UK Home Office: PC21 2007

UNCLASSIFIED
Probation
Circular
PC21/2007 – HEALTH & SAFETY: POLICY REVISIONS 2007
IMPLEMENTATION DATE: 3 July 2007 EXPIRY DATE: June 2011
TO: Chairs of Probation Boards, Chief Officers of Probation, Secretaries of Probation Boards
CC: Board Treasurers, Regional Managers
AUTHORISED BY: Iain McIntosh, Acting Head of Probation Area Co-ordination Unit (PACU)
ATTACHED: Annex A: Revised H&S Policy (issue 4)
Annex B: Equality Impact Assessment Form
RELEVANT PREVIOUS PROBATION CIRCULARS
PC75/2003, PC26/2005, PC25/2006
CONTACT FOR ENQUIRIES
Kathryn.ball@homeoffice.gsi.gov.uk or 020 7217 8954
Bill.wood@homeoffice.gsi.gov.uk
PURPOSE
To ensure that all Areas have a copy of the revised National H&S Policy
ACTION
Local Areas to take note of the revisions to the Policy and ensure that they comply with the
recommendations contained therein.
SUMMARY
As required the NPS H&S Policy has been subject to its annual review.
As a result of legislative changes there are two new arrangements:

• Fire (NPS/HS/11)
• Tobacco Smoking (NPS/HS/9)
There have been the following post holder/organisational related changes that are now reflected
in the Policy:
• Christine Lawrie replaces Martin Wargent at the PBA

• References to NPD now replaced by NOMS
• References to NPD HR now replaced by PACU
• References to Workforce Information Report replaced by HR Data Warehouse
• References to transitional arrangements removed as Policy and implementation thereof
should now be complete
• References to NPD Estates replaced by HOPG
• There are new documents on EPIC that have been referred to at the end of some of the
arrangements e.g. Arrangement 3 on risk assessment (NPS/HS/3) now refers to the
Generic Risk Assessments that are posted on EPIC.
ISSUE DATE – 19 June 2007

UNCLASSIFIED 1 of 1
The National Probation Service
for England & Wales.
THE NATIONAL HEALTH & SAFETY
POLICY MANUAL
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The National Probation Service for England & Wales
National Health & Safety Policy Manual
Statement of Commitment
Issue Number 3 Date of Issue 1st June 2007
Issued by Kathryn Ball Page i
STATEMENT OF COMMITMENT.
The health, safety and security of everyone who may be affected by our operations
is of paramount importance to us all.
The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’
undertaken in 2002-03 and the resultant improvement strategy launched in March
2003 identified a number of aspects of our performance which required
improvement. Whilst the Review highlighted some Areas already performing to an
acceptable standard in some aspects, it did not identify any Area as being an overall
exemplar of good health and safety practice.
We all recognise that this presents a number of challenges and that everyone
employed in the National Probation Service for England & Wales has a role to play
in meeting these. Working in partnership, it is our intention to strive continually to
deliver a healthy and safe working environment that protects the welfare of all
employees.
This National Policy Manual, produced in partnership with the Trades Unions and
the PBA, sets us on the road to improvement. It defines the national policy and
standards of best practice which must be implemented throughout the NPS. It will
be a living document, reflecting the strategy launched in March 2003 and the
developing improvements in health and safety performance as we move forwards.
Good health and safety performance is not just a legal requirement – it is an

essential element to our goal of excellence and being an employer of choice which
values its people. Reflective of the importance of our partnership approach to
achieving these aims, this manual is fully endorsed on behalf of the key
stakeholders. This Statement will be reviewed annually.
Roger Hill Christine Lawrie

Director of Probation, NOMS Chief Executive, Probation Boards’
Association
Judy McKnight Ben Priestley

General Secretary, Napo National Officer, UNISON
David Walton
Staff Side Secretary, GMB/ Scoop
Date: 1st June 2007
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Diversity Impact Statement
Issue Number 1 Date of Issue 5th April 2004
Issued by Kathryn Ball Page ii
Diversity Impact Statement
This Policy has been evaluated for the potential adverse impact it may have on any
individual by reason of their ethnic origin (in accordance with the Race Relations
(Amendment) Act 2000), disability, gender, sexual orientation, age, belief, marital
status, caring responsibilities or chosen working pattern. It is not believed that this
policy will have any such adverse impact on staff for any of these reasons. Future
reviews of this policy will revisit this evaluation, and it may become subject to a full
Impact Assessment examining workforce data and compliance information.
.
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General Index
Issued by Kathryn Ball Page iii
INDEX
SUBJECT SECTION Issue Issue Date

NUMBER Number
Statement of Commitment Page i 3 1st June 2007
Diversity Statement Page ii 1 5th April 2004
General Index Page iii 4 1st June 2007
General Introduction 1 2 1st June 2007
The National Health & Safety 2 3 1st June 2007

Policy
Organisation & Key 3 3 1st June 2007
Responsibilities
The Arrangements.
• Introduction 4 3 1st June 2007
• Arrangements index 4 1st June 2007
• Specific Arrangements * *
st
Measuring & Reviewing 5 2 1 June 2007
Performance.
• General Requirements 2 1st June 2007
• Model Workplace 2 1st June 2007
Inspection List
Audit 6 2 1st June 2007
* Individual Arrangements are separately issued and dated. The ‘Arrangements

Index’ identifies the current Issue Numbers and Dates.
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General Introduction
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’.
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 Strategies of the NPS. Excellence in health & safety needs
to be rooted in a quality management system that seeks to address all aspects of
performance, from the inherent safety of the working environment (ie plant and
equipment), through procedures and instructions that are owned and followed, and
ultimately to ensuring a working culture that embraces a positive health & safety
attitude across the organisation.
Health & Safety Management Processes

The general approach to a quality health & safety management system is illustrated
in Figure 1.1. Within this, the key general elements are:
• Policy: a statement of the key objectives of the organisation signed by its

most senior officer
• Organising: identification of the management structure for the delivery of
good health & safety performance. This will also identify the specific
responsibilities/accountabilities of key post holders and (in more general
terms) all employees, contractors etc.
• Planning & Implementation (The Arrangements): a series of statements
regarding how the organisation will deliver particular aspects of health &
safety management. Typically this will include the processes for undertaking
risk assessments (generally and for specific issues such as COSHH, DSE,
Manual Handling etc), learning from accidents, training requirements etc.
• Measuring & Reviewing Performance: how well is the organisation doing.
This aspect is key to ensuring continuing improvement. It should include
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routine workplace inspections and feedback, the actual measures to be used

and a statement of improvement targets and objectives.
• Audit: should be a continuing theme – from regular local audits through to full
NPS wide reviews.
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).)
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.
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
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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 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.
Review of National and Area Health & Safety Policy Manuals.

This National Manual and the associated Area Manuals will be reviewed as follows:
• As required to ensure compatibility with changing regulatory or other
requirements, restructuring, changes in signatories etc;
• Annually: a brief review to ensure general consistency with current
experience and practice (ie to take account of improvements, best practices
etc)
• Every five years: a full, in depth, review to ensure that the documentation is
fully compatible with current requirements, HSE guidance on H&S
management systems etc.
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Figure 1.1
The Essentials of a Quality Health & Safety Management System.
(Based on the Health & Safety Executive’s guidance (HSG65), this figure shows the
interrelationship between the various elements of a quality Health & Safety
Management System.)
POLICY
ORGANISATION
AUDITING
PLANNING &
IMPLEMENTATION
(The Arrangements)
MEASURING &
REVIEWING
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Figure 1.2
Schematic of the Application of a Quality Health & Safety Management System
across the NPS.
(This figure shows the interdependencies from the National Policy through to Area
Policies and finally to the day to day local workplace instructions.)
NATIONAL
POLICY
MANUAL
LOCAL
AREA POLICY
MANUAL
LOCAL
WORKPLACE INSTRUCTIONS
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The National Health & Safety Policy
Issue Number 3 Date of Issue 1st June2007
2 THE NATIONAL HEALTH & SAFETY POLICY
All Local Area Policy Statements must, as a minimum, comply with the National
Policy.
The National Policy Statement.

• We in the NPS believe that the health, safety and security of our employees,
employees of other organisations working with us, the general public and the
people for whom we have supervisory responsibility is of paramount importance.
• Our goal is to aspire to a health & safety performance that is within the upper
quartile for the Public Sector.
• Working in partnership with local areas, the recognised Trades Unions and the
Probation Boards Association (PBA) at all levels and by building on the best
practice (within or external to NPS) we will seek to continually improve our
performance.
• We will ensure that all employees are properly trained and made aware of their
responsibilities for contributing to a safe and healthy working environment.
• We will work in partnership with our contractors (and other similar groups) to
ensure that they contribute fully to our health & safety goals.
• We recognise the importance of communication of our performance both
internally and to our external stakeholders and we will openly report our health &
safety performance.
• We will work with the relevant Regulatory bodies and other external
organisations to identify appropriate areas of best practice.
• We will seek to continually learn from our own experiences by reviewing and
auditing our performance and ensuring that lessons learnt are acted upon.
Roger Hill
Director of Probation, National Offender Management Service
Date: 1st June 2007
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Organisation & Key Responsibilities
3 ORGANISATION & KEY RESPONSIBILITIES
General Introduction.
This Section sets out the top tier organisational structure within the National
Probation Service. It includes the responsibilities for the provision of health & safety
advice and for the production and maintenance of National & Local Area Policy
Manuals and Local Workplace Instructions. Additionally it provides an outline of
partnership arrangements for the delivery of health & safety excellence.
The National Probation Service Organisation.
Figure 3.1 sets out the NPS organisational structure. Within the NPS, the individual
Areas are specific Employers (of the Area Staff) in their own right, with the Area
Boards being the identified employers. The following inter-relationships thus apply:
• The Area Boards are the local legal ‘employers’.
• Area Board Chairs are accountable to (and work in association with), the
Director of Probation through appropriate liaison arrangements.
• Area Chief Officers report to and are accountable to the Director of Probation
and are also members of the Area Boards in their own right. As with other
Board Members they do not formally report to the Board Chair in terms of line
management accountability.
• Area staff report to the Chief Officer through the relevant Area management
structure.
• NOMS Directors report to and are accountable to the NOMS Chief Executive
Within this structure, the responsibilities for the delivery of a safe & healthy working
environment are as set out below. In all cases it should be noted that whilst the
practical delivery of a responsibility can be delegated, the accountability for that
delivery cannot. These responsibilities and accountabilities must be incorporated
into the relevant detailed job descriptions.
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General Responsibilities of all NPS Employees.
All employees are required to undertake their work in a safe manner having due
regard for their own health and safety and that of others who may be affected by
their work. Health and safety rules etc must be followed at all times. Failure to
follow the appropriate rules is an offence under health & safety legislation and could
render the employee liable to disciplinary action. Equally it is important that
employees do not attempt to undertake work for which they are not adequately
trained or for which the instructions are agreed to be inadequate.
In addition, the following specific responsibilities for key posts are identified.
a) Specific NOMS Responsibilities
a(i) The Director of Probation
The Director of Probation (NPS) is responsible for ensuring that:

A fit for purpose and up to date overarching Health & Safety Management
System is in place within the National Probation Service (ie the National
Policy Manual);
Area Board Chairs are aware of their responsibility to comply with this
Manual;
Area Chief Officers have in place Local Area Policy Manuals which are
compliant with the National Policy Manual;
Suitable & sufficient resources are made available to Areas to ensure
compliance with the Manual;
The National Health and Safety Forum is provided with suitable & sufficient
resources and delegated authority to oversee the management of health and
safety throughout the NPS.
The Director of Probation is accountable to The Director of Performance and

Improvement Directorate, National Offender Management Service, for these
matters.
a(ii)The Head of Probation Area Co-ordination Unit
The Head of Probation Area Co-ordination Unit (PACU) is responsible for

ensuring that arrangements exist for:
The appointment of appropriate Competent Persons to provide suitable
‘corporate’ (NPS) advice in respect of health & safety matters;
`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.
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a(iii) The HR Manager, Health & Safety
The HR Manager, Health & Safety is responsible for:

The production and maintenance of the National Policy Manual;
Promoting a high profile approach to health & safety across the NPS;
The provision of Health & Safety advice within NPS;
Providing expert input into health & safety inspections, audits, reviews and
investigations;
Maintaining a current knowledge of health & safety legislation and
improvement opportunities.
The HR Manager, Health & Safety is not responsible for the safety of individuals
or processes except those under their direct management supervision.
The HR Manager, Health & Safety is accountable to the Director of Probation

through the Head of PACU.
b) Specifice Home Office Responsibilities
b)i) The Head of Estates, Home Office Property General (HOPG)
The Head of Estates, Home Office Property General (HOPG) is

responsible for ensuring that:
Fit for purpose procedures are in place for the safe delivery of all NPS
‘facilities management’ contracts. These must ensure the provision of a safe
& healthy workplace within those facilities.
c. Specific Area Responsibilities.
C i) The Chair of the Local Area Boards
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;
A suitably experienced member of the Board is appointed to take a particular
interest in the promotion of health & safety matters and to participate actively
in the local Area Joint Health & Safety Committee;
They seek generally to raise the profile of health & safety within the Area;
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Appropriate resources are identified within the business planning process to

ensure compliance with this manual.
The Area Chairs are accountable to the Director of Probation for these matters.
Cii) Chief Officers
Chief Officers are responsible for ensuring that:

A safe and healthy workplace is provided for all employees within their Area;
The production of a fit for purpose and up to date Local Area Health & Safety
Policy Manual within their Area;
They liaise with the Area Board Chair to ensure continuing improvement in
health & safety performance;
A Health & Safety Advisor (a ‘Competent Person’) is appointed to advise on
health & safety matters within their Area;
Appropriate mechanisms are in place for a partnership approach to health &
safety improvements (ie through joint health & safety committees);
Together with the Board Chair they seek generally to raise the profile of
health & safety by taking a personal interest within their Area and ensuring
that this is also mirrored by their senior staff;
Appropriate resources (including funding) are available to ensure compliance
with all statutory obligations and the requirements of this manual. This will
include ensuring that appointed Safety representatives have the necessary
resources and facilities (including appropriate adjustment of work
requirements) to enable them to undertake their statutory functions.
The Chief Officers are accountable to the Director of Probation for these matters.
Ciii) Local Area Health & Safety Advisors
Local Area Health & Safety Advisors are responsible for:

Assisting the CO in the production and maintenance of the Local Area Policy
Manual;
The provision of timely health & safety advice;
Providing expert input into health & safety inspections, audits, reviews and
investigations;
Maintaining a current knowledge of health & safety legislation and
improvement opportunities;
Providing advice to the Area Health and Safety Committee;
Advising on appropriate health and safety training of staff within the Area.
Safety Advisors are not responsible for the safety of individuals or processes
except those under their direct management supervision.
The Accountability link for local Area Health & Safety Advisors will be identified in
the Local Area Policy Manual.
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General Responsibilities of Contractors and other non NPS Employees

Working in NPS Premises or on NPS Projects.
All such persons must comply at all times with the local health & safety rules etc as
well as those of their parent organisation. Where the local NPS requirement is the
more onerous, this must take precedence. Failure to comply with this requirement
will be deemed to be a serious breech of trust and may result in the contractor’s (etc)
employee involved being barred from work on NPS premises.
Further detailed requirements are set out in Section 4 of this Manual.
Joint Health & Safety Consultative Mechanisms.
Improving health & safety performance is dependent on a number of factors.

Seeking solutions and promoting improvement through the medium of a joint
partnership approach with all the key stakeholders is key to successful
implementation.
At National level, the ‘National Health & Safety Forum’ provides a mechanism for the
joint consideration and agreement of health & safety issues. It is chaired by the
Head of Policy, Pay and Employee Relations, PACU. The membership comprises
representation from:
• NOMS
• Areas (H&S Advisors drawn from the Occupational Health & Safety
Practitioners Group)
• Trades Unions
• The Probation Boards Association (PBA).
The Forum works within an agreed set of ‘Terms of Reference’ in line with the
framework for Local Area safety committees as set out in the Safety Representatives
and Safety Committee Regulations1977.
At a local level, all Areas are required to have in place a joint Board/
Management/Trades Union Health & Safety Committee to act as a focus for the
sharing of experience within the Area. Section 4 (Planning & Implementation) sets
out the detailed requirements including the provision for subsidiary level partnership
fora within the larger Areas.
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Figure 3.1
The National Probation Service Organisational Structure.
(This figure shows the outline reporting and accountability links from the Director of
Probation to NOMS staff and through Area Boards to Area staff.)
The Area Board

Director of
Local Probation
Area (NOMS)
Chair
NOMS
Local Area Senior Staff
Chief Officer
NOMS
Employees
Local Area
Senior Staff
Local Area
Employees
The Local Area
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The Arrangements
4) THE ARRANGEMENTS.
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.
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.
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The Arrangements Index
Index of Specific General Health & Safety Arrangements

(Listed in alphabetical order: Specific Arrangements are presented in
numerical order.)
Title Ref No Issue Issue

NPS/HS/ No Date
Asbestos 12 2 1/6/07
Competent Persons 30 2 1/6/07
Contingency Planning 15 2 1/6/07
Contractors 10 2 1/6/07
COSHH Risk assessment 16 2 1/6/07
Driving and NPS Transport Vehicles 17 2 1/6/07
DSE assessments and the use of IT systems 18 2 1/6/07
Electricity at Work 19 2 1/6/07
Facilities, Time and Assistance for Trade Union 31 2 1/6/07

Health & Safety Representatives
Fire Protection 11 3 24/4/07
Home Working 32 2 1/6/07
Identification, Categorisation & Reporting of 1 3 1/6/07

Accidents & Incidents
Investigation of Accidents & Incidents & Learning 2 3 1/6/07
from Experience
Joint H&S Committees 20 2 1/6/07
Lone Working 21 2 1/6/07
Management of safety in the NPS Estate(eg including 13 2 1/6/07

accommodation, workplace safety etc)
Manual Handling Risk Assessment 22 2 1/6/07
Night working 23 2 1/6/07
Outdoor Working (including on or near water) 29 2 1/6/07
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The Arrangements Index
Index of Specific General Health & Safety Arrangements, Continued

Permits to Work 14 2 1/6/07
Personal Assistance Alarms 24 2 1/6/07
Personal Protective Equipment 25 2 1/6/07
Risk Assessment 3 3 1/6/07
Training (induction, specific task, specialist & 26 2 1/6/07

refresher)
Use of Equipment and machinery in the workplace 27 2 1/6/07
Violence in the Workplace 28 2 1/6/07
Index of Specific Occupational Health Arrangements
Title Ref No Issue Issue

NPS/HS/ No Date
Biological Hazards 4 2 1/1/06
Drugs & Alcohol 5 2 1/6/07
First Aid 6 2 1/6/07
New and Expectant Mothers 33 2 1/6/07
Occupational Health Assessment & Support 34 1 1/1/06
Occupational Health Support to Sickness 35 2 1/6/07

Management
Provision of Occupational Health Advice to Areas* 7 3 1/6/07
Stress Management 8 2 1/12/04
Tobacco Smoking 9 2 14/5/07
*previously entitled: ‘Occupational Health Services and Health Surveillance’

the original Arrangement has now been replaced by Arrangements 7 (Issue
2), 34 and 35.
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IDENTIFICATION, CATEGORISATION & Doc Ref: 2
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 3 Date of Issue. 1st June 2007
Issued by: Kathryn Ball Page 2 of 22
Statement of Policy & Objectives.

It is National Probation Service (NPS) policy that accidents & incidents with a
potential to harm people are reduced and, where possible, eliminated. The
objective of this procedure is to ensure the uniform application of a system for
the recording & reporting of such accidents & incidents as a contribution to a
culture of proactive protection.
Scope of Application.
The requirements set out in this procedure are mandatory on all NPS Areas in
respect of the classification and reporting of:
• Accidents & incidents affecting or potentially affecting NPS employees;
• Accidents & incidents affecting or potentially affecting any other person as
a consequence of activities under the control & supervision of NPS
employees.
In the event of any accident or incident affecting or potentially affecting a non
NPS employee as a consequence of the activity of a third party (eg a
Contractor’s employee injured as a consequence of the activity of a
Contractor), the NPS Area must liaise with the appropriate bodies to ensure
that the accident/incident is properly recorded & reported. The NPS reserves
the right in such cases to independently record and report such accidents &
incidents.
The Specific Requirements:
The following are statements of best practice to be applied across the NPS
together with the relevant detailed arrangements set out in the annexes to this
Procedure. Areas are required to have in place suitable & sufficient local
arrangements to ensure the following:
• All accidents & incidents, as identified in Annex 1, are promptly identified.
• All accidents & incidents are appropriately categorised (Annex 1 sets out
the mandatory procedures for accident & and incidents reportable to
NOMS and guidance for all other accident & incidents).
• All accidents & incidents are reported both within the Area & externally
within specific timescales (as identified in Annex 1).
• All statutory notices served on an Area in respect of Health & Safety or
Environmental Protection Legislation must be reported to NOMS.
• All accidents & incidents are properly recorded (Annex 2 identifies the
general requirements).
• The responsibilities for internal & external reporting (including out of office
hours reporting) are clearly identified.
• Appropriate persons are suitably trained to implement the local
arrangements.
The procedures for investigating accidents & incidents and consequent
corrective actions are set out in Arrangement NPS/HS/2.
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas.
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ANNEX 1
Detailed Categorisation of Accidents & Incidents and
Reporting Routes & Timescales.
Introduction
The use of a common categorisation system (together with the associated
timescales & routes for reporting of specified accidents & incidents) is an
important contributor to the overall process of reducing accidents & incidents.
The term ‘Accident & Incident’ includes ‘accidents’, ‘injuries’ and other
‘abnormal events’.
In the following Tables, where information is identified as requiring to be
notified to NOMS, these requirements are mandatory on all Areas.
For all other categories of accidents & incidents (ie information not identified
as notifiable to NOMS), 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 NOMS 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 NOMS 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 NOMS (to the HR Manager, Health & Safety)
on the next working day. References to monthly reporting in the tables are in
line with the new HR Data warehouse arrangements, however quarterly
reporting will remain in place until this is fully implemented.
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Detailed requirements
The following tables identify the totality of the categorisation scheme covering
both type and severity and the reporting requirements. Eight basic types of
accidents & incidents are used (reflected in the subsequent eight tables) as
follows:
A Physical Injury in the Workplace
B Road Traffic Accident (RTA)
C Violence & Intimidation in Prisons.
D Violence & Intimidation in Approved Premises.
E Violence & Intimidation in Community Punishment Projects
F Violence & Intimidation in other NPS Premises
G Abnormal Events
H Ill Health
Detailed notes (identified by italic numerals in brackets) are given after table H
to aid in the interpretation of the terms used.
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A) Physical Injury (1)
Severity Detail of Reportable to NOMS? Reportable to

Accident/Incident HSE/Police?
Yes/No Timescale (2) Who Timescale
1 a) Death (3) Yes Immediate HSE & Immediate
Police
2 a) Major Injury (4a) Yes Next Working HSE Immediate
Day
(See Note 4b)
3 a) 3 day Lost Time Yes Monthly HSE Within 10
Accident to employee days
(5)
4 a) Injury to employee Yes Monthly Neither -
resulting in absence in
excess of one day (6)
5 a) Hospital treatment of No - Neither -
employee with absence
of less than one day.
b) Employee First Aid No - Neither -
case (no absence).
c) Injury to an offender No - Neither -
(requiring first aid,
hospital treatment etc
but not including major
injury or death (see
Severities 1 & 2))
6 a) Near Hit/Miss & No - Neither -
including minor injury
not requiring first aid.
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B) Road Traffic Accident (7)

1 a) Death of Employee Yes Immediate Police Immediate
(3)
b) Death of third party Yes Immediate Police Immediate

(8)
2 a) Major Injury to Yes Next Working Police Immediate
employee (4a) Day
b) Major Injury to third Yes Next Working Police Immediate
party (4a & 4b) (8) Day
(See Note 4b)
3 a) Injury to employee Yes Monthly Police As soon as
resulting in the practicable
equivalent of a 3 day
Lost Time Accident (5)
excess of one day (6)
employee with absence
of less than one day.
case (no absence).
6 a) Accident not No - Neither -
involving injury
b) Other accident/ No - Neither -
incident which could
have caused a
significant RTA (eg
involving failure of
braking or steering,
significant road rage
which could have
resulted in an RTA
etc).
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C) Violence and Intimidation in Prisons (9)

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

(2)
1 a) Death occurring within Yes Immediate HSE & Police Immediate
one year of an assault
2 a) Major injury (4a) as a Yes Immediate HSE & Police Immediate
consequence of an assault. See Note
4b)
b) Threat with intent to kill Yes Next Police As
(ie a significant threat Working (if necessary) appropriate
where there is considered Day
to be a real risk of harm
involved).
3 a) 3 day Lost Time Injury Yes Next HSE & HSE: within
(5) to employee as a Working Police 10 days,
consequence of an assault. Day Police:
as soon as
practicable
weapon (10) (if necessary) appropriate
safety implications resulting (if necessary) appropriate
in a requirement to
summon Police/ return to
custody/ court.
safety implications resulting
in Final Warning
orientation/disability
abusive language.
resulting in a formal
warning.
less than one day.
treatment
first aid.
Detailed notes (identified by italic numerals in brackets) are after table H to aid
in the interpretation of the terms used.
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E) Violence and Intimidation in Unpaid Work Projects (9)

Severity Detail of Accident/Incident Reportable to NOMS? Reportable to
HSE/Police?
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4a) as a Yes Immediate HSE & Immediate
consequence of an assault. (See Note Police
4b)
b) Threat with intent to kill (ie Yes Next Police As
a significant threat where Working (if appropriate
there is considered to be a Day necessary)
real risk of harm involved).
3 a) 3 day Lost Time Injury (5) Yes Next HSE & HSE: within
to employee as a Working Police 10 days,
consequence of an assault. Day Police: as
soon as
practicable
weapon (10) (if appropriate
necessary)
safety implications resulting in (if appropriate
a requirement to summon necessary)
Police/ take into custody;
safety implications resulting in
referral back to Court for
breach of terms of the
sentence
e) Incident with health & No - Neither -
a formal written warning of
behaviour
orientation/disability abusive
language.
resulting in a formal warning.
less than one day.
treatment
first aid
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F) Violence and Intimidation in Other NPS Premises or Activities (9)

Severity Detail of Accident/Incident Reportable to NOMS? Reportable to
HSE/Police?
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4a) as a Yes Immediate HSE & Immediate
consequence of an assault. (See Note Police
4b)
b) Threat with intent to kill (ie Yes Next Working Police As
a significant threat where Day (if appropriate
there is considered to be a necessary)
real risk of harm involved).
3 a) 3 day Lost Time Injury (5) Yes Next Working HSE & HSE: within
to employee as a Day Police 10 days,
consequence of an assault. Police: as
soon as
practicable
weapon (10) (if appropriate
necessary)
safety implications resulting in (if appropriate
a requirement to summon necessary)
Police/ take into custody;
referral back to Court/Parole
Board for breach of terms of
the sentence
e) Incident with health & No - Neither -
a formal written warning of
behaviour
orientation/disability abusive
language.
resulting in a formal warning.
less than one day.
treatment
first aid
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G) Abnormal Events

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

to NPS property with
significant health &
safety implications
(including arson,
tampering with
asbestos materials
etc).
4 a) Near Hit/Miss (13) No - Neither -
5 None Identified at this - - - -
time
time
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H) Ill Health
Severity Detail of Reportable to NOMS? Reportable to HSE/Police?
Accident/Incident
(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 Monthly Neither -
consequent upon work
activity (eg
occupational related
asthma, dermatitis,
muscular-skeletal, work
related stress etc).
4 a) Other sickness Yes Monthly Neither -
absence. (15)
5 a) Infestation (eg No - Neither -
cockroaches, rodents,
lice, fleas etc)
time
Detailed notes (identified by italic numerals in brackets) are given overleaf to

aid in the interpretation of the terms used.
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Specific notes to the Tables

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

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15 General sickness absence is included for completeness. HR

Departments are responsible for collecting and reporting this data.
There is no requirement for an Accident & Incident Report Form (see
Annex 2) for general sickness absences.
General notes to the Tables
The categories relate to general health & safety matters. They do not include
such additional reporting requirements as may be required by local security
requirements, Estates, Finance, General HR nor ‘one off’ epidemiological
study requirements etc.
When ascribing a category to an accident or incident, the general rule is that it
must be the most appropriate in respect of Type and Severity. In some
cases the categorisation may need to change (especially the severity ranking
as more information emerges). In most cases an accident or incident will
appear in only one category. Note that the injury of, say, 3 persons from a
single accident/incident (eg a road traffic accident) will be recorded as 3
individual injuries. The convention for stating the category will be: Basic
Type – Severity – Sub Type. For example, a physical injury in the workplace
(not from an assault or road traffic accident) requiring only first aid would be
stated as: ‘A5b’.
Timescales etc for Internal Reporting within Areas.
Local arrangements must include the reporting routes for internal Area
reporting together with the responsibilities for reporting to NOMS and the
relevant statutory authorities and also for keeping the relevant Safety
Representatives appraised of accidents & incidents. These must take
account of the requirements for reporting to HSE, the Police and NOMS as set
out below. In some circumstances this will include a requirement for reporting
in ‘out of office’ hours.
Timescales etc for Reporting to Statutory Authorities.
For reporting accidents & incidents to HSE the relevant statutory forms must
be used (using the HSE web site if appropriate). The timescales for reporting
to HSE (as specified in RIDDOR) are:
• Death or Major Injury: Immediate (ie without delay) by telephone (0845
300 9923) followed within 10 days by a completed HSE accident form
(note this can be achieved through the HSE ‘web’ site
riddor@natbrit.com).
• Three day lost time injury: Within 10 days by a completed HSE accident
form (note this can be achieved through the HSE ‘web’ site or by
telephone: 0845 300 9923, Fax: 0845 300 9924).
Reports to be made to the Local Police should be by telephone and without
delay.
Timescales etc for Reporting to NOMS.
• ‘Immediate’ Reporting: In normal NOMS office hours, this must be to the
office of the Director of Probation ; The Head of Probation Area Co-
ordination Unit and also to the NOMS HR Manager, Health & Safety.
Telephone numbers are given in the NAPO Directory. The route in ‘out of
office’ hours must be through the Area out of office reporting system. All
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Area CO’s are issued with NOMS out of hours contact details on a weekly
basis.
• ‘Next Working Day’ Reporting: is defined as the next working day within
NOMS and must be to the NOMS HR Manager, Health & Safety.
• ‘Monthly reporting’ will be via the routine NOMS HR Data Warehouse
reports prepared by Area HR/H&S functions.
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ANNEX 2
The Common Recording Pro Forma.
Introduction & Implementation

The use of a coherent means of collection of information across all Areas is
an important contributor to the overall process of reducing accidents &
incidents by allowing a common approach to recording, analysing and sharing
data and experience. This Annex sets out the mandatory requirements for the
type of accident & incident information to be recorded together with guidance
on the best practice for recording of such information.
The Model Recording Pro Forma and Maintenance of Records

Subject to the transitional arrangements noted below, all Areas are required to
ensure that their local Area Accident & Incident Report Forms incorporate the
data and information set out in the Model Accident & Incident Report Form
illustrated in Fig 2.1. The actual format can take account of local
circumstances and can include additional information and detail as required
by an individual Area.
Accident & Incident Records may be required in the event of claims against
the Area. It is recommended that in addition to the statutory requirements (3
years is stipulated by the Department for Work & Pensions), Areas should
give consideration to retaining records for longer periods as set out in the
general introduction to this Section.
The Model Accident & Incident Recording Form

The Model Accident & Incident Recording Form is set out overleaf. The
responses to most of the questions posed are either simple ‘Yes/No’ answers
or require simple basic data input (eg names, dates etc).
Local Area Arrangements should identify who will be responsible for

completing the form. Normally this should be the local line manager and/or
the individual affected by the incident assisted as necessary by the Area
Health & Safety Advisor (who will in any case determine the correct
classification and verify whether the accident/incident is reportable).
Accident & Incident Report Forms should be allocated a unique identifier

number within a given Area to permit tracking of information. On the basis of
advice provided by HSE, to comply with the requirements of personal privacy
and the Date Protection Act, injured persons and witnesses should be asked
to initial (or otherwise mark) the form to confirm they agree that their personal
information included on the form can be passed to the relevant Safety
Representative. Otherwise only HR Departments and Health & Safety
Advisors may retain copies of the form including personal details. Copies of
completed forms held by any other persons should have the relevant personal
information appropriately obscured. Wherever possible, permanent records
should be maintained in an ‘electronic’ format in which personal information
can be restricted to authorised users only.
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As structured, the form conforms to the requirements of the ‘Social Security

(Claims & payments) Regulations 1979’ and also provides the information
required for completion of reports to the HSE. Therefore the use of this form
removes the need for additional recording of accidents in the traditional
‘Yellow Accident Book’ (BI510).
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Fig 2.1: Model Accident & Incident Reporting Form

THE NATIONAL PROBATION SERVICE:
………………………………AREA ACCIDENT & INCIDENT REPORT FORM
ACCIDENT/INCIDENT FORM NUMBER Page 1 of 2
1) DETAILS OF THE ACCIDENT/INCIDENT
Date of Accident/Incident Time of Accident/Incident (24hr
clock)
Detailed location (Division/site /post code) of
the Accident/Incident
Type of work undertaken
Description of the Accident/Incident (attach drawings etc)
Did the Accident/Incident involve any of the following; (Tick/enter No of days of absence as appropriate.)
(Definitions are given in the Reporting of Injuries, Diseases & Dangerous Occurrences Regulations):
Death of any person Major Injury of any person Dangerous Occurrence
Hospitalisation Unconsciousness Resuscitation
Absence from work First Aid Treatment None of these?
Details of any witnesses
Name Name
Address* Address
Post Code* Post Code
Tel* Tel
* Agreement to disclosure of address/tel number to TU Safety Reps to assist in their investigation
2) DETAILS OF THE PERSON INJURED OR PUT AT RISK.
Family/Surname Forename Employer
Address* Address
Post Code* Post Code
Tel* Tel
* Agreement to disclosure of address/tel number to TU Safety Reps to assist in their investigation
DOB Gender (tick box) Race Disability (Nature)
Male
Female
STATUS (tick box) Contractor

NPS Employee* Trainee
Person under Supervision Member of Public
Approved Premises Resident Other
* Please insert occupation or job title.
Details of the injury
What was the Injury (eg fracture,
laceration, burn, stab wound etc)
What Part of the body was injured?
If Hospitalised, name of Hospital
Did the injury result from any of the following (tick as appropriate)
Contact with moving Slip trip or fall at same level Exposed to or in contact with a
machinery/material being machined harmful substance
Hit by a moving, flying or falling Fall from height Exposure to fire
object
Hit by a moving vehicle How high was the fall (metres) Exposed to an explosion
Hit by something fixed or stationary Trapped by something Contact with electricity or an

collapsing electrical discharge
Injured while handling, lifting or Drowned or asphyxiated Injured by an animal
carrying
Injury caused by sharps Act of violence or assault Any other factor not covered
above
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Fig 2.1 Continued

THE NATIONAL PROBATION SERVICE:
………………………………AREA ACCIDENT & INCIDENT REPORT FORM
ACCIDENT/INCIDENT FORM NUMBER Page 2 of 2
3) ACCIDENT & INCIDENTS INVOLVING VIOLENCE OR INTIMIDATION: DETAILS OF THE
PERPETRATOR(S)
Family/Surname Family/Surname
Forename Forename
Contact Address Contact Address
Telephone Telephone
If the perpetrator was under supervision, were they identified as posing a significant risk of harm to staff:
Prior to the Accident/Incident? Y/N Subsequent to the Y/N
Accident/Incident?
Did the Accident/Incident involve violence or intimidation that was (tick box):
Physical Verbal Sexual Racial Other (specify)
Additional Comments
4) OCCUPATIONAL DISEASE
Name of Disease/Condition Date of Diagnosis
Name & Address of Doctor
Note any special circumstances that could have contributed to the condition
5) FOLLOW UP ACTIONS
What actions have
been taken to prevent
a recurrence?
Check list of Area Personnel to whom this Accident/Incident must be reported (tick box to confirm)
Line Manager Building Manager Area H&S Advisor Safety
Representatives
6) SIGNATURES
Role Name Signature
Person completing this form *
Manager responsible for the work
activity (if not the person completing
this form)
* If you are not the injured person, please write your
home address and post code together with your
occupation or job title here:
Attach any additional information using blank sheets
Specific Actions Undertaken by the Area Health & Safety Advisor

Category of Accident/Incident
Type Severity Sub-Type
External Reporting requirements: Insert date reported (or ‘N/A’ if not reportable)
Statutory Authority (state Immediate/ Next Working
which). Day to NOMS (Severity 1
& 2 only)
This form complies with the Social Security (Claims & Payments) Regulations) 1979
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ANNEX 3
Definitions of RIDDOR ‘Lost Time Accidents’, ‘Major Injuries’ &
‘Dangerous Occurrences’.
(See footnotes to the tables in Annex 1 for HSE contact numbers etc)
Lost Time Accidents:
‘Three Day Lost Time Accidents’ means any accident/incident which results in
an individual being unable to perform their full range of normal duties for more
than 3 days (including any days they wouldn’t normally be expected to work
but not counting the day of the injury itself). The total figure for reporting to
HSE, and for general ‘3 day LTA’ records, will also include the data from
Categories C, D & E (but not B).
To calculate the Lost Time Accident Frequency Rate (ie the number of such
accidents per 100,000 hours worked) the convention to be used for
determining the ‘total hours worked’ in any quarter is:
‘Number of full time equivalent people x 11 x 40’
Where ‘11’ is the typical number of weeks worked per quarter (allowing for
leave & other absence) and ‘40’ is a notional number of hours per week
(allowing for overtime etc). Pro rata figures can be used for periods other than
Quarters.
Major Injuries (as defined by the Health & Safety Executive (HSE)):
• Fracture other than to fingers, thumbs or toes;
• Amputation;
• Dislocation of the shoulder, hip, knee or spine;
• Loss of sight (temporary or permanent);
• Chemical or hot metal burn to the eye or any penetrating injury to the
eye;
• Injury resulting from electric shock or electrical burn leading to
unconsciousness or requiring resuscitation or admittance to hospital for
more than 24 hours;
• Any other injury: leading to hypothermia, heat-induced illness or
unconsciousness; or requiring resuscitation; or requiring admittance to
hospital for more than 24 hours;
• Unconsciousness caused by asphyxia or exposure to a harmful
substance or biological agent;
• Acute illness requiring medical attention, or loss of consciousness
arising from absorption of any substance by inhalation, ingestion or
through the skin;
• Acute illness requiring medical treatment where there is reason to
believe that this resulted from exposure to a biological agent or its
toxins or infected material.
In addition a ‘major injury’ (ie requiring immediate reporting to HSE) includes,

for the purpose of this Arrangement, an accident where a member of the
public (an offender, victim or any other person who is not ‘at work’) is taken to
hospital on the direction of an Area employee.
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Dangerous Occurrences as defined by HSE:

a) Those accidents & incidents more likely to be encountered in the work of
the NPS:
• Collapse, overturning or failure of load-bearing parts of lifts and lifting
equipment;
• Explosion, collapse or bursting of any closed vessel or associated pipe
work;
• Failure of any freight container in any of its load bearing parts;
• Plant or equipment coming into contact with overhead power lines;
• Electrical short circuit or overload causing fire or explosion;
• Any unintended explosion, misfire, failure of demolition to cause the
intended collapse, projection of material beyond a site boundary, injury
caused by an explosion;
• Malfunction of breathing apparatus while in use or during testing
immediately before use;
• Collapse or partial collapse of a scaffold over five metres high, or
erected near water where there could be a risk of drowning after a fall;
• Unintended collapse of: any building or structure under construction,
alteration or demolition where over five tonnes of material falls; a wall
or floor in a place of work; any false work;
• Explosion or fire causing suspension of normal work for over 24 hours;
• Accidental release of any substance which might damage health.
b) Those accidents & incidents unlikely to be encountered in the work of the

NPS but included for completeness:
• Accidental release of biological agent likely to cause severe human
illness;
• Failure of industrial radiography or irradiation equipment to de-energise
or return to its safe position after the intended exposure period;
• Failure or endangering of diving equipment, the trapping of a dive, an
explosion near a diver, or an uncontrolled ascent;
• Unintended collision of a train with any vehicle;
• Dangerous occurrence at a well (other than a water well);
• Dangerous occurrence at a pipeline;
• Failure of any load-bearing fairground equipment, or derailment or
unintended collision of cars or trains;
• A road tanker carrying dangerous substances overturns, suffers
serious damage, catches fire or the substance is released;
• A dangerous substance being conveyed by road is involved in a fire or
released;
• Sudden uncontrolled release in a building of:
• 100 kg or more of a flammable liquid;
• 10 kg or more of a flammable liquid above its boiling point; or
• 10 kg or more of a flammable gas; or
• 500 kg of these substances if the release is in the open air.
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Reportable Diseases.
Identification of a ‘Reportable Disease’ should only be made by an
Occupational Health Specialist or a Medical Practitioner. It should also be
noted that such diseases may arise during employment with NPS even though
the cause could be connected with past employment. A full listing is available
in a number of HSE publications including their detailed guide to RIDDOR.
The list includes:

• certain poisonings
• some skin diseases such as occupational dermatitis, skin cancer,
chrome ulcer, oil folliculitis/acne
• lung diseases including occupational asthma, farmers lung,
pneumoconiosis, asbestosis, mesothelioma
• infections such as leptospirosis, hepatitis, tuberculosis, anthrax,
legionellosis & tetanus
• other conditions such as occupational cancer, certain musculoskeletal
disorders, decompression illness, and hand-arm vibration syndrome.
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INVESTIGATION OF ACCIDENTS & INCIDENTS Doc Ref: NPS/HS/2
& LEARNING FROM EXPERIENCE
Issue Number: 3 Date of Issue: 1st June 2007
Statement of Policy & Objectives:

It is NPS policy that accidents & incidents with a potential to harm people are
properly investigated, the lessons learnt and improvements adopted.
Scope of Application:
The requirements set out in this procedure present the best practice to be
applied in all NPS Areas in respect of the investigation of:
• Accidents & incidents affecting or potentially affecting NPS employees;
• Accidents & incidents affecting or potentially affecting any other person as
a consequence of activities under the control & supervision of NPS
employees.
The Mandatory elements of best practice which must be implemented are
stated below (‘Specific Requirements’). Guidance on the implementation of
these is given in the annexes (noting that in the case of Severity 1 accidents &
incidents (all associated with a death) the annexes set out a mandatory
implementation requirement). In the event of any accident or incident
affecting or potentially affecting a non NPS employee as a consequence of
the activity of a third party (eg a Contractor’s employee injured as a
consequence of the activity of a Contractor), the NPS Area must liaise with
the appropriate bodies to ensure that the accident/incident is properly
investigated and the improvements are implemented. The NPS reserves the
right in such cases to independently investigate such accidents & incidents.
The Specific Requirements
The following are statements of best practice to be applied across the NPS.
Detailed guidance on the implementation of the best practice is set out in the
annexes to this procedure. Areas are required to have in place suitable &
sufficient local arrangements to ensure that:
• All accidents & incidents are properly investigated without delay to identify
root and contributory causes (see Annex 1).
• Investigations are properly constituted, resourced, conducted and reported
(see Annex 1).
• Lessons learnt are acted on both in the Area and, as appropriate, across
the NPS (see Annex 2).
• Mechanisms are in place to confirm that action has been taken (see Annex
2).
• Such investigations are not associated with the apportionment of personal
blame (this is a matter for independent management action).
The procedures for the categorisation and reporting of accidents & incidents
are set out in Arrangement NPS/HS/1.
Implementation.
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ANNEX 1
GUIDANCE ON INQUIRY PROCEDURES.
Introduction.
The level of inquiry will depend on the nature and severity of the
accident/incident – and this procedure provides general guidance linked to the
severity classification scheme set out Arrangement NPS/HS/1. The one
exception to this guidance is in respect of the investigation of Severity 1
accidents & incidents (all associated with a death) where the detailed
implementation requirements are mandatory across the NPS.
The primary objectives of an inquiry procedure are to:

• Identify the root cause(s).
• Identify contributory causes.
• Make recommendations to prevent a recurrence within the Area.
• Make recommendations for broader dissemination where this could be
of value to other Areas.
• Report on these matters in a timely manner.
An inquiry of this nature must not attempt to apportion or imply personal
blame – that is a matter for Management to determine.
All inquiries & investigations should be undertaken without delay in

partnership with the key stakeholders (eg involving the Line Management,
Safety Representatives, Health & Safety Advisors etc).
This Annex provides guidance (mandatory requirements in respect of Severity

1 accidents & incidents) in respect of:
• Levels of Inquiries (matched to the severity of an accident or incident)-
Annex 1.1;
• The identification of a Convening Authority (to ensure an Inquiry is
properly conducted) – Annex 1.2;
• Membership of Inquiry Teams (to ensure an appropriate representation
and independence) – Annex 1.3;
• The conduct of an Inquiry (to ensure all relevant issues are considered)
– Annex 1.4;
• Inquiry Reports (to ensure all relevant information is properly recorded)
- Annex 1.5.
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Annex 1.1
Levels of Inquiries.
The level of inquiry will be dependent upon the severity (or in some cases the
potential severity) of the accident/incident. Table 1 provides guidance
(mandatory requirements in respect of severity 1 accidents & incidents) on the
general nature of Inquiries etc. It should be read in conjunction with Annex
1.2 (Table 2: Definition of Convening authority) and Annex 1.3 (Table 3:
Members of an Inquiry Team). The initial determination of the appropriate
level of the proposed inquiry/investigation should be the relevant line manager
(advised by the Area Health & Safety Advisor as necessary).
Table 1: Levels of Inquiry.

Category of Accident/Incident Level of Inquiry
All Severity 1 Accidents & incidents National Board of Inquiry
All Severity 2 Accidents & incidents Area Board of Inquiry
(other than as a sole consequence of
any accident where a member of the
public (an offender, victim or any other
person who is not ‘at work’) is taken to
hospital on the direction of an Area
employee and which is not otherwise a
‘major injury’.
All Severity 3 & 4 Accidents & incidents Local Management Inquiry
involving lost time injury or hospital
treatment as a result of an injury together
with a Severity 2 accident where a
member of the public (an offender, victim
or any other person who is not ‘at work’)
is taken to hospital on the direction of an
Area employee and which is not
otherwise a ‘major injury.
All other Accidents & incidents (other Local Investigation
than Type H)
The Convening Authority (see annex 1.2) should have the authority to
recommend a higher status inquiry if the circumstances are such that the
consequences of the accident or incident could have resulted in a greater
level of harm or where the actual level of harm incurred was greater than that
indicated by the initial categorisation (eg trauma following an act of violence (a
‘Severity 4 accident/incident) resulting in a significant period of absence and ill
health).
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Annex 1.2
The Convening Authority.
The Convening Authority is the Person sponsoring the Inquiry and to whom an
Inquiry Team would report in the first instance. The seniority of the Convening
Authority is dependent upon the level of severity of the accident/incident. It is
to be noted that, due to the complexity of the senior reporting arrangements in
the NPS (the role of the CO’s, the Area Boards & the Director of Probation ), a
degree of joint responsibility is necessary.
The role of the Convening Authority should be:

• To be satisfied that the level of inquiry is correct;
• Selecting and instructing the inquiry chair;
• Approving the constitution of the inquiry team;
• Ensuring the inquiry/investigation is conducted without delay;
• Receiving & accepting the report;
• Ensuring that all actions identified are acted upon.
Table 2 provides guidance (mandatory requirements in respect of severity 1

accidents & incidents) on the appropriate levels of seniority for the Convening
Authority.
Table 2: The Convening Authority.

Level of Inquiry Convening Authority
National Board of Inquiry Area Board Chair in consultation
with the Director of Probation,
NOMS
Area Board of Inquiry CO in consultation with the Area
Board Chair
Local Management Inquiry ACO responsible for the area of
work
Local Investigation No formal requirement for a
Convening Authority, but the local
arrangements should ensure that
matters are suitably & sufficiently
investigated, the lessons learnt
and who has the responsibility for
ensuring that this happens.
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Annex 1.3
Membership of Inquiries.
Table 3 provides guidance (mandatory requirements in respect of severity 1

accidents & incidents) on the membership of inquiry teams.
Table 3: Membership of Inquiry Teams

Member Inquiry Type
National Board of Area Board of Local
Inquiry Inquiry Management
Inquiry
Chair Chair or CO from ACO (or Manager of
another Area equivalent) from appropriate
another area of seniority (ie
work below ACO)
Health & NOMS Health & Area Health & Area Health &
Safety Safety Manager Safety Advisor Safety Advisor
Technical ACO (or equivalent) Manager of Nominee of
from the Area (but appropriate inquiry chair.
not from the seniority (ie below
accident/incident ACO) from another
work area) or area of work or an
NOMS OH OH specialist in
specialist in the the case of
case of Cat G Cat G
Employee Nominee of Nominee of local Nominee of local
Representative relevant Trades Trades Union Trades Union
Union National Officers Officers
Officers
Secretary Nominee of Nominee of Nominee of
Convening Convening Inquiry Chair
Authority Authority
Where practicable, Chairs should be trained in leading inquiries and at least

one other member should have received training as an inquiry member.
Equally the H&S input should be able to call upon a degree of experience in
root cause analysis.
Additional members may be appropriate to cover specific technical issues or

as a consequence of local management organisational structures.
It is essential that sufficient resources are made available to the Chair for the
undertaking of the Inquiry (including ‘facility time’ for the identified employee
representative (normally a Safety Representative)).
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Local Investigations will normally be undertaken by an appropriate local

manager in association with the relevant Safety Representative and, as
necessary, the Area Health & Safety Advisor. Dependent on the local
circumstances, the investigation may take the form of:
• As a minimum, the completion of the Accident & Incident Report Form; or
• The use of a simple accident & incident investigation form (Figure 1
provides an example of a suitable pro forma); or
• An inquiry modelled on a ‘Local Management Inquiry’.
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Figure 1: Page 1 of a Model Accident & Incident Investigation Form

THE NATIONAL PROBATION SERVICE:………………………………AREA.
ACCIDENT & INCIDENT INVESTIGATION FORM
Re: Accident/Incident Report Form No
Date of Investigation
Name of Investigation Leader
Name of Safety Representative
Name of H&S Advisor (if present)
DETAILS OF ACCIDENT/INCIDENT (See over for details of investigation)
Date of Accident/Incident
Time of Accident/Incident
Category of Accident/Incident
Personal Injury?
Reported to HSE?
Description of the Accident/Incident (refer to original Report Form if nothing to add)
CONCLUSIONS OF INVESTIGATION: CAUSES (See over for details of investigation):

Initiating Event
Contributory Causes
Root (underlying) Causes
RECOMMENDATIONS
Recommendation Date for completion:
SIGNATURE OF INVESTIGATION LEADER

Signature: Date:
DISTRIBUTION
1) Line manager 2) Managers responsible for 3) Area H&S Advisor
recommendation implementation.
4) Safety 5) OH Advisor (if applicable) 6) NOMS H&S (as required)
Representative
7) Others
Page 1 of 2
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Figure 1 Continued:
DETAILS OF THE INVESTIGATION
Factors involved Y/N Comments

Environmental:
• Lighting
• Access/exits
• Ventilation
• Heating
• Trip hazards
• Housekeeping
• Other factors
Equipment:
• Defective tools
• Defective machine guards
• Local ventilation
• Other factors
• Electrical isolation
• Other factors
Personal. Prot. Equip
• Specified
• Available
• Worn
• Suitable
• Good condition
• Other factors
Procedures/supervision:
• Instructions: available
suitable
understood
followed
• Adequate training
• Adequate supervision
• Other factors
People Issues
• Horseplay
• Malicious damage
• Alcohol
• Drugs/medication
• Excess workload
• Exceeding authority
• Exceeding training
• Other factors
Additional Comments
Page 2 of 2
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Annex 1.4
The Conduct of Inquiries.
The conduct of an inquiry is key to the value of its output. To assist in the
delivery of the primary objectives (set out at the beginning of Annex 1), the
following provides guidance (mandatory requirements in respect of severity 1
accidents & incidents) on the key issues to be considered:
• Clear Terms of Reference should be established (eg ‘to investigate….

to determine the root & contributory causes……to make
recommendations to the Convening Authority’).
• Timescales should be set for completion (typically 28 days with an
interim report if longer is required).
• Immediate issues of concern should be raised at once.
• Evidence should be taken orally (and in writing if necessary or
requested by a witness).
• The scene of the accident/incident must be visited.
• Evidence/photos must be preserved.
• The evidence should be submitted to a root cause analysis procedure
to ensure the true underpinning reasons are identified.
• Recommendations for preventing a recurrence must be agreed for
promulgation within the Area and (if potentially relevant) further afield.
• A full record of the proceedings must be made by the Secretary.
• It is again stressed that the inquiry is not to apportion or imply personal
blame in any circumstances.
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Annex 1.5
The Inquiry Report
The degree of detail in the Report will obviously be dependent upon the scale
of the investigation. A full National Board of Inquiry Report would be expected
to be considerably more detailed than a Local Management Inquiry.
Guidance (mandatory requirements in respect of severity 1 accidents &
incidents) on the appropriate level of information etc to be
presented/preserved is as follows.
The Principal Report:

• Name & position of the Convening Authority, the Chair & members.
• Terms of reference.
• Description of the accident/incident (including date, time, work in
progress, what happened etc).
• Details of any casualties.
• Conclusions (re root & contributory causes).
• Recommendations.
The final report must be made available to all key stakeholders.
Additional Information to be preserved:

• The inquiry discussions.
• Evidence taken (including any drawings, reports, photographs etc).
• Witness statements.
• Any other information deemed by any member to be relevant.
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ANNEX 2
GUIDANCE ON THE DISSEMINATION AND FOLLOW UP OF INQUIRY
ETC FINDINGS & RECOMMENDATIONS.
The proper and timely dissemination and follow up of Inquiry and investigation
findings is essential to ensuring that any lessons learnt are promptly and fully
implemented. In effect, this closes the accident/incident – inquiry –
rectification loop. To assist in promoting a positive safety culture (and to
reinforce the value of the timely completion of accident/incident reports), it is
important that all relevant staff are appraised of the learning points and the
actions being taken to prevent a recurrence. Responsibilities for these matters
are given below.
Responsibilities for ensuring the dissemination and follow up of Inquiry

etc Findings & Recommendations.
• Severity 1 accidents & incidents: the Convening Authority will be

responsible for ensuring that proper follow up of Inquiry findings etc is
achieved.
• For severity 2 accidents & incidents and for severity 3 & 4

accidents & incidents involving lost time injury or hospital
treatment as a result of an injury: it is recommended that the
Convening Authority be responsible for this aspect.
• For all other accidents & incidents (where the inquiry takes the form
of a Local Investigation which may be no more than the completion of
an Accident & Incident Report): Local Area arrangements should
include the identification of the appropriate level of authority
responsible for the follow up of investigation findings and
recommendations. (Note: this must be within the line management
team – it should not be the direct responsibility of the Health & Safety
Advisor – see also the guidance re Tracking Systems.)
The Tracking of Inquiry Findings & Recommendations

It is emphasised that the responsibility for closing out actions arising from
inquiries & investigations rests with the individual specifically identified against
those actions in the inquiry/investigation report etc. The objective of tracking
is simply to provide a means of confirming the completion of actions and the
identification of outstanding issues.
To ensure the tracking of Inquiry findings & recommendations to completion,

the following guidance (mandatory requirements in respect of severity 1
accidents & incidents) on tracking systems is given:
• For National Boards of Inquiry, the NOMS H&S Manager (in

association with the Area Health & Safety Advisor) will, on behalf of
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the relevant 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
NOMS H&S Manager as necessary) should make periodic (eg six
monthly) presentations to the Area Board re progress on implementing
inquiry/investigation recommendations.

It is NPS policy that the hazards arising from all work activities are properly
assessed for risk to ensure that where the elimination of harm is not
possible, harm is minimised so far as is reasonably practicable. The
objective of this procedure is to ensure a coherent approach to risk
assessment across the NPS as a contribution to a culture of proactive
protection.
Scope of the application.

The requirements set out in this procedure present the best practice to be applied
in all NPS Areas in respect of the assessment of risk to:
• All employees (whether engaged in activities on NPS premises or elsewhere);
• Other persons whose health & safety may be affected by the activities of the
NPS;
- together with additional requirements applying to Contractors’ (etc) staff working
on NPS premises.
The mandatory elements of best practice which must be implemented are stated
below (‘Specific Requirements’). Detailed statements for the implementation of
these are given in the annexes, some of which are mandatory, some are for
guidance. A general guide to Risk Assessment is given in Annex 1.
The Specific Requirements.

Detailed means of compliance are set out in the annexes to this procedure and
are designated below as being either: mandatory (ie must be applied); or
guidance on best practice. Areas are required to have in place suitable &
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RISK ASSESSMENT Doc Ref: NPS/HS/3 2
• All hazards to health and safety of anyone who may be affected by NPS
activities are properly identified (see Annex 2 for guidance).
• Those groups of people who may be harmed are properly identified (see
Annex 3 for guidance).
• The resultant risk is evaluated, the adequacy of existing levels of protection is
assessed and additional levels of protection are determined as necessary
(see Annex 4 for guidance).
• The findings are properly recorded (See Annex 5 for guidance together with a
model record form).
• All Risk Assessments are periodically reviewed and revised as necessary
(see Annex 6 for mandatory requirements to be employed by all Areas).
Arrangements for work undertaken by Contractors etc is covered by a further
Arrangement (NPS/HS/10).
Implementation.
ANNEX 1
A GENERAL INTRODUCTION TO RISK ASSESSMENT.
Risk assessment is a simple technique that seeks, by examination of the work to

be undertaken, to identify what aspects have the potential to cause harm to any
person, who those people might be and how that harm can be eliminated or
reduced. Whilst a systematic approach is necessary, it is important to remember
that risk assessment is generally not an “objective” process. The basic aim is to
determine whether the protective mechanisms, procedures etc in place provide
an acceptable level of protection. The objective of a Risk Assessment is to
enable work to proceed in a safe manner. Except in extreme cases it is not
intended to stop or prevent work being carried out. With regard to Community
Punishment overall project assessments, the processes described in this
arrangement are complementary to and do not replace these more general
assessments.
Generally speaking, a work activity with a high chance of seriously harming

someone (eg the use of power cutting machinery, or serious injury resulting from
violence in certain situations) would be associated with a more detailed level of
assessment. Conversely an activity where any harm would be minimal and with
only low chance of it happening in the first place will require only a simple
assessment. The competent (ie suitably trained & experienced) line manager
undertaking the risk assessment will be able to make this evaluation prior to
embarking on the full assessment.
Whilst it is only necessary to maintain formal records of the more significant risk
assessments, nonetheless it is advisable to maintain a record of all assessments
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even if only to simply demonstrate that the assessment has indeed been done
and that no action was deemed necessary - this is good practice. The Annexes
in this Procedure have been designed with this in mind.
HSE have identified a five step approach to Risk Assessment. This is noted
below together with the subsidiary steps needed to ensure satisfactory
completion of each step.
The HSE ‘Five Steps’ Subsidiary steps for completion

(paraphrased)
1) Look for hazards • Identify the hazard.
• Identify the way people coming into contact with
the hazard can suffer harm to their health (if you
are not aware of the harm that may occur seek
advice).
2) Who might be harmed • Identify who is exposed to the hazard.
• Are any of them particularly at risk? (new or
expectant mothers; people under 18; pre-existing
medical condition, disability, or other impairment;
new or inexperienced staff; basic skills issues; any
matters arising from the offender assessment etc.).
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3) Evaluate the risks and • Using a simple tool to estimate the risk.
check if more needs to • Identify what you are presently doing to prevent or
be done minimise exposure to the hazard.
• Identify the way that things could be improved to
further reduce the risk (including training &
informing people of the residual hazards, risks &
identified control measures to be implemented).
• Identify who will be responsible for implementing
the changes.
• Set the time-scale over which the changes will be
made.
4) Record your findings • Record all this information – This is your risk
assessment.
5) Review your • Set a review date for monitoring the effectiveness
assessment and revisit of your improvements (the procedures should also
if necessary identify who will be responsible for co-ordinating
the monitoring and evaluation process).
All of these basic steps are explained in the remainder of the annexes to this
procedure.
Particular terms are used which have a specific meaning in risk assessment:
• HAZARD means anything that has the potential to cause harm (eg
violence & intimidation, lone working, moving machinery, working at
heights, trip hazards, electricity etc etc).
• PROBABILITY is the chance (or likelihood) that a particular level of harm
arising from a hazard might be incurred.
• RISK is the overall assessment that somebody will be actually harmed by
the hazard – it is determined from a practical consideration of the severity
of the hazard and the probability.
Combining the significance of a hazard with the likelihood that that harm will be
incurred allows the assessor to identify the most appropriate level of protection for
a particular work activity.
Harm may be either immediate (ie ‘acute harm’ such as a fall from a height) or
delayed (ie ‘chronic harm’ such as exposure to a biological hazard). Personal
susceptibility (‘sensitive harm’ eg from pre-existing medical conditions) should
also be taken into account. It is accepted that a failure to disclose relevant
personal circumstances by staff at risk means that the risk assessor is not able to
take this into account when completing the risk assessment.
Generally speaking, the assessment of risk should be undertaken by the

individual who is responsible for managing the work activity and who has been
suitably trained in risk assessment. They should be assisted by the local Trades
Union/employee Safety Representative, the people undertaking the work and (as
necessary) the Area Health & Safety Advisor. Copies of the assessment must be
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made available to people in the relevant work places and an appropriate copy
should be retained by the Area.
Attention is drawn to the specific requirements associated with the assessment of

risk for the following work activities which are to be incorporated into individual
Arrangements within this Health & Safety Policy Manual:
• Asbestos
• Display screen equipment (computers etc)
• Fire
• Harmful substances & materials
• Manual Handling (lifting & carrying objects)
• Potential contact with biological agents (Hepatitis, TB, HIV etc)
Where there are activities which are undertaken in a similar manner in more than
one place it is not necessary to do an individual risk assessment in each case. A
Generic Risk Assessment may be prepared for general use provided that, in each
situation where it is to be used, a review of local circumstances is made to ensure
that it is applicable without modification and that the relevant people are made
aware of its requirements. Generic risk assessments building on best practice
within the Areas for use across the NPS are available on EPIC.
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ANNEX 2
THE IDENTIFICATION OF HAZARDS.
Introduction
This Annex sets out best practice guidance on the identification of possible
hazards. There are a number of ways that hazards may become identified
including in particular:
• Inspections/surveys;
• Incident reporting and investigation;
• Notification of potential hazards by staff;
• Job/task analysis;
• Changes in work circumstances (including offender behaviour).
Identifying the Hazards

In undertaking a Risk Assessment, the first task is to identify what types of hazard
a person may be exposed to. Common hazards likely to be encountered within
the work of the NPS are as noted below. This is not an exhaustive listing, noting
that other hazards might be applicable in local circumstances.
• Access/egress equipment and • Ozone (eg in the vicinity of
possible impediments photocopiers & laser printers)
• Compressed air equipment • Portable power tools
• Contagious diseases (eg HIV, • Power washing equipment
Hepatitis B&C, TB, leptospirosis • Pressurised plant
(Weil’s disease), zoonoses, • Slip trip & fall hazards
legionella) • Stress at work (see also HSE
• Electrical equipment and electrical guidelines for employers)
supplies • Upper Limb Disorders
• Falling objects • Use of NPS or other vehicles
• Flammable & explosive substances (including fork lift trucks etc)
• Hand tools • Vibration
• Personal hygiene issues (NB Food • Violence & intimidation to staff
hygiene is not covered by this • Working at height
Arrangement) • Working environment (temperature,
• Installed plant and machinery adverse weather, ventilation &
(including non portable power tools) lighting etc)
• Lone and out of hours working (eg • Working on or near water or other
night working, working alone with environmental hazard
offenders etc) • Workload (ie a significant change in
• Musculo-skeletal disorder or injury nature or volume including the
• Needle stick injury possibility of increasing the potential
• Noise for workplace related stress)
• Occupational asthma and dermatitis
In undertaking a risk assessment, all the above hazards should be considered.
The risk assessment pro forma given in Annex 5 (‘Recording the Findings’)
provides an opportunity to record this aspect of the assessment.
Annex 1 lists particular hazards that are subject to specific arrangements within
this Manual.
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ANNEX 3
IDENTIFYING WHO MIGHT BE HARMED AND HOW.
Introduction
This Annex sets out best practice guidance on the identification of those groups
of people who might be harmed. Particular care needs to be taken of groups who
may be particularly at risk. These are identified later.
Identifying Those Who Might be Harmed

The first task is the identification of those who might be harmed by the hazards
identified for the work activity. There is no need to identify individuals. What is
required is the identification of groups of people who will be either undertaking the
work or who may be affected by it (eg people working in the vicinity). Typical
groups of people will include (in alphabetical order):
• Approved Premises Staff.

• Unpaid work Staff (field work).
• Unpaid work Staff (workshops).
• Contractors, Agency workers, Partnership Staff etc.
• Members of the Public (including volunteers & visitors).
• NPS staff involved in victim liaison.
• Offenders and others for whom the NPS has a responsibility in the work
place.
• Office and support Staff (in contact with offenders etc).
• Office and support Staff (not in contact with offenders etc).
• Probation Officers, Probation Services Officers and work supervisors in
contact with offenders etc on NPS property.
• Probation Officers, Probation Services Officers and work supervisors in
contact with offenders etc not on NPS property (eg in Courts, prisons,
home visits etc).
• Reception Staff.
• NPS staff seconded to a third party employer.
As noted previously, special attention must be given to the following groups who
may be at particular risk:
• Disabled Staff/Offenders etc
• New and expectant mothers
• Inexperienced staff
• Lone workers
• Visitors
• Young persons (aged under 18)
• People returning to work after prolonged absence
• Those people who may have difficulty in reading or comprehending
written instructions for whatever reason.
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Assessing the Level of Harm

The second task is to make an assessment of the level of harm that could be
experienced by those affected by the hazards if no further protective systems are
put in place. This requires a sound knowledge and experience of the work being
undertaken. As a general guide the following criteria may be used:
• Slightly Harmful: eg the worst form of harm would be: ill-health leading to
minor discomfort (eg, headaches, one-off emotional disturbance); or
superficial injuries (eg minor cuts and bruises; eye irritation from dust etc).
• Moderately Harmful: eg the worst form of harm would be: ill-health

leading to permanent minor disability or more significant discomfort (eg
deafness, dermatitis, asthma, work-related upper limb disorders, regular
emotional disturbance, disturbed sleep patterns etc); or more serious
injuries (eg lacerations; burns, concussion, serious sprains, minor fractures
– which could be reportable under RIDDOR).
• Very Harmful: eg the worst form of harm would be permanent major

disability or a major injury (eg amputations, major fractures; poisonings;
multiple injuries; occupational cancer, other severely life shortening
diseases, severe emotional disturbance, sleep deprivation, threats with
intent to kill, severe depression etc).
• Fatal: ie the activity could result in death from injury or acute (fatal)
disease.
Assessing the probability of Harm

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

model. The assessment must be based on the level of protection currently in
place (which for a new task may be none).
• Low Probability: Where the probability of the hazard being experienced

by anyone is extremely remote to the point where it can be generally
ignored (noting the guidance given in Annex 4 re possible fatal
consequences). Examples include: the chance of being physically
assaulted if there is a suitable barrier between a receptionist and an
offender.
• Intermediate Probability: Where the risk is judged to be reasonably
foreseeable (eg needle stick injury in Unpaid work).
• High Probability: Where the risk is judged to be quite evident (eg trailing
cables in a workplace, poorly stored equipment which could topple over).
• Immediate Probability: Where the chance of the hazard being
experienced is almost certain (eg unguarded machine tools or an
unguarded power take off from an agricultural tractor).
Having assessed the potential harm and the probability that an individual may
incur that harm, the final step is to assess the overall risk. This is explained in
Annex 4.
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ANNEX 4
EVALUATING THE RISK.
Introduction
Annex 3 sets out, for people who may be harmed by the work activity, a means of
assessing the potential level of severity of the harm and the probability of
incurring that harm. This Annex sets out best practice guidance on combining
these two elements to provide an overall assessment of risk.
Evaluating the Overall Risk

In establishing the level of risk and what further (if any) protective systems need
to be implemented, two underpinning principles must be complied with:
• The requirement to work within statutory constraints (limits etc).
• The principle of ‘As Low As Reasonably Practicable’ (also known as
‘ALARP’). This requires that the level of expenditure to reduce harm
should be typically not less than 10 times the cost associated with the
harm. This is a basic requirement of all UK health & safety legislation and
practice.
When a work activity is within legal limits and the risk is ‘ALARP’ the activity is
said to be ‘tolerable’.
As an aid to enabling the level of risk associated with particular activity to be

evaluated the following simple tools are recommended. Four clear levels of risk
are identified as follows:
• Minimal Risk: No additional protective controls are required. However it

is still prudent to consider if there are any further cost effective protective
measures which could be implemented to reduce the risk yet further.
Monitoring is required to ensure that the protective measures in place are
maintained.
• Moderate Risk: Action must be taken to reduce risk to a level that is ‘as
low as reasonably practicable’ (ie “tolerable”). Risk reduction measures
must be implemented within a defined time period. Where the risk is
associated with extremely harmful consequences further assessment may
be necessary to establish more precisely the likelihood of harm as a basis
for determining the need for improved control measures.
• Significant Risk: New work must not commence until further permanent
protective systems have been put in place. Work already in progress
must stop immediately. It may recommence following the introduction of
temporary control measures (eg specific temporary procedures, barriers
etc). The temporary measures must be agreed by the relevant
stakeholders (ie the line management, Safety Representatives and the
Health & Safety Advisor). The objective must be to reduce the level of
risk to at least ‘moderate’ and the period of such work must not exceed 21
days. Work beyond this time period must only continue following the
implementation of permanent control measures. It is likely that significant
resource may be needed to provide an acceptable level of protection in
these cases.
• Intolerable Risk: New work must not commence and work already in
progress must be stopped immediately until further permanent protective
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systems have been put in place to reduce the level of risk to at least the
‘moderate’ level.
Guidance on the identification of further protective measures is given later in this

Annex.
The next step is to consider the combination of the severity and probability of
harm. Figure 4.1 provides a simple model for this by identifying the level of risk
associated with the various combinations of severity and probability.
Figure 4.1: A Model for Evaluating Risk.

Severity of Probability of Harm
Harm Low Intermediate High Immediate
Slightly Minimal Minimal Minimal Moderate
Harmful
Moderately Minimal Minimal Moderate Significant
Harmful
Very Minimal Moderate Significant Intolerable
Harmful
Fatal Moderate Significant Intolerable Intolerable
Having determined the level of risk, any additional protective measures needed to
reduce the risk should be established using the hierarchy set out below.
Identifying Further Protective Measures

The specific detailed protective measures for reducing the overall risk will depend
on the local circumstances of the work activity. However, in all cases, the
introduction of measures must follow the following hierarchy.
• Can the hazard be eliminated? This must always be the first option for
consideration. Combating risks at source, rather than taking palliative
measures, is always the best option. For example, if the steps are
slippery, treating or replacing them is better than displaying a warning sign.
Two questions should be addressed:
o Does the work actually need to be done? If not then do not undertake
the activity. If at all possible avoid the risk altogether by removing it.
o If the work does need to be done, is there an alternative approach that
eliminates the risk (eg doing the work in a different way, taking care not
to introduce new hazards).
o If neither of these can apply, then proceed to the next step.
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• Are there physical means of reducing the risk? Basically the question
being posed is whether the hazard and the individual can be physically
‘separated’ to reduce the risk (this is the fundamental principle of machine
guarding, safety rails, reception windows, ventilation etc). In particular,
take advantage of technological solutions aimed at reducing risk. In these
circumstances the local instructions will need to be clear as to the
requirement to work with the protective devices in place. Note that this
measure does not include Personal Protective Equipment (PPE - see
below). If this is not a practicable solution, proceed to the next step.
• What procedural systems can be put in place to reduce the risk? In

simple terms, what additional workplace instructions can be put in place to
reduce the risk (without the need for PPE)? This carries with it a
commitment to ensure that all the relevant people are retrained in the new
instructions and are properly supervised. In assessing the resultant level
of risk (ie with the new instructions in place) the evaluation must take
account of the likelihood of the harm being incurred as a consequence of
any non compliance with those instructions. If the risk is still not
acceptable then:
• What Personal Protective Equipment (PPE) may be necessary?

Subject to the caveat given below, the use of PPE to protect individuals
should be viewed as the final approach to protection. PPE includes any
item of personal equipment designed to reduce or eliminate harm. It will
range from respiratory protection (face masks), hard hats, safety foot wear,
protective gloves, protective aprons, eye protection etc.
The caveat to the use of PPE as a ‘last option’ is in its use in the workplace
as a routine additional layer of defence (or indeed in some circumstances
as a statutory requirement). In certain circumstances the use of PPE
would be expected to be a normal requirement irrespective of the level of
risk, for example, safety shoes in workshops.
In many cases the solutions will be a combination of these though the emphasis
must be on prevention rather than cure. Other issues which will assist in reducing
risk and should be considered are:
• Giving priority to those measures which protect the whole workplace (ie
give collective protective measures priority over individual measures);
• Adapting the work to the requirements of the individual (consulting those
who will be affected by the work);
• Aiming to alleviate monotonous work and repetitive work which might
otherwise undermine concentration.
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ANNEX 5
RECORDING THE FINDINGS.
Introduction
This Annex sets out best practice for recording the findings of a Risk Assessment.
It is reiterated that this methodology is complementary to and does not replace
Unpaid work Project Risk Assessments which include consideration of issues
relating to specific Offenders.
The Recording Pro Forma and Maintenance of Records

Subject to the transitional arrangements noted below, all Areas are required to
ensure that their local Area Risk Assessment Forms incorporate the data and
information set out in the Model Risk Assessment Form illustrated in Fig 5.1. (to
enable assessments to be readily shared between Areas). The actual format
can take account of local circumstances (and the risk evaluation model may vary
from that given in this Arrangement provided it provides at least a similar degree
of flexibility).
The legal requirements for maintaining records are such that it is considered
prudent that all Risk Assessments undertaken within the terms of the HSE’s
Management of Safety regulations are recorded.
Risk Assessments must be kept for the duration of the work to which they apply.
Guidance on retaining records for longer periods is set out in the general
introduction to this Manual.
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Fig 5.1: Risk Assessment Pro Forma: Page 1 of 2

Work Activity/Location
Detailed Risk Evaluation

(See Model below for determining the risk)
Nature of Hazard (See separate No? Yes? Risk
Arrangements for COSHH, Asbestos etc) Severity Probability
Access / egress
Compressed air equipment
Contagious/Infectious diseases
Electrical equipment/supplies
Falling objects
Flammable/explosive substances
Hand tools
Hygiene issues (ie personal not food)
Installed plant/ machinery
Lone/out of hours working
Musculo-skeletal injury
Needle stick injury
Noise
Occupational asthma/dermatitis
Ozone (photocopiers, laser printers)
Portable power tools
Power washing equipment
Pressurised plant
Slip trip & fall hazards
Stress at work
Upper limb disorders
Use of NPS/other vehicles
Vibration
Violence/intimidation
Working at height
Working environment
Working on/near water
Workload change of significance
Any other hazard:
Identification of Groups who may be harmed (note any Groups particularly at risk)
Risk Evaluation Model

Harm Low Intermediate High Immediate
Slightly Minimal Minimal Minimal Moderate
Moderately Minimal Minimal Moderate Significant
Very Minimal Moderate Significant Intolerable
Fatal Moderate Significant Intolerable Intolerable
Page 1 of 2
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Fig 5.1 continued: Page 2 of 2

RESULTS OF ANALYSIS
Existing Protection Systems in Place:
Further Protection Measures Required to Reduce Risk

(Including training/informing relevant people & any special measures for particular groups)
Identified Measures (resources must be concentrated Responsible Date for
on the most significant risks) Person completion
Comments re Final Risk Evaluation (note re-evaluated risks):
Name of Assessor Signature

Date of Assessment
Review Program
Next Review Date Reviewer Date review
Name Signature completed
Fig 5.1: Risk Assessment Pro Forma: Page 1 of
Distribution
Line Manager Safety Representatives Workplace
H&S Adviser
Page 2 of 2
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ANNEX 6
REVIEWING AND REVISING RISK ASSESSMENTS.
This Annex sets out best practice for reviewing and revising Risk Assessments.
All Risk Assessments must be reviewed (by the manager/supervisor responsible
for the work activity who should be assisted by the local Safety Representative,
the people undertaking the work and (as necessary) the Area Health & Safety
Advisor) and modified as necessary. Risk Assessments must be reviewed:
• Every 12 months to ensure that the arrangements are still ‘fit for purpose’.
These should be linked to the nature of the risk concluded after all
previously identified additional protective measures have been put in
place.
• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential
change is introduced.
• Or whenever there are reasons to believe the assessment is no longer
valid (eg the identification of previously unidentified hazards).
The review should be recorded (eg in the space provided in the Model Risk
Assessment Form) where no changes are identified or by completing a new
assessment form where changes are required.
Ref. No. Issue Referenced Source

1 NPS Model Partnership Contract H&S EPIC
Questionnaire Support Services /
Human Resources /
Health & Safety
2 NPS Management Guidance EPIC
(Generic Risk Assessments) Support Services /
Human Resources /
Health & Safety / Risk
Assessment
Statement of Policy and Objectives

It is NPS policy that work involving biological hazards is subject to a suitable and
sufficient risk assessment (Ref 1) to minimise health risks and to eliminate these
where reasonably practicable. The objective of this procedure is to ensure a
coherent approach to work involving biological hazards across the NPS as a
contribution to a culture of proactive protection.

applied in all NPS Areas in respect of the assessment of risk of exposure to
biological hazards to:
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BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
Issue Number: 2 Date of Issue: 1st January 2006
• All employees (whether engaged in activities on NPS premises or

elsewhere);
• Other persons whose health & safety may be affected by the activities of the
NPS.
The mandatory elements of best practice that must be implemented are stated
below (‘Specific Requirements’). Outline guidance on the implementation of
these is given in the attached annexes.

Outline guidance on best practice for implementation is set out in the attached
Annex. Areas are required to have in place suitable and sufficient local
arrangements to ensure that:
• Persons whose work may place them at risk of exposure to biological
hazards are identified (see Annex 1 for guidance).
• The resultant risks are evaluated, the adequacy of existing levels of
protection is assessed and additional control measures introduced as
necessary (see Annex 1 for guidance).
• The findings are properly recorded (see Annex 1 for guidance).
• All risk assessment are periodically reviewed and revised as necessary (see
Annex 1 for guidance).
• Where the risk cannot be adequately controlled by other means and where a
vaccination is available then local arrangements are made to offer
vaccination to those staff considered at risk (see Annex 1 and 2 for
guidance).
• Local arrangements are made to ensure that appropriate advice and support
is available in the event of an inoculation (eg needlestick or other puncture
wound) injury (see Annex 1 and 2 for guidance).
• Suitable arrangements are in place for the decontamination of any spillage of
blood or other body fluids (see Annex 1 for guidance).
Implementation
aspects of this Arrangement must be demonstrated by all Areas as soon as is
practicable within 6 months of the above issue date.
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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).
Who might be at risk?

The most recent advice from the Department of Health is that the incidence of
infectious diseases amongst probation staff is not apparently higher than in the
population as a whole. Nonetheless there will be staff whose work places them
at risk of infection etc. In particular this may include staff who regularly come into
contact with offenders, hostel residents, prisoners on remand etc. Particular
consideration should be given to the protection of new and expectant mothers.
Further information is given in Ref 2 (The risks from exposure to body fluids),
Ref 3 (General measures to reduce the risk of occupational exposure to blood
borne viruses (universal precautions)) and Ref 4 (Needlestick Injuries).
Evaluating the risk

Figure 1 provides a model assessment pro forma indicating the information to be
gathered and assessed.
Irrespective of risk assessment, sharps bins (the contents of which must not be
readily accessible) must be provided in appropriate locations (eg toilets,
bathrooms etc.). These must be properly maintained and emptied.
Maintaining Records
Records of assessments must be maintained in accordance with current
regulatory requirements (as a minimum, the duration of the work to which they
apply). Records may be required in the event of claims against the Area. Areas
should thus identify an appropriate archiving policy for this information.
Reviewing the Assessments

Biological hazard risk assessments must be reviewed:
These should be linked to the nature of the risk concluded after all previously
identified additional protective measures have been put in place.
• If, in the meantime, the nature of the work changes significantly. This does
not mean that a re-evaluation is required every time an inconsequential
• Or whenever there are reasons to believe the assessment is no longer valid
(eg the identification of previously unidentified hazards).
The review must be recorded (eg in the space provided in the Model
Assessments Form) where no changes are identified or by completing a new
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Vaccination, Inoculation and Treating Parasitic Infestations

Annex 2 sets out specific guidance in respect of vaccination for Hepatitis B and
Tuberculosis. For other diseases the local Occupational Health provider will
advise on appropriate forms of preventative care. Vaccinations may be
undertaken by the Occupational Health provider or the NHS (for which a charge
may be levied).
Appropriate cleansing agents should be made available in the event of parasitic

infestation of employees as a consequence of their work activity. The local
Occupational Health provider will be able to provide advice to employees (and
others as appropriate) in the event of an infestation.
Training and Information

All employees at risk of exposure to biological hazards are to be provided with
suitable training/information in respect of the likely hazards, relevant risk
assessments and countermeasures.
De-contamination of any spillage of blood or other body fluids

• Only proprietary ‘spillage kits’ must be used. These must be used in strict
accordance with the supplier’s instructions (to ensure compliance with
COSHH requirements). Persons using ‘spillage kits’ must be suitably
instructed in their use.
• Care should be taken in selecting and using spillage kits as some of the
chemicals used as microbial inhibitors (eg Trichlorosan) may have a
detrimental environmental impact.
• Where gross contamination (eg covering an extensive area beyond capability
of proprietary ‘spillage kits’) is encountered, specialist cleaning may be
appropriate.
References
Ref No Issue Referenced Source
1 General Risk HSE: INDG 136: COSHH, a Brief guide to
Assessment the Regulations
2 Guidance on the risks NPD: ‘The Risks from Exposure to Body
from exposure to body Fluids’
fluids
3 Guidance on blood NPD: ‘General Measures to Reduce the
borne viruses Risk of Occupational Exposure to Blood
Borne Viruses (Universal Precautions)
4 Needlestick injuries HSE: ‘Information Sheet on Needlestick
Injuries’ (Ref No 9/93NIS/18/01CT50)
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Figure 1: Model Biological Hazard Assessment Form.

Compiled by
Signed Date compiled
Location
Nature of hazard
Urine/Faeces/Vomit/Sweat/Saliva
Semen/Breast Milk
Blood/blood stained fluid
Infection/contagion
Infestation
Other (please specify)
Route of contamination
Inhalation
Skin
Ingestion
Splash to eyes or in mouth
Injection
Spitting
Other (please specify)
First Aid Measures (NB Medical Assistance may be required)
Inhalation Nil required
Skin contact Wash with soap and water
Splash to eyes or in mouth Rinse with copious amounts of water
Ingestion Rinse mouth with water
Injection Encourage bleeding, Wash with soap and water and seek
prompt A&E/Casualty medical attention.
Infestation, infection etc Seek prompt medical attention
People at Risk
Who might be exposed?
Any sensitive groups

at special risk?
Likelihood of exposure?
Precautions /Control Measures
Review Program
Distribution
Line Manager Safety Reps H&S Adviser Workplace
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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.
Needle Stick Injuries

Post exposure prophylaxis is available through NHS A&E/casualty units aimed
at reducing the risk of HIV infection following needle stick injury (or indeed other
puncture wound involving potential biological contamination). A&E/casualty
units offering this facility are aware of the need for prompt treatment on arrival.
Immediate first aid (see the Model Biological Hazard risk assessment form)
should include encouraging the wound to bleed and thorough washing with soap
and water. Immediate medical attention must then be sought as set out below.
The ‘post exposure prophylaxis’ treatment should start within 2 hours of
exposure to be most effective.
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.
Employees who have sustained a needle stick injury should be offered an

opportunity to receive appropriate counselling.
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.
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In the absence of information (derived from risk assessments) to the contrary,

the following groups should be considered to be ‘at risk’ and accordingly offered
Hepatitis B and tuberculosis vaccination. (Note that an individual may exercise
the right not to avail themselves of the offer of vaccination without affecting their
employment rights. In such cases this should be recorded on the individual’s
personnel record):
• Approved Premises workers (NPS employees and Contract
cleaners/cooks – see footnote);
• Probation operational staff (both employees and agency staff – see
footnote) working in close contact with offenders – especially where home
visits are required;
• Employees and agency staff working in Prisons.
Employees should be made aware of the local procedures relating to

vaccination
Footnote: where a need for vaccination is identified in respect of any employee

of a third party employer (eg contractor or agency), the Area should liaise with
the relevant employer(s) regarding the vaccination of such employees. The third
party employer has the responsibility for making the necessary vaccination
arrangements.
It is NPS policy that employees whose judgement is impaired through the use
of alcohol or drugs must not be at work if the health & safety of themselves or
others may be compromised.
Scope of the Application

applied in all NPS Areas in respect of the use of alcohol and drugs in the
workplace.
This applies to:
• All employees
• Other persons whose health and safety may be affected by the activities of
the NPS
• Persons for whom the NPS has a supervisory responsibility
• Contractors working on NPS premises
The mandatory elements of best practice which must be implemented are
stated below (‘Specific Requirements’). Outline guidance on the
implementation of these is given in the Annex.

arrangements and to ensure that;
• Robust policy arrangements are in place for dealing with employees and
others who are under, or are suspected of being under the influence of
drugs or alcohol in the workplace,
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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5 2
• No person whose judgement is impaired through the use of drugs or

alcohol is allowed to work or remain on NPS premises ,
Implementation
• Consistency with the guidance aspects and compliance with the
mandatory aspects of the Arrangement must be demonstrated by all
Areas.
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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5 3
ANNEX: OUTLINE GUIDANCE RE DRUG AND ALCOHOL USE AT

WORK
General introduction
Under the Health and Safety at Work etc. Act 1974(HASAWA) an employer
has a general duty to ensure the health and safety of those affected by the
work that forms their ‘undertaking’. The use of alcohol or drugs may diminish
an employee's concentration and greatly increase the risks to the safety of
themselves and others. The reduction in concentration may occur if a member
of staff is taking a prescribed medication or recreational drugs.
General Guidance
• It is recognised that the issue of drugs and alcohol in the workplace
extends beyond the realms of health and safety.
• Alcohol and drug addictions are serious medical problems and should be
treated as such. However where an employee’s conduct is unacceptable
this may lead to disciplinary action. Where an employee’s performance is
significantly impaired this may lead to consideration of competence.
• Local Area policy should include assistance and rehabilitation for members
of staff who have an alcohol or drug problem
• The use of recreational drugs may have legal implications and lead to
disciplinary action being taken.
• It is the employee’s responsibility to advise their employer if they are
taking prescribed medication that may affect their ability to work safely.
When so advised, the employer should make reasonable adjustments to
the work of that employee. Advice must be sought from the occupational
health provider on what adjustments may be required.
• In the event that permanent adjustments are required the employee may
need to be redeployed or their contract of employment reviewed to
accommodate the necessary changes.
• In circumstances where an employee’s judgement is significantly impaired
(through the use of alcohol or drugs) whilst at work, suitable arrangements
should be made to transport them to a place of safety (eg an ambulance to
a hospital or a taxi home).
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FIRST AID Doc Ref: NPS/HS/6

It is NPS policy to ensure that adequate and appropriate First Aid
arrangements are available for all employees. The objective of this procedure
is to ensure a coherent approach to the provision of First Aid across the NPS.

applied in all NPS Areas and the NPD in respect of the First Aid arrangements
for employees.

arrangements and to ensure that:
• An assessment is made of the first-aid needs appropriate to the
circumstances of each workplace;
• The materials, equipment, and facilities needed to ensure that the level of
cover identified by the assessment will be available to employees at all
relevant times;
• Suitable people (who must be volunteers) receive appropriate first aid
training;
• All employees are informed of the arrangements that have been made in
connection with the provision of first aid, including the location of
equipment, facilities and personnel;
Implementation
aspects of the Arrangement must be demonstrated by all Areas.
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ANNEX 1
OUTLINE GUIDANCE: FIRST AID AT WORK
General Guidance
• General guidance on the provision of First Aid in the workplace, training
etc is given in Reference 1.
• Specific issues required for legal compliance are noted below.
• Whilst in law there is no legal obligation to provide first aid to offenders,
nonetheless, as a common duty of care, first aid should be available to
anyone injured on NPS premises or as a result of NPS work activities in
other places. However, non NPS employees will not be counted for the
purpose of determining the number of First Aiders etc.
Provision of First Aid Containers

• At least one first aid container supplied with sufficient quantity of first-aid
materials should be provided at each work site. For large work sites
(employing many people over a large area, eg several floors of a building)
the number of containers will need to take into account their accessibility in
the event of an injury at any location.
• Areas should liaise and consult with appropriate Contractors to ensure
Contractors’ employees have access to either their own First Aid
containers or those maintained by the Area.
• Guidance on contents is given in reference 1
Suitably Trained Persons

• Where the first aid assessment identifies a need for people to be available
for rendering first aid, all Local Probation Areas should ensure that
sufficient numbers of adequately trained personnel (who must be
volunteers) are available.
• Approved Premises and Workshops would normally be expected to fall
within the above criteria without exception.
• A least one person should be appointed in each work site to take charge of
the first aid arrangements. A person should be available to undertake
these duties at all times when people are at work.
• Where fifty or more people work on any site at least one suitably trained
‘first-aider’ must be provided, with an additional First-Aider for every 100
employed. Suitable provision must be made to cover planned and
unplanned absences of first-aiders.
Other Issues
• Suitable first aid arrangements should be made for non routine activities
and employees who work away from the main site, who travel long
distances or who are continually mobile. Typical examples will include
Sessional Supervisors, Group Workers, Unpaid Work projects etc.
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References
1 General Health and Safety (First-Aid) Regulations 1981
Guidance Approved Code of Practice and Guidance.
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PROVISION OF OCCUPATIONAL HEALTH Doc Ref: NPS/HS/7
SUPPORT TO AREAS
Statement of Policy & Objectives

It is NPS policy that appropriate professional Occupational Health (OH)
support is available to all Areas with the aim of seeking to improve the health
and well being of our employees. This in turn will improve the quality of
organisational performance and service delivery. The objective of this
procedure is to identify the minimum requirements for appointing OH
providers.

The requirements in this procedure represent the best practice to be applied
in all NPS Areas in respect of the appointment and management of OH
support to Area employees at all levels. There is no general requirement to
provide such support to offenders and other members of the public or to
contractor’s employees.
The elements of best practice which must be implemented are stated below
(‘Specific Requirements’). Detailed statements for the implementation of
these are given in the annexes, some of which are essential (and must be
applied by all Areas), some are for guidance.

Detailed means of compliance are set out in the annexes to this procedure
and are designated as being either: ‘essential’ (ie must be applied) or
‘guidance on best practice’. Areas are required to have in place suitable and
• Professional OH advice is available to Area managers and, as required
locally, employees (Annex 1 sets out the essential minimum requirements
together with appropriate monitoring requirements and supporting
guidance).
• OH Practitioners employed, either directly or through an external supplier,
are suitably qualified and experienced (Annex 2 sets out the required
minimum standards for OH providers).
Implementation
Consistency with the guidance aspects and compliance with the essential
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SUPPORT TO AREAS
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.
In practice this medical confidentiality requirement means that matters of

personal medical information cannot be disclosed to managers. However, OH
practitioners will provide generalised information regarding an individual or
non attributable information regarding the general health of groups of
individuals. Key is an informed dialogue between OH Practitioners, HR and
line managers with a common understanding of the confidentiality
requirement.
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.
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Guidance re Service Provision

The choice of supplier/s and whether this is ‘in-house’ or an ‘external provider’
is a matter for local determination. There may be merit in resourcing the
differing aspects of OH (and indeed an employee assistance programme
(EAP)) provision from more than one source. Consideration of these factors
needs to be undertaken in consultation with the Area Joint Health & Safety
Committee. The objective should be the provision of cost effective OH
support based on best practice which is able to provide advice on all relevant
matters. Responsibility for progressing and managing the Area OH
arrangements is a matter for local determination – though in practice it is
anticipated that the HR Department would normally take the lead role.
Where the provision is ‘in-house’ it is recommended that the reporting line

should be independent of operational management – eg to the head of HR.
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.
The provision of the OH support, whether in-house or externally provided,

may be full or part time. The precise nature will need to be determined by
consideration of local demands. By way of example, current best practice
derived from experience within the NPS would suggest that a ratio of the
order of 1 day per week per 250 employees (or less) would be generally
sufficient. This is purely for guidance – specific issues (eg level or nature of
sickness, assessment requirements etc) within an Area may require greater
or lesser involvement.
The local arrangements should include the means for handling enquires at
times when the OH provider is not present. It is recommended that this be by
means of an identified contact within HR who should be able to determine
with the caller whether or not the matter is sufficiently urgent to warrant
contact with the OH provider prior to the next scheduled work.
Guidance re Scope of OH Provision

The general scope of OH provision should be generally bounded by the
requirements of the relevant Arrangements specifically identified in the OH
subsection of the Arrangements Index within Section 4 of the National Health
& Safety Policy Manual. These set out the general requirements (in particular
relating to general OH assessments and OH support to the sickness
management policy). Any extension of the OH service beyond these
identified requirements should be carefully considered to ensure that the
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SUPPORT TO AREAS
ensuing benefits are established and acceptable. It should be noted that the
NHS is responsible for general health matters.
The Area OH function should assist in compliance with statutory requirements
and support the Area in improvements to work related ill-health issues.
Sharing of best practice and benchmarking both internally within the NPS and
externally should be undertaken to ensure continuing adherence to current
best practice approaches to OH.
It is also to be noted that the Area OH support is not to be considered as an

alternative or substitute to the NHS in respect of the provision of individual
medical treatment/advice.
Guidance re Service Level Agreements/Role Descriptions etc

The relevant tendering /service level agreement process and/or the job/role
specifications/descriptions are a matter for local determination in accordance
with current local practices. Annex 1.1 provides further guidance on those
matters which should be addressed within these processes.
Guidance re Service Delivery Monitoring

Whether the OH function is provided ‘in-house’ or externally, it is important
that the service delivery is appropriately monitored on a regular basis. This
should be undertaken at two distinct levels:
• General compliance with the terms of the Contract (external provider)
and Role Description (external and/or in-house provider). Dependent
on the detailed nature of the relevant agreement, key performance
indicators should be identified and agreed to ensure general
compliance with the terms of that agreement. These measures will
generally be of a quantitative nature and the assessment should be
undertaken within the Area.
• Clinical Excellence Monitoring: this requires an overview of the quality
of the clinical advice/support provided. This must be undertaken by a
suitably qualified and experienced OH physician (see Annex 2). Local
Areas may make local arrangements for such monitoring
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ANNEX 1.1 GUIDANCE ON OCCUPATIONAL HEALTH TENDERS,

SERVICE AGREEMENTS, ROLE DESCRIPTIONS ETC
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.
Link to Area management

• Identify the reporting chain within the Area Management (eg through the
HR function).
• Identify the need for liaison with other relevant groups within the Area (eg
Health & Safety Advisor, operational managers etc).
• Identify the required links to the Board and Area Joint Health & Safety
Committee (including the need for regular reporting of OH performance in
accordance with the defined local requirements – there should be routine
reporting in person to both groups (regularly re the JH&SC and at least
annually to the Board to ensure ownership, continuing support, raising of
awareness and improvement in OH performance)). The form and content
of OH reports are matters for local determination taking account of the
current health/ill-health experience within the Area.
• Timescales should be specified/agreed for the provision of advice in all
defined cases (eg provision of advice re pre-employment assessments,
sickness absence trends, statutory assessments etc). The specific
timescales are a matter for Areas to agree with their supplier having
regard to the needs of the Area management arrangements.
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OH Assessment and Support

• Specify the particular requirements to ensure delivery of the local Area
Arrangements identified for compliance with NPS/HS/34.
• Identify the key requirements (eg pre employment/placement assessments
and routine assessments) and include the local Arrangement as an
appendix or cross reference.
• Where there are local requirements in respect of the provision of general
health advice (eg life style advice), the specification must include the need
for the provision of that advice direct to the relevant employees.
• For completion and clarity, specify any approaches that are not required
(eg routine ‘annual medicals’).
OH Support to Sickness Management

• Specify the particular requirements to ensure delivery of the local Area
Arrangements identified for compliance with NPS/HS/35.
• Identify the key requirements (eg review of sickness absence information
and the identification of health issues in particular groups, support/advice
re long term sickness management, support/advice re return-to-work
strategies etc) and include the local Arrangement as an appendix or cross
reference.
• For completion and clarity, specify any approaches that are not required
(eg routine attendance at individual return to work meetings).
OH Support to other Arrangements

As noted previously, the support to these (and indeed the two Arrangements
noted above) may, in practice, be provided by a variety of resources including
EAP providers. The precise make-up of the most cost-effective provision is a
matter for local determination.
• Specify the detailed requirements (and include the local Arrangement as
an appendix or cross reference) in respect of the other OH related
arrangements. These are as identified in the Area equivalent of the OH
subsection of the Arrangements Index within Section 4 of the National
Health & Safety Policy Manual. Issues for consideration within the Area
tender/service agreement/role description documentation are :
• Biological Contamination Risk Assessment (NPS/HS/4) – provision
of advice on health effects, first aid measures and precautions/controls.
• Drugs and Alcohol (NPS/HS/5) – provision of advice re assistance
and rehabilitation programmes.
• First Aid (NPS/HS/6) – provision of additional advice re the
identification of first aiders and suitable training providers etc (NB the
OH provider may also be able to provide suitable training
programmes).
• New & Expectant Mothers (NPS/HS/33) – provision of advice re any
special requirements in specific individual circumstances; possible
involvement in NEM risk assessments.
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SUPPORT TO AREAS
• Stress Management (NPS/HS/8) – Identification of indicators of stress

from analysis of sickness absence information. The OH provider may
also be able to advise on or provide access to EAP support.
• Tobacco Smoking (NPS/HS/9) – provision of advice to employees
who wish to stop smoking (including providing links to appropriate local
NHS support facilities).
• Additional Requirements: reference should also be made to any local
requirements in respect of OH support to other matters - eg: health
assessments arising from COSHH assessments; and eye/eyesight
tests, or other health problems, medical conditions or disability
requiring the provision of adaptations or modifications arising from the
use of DSE/DSE workstation assessments (e.g. specialist furniture,
telephones or assistive technology).
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.
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SUPPORT TO AREAS
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.
OH PHYSICIANS (Other than those identified for undertaking Clinical

Excellence monitoring)
1. As a minimum, an OH Physician providing general clinical advice to an
Area (directly or indirectly) must be in possession of a Diploma in
Occupational Medicine.
2. Ideally, the OH Physician should also be an ‘Associate of the Faculty of
Occupational Medicine’ – but this is not an essential requirement.
3. Where reasonably practicable, the OH physician should have
experience of working in a diverse, multicultural, multiethnic
organisation. This requirement will be dependent on local needs.
OH PHYSICIANS (Undertaking Clinical Excellence Monitoring)

1. As a minimum, an OH Physician undertaking clinical excellence
monitoring must be a ‘Member of the Faculty of Occupational Medicine’
and be able to demonstrate experience of undertaking clinical
excellence assessments.
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STRESS MANAGEMENT Doc Ref: NPS/HS/8
Issue Number: 2 Date of Issue: 12th December 2004
Issued by: Richard Cullen Page 1 of 19
Statement of Policy & Objectives

It is NPS Policy that the impact of stress on employees is properly managed
by the minimisation/elimination (so far as is reasonably practical) of work
related stress and its causes together with the provision of support for those
employees who nevertheless may experience stress from whatever cause.
The objective of this approach is to provide a positive contribution to a culture
of proactive health promotion. (See Annex 1 for the definition of ‘stress’.)
NPS recognises that stress experienced by employees can result from a
number of differing causes which may or may not be work related.
Irrespective of the cause, stress is known to impact upon both work and non-
work activities. The Arrangement applies to:
• All NPS employees (whether engaged in activities on NPS premises or
elsewhere);
• Contractors’ etc employees who undertake activities within the NPS;
Matters relating to offenders and others for whom Areas have supervisory
responsibility (and hence a ‘duty of care’) must be managed through the Case
Management Process (for which this Arrangement may be used as a source
of guidance). The mandatory elements of best practice which must be
implemented are stated below (‘Specific Requirements’). Outline guidance on
the implementation of these is given in the Annexes.
Specific Requirements
Annexes (Annex 1 provides definitions and guidance). Areas are required to
have in place suitable and sufficient local arrangements to ensure that:
• Proactive management arrangements are in place to minimise/eliminate
work related stress. (Annex 2 sets out outline guidance.)
• Appropriate measurement tools are employed to routinely assess the
working environment for the risk of stress and to gauge potential for
harmful levels of stress amongst employees. (See Annex 3.)
• Support is available for employees who nonetheless experience stress as
a consequence of work or non-work related activities. (See Annex 4 which
includes ‘Post Traumatic Stress’ issues.)
• All employees are made aware of the Area’s approach to stress
management and the importance of alerting managers to workplace issues
resulting in harmful stress in respect of themselves or others.
• All employees (at all levels) receive appropriate stress awareness training/
instruction/information in respect of the above requirements.
Implementation
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of high quality; and in all other cases:
• Within 6 months of the above issue date.
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Annex 1: General Introduction and Definition of Terms
Definition of Terms.
The HSE have acknowledged (Refs 1 & 2) that the term ‘Stress’ is not always
recognised as a meaningful term. Nonetheless it is generally accepted that
there is a clear link between poor work organisation and subsequent ill health.
Accordingly the term ‘Stress’ has been retained to describe this experience
and HSE have chosen to define stress as:
‘The adverse reaction people have to excessive pressure or other

types of demand placed upon them’.
It is essential to recognise that anyone can experience work related stress

when they perceive that they cannot cope with what is being asked of them.
The transition point of ‘acceptable ‘ to ‘excessive’ pressure will vary from
person to person – and indeed for an individual can vary with time (ie
changing circumstances).
It is also important to ensure that the use of the term ’stress’ is limited to the
meaning set out in the above definition – eg that it is not confused with
elevated levels of pressure which are not in themselves unduly excessive.
Background Information
Analysis of sickness absence information within the NPS has indicated that
approaching half of all such absence is attributable to stress – particularly
work related stress. Knowledge that the current (2003/4) level of sickness
absence in the NPS has been significantly higher than the national average
for the Public Sector (15 compared to 11 days per employee per year)
provides further evidence that stress is a significant contributor to ill health
and therefore cost to the organisation.
It is generally recognised that ‘Pressure’ within a job function is not in itself

necessarily harmful. Indeed it is often a strong motivator. Problems occur
when ‘pressure’ becomes excessive and a transition to ‘stress’ commences.
It is, therefore, important for managers and employees to be able to recognise
the causes and symptoms of stress – and to be empowered to act to prevent
harmful stress.
Equally, the causes of stress are many and various. The causes may arise
from work related events or from non-work related experiences (eg personal
finance, relationship problems). It may also result from any combination of a
variety of causes. For example a low level of work related stress which, in
itself, is not normally a problem may be sufficient to exacerbate an existing
personal cause – and vice versa.
Irrespective of the cause, the manifestation of stress can impact upon both the
work life and home life of an individual. Stress at work can lead to problems
in personal life and equally problems at home may result in poor performance
at work. Both can lead to ill health and absence. Again it is important to
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recognise the value of timely support for an individual to ensure their overall
wellbeing and consequent effectiveness in both work and home life situations.
Whilst the control, by an employer, of causes of stress is generally limited to
work related matters, nonetheless the guidance set out in Annexes 2 & 3
seeks to address all causes so far as is practical. In the case of individuals
who find themselves experiencing the harmful effects of stress (irrespective of
the cause) it is important that appropriate support is provided to assist them in
addressing the relevant problems. Annex 4 provides guidance on this aspect
as well as providing indicators of stress in individuals. It is also emphasised
that all employees have a duty to inform managers of workplace issues
resulting in harmful stress in respect of themselves or others in order to assist
in alerting managers to potential or actual problems.
The NPS Approach.
Surveys undertaken in some Areas have indicated that the principal causes of
stress within the NPS are linked to:
• Excessive work-loads
• General managerial style including:
• Poor support and recognition of achievements;
• Changing expectations;
• Bullying and Harassment
• Failure to set clear and achievable prioritised objectives;
• General pressure from organisational culture;
• Managing within budgetary constraints;
• Working within a changing environment;
• General physical work environment.
These issues are taken into account in the development of the processes set
out in Annexes 2 to 4.
The key philosophy underpinning this Arrangement is Proactive Prevention
& Elimination. The objective is to eliminate wherever reasonably practical*
the causes of work related stress by:
• Assessing the risk;
• Assessing perceptions;
• Invoking improvements or adjustments to remove causes.
(*NB wherever ‘eliminate’ or similar wording is used in this Arrangement it is
qualified by the term ‘so far as is reasonably practical.)
Annex 2 sets out guidance on the fundamental issues to be considered and
Annex 3 provides model formats for workplace Stress Risk Assessments and
measurement techniques.
This Arrangement also recognises that, irrespective of the proactive
prevention & elimination measures, there remains a need for a positive
Reactive Support culture for assisting those who find themselves
experiencing the harmful (or potentially harmful) effects of stress (irrespective
of its cause). Key to this is the importance of recognising that ill health as a
result of stress will not be treated any differently to any other cause of ill
health. Stress must not be seen by anyone as a stigma. Open reporting of
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stress at work should be encouraged together with the seeking of appropriate

solutions. Annex 4 sets out various services to be considered as part of an
overall Support Programme, and also provides guidance on the symptoms of
stress which may be experienced by an individual.
Resources
It is recognised that the management of stress requires the provision of
appropriate resources by Areas. These will include, amongst other issues:
• Undertaking workplace Stress Risk Assessments (see Annex 3.1);
• Undertaking self assessments and workplace attitude surveys;
• Provision of suitable training/instruction/information for employees
moved/promoted to positions requiring new management skills (both
people and resource management);
• Monitoring, reviewing and adjusting work load, working environments
etc;
• Empowering managers (within reasonable and practical limits) to
provide a degree of work flexibility to be able to provide positive
support to those who require it;
• Provision of services and facilities as part of an overall Support
Program.
Given the current significant impact of stress in the workplace the provision of
such resources to minimise/eliminate this will be potentially very cost effective.
References
The following documents/sources provide additional general and specific
guidance. (NB the references given in the other Annexes also refer to these
sources)

1 Current Information, The HSE web site at:
guidance and survey www.hse.gov.uk/stress
questionnaires (Published November 2004)
2 Stress: causes & Real Solutions, Real People – A Manager’s
solutions Guide to Tackling Work-Related Stress:
HSE (2003): ISBN 0 7176 2767 5.
3 General reading and a Hard Labour – Stress, Ill-Health & Hazardous
source of further Employment Practices. Published by the
contacts and London Hazards Centre at www.lhc.org.uk
resources.
4 Specific NPS policy on Model NNC Policy on Bullying and Harassment
Bullying & Harassment
5 Priorities and Joint Agreement on Priorities and Employee
Employee Care in the Care.
NPS
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Annex 2: Proactive Management: Prevention and Elimination

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

should be formally referred to the appropriate authority for
consideration);
• To agree an action plan (specifying specific actions with timetables and
who is responsible for delivery).
Note that in all cases, the focus group must consider any possible additional
consequences of their proposals (eg the impact of solutions on other
individuals, groups etc). All proposed solutions must be compliant with local
Area requirements.
Action plans should be monitored for completion by the relevant line manager
in partnership with the relevant employees and employee representatives.
(Guidance on appropriate Action Plans is given in Reference 1.)
The six general causes of stress together with the possible detailed causes
and solutions (neither of which are exhaustive) are as set out below.
1) DEMANDS
This includes workload, work patterns and the working environment
Possible Causes
• Excessive/unrealistic work loads.
• Excessive working hours.
• Poor – or no - prioritisation.
• Changing priorities.
• Lack of training/skills for the tasks.
• Poor/inadequate working environments (eg noise, temperature).
Possible Solutions
• Application of work load measurement tools to: eliminate unnecessary/non
prioritised work; redesign tasks; re-designate tasks etc. Work should be
achievable within contracted hours with overtime/additional hours only by
mutual agreement. Don’t forget to take account of authorised absences (eg
Annual leave etc).
• Consider what environmental improvements could be made.
• Ensure tasks are designed and set according to the capability of the
employee/team involved.
• Ensure that task priorities are clearly set and understood.
• Ensure staff have the correct resources to complete the tasks as planned.
• Ensure that any particular needs of inexperienced staff, disabled staff and
new/expectant mothers are fully taken into account.
• Training of managers and supervisors to improve supervisory skills (setting
priorities, managing work loads etc).
• Training of staff to improve delivery skills (time management, local
prioritisation, delegation etc).
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2) CONTROL
In effect, how much say does an individual have over their work program
Possible Causes
• Lack of consultation in setting tasks and priorities.
• Lack of promotion of initiatives by teams and individuals.
Possible Solutions
• Seek agreement on objectives, roles, priorities etc.
• Establish agreed time boundaries – and keep to them
• Ensure individuals & teams have a reasonable degree of control over the
pace of their work.
• Seek to allow reasonable individual control on daily work patterns (eg timing
of breaks, sequencing of differing tasks etc) to ensure the use of the day is
optimised.
• Encourage individuals to use their skills and initiative in undertaking their
work (within the boundaries of the requirements of the work).
• Encourage individuals to develop their skills and knowledge to enable them
to perform their current work more effectively and to take on new and
interesting challenges within the Area.
• Ensure regular Supervision and Appraisal sessions to promote and support
the above issues.
3) SUPPORT & ENCOURAGEMENT

Positively supporting and encouraging staff and colleagues.
Possible Causes
• Lack of a working culture that fails to recognise achievements.
• No support or encouragement to staff or colleagues.
• No feed back on performance (or only negative feedback).
Possible Solutions
• Develop a working culture that actively & regularly: praises achievements;
thanks individuals & teams for tasks completed; provides general
encouragement; acknowledges contributions of individuals & teams; etc.
• Ensure staff appraisal interviews/supervision meetings include positive
feedback.
• Provide opportunities for individuals to further their experience, skills and
career.
• Train managers and staff to promote a positive behavioural culture.
• Take account of non-work related issues which affect an individual’s ability
to perform at work (eg those required to look after sick relatives or partners).
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4) RELATIONSHIPS
Positive working relationships are an essential feature of preventing work
related stress and providing a platform for improvement.
Possible Causes
• Unacceptable styles of behaviour by both managers and staff towards each
other. This includes:
• Bullying;
• Harassment;
• Discrimination;
• Gossiping;
• It may take the form of physical or verbal behaviour.
Possible Solutions
• Build a positive and open culture based on trust and respect.
• Ensure that the Area policies on bullying, harassment, discrimination etc are
in place, up-to-date, understood and fully implemented. Failure to follow the
local policy/codes must be dealt with as a disciplinary matter without delay.
• Ensure that the policies include provision for individuals to identify problems
in a confidential manner.
• Provide training/instruction/information to those who are the cause of poor
relationships (to improve their behaviour) and to those affected by poor
behaviour (to build confidence etc).
5) ROLE
Do people understand their role within the Area’s work programme?
Possible Causes
• Lack of understanding of job requirements, objectives etc.
• Changing circumstances since initial recruitment/appointment.
• Poor communication.
• Poor consultation and involvement in planning.
Possible Solutions
• Is the impact of possible future role changes adequately addressed at the
time of selection (recruitment or appointment).
• Ensure people are openly consulted on their roles and objectives (both
routinely and, as appropriate, at scheduled appraisals).
• Are detailed Job Descriptions available and do people fully understand the
intent.
• Are specific work plans agreed for both routine and occasional activities.
• Ensure tasks/expectations and individuals’ skills, training & experience are
matched.
• Establish an agreed process by which individuals can raise concerns re
possible conflicting roles and priorities.
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6) MANAGEMENT OF CHANGE
Managing change to ensure stress is reduced/eliminated
Possible Causes
• By its very nature, change can be a cause of stress at all levels within an
Area.
• Change produces uncertainty re future job security, work demands etc
particularly where there is not a positive consultation & communications
programme in place.
Possible Solutions
• Early consultation provides a basis for good future communication, and can
often result in positive input to the programme from within a team.
• Staff should be actively consulted on proposals for change and the
associated timetables. Reasons must be explained.
• Staff should be encouraged to contribute to the change process.
• Keep all employees informed of developments by providing timely
information on timetabling and the reasons for change.
• Where permanent or long term changes to jobs or roles are anticipated full
training/instruction/information should be provided in advance to equip the
individual with the necessary new skills/knowledge to undertake the new
tasks effectively. (Note in the event of emergency cover being required to
cover short term absence etc this will not be practical – line managers will
need to assess if any short term training measures are required.)
• Where it is recognised that some individuals may experience considerable
anxiety as a consequence of the proposed changes then the Support
Services set out in Annex 4 should be actively considered.
Fundamentally, all the above issues are associated with a positive

Organisational Culture which actively seeks and promotes high levels of
open partnership working. Management styles should be positive and
supporting, and individual employees should be open in their approach to
their work, their colleagues and their line management. It is recognised that
achievement of this may take some time, but use of the approaches set out
above will provide a foundation on which to move forwards.
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Annex 3: Proactive Management: Risk Assessment and Monitoring
Introduction
This Annex provides guidance in respect of the assessment, and monitoring
of stress in the workplace. The outcome of the assessment and monitoring
should be used to inform the re-evaluation of Area processes and procedures
as outlined in Annex 2. Guidance is also provided re establishing confidential
reporting routes for alerting management to potential problems.
It is recommended that all work undertaken in respect of the reporting,
assessment and monitoring of Stress (including ensuing actions agreed and
completed) is appropriately documented and recorded by Areas to ensure that
a complete record of such activities exists in the event of any future legal
action against the Area/individuals.
Assessment and Monitoring
Specific assessment and monitoring should be undertaken at a number of
differing levels. Irrespective of the approach adopted by an Area it is essential
that all the agreed improvement actions/activities identified are undertaken to
an agreed plan (eg using an ‘Action Plan’ approach). The tools available
include:
1. Specific Stress Risk Assessments: these may be undertaken on an
individual, task or team level dependent on the circumstances. Annex
3.1 provides a Model Stress Risk Assessment format including
guidance on when such assessments should be undertaken and
reviewed.
2. Stress etc Surveys: These may form a part of regular overall ‘Staff
Attitude’ surveys or may be undertaken as surveys in their own right.
They can be Area wide or focussed on specific activities. Such an
approach can provide a useful insight to local issues as a basis for
identifying causes and solutions. Regular surveys are useful in
establishing trends. A number of external organisations are able to
provide specific support and advice for such surveys. A simple
questionnaire approach which can be included in general staff attitude
surveys etc has been developed by HSE (Ref 1 in Annex 1 – which
includes an analysis tool).
Where Stress Surveys are undertaken, these should be repeated at
reasonable intervals (every 2 to 3 years) to determine trends (as noted
above) and, in particular to measure the success of the preventative
measures introduced and the need for any further actions.
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3. Self-Assessment Tools: The use of self assessment tools may

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

trends in:
• Performance (quality and quantity) of individuals or teams;
• Changing trends in general attendance/timekeeping/
overtime/excessive hours;
• Declining attitude of teams and individuals.
Together with any obvious symptoms as set out in Annex 4.
8. All Employees: should be alert to the onset of symptoms of stress
(Annex 4) in themselves, their colleagues and their Managers/
Supervisors. Employees at all levels should assist the process of
reducing work related stress by taking a proactive approach to
minimising risks wherever possible.
Establishing Confidential Reporting Routes

Generally speaking the use of confidential reporting routes should be seen as
a final route following the failure to ensure improvement through the normal
line management routes. Nonetheless, Areas should establish published
arrangements for the reporting (by individuals or teams) of any concerns
relating to stress (irrespective of the cause). The objective is to provide a non
attributable route for alerting management to actual or impending problems
not resolved elsewhere. The route should be through the HR Department (or
if not, then through the Health & Safety/Occupational Health Advisor). An
alternative confidential reporting route should be available as there could be
problems within the normal reporting route. All employees must be aware of
the reporting route, and all issues raised must be dealt with promptly by the
relevant manager (together with anonymous feedback to the originator
whenever possible).
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Annex 3.1: Stress Risk Assessment – A Model Format

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

All Stress Risk Assessments must be reviewed (by the manager/supervisor
responsible for the work activity who should be assisted by the local Safety
Representative, the people undertaking the work and (as necessary) the Area
Health & Safety Advisor) and modified as necessary. Risk Assessments must
be reviewed:
• Every 12 months to ensure that the arrangements are still ‘fit for
purpose’. These should be linked to the nature of the risk concluded
after all previously identified additional protective measures have been
put in place.
• If, in the meantime, the nature of work changes significantly. This does
not mean that a re-evaluation is required every time an inconsequential
• Where there are indications from local monitoring procedures (see
Annex 2) that a problem may be arising/has arisen.
The review should be recorded (eg in the space provided in the Model Stress
Risk Assessment Form) where no changes are identified or by completing a
new assessment form where changes are required.
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Fig 3.1.1: Model Stress Risk Assessment Form

MODEL STRESS RISK ASSESSMENT FORM (Page 1 of 2)
Job Type/Location
STRESS MANAGEMENT EVALUATION

Issue to Consider No Yes In Problems Identified Rel Remedial Action
Part Sig*
ROLE
Does the jobholder understand how
their work fits in to the overall aim of
the organisation?
Does the jobholder have a clear
understanding of what their job
entails which has been agreed with
their line manager?
CONTROL
Does the role offer sufficient variety?
Is there opportunity for learning and
development?
Does the jobholder have control over
the speed at which they work?
Does the jobholder have some
control in deciding how they do their
work?
Does the jobholder have control over
what they do at work?
Is the jobholder able to use their own
initiative?
Is the jobholder able to influence
decisions that may affect their job?
Are the hours that are worked
flexible?
Can the jobholder decide when to
take a break?
DEMANDS
Does the jobholder have to work only
at relatively low speeds?
Is the work demand generally light (ie
not particularly intensive?)
Is there enough time to do the job?
Do demands come from only a few
sources?
Is the Jobholder only expected to
work hours as set in their contract?
Is the working environment conducive
to the good health of the jobholder?
RELATIONSHIPS
Is there an effective bullying and
harassment policy in place to protect
staff?
Are staff aware of the bullying and
harassment policy?
SUPPORT
Is the jobholder able to get support
from colleagues?
Is the jobholder able to talk to their
line manager if they have concerns
about their priorities or the nature of
their work
Does the jobholder get sufficient and
consistent information from their line
manager?
* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)
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Fig 3.1.1 continued.

STRESS MANAGEMENT EVALUATION - continued
Issue to Consider No Yes In Problems Identified Rel Remedial Action
Par Sig
t *
CHANGE
The organisation regularly
communicates with employees when
going through change?
Employees have the opportunity to
comment and ask questions about
organisational change before, during
and after it happens?
Any additional issues
Overall evaluation
FURTHER PROTECTION MEASURES REQUIRED TO REDUCE RISK

(Including training/informing relevant people & any special measures for particular groups)
Identified Measures (resources must be concentrated on the most Responsible Person Date for completion
significant risks)
COMMENTS RE EVALUATION

Date of Assessment
Review Programme
Distribution
Line Manager Safety Representatives Workplace
H&S Adviser HR Manager
* ‘Rel Sig’ should be used to indicate the Relative Significance - ie High / Medium / Low)
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Annex 4: Reactive Support

Introduction
This Annex provides guidance on the provision of support programmes and
symptoms of stress. It is important to recognise that, even in the event of
general work-related stress being eradicated, there will need to be suitable
support services to assist those experiencing stress caused by non work
related issues together with those at risk from post traumatic stress.
Support Program
In addition to establishing confidential routes for the reporting (by individuals
or teams) of concerns relating to stress as identified in Annex 2, Areas should
consider establishing the following further support programmes:
• General Confidential counselling/provision of advice available to
employees experiencing work related or non work related stress.
• Early follow up of employee sickness absence where stress is
understood to be a factor. Arrangements should be made (for example
within the Area’s Sickness Absence Management Programme etc) for
an early contact to establish what assistance the Area’s support
programme can provide to aid in the employee’s recovery.
• Specific Confidential Post Traumatic Stress Disorder counselling
routinely available for employees potentially at risk of PTSD as a
consequence of working with specific offenders (especially sex and
domestic violence offenders) or as a consequence of any incident
(including the death, suicide or serious injury of any offender under the
supervision of the Area) resulting in a potential for post traumatic
stress.
As with the confidential reporting routes, HR Departments (in consultation with

Safety Representatives and with advice from the Health & Safety/
Occupational Health Advisor) should ensure that appropriate support services
are provided and that they are available on reasonable demand.
Counselling/advice may be provided through in house resources (suitably
trained and equipped to provide the necessary service) or from an external
provider. It is important to recognise that line managers should not, in
general, operate in the role of counsellor – this is a specialised function.
Symptoms of Stress
Irrespective of the cause of stress, the relevant symptoms need to be
understood by all parties to ensure people affected can be properly assisted
through the work based support program. Stress from any cause can and
does affect an individual’s performance and effectiveness – and might (indeed
often does) lead to absence.
For simplicity, symptoms of stress have been separated into three general
categories:
1. Symptoms which can be recognised by anyone (managers, colleagues,
friends, self);
2. Symptoms which are likely only to be recognised by the individual (or
possibly their partners);
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3. Symptoms which may be brought to a manager’s attention from

external sources (eg information provided in documents such as sick-
notes or (in extremis) coroner’s reports) which may indicate direct or
contributory problems.
It is emphasised that, in all cases, the symptoms exhibited may be as a
consequence of causes other than stress. Nor is the list exhaustive. The very
nature of stress is that it may manifest itself in a number of differing ways in
different individuals. Nonetheless, the following are useful as indicators of
possible stress arising from work or home activities.
1) Symptoms which can be recognised by anyone

The following symptoms exhibited by an individual experiencing stress (from
whatever cause) may be recognisable by themselves, colleagues, friends, or
supervisors.
• Changes in behaviour :
• changing patterns of smoking, drinking etc;
• changes in personal activity/energy levels – impulsive behaviour;
• changes in interpersonal relationships (becoming withdrawn, or
easily moved to anger or emotion);
• confused or disorientated;
• unusually critical/cynical about work/life;
• low self esteem – self critical.
• Changes in Work Output
• reduction in performance (quantity and quality of work);
• lack of attention in conversation/meetings;
• prone to errors;
• patterns of work;
• indecisive, prone to irrational changes of direction;
• obsessive about issues.
2) Symptoms which are likely only to be recognised by the individual (or

possibly their partners);
These are generally of a much more personal level. Nonetheless individuals
(and their partners) aware of these will be in a better position to identify a
possible stress related problem.
• Tremors/trembling (eg of fingers);
• Excessive dependency on alcohol, tobacco or drugs;
• Loss of libido;
• General feeling of being physically unwell (especially headaches, chest
pains, stomach problems, loss of appetite, unusual heart beats, fatigue,
dizziness);
• Emotional problems (guilt, depression, anxiety, suspicion);
• Disturbing dreams and disturbed sleep patterns;
• Problems in establishing interpersonal relationships (inside & out of
work);
• Memory impairment;
• Having to focus hard re concentration and accuracy.
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In addition, those experiencing Post Traumatic Stress Disorder might also

experience:
• Feelings of numbness;
• Recurring recall of the incident;
• Distrust/hyper-vigilant;
• Sense of shame/guilt;
• Fantasies of retaliation/destruction.
3) Symptoms which may be brought to a manager’s attention from

external sources
These will normally arise from information provided in documents such as
confidential reports following counselling etc, medical certificates, or (in
extremis) coroner’s reports, and may indicate direct or contributory problems.
HR Departments should have in place a mechanism for assessing relevant
information to provide early warning of possible problems and alerting
mangers to rapidly changing situations. The issues to be considered (in
addition to ‘stress’ identified on a medical certificate) include:
• Depression or similar illness recorded;
• Heart/circulatory illnesses/disorders;
• Recurrent non specific stomach/digestive problems (including ulcers);
• Non specific back problems (eg not linked to a specific accident);
• General fatigue;
• Recurrent illness with no specific causes identified, in particular, those
associated with the kidney, liver, blood disorders, thyroid and immune
response problems;
• Changing absence patterns in general – for an individual or a team.
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TOBACCO SMOKING Doc Ref: NPS/HS9
Issued by: Bill Wood Page 1 of 5

Implementation of the Health Act 2006 with the introduction of Smokefree
Premises Regulations in England and Wales in 2007 requires all workplaces
and enclosed public places to be smokefree.
It is NPS policy to ensure that all employees are provided with:

A healthy working environment free of tobacco smoke
Information of the dangers associated with exposure to tobacco smoke
Information and advice on stopping smoking
This policy also aims to ensure that service users and other visitors to NPS
premises are not affected by second-hand smoke. The objective of this
procedure is to ensure compliance with the regulations and provide a coherent
approach to smoking at work across the NPS.
Scope of the application

The requirements set out in this procedure are consistent with statutory
requirements and present the best practice to be applied in all NPS Areas in
respect of the arrangements for tobacco or any other form of smoking at work.
This applies to:
• All employees
• All contractors
• All other persons
in NPS premises, worksites and vehicles.

The following is a statement of best practice to be applied across the NPS.
Areas are required to have in place suitable and sufficient local arrangements
to ensure:
• Compliance with legislative requirements and the provision of a safe and
healthy working environment so that staff and other persons are protected
from the dangers of other people’s tobacco smoke.
Implementation
Consistency with the guidance and compliance with the mandatory aspects of
the regulations must be demonstrated by all Areas on or before 2 April 2007 in
Wales and 1 July 2007 in England.
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From the implementation date (2 April 2007 in Wales and 1 July 2007 in
England) smoking is not permitted in any part of any NPS premises or NPS
vehicles.
The Regulations do provide for the following limited exemption in

Approved Premises though this is not obligatory.
Designated bedrooms
Subject to strict conditions Areas may allow residents to smoke in their own
bedroom, providing the room is:
Designated in writing by the person in charge of the premises as being a
bedroom in which smoking is permitted.
The written designation must be available for inspection, upon request,
by an enforcement officer.
Set apart exclusively for sleeping accommodation
Clearly marked as a bedroom in which smoking is permitted
Not available as a shared facility for other persons
Note the room(s) must not:
Have any doors that open on to smoke free parts of the premises which
are not mechanically closed immediately after use
Have a mechanical ventilation system that ventilates into any other part
of the premises (except any other designated bedrooms)
In addition
Staff are not permitted to smoke in designated bedrooms
Smoking must not take place when rooms are being cleaned or
otherwise maintained
Smoking is not permitted in any other “enclosed or substantially
enclosed” part of the Approved Premises (see definition in annex
below)
Vehicles
The legislation states that vehicles are to be smoke free if used:
• For the transport of members of the public (whether or not for reward or
hire)
• For work by more than one person (even if the persons who work there
do so at different times, or only intermittently)
NPS Vehicles
Work vehicles will be smoke free at all times.
At least one No Smoking symbol must be displayed in a prominent position
in each compartment of the vehicle
Private Vehicles
The regulations do not intend to require private vehicles, including rental
vehicles for private use, to be smoke free. However where private vehicles
are used to transport more than one person on NPS business they should
be smoke free
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Unpaid Worksites
Where work is undertaken in any “enclosed or substantially enclosed”
premise smoking is not permitted (See definition in annex below)
Smoke Free Signs

All smoke free premises are required to have ‘No Smoking’ signs displayed in a
prominent position at each entrance.
Signage must
Be flat and rectangular and at least A5 in size
Display the international ‘No Smoking’ symbol in red at least 85mm in
diameter
Contain the following statement “No Smoking It is against the law to
smoke in these premises” In Wales this must be bilingual.
NPS vehicles should display the international ‘No Smoking’ symbol, in red at
least 75mm in diameter in each compartment of the vehicle.
All signage is to be provided by the NPS Area.

Note; Signs that meet the above criteria are available free of charge from the
Department of Health (see websites in the annex below)
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ANNEX: OUTLINE GUIDANCE ON SMOKING AT WORK.
Definitions and General Guidance

Smoking includes the smoking of any substance (eg tobacco or herbal) in the
form of a cigarette, cigar or pipe.
Definitions of Enclosed and Substantially Enclosed Premises
Enclosed Premises will be considered to be enclosed if they have a ceiling

or roof and, except for doors, windows or passageways, are wholly enclosed,
whether on a permanent or temporary basis. Tents, marquees and similar
structures will also be classified as enclosed premises if they fall within this
definition.
Substantially Enclosed Premises are substantially enclosed if they have a
ceiling or roof, but there are permanent openings in the walls which are less
than half of the total areas of walls, including other structures which serve the
purpose of walls and constitute the perimeter of premises. This is known as
the “50% rule”
Designated external smoking areas

Although not a legal requirement, where designated smoking areas are
provided outside of a building they should:
Be located 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)
Where practicable, afford some protection from the elements to smokers
but any structure must not be enclosed or substantially enclosed
Stop Smoking Support

NPS actively encourage staff to refrain from smoking outside of working hours
and will offer support where possible for those who wish to stop. Area
Occupational Health Advisors will provide advice to any employee who wishes
to give up smoking. Provision of assistive devices (skin patches, nicotine gum,
etc) is the responsibility of the employee and cannot be funded by the
employer.
Areas may wish to consider offering encouragement and assistance to service

users who wish to stop smoking. Detailed advice and free support for any
person who wants to stop can be obtained from the NHS Smoking Helpline
Tel. 0800 1690169, All Wales Smoking Cessation Service or Local NHS
Stop Smoking Services which are available nationally online at
www.gosmokefree.co.uk
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Enforcement
It is the Governments intention to create a supportive environment where
people are encouraged to comply with the legislation. However organisations or
individuals who do not comply with the law may be liable to a fine or
prosecution for the offences for;
Smoking in a smoke free place or vehicle
Failing to display a No Smoking sign
Allowing smoking in a smoke free vehicle
The regulations will be enforced by Local Authorities in England and Wales.
Additional Note
Impact on Service Provision
It is perceived that the introduction of a total smoking ban may have an adverse
effect on the safety of staff where smoking is not permitted or in situations
where the provision of smoke breaks are difficult to manage, eg the delivery of
programmes and the management of approved premises during the curfew
periods.
Areas will need to review the situation locally in respect of the risk to staff being
heightened due to the enforcement of the smoking ban.
Areas should also review their risk assessments on home visits and consider
amending standard notifications when setting up home visits to add a request
that individuals refrain from smoking during the visit, ie in much the same way
that a request would be made to keep dogs and other pets out of the way
during a visit.
References
The Health Act 2006

The Smokefree (Premises and SI 2006 No 3368
Enforcement) Regulations 2006
The Smokefree (Exemptions and Vehicles) SI 2007 No 765
Regulations 2007
The Smokefree (Penalties and Discounted SI 2007 No 764
Amounts) Regulations 2007
The Smokefree (Vehicle Operators and SI 2007 No 760
Penalty Notices) Regulations 2007
The Smokefree (Signs) Regulations 2007 SI 2007 No 923
Public Health, Wales The Smoke-free SI 2007 No 787 (W 68)
Premises etc.(Wales) Regulations 2007
Contacts and Further Guidance
www.smokingbanwales.co.uk
www.smokefreeengland.co.uk
www.gosmokefree.co.uk
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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS10
PERFORMANCE
It is NPS policy to ensure that contractors employed to work in or on NPS

premises are suitable and have the competence to undertake their activities in
accordance with all relevant Health and Safety Legislation. The objective of
this procedure is to ensure a coherent approach to the employment and
management of contractors across the NPS in respect of health & safety
issues.
The NPS Estate is currently managed by the Home Office via Home Office
Property General (HOPG) who are subject to legislative requirements and to
the rules, working procedures and arrangements set by Home Office policy
Scope of the Application.

applied in all NPS Areas and by the NPD in the arrangements made for the
employment of contractors.
stated below (specific requirements). Outline guidance on the implementation
of these is given in the Annex.

Outline guidance on best practice for implementation by or Areas where the
current Estate and Facilities Management Contracts do not apply is set out in
the attached Annex. Areas are required to have in place suitable & sufficient
local arrangements to ensure that:
• The selection process for Contractors is undertaken with due regard for
their ability to deliver the required services in a safe manner;
• Contractors are made fully aware of their obligation to undertake their work
in a safe manner;
• The work undertaken by Contractors is monitored to provide assurance
that the work is being undertaken in a safe manner;
• There is proper consultation and effective liaison on all relevant health &
safety issues between the Contractor, NPD, Areas and Trades Union
Safety Representatives.
Implementation.
aspects of this Arrangement must be demonstrated by NPD with immediate
effect and by all Areas.
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PERFORMANCE
ANNEX: OUTLINE GUIDANCE RE CONTRACTORS

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

The following specific requirements should be included in all contract terms.
Contractors must (in respect of work undertaken by their own employees or
those of their subcontractors):
• employ staff who are competent and have been provided with suitable and
sufficient Health and Safety information and training;
• ensure that their staff comply with all statutory provisions, NPS safety rules
and instructions and continually work in a safe manner (failure to do so will
result in individual Contractor’s employees being barred from NPS
Premises);
• ensure that suitable Risk Assessments and or method statements are
produced for all work activities. These will be made be available to Areas
upon request prior to work commencing;
• ensure that proper consultation takes place, before work commences, with
all persons (including appropriate Trades Union Safety Representatives)
likely to be affected by that work;
• communicate and cooperate fully with NPS staff on all matters associated
with Health and Safety at all times.
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.
• HOPG or the Area (dependent on which party owns the contract) will be
responsible for ensuring site inspections and audits, assessment of
documentation and procedures and review of safety (including accident &
incident) data.
• Issues of poor health & safety performance and serious health & safety
failures by Contractors will be brought to the attention of the National
Health & Safety Forum.
• Areas will identify an appropriate person(s) to supervise the work of
Contractors within the Area.
Consultation & Liaison

• Area Boards are responsible for providing appropriate information and
instruction to Contractors that is relevant to their health and safety whilst
working on site.
• HOPG, the Areas and the Contractors are required to have in place
adequate mechanisms for consultation and liaison on matters affecting the
health and safety of all persons affected by the work of the various parties.
This may take the form of regular liaison meetings at a national and local
level as appropriate.
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FIRE PROTECTION Doc Ref: NPS/HS/11
Issue Number: 2 Date of Issue: 24th April 2007

It is NPS policy to ensure the effective provision of fire protection and
procedures in all NPS premises. The objective of this procedure is to
establish a coherent approach to the provision of adequate fire protection and
procedures in all premises and to ensure, as far as is reasonably practicable,
the safety of all persons using those premises.

The requirements set out in this procedure present the best practice applied
in all NPS Areas in respect of fire protection and fire procedural
arrangements.
Note; Responsibility for enforcement of fire safety legislation in NPS premises
owned or occupied by the Crown; i.e. the Home Office, rests with Her
Majesty’s Fire Service Inspectorate, Crown Premises Inspection Group
(CPIG) However, Local Fire and Rescue Authorities retain enforcement
powers in those premises not Crown owned or occupied e.g. voluntary
hostels, police stations and premises occupied by youth offender teams etc.
They also have a role in providing advice and guidance on fire safety in all
non domestic premises, particularly in relation to the fire risk assessment.
The mandatory elements required under the Regulatory Reform (Fire Safety)
Order 2005 which must be implemented are stated below (Specific
Requirements). Outline guidance on the implementation of these is given in
the Annex.

The following are statements of best practice to be applied across the NPS
Areas
Areas are required to have in place suitable & sufficient arrangements to
ensure that:
• A Responsible Person is identified whose duty it is to fulfil the
requirements of the Regulatory Reform (Fire Safety) Order 2005;
• One or more competent persons are identified/appointed to ensure that the
preventive and protective measures required by the Order are in place;
• All NPS premises and other premises where NPS employees work are
subject to a suitable and sufficient fire risk assessment;
Note; An initial fire safety audit and fire risk assessment of all existing NPS
premises was provided by NPD Estates. The assessment should now be
reviewed by Areas and revised if necessary.
• NPS Premises comply with the findings of the fire risk assessment;
• An emergency plan is available for all premises;
• Clear and relevant information/training is given to all appropriate persons;
• Emergency evacuation procedures are in place and regularly practised
• In conjunction with Home Office Property General (HOPG) that all NPS
premises and any equipment provided in connection with fire fighting,
fire/smoke detection and warning, or emergency routes and exits are
covered by a suitable system of maintenance and are maintained by a
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competent person in an efficient state, in efficient working order and in

good repair.
Implementation
aspects of this arrangement must be demonstrated by NPS Areas with
immediate effect.
ANNEX: OUTLINE GUIDANCE RE; FIRE PROTECTION

Introduction
The Regulatory Reform (Fire Safety) Order 2005, became effective on
1st October 2006. The main effect of the change from previous fire legislation
is a move towards a greater emphasis on fire prevention. Fire certificates
ceased to have legal status; however, the fire precautions they imposed
cannot be removed.
The Fire Precautions Act 1971, Fire Precautions (Workplace) Regulations
1997 and various other Regulations are now replaced with the “Fire Safety
Order”
The Order will apply in England and Wales and covers general fire
precautions and other fire safety duties which are needed to protect people in
case of fire. It requires precautions to be put in place to an extent that is
reasonable and practicable in each individual circumstance.
Responsibility for Compliance

Responsibility for complying with the Order rests with the “responsible
person”:
In a workplace this is defined as; the employer and/or any other person who
may have control of any part of the premises. E.g. the occupier or owner.
Within the current structure of the NOMS/NPS, The Area Probation Board is
the employer of local Probation Staff. It is the Area Board therefore who have
responsibility for compliance with the order. In this context this will relate to
local area management or procedural issues and checks over which
they have influence or control.
Responsibility for all building/structural related issues, statutory tests and
maintenance of fire systems and equipment lies with the Home Office
Estate (HOPG)
Where there is more than one responsible person they have a legal obligation
under the Order to take all reasonable steps to co-operate with each other.
This also applies in buildings of multi occupancy
The responsible person will need to identify/appoint one or more competent
persons to ensure that the preventative and protective measures required by
the Order are carried out.
A competent person is a person with enough training and experience or
knowledge and other qualities to enable them properly to assist in undertaking
the preventative and protective measures. The guides to the Order (Ref
1,2&3) indicate that this could be an appropriately trained employee (e.g. the
health and safety advisor) or where appropriate, a third party.
NPS Areas may also wish to consider identifying local staff with responsibility
for individual buildings to carry out routine fire safety checks in those
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buildings. Where such employees are identified, they will need to be provided
with appropriate instruction and training.
Fire Safety Duties

Detailed guidance on the Fire Safety Order and fire safety duties can be found
in the reference table below (Ref 1,2&3) The following list contains some of
the duties which the responsible person must undertake:
• Carry out a fire risk assessment
• Identify/appoint one or more competent persons
• Provide clear and relevant information to employees on the risks
identified and about measures to protect them
• Consult employees and their appointed trade union safety
representatives about the process of nominating people to carry out
particular role in connection with fire safety and proposals for improving
the fire precautions e.g. provision of fire marshals
• Provide information to non-employees such as service users,
temporary workers or contractors of the relevant risks
• Consider the presence of any hazardous/dangerous substance and the
risks this presents (Ref 1,2&3)
• Make provision for people especially at risk including disabled people,
expectant mothers and others with specific requirements
• Establish a suitable means of contact with the emergency services and
provision to them of relevant information about hazardous/dangerous
substances or atmospheres
• Provide appropriate information, instruction and training to employees
during normal working hours, and from time to time throughout their
period of employment.
• Consider the appropriate action to take when employing a young
person
• Ensure any equipment provided in connection with fire fighting, fire
detection and warning, or emergency routes and exits are covered by a
suitable system of maintenance and are maintained by a competent
person in an efficient state, in efficient working order and in good
repair. This responsibility rests in the main with Home Office Property
General.
All employees must co-operate with the employer to ensure the workplace is
safe from fire and its effects, and must not do anything that would place
themselves or other people at risk.
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Fire Risk Assessment

A fire risk assessment is an organised and methodical look at the premises,
the activities carried on there and the likelihood that a fire could start and
cause harm to those in and around the premises.
The aims of the fire risk assessment are to reduce the risk of those hazards
causing serious harm to as low as reasonably practicable and to decide on
what physical fire precautions and management arrangements are necessary
to ensure the safety of people in the premises if a fire does start. To ensure
the effectiveness of fire risk assessments in NPS premises it will be
necessary to adopt a co-operative and co-ordinated approach with HOPG on
all property matters.
To assess the fire risk in a workplace it is necessary to:
1. Identify the fire hazards

• sources of ignition
• sources of fuel
• sources of oxygen
2. Identify people at risk

• people in and around the premises
• people who are especially at risk
Note; NPS Areas will need to take account of the difficulties that people with a
wide range of physical and/or mental impairment can have in getting in and
out of premises, particularly in an emergency. In some instances the general
emergency plan will not adequately cater for the needs of a particular
individual. In such cases a Personal Emergency Evacuation Plan (PEEP)
should be produced for that person.
3. Evaluate, remove or reduce, and protect from risk

• evaluate the risk of a fire starting
• evaluate the risk to people from a fire
• remove or reduce the fire hazards
• remove or reduce the risks to people from a fire
• protect people by providing fire precautions
4. Record, plan, inform, instruct and train

• record any major findings and action taken
• discuss and work with other responsible people
• prepare an emergency plan
• inform and instruct relevant people
• provide training
5. Review
• review the fire risk assessment regularly
• make changes where necessary
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Fire Risk Assessment Monitoring and Review

The initial fire safety audits and fire risk assessments of all existing NPS
premises provided by NPD Estates were site specific. The form and format of
these will now need to be developed and extended as required by Areas.
A fire risk assessment is not a one-off procedure; it should be continually

monitored to assess how effectively the risk is being controlled. Local
Probation Areas must now review their assessments in light of current work
activities and the occupancy of the building. The assessment should be
further reviewed by Areas on an annual basis and revised if necessary, or if
the assessment is thought to be no longer valid, for example:
o Change in the work processes, including the introduction of new

equipment
o Substantial change to furniture and fixings
o The introduction, change of use or increase in the storage of
hazardous/dangerous substances
o Failure of fire precautions, e.g. fire detection or alarm systems
o A significant increase in the number of people present
o The presence of people especially at risk including, disabled
people, expectant mothers and others with special requirements
o Where local issues are identified e.g. training of staff, provision
of fire action plans or other control measures
Note; When considering supervision of persons with a history of arson

related offences, the offender management assessments must take
this into account in assessing the overall risks, particularly in respect of
Approved Premises. A specific fire risk assessment will need to be
considered in such cases.
Where new premises are provided or any substantial structural alteration

takes place within a building, or the provision of fire protection or detection
equipment is required, this will be managed by Home Office Property General.
Following such change, consideration will be given by HOPG to the integrity of
the fire risk assessment and where necessary arrangements will be made to
provide a new or revised fire risk assessment for the premises.
Home Office Property General will establish a yearly review of the integrity of
the structural fire protection, including the elements of fire/smoke
compartmentation in all buildings under its control. HOPG will ensure any
remedial work is carried out to the appropriate standards and within a defined
time scale.
Note: Substantial structural alteration will include, changes to walls, doorways
and stair/passageways within a building or changes to the exterior of the
building which affects the means of escape.
The review of the fire risk assessment must be undertaken by a competent

person. The details of any review or revision should be recorded and
maintained for inspection on site.
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Instruction & Training

• Areas must produce an emergency plan for dealing with any fire situation
in each building. The purpose of the emergency plan is to ensure that
people know what to do in the event of a fire and to ensure the building
can be safely evacuated. More detail on emergency plans is contained in
(Ref 1,2&3)
• Areas must ensure that local fire routines are understood, that staff
training is current and records of training are maintained.
• Training must include the identification and use of fire fighting equipment.
• Areas must ensure emergency procedure notices are displayed and
understood. Training and information must be understood and accessible
to disabled people and to those for whom English is not their first
language.
• Consideration must be given to the provision of appropriately trained fire
marshals, as may be identified by the fire risk assessment.
Testing and Maintenance Routines

Good management of fire safety is essential to ensure that fires are unlikely to
occur: that if they do occur they are likely to be controlled or contained quickly,
effectively and safely; or that, if a fire does occur and grow, everyone in the
premises is able to escape to a place of safety easily and safely.
An integral part of this management system is a programme of regular testing
and maintenance of systems and equipment,
Fire Alarm & Emergency Procedure Testing

• Where it is responsible for the premises, Home Office Property General
will arrange for statutory inspection and maintenance of fire fighting
equipment, fire/smoke detection and alarm systems and emergency
lighting in accordance with manufacturers and statutory guidance.
• NPS Areas will ensure the weekly test of the fire alarm system and call
points in buildings as well as any additional periodic checks of detection
equipment, emergency lighting and self closing fire doors as necessary.
Records of these tests must be available for inspection on the premises.
• Areas will arrange regular planned fire evacuation drills (6 monthly)
References
Reference documents 1, 2 and 3 are issued by the Department of
Communities and Local Government Publications. They provide detailed
guidance on the Regulatory Reform (Fire Safety) 2005 and fire risk
assessment and are available from the DCLG website:
www.firesafetylaw.communities.gov.uk Appendices included in the guides
provide example checklists in relation to fire safety and routine maintenance.
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Ref Issue Referenced Source

No
1 Fire Safety Risk Assessment Department of Communities and
Offices and Shops Local Government Publications
2 Fire Safety Risk Assessment DITTO
Factories and Warehouses
3 Fire Safety Risk Assessment DITTO
Sleeping Accommodation
Additional information and guidance can be obtained from;
The Regulatory Reform (Fire Safety) Order 2005, SI 2005/1541. The

Stationary Office, 2005, ISBN 0 11 072945 5.
Fire Safety an Employers Guide: www.archive.official-

documents.co.uk/document/fire
Entry level guide- A short guide to making your premises safe from fire
Product code: 05 FRSD 03546 Chief Fire Officers Association:
www.firesafetylaw.communities.gov.uk
Further detailed advice on all aspects of fire safety management is contained

in British Standard BS5588, Fire Precautions in the design, construction and
use of buildings.

It is NPS policy (Ref 1) to ensure the effective control and management of risk
relating to Asbestos Containing Materials (ACM) in all places where NPS staff
are employed. The objective of this procedure is to complement the national
policy and procedures to provide a coherent approach to the management of
ACM. This will ensure that, as far as is reasonably practicable, all persons will
be protected from exposure to asbestos fibres. The policy document also
contains advice and guidance on Machine Made Mineral Fibres (MMMF) and
Vitreous Fibres (MMVF).

applied by:
• Areas for activities involving NPS employees (including secondees to other
organisations) employed on NPS premises or elsewhere
• HOPG in the arrangements made for the management of asbestos
containing materials in NPS premises.
stated below (specific Requirements). Outline guidance on the implementation
of these is given in the Annex.
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ASBESTOS Doc Ref: NPS/HS/12

Annex. HOPG and Areas (as appropriate) are required to have in place
suitable & sufficient local arrangements to ensure that:
• All NPS Premises are surveyed to identify the presence of any asbestos
containing materials;
• All such findings are properly recorded in a Register which must be kept
readily available on site;
• Responsible persons are appointed to ensure local management of
asbestos;
• Suitable routine inspection is undertaken and appropriate signage
provided where ACM have been identified;
• Suitable information/training is given to all relevant persons;
• Where removal or encapsulation of ACM is required this will be
undertaken in accordance with the time scales set out in the NPS policy
• Only specialist contractors are employed to undertake any work with
asbestos (repair or removal).
Implementation.
aspects of this Arrangement must be demonstrated by NPD by all Areas:
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ANNEX: OUTLINE GUIDANCE RE ASBESTOS
General Guidance
• The ‘National Probation Service Policy and Procedures for Asbestos
Containing Materials’ (Ref 1) sets out the detailed requirements for the
management of asbestos in buildings occupied by employees and must be
incorporated into all Area Health and Safety arrangements.
• Additional guidance is available from HSE (Ref 2).
• Asbestos surveys will be undertaken in all premises occupied by NPS
employees. Where premises are leased, rented or shared by NPS
employees and those of other agencies, HOPG 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 Unpaid Work (UP) project Risk
Assessments. Local Areas should ensure that asbestos management and
identification is included in training of UP Risk Assessors.
• No work should be undertaken on UP projects where there is a risk of
exposure to asbestos fibres.
• If during the course of a UP project any suspect or damaged ACM is
discovered, work should stop and the local area health and safety
practitioner informed.
• Visiting contractors must check the premises Asbestos Register before
commencing any work which may disturb ACM.
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• If they discover any suspect or damaged material during the course of their
work they should report it to the local Area management and their own line
manager.
• If they accidentally damage or disturb ACM during their work they should
evacuate the area and report to the local Area management and their own
line manager.
References

1 NPD Asbestos Policy and Procedures for Managing
Management Policy Asbestos Containing Materials (ACM) in
Buildings
2 HSE Guidance HSE: INDG223 Managing Asbestos in
premises
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MANAGEMENT OF SAFETY IN THE NPS Doc Ref: NPS/HS/13
ESTATE

It is NPS policy to ensure that health and safety is proactively managed
throughout the Estate. The objective of this procedure is to ensure a coherent
approach to the provision of a working environment that minimises the risk to
health and safely across the NPS.
The NPS Estate is currently managed by the Home Office via Home Office
Property General (HOPG) who are subject to legislative requirements and to
the rules, working procedures and arrangement set by Home Office policy.

applied in all NPS Areas in respect of the management of health and safety
throughout the Estate. The mandatory elements of best practice which must be
implemented are stated below (‘Specific Requirements’). Outline guidance on
the implementation of these is given in the Annex.

Annex. Areas (as appropriate) are required to have in place suitable &
• statutory obligations relating to the management of the estate are fully
complied with;
• work undertaken by Contractors is properly monitored;
• working environments are commensurate with the nature of the work being
undertaken.
Implementation.
aspects of this Arrangement must be demonstrated by all Areas with
immediate effect and by all Areas:
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ESTATE
ANNEX: OUTLINE GUIDANCE RE MANAGEMENT OF SAFETY

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

& testing etc is given in reference 6.
• Guidance in respect of office workspace and the working environment in
probation premises is given in reference 7.
References

1 General Guidance NPD: Property Management Contract Guide
2 Approved Premises NPD: Approved Premises Contract Guide
Guidance
3 General space & HSE: ‘Workplace (Health, Safety & Welfare)
accommodation etc Regulations 1992’
requirements
4 Specific issues re new HSE: ‘Management of Health & Safety at
& expectant mothers Work Regulations 1999’
5 Specific issues re DSE HSE: ‘Health & Safety (Display Screen
work. Equipment) Regulations 1992’
6 Electrical installations HSE: The Electricity at Work Regulations
& maintenance/testing 1989.
of supplies
7 NPS Guidance on EPIC
office workspace and Support Service / Human Resources /
the working Health & Safety
environment in
probation premises
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PERMITS TO WORK Doc Ref: NPS/HS/14

It is NPS policy to ensure that all work activities carried out within its premises
are undertaken safely and without risk to health. The objective of the
procedure is to ensure a coherent approach to the implementation of systems
of work that are safe and without risk to health.

applied in all NPS Areas in respect of work requiring Permit to Work Systems.

Annex. Areas are required to have in place suitable & sufficient local
• Suitable Permits to Work are used to control all relevant high risk activities
undertaken by either Contractors’ employees or NPS employees;
• Individuals undertaking the work, or who may be affected by the work, are
informed of the terms and conditions of the Permit to Work;
• Procedures are in place for commencing and closing off work covered by a
Permit to Work.
Implementation.
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ANNEX: OUTLINE GUIDANCE RE PERMITS TO WORK
General Guidance
• Permit to work systems are an essential part of safe systems of work for
many maintenance activities.
• They are required if there is a risk of serious injury which cannot be
adequately controlled by normal physical safeguards (eg work in confined
spaces – see Ref 1).
• Specific permit forms are needed for certain tasks, such as; work in
confined spaces, hot work or work on electrical systems.
• Permits to work should provide a clear record that all foreseeable hazards
have been considered and identify what precautions are required to
protect the individuals involved in the task or others who may be affected
by it.
• Whilst Permits to Work will be primarily associated with work undertaken
by Contractors (Ref 2), nonetheless the basic principles can be applied to
any task or activity where the risk assessment has identified a particularly
significant residual risk to an employee and where strict control is required
to control that risk.
Permits to Work: Formats and Procedures

• Figure 1 sets out a model Permit to Work format which can be used as a
guide within Areas.
• Contractors are responsible for providing a Permit to Work for activities
they are undertaking.
• Areas should ensure that where these are required, the permit is supplied
by the Contractor and that:
o the hazards are clearly identified by the contractor;
o the precautions necessary are outlined;
o the Contractor’s signature is provided to confirm that these precautions
have been undertaken;
o the work area is protected from Area staff and other persons in the
building.
• The local Area management should expect those responsible for
undertaking the work (usually a Contractor) to ensure;
o The building representative is properly informed of the work to be
undertaken;
o a suitable risk assessment and permit to work document is produced
and available;
o the provision of trained personnel to under-take the work;
o adequate supervision is provided (by the Contractor);
o all required emergency evacuation procedures and action plans are in
place;
o records are correctly maintained.
Information to Individuals
• Local Area staff should be made aware of all emergency action plans
associated with the Permit to Work.
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Commencing and Closing off Work

• Consultation must take place between local area staff and those
responsible for undertaking the work (usually the Contractors) before work
commences.
• Consultation must take place between local staff and those responsible for
undertaking the work following completion of the work; and a “hand back”
confirmation produced (by those responsible for undertaking the work
(usually the Contractors)) certifying the work has been carried out safely
and the location is clear and ready for re-commissioning.
References

1 Confined Spaces HSE: Safe work in confined spaces.
2 Contractor’s NPD: Approved Premises Heath and Safety

Permits to Work Manual.
(confined spaces)
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Figure 1: Model Permit to Work
PERMIT-TO-WORK
Permit title:- Permit number:-
Job location:-
Plant identification:-
Description of work to be done and its limitations:-
Hazard identification:–
(including residual hazards and hazards introduced by the work)
Precautions necessary:–
(person(s) who carries out precautions, eg, isolations, must sign that precautions have been taken)
Protective equipment:-
Authorisation:–
(signature on behalf of the appropriate organisation confirming that isolations have been made and precautions
taken, except where these can only be taken during the course of the work)
. Acceptance: –
(signature of the person(s) actually undertaking the work confirming understanding of work to be done, hazards
involved and precautions required. Also confirms permit information has been explained to all workers involved)
. Extension/shift hand over procedures:–

(either:
Signatures of those authorising the extension and those undertaking the extended work confirming checks
have made and that the plant remains safe to be worked upon, and new acceptor/workers, made fully aware of
hazards/precautions. A new expiry date/time must be given; or
Signatures of those handing over the work and those taking on the work (in the event of a shift
handover)confirming new shift is made fully aware of hazards/precautions)
. Hand back:–
(signed by the person responsible for the normal activity of the location (usually the relevant local NPS line
manager) certifying work completed. Also signed by the person undertaking the task certifying work completed
and plant ready for testing and re-commissioning)
. Completion:-
(signed by the person undertaking any required testing and re-commissioning to confirm plant etc
satisfactory)
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CONTINGENCY PLANNING Doc Ref: NPS/HS/15

It is NPS policy that Contingency Plans be in place to address the effect
of a major disruption to operations. The objective of this procedure is to
ensure a coherent approach to contingency planning across the NPS (in
the initial phases following an emergency) is achieved with due regard to
the health, safety and welfare of employees.

applied in all NPS Areas in respect of the:
• Loss or major disruption of use of premises (eg from fire, flood, violence
etc);
• Loss of key services (eg IT, power, catering etc), or key records;
• Loss of substantive numbers of staff (eg influenza epidemic);
which could significantly affect the operation of the local Area or National NPS
operations.


arrangements to ensure that in the event of:
• Any premises becoming unusable, suitable arrangements are identified for
alternative premises (which may or may not be owned/leased/rented by
the NPS, but which should be in the same locality where possible).
• Key services (eg IT, power, water, catering etc) being unavailable, suitable
arrangements are identified for alternative means of supplying the required
service.
• The unavailability of substantive numbers of key staff, suitable
arrangements are in place for using alternative resources from within or
external to the Area.
Implementation.
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ANNEX: OUTLINE GUIDANCE RE CONTINGENCY ARRANGEMENTS.
Introduction.
It is a basic tenet of Contingency Planning that:
• Key staff are identified to handle specific issues.
• Key information re communication and the supply of equipment and
services is available to those identified members of staff.
The objective is to ensure that the right team of managers and support staff
are rapidly deployed to resolve the immediate impact of the initiating event (eg
fire resulting in loss of an Approved Premise). Detailed planning is not
appropriate (all contingencies cannot be covered – key is flexibility).
Whilst the various FM etc contractors will provide (though HOPG) 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;
o Catering in Approved Premises (eg local ‘take-away’ establishments);
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o Temporary Staff Agencies;

o Furniture suppliers;
o IT supply and back up.
Other Issues
• Maintain contact points for:
o Insurers;
o Emergency services (in the event of a fire, the most senior Fire Officer
will take command);
o NOMS IT;
o FM/EM etc contractors / HOPG;
• Include arrangements for briefing:
o NOMS / HOPG;
o Trades Union Representatives;
o Staff;
o Media;
o Adjacent Areas (who might receive queries from the media).
• For key records, consider the need for duplication or storage in a secure
(eg fire proof) medium.
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COSHH RISK ASSESSMENT Doc Ref: NPS/HS/16

It is NPS policy that work with substances is subject to a suitable and
sufficient risk assessment to minimise health risks. The objective of this
procedure is to ensure a coherent approach to such work across the
NPS as a contribution to a culture of proactive protection.

hazardous substances to:
elsewhere);
• Other persons whose health & safety may be affected by the activities of
the NPS.
- together with additional requirements applying to Contractors (etc) staff
working on NPS premises.
Matters relating to biological hazards are covered separately in NPS/HS/4

• All substances which may be a hazard to the health and safety of anyone
who may be affected by NPS activities are properly identified.
• Those groups of people who may be harmed are properly identified.
• The resultant risk is evaluated, the adequacy of existing levels of
protection is assessed and additional levels of protection are determined
as necessary. (Note: see Annex re proprietary substances.)
• The findings are properly recorded.
• All Risk Assessments are periodically reviewed and revised as necessary.
• A suitably competent person (or persons) is identified to take a lead role
re hazardous substance assessments.
arrangement (NPS/HS/10).
Implementation.
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ANNEX: OUTLINE GUIDANCE RE SUBSTANCES HAZARDOUS TO

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

before proceeding to the following principles:
• Does this substance have to be used at all?
• Is there a substitute substance (or process) which is less hazardous?
The Supplier may be able to advise on alternatives.
People using hazardous materials must be suitably instructed/trained in the

correct usage. Supervisors must check that materials are being used in
accordance with the risk assessment.
Appointment of a Competent Person

The Competent Person undertaking an assessment (who may be the Area
Health & Safety Advisor) must have suitable and sufficient understanding of
the COSHH Regulations and associated Codes of Practice (including the
specific circumstances when a COSHH assessment must be undertaken).
Further guidance is given in Ref 1.
Assessing risks, who might be exposed and identifying any required

protective measures
Attention is drawn to the General Guidance at the beginning of this Annex
which identifies the circumstances in which specific assessments will be
required. In the event of a specific assessment being required, the example
pro forma (figure 1) provides guidance on the information to be gathered and
assessed.
Assessments/allocation of work tasks must take into account people who may
be at special risk (eg new and expectant mothers, young people, and those
with respiratory, skin or sensitisation conditions).
Maintaining Records
A record of substances subject to an assessment (including those where the
‘assessment’ is simply the supplier’s instructions) must be maintained in
accordance with the current regulatory requirements (as a minimum, for the
duration of the work to which they apply). As a minimum, records should be
maintained of:
• Any special assessments undertaken;
• Relevant Product Data sheets;
• References to packaging instructions (ie identifying the product, including
any identification code & Supplier, and the date (year) supplied).
Records of assessments and usage may be required in the event of claims
against the Area. Areas should thus identify an appropriate archiving policy
for this information.
Reviewing Assessments
COSHH Risk Assessments must be reviewed:
These should be linked to the nature of the risk concluded after all
previously identified additional protective measures have been put in
place.
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• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential
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
References

1 General Guidance HSE: INDG 136. COSHH a brief guide to the
Regulations.
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Figure 1: Model COSHH Assessment pro forma.

Compiled by Substance
Signed Date compiled
Location of use or storage
Nature of material and its hazard
Very toxic Irritant
Toxic Flammable
Environmental impact Other
Physical Properties Potential hazards
Appearance Inhalation
Odour Skin absorption
MEL* Ingestion
OES* Injection
Additional comments on properties
Health Effects & First Aid
Nature Effect First Aid
Inhalation
Skin contact
Eye Contact
Ingestion
Injection
People at Risk
Who might be exposed?
Any sensitive groups

at special risk?
Precautions /Control Measures
Inhalation
Skin contact
Eye Contact
Ingestion
Injection
Health surveillance
Fire Precautions
Spillage/disposal
Storage
Do not store with:
Static Electricity Considerations
Additional Comments
‘MEL’: Maximum Exposure Limit; ‘OEL’ Occupational Exposure Limit

Review Program
Distribution
Line Manager Safety Reps H&S Adviser Workplace
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DRIVING & USE OF NPS VEHICLES Doc Ref: NPS/HS/17
It is NPS policy that all use of road vehicles on NPS business be in

accordance with current UK best practice standards. The objective of
this procedure is to ensure a coherent approach to the safe use of road
vehicles across the NPS.

applied in all NPS Areas and the NPD in respect of:
• The use of private and hired vehicles on NPS business;
• The use of NPS owned vehicles.

• Work programs are planned to ensure that ‘driving time’ is properly
accounted for within the working day;
• Drivers are provided with suitable and appropriate training;
• All vehicles used on NPS business are fit for purpose and properly
insured.
Specific requirements for health surveillance (for those employees whose

work involves a significant amount of driving) are set out in NPS/HS/7.
Implementation.
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
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ANNEX: OUTLINE GUIDANCE RE DRIVING ON NPS BUSINESS

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

demonstrating practical knowledge and skills which should then be
practised. A record of training should be maintained for ease of reference
and identification of suitable drivers.
To fulfil the requirements of NPS insurance drivers must be a minimum of 21
years old and have at least 12 months continuous driving experience.
• Drive significant distances on behalf of the NPS (eg in excess of 10,000
miles) in the course of a year. Such drivers should be invited to undertake
appropriate training.
A number of organisations (eg RoSPA and the Institute of Advanced
Motorists) can provide relevant information and advice on suitable local
accredited training courses.
General considerations
In addition the following matters should be considered:
• There must be no distractions to the driver. This is a particular
consideration if transporting disruptive offenders. If identified in the
offender/group risk assessment, a second officer may need to be
provided. Eating & drinking should be discouraged when a vehicle is in
motion. Smoking is not permitted in NPS Vehicles (see NPS/HS/9).
• Except in emergency situations where instant communication is necessary
because of an accident, injury or threat of violence/assault:
the use of hand held mobile telephones (or similar communications
equipment) by drivers is prohibited whilst vehicles are either in motion
or are stationary with the engine running;
the use of ‘hands free’ mobiles should be discouraged (because of the
distraction they present).
See also Reference 2.
• Seat belts must be used at all times.
• Care should be exercised in respect of lone driving with a single
passenger (particularly an offender). Subject to the risk assessment this
should be discouraged where possible.
• NPS owned vehicles should be fitted with first aid equipment, fire
extinguishers, warning triangles, appropriate signage when carrying
hazardous materials and mobile phones for emergency contacts.
• Subject to an appropriate risk assessment, Areas should consider the
provision of such equipment for private & hired vehicles used regularly (eg
weekly) or for extensive annual distances (eg in excess of 10,000 miles)
on NPS business.
• Manual handling requirements will apply when loading and unloading
vehicles, roof-racks and trailers.
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References
1 Driving hours RoSPA: Managing Occupational Road Risk:
etc 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 Whilst Driving’:
Telephones. issued 28th Nov 2003.
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DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18

It is NPS policy that work involving display screen equipment and
associated IT systems is subject to an appropriate risk assessment. The
objective of this procedure is to ensure a coherent approach to such
work across the NPS as a contribution to a culture of proactive
protection.

applied in all NPS Areas in respect of the assessment of risk of working with
Display Screen Equipment to:
elsewhere);
the NPS.

• All display screen equipment is subject to prior use, and subsequent
routine, risk assessments.
• All new (and existing major) software systems are (or have been) subject
to an ergonomic risk assessment, are accessible to all staff and are risk
assessed by the local Area when piloting the implementation.
• In both cases the resultant risk (re the health & safety of the user) is
evaluated, and any improvements (to systems, software or for additional
training) are determined as necessary.
• All Risk Assessments are periodically reviewed and revised as necessary.
Implementation.
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DISPLAY SCREEN EQUIPMENT Doc Ref: NPS/HS/18
ANNEX: OUTLINE GUIDANCE RE DISPLAY SCREEN EQUIPMENT

AND ASSOCIATED INFORMATION TECHNOLOGY
Display Screen Equipment

• As a minimum, all Display Screen Equipment (DSE) (including
workstations, CCTV etc) must be subject to regular inspection in
accordance with statutory requirements. Specific guidance is given in
Ref 1.
• Further information is available in a specific NPS Guide (Ref 2).
Ergonomic Assessment of Software

• Guidance on the ergonomic assessment of software is available in
References 2, 3 & 4.
• Software purchased or developed for use within the NPS should be
subject to an ergonomic assessment prior to introduction into full usage
(for software purchased from outside NPS this should form a part of the
product suitability assessment prior to purchase).
Records of Assessments
Suitable records should be maintained by the relevant line management of all
formal assessments.
Additional Issues
• Eye and eyesight tests and special spectacles: Areas will pay the cost of
eyesight testing and any spectacles required specifically for working with
DSE up to the NHS charge limit. Local arrangements should include an
appropriate route to pre-authorise such testing.
• Pregnancy: Taken as a whole there is no epidemiological evidence to
suggest a link between working with DSE and harm to the unborn child,
pregnant mothers should nonetheless be given the option of alternative
work should they so request this after they have sought advice from their
medical advisor.
• Laser-jet printers should not generally be immediately adjacent to
workstations (ie on the same desk).
References

1 DSE assessments HSE Guide: HS(G)90.
2 DSE & Software ‘A Guide to the Health and Safety Aspects of
assessments IT Management for the National Probation
Service’
3 Software BS EN ISO 9241 (Parts 10 – 17)
assessments
4 Accessibility ‘Accessibility of Human Computer Interfaces’
ISO 16071
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ELECTRICITY AT WORK Doc Ref: NPS/HS/19

It is NPS policy that mains electrical equipment and supplies are
appropriate to the working environment and are subject to appropriate
routine testing and inspection. The objective of this procedure is to
ensure a coherent approach to such work across the NPS as a
contribution to a culture of proactive protection.

electrical supplies and mains operated electrical equipment to:
elsewhere);
the NPS.
These requirements also apply to contractors’ staff working on NPS premises
with electrical equipment.

• Suitable protective measures are in place to protect employees and
others from electric shock/electrocution.
• All (mains) electrical equipment and supplies are subject to formal testing
and inspection by a competent person.
• All mains operated electrical equipment is routinely inspected by the user.
• Formal testing and inspections are properly recorded.
Implementation.
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ANNEX: OUTLINE GUIDANCE RE WORKING WITH ELECTICITY

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

isolation during maintenance. (See also ‘Permits to Work’, NPS/HS/14.)
Inspection and testing
The Electricity at Work Regulations require that all electrical supplies and
equipment are regularly inspected and tested. Details are given in the
regulations and associate guidance (Ref 1). In brief the following should be
observed:
• User Check
o Before commencing any work with electrical equipment (eg portable
tools) the cabling and plugs should be visually checked by the intended
user for signs of obvious damage (eg broken plugs/sockets, cables not
properly gripped by the plug, frayed cables etc). Any such damage
should be reported to the line manager and the equipment suitably
labelled & removed from usage pending rectification of the fault.
o Regular checks (eg during routine workplace inspections) should be
undertaken re ‘installed’ equipment for similar visible signs of damage
to cabling, plugs, sockets etc. Any such damage should be reported to
the line manager and the equipment not used pending rectification of
the fault.
• Formal Testing & Inspection
Full details are given in the relevant HSE Regulations and Guidance
Material. Formal testing and inspection must be undertaken by a suitably
trained person (who does not need to be a qualified electrician). The
detailed arrangements for testing undertaken by Contractors’ employees
on behalf of Areas are set out in the relevant Facilities Management
Contracts. This defines the formal routine testing of all electrical
equipment.
For personal equipment used by Approved premises Residents, the
following special arrangements should be applied (as agreed nationally
between the NPD and HSE):
For those resident for less than 6 calendar months: no requirement for
formal testing & inspection. The User checks will, however, be
confirmed by the approved premises staff.
For those resident for more than 6 calendar months, formal testing &
inspection will be undertaken by the FM contractor either: at the
planned testing & inspection; or by special arrangement for those
persons whose residency will not include the planned date of
inspection.
HSE requirements for testing and inspection frequencies are given in the
attached Table.
References
1 Testing etc HSE: INDG 236: Maintaining portable
electrical equipment in offices and other low-
risk environments.
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Table extracted from HSE’s INDG 236
Equipment/environment Formal visual Combined inspection

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

tested at the shorter intervals
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JOINT HEALTH & SAFETY COMMITTEES Doc Ref: NPS/HS/20

It is NPS policy that all Areas have in place Joint Health & Safety
Committees. The objective of this procedure is to ensure a coherent
approach to such Committees across the NPS.

applied in all NPS Areas in respect of Joint Health & Safety Committees.

• A Joint Health & Safety Committee (JHSC) is established.
• The JHSC meets on a regular basis with a formal agenda and agreed
minutes.
• Membership includes:
• A member of the Area Board;
• Appointed Trades Union Safety Representatives;
• The Senior Manager with functional responsibility for Health & Safety;
• A Senior Operations Manager;
• The Area Health & Safety Advisor.
• The JHSC works within agreed objectives and terms of reference.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: JOINT HEALTH & SAFETY COMMITTEES
General guidance
This Annex provides guidance for compliance with the mandatory
requirements for Joint Health & Safety Committees (JHSC’s) in Areas (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 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 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, Unpaid Work,
General Probation activities etc) as well as the functional activities (eg
Human Resources).
• As well as the Area Health & Safety Advisor, the Occupational Health
Advisor (if appointed) should also be a member.
• Other persons may be co-opted as agreed by the Committee.
The JHSC arrangements must include the appointment of a Chair (this could
rotate between Management and Trades Union members if agreed by all
parties). Appropriate secretariat support must be provided. A quorum should
be established to ensure representation of the essential members (see
‘Specific Requirements’) and appropriate Management/Trades Union balance.
Meetings should not be cancelled except by joint agreement of all parties.
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Objectives and Terms of Reference

The JHSC will normally be a part of the joint consultation machinery within an
Area. It must work within agreed objectives and terms of reference. An
appropriate objective could be:
‘To monitor and review the measures taken to ensure a

continuing improvement in health and safety performance for
our employees and others affected by our activities’
Terms of Reference should embrace the following objectives:

• Promoting cooperation on all aspects of health & safety.
• Agreement as to the adequacy of existing local health & safety
arrangements (ie do they satisfy the requirements of the National
Health & Safety Policy Manual?).
• Being actively involved in the production of local health & safety
management systems/manuals/policies etc.
• Monitoring & reviewing general health & safety performance and in
particular: accidents, incidents & Notifiable diseases; audit and
inspection reports; health & safety training programmes; and any input
from the Health & Safety Advisor, the Appointed Safety
Representatives, or the Regulators with the objective of agreeing
proposals for improvement.
• Promoting suitable cooperation and coordination with contractors,
partnerships (eg Prisons, YOTS etc) etc.
• Make recommendations/report to: the Board Chair/the Board/the Chief
Officer on improvement opportunities, areas of concern, issues for
inclusion in the annual plans etc.
The operation of the JHSC should focus on broad issues and general
standards of performance not on day to day issues which should be dealt with
locally. Where, on key points of principle relating to the National Health &
Safety Policy Manual, agreement cannot be reached, the National Health &
Safety Forum will act as the arbiter.
Frequency of meetings
Main Area JHSC should meet on a frequency of not less than quarterly.
Minutes
Minutes (which should be agreed) should as a minimum record all decisions,
agreements (or otherwise) and actions. Detailed minutes are not necessary.
Minutes must be communicated to all employees.
References

1 Joint H&S The Safety Representatives & Safety
Committees Committees Regulations, 1977(as amended)
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LONE WORKING (INCLUDING HOME VISITS) Doc Ref NPS/HS/21

It is NPS policy that all requirements for Lone Working are properly
assessed to minimise the risk of harm to the employee. The objective of
this procedure is to ensure a coherent approach to such work across the

applied in all NPS Areas in respect of the assessment of risk of hazards to all
employees (whether engaged in activities on NPS premises or elsewhere)
who may be required to work alone (with or without Offenders).

• All requirements for lone working are subject to an appropriate risk
assessment;
• Where the risk to the individual employee is significant then lone working is
not undertaken unless precautions are implemented to adequately control
the risk;
• Trainees (and similarly designated persons) do not undertake lone working
with offenders;
• Suitable and sufficient procedures are in place to protect any employee
required to undertake lone working irrespective of the risk.
Implementation.
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ANNEX: OUTLINE GUIDANCE RE LONE WORKING
Definition of Lone Working

‘Lone Working’ in the context of this Arrangement means any employee (or
Contractor’s employee) required to work alone (ie not with an appropriate
colleague) in the following circumstances:
• During visits to non employees (offenders, victims etc) at their homes or
other non NPS premises;
• Work with offenders, victims etc on NPS premises or Unpaid Work
projects;
• Working alone in office etc buildings in any circumstances.
Specific requirements for these categories are set out below.
Risk Assessments
• Whilst lone working is a necessary and important part of the work of the
Probation Service, nonetheless it should not be undertaken unless it has
been subject to a proper risk assessment. NPS/HS/3 (Risk Assessment)
provides the benchmark for general task risk assessments. When working
with offenders, this should be used in association with the general NPS
requirements for offender assessments to determine the overall risk.
• Where the risk associated with working with offenders etc is judged to be
‘significant’ (as defined in NPS/HS/3 (Risk Assessment)) then lone working
must not be undertaken.
• In extreme cases a Permit to Work (See NPS/HS/14) might be relevant to
ensure that all the necessary precautions have been taken.
• Where the risk assessment identifies the need for a second person to be in
attendance or available, that person must be suitably trained and
experienced to respond to the relevant emergency situations. This may
require the individual to be an operational staff member particularly when
working with particular offenders.
Visits to Offenders etc not on NPS Property

• Home (and other similar) visits to offenders should not be undertaken
before the offender has been interviewed and assessed within an NPS or
prison office.
• As noted above, where the risk associated with working with offenders etc
is judged to be ‘significant’ then lone working must not be undertaken.
• Risk assessments must be reviewed if information is received which could
materially change the basis of the original assessment. Lone visits must
not be undertaken until the risk assessment has been reviewed and any
necessary protective mechanisms put in place.
• Wherever possible, home (and other similar) visits should be undertaken
within normal office hours and during the hours of daylight. Where visits
outside these times are necessary, this must be taken into account in the
overall risk assessment.
• Areas should liaise with the relevant local authorities (including Police) to
identify any issues relating to specific risks associated with the location of
the intended visit (especially where the location is remote or has a history
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of public order disturbances) and to identify possible places of safety.

Local knowledge obtained by other NPS employees should also be taken
into consideration.
• All home (and other similar) visits must be logged before the visit together
with the anticipated time of completion. The employee undertaking the
visits must inform an identified contact point between visits and when the
visits have been completed or when planned arrangements are changed.
Lone Working on NPS Property or Community Punishment (CP) Projects

• Lone working (with offenders) should be considered against the general
risk criteria noted above. Where the risk is considered to be ‘significant’
(eg in some circumstances of evening, night or weekend work) then the
work should not be undertaken by a lone employee. Completion of out of
hours work should be reported to an appropriate contact point. Suitable
alerting systems should be available (eg mobile phones or remotely
operating emergency alerting systems).
• Lone working in offices, not with offenders or victims etc, carries
significantly less risk and whilst no special measures are required over and
above the normal workplace/task risk assessment, it should be
discouraged. Where it is necessary, it should be undertaken with the
agreement of the relevant local management.
Additional considerations
• Areas should have in place contingency arrangements for handling any
problems, failure to report etc.
• Employees undertaking Lone Working should be properly trained and
informed of the hazards likely to be encountered. Due account must be
taken of local conditions, access availability, adverse weather conditions
etc.
• Employees must always be advised to withdraw from a potentially violent
situation.
• The experience of the employee to detect an emerging problem should be
taken into account when planning Lone Working together with any pre-
existing medical conditions which could affect their ability to handle such a
problem.
• Victim liaison work should be subject to a risk assessment to determine
whether lone working is appropriate.
• There is a requirement to comply with local procedures for lone working
when working on the premises of third parties (eg prisons and courts)
except where the local Area system is more restrictive – when this should
take precedence.
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MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22
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.

applied in all NPS Areas in respect of the assessment of risk to:
elsewhere);
the NPS;
- together with additional requirements applying to Contractors (etc) staff
working on NPS premises.

• Where reasonably practicable, manual handling (particularly of heavy or
unwieldy loads) is avoided;
• Where this is not possible, all requirements for manual handling are
subject to an appropriate risk assessment;
• The resultant risk is evaluated and the appropriate means of undertaking
the activity is determined to minimise the risk;
• The findings are properly recorded;
• All Manual Handling Risk Assessments (for continuing activities) are
periodically reviewed and revised as necessary.
Arrangement (NPS/HS/10).
Implementation.
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MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22
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
1 Assessments HSE: Manual Handling Regulations,
Guidance on Regulations.
2 Assessments HSE: ‘Manual Handling Assessment Charts’
(known as ‘MAC’).
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NIGHT WORKING Doc Ref: NPS/HS/23

It is NPS policy that the hazards arising from night working are properly
assessed for risk to ensure the minimisation of harm so far as is
reasonably practicable. The objective of this procedure is to ensure a
coherent approach to Night Working across the NPS as a contribution to
a culture of proactive protection.

applied in all NPS Areas in respect of the assessment of risk to all employees
who may be engaged on ‘night working’ (ie in Approved Premises).

• Shift working patterns and associated rest periods are consistent with the
requirements of the Working Time Regulations (Ref 1);
• Employees who are required to work at nights are suitably trained for
managing violent or potentially violent situations;
• Lone working should be avoided unless the risk is assessed as being
acceptably low;
• Effective means of summoning assistance must be available at all times.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: NIGHT WORKING
Definition of Night Working

General information regarding acceptable working hours etc are given in
Reference 1. Specifically, night working is defined as any employment for at
least 3 hours during the night time. Night time is defined as any 7 hour period
including time worked between midnight and 5 am.
Risk Assessment
In assessing the overall risk to the night worker, account must be taken of:
• The normal (ie non offender related) risks associated with the tasks
involved (see NPS/HS/3);
• The Offender risk assessments (taking due account of the particular
circumstances of residents in Approved Premises);
• The physical security measures within the Approved Premises (lighting,
visibility in communal areas, availability of CCTV, personal assistance
alarm availability etc).
• The needs of any special employee groups (NB expectant mothers and
the newly disabled should be offered alternative day work).
The objective must be to minimise the risk to the employee and any contractor
on the premises. Where the risk is judged to be significant additional
protective measures to remedy the deficiency must be introduced. Figure 1
provides an outline of a model assessment framework for guidance.
Other Issues.
General guidance is given elsewhere in this Manual in respect of training
(NPS/HS/26), lone working (NPS/HS/21), personal assistance alarms
(NPS/HS/24), health screening (a requirement for night workers)(NPS/HS/7),
and contingency planning (NPS/HS/15).
References

1 Working hours & The Working Time Regulations, 1998 (as
rest periods etc amended)
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Figure 1: Model Night Work Risk Assessment Process Guide

NB the general task assessment must already have been completed in
accordance with NPS/HS/3 and the residual risk should be ‘moderate’ or
better. The following relates to the Offenders and the facilities within the
Approved Premise (or similar)
MODEL NIGHT WORK RISK ASSESSMENT PROCESS GUIDE

Assessing the Risk
Issue Response
(yes/no)
Assessment of individual and groups of residents or
offenders: are any judged to be of significant risk (particularly
where there is a history of violence, firearms offences etc)?
Are there any ‘natural ring leaders’ who might ferment
problems?
Are there any factors which might prompt collective violence
(alcohol, drugs, serious discontent with the accommodation,
catering, particular individuals)?
Are any communal areas not covered by CCTV?
Are any fire doors not fitted with an automatic closer system
or not provided with visibility panels?
Are there any locations where an ‘ambush’ could be
mounted?
Is the Personal Assistance Alarm system inoperable or not
accessible at all locations?
Is ‘lone working’ permitted (including shift patterns where
sleep periods are permitted), are there other staffing issues?
Any other local factors which could present a significant risk: if
so note below.
Note any additional factors:
If the answer to all the above questions is ‘NO’ then no further action is
necessary. If any answer is ‘YES’ then further action should be taken
to reduce the risk. Actions taken should be noted below:
Actions taken to reduce the risk
Name, signature & date of assessment

Name of Assessor
Signature of Assessor
Date of Assessment
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PERSONAL ASSISTANCE ALARMS Doc Ref: NPS/HS/24

It is NPS policy that Personal Assistance Alarms are available for use by
employees involved in activities where there is a risk of assault &
violence or other reason for summoning emergency assistance. The
objective of this procedure is to ensure a coherent approach to such
systems across the NPS.

applied in all NPS Areas (in respect of Estates issues) in respect of Personal
Assistance Alarms.

• Personal Assistance Alarms are available where there is a risk of assault
and violence in the workplace;
• Such systems are capable of alerting (directly or indirectly) the appropriate
authorities;
• Systems are regularly tested and appropriate records maintained;
• Faults are promptly reported (see also NPS/HS/1 re specific reporting
requirements);
• Contingency plans are in place for reaction to an alarm and for situations
where the alarms fail;
• All relevant staff are suitably trained in the use of the alarms and the action
to be taken when an alarm is activated.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: PERSONAL ASSISTANCE ALARMS
General Comments
• Personal Assistance Alarms (PAA’s) include installed systems with fixed
alarm points, installed systems with mobile alarm activators carried by
employees, telephones (mobile or landline) with a single button/speed dial
capability of dialling the emergency number, etc. Where mobile alarm
activators are used with neck lanyards etc these must be of a quick
release design.
• PAA’s are the last form of defence. As such they form a key part of a
‘defence in depth’ approach to the avoidance of assault and violence.
• The type of PAA and the location/positioning of fixed call points should be
assessed against the level of risk to the employee. All systems should be
capable of being easily activated, in an unobtrusive manner, by all
employees (taking into consideration disability issues).
• Employees should be encouraged to summon assistance as soon as they
feel the situation is significantly deteriorating.
• Alarms should be indicated in areas other than just reception areas
(particularly in respect of reception area activated alarms).
• Whilst HOPG may be responsible for installation & maintenance of PAA
systems, nonetheless, Areas (as the ‘Local Employer’) are accountable for
provision of a safe place of work. This must be taken into account in
respect of the installation of systems and the actions to be taken in the
event of a system failure.
Situations requiring alarms

The following are generalised situations where Personal Assistance Alarms
should be installed as a matter of routine:
• Approved Premises (which should have a capability of directly notifying an
external centre and, where reasonably practicable, the ability to identify
the particular location of the alarm point);
• Interview & Group rooms in NPS premises or Court/Prison Offices;
• Reception Desks;
• Unpaid Work workshops and projects (dependent on the level of risk
established (see also NPS/HS/3: Risk Assessment);
• Any other area where offenders and employees are likely to interact and
where the risk is considered sufficiently significant to warrant such a
system.
In addition, consideration should be given to means of summoning assistance
on Unpaid Work projects and during home visits (eg mobile telephones with a
single button number activation).
Notification of Appropriate Authorities.

• Where out of hours work is involved, or the risks of physical attack are
significant, the PAA system should be capable of alerting the local police.
• In other situations the alert could be restricted to within the building
involved.
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Testing.
• PAA systems should be tested at least weekly (with particular emphasis
on testing local alarm points at particularly vulnerable locations particularly
in Approved Premises and interview rooms).
• The local office/AP log should record the test and the outcome.
• Faults must be reported immediately to the line management (and to the
F.M. contract helpdesk 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.
• HOPG should have in place procedures via the F.M. contractors for
responding to a failed PAA system to ensure the problem is rectified
without delay.
• Suitable records should be kept of the use of alarms.
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PERSONAL PROTECTIVE EQUIPMENT Doc Ref: NPS/HS/25

It is NPS policy all Personal Protective Equipment (PPE) provided for
use in the workplace is fit for purpose, used, maintained and stored
correctly. The objective of this procedure is to ensure a coherent
approach to such equipment across the NPS.

applied in all NPS Areas in respect of the provision and use of personal
protective equipment by employees and offenders. Contractors are
responsible for the provision and use of PPE by their own employees.

• Where the use of PPE is identified within any risk assessment, suitable
and sufficient equipment is provided within the workplace;
• PPE is adequately stored;
• PPE is properly maintained;
• PPE is used as required by the risk assessment (failure of an individual
(employee or offender) to comply with a requirement to wear the specified
PPE is a disciplinary offence);
• All people required to wear PPE are trained in its correct use and any
limitations as to its use.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: PERSONAL PROTECTIVE EQUIPMENT
Provision of PPE
PPE includes all clothing and other safety equipment worn to protect an
individual from hazards in the workplace. It embraces overalls, aprons,
head/foot/hand/eye/hearing protection, safety harnesses etc. It does not, in
law, include protective equipment associated with vehicles (seat belts, crash
helmets etc) but the same basic principles should apply where this is used
during a work activity.
Generally the need for PPE will be identified by the appropriate risk
assessments (general, COSHH, Manual handling, Noise etc). The risk
assessment should normally only identify the use of PPE when there are no
other forms of protection available for reducing the risk. Nonetheless there
are some circumstances where a ‘blanket’ use of certain equipment is
necessary such as:
• Workshop and allied activities: where the use of safety shoes may be
appropriate;
• Construction (and similar) sites: specific legal requirements apply including
the mandatory use of hard hats.
Storage of PPE
• PPE must be stored in a manner to ensure it is fit for use (eg dry, clean etc
conditions).
• The storage should allow appropriate access for use by the intended
wearers.
Maintenance of PPE
• PPE must be maintained in accordance with the manufacturers/suppliers
instructions.
• Items of PPE should be adequately cleaned after use. Where an item
might be used by more than one person, the cleaning must take into
account hygiene factors (eg the use of appropriate cleaning wipes,
disinfectant sprays etc).
Use of PPE
• PPE must fit properly and take account of any needs specific to the
individual user.
• PPE should be visually inspected by the user before use and any obvious
defects reported. Defective equipment must be withdrawn from use
immediately.
• Where differing types of PPE are identified by different risk assessments
for the same job, care must be exercised to ensure that the overall
protection of the individual is not compromised. Examples include ‘hot
working’ (outer garments may need to be fire proof) and working in
confined environments (vision may need to be assured).
• Interfering with PPE or refusing to wear it is a disciplinary offence in any
situation.
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Training
All users of PPE must be trained in the correct use of the equipment including:
• Dressing and checking (some equipment such as respiratory protective
equipment needs to be properly donned and checked to ensure it works as
required);
• Undressing (eg the correct procedure for respiratory protective equipment
and potentially contaminated clothing/gloves etc).
• The conditions in which the equipment may be used (noting any relevant
limitations of individual items of equipment).
Other Issues.
Contractors’ employees should be provided with the relevant PPE by their
own employer. Nonetheless Area arrangements should include the need to
liaise and cooperate with Contractors to ensure that where PPE to protect
against hazards created by each others’ activities is required that this is
identified and supplied as necessary.
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TRAINING & INSTRUCTION Doc Ref: NPS/HS/26

It is NPS policy that all employees and other relevant people receive
suitable and sufficient training and instruction to enable them to perform
their duties and tasks in a safe manner. The objective of this procedure
is to ensure a coherent approach to training and instruction across the

applied in all NPS Areas in respect of training and instruction.

• Local rules & instructions are in place (and available to those concerned)
for all activities which might pose a hazard to the health & safety of
employees others who might be affected.
• All new employees (and offenders) receive initial outline induction
instruction on their first day of employment/attendance at NPS premises.
• All new employees (and offenders as appropriate) receive further detailed
induction training as soon as practicable after their first day (and certainly
within one month).
• All employees and offenders receive task specific training associated with
any task for which such training has been identified in the associated Risk
Assessments.
• All levels of supervisors and managers receive additional role specific
training relevant to the needs of the management position.
• Refresher training in all the above elements is periodically undertaken.
• Suitable records of all training are maintained.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: TRAINING & INSTRUCTION
General issues
• The training requirements apply to all employees (irrespective of grade)
and, as appropriate, offenders. Contractors are responsible for ensuring
their employees are properly trained – but Areas must liaise with the
Contractors to ensure any local hazards (eg violence and assault) are
properly covered (either by the Contractor, NOMS Property or the Area).
• Health and Safety training needs analysis should be undertaken by
management to determine specific needs.
• Training may be undertaken in-house, using external trainers (who must
comply with the terms of the Area Health & Safety Policy Manual) or
external training courses (particularly where these are accredited by, for
example, the Institute of Occupational Safety & Health (IOSH)).
Local rules and instructions

• Local rules and instructions must be simple, succinct and comprehensive.
• Wherever possible these should be written by or in association with the
people actually undertaking the work activity.
Initial outline induction instruction

• As a minimum this should cover fire & emergency warnings, exits and
procedures.
Detailed induction training

• As a minimum this should include all general issues which might affect the
individual including: local rules and instructions, who to contact for safety
advice, the role of Safety Representatives, basic training re coping with
violent behaviour, arrangements for First aid, the importance of reporting
accident & incidents, defective equipment etc.
Task specific training

• Training and instruction specific to given tasks (eg dealing with violence
and aggression, use of DSE, use of portable tools, manual handling etc).
This must be delivered prior to commencement of the work activity.
Role specific training

• Training and instruction specific to a given role (eg undertaking risk
assessments (including DSE), workplace inspections, accident & incident
reporting and investigation etc). This should be delivered as soon as
practicable after the taking up of a post requiring these skills and
knowledge.
Refresher training
• Practices, regulations and best practice develop with time. Refresher
training of all staff is thus essential whenever there are significant changes
to procedures etc.
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• Irrespective of such changes all staff should undergo appropriate refresher

training typically on a 3 yearly cycle to ensure they are fully conversant
with the current requirements.
Records
Areas should maintain records of the training undertaken by individual
employees. Case records should include the training undertaken by
offenders.
References
Ref No. Issue Referenced Source
1 Guidance on training EPIC
requirements for NPS staff Support Service /
Human Resources /
Health and Safety
Training
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USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27
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.

applied in all NPS Areas in respect of the use of equipment in the workplace.

Annex. Reference to ‘equipment’ means in all cases such equipment etc
used either on NPS premises or in association with NPS activities not on NPS
premises. Areas are required to have in place suitable & sufficient local
arrangements to ensure that all workplace equipment is:
• Used in accordance with the manufacture’s/supplier’s instructions
(including the environment in which it is or is not to be used);
• Used only by persons who have been appropriately trained or instructed;
• Accompanied by the appropriate safety marks, warning signs etc;
• Visually checked(by the operator) for any defect before its use;
• Properly maintained in accordance with the manufacturer’s/supplier’s
guidance.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: USE OF EQUIPMENT
General considerations
• Detailed guidance is available from the HSE (Ref 1).
• ‘Equipment’ includes machines, portable power tools, hand tools, lifting
equipment, ladders, scaffolding, office equipment etc.
• The key element contributing to safety is to follow the
manufacturer’s/supplier’s instructions for the use and maintenance of the
equipment. Care should be taken of any other local factors as might have
been identified in a risk assessment.
• The equipment must be suitable for the job (see also NPS/HS/19 re the
use of lower voltage electrical equipment).
• General housekeeping around fixed equipment should such as to promote
general cleanliness and tidiness.
• Training must be appropriate to the hazard potential and the
skill/experience of the operator.
• Care should be taken to prevent damage of equipment as a consequence
of exposure to the elements.
• Special care should be taken with petrol and proximity of other hazardous
materials (eg a risk of fire, explosion).
Inspection and maintenance
• All equipment is to be visually checked, by the operator, for obvious
defects before use. Defects (damaged wiring, casings, missing or faulty
guards and interlocks etc) must be reported at once to the relevant
manager/supervisor and the equipment labelled and immediately removed
from service.
• Repairs must only be undertaken by competent persons.
• Special equipment is required for cleaning certain materials eg “H filter”
vacuum cleaners for toners and heavy duty vacuum cleaners for wood
dust or wet materials.
• Pre-planned maintenance should follow manufacturers’ recommendations.
• Records should be kept of formal inspections and pre-planned
maintenance.
Special issues relating to ‘mobile equipment’
• In this context, mobile equipment includes any item which is designed to
carry or convey goods or people (mobile platforms, ‘cherry pickers’,
trolleys, self propelled equipment etc).
• Mobile equipment designed for carrying people must be fitted with suitable
devices to prevent the operator falling from the device (eg harnesses etc).
• Riding on such equipment in an unauthorised manner is a disciplinary
offence.
• Note special legal requirements relate to the use of Fork Lift Trucks.
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References
1 General Guidance HSE: ‘Safe use of Work Equipment’
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VIOLENCE IN THE WORKPLACE Doc Ref: NPS/HS/28

It is NPS policy that all work related violence and intimidation is
unacceptable. In the event of serious violence or intimidation,
prosecution will be sought through the Crown Prosecution Service. The
objective of this procedure is to ensure a coherent approach to the
health & safety issues associated with such violence across the NPS as
a contribution to a culture of proactive protection.

applied in all NPS Areas in respect of work related violence. In this context
this means violence and assault perpetrated by an offender or member of the
public upon an NPS or Contractor’s employee. Assessment of risk relating to
an offender’s likely behaviour is covered elsewhere within the NPS
procedures.

• All employees (including Contractors’ employees and Agency staff) who
come into any contact with offenders are suitably informed/trained in
handling potentially or actual violent situations relevant to the degree of
contact;
• Where reasonably practicable, work planning avoids the need for lone
working with offenders judged to be of significant risk;
• Facilities for interviewing offenders are arranged to ensure the safety of
the employee;
• Reception areas are designed to reduce the likelihood of violent assault.
Implementation.
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ANNEX 1
OUTLINE GUIDANCE: WORK RELATED VIOLENCE
General Issues
• ‘Violence and intimidation’ means a physical, verbal or attitudinal (ie non
physical, non verbal) assault by a non-employee on an employee or other
person; or a hostage situation which may or may not result in actual
physical harm to any person.
• General guidance is given elsewhere in this Manual in respect of training
(NPS/HS/26), lone working (NPS/HS/21) and personal assistance alarms
(NPS/HS/24). Where appropriate, additional guidance is given below.
• Areas should publicise the unacceptability of violence and intimidation and
the intent to seek prosecution of offenders.
• Staff involved in attacks of violence or intimidation should be properly
debriefed to ascertain the facts and identify opportunities for improvement.
Where the level of violence/intimidation is such that a formal inquiry or
investigation is required (see NPS/HS/2) the debriefing will form an input
into that inquiry process.
• Special consideration should be given in respect of evening group working
to ensure that the potential risks to all staff involved (receptionists, group
leaders, contractor’s employees on the premises etc) are taken into
account.
• Care should be exercised to avoid the unnecessary identification of staff
and their home addresses/telephone numbers etc. Name badges should
be limited to first names (commonly used in other organisations) and staff
may wish to ensure that their names/addresses/telephone numbers are
not included in publicly available registers and directories.
• Additional information is available from the Suzy Lamplugh Trust (Ref 1)
the London Chamber of Commerce & Industry (Ref 2).
Training (and counselling)

• All employees working directly or indirectly (ie receptionists) with violent
offenders must receive information on techniques aimed at handling abuse
and identifying early signs of likely violence, the means of seeking to
neutralise a deteriorating situation, and the appropriate escape routes
where these may be necessary.
• Instruction in breakaway techniques may be appropriate in some
circumstances. Generally the rule should be to withdraw from physical
conflict – prevention of personal injury is more important than prevention of
damage to property.
• Training should emphasise:
The importance of activation of personal assistance alarms before
escalation (and the contingency arrangements in the event of an alarm
sounding); and
The requirement to report incidents of violence.
These are not an indication of personal failure.
• Appropriate professional counselling must be offered to any employee who
has been subjected to an assault (verbal or physical).
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Work planning
• Particular care need to be exercised to avoid offenders or groups of
offenders coming into inappropriate contact with each other or other
persons.
• Working in pairs reduces the risk (particularly applicable to high risk
offenders/groups of offenders).
• When making home visits, plan the route, car parking and access to the
home with care. Home visits should be in normal office hours and in
daylight.
• Specific risk assessments are required when handling money or other
valuables in premises or where these need to be transported regularly
(which should be avoided – if it is necessary, vary the route & timing and
use pairs).
Interview facilities
Consideration should be given to the following:
• Convex mirrors, CCTV and vision panels in doors;
• Personal assistance alarms unobtrusively in reach (essential in nearly all
cases);
• There should be restricted access between interview rooms and general
office areas. In the event of assistance being summoned this should be
immediately available.
• Furniture arrangements (employees nearest the door) and no inadvertent
materials which could become potential missiles.
Reception areas
It is generally accepted that reception areas should be welcoming (to
minimise anxiety and reduce the possibility of violent behaviour).
Nonetheless they should be designed to ensure that adequate protection is
afforded to the reception worker. This will vary from location to location but
due account should be taken of:
• Physical barriers (ranging from simple systems designed to prevent direct
access to full toughened glass screens);
• Switchable microphone systems (which allow a degree of isolation from
verbal abuse).
General building environment

The following factors should be taken into consideration:
• Access control;
• Restricted access to general office areas in Office buildings;
• Intruder alarms;
• Corridor mirrors, CCTV etc.
• External lighting (especially in car parks, by staff entrances etc).
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References
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
3 Guidance on the EPIC
management of Support Service / Human Resources /
hostage situations Health & Safety / Health & Safety Manual
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OUTDOOR WORKING Doc Ref: NPS/HS/29
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.

applied in all NPS Areas in respect of working outdoors.

• Appropriate outdoor clothing is available;
• Suitable safety devices are immediately available in the event of an
emergency (especially with work on or near water);
• Suitable protective clothing is available in respect of biological hazards;
• Suitable welfare arrangements are available (including refreshments,
toilets and washing).
All these aspects should be addressed at the Project Assessment stage.
Implementation.
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OUTDOOR WORKING Doc Ref: NPS/HS/29
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).
• Work on farmland may carry particular risk of exposure to biological and
chemical hazards (herbicides, pesticides etc) and appropriate clothing may
be required.
• Working with some vegetation carries a risk of abrasions from thorns etc –
appropriate clothing should be worn to guard against this.
• Work on construction sites requires specific use of protective clothing (eg
hard hats) as a matter of law.
• As a general rule, when in doubt, wear gloves.
Toilets, washing and general hygiene.
• Suitable arrangements should be made for access to toilet facilities and
clean water & soap for washing hands.
• Cuts should be covered by waterproof dressings.
Allergies
• Special care should be taken in respect of any individuals with particular
allergies (eg wasp stings).
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COMPETENT PERSONS Doc Ref: NPS/HS/30

It is NPS policy that all Areas shall have access to health & safety advice
from a ‘competent person’. The objective of this procedure is to ensure
a coherent approach to the provision of such advice across the NPS.

applied in all NPS Areas in respect of the appointment of health & safety
competent persons.
stated below (‘Specific Requirements’).

Areas are required to have in place suitable & sufficient local arrangements to
ensure that:
• They have access to health and safety advice from a competent person
(the ‘Area Health and Safety Advisor’);
• Appointees as competent health & safety advisors are either employees
(though their roles may be wider than just health and safety) or provided
by an adjacent Area or external supplier (noting the importance of
recognising the special health & safety issues associated with probation
work). In all cases they must be able to provide advice as and when it is
required.
• There is, on average, at least one competent person per ~500 employees
(eg 1 competent person for ~500 employees, 2 for ~1000 employees etc
with a local judgement made for the need for any additional resources
required between these numbers, taking into account additional local
factors such as the geographical spread of facilities etc).
• The Health & Safety Advisors have direct access to the Chief Officer &
Chair on matters of health & safety importance.
• Competent persons must be suitably qualified and experienced as follows:
1. Qualified to: NVQ Level 4; or NEBOSH Diploma (part 2); or equivalent
(see also the ‘transitional arrangements’ below).
2. Have at least three years experience as a health and safety
professional.
Implementation.
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FACILITIES, TIME AND ASSISTANCE FOR TRADE Doc Ref: NPS/HS/31
UNION HEALTH & SAFETY REPRESENTATIVES
Issue number: 2 Date of Issue: 1st June 2007
Issued by Bill Wood Page 1 of 3

It is NPS policy that effective and meaningful consultation takes place
between the employer and employees. The objective of this procedure is to
ensure the continuous improvement of health and safety performance by
promoting a joint partnership approach with employees’ representatives, in
order to develop a positive health and safety culture and continue to work
towards maintaining a safe and healthy working environment throughout the
organisation.
Scope of the application
applied in all NPS Areas in respect of the provision of facilities, paid time and
assistance for Trade Union Safety Representatives to enable them to
undertake their functions.
stated below (Specific Requirements). Outline guidance on the
implementation of these are given in the Annex.

• Safety Representatives appointed by a recognised Trade Union are
provided with facilities, paid time and assistance which are necessary for
the purpose of carrying out their functions to;
o Represent employees in consultation on the health and safety
implications relating to new and existing practices, the working
environment and any proposed changes;
o Investigate potential hazards and dangerous occurrences;
o Examine the causes of accidents;
o Investigate complaints by any employee relating to health, safety or
welfare at work;
o Consult with staff;
o Carry out inspections;
o Receive relevant information;
o Attend meetings of Safety Committees;
o Attend training courses;
o Have access to appropriate facilities to carry out the role;
Implementation
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ANNEX:
OUTLINE GUIDANCE REGARDING FACILITIES, TIME AND ASSISTANCE
FOR TRADE UNION HEALTH & SAFETY REPRESENTATIVES
General Guidance
This Annex provides general guidance for compliance with the Specific
Requirements of this arrangement, specific details and guidance on the legal
requirement is contained in Reference 1.
Facilities
• Trade Union Safety Representatives must be allowed reasonable access
to the following;
o Office equipment (computer, telephone, etc.)
o Suitable and secure storage facilities for health and safety
documentation
o Interview facilities (which may need to be private)
Paid Time
• The Regulations provide for Trade Union Safety Representatives to have
time off with pay for training. There is also a requirement to provide;
“Time off with pay during working hours as shall be necessary for the
purpose of performing their functions”
The time will be used mainly in the fulfilment of the following functions;
o Inspection of Probation workplaces;
o Consultation with staff, individually and through union meetings.
o Attendance at Safety Committee meetings;
o Attendance at and preparation for Trade Union Health and Safety
meetings;
o Investigation of accidents/incidents and complaints.
Assistance
The time taken by Trade Union safety representatives to undertake their
functions should, where possible, be factored into their workload. As a
guide, to quantify the time that may be necessary to undertake the
functions and to assist workforce planning arrangements, the following
may be considered;
o Office inspections, travel and report writing. 1½ days per

inspection
o Working party or sub committee, Inc travel. 1 day per
meeting
o Trade Union Safety Representatives’ meeting ½ day per
meeting
o Trade Union Branch meeting ½ day per
meeting
o Training (TUC Safety Representatives) 10 days
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o Training (TU Health and Safety update) 2 days per

annum
o Response to complaint, Accident/Incident Inspection Unpredictable
Note; certain situations may arise which are unpredicted and actions
needed to be taken as and when.
Safety Representatives should wherever possible give advanced
notification to the employer of their planned functions.
References

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

It is NPS policy that in the event of employees being contractually required or
authorised by local agreement, to undertake ‘Home Working’, this is done
with due regard for the health and safety of the employee and any other
person potentially affected by the work.
The objective of this procedure is to ensure a coherent approach to such work
across the NPS as a contribution to a culture of proactive protection.

The requirements set out in this procedure present the best practice to be applied
in all NPS Areas in respect of all employees who are contractually required or
authorised by local agreement to work at their own home as a regular part of their
work activities (i.e. ‘Home Working’). It does not apply to employees who choose
to undertake additional work at home outside their normal office hours.
The mandatory elements of best practice which must be implemented are stated
below (Specific Requirements). Outline guidance on the implementation of these
is given in the Annex.

arrangements to ensure that, before Home Working is undertaken:
• The employee’s home has suitable accommodation for the work to be
undertaken with due regard to general health and safety considerations for
themselves and others.
• All hazards to health and safety of anyone who may be affected by the activities
are properly identified.
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HOME WORKING Doc Ref: NPS/HS/32
• The resultant risks are evaluated, the adequacies of existing levels of protection
are assessed and additional control measures introduced as necessary.
Specific assessment may be needed for new and expectant mothers, disabled
people and people with health issues.
• The Risk Assessment is periodically reviewed and revised as necessary in
accordance with NPS/HS/03.
• Suitable arrangements to ensure security of information both in storage and in
transit.
• Appropriate materials and equipment are supplied and installed for the work to
be undertaken.
• Specific advice is available from the Area Health & Safety Advisor.
Implementation.
ANNEX: OUTLINE GUIDANCE RE HOME WORKING
Introduction
The Health & Safety at Work etc Act 1974 (HSWA) places duties on employers,
self employed people and employees. Under HSWA, employers have a duty to
protect the health, safety and welfare of their employees, including Home Workers.
Most of the Regulations made under HSWA apply to Home Workers as well as to
employees at the workplace.
The Management of Health and Safety at Work Regulations 1999 require risk
assessments of work activities to be undertaken, this also applies to Home
Workers. Employers have a duty to ensure that the possibility of harm to the
employee or to anyone else that may be affected by their work activity is eliminated
or minimised so far as is reasonably practicable. The following general guidance
should be applied within the NPS.
General Issues
• Home Working impacts on other members of the household. Home working
should thus not be undertaken without considering the impact on those
household members.
• Face to face work with offenders must not be undertaken within an employee’s
private home.
• Employees should conduct their work with due regard to their own health and
safety and that of others potentially affected by their work as if they were
working within NPS premises.
Assessment of Risk
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The NPS Health and Safety Policy document (Ref: NPS/HS/3) provides guidance
on the requirements and method for Risk Assessment. However there may be
other hazards either within the home or arising from the activities of Home Working
which may not be immediately recognised. The following list contains references
to some of those potential hazards and risks. (It is not exhaustive or restrictive):
Accommodation and Environment

• Lighting, heating, ventilation: Are these adequate and sufficient?
• Noise: is this excessive?
(Ref: Workplace Health, Safety and Welfare Regs 1992)
Use of Substances and Materials in the home

• Any materials or substances provided by the employer must be COSHH
assessed and appropriately stored. It will be necessary to consider appropriate
control measures in relation to handling and spillage.
(Ref NPS/HS/10 COSHH Risk Assessment)
Provision and use of equipment

• Equipment provided must be appropriate, regularly checked and tested.
(Ref Provision and Use of Work Equipment Regs.1992)
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• All electrical equipment used for work activities must be regularly checked,
tested and maintained.
(Ref NPS/HS/19 Electricity at Work) and (HSE: Portable Electrical
Equipment INDG 236)
• Where Home Working involves the manual handling of equipment or materials
a manual handling risk assessment should be undertaken.
(Ref NPS/HS/22 Manual Handling Risk Assessment)
• Home workers who use a display screen as part of their work will require a DSE
workstation assessment in accordance with NPS National policy.
(Ref NPS/HS/18 Display Screen Equipment)
Further legislative requirements

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

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

It is NPS policy that work involving new and expectant mothers is subject to an
appropriate individual risk assessment. The objective of this procedure is to
ensure a coherent approach to such work across the NPS as a contribution to a
culture of proactive protection. (Annex 1 provides the definition of ‘new &
expectant mothers’.)
The requirements set out in this procedure present the best practice to be applied in all
NPS Areas in respect of the assessment of risk for new and expectant mothers who are
employees of the NPS whether engaged in activities on NPS premises or elsewhere.
It does not apply specifically to either:
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NEW AND EXPECTANT MOTHERS Doc Ref: NPS/HS/33
• Contractors’ etc employees employed on NPS premises although there is a legal

requirement for the Area concerned to liaise with the Contractor when such an
employee notifies their employer that they are a new or expectant mother;
• Persons for whom the Area has supervisory responsibilities (ie offenders & other
service users) although when such a person notifies their Supervising Officer that
they are a new or expectant mother this must be taken into account as part of the
case management process.
The mandatory elements of best practice which must be implemented are stated below
(‘Specific Requirements’). Outline guidance on the implementation of these is given in
the Annexes.
The following are statements of best practice to be applied across the NPS. Outline
guidance on best practice for implementation is set out in the attached Annexes. Areas
are required to have in place suitable & sufficient local arrangements to ensure that:
• All employees are aware of the need to notify the employer (in writing and, where
applicable, supported by a medical certificate) without delay when they become a
new or expectant mother.
• A review of the specific work, processes and working environment is undertaken
by the relevant line manager by means of a further risk assessment as soon as
practicable on being informed of the situation (See Annex 2).
• The employee is personally involved in the Risk Assessment process.
• The resultant additional risks are evaluated and additional levels of protection
implemented as necessary.
• The line manager and employee regularly review that assessment during the
period of the pregnancy/breast feeding etc. (See Annex 2).
Implementation.
Consistency with the guidance aspects and compliance with the mandatory aspects of
this Arrangement must be demonstrated by all Areas.
Annex 1: General Introduction & Definition of Terms
Definition of Terms
For the purpose of this arrangement, the HSE’s definition has been used. Accordingly a
‘New or Expectant Mother’ is defined as someone who is currently either:
• Pregnant; or
• Breast feeding; or
• Has given birth within the previous six months.
HSE define ‘given birth’ as ‘delivering a living child or, after 24 weeks of pregnancy, a
stillborn child’. Note also that ‘breast feeding’ may relate to the breast feeding of a child
of another mother.
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HSE have also stated that:

‘Pregnancy is not an illness. It is part of everyday life and its health and
safety implications can be adequately addressed by normal health and
safety management procedures’
This is recognised by the NPS and this Arrangement reflects this approach.
Duties of Employees
When an employee becomes pregnant, is breast feeding or has given birth within the
past 6 months they must inform their line manager without delay. In practice this
means that they should provide their employer with a written note together with, if
applicable, a certificate from their medical adviser (eg GP, Midwife or possibly the local
Occupational Health Adviser). The medical certificate will identify any particular
individual issues to be taken account of by the Area. Medical certificates are
specifically required where the employee is a night worker or where the medical advisor
has identified to the employee that certain work activities should not be undertaken.
The employee must be involved in the consequential ‘New & Expectant Mothers Risk
Assessment’ (see Annex 2) to ensure that their individual circumstances are properly
taken into account.
Duties of the Employer

There is a statutory obligation to undertake a detailed risk assessment (see Annex 2)
when an employee has informed her management that she is a new or expectant
mother. HR departments should liaise with line managers to ensure that this is
undertaken as advised in this Arrangement.
Irrespective of the level of risk identified, the Area will ensure that, when an employee
has informed their line management that they are a new or expectant mother, the
relevant facilities are made available as follows:
• Appropriate rest facilities. In particular, this should include the facility for an
expectant mother to sit or lie down comfortably, in privacy and without
disturbance – a first aid room may provide the appropriate facilities.
• Additional rest periods should be agreed.
• A source of drinking water must be readily available.
• HSE recommend it is good practice to provide a private, healthy and safe
environment for nursing mothers to express and store milk (this is not a legal
requirement however, toilets must not be used for this purpose). They can form
a part of the rest facility noted above.
• Consideration must be given to the general work environment to take account of
accessibility, comfort etc particularly during pregnancy (eg work stations, chair
types etc to ensure the welfare of the expectant mother).
These matters are covered as a checklist in the Model NEM Workplace Review & Risk
Assessment Format set out in Annex 2 (Figure 2.1)
Related Issues
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This Arrangement refers specifically to employees who are themselves ‘new or

expectant mothers’. In certain related circumstances the Arrangement should be used
to provide guidance on good practice to be adopted. In particular this might be of value
in respect of a newly adopted mother where the child is less than 6 months old.
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Annex 2: New & Expectant Mother Risk Assessments

Introduction
Irrespective of the pre-existing risk assessments for the work location/activities with
which the employee is involved a specific ‘New & Expectant Mother Risk Assessment’
(called an ‘NEM Risk Assessment’ for the purpose of this Arrangement) must be
undertaken as soon as practicable after notification by the employee. This must be
specific to the individual employee. This Annex provides guidance on how these
assessments should be undertaken.
The Objective of an NEM Risk Assessment

The primary objective is to determine if there are any additional matters of relevance
that may be required as a consequence of the employee’s current situation. Pre-
existing risk assessments will have taken into consideration the general question of new
& expectant mothers but not necessarily the particular circumstances of a particular
individual. The objective is, thus, to determine what additional precautions may be
necessary. In all cases the objective is to protect the health & safety of the employee
and the child. Where the employee has provided a medical certificate full account must
be taken of any restrictions identified on that certificate.
Who should undertake the NEM Risk Assessment?

The following people should be involved (or be invited to be involved) in the
assessment (noting that, with the exception of the employee herself, this must be
subject to the agreement of the employee):
• The assessment must be led by the appropriate line manager (noting that the
employee may wish this to be a female manager).
• The employee must be involved in the assessment to ensure that their individual
circumstances are properly taken into account.
• The appropriate Appointed Trades Union Safety Representative should be
consulted and invited to be involved (with the agreement of the employee.
• The OH Adviser, the H&S Adviser and HR Manager should be informed and, as
necessary, involved (with the agreement of the employee).
Evaluating the Initial Risk

Figure 2.1 sets out a model NEM Workplace Review & Risk Assessment format
indicating the matters to be considered and assessed. In undertaking the specific NEM
Risk Assessment the following information should be taken into account:
• Pre-existing risk assessments (ie: General, Manual Handling, COSHH,
Biological Hazards, DSE assessments) which will provide general background to
the process.
• Any information provided by the employee’s personal Medical Advisers or the
Area Occupational Health Advisor.
• Close attention must be paid to the risks inherent to the particular working
environment to the individual employee and her unborn child.
In assessing the risk, consideration should be taken of:

1) The nature of the possible harm (three levels are given in respect of new &
expectant mothers).
• Slightly harmful to mother/child (ie no significant or lasting harm)
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• Moderately harmful to mother/child (ie there is a risk of harm sufficient to

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

Following the evaluation of the initial additional risks (if any) an assessment of remedial
actions should be completed (as per the model format). In the particular case of NEM
Risk Assessments these will need to consider:
• Modifying the task requirements;
• Modifying the working environment;
• Modifying the work patterns;
• Providing alternative work;
• In extreme cases suspending the employee on paid leave for as long as
necessary – this must be considered as a ‘last resort’ option where no
alternative work can be provided.
The level of actions required will depend on the level of risk identified.
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The actions taken will have reduced the level of risk to either ‘moderate’ or ‘minimal’.
However, as a prudent employer and irrespective of the actions taken, reasonable
consideration should also be taken of the perception of the employee in respect of the
residual risk. The following provides guidance in this respect.
1) Where the residual risk is ‘moderate’ following proposed modification to the task
requirements, working environment or work patterns, reasonable consideration
should be given to alternative employment where this is specifically requested
and particularly where the employee's medical advisor considers this would
benefit the health & safety of the mother or child.
2) Where the residual risk is ‘minimal’ following the proposed modification to the
task requirements, working environment or work patterns, consideration should
only be given to alternative employment where this is supported by specific
written advice from the employee’s medical advisor.
3) Irrespective of the level of residual risk (minimal or moderate) the employee
should have the facility to discuss with their line manager if they are concerned
that the circumstances of a particular task are such that they are concerned for
the health and safety of themselves or their child – and may be concerned about
proceeding with the allotted task. The Area OH/H&S Advisor will be able to
assist in such cases.
In all cases, the remedial actions must be implemented without delay
Reviewing the NEM Risk Assessments

The risk assessment should be regularly reviewed during the period to which it applies.
Reviews should be undertaken:
• Periodically as the pregnancy progresses. In the early stages of pregnancy this
might be every 4 – 6 weeks but with a shorter periodicity in the later stages.
Reviews post birth or during breast feeding would not normally be required at
shorter time intervals.
• If, in the meantime, the individual notifies the employer of significant clinical
changes;
• If, in the meantime, the nature of the job changes or there are other reasons to
believe the assessment is no longer valid.
The review should be recorded (eg in the space provided in the Model Format set out in
Figure 2.1) where no changes are identified or by completing a new assessment form
where changes are required.
Maintaining Records
Areas should maintain a copy of the NEM Workplace Reviews and the NEM Risk
Assessments (Figure 2.1 provides a model format) for the duration of the period to
which they apply. Guidance on maintaining records for longer periods is set out in the
General Introduction to the National Health & Safety Policy Manual.
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Figure 2.1: Model Review and Assessment Format

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

Harm Low Intermediate High
Slightly Minimal Minimal Moderate
Moderately Minimal Moderate Significant
Very Moderate Significant Intolerable
RESULTS OF ANALYSIS
Existing Protection Systems in Place:
Additional General Workplace Requirements and

Further Risk Reduction Protection Measures Identified
Identified Measures (resources must be Responsible Date for
concentrated on the most significant risks) Person completion
Comments re Final Risk Evaluation (note re-evaluated risks):
Key Signatures and Date of Initial Assessment

Signature of Employee
Date of Assessment
Review Program
Distribution
Line Manager Safety Representatives Employee
H&S Adviser OH Advisor HR Manager
It is NPS policy that appropriate occupational health assessment and support is
provided for all employees. The objective is to provide a positive contribution to a
culture of proactive health promotion to improve the health and well being of our
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OCCUPATIONAL HEALTH ASSESSMENT AND Doc Ref: NPS/HS/34
SUPPORT
employees. This in turn will improve the quality of organisational performance and
service delivery.

This procedure identifies the role of Occupational Health in supporting the above
policy. The requirements identified below represent the best practice to be applied in
all NPS Areas in respect of the delivery by Occupational Health (OH) of health
assessment and associated support of NPS employees. It does not apply to
offenders or other members of the public or to contractors’ employees.
The elements of best practice which must be implemented are stated below (‘Specific
Requirements’). Detailed statements for the implementation of these are given in the
annexes, some of which are essential (and must be applied by all Areas), some are
for guidance.

The following are statements of best practice to be applied across the NPS. Detailed
means of compliance are set out in the annexes to this procedure and are designated
as being either: ‘essential’ (ie must be applied); or ‘guidance on best practice’. Areas
are required to have in place suitable and sufficient local arrangements to ensure that:
• Pre-employment health assessment is undertaken for all new employees. (Annex
1 specifies the essential minimum standards and associated guidance).
• A review of the health assessment is undertaken when an employee who is
subject to any previously agreed health related work adjustments is required to
undertake a significant change in their duties. (Annex 2 sets out the relevant best
practice guidance).
• Consideration is given to undertaking pre-placement (ie changes of role or
location) health assessments for all significant changes in respect of existing
employees. (Annex 2 sets out the relevant best practice guidance).
• Specific routine health assessment is undertaken in respect of specified
employees. (Annex 3 identifies the specified groups of employees and the
essential minimum standards).
• Where reasonably practicable, appropriate advice on personal and life-style health
issues is made available to employees. (Annex 4 sets out the relevant best
practice 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.
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SUPPORT
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.
Objectives of Pre-Employment Health Assessments

Consistent with the overall NPS Health and Safety Policy Statement it is essential
that, in providing a safe and healthy work environment, due account is taken of any
particular health related needs of all potential employees to ensure they are not
discriminated against. These may arise as a consequence of current or pre-existing
health or disability issues and may include the identification of physical
arrangements/adjustments to the workplace or a requirement for the individual to
routinely reviewed by the OH Practitioner. It should be noted that an offer of
employment may be withdrawn as a consequence of personal health related issues.
These will normally only relate to situations where, in the opinion of the OH
Practitioner, there is a clear risk that the working environment could exacerbate a
health condition to the detriment of the applicant. (NB the definition of an OH
Practitioner is given in NPS/HS/7.)
Essential Requirements for Pre-Employment Health Assessments

All Areas are required, by this Arrangement, to have in place suitable and sufficient
local arrangements to ensure that:
1. All persons being considered for employment are required to provide
appropriate information regarding their current and past states of health.
2. The initial Pre-Employment Health Assessment will be undertaken by means
of a questionnaire.
3. The nature of the information required includes all the elements set out in the
model questionnaire format given in Annex 1.1 (noting that use of this form
and format is not an essential requirement).
4. The information provided by an applicant is subject to a level of confidentiality
consistent with other HR related personal information (note that special
provisions are required within the Data Protection Act for such ‘sensitive’ data).
5. Where the information is handled other than by an OH Practitioner the persons
handling the data must conform with HR confidentiality requirements at all
times.
6. Where any applicant has answered ‘yes’ to a question, this must be referred to
the OH Practitioner for advice/further inquires.
7. The applicant must be made aware of who will have access to the information.
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Specific Guidance for Pre-Employment Health Assessments

The following notes provide specific guidance to Areas in respect of the process of
undertaking pre-employment health assessments. Whilst these are given for
guidance purposes, it is stressed that they are consistent with current best practice
and provide an appropriate framework for ensuring that confidentiality issues are not
compromised.
1) The General Process
Anyone who is given an offer of employment must be asked to complete a Pre-
Employment Health Questionnaire. As noted previously, this is to ensure that due
account is taken of any particular health related issues at the earliest opportunity.
Only where appropriate (and taking account of the advice of an OH practitioner) will
employment be declined as a consequence of personal health related issues.
2) Model Questionnaire Format
Annex 1.1 sets out a model ‘Pre-Employment Health Assessment Questionnaire’.
This is in an AT accessible format so that it can be provided to applicants in an
electronic format. Areas may choose to use an alternative format to include additional
local information (eg the job requirements), but (as noted above) all the elements
included in the model form should be included. This includes not only the questions,
but also the positive style of the approach which is aimed at ensuring a correct
response from the applicant. Notwithstanding this, the caveat re providing incorrect
information should also be included.
3) Reviewing the Questionnaire
The following guidance provides a ‘good practice’ approach to processing completed
questionnaires. Unless an Area’s preferred approach is that all such questionnaires
are returned to the OH Practitioner (in which case the process effectively starts at
point ‘c’ below), the following process should be followed.
a) The completed questionnaire is returned to a nominated HR contact point. The
applicant also has the option to provide additional information which can only
be seen by the OH Practitioner.
b) Where all questions (eg using the model format in Annex 1.1) are answered in
the negative, and there is no enclosed communication for the OH practitioner,
there are no identified issues.
c) Where any question is answered in the affirmative, or there is an enclosed
communication for the OH Practitioner, the questionnaire together with the
relevant job requirements must be referred to the OH Practitioner to determine
if any specific work requirements should be identified.
d) An OH Nurse may refer the case to an Occupational Health Physician for
further advice.
e) As appropriate, the OH Practitioner (nurse or physician) may need to
interview/examine the candidate prior to providing the appropriate information.
This will be at the discretion of the OH Practitioner.
f) All completed questionnaires and advice from the OH Practitioners should be
maintained by HR on the individual’s personal file. Information provided within
the terms of medical confidentiality must be retained by the OH Practitioner.
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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.
Firstly, some questions about your general health

Do you or have you ever suffered from any of the YES/ Please include any brief
following: NO comments here (e.g. This is a
current or past matter)
Allergic conditions (e.g. hay fever, wasp stings, nuts,
medication)
Back, muscle or joint pain (e.g. arthritis, MSD/RSI)
Blood disorders (e.g. anaemia, haemophilia)
Any breathing disorder or lung condition including
bronchitis, asthma, TB or pneumonia
Cancer
Diabetes
Drug or alcohol dependency
Ear, nose or throat disorders (other than minor
infections)
Eye disease or infections (other than minor infections)
Fits, fainting, migraine, or dizziness
Heart disease or circulatory disorder including angina
and high/low blood pressure
Hernia
Immune systems disorder (e.g. HIV, SLE)
Stomach or bowel disorders (other than minor
infections)
Gall bladder/liver disease (e.g. hepatitis, jaundice)
Kidney disease
Skin problems (e.g. eczema, psoriasis, dermatitis)
Stress, anxiety, depression, nervous debility
Tingling or numbness of hands or arms caused by
work with vibrating equipment
Vertigo
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Model Pre-Employment Health Assessment Questionnaire

Please include any brief
YES/
Please also answer all the following questions comments (e.g. This is a
NO
Are you dyslexic?
Do you have epilepsy?
Do you have poor eyesight? (other than corrected by
spectacles)
Do you have hearing difficulties?
Do you have any mental health problems? (other than
identified in the previous questions)
Do you have difficulties with mobility?
Do you have any difficulties with manual dexterity?
(e.g. ‘upper limb disorder’)
Have you ever had any illness which was caused or
made worse by your work? If so, please say what this
was and when.
Has a medical advisor (e.g. your GP) ever advised you
not to do certain types of work? If so, please say what
this was and when.
Have you ever been exposed to violence or other
traumatic situations at work?
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.
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Model Pre-Employment Health Assessment Questionnaire

It is sometimes helpful to us to be able to contact your own medical advisor (e.g. your GP). However,
you do have particular rights under the ‘Access to Medical Reports Act 1988’ regarding access to your
own medical advisor (See summary below). Please consider if you would be happy for us to contact
you own medical advisor and then sign the appropriate following options.
Your Options (please read the summary notes at the Please sign as appropriate
bottom of this page before completing these questions)
1. I do not wish you to contact my medical advisor
2. I have read the summary to my rights under the
‘Access to Medical Records Act 1988’ and I consent
for you to contact my medical advisor and for the
report to be supplied without me seeing it first
3. I have read the summary to my rights under the
‘Access to Medical Records Act 1988’ and I consent
for you to contact my medical advisor but I wish to
see the report before it is released
If you have agreed to either option 2 or 3 above, please enter the details of your medical advisor below.
Otherwise, please leave these details blank.
Name of your Medical Advisor

Their Address
Their telephone number
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.
Please print your full name

Please sign your name here
Please write the date here
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.
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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
Objectives of Pre-Placement Health Assessments

The objective of the process is to ensure that due account is taken of any particular
health related needs of any employees involved in significant changes to their role to
ensure they are not discriminated against.
Guidance re Significant Change

In assessing the need for a review of pre-existing work adjustments (or in the event of
a local agreement to undertake routine pre-placement health assessments in respect
of significant changes of role or location) the following sets out guidance on
determining ‘significant change’:
• The physical requirements of a role. For example: sedentary to/from non
sedentary work; where the new role requires a high degree of physical activity
(especially lifting or carrying) where none or little was previously required; or
from a role requiring little or no use of DSE to one requiring intensive DSE
usage (eg data entry).
• The contact with offenders. For example: moving from a working environment
which involves no regular contact with offenders to one where regular contact
is a requirement.
• The level of responsibility. For example: moving from a role with little or no
responsibility for management (staff or systems) to managing a large team or
complex systems (eg Probation Officer to Senior Probation Officer).
• The work location and/or environment. For example: moving from court based
work to Approved Premises; or moving from working with groups on
programmes to groups undertaking unpaid work in the community. This
requirement will not apply to simply moving from one location to another where
the work is broadly the same unless there are previously agreed health or
disability related workplace adjustments.
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Guidance re the Review of Previously Agreed Health Related Work Adjustments

Pre-existing provisions relating to an individual must be reviewed when that individual
undertakes any significant change to their role/location that could have an impact on
those previously identified. The line manager (for the new role), the individual and the
OH practitioner and, as appropriate, HR should review the requirements and agree
any required modifications together with how these will be delivered. The individual
has the right to, and should be given the opportunity to, consult with a Trades Union
appointed Safety Rep during these discussions.
Guidance re Implementing Routine Pre-Placement Assessments

It is recommended that the Area Joint Health & Safety Committee considers whether
to advocate, to the Area management, the implementation of routine pre-placement
health assessments for significant changes in role/location. Where an Area decides to
implement pre-placement health assessments it is further recommended that the
approach taken be based on that set out in Annex 1 of this Arrangement (ie ‘Pre-
Employment Health Assessments’).
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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’).
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
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Requirements applicable only in limited circumstances (as ascertained from

risk assessments or other local information):
a) Employees identified from COSHH risk assessments (see NPS/HS/16 -
employees should not normally be working with materials or in an environment
where health assessment is required).
b) Employees identified from noise risk assessments (employees should not
normally be working in an environment where the noise level is such that health
assessment is required).
c) Employees affected by vibration (employees should not normally be working in
an environment where the vibration level is such that health assessment is
required).
d) Employees who are authorised to drive fork-lift trucks for the NPS (the use of
fork-lift trucks is limited to a few Areas).
e) Employees who are new or expectant mothers (see NPS/HS/33 – other than
the requirement for NEM risk assessments, there should not normally need to
be any additional health assessment other than that undertaken by the
individual’s GP/Obstetrician).
The detailed minimum requirements (where they are locally required) are set out in
Annex 3.2.
In each case the provision should be on the basis of being either:

• ‘Made available’ to relevant employees (who may exercise an option not to
take advantage of the offered assessment – in which case this should be
recorded in the relevant HR records); or
• ‘Without exception’ (ie where all identified employees must be subject to the
appropriate assessment).
The detailed guidance given in Annexes 3.1 and 3.2 identifies which option is
applicable in each case.
NB Where any OH assessment issues are identified in respect of:

• Offenders (or other members of the public) – the individual(s) must be advised
to contact their General Practitioner
• Contractor’s etc employees – these must be referred to the individual’s
employer.
In both of these cases the facts should be appropriately recorded (and retained for
an appropriate period dependent on the circumstances and local requirements).
Retrospective Health Assessments

Where individual employees are not currently subject to the appropriate health
assessments as identified above (eg because this had not previously been available),
the appropriate assessment should be undertaken as soon as is reasonably
practicable following the implementation of this Arrangement (and certainly within a
time period bounded by the relevant frequency requirement).
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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.
a) Employees required to work at night

To be made available
Triggers 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’.
Frequency of Annual – or more frequently if advised by the OH
assessment Practitioner.
Specific Assessment • Initial questionnaire (see Annex 3.3 for a model
questionnaire).
• Follow up consultation with OH Practitioner if triggered by
positive questionnaire responses.
Person qualified to • Initial questionnaire: a nominated member of HR
undertake the • Any questionnaire returned with a positive answer or
assessment inclusion of information marked for the attention of the
OH Practitioner must be referred to the OH Practitioner
for advice.
b) Employees identified from biological contamination risk assessments

A ‘without exception’ requirement
Triggers Employees identified from the relevant Biological
Contamination Risk Assessment (NPS/HS/4).
Frequency of As identified by the Risk Assessment or advised by an OH
Specific Assessment The specific assessment will be dependent on the
substances involved. The OH Practitioner will be
responsible for identifying the appropriate assessment
regime in consultation, as appropriate, with the H&S
Advisor.
Person qualified to The OH Practitioner will be responsible for identifying the
undertake the appropriate persons qualified to undertake the relevant
assessment assessments.
Footnote:
Specific requirements re exposure to Hepatitis B/C & HIV (eg needle stick or
potentially contaminated puncture wound injury) and TB are covered in NPS/HS/4.
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c) Employees working with display screen equipment

Triggers Display Screen Equipment users as defined in ‘A Guide to
the Health & Safety Aspects of IT Management for the
National Probation Service’.
Frequency of Every 2 years; or
assessment When there is a significant change of workstation/
equipment; or
When advised by an optometrist or medical practitioner.
Specific assessment Eyesight test (ie visual acuity) and eye examination.
NB a preliminary ‘mid-range vision’ eyesight screening test
can be carried out to determine if a full eyesight test is
required (noting that this does not remove the obligation to
provide, on request, an eye examination).
Person qualified to • Preliminary eyesight test: OH Practitioner.
undertake the • Full eyesight test: Qualified Optometrist.
assessment • Eye examination: Qualified Optometrist or physician.
(Note: an OH Provider may be able to provide both an
eyesight test and an eye examination capability).
d) Employees driving on behalf of the NPS

Triggers Employees required (or likely to be required) to drive on
behalf of the NPS either:
• more than 10,000 miles per year; or
• for more than 500 hours per year; or
• NPS vehicles designed to carry passengers (other than
cars and small vans).
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 drive; or
If the individual believes there has been a material change
in his/her health; or
If advised otherwise by an OH Practitioner.
Specific • Initial questionnaire based on the DVLA requirements for
assessment LGV drivers (see Annex 3.4 for a model questionnaire).
• Follow up consultation with OH Practitioner if triggered by
positive questionnaire responses.
Person qualified to • Initial questionnaire: a nominated member of HR
undertake the • Any questionnaire returned with a positive answer or
assessment inclusion of information marked for the attention of the
OH Practitioner must be referred to the OH Practitioner
for advice.
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e) Employees experiencing trauma as a result of their work

Triggers Employees working in contact with particular offenders
(eg domestic violence, sexually related crimes) or where a
risk assessment identifies particular individuals at risk.
Frequency of • Employees with regular contact: annual plus specific
assessment counselling as and when needed after particular contact.
• Employees not in regular contact: specific counselling as
and when needed after particular contact (NB this will
include ‘one off’ episodes).
Specific The specific assessment will be dependent on nature of the
tests/examination trauma involved. The OH Practitioner will be responsible for
identifying the appropriate assessment regime in
consultation with the local EAP provider and the individual
concerned.
Person qualified to Qualified Employee Assistance Programme (EAP)
undertake the Practitioner/OH Practitioner (where suitably qualified).
assessment
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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).
a) Employees identified from COSHH risk assessments

Triggers Employees identified from the relevant COSHH assessment
(NPS/HS/16).
Frequency of As identified by the Risk Assessment or advised by an OH
Specific Assessment The specific assessment will be dependent on the
substances involved. The OH Practitioner will be
responsible for identifying the appropriate assessment
regime in consultation with the H&S Advisor and the
supplier/ manufacturer of the relevant materials.
undertake the appropriate persons qualified to undertake the relevant
assessment assessments.
b) Employees exposed to noise as identified from risk assessments

Triggers Employees exposed to a level that exceeds the relevant
regulatory requirements for health assessment.
Frequency of Annual (or more frequently depending on previous history –
assessment the OH Practitioner will advise).
Specific assessment Audiometry.
Person qualified to Trained Audiometry Technician in consultation with an OH
undertake the Practitioner. The results should be assessed by an OH
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c) Employees affected by vibration

Triggers Employees exposed to a level that exceeds the relevant
regulatory requirements for health assessment
Frequency of Generally annually unless otherwise identified by the Risk
assessment Assessment or advised by an OH Practitioner.
Specific The Stockholm workshop scales should be used to classify
tests/examination HAVS symptoms as per HSG 88. The OH Practitioner will
be responsible for identifying the appropriate test and
examination regime in consultation with the
supplier/manufacturer of the relevant equipment.
undertake the appropriate persons qualified to undertake the relevant tests
assessment and examinations.
d) Employees who are authorised to drive fork-lift trucks for the NPS
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.
undertake the appropriate persons qualified to undertake the relevant tests
assessment and examinations.
e) Employees who are new or expectant mothers

Triggers Employees notifying their line manager of their status.
Frequency of As required by the relevant NEM risk assessment.

assessment
Specific As agreed between the OH Practitioner and the employee’s
tests/examination GP/Gynaecologist. (Note that this only relates to specific
OH issues. General employment matters remain the
responsibility of the relevant HR/Line Managers and general
health matters the responsibility of the individual’s personal
medical advisors.)
Person qualified to OH Practitioner.
undertake the
assessment
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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.
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.
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.
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ANNEX 3.4
Model Driver Health Assessment Questionnaire

(NB this format is for guidance only)
Page 1 of 2
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 requirement for
you to drive certain Area vehicles it is thus very important to us to be able to make any appropriate
adjustments to your proposed 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 the HR and Occupational Health Departments and treated in full
confidence.
You must answer all the following questions if they relate to any current or past (at any time) health
issues. Please answer the questions by ticking the appropriate spaces. 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.
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.
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
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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
Dementia (including severe problems with memory
or confusion)
Sleep disorders
Any other condition which you believe could impair

your ability to drive or might require appropriate
arrangements to be made (eg as a consequence of
mobility, difficulty in the use of your arms or legs, a
hearing difficulty etc)
Finally, have you ever been advised by a medical
practitioner not to drive?
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.
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.
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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.
Routine health assessments (general ‘annual medicals’)

OH professionals currently advise that routine health examinations provide no overall
net benefit. Responsibility for general health rests with the NHS. The exception to this
is where specific issues are identified from (for example) sickness absence data which
indicate that specific groups of people would benefit from identified assessments.
Where this can be readily resourced by the OH Practitioner then consideration should
be given to the introduction of appropriate targeted assessments aimed at improving
health in the identified population. Typical examples might include specific health
promotion initiatives (eg cholesterol and blood pressure testing for particular
demographic groups) in conjunction with local NHS facilities (eg Primary Care Trusts).
Provision of advice on general life-style issues

Life style issues can and do affect the general health of NPS employees. Whilst (by
definition, as people in employment) employees will be expected to enjoy better health
than the average population, nonetheless advice on lifestyle issues can further
improve health. In particular, improving general health is a key contributor to reducing
absence and is a valuable input to the general morale and culture of the organisation.
However, since the level of OH resource available may be limited, the provision of
such advice must only be undertaken where the essential aspects of OH provision (set
out in this arrangement and elsewhere) have been fully delivered. Where resources
permit, the provision of the advice should be informed by information gained from
sickness absence data to ensure the best use of those resources.
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Provision of advice on personal health issues

Whilst the availability of an OH professional in the workplace provides an ideal
opportunity for Areas to support employees through the provision of direct face to face
or telephone help-line advice on personal health issues, nonetheless the role of
‘primary health care’ rests not with the OH practitioner but with the local NHS
providers.

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.
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.
• 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).
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• 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
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:
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• 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 provided guidance 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.
Nature of Ill-health in Employees

In considering the role OH should have in supporting a sickness management
programme it is important to have regard for the various causes of ill-health. The
causes of sickness, ill-health and associated absence are multi faceted. In
practical terms this means that there is usually no single ‘fix’. The approach to
supporting a sickness absence programme must therefore take account of all the
relevant issues. Notwithstanding this, analysis of data by a number of groups
external to the NPS leads to the conclusion that the 5 principal forms of ill-health
(and hence potential for absence) in non-manual employees are (alphabetical
order):
• Back Pain;
• Minor illnesses (colds, influenza, stomach upsets & headaches);
• Other musculo-skeletal disorders;
• Recurring medical conditions;
• Stress/depression and other mental health issues.
This analysis is fully consistent with the (limited) information currently available
within the NPS. It should be noted that three of these may, in individual cases,
be associated with work related issues:
• Back pain may arise from inappropriate lifting (see also the ‘Manual
Handling Risk Assessment Arrangement(NPS/HS/22));
• General musculo-skeletal disorders may arise from repetitive tasks, poor
workplace ergonomics, job design/throughput etc;
• Stress may arise from inappropriate work requirements (see also the
Stress Management Arrangement (NPS/HS/8)).
Early identification of potential problems can (indeed should) assist in the
elimination of the source of the ill-health before it becomes a major issue in the
work-place.
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
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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.
The Approach to OH Support of Sickness Management Programmes

Effective support should be built around both proactive and reactive approaches.
This should ensure that employees are alerted to potential problems at an early
stage – and can take the appropriate action to minimise/eliminate problems
before they become significant. Where, however, a problem exists, reactive
support should be aimed at supporting the employee and their managers to
ensure that the work/employee interface is properly managed to aid in the
recovery of the condition (or in extreme cases to assist the employee in looking
to future options). The guidance given in the following Annexes does not attempt
to draw a clear distinction since, in many cases, there will be both proactive and
reactive elements associated with the actions.
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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.
The Objectives of the Support

In assisting in the provision of a quality OH support, which takes account of
current best practice, the basic objectives of such a programme are to identify
and respond to:
• Trends in ill-health which may be the result of a historic or emerging work
related cause (eg stress, manual handling, exposure to hazardous
materials or environments etc).
• Trends in ill-health relating to particular groups of employees where early
intervention could result in a reduction in the overall impact (eg resulting
from demographic effects etc).
• Underlying causes of ill-health in individuals or groups (eg stress
manifested as seemingly unrelated causes of absence, ‘sick building
syndrome’ etc).
• Inappropriately ascribed ill-health (eg absence for personal reasons
ascribed to ill-health. Short term care requirements may fall into this
category which ought to be managed on a different basis.).
It should normally be the HR function that undertakes the basic data analysis.
The OH Practitioner will be able to provide clinically based advice to HR, line
managers and H&S Advisors based on the output of this analysis (together with
consequential advice based on ‘good practice’).
Basic Data and Analysis Requirements

A quality based analysis (by HR) of the information contained within medical
certificates (both self certified and those provided by a medical practitioner (the
FMED3)) is essential to the above objectives. The data should be routinely
reviewed by the OH Practitioner on the basis of the following criteria:
• Cause (nature of the ill-health re individuals and overall)
• Temporal factors (eg duration and periodicity re individuals and overall)
• Specific population groups (eg particular working groups).
Annex 2.1 provides detailed guidance on these categories.
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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).
Return to Work Contact

It is not normally necessary for OH Practitioners to be directly involved in return
to work contact meetings. An exception would be when a formal agreed ‘Return-
to-Work’ programme meeting is held. In this case, and with the agreement of all
parties, the OH Practitioner may be invited to attend in an advisory capacity.
Irrespective of the OH practitioner involvement, their advice may be sought both

prior to and after a relevant meeting to clarify any issues, seek guidance on any
specific requirements etc. Provision of such advice might be especially
appropriate following a relatively long period of absence where it has not been
necessary to invoke a formal ‘Return-to-Work’ programme or following a
particularly serious incident or injury.
The outcome of return to work contact meetings between returning employees

and their line management should be made available to the OH Practitioner. This
will provide a further resource for identifying possible work related health issues.
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).
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• Provision of advice on general lifestyle issues (eg to minimise injuries

incurred in out of work activities).
• Focussed health advice to specific groups identified as being most at risk.
(This is particularly relevant to work-related ill health such as stress, back
pain etc. Where the identified ill-health relates to non-work related issues,
eg cholesterol screening etc, the employees should be advised to seek
screening through the local NHS facilities.)
• Proactive preventative measures (eg vaccination for hepatitis and TB.
Additional requirements re vaccination etc are covered in Arrangement
NPS/HS/4).
• Identification of non-health issues which will require management to
resolve (eg absences for short term dependent care).
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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.
Whatever approach is taken to the recording and analysis of data (ie a

commercial package or an in-house developed tool), there is significant
advantage to the use of a single cause classification scheme across the NPS.
Unless there are overriding local requirements the WHO ‘International
Classification of Diseases’ system should be used to classify all forms of ill
health (details are available at: www.who.int/classifications/icd/en/).
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 NOMS as are defined in
NPS/HS/1.
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• Individual absence patterns as follows:

A weighted analysis of ‘very short term’ and ‘short term’ absences (ie to
ensure these are separately identified from single periods of longer
absence. One possible approach is the use of the ‘Bradford’ model as
identified in the Cabinet Office/Ministerial Task Force/HSE document
‘Managing Sickness Absence in the Public Sector –published by HSE,
(November 2004).
An analysis of start and end dates of absence.
Both of these measures can provide valuable indicators of underlying
causes of ill-health and absence. However, in both cases it is important to
seek to ensure that:
The data analysis is not undertaken in isolation – due account must
also be taken of trends re the nature of illness, groups affected etc to
ensure that a holistic consideration of the facts is undertaken;
Where the analyses are to be used to establish identifiers for further
action (eg individual performance trigger points) consultation needs to
be undertaken with the appropriate Trades Union Reps to gain a full
understanding of the approach and to seek agreement on the
proposed courses of action.
Specific Population Groups

Identifying specific population groups most at risk of ill-health provides the final
link to the ability to target the Area’s resources to optimum effect to the benefit of
the individuals and the organisation as a whole. The specific groups to be
considered are as noted below (together with a brief commentary on the
reasons):
• Differing Age Groups: clear demographic variations in typical ill-health
patterns are to be expected.
• Differing Grades: whilst being careful not to identify individuals (a factor to be
taken into account with all sub division of data) patterns are likely to emerge
at cross-grade boundaries.
• Gender: differing patterns of ill-health will be identifiable between genders.
• Ethnicity: evidence suggests that some forms of ill-health (eg sickle cell
anaemia) are observed with either a greater or lesser frequency in different
ethnic groups.
• Functions (eg probation operational staff, admin support staff): the nature of
the work may be associated with differing forms of ill-health.
In all cases it is stressed that the objective is to assist the OH Practitioner in
properly targeting their advice to managers (including HR) having due regard to
available Area resources.
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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.
In particular, the OH Practitioner will be able to provide case specific advice to

managers/HR (having regard to the need to maintain medical confidentiality) so
that decisions and actions taken in a particular case can be properly informed by
sound clinical judgement. This annex provides outline guidance on these issues,
noting that each case will have to be judged on the relevant facts. The guidance
is based on the general approaches set out in the NPS Sickness Management
Policy. The points considered are:
• Contact issues (noting that contact may be by telephone, home visits or
within the workplace etc);
• Forward management of cases.
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.
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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.
Forward management of cases

As individual cases proceed, it is essential that any management decisions are
properly informed by clinical judgement. The OH Practitioner (and, as
appropriate, the H&S Advisor) should thus be consulted at all relevant stages in
the process. Where case management processes are used the OH Practitioner
should be invited to be directly involved (in an ‘ex-officio’ capacity) in the relevant
discussions in order to ensure that decisions are reached having due regard to
the clinical circumstances. In particular the OH Practitioner can provide advice
on the following matters:
• The possible clinical progress of a particular condition.
• Typical timescales for recovery.
• The benefits or otherwise of a return to work strategy in a particular case
(see also Annex 4).
• The benefits of contacting the employee’s personal medical advisor (eg
GP etc) – noting that this must only be with the agreement of the
employee. The OH practitioner can be the route for such contact to
ensure that the most appropriate information is both sought and thence
obtained.
• Possible alternative employment strategies having regard to the clinical
details (including, in extremis, advising where the long term prognosis is
that return to work is not a high probability).
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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.
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.
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.
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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.
5) MEASURING & REVIEWING PERFORMANCE.
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Measuring & Reviewing Performance
The monitoring of performance by specific measures and reviews provides a

practical mechanism for assessing progress. Where this can be linked to pre-
set practical targets the rate of improvement can be properly judged and
resources best allocated to where they can provide the optimum impact.
Specific Monitoring and Review Processes
The following monitoring and review processes are to be introduced within all
Areas within the timescales indicated. Unless stated otherwise, the local
arrangements are a matter for agreement through the Local Area Health &
Safety Forum.
1. Accident & Incident Information: The detailed requirements (including

implementation timescales) are set out in Section 4 of this Manual.
2. General Workplace Inspections: The primary objective of workplace

inspections is to confirm a healthy & safe general working environment.
It is not a substitute for more formal Audits nor for Risk Assessments –
though they may inform both of these processes (eg the inspections may
identify that a particular activity has not been the subject of a formal risk
assessment). Figure 5.1 outlines a suitable ‘check list’ to assist the
conduct of Workplace Inspections. Workplace Inspections should be
undertaken in respect of work undertaken by NPS staff irrespective of
whether this is on NPS premises or elsewhere. In the latter case (eg in
Prisons) the Workplace Inspection regime of the host organisation may
provide the necessary level of inspection provided it conforms with the
requirements set out below and there is full cooperation between the
relevant parties. All Workplace Inspections are to be led by the
appropriate line manager/supervisor for the physical area/function being
inspected. Relevant Safety Representatives must be invited to be party
to the inspection together with (if appropriate) the relevant Health &
Safety Advisor. (Note this does not preclude the Safety Representatives
undertaking independent inspections (as allowed for under the Health &
Safety at Work etc Act) which are to be in addition to management led
inspections.)
Workplace Inspections should be undertaken on the following bases:
• Local Inspections: eg within a workshop, an Approved Premises,

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

statutory requirement. Specific detailed procedures are set out in
Section 4 of this Manual.
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Improvement Targets.
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).
Reporting Performance.
Section 4 sets out the internal and external reporting requirements for
accidents/incidents. The results of all inspections must be notified to the staff
working in the affected work area.
In addition, the results of general workplace and DSE inspections should be

brought to the attention of the Area Board at six monthly intervals. This will
need to demonstrate:
The number of inspections – and how this compares with the planned
inspection regime;
The main areas inspected;
The principal findings and recommendations;
Progress on closing the recommendations (eg percentage closed and
any key matters outstanding).
The views of the Board should be taken into account in planning future
inspection programmes.
Benchmarking etc.
Benchmarking provides a valuable means of assessing the standard of

performance. Areas are encouraged to benchmark and share experience at a
local, regional and national level with other Public Service agencies.
Involvement in local and national ‘Health & Safety Events’ (eg as sponsored
from time to time by the HSE) provides a further source of identifying
improvement opportunities.
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Figure 5.1: Model Inspection Check List

National Probation Service: Model Workplace Inspection Checklist
Page 1 of 3: General information, findings & recommendations.
Workplace Inspected
Date Time AM / PM / NIGHT
Inspection Team
Team Leader
Safety Representative
Other Members
Previous Inspection
Date Time AM / PM / NIGHT

Comments on Recommendations (especially any outstanding)
Current Inspection
General comments
Recommendations
Recommendation Responsible Date for Date

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

Line Manager of Workplace
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Figure 5.1 continued: Model Inspection Check List

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

Page 3 of 3: General Checklist.
ISSUE Acceptable? Comments
Personal Protective Equipment (PPE)
Required PPE available Y/N
Required PPE worn Y/N
Storage facilities Y/N
Inspection records Y/N
Fire Safety & Emergency Evacuation
Fire risk assessment Y/N
Fire exits/routes clearly marked Y/N
Fire exits clear of obstruction Y/N
Fire extinguishers in place Y/N
Fire extinguishers in date Y/N
Fire instructions displayed & Nominated Y/N
Persons identified
Staff Fire training Y/N
Fire drill in last 6 months? Y/N
Fire log book up to date & call points Y/N
tested
Fire doors operating correctly Y/N
Emergency lighting working Y/N
Door viewing windows clear Y/N
Emergency egress for disabled people Y/N
Storage of flammable liquids Y/N
Storage of combustible materials Y/N
Chemicals & Other Hazardous Materials (eg paints, cleaning fluids, bio contaminants)
Safety Instructions available Y/N
Storage of chemicals Y/N
Asbestos register, signage etc Y/N
Is the condition of asbestos as recorded Y/N
in the register
Body fluid spillage info / equipment Y/N
Sharps bins Y/N
DTTO: procedures Y/N
Printer toner provision Y/N
Security
Reception arrangements Y/N
Interview facilities Y/N
Personal alarm (inc testing) Y/N
Effective alarm procedure Y/N
Visitors : log book, instructions, Y/N
identification
NPS Vehicles (including trailers)
Fire Extinguisher in place Y/N
Taxed / tested / MoT Y/N
First Aid Kit Y/N
Routine Service record Y/N
User log book Y/N
Visible defects (tyres, leaks etc) Y/N
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Audit
6 AUDIT.
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.)
NOMS sponsored audits: A further Thematic Audit across the NPS

will take place in June / July 2007 to assess the implementation of the
Health & Safety Strategy announced in March 2003. NOMS sponsored
audits will be developed in conjunction with the National Health and
Safety Forum.
Local Area Audits: Individual Areas should identify an audit

programme to provide a higher level of confidence to the Area Board
and all staff of the level of overall compliance with specific activities (eg
compliance issues relating to, for example, Display Screen Equipment).
Typically an Area should seek to undertake a Health & Safety Audit of
a key element of its activities on an annual basis. Note that these are
not to be confused with ‘Local Thematic Inspections’ which are led by
the appropriate line manager/supervisor for the physical area/function
being inspected. As noted, audits should be conducted independently
of the line management. Unless other reasons prevail, audit
programmes should be developed through the Local Joint Health &
Safety Committee and be endorsed and properly resourced by the
Area Board.
For Areas where Health & Safety performance is currently judged to be

poor, it is recommended that this be deferred until significant progress
has been made in adopting the procedures to be developed in section
4 of this Manual.
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Audit
The following factors should be taken into account in developing and

executing an internal audit programme using NPS staff:
Where reasonable practicable, all members of the audit team should be

appropriately trained (if this is not possible, then at least the Audit
Leader should be suitably trained and/or experienced).
The majority of the audit team must be independent of the
area/function being audited (typically the team might include one non-
independent member).
The audit team should include a Safety Representative.
The terms of reference of the audit (set by the audit sponsor – typically
at ACO level or higher) must be clear and unambiguous. The audit
team must not stray from this without agreement of the sponsor.
The audit report must identify all levels of performance found without
bias.
Recommendations must be practical.
Matters of fact must be checked with the local management.
The Report must be made available to all key stakeholders affected by
its results together with the local management’s response on how any
issues are to be closed out.
All audit recommendations must be tracked to completion (the method
identified for the tracking of incident investigation recommendations set
out in Section 4 of this Manual is recommended).
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Annex B
A. INITIAL SCREENING
1. Title of function, policy or practice (including common practice)

Is this a new policy under development or an existing one?
Existing National Health and Safety Policy
2. Aims, purpose and outcomes of function, policy or practice

What is the function, policy or practice addressing? What operational work or
employment/HR activities are covered? What outcomes are expected?
To ensure compliance with H&S legislation and to promote best practice
3. Target groups
Who is the policy aimed at? Which specific groups are likely to be affected by its
implementation? This could be staff, service users, partners, contractors.
For each equality target group, think about possible positive or negative impact,
benefits or disadvantages, and if negative impact is this at a high medium or low
level. Give reasons for your assessment. This could be existing knowledge or
monitoring, national research, through talking to the groups concerned, etc. If there
is possible negative impact a full impact assessment is needed. The high, medium or
low impact will indicate level of priority to give the full assessment. Please use the
table below to do this.
Equality Positive impact Negative impact Reason for assessment

target group – could benefit - could and explanation of
disadvantage possible impact
Women Staff, Service This Policy will contribute to
users, Partners ensuring a safe and healthy
& Contractors working environment for
everyone affected by the
undertakings of the NPS.
Men Staff, Service
users, Partners ″
& Contractors
Asian/Asian Staff, Service

British people users, Partners ″
& Contractors
Black/Black Staff, Service

British people users, Partners ″
& Contractors
Chinese Staff, Service

people or users, Partners ″
other groups & Contractors
People of Staff, Service

mixed race users, Partners ″
& Contractors
White people Staff, Service

(including Irish users, Partners ″
people) & Contractors
Travellers or Staff, Service

Gypsies users, Partners ″
& Contractors
Disabled Staff, Service

people users, Partners ″
& Contractors
Lesbians, gay Staff, Service

men and users, Partners ″
bisexual & Contractors
people
Transgender Staff, Service
people users, Partners ″
& Contractors
Older people Staff, Service
over 60 users, Partners ″
& Contractors
Young people Staff, Service

(17-25) and users, Partners ″
children & Contractors
Faith groups Staff, Service

users, Partners ″
& Contractors
4. Further research/questions to answer
As a result of the above, indicate what questions might need to be answered in the
full impact assessment and what additional research or evidence might be needed to
do this.
None at present.
Initial screening done by: Kathryn Ball
Name/position: National HR Manager – H&S Date: 6th June 2007

UK Home Office: PC21 2007

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UNCLASSIFIED

PC21/2007 – HEALTH & SAFETY: POLICY REVISIONS 2007

IMPLEMENTATION DATE: 3 July 2007 EXPIRY DATE: June 2011

As a result of legislative changes there are two new arrangements:

• Christine Lawrie replaces Martin Wargent at the PBA

ISSUE DATE – 19 June 2007

THE NATIONAL HEALTH & SAFETY

Good health and safety performance is not just a legal requirement – it is an

Roger Hill Christine Lawrie

Judy McKnight Ben Priestley

Date: 1st June 2007

Diversity Impact Statement

SUBJECT SECTION Issue Issue Date

Diversity Statement Page ii 1 5th April 2004

General Index Page iii 4 1st June 2007

General Introduction 1 2 1st June 2007

The National Health & Safety 2 3 1st June 2007

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

Health & Safety Management Processes

• Policy: a statement of the key objectives of the organisation signed by its

routine workplace inspections and feedback, the actual measures to be used

Review of National and Area Health & Safety Policy Manuals.

2 THE NATIONAL HEALTH & SAFETY POLICY

The National Policy Statement.

3 ORGANISATION & KEY RESPONSIBILITIES

The National Probation Service Organisation.

General Responsibilities of all NPS Employees.

a) Specific NOMS Responsibilities

a(i) The Director of Probation

 The Director of Probation (NPS) is responsible for ensuring that:

The Director of Probation is accountable to The Director of Performance and

a(ii)The Head of Probation Area Co-ordination Unit

 The Head of Probation Area Co-ordination Unit (PACU) is responsible for

a(iii) The HR Manager, Health & Safety

 The HR Manager, Health & Safety is responsible for:

The HR Manager, Health & Safety is accountable to the Director of Probation

b) Specifice Home Office Responsibilities

b)i) The Head of Estates, Home Office Property General (HOPG)

 The Head of Estates, Home Office Property General (HOPG) is

c. Specific Area Responsibilities.

C i) The Chair of the Local Area Boards

 Appropriate resources are identified within the business planning process to

Cii) Chief Officers

 Chief Officers are responsible for ensuring that:

Ciii) Local Area Health & Safety Advisors

 Local Area Health & Safety Advisors are responsible for:

General Responsibilities of Contractors and other non NPS Employees

Further detailed requirements are set out in Section 4 of this Manual.

Joint Health & Safety Consultative Mechanisms.

Improving health & safety performance is dependent on a number of factors.

The Area Board

The Local Area

Additional detailed procedures (including references to additional pre-existing

Index of Specific General Health & Safety Arrangements

Title Ref No Issue Issue

Competent Persons 30 2 1/6/07

Contingency Planning 15 2 1/6/07

COSHH Risk assessment 16 2 1/6/07

Driving and NPS Transport Vehicles 17 2 1/6/07

DSE assessments and the use of IT systems 18 2 1/6/07

Electricity at Work 19 2 1/6/07

Facilities, Time and Assistance for Trade Union 31 2 1/6/07

The Director of Probation (NPS) is responsible for ensuring that:

The Head of Probation Area Co-ordination Unit (PACU) is responsible for

The HR Manager, Health & Safety is responsible for:

The Head of Estates, Home Office Property General (HOPG) is

Appropriate resources are identified within the business planning process to

Chief Officers are responsible for ensuring that:

Local Area Health & Safety Advisors are responsible for: