory
requirements for Joint Health & Safety Committees (JHSC’s) in Areas and the
NPD (a statutory requirement (Ref 1)). The JHSC’s provide an essential role
in assisting in the improvement of health and safety performance. They are
not, however, a substitute for the overall management role. Area (and NPD)
management remains the accountable body for health & safety performance.
Committee structures
In most circumstances a single committee will suffice. However in larger
Areas it may be appropriate to support the main Area JHSC by means of 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.
Uncontrolled Copy
JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
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
Uncontrolled Copy
LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 3
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.
Uncontrolled Copy
LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
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.
Uncontrolled Copy
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.
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 2
ANNEX 1
OUTLINE GUIDANCE: MANUAL HANDLING ACTIVITIES.
General Guidance
Manual handling activities include the lifting, carrying, pulling or pushing of
any object. There are three basic steps to Manual Handling assessments:
• Avoid manual handling activities which could pose a hazard (eg design out;
find alternative methods of working; or use appropriate lifting equipment);
• Assess any activities which cannot be avoided;
• Reduce the risk so far as reasonably practicable;
• Avoid repetitive manual handling tasks.
Detailed guidance on undertaking manual handling risk assessments for a
broad range of tasks is available from the HSE (Ref 1 & 2). Issues to be
taken into account in assessing and minimising risk are:
• Review the task: are long carrying distances involved, is there a better way
of doing it – eg by using a trolley or splitting the load into smaller units;
• Review the ‘load’: beware sharp edges, is the load unwieldy, does it contain
hazardous materials, are there suitable carrying handles/grips;
• Review the intended working environment: is space restricted; are there
steps, stairways, uneven floors, slippery surfaces or other obstructions on
the route (is there a better route?);
• What is the capacity of the individual: are they reasonably capable of
performing the task,(taking account of groups at particular risk eg new and
expectant mothers, particular medical conditions, disabled people etc) have
they been instructed or trained in lifting techniques;
• Ensuring that information is available in the workplace eg posters regarding
good lifting techniques etc.
Recording the Assessment.
Where a formal written assessment has been made (in accordance with
regulatory requirements or for any other reason - usually for activities posing a
significant risk of injury without additional precautions having been taken) this
should be maintained in accordance with the NPS guidelines for normal
workplace Risk Assessments (NPS/HS/3).
Reviewing the Assessment.
For continuing manual handling activities, the risk assessment should be
reviewed in accordance with the NPS guidelines for normal workplace Risk
Assessments (NPS/HS/3). Note that in this case a review will be required
when the individual(s) involved in the activity change from those involved at
the time of the original assessment (ie capabilities of individuals will differ).
References
Ref No Issue Referenced Source
1 Assessments HSE: Manual Handling Regulations,
Guidance on Regulations.
2 Assessments HSE: ‘Manual Handling Assessment Charts’
(known as ‘MAC’).
Uncontrolled Copy
NIGHT WORKING Doc Ref: NPS/HS/23
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
NIGHT WORKING Doc Ref: NPS/HS/23
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 3
ANNEX 1
OUTLINE GUIDANCE: NIGHT WORKING
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
Uncontrolled Copy
NIGHT WORKING Doc Ref: NPS/HS/23
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
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
Uncontrolled Copy
PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 3
ANNEX 1
OUTLINE GUIDANCE: PERSONAL ASSISTANCE ALARMS
General Comments
• Personal Assistance Alarms (PAA’s) include installed systems with fixed
alarm points, installed systems with mobile alarm activators carried by
employees, telephones (mobile or landline) with a single button/speed dial
capability of dialling the emergency number, etc. Where mobile alarm
activators are used with neck lanyards etc these must be of a quick
release design.
• PAA’s are the last form of defence. As such they form a key part of a
‘defence in depth’ approach to the avoidance of assault and violence.
• The type of PAA and the location/positioning of fixed call points should be
assessed against the level of risk to the employee. All systems should be
capable of being easily activated, in an unobtrusive manner, by all
employees (taking into consideration disability issues).
• Employees should be encouraged to summon assistance as soon as they
feel the situation is significantly deteriorating.
• Alarms should be indicated in areas other than just reception areas
(particularly in respect of reception area activated alarms).
• Whilst NOMS Property may be responsible for installation & maintenance
of PAA systems, nonetheless, Areas (as the ‘Local Employer’) are
accountable for provision of a safe place of work. This must be taken into
account in respect of the installation of systems and the actions to be
taken in the event of a system failure.
Uncontrolled Copy
PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
Testing.
• PAA systems should be tested at least weekly (with particular emphasis
on testing local alarm points at particularly vulnerable locations particularly
in Approved Premises and interview rooms).
• The local office/AP log should record the test and the outcome.
• Faults must be reported immediately to the line management (and to
NOMS Property where they are responsible for the installation).
Contingency plans.
• Areas should have in place contingency plans for actions to be taken in
the event of an alarm being activated (particularly the responsibility for
alerting the appropriate authorities where this is not automatically
activated) and also to cover the event of a PAA failure.
• NOMS Property should have in place procedures for responding to a failed
PAA system to ensure the problem is rectified without delay.
• Suitable records should be kept of the use of alarms.
Uncontrolled Copy
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
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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.
Uncontrolled Copy
PERSONAL PROTECTIVE EQUIPMENT Doc Ref: NPS/HS/25
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
Training
All users of PPE must be trained in the correct use of the equipment including:
• Dressing and checking (some equipment such as respiratory protective
equipment needs to be properly donned and checked to ensure it works as
required);
• Undressing (eg the correct procedure for respiratory protective equipment
and potentially contaminated clothing/gloves etc).
• The conditions in which the equipment may be used (noting any relevant
limitations of individual items of equipment).
Other Issues.
Contractors’ employees should be provided with the relevant PPE by their
own employer. Nonetheless Area arrangements should include the need to
liaise and cooperate with Contractors to ensure that where PPE to protect
against hazards created by each others’ activities is required that this is
identified and supplied as necessary.
Uncontrolled Copy
TRAINING & INSTRUCTION Doc Ref: NPS/HS/26
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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)).
Refresher training
• Practices, regulations and best practice develop with time. Refresher
training of all staff is thus essential whenever there are significant changes
to procedures etc.
Uncontrolled Copy
TRAINING & INSTRUCTION Doc Ref: NPS/HS/26
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
Records
Areas should maintain records of the training undertaken by individual
employees. Case records should include the training undertaken by
offenders.
Uncontrolled Copy
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.
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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.
Uncontrolled Copy
USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 3
References
Ref No Issue Referenced Source
1 General Guidance HSE: ‘Safe use of Work Equipment’
Uncontrolled Copy
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
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
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).
Uncontrolled Copy
VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 3 of 4
Work planning
• Particular care need to be exercised to avoid offenders or groups of
offenders coming into inappropriate contact with each other or other
persons.
• Working in pairs reduces the risk (particularly applicable to high risk
offenders/groups of offenders).
• When making home visits, plan the route, car parking and access to the
home with care. Home visits should be in normal office hours and in
daylight.
• Specific risk assessments are required when handling money or other
valuables in premises or where these need to be transported regularly
(which should be avoided – if it is necessary, vary the route & timing and
use pairs).
Interview facilities
Consideration should be given to the following:
• Convex mirrors, CCTV and vision panels in doors;
• Personal assistance alarms unobtrusively in reach (essential in nearly all
cases);
• There should be restricted access between interview rooms and general
office areas. In the event of assistance being summoned this should be
immediately available.
• Furniture arrangements (employees nearest the door) and no inadvertent
materials which could become potential missiles.
Reception areas
It is generally accepted that reception areas should be welcoming (to
minimise anxiety and reduce the possibility of violent behaviour).
Nonetheless they should be designed to ensure that adequate protection is
afforded to the reception worker. This will vary from location to location but
due account should be taken of:
• Physical barriers (ranging from simple systems designed to prevent direct
access to full toughened glass screens);
• Switchable microphone systems (which allow a degree of isolation from
verbal abuse).
Uncontrolled Copy
VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 4 of 4
References
Ref No Issue 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
Uncontrolled Copy
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.
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
OUTDOOR WORKING Doc Ref: NPS/HS/29
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 2 of 2
ANNEX 1
OUTLINE GUIDANCE: WORKING OUTDOORS
General Guidance
The general Risk Assessment associated with the intended work will identify
any particular training requirements (eg associated with working on or near
water, on farms etc). The following points should also be considered in
undertaking the risk assessment and also as a matter of general welfare.
Outdoor clothing
Account should be taken of any need for:
• Suitable clothing to protect against the elements (eg warm/waterproof
clothing, protection against sunburn etc);
• Special footwear (Wellington boots, boots with adequate grip soles when
working in muddy areas etc);
• High-visibility jackets if working near roads;
• Change of clothing.
Safety devices etc
• When working on or near water (of appropriate depth) lifebuoys and lines
should be immediately available. Rescue craft should be considered when
working in deep open water.
• Fire extinguishers might be appropriate in certain circumstances where
there is a risk of fire.
• First aid materials should be readily available.
• Access to (and by) the emergency services.
Protective clothing
• Work on or near water (rivers, streams, ponds, lakes etc), with livestock
and in certain other locations carries a special risk of contact with
biological hazards (eg weils disease, tics etc). In such circumstances
appropriate protective clothing must be worn (particularly gloves, ensuring
normal clothing prevents exposure of skin to parasites etc etc).
• Work on farmland may carry particular risk of exposure to biological and
chemical hazards (herbicides, pesticides etc) and appropriate clothing may
be required.
• Working with some vegetation carries a risk of abrasions from thorns etc –
appropriate clothing should be worn to guard against this.
• Work on construction sites requires specific use of protective clothing (eg
hard hats) as a matter of law.
• As a general rule, when in doubt, wear gloves.
Toilets, washing and general hygiene.
• Suitable arrangements should be made for access to toilet facilities and
clean water & soap for washing hands.
• Cuts should be covered by waterproof dressings.
Allergies
• Special care should be taken in respect of any individuals with particular
allergies (eg wasp stings).
Uncontrolled Copy
COMPETENT PERSONS Doc Ref: NPS/HS/30
Issue Number: 1 Date of Issue: 5th April 2004
Issued by: Kathryn Ball Page 1 of 1
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Transitional arrangements: Where employees are currently undertaking an
accredited course (for the relevant qualifications defined above) at the date of
issue of this Arrangement, the qualifications are to be achieved within 2 years
of that date (except in exceptional circumstances as ratified by the local Area
Board).
Uncontrolled Copy
FACILITIES, TIME AND ASSISTANCE FOR TRADE Doc Ref: NPS/HS/31
UNION HEALTH & SAFETY REPRESENTATIVES
Issue number: 1 Date of Issue: 1st December 2004
Issued by Bill Wood Page 1 of 3
Implementation
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
FACILITIES, TIME AND ASSISTANCE FOR TRADE Doc Ref: NPS/HS/31
UNION HEALTH & SAFETY REPRESENTATIVES
Issue number: 1 Date of Issue: 1st December 2004
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;
Uncontrolled Copy
FACILITIES, TIME AND ASSISTANCE FOR TRADE Doc Ref: NPS/HS/31
UNION HEALTH & SAFETY REPRESENTATIVES
Issue number: 1 Date of Issue: 1st December 2004
Issued by Bill Wood Page 3 of 3
References
Uncontrolled Copy
HOME WORKING Doc Ref: NPS/HS/32
st
Issue Number: l Date of Issue: 1 December 2004
Issued by: Bill Wood Page 1 of 3
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health & Safety
Committee has formally agreed that the current local arrangements are of a
high quality; and in all other cases:
• Within 6 months of the above issue date.
Uncontrolled Copy
HOME WORKING Doc Ref: NPS/HS/32
st
Issue Number: l Date of Issue: 1 December 2004
Issued by: Bill Wood Page 2 of 3
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):
Uncontrolled Copy
HOME WORKING Doc Ref: NPS/HS/32
st
Issue Number: l Date of Issue: 1 December 2004
Issued by: Bill Wood Page 3 of 3
• 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)
References
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 1 of 8
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 2 of 8
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.
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.
• 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
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 3 of 8
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.
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 4 of 8
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 5 of 8
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’.
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 6 of 8
The actions taken will have reduced the level of risk to either ‘moderate’ or ‘minimal’.
However, as a prudent employer and irrespective of the actions taken, reasonable
consideration should also be taken of the perception of the employee in respect of the
residual risk. The following provides guidance in this respect.
1) Where the residual risk is ‘moderate’ following proposed modification to the task
requirements, working environment or work patterns, reasonable consideration
should be given to alternative employment where this is specifically requested
and particularly where the employee's medical advisor considers this would
benefit the health & safety of the mother or child.
2) Where the residual risk is ‘minimal’ following the proposed modification to the
task requirements, working environment or work patterns, consideration should
only be given to alternative employment where this is supported by specific
written advice from the employee’s medical advisor.
3) Irrespective of the level of residual risk (minimal or moderate) the employee
should have the facility to discuss with their line manager if they are concerned
that the circumstances of a particular task are such that they are concerned for
the health and safety of themselves or their child – and may be concerned about
proceeding with the allotted task. The Area OH/H&S Advisor will be able to
assist in such cases.
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.
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 7 of 8
Uncontrolled Copy
NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
st
Issue Number: 1 Date of Issue. 1 April 2005
Issued by: Kathryn Ball Page 8 of 8
Distribution
Line Manager Safety Representatives Employee
H&S Adviser OH Advisor HR Manager
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 1 of 20
Implementation
Consistency with the guidance aspects and compliance with the essential
aspects of this Arrangement must be demonstrated by all Areas within 12 months
of the above issue date. Satisfactory progress towards this requirement must be
demonstrable to the satisfaction of the local Joint Health & Safety Committee
within 6 months of that date.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 2 of 20
ANNEX 1
PRE-EMPLOYMENT HEALTH ASSESSMENTS
Introduction
This Annex sets out the minimum requirements for pre-employment health
assessment which must be undertaken in all Areas. In addition it provides
guidance on the manner by which such assessments should be undertaken.
This latter aspect includes a ‘model’ questionnaire and who should do what with
the results.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 3 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 4 of 20
ANNEX 1.1
Model Pre-Employment Health Assessment Questionnaire for guidance
The National Probation Service operates within a framework of always seeking to ensure that the
health and safety of all our employees is properly protected. As a prospective employee it is thus
very important to us to be able to take full account of any health issues you may have. To help us
achieve this, please answer the following questions to the best of your knowledge. All the information
will be handled by the HR and Occupational Health Departments and treated in full confidence.
Please answer all the questions by answering yes or no. For example, if you have never suffered
from any allergic conditions please enter ‘no’. If you do now, or have in the past suffered from this,
please enter ‘yes’. Please use the comments column to indicate if this is a current or past problem
together with any other brief details. This will help us to assess what special provisions might be
appropriate for you.
If you want to add any further information, please use the box at the end of the table or use an
additional sheet of paper (please remember to include your name if you use additional sheets). If you
want any of your additional comments to be seen only by a nurse or doctor, please put these in a
sealed envelope with your name written on the outside and marked ‘For Occupational Health Only’
and return this together with this completed form in the envelope supplied.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 5 of 20
Please add any additional information in this space regarding your current or past health that you
think might be helpful.
If you have any particular requirements as a consequence of your health or any other reasons
please let us know in this space.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 6 of 20
Thank you for completing this questionnaire. Your answers will be treated in full confidence. As we
said, this will help us to take account of any health issues – however to do this it is important that you
answered the questions to the best of your ability. Please spare a moment to check your answers
since if it subsequently emerges that you have knowingly provided incorrect answers this could result
in us needing to review your employment with us. When you are happy with your answers please
sign and date it below and return it in the envelope provided.
Footnotes; Summary of your rights under the ‘Access to Medical Reports Act 1998’
• If you have agreed to Option 3 (you wish to see the report before it is released to us) you
must notify your medical advisor and arrange to see the report within 21 days. If you have
not contacted your medical advisor within 21 days they are allowed to release it to us. If
you see anything you consider to be incorrect or misleading, you may request that your
medical advisor amends the report or attaches a written statement containing your views.
Once you have seen your report you will need to provide your medical advisor with written
consent for it to be released.
• Whether or not you chose to see the report, you have the right to ask your medical advisor
to let you see any report up to 6 months after it has been supplied.
• Your medical advisor is entitled to withhold some or all of the information contained in the
report if s/he feels it may be harmful to you, it would indicate their intentions in respect of
you, or it would reveal the identity of another person without their consent.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 7 of 20
ANNEX 2
GUIDANCE RE PRE-PLACEMENT HEALTH ASSESSMENTS
Introduction
As set out in the ‘Specific Requirements’ on page 1 of this Arrangement,
Areas are required to:
1. Review the health assessment prior to an employee, who is subject to
any previously agreed health related work adjustments, undertaking a
significant change in their duties.
2. Consider undertaking pre-placement health assessments for all
significant changes in respect of existing employees.
This Annex sets out guidance in respect of these two requirements
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 8 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 9 of 20
ANNEX 3
SPECIFIC ROUTINE HEALTH ASSESSMENTS
Introduction
This Annex sets out the requirements which must be included within the
occupational health assessment programme within each Area. It is to be
noted that such assessments are undertaken for one or both of the following
reasons:
1. to ensure that an individual is subject to appropriate medical
surveillance as a consequence of exposure to potentially harmful
environments.
2. to establish the fitness of an individual to undertake work and the
identification of any appropriate measures;
In each case the following issues are covered:
• The specific triggers prompting assessment: this identifies who should
be subject to an appropriate health assessment. In all cases these
may be overridden following advice from an OH Practitioner or the
individual employee’s personal medical advisors (GP, specialist etc) or
as a consequence of a specific risk assessment or the result of an
accident inquiry.
• The frequency of assessment.
• The specific assessment (ie questionnaire, tests or examination) to be
undertaken;
• Who should be undertaking the assessments (NB unless stated
otherwise ‘OH Practitioner’ should be taken in the following tables as
normally referring to an ‘OH Nurse’).
Specific Requirements
The specific requirements for routine health assessments are set out for the
following work activities. Two groups are identified – those which will be
required by most Areas and those which may only be applicable in a limited
number of circumstances
Common requirements applicable to most Areas:
a) Shift workers required to work at night (as defined in the Working Time
Regulations. This will include permanent night workers - see
NPS/HS/23).
b) Employees identified from biological contamination risk assessments
(see NPS/HS/4).
c) Employees working with display screen equipment (see NPS/HS/18).
d) Employees driving on behalf of the NPS (see NPS/HS/17).
e) Employees who experience trauma as a result of their work (see
NPS/HS/18).
The detailed minimum requirements are set out in Annex 3.1
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 10 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 11 of 20
ANNEX 3.1
SPECIFIC MINIMUM REQUIREMENTS RE HEALTH ASSESSMENTS:
COMMON ISSUES
The tabulations which follow present the specific requirements for each of the
common work activities etc.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 12 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 13 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 14 of 20
ANNEX 3.2
SPECIFIC MINIMUM REQUIREMENTS RE HEALTH ASSESSMENTS:
LESS COMMON ISSUES
The tabulations which follow present the specific requirements for each of the
less common work activities etc which may only be applicable in a limited
number of circumstances (as ascertained from risk assessments or other
local information).
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 15 of 20
d) Employees who are authorised to drive fork-lift trucks for the NPS
A ‘without exception’ requirement
Triggers Employees regularly driving fork lift trucks as part of their
NPS duties.
Frequency of Every three years; or
assessment After an ill-health absence of more than a month if it is likely
that the illness may have affected fitness to operate; or
If advised otherwise by an OH Practitioner.
Specific The specific tests will be as per guidance in HSG 6. The
tests/examination OH Practitioner will be responsible for identifying the
appropriate test and examination regime.
Person qualified to The OH Practitioner will be responsible for identifying the
undertake the appropriate persons qualified to undertake the relevant tests
assessment and examinations.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 16 of 20
ANNEX 3.3
Model Night Worker Health Assessment Questionnaire
This questionnaire applies to those employees required to work at night as part of their normal work
pattern (including permanent night workers). Night work is as defined in the ‘Working Time
Regulations’. This format is for guidance only.
The National Probation Service operates within a framework of always seeking to ensure that the
health and safety of all our employees is properly protected. As a consequence of the shift work you
are or will be undertaking it is thus very important to us to be able to make any appropriate
adjustments to your work that take full account of any health issues you may have. To help us
achieve this, please answer the following questions to the best of your knowledge. All the information
will be handled by HR and/or the Occupational Health Department and treated in full confidence.
You need only answer the following questions if they relate to any current health issues. Please
answer the questions by ticking the appropriate spaces. This will help us to assess what special
provisions might be appropriate for you.
If you want to add any further information, please use the box at the end of the table or use an
additional sheet of paper (please remember to include your name if you use additional sheets). If you
want any of your additional comments to be seen only by a nurse or doctor, please put these in a
sealed envelope with your name written on the outside and marked ‘For Occupational Health Only’
and return this together with this completed form in the envelope supplied.
Please answer all the following questions NO YES
Do you have diabetes which requires treatment with insulin injections on a strict
timetable?
Do you have a heart or circulatory disorder which could impair your physical stamina?
Do you have a stomach or intestinal disorder (eg an ulcer) where timing of a meal or
medication is particularly important?
Do you have a medical sleep disorder or difficulty sleeping?
Do you have any other medical condition which requires regular medication to a strict
timetable?
Do you have any other medical condition which you would like to discuss with the
Occupational Health Nurse?
Please state whether you are male or female
Please add any additional information in this space regarding your current or past health that you think
might be helpful.
Thank you for completing this questionnaire. Your answers will be treated in full confidence. As we
said, this will help us to make any work adjustments to take account of any health issues – however to
do this it is important that you answered the questions to the best of your ability. Please spare a
moment to check your answers since if it subsequently emerges that you have knowingly provided
incorrect answers this could result in a reconsideration of your role. When you are happy with your
answers please sign and date it below and return it in the envelope provided.
Please print your full name
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 17 of 20
ANNEX 3.4
Model Driver Health Assessment Questionnaire
Do you presently (or have you at any time in NO YES Please include any brief
the past) suffer from/have problems with any of comments here (eg is a
the following: current or past matter)
Epilepsy (ie a seizure or fit)
Diabetes requiring insulin
Any visual disability involving both eyes (not
including short/long sight corrected by spectacles
or colour blindness)
Monocular vision (ie you only have sight in one
eye)
Double vision which is not controlled
Angina, or palpitations which are not controlled (eg
by medication)
Do you have a heart pacemaker?
Have you ever had a ‘heart attack’
High blood pressure
A stroke (if so please say when)
Unexplained loss of consciousness which has
reoccurred.
Problems with vertigo/dizziness (eg Menier’s)
Brain surgery, injury or cancer
Parkinson’s disease, multiple sclerosis or other
chronic neurological disease which could impair
your driving
Any severe psychiatric disorder
Alcohol or drug dependency in the past three years
Please continue on the next sheet
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 18 of 20
Page 2 of 2
Have you at any time ever suffered from/had NO YES Please include any brief
problems with any of the following: comments here (eg is a
current or past matter)
Dementia (including severe problems with memory
or confusion)
Sleep disorders
If you have any particular requirements as a consequence of your health or any other reasons please
let us know in this space.
Thank you for completing this questionnaire. Your answers will be treated in full confidence. As we
said, this will help us to make any work adjustments to take account of any health issues – however to
do this it is important that you answered the questions to the best of your ability. Please spare a
moment to check your answers since if it subsequently emerges that you have knowingly provided
incorrect answers this could result in a reconsideration of suitability to drive Area vehicles. When you
are happy with your answers please sign and date it below and return it in the envelope provided.
Please print your full name
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 19 of 20
ANNEX 4
GUIDANCE ON THE PROVISION OF ADVICE ON PERSONAL HEALTH
AND LIFE-STYLE HEALTH ISSUES
Introduction
This Annex provides guidance in respect of the provision of advice on
personal health and lifestyle issues. Specific guidance is given in respect of:
• Employee Assistance Programmes (EAP);
• Routine health assessments (general ‘annual medicals’);
• Provision of advice on lifestyle issues;
• Provision of advice on personal health issues.
EAP programmes
Whilst EAP programmes (ie counselling programmes) are specifically
required to comply with the requirements of Annex 3 of this Arrangement and
Arrangement NPS/HS/8 (Stress Management), the nature of the provision
should be identified locally. The determination will normally be led locally by
HR in consultation with the Trades Unions and others as appropriate (eg OH
and Staff Care Groups). The detail will be dependent upon local
circumstances.
Uncontrolled Copy
OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 20 of 20
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 1 of 12
Statement of Policy & Objectives.
It is NPS policy that ill-health in the workplace is effectively minimised and
(wherever possible) eliminated. The objective of this procedure is to identify the
role of Occupational Health in supporting this policy. As such, it supports the
overarching objective of providing a positive contribution to a culture of proactive
health promotion to improve the health & well being of our employees. In turn,
this will improve the quality of organisational performance and service delivery.
Scope of the Application.
The requirements in this procedure represent the best practice to be applied in
all NPS Areas in respect of the role of Occupational Health (OH) in assisting in
the reduction of ill-health amongst NPS employees. It does not apply to
offenders or other members of the public or to contractors’ employees.
Responsibility for managing sickness absence rests with the appropriate line
managers within Areas. The scope is thus limited to the provision of guidance
and advice by OH Practitioners (see NPS/HS/7) to managers (including HR) /
employees.
The elements of best practice which must be implemented are stated below
(‘Specific Requirements’). Detailed guidance for the implementation of these is
given in the annexes. A general guide to OH support of ill-health/sickness and
related absence is given in Annex 1.
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:
• Medical confidentiality is respected at all times (see Annex 1).
• Sickness absence data is properly analysed to identify the most appropriate
deployment of resources aimed at reducing ill-health amongst employees
(see Annex 2 for guidance).
• Proactive OH strategies are identified targeted at reducing ill-health amongst
employees (see Annex 2 for guidance).
• OH Practitioners are appropriately involved in advising on the management of
sickness absence undertaken in accordance with the NPS and Area Sickness
Management Policies (see Annex 2 and, in particular, Annex 3 for guidance).
• OH Practitioners are appropriately involved in the determination of individual
return to work strategies for employees who have been absent as a
consequence of ill-health or injury (see Annex 4 for guidance).
Implementation
Consistency with the guidance aspects and compliance with the essential
aspects of this Arrangement must be demonstrated by all Areas within 12 months
of the above issue date. Satisfactory progress towards this requirement must be
demonstrable to the satisfaction of the local Joint Health & Safety Committee
within 6 months of that date.
ANNEX 1
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 2 of 12
A GENERAL GUIDE TO OCCUPATIONAL HEALTH SUPPORT OF SICKNESS
MANAGEMENT
Introduction
This Annex sets out a general guide to the role that an Occupational Health (OH)
function can play in the support of an Area sickness management programme.
The principal role of OH will be to provide clinically based advice to line
managers, HR and others involved in sickness management. Underpinning the
approach are two essential points of principle which must be observed at all
times:
o The principal role in managing absence must always rest with the relevant
line managers not the OH Practitioner. However, the OH Practitioner will be
appropriately involved in the overall management of cases (as an
independent advisor) to ensure that decisions are made and actions pursued
against a background of sound clinical judgement.
o The requirements of medical confidentiality must be strictly observed at all
times. OH Practitioners are not permitted to divulge personal medical
information relating to specific individuals without the agreement of that
individual.
In practice the medical confidentiality requirement means that matters of
personal, confidential, medical information cannot be disclosed to managers
(including HR). However, OH practitioners are at liberty to provide generalised
information regarding an individual (eg typical progress of a particular condition;
the impact of particular conditions on the ability to undertake work, generalised
non attributable information regarding the general health of groups of employees
etc). Key is a sensible informed dialogue between OH Practitioners and HR/line
managers with a common understanding of the confidentiality requirement.
Current ‘best practice’ is for the OH Practitioner to be fully involved in providing
clinically based advice to HR and line managers throughout the totality of the
sickness management programme. In broad terms this embraces the following
issues:
• The early identification of trends and possible future causes of ill-health
within the Area;
• Advising on the management/prevention of short term absences;
• Advising on the management of long term absence – particularly return to
work programmes and associated risk assessments together with any
resulting new DDA issues;
• Advising on ‘Post Return to Work’ assessments;
• Providing support to individuals during periods of sickness absence.
• Liaising with the employee’s personal medical advisors (eg GP’s etc).
These aspects are covered in greater detail in the guidance provided in Annexes
2 – 4.
To assist in the delivery of the above points, the OH Practitioner should also, as
necessary and appropriate, liaise with relevant groups within the Area including
for example: HR; the Health & Safety Advisor; and Trades Union Safety
Representatives.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 3 of 12
There is clearly little to be gained from seeking to influence matters which are
completely outside the control of the Area management. Equally it is important to
recognise that there may be issues which at first sight appear to fall into this
category (ie not within management control) – but which are appropriate for
employer intervention through, for example, programmes and facilities designed
to provide support to employees.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 4 of 12
ANNEX 2
PROACTIVE OH SUPPORT AND SICKNESS ABSENCE DATA
Introduction
This Annex provides guidance on the role of the OH Practitioner in proactively
supporting a positive approach to good health based on information determined
from local (and possibly national) ill-health data. In this sense a quality approach
to analysing and assessing ‘sickness absence’ data can provide an essential
basis for seeking to improve the health of all employees. The role of the OH
Practitioner is to provide advice based on data analysis undertaken by HR in
respect of the sickness absence data.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 5 of 12
There are a number of data analysis packages (commercial and others) available
to HR functions capable of appropriate analysis of the data to provide evidence in
support of the above objectives. These are generally based on the entry of the
detailed information from the certificates by suitably trained HR staff. OH
Practitioners can provide advice on the suitability of external packages (which
should take account of the guidance provided in Annex 2.1).
Resultant Actions
From a review of the data analysis, the experienced OH Practitioner will be in a
position to advise HR and relevant line managers on the appropriate steps to be
taken to improve overall health. The analysis will permit this advice to be
properly targeted to optimise the use of the available area resources.
Following the analysis a range of options for action may emerge which may be
targeted at groups or individuals. Typically consideration will include the
following proactive preventative measures:
• Identification of treatment/rehabilitation/counselling/ongoing support
programmes aimed at assisting those with particular forms of ill-health to
make a more rapid recovery. Evidence suggests that this can be
especially effective in cases of back & musculo-skeletal disorder and
stress where early referral to appropriate support can have a significant
impact.
• Requirements to improve workplace conditions or procedures (eg
consideration of manual handling issues, review of local stress
management procedures, local hygiene matters etc).
• Focussed advice regarding individuals experiencing multiple episodes of
very short term sickness absence (typically for periods of less than 7
days). This may also require direct contact between the OH Practitioner
and the individual to ensure that the advice properly reflects any
underlying issues.
• Provision of advice on specific lifestyle health issues (eg diet, exercise
etc).
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 6 of 12
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 7 of 12
ANNEX 2.1
GUIDANCE ON SICKNESS ABSENCE DATA ANALYSIS
Introduction
This Annex sets out general guidance on the manner in which sickness absence
should be analysed to provide appropriate links to improvement programmes.
Three basic sub-divisions of data are identified:
• Cause
• Temporal factors
• Specific population groups
A full analysis of the information should take account of all three of these basic
sub-divisions in order to ensure that the OH Practitioner’s advice is properly
targeted to provide the optimal solutions. The responsibility for the collection and
recording of all sickness absence data is that of the HR Function, with the OH
Practitioner providing the interpretation of ill-health related information.
Cause
The causes of ill-health are many, and various standard conventions are
generally used in commercial packages to classify differing forms of reported ill-
health. Where a commercial package is used the requirements of that package
will provide the necessary detailed break-down of the information.
Temporal Factors
Analysis of temporal factors assists in the targeting of OH advice appropriate to
the appropriate nature of the absence. The analysis should provide evidence
regarding
• A break down in respect of the length of absences, in respect of the number
of episodes and the number of days involved, as follows:
Very short term (7 days or less).
Short term (8 – 20 days).
Intermediate term (21 – 42 days).
Long term (42 – 180 days).
Extreme long term (greater than 180 days).
These indicators will permit the targeting of resource aimed at providing the
greatest benefit to the individuals and the Area.
It is to be noted that the above criteria do not remove the obligation to make
reports to HSE as required by RIDDOR nor to NPD as are defined in
NPS/HS/1.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 8 of 12
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 9 of 12
ANNEX 3
OCCUPATIONAL HEALTH ADVICE RE MANAGING LONGER TERM
SICKNESS ABSENCE
Introduction
Annex 2 provides guidance generally aimed at overall health improvement and,
particularly, short term sickness absence issues. This annex provides specific
guidance in respect of the role of the OH Practitioner in advising managers, HR
and others during periods of longer term absence. In many instances the
proposals set out in Annex 2 (particularly in respect of ‘resultant actions’) will
also apply to periods of longer term sickness absence to the benefit of
individuals and the Area overall.
Contact Issues
1) Initial management contact: Current best practice guidance is that contact
should be made between an individual and their line manager as soon as
possible. The key focus should be on the identification and support of any
individual needs.
However, the initial contact may, in some circumstances relating to more
serious conditions (ie other than common day-to-day ailments), need to be
tempered by the question of appropriateness. In some cases this will be
obvious (eg immediate recovery from major surgery). In other situations the
position may be more complex. In such cases it would, if practicable, be
good practice for the manager to consult with the OH Practitioner before
making contact (especially before visiting the employee) to seek advice
regarding the timing and appropriateness of the contact/visit together with
any matters that should be treated sensitively.
2) Ongoing contact: As matters proceed the OH Practitioner will be able to
provide advice to the manager regarding any matters to be born in mind
consequent upon the anticipated development of/recovery from the illness.
This will ensure that the contact can be appropriately structured and focused
based on sound clinical judgement.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 10 of 12
3) Direct OH Practitioner Contact: There is potentially additional benefit to all
parties where the OH Practitioner either meets with or communicates directly
with the employee. To preserve medical confidentiality, this will be separate
to the normal line management/HR contact with the employee. The
objectives will be:
• To enable the OH Practitioner to confirm their clinical judgements in
individual cases (and thereby improve the quality of advice provided to
managers/HR).
• To provide an additional link for the employee to other support provisions
(eg rehabilitation, counselling etc).
Such contact will need to take into account the programmed line
management/HR/employee contact to ensure that the process is properly
coordinated, and all relevant parties kept informed, to take account of the
requirements of both management and employee.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 11 of 12
ANNEX 4
OCCUPATIONAL HEALTH ADVICE: RETURN-TO-WORK PROGRAMMES
Introduction
Return to work programmes form an essential feature of the management of
longer term absence. Current HSE guidance is that if an employee is absent as
a consequence of ill-health for more than 6 weeks they only have an 80% chance
of returning to work. The implication is that this probability decreases with
increasing length of absence.
In considering return-to-work programmes it is important to recognise that, based
on HSE advice, a medical certificate provided by a doctor (the ‘FMED3’ form) is
simply:
• An advisory note to the patient that can be overruled by the patient if s/he
wishes.
It is not:
• An instruction to the employee not to attend work during the period
specified; nor
• An instruction to the employer not to accept the individual back to work
during that period.
It is to be noted that the NPS is ‘self insured’ and there are no restrictions relating
to early return to work. Accordingly, by mutual agreement between an employee
and the Area (taking account of the need for any specific requirements), an
employee can return to work when they feel sufficiently able. The employer
should facilitate that return, consulting with the OH Practitioner and making
adjustments as necessary (thereby ensuring that they have done all that is
reasonably practicable in respect of general employer responsibilities). There is
no requirement for the employee to seek formal authorisation from their GP prior
to returning to work.
Areas (as the employer) have a general duty to provide a safe and healthy place
of work. Given that this is provided (as indeed it should always be) and due
account is taken of any special requirements of the employee arising from their
ill-health (particularly likely to be required as part of a formal ‘Return-to-Work
programme) then there are no additional H&S requirements.
(NB: at the time of issue of this Arrangement it is noted that the National
Sickness Management Policy (April 2003) contains a statement to the
effect that an individual needs to be ‘signed back’ to work. This will be
reviewed in the light of the HSE advice through the NNC in due course.)
If the employee still does not feel fit enough to return to work at the end of a
period stated in a Medical Certificate, they should seek an extension of that
Certificate from their GP. Conversely, if an employee wishes to return to work
early, but the OH practitioner advises the relevant line manager that this would
not be appropriate (eg for reasons of possible cross infection of other employees,
or the employee is not considered to be sufficiently recovered from their ill-health,
etc) the line manager should not permit the individual to return to the work.
Uncontrolled Copy
OCCUPATIONAL HEALTH SUPPORT TO Doc Ref: NPS/HS/35
SICKNESS MANAGEMENT
Issue Number: 1 Date of Issue: 1st January 2006
Issued by: Kathryn Ball Page 12 of 12
It is also essential to ensure, through local procedures, that employees are not
subject to coercion (from any party) to return to work early. Nothing in the above
statements must be taken as requiring employees to return to work until they feel
suitably fit and able so to do.
Involving the OH Practitioner
The involvement of the OH Practitioner in return-to-work programmes ensures
that such an approach is based on sound clinical advice. This will typically relate
to the following:
1) Suitability: it is essential that such programmes are not inappropriately
directed – even where the individual employee believes they are fit enough to
return. The advice of the OH practitioner must be an overriding
consideration.
2) Timing of return: the timing of return should be based on clinical advice. A
strategy that seeks to commence a return to work too early (or indeed too
late) is likely to be counterproductive and to the detriment of all parties.
3) Phasing the return: in cases involving a long period of absence a phased
return will, in some cases, be beneficial and more appropriate than an
immediate return to full time and full duties. The OH Practitioner will be well
placed to provide advice regarding the nature of any required phasing (both
the timing aspect and the nature and volume of the work that can be
undertaken).
4) Specific requirements: advice should be sought from the OH Practitioner
and an appropriate Trades Union Representative and, where there are
specific safety issues, the H&S Advisor should be consulted regarding any
particular requirements (eg access, equipment, proximity to particular facilities
etc) which will be required by the employee in the work place. Wherever
possible these must be provided prior to commencing the return to work
programme.
5) Risk Assessments: It is essential that the pre-existing risk assessments
relevant to the individual’s intended work are reviewed by the appropriate line
manager in consultation with the OH Practitioner (together with the relevant
Trades Union Safety Representative, the H&S Advisor (if appropriate) and, if
possible, the individual) to ensure that there are no issues arising as a
consequence of any incapacity, health or related issues. Particular regard
must be taken of any issues relating to an individual's illness (eg any matters
which might have triggered or exacerbated the ill-health). Where changes (eg
to equipment, the nature of the work or training etc) are identified these must
be completed, wherever possible prior to commencing the return to work
programme. Where it has not been possible to complete the changes prior to
the employee returning to work, the changes must be completed as soon as
practicable and by an identified person(s) within a defined timescale.
6) OH Follow-up: In addition to the local arrangements for HR/line management
follow up of cases, the OH Practitioner should maintain regular contact with
the employee during the phased return to work to confirm that there are no
clinical issues arising as a consequence of the programme. In the event of
any issue being identified the OH Practitioner should bring this to the attention
of the relevant line manager at the first available opportunity.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Measuring & Reviewing Performance
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 1 of 6
General Introduction.
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.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Measuring & Reviewing Performance
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 2 of 6
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Measuring & Reviewing Performance
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 3 of 6
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.
Benchmarking etc.
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Measuring & Reviewing Performance
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 4 of 6
Team Leader
Safety Representative
Other Members
Previous Inspection
Current Inspection
General comments
Recommendations
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 5 of 6
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
Uncontrolled Copy
The National Probation Service for England & Wales
National Health & Safety Policy Manual
Audit
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page 1 of 2
6 AUDIT.
General Introduction
As illustrated in Figure 1.1, the audit process closes the loop in the quality
management system. It is a means of testing (independently of the area of
work being reviewed) the level of compliance with external and internal
requirements – and indeed the validity of the internal requirements
themselves. (NB Audit must not be confused with ‘inspection’ which is a more
regular and lower level of testing performance.)
The Thematic Review (ie Audit) undertaken in 2002 – 03 served to identify the
current level of Health & Safety performance and compliance. Because of the
current need to improve significantly in this area the question of a detailed
audit programme within the NPS has been deferred for the present time. In
lieu of a detailed programme, the following general audit requirements will be
followed across the NPS.
NPD sponsored audits: A further Thematic Audit across the NPS will
be planned during the implementation of the three phases of the Health
& Safety Strategy announced in March 2003. NPD sponsored audits
will be developed in conjunction with the National Health and Safety
Forum.
Uncontrolled Copy
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
Uncontrolled Copy
www.probation.homeoffice.gov.uk
Annex B
National Probation Service
Health and Safety Strategy
“2006 And Beyond”
April 2006 – March 2008
The NPD is committed to new action in order to inspire Areas to share in the benefits of good
Health and Safety Management. The Revitalising H&S Strategy has brought about a real
change in workplace culture that will blaze a trail for effective partnership between employers
and workers in all aspects of working life.
Building on the improvements in our health and safety performance and demonstrating
excellence in health and safety management will be key to reducing levels of sickness
absence and early retirement on the grounds of ill health. The focus on health and safety
issues that are the most significant causes of lost time will ensure that proactive measures to
reduce absence from work are in place. Based on our own research and research carried out
by the HSE on the public sector the most significant causes of lost time have been identified
as follows:
Occupational Stress
Musculoskeletal Injuries
Assaults/Violence
As part of our Strategy for “2006 and beyond” and in line with the Ministerial Task Force on
Health Safety and productivity we are committed to:
• Promote the development of new approaches to managing health and safety issues in
ways that deliver sustainable improvement by focussing on the prevention of work related
sickness absence.
• Sharing best practice in managing health and safety across all Areas.
• To monitor progress and ensure that improvements are achieved, sustained and
disseminated
To this end we intend to focus on each of the significant causes of lost time, as identified
above, and improve the way they are managed.
Occupational Stress
It is the policy of the NPS that the impact of stress on employees is properly managed by the
minimisation or elimination (where reasonably practicable) of work related stress and its
causes.
We propose to:
• Provide training for Health and Safety Practitioners (approximately one per region) to
enable them to train others in Stress Awareness.
• Pilot the implementation of the HSE’s Stress Management Standards.
• Run a number of Stress Awareness seminars for Areas to attend
• Contribute to the HSE’s Stress Agenda
Working closely with the HSE and, if appropriate, utilising the results of the NAO survey, we
intend to support the implementation of the Stress Management Standards in all Areas. The
implementation of these standards will identify causes of work related stress and the
measures required to reduce it.
Musculoskeletal Injuries
Musculoskeletal injuries covers a vast array of different types of injury. Two areas have been
identified as being of particular significance to Probation staff:
a. Work Related Upper Limb Disorders (particularly those relating to excessive and/or
poor use of computer equipment)
b. Back Injuries (particularly as a result of poor lifting techniques.)
It is NPS policy that work involving display screen equipment and associated IT systems is
subject to an appropriate risk assessment. In conjunction with NOMS IT we propose to:
• Review “A Guide to the Health and Safety Aspects of IT Management for the National
Probation Service.”
• Raise awareness of the correct use of display screen equipment
• Raise awareness of the role that occupational health can play in the identification and
treatment of WRULD.
b. Back Injuries
It is the policy of the NPS that hazards arising from all manual handling activities are properly
assessed for risk to ensure the minimisation of harm so far as is reasonably practicable.
Working in conjunction with the HSE’s “Better Backs” campaign team we propose to:
• Run a number of practical seminars for Areas identifying how staff can best protect their
backs at work and provide practical advice on how to introduce cost effective measures
to reduce these accidents
• Raise awareness of the requirement to undertake quarterly workplace inspections
Assaults/Violence
It is the policy of the NPS that all work related violence and intimidation is unacceptable.
In association with the HSE & accredited training providers we propose to:
• Train Health and Safety Practitioners (approximately one per region) to enable them to
train others in Handling Violence and Aggression
• Run a number of practical seminars for Areas identifying how risks of violence can be
reduced and how to deal with situations in the event of them becoming violent.
• Raise awareness of the importance of personal safety with particular emphasis on the
importance of keeping personal information secure.
It is NPS Policy to ensure the health, safety and welfare of our employees, employees of
other organisations working with us, the general public and the people for whom we have
supervisory responsibility.
Working in conjunction with the HSE’s specialist Slips, Trips and Falls team we propose to:
• Run a number of practical seminars for Areas identifying how risks of slips, trips and falls,
can be reduced and practical advice on how to introduce cost effective measures to
reduce these accidents
• Raise awareness of the requirement to undertake quarterly workplace inspections