UK Home Office: PC22

HEALTH & SAFETY: NATIONAL
HEALTH AND SAFETY POLICY Probation

MANUAL
Circular
PURPOSE
To ensure provision of the National Health and Safety Policy Manual to all REFERENCE NO:
Areas. 22/2004
ACTION ISSUE DATE:

Local Areas to take note of the contents and ensure that their local 22/04/04
arrangements are compatible with the National Health and Safety Policy
Manual by October 2004. IMPLEMENTATION DATE:
Immediate
SUMMARY
The Health and Safety Policy Manual has been developed in conjunction with EXPIRY DATE:
representatives from Areas, the Trades Unions and the PBA. It was formally December 2004
ratified at the National Health and Safety Forum on 11th February 2004 and
launched in March. TO:
The National Policy Manual sets out the overarching policy, principles and
Chairs of Probation Boards
standards of best practice to be applied across the NPS. It includes:
Chief Officers of Probation
• a statement of the key health and safety objectives of the NPS and the
controlled copy is signed by the DG, Chair of the PBA and TUs Secretaries of Probation Boards
• identification of the management structure including the specific
responsibilities/accountabilities of key postholders CC:
• arrangements section identifying how we will deliver particular aspects of Board Treasurers
health and safety management e.g. accident reporting Regional Managers
• how we will measure, review and audit our performance Area Health & Safety Advisors
There will be an audit of compliance early in 2005.
AUTHORISED BY:
RELEVANT PREVIOUS PROBATION CIRCULARS Richard Cullen, Joint Acting Head
PC51/2003 - Health & Safety Re: Asbestos Policy of HR
PC52/2003 - Health & Safety Re: Property
PC65/2003 – Health and Safety Strategy Phase One ATTACHED:
National Health and Safety Policy
CONTACT FOR ENQUIRIES
Manual (included in Word file)
Kathryn Ball, HR (Kathryn.ball@homeoffice.gsi.gov.uk or tel: 0207 217 8401)
Andrew Nicoll, HR (AndrewRobert.Nicoll@homeoffice.gsi.gov.uk or tel: 0207
217 8661)
Brenda Pendlebury, HR (Brenda.Pendlebury@homeoffice.gsi.gov.uk or tel:
07876 131818)
Bill Wood, HR (Bill.Wood2@homeoffice.gsi.gov.uk or tel: 07713 214850)
National Probation Directorate

Horseferry House, Dean Ryle Street, London, SW1P 2AW General Enquiries: 020 7217 0659 Fax: 020 7217 0660
Enforcement, rehabilitation and public protection
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 1 Date of Issue 5th April 2004
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 & 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 & 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 & safety performance as we move forwards.
Good health & safety performance is not just a legal requirement – it is an essential
element to our goal of excellence and being an employer of choice who 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.
Stephen Murphy Martin Wargent

Director General, NPS Chief Executive,
Probation Boards Association
Judy McKnight Ben Priestley

General Secretary, NAPO National Officer, UNISON
Mick Graham
National Secretary, GMB
Date: 5th April 2004

This Statement will be reviewed annually.
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Diversity Impact Statement
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 1 5th April 2004
Diversity Statement Page ii 1 5th April 2004
General Index Page iii 1 5th April 2004
General Introduction 1 1 5th April 2004
The National Health & Safety 2 1 5th April 2004

Policy
Organisation & Key 3 1 5th April 2004
Responsibilities
The Arrangements. 4 1 5th April 2004
Measuring & Reviewing 5 1 5th April 2004

Performance.
Audit 6 1 5th April 2004
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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 or a Home Office employee attached to
the National Probation Directorate’.
Background.
The ‘Thematic Audit Review on Local Probation Area Health & Safety Management’
undertaken in 2002-03 and launched in March 2003 comprehensively reviewed the
effectiveness of the management of health & safety by the Local Probation Boards.
The general findings were that some key controls did not exist and that where they
did, they were not applied consistently or effectively. Accordingly, the Review
concluded that the overall health & safety processes were inadequately controlled.
As well as being a legal obligation (under the Health & Safety at Work etc Act,
1974), good health & safety performance is also an essential element of delivering
the People Management Strategy of the NPS. Excellence in health & safety needs
to be rooted in a quality management system that seeks to address all aspects of
performance, from the inherent safety of the working environment (ie plant and
equipment), through procedures and instructions that are owned and followed, and
ultimately to ensuring a working culture that embraces a positive health & safety
attitude across the organisation.
Health & Safety Management Processes

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

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

and a statement of improvement targets and objectives.
• Audit: should be a continuing theme – from regular local audits through to full
NPS wide reviews (eg the 2002-03 Thematic Audit).
Application of this approach within the NPS is illustrated schematically in Figure 1.2.
The interactions and format of the three layers illustrated in this figure are as follows.
• The National Policy Manual (ie this manual) sets out the overarching policy,
principles and standards of best practice to be applied across the NPS. The
degree to which these are mandatory (ie to be uniformly applied within all
Areas) or are only intended as guidance on best practice will be specified on
a case by case basis.
• The Local Area Policy Manuals will mirror the national policy in form and
format. They may be developed and extended as necessary to reflect the
local circumstances (and must be signed and authorised by the Chair of the
Area Board as the representative of the Employer for that Area). As with the
National Policy Manual, the production of the Local Manuals should be
undertaken within a joint partnership framework. (Throughout this Manual,
working in ‘Partnership’ means actively involving all key stakeholders
(Boards, Management, recognised Trades Unions, Contractors (as
appropriate) etc).) It is to be noted that to assist the implementation of the
National Policy Manual within Areas, NPD have produced a ‘Model Area
Policy Manual’.
The best practice standards and any mandatory processes identified in the
following Sections of this National Policy Manual must be complied with.
Regarding implementation within Areas:
For Areas with local Policies (including ‘Organisation’, ‘Planning &
Implementation (Arrangements)’; ‘Measuring & Reviewing’; & ‘Audit’
aspects) mirroring this National Manual at its time of introduction, no
additional changes to existing documentation are required
For Areas with local Policies (including ‘Organisation’ etc) not mirroring
(wholly or in part) this National Manual at its time of introduction, revision
of relevant local documentation will be required within either a 6 or 12
month period dependent upon the current degree of consistency with this
Manual (noting that particular overriding implementation requirements
apply to specific ‘Arrangements’ in Section 4).
• The Local Workplace Instructions must provide the degree of detail needed
within the workplace to ensure that all employees and other persons actually
undertaking the work processes can do so safely. The form and format of
these should reflect the local circumstances. To ensure that these are fully
effective, those people directly involved in the work processes and the
relevant Safety Representatives (who are approved by the Trades Unions)
must be directly involved in the production of the relevant local instructions.
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At all three levels, the documentation must be succinct and its intent clear and
unambiguous. It is recognised that the production of high quality, fit for purpose
documentation requires the allocation of sufficient resources to achieve the required
objective. This commitment will increase as the processes develop through the
three levels identified in Fig 1.2 simply due to the increased level of detail required in
the local workplace instructions. It is important that sufficient resources are
identified and applied to ensure that the commitments given in the preface to this
Manual can be achieved.
The remainder of this document sets out the National Policy in the form of Figure
1.1. Where it is a requirement for all Areas to comply fully with a particular aspect
this is clearly stated. In all other cases the documentation is presented as guidance
on best practice.
Maintenance of Records
Where there is a stated requirement to maintain records (as a consequence of either
this Manual or statutory requirements), such records must be maintained (by the
relevant Area or NPD as appropriate) for the minimum statutory period. Areas may
wish to consider retaining records for longer periods, where this is reasonably
practicable, to assist in future investigations or claims/actions taken against the Area
in later years.
Application within the National Probation Directorate.

For the NPD, as a part of the NPS, this document will also serve as the basis of the
‘Local Area Policy Manual’. Compliance with all aspects of this manual is thus
mandatory within the NPD.
Review of National and Area Health & Safety Policy Manuals.

This National Manual and the associated Area Manuals will be reviewed as follows:
• As required to ensure compatibility with changing regulatory or other
requirements, NPD/Area restructuring, changes in signatories etc;
• Annually: Subject to the caveat below*, a brief review to ensure general
consistency with current experience and practice (ie to take account of
improvements, best practices etc)
• Every five years: a full, in depth, review to ensure that the documentation is
fully compatible with current requirements, HSE guidance on H&S
management systems etc.
(* In addition, this National Health & Safety Policy Manual will be subject to a specific
phased review after one year of operation to take account of any issues arising from
its practical implementation across the NPS)
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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
2 THE NATIONAL HEALTH & SAFETY POLICY
The National Probation Service People Management Strategy is:
‘Working in partnership to make the National Probation Service an excellent

organisation and an employer of choice by having the right people doing the
right things in the right way….’
The following statement of National Health & Safety Policy supports this strategy.
All Local Area Policy Statements must, as a minimum, comply with the National
Policy.
The National Policy Statement.

• We in the NPS believe that the health, safety and security of our employees,
employees of other organisations working with us, the general public and the
people for whom we have supervisory responsibility is of paramount importance.
• Our goal is to aspire to health and 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 continually to 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 and 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
and 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 learn continuously from our own experiences by reviewing and
auditing our performance and ensuring that lessons learnt are acted upon.
Stephen Murphy
Director General, National Probation Service
Date:
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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 in respect of the principal activities of people within NPD and the
Areas. It includes the responsibilities for the provision of health & safety advice and
for the production and maintenance of National & Local Area Policy Manuals and
Local Workplace Instructions. Additionally it provides an outline of partnership
arrangements for the delivery of health & safety excellence.
The National Probation Service Organisation.
Figure 3.1 sets out the NPS organisational structure. Within the NPS, the individual
Areas are specific Employers (of the Area Staff) in their own right, with the Area
Boards being the identified employers. The following inter-relationships thus apply:
• The Area Boards are the local legal ‘employers’.
• Area Board Chairs are accountable to (and work in association with), the
Director General through appropriate liaison arrangements.
• Area Chief Officers report to and are accountable to the Director General and
are also members of the Area Boards in their own right. As with other Board
Members they do not formally report to the Board Chair in terms of line
management accountability.
• Area staff report to the Chief Officer through the relevant Area management
structure.
• NPD Directors report to and are accountable to the Director General.
• NPD staff report to the Director General through the relevant NPD
management structure.
Within this structure, the responsibilities for the delivery of a safe & healthy working
environment are as set out below. In all cases it should be noted that whilst the
practical delivery of a responsibility can be delegated, the accountability for that
delivery cannot. These responsibilities and accountabilities must be incorporated
into the relevant detailed job descriptions.
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General Responsibilities of all NPS Employees.
All employees are required to undertake their work in a safe manner having due
regard for their own health and safety and that of others who may be affected by
their work. Health and safety rules etc must be followed at all times. Failure to
follow the appropriate rules is an offence under health & safety legislation and could
render the employee liable to disciplinary action. Equally it is important that
employees do not attempt to undertake work for which they are not adequately
trained or for which the instructions are agreed to be inadequate.
In addition, the following specific responsibilities for key posts are identified.
Specific NPS Line Management Responsibilities for Health & Safety.
a) The Director General
The Director General (NPS) is responsible for ensuring that:

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

Services & Chief Executive, National Offender Management Service, for these
matters.
b) Area Responsibilities.
The Chairs of the Local Area Boards are responsible for ensuring that:
A fit for purpose and up to date Local Area Health & Safety Policy Manual is
in place within that Area (implicit in this is a requirement for audit, review and
feedback of lessons learnt);
They liaise with the Chief Officer to ensure continuing improvement in health
& safety performance;
The Board receives regular reports and presentations from the Area Health &
Safety Advisor (or the Chief Officer supported by the Health & Safety Advisor)
on progress being achieved, matters requiring attention etc;
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A suitably experienced member of the Board is appointed to take a particular

interest in the promotion of health & safety matters and to participate actively
in the local Area Joint Health & Safety Committee;
They seek generally to raise the profile of health & safety within the Area;
Appropriate resources are identified within the business planning process to
ensure compliance with this manual.
The Area Chairs are accountable to the Director General for these matters.
Chief Officers are responsible for ensuring that:

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

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

Their staff receive the appropriate training in order to perform their work in a
safe manner;
The appropriate local health & safety procedures are in place and adhered to;
The National Health and Safety Forum is kept informed of and consulted on
any policy or process which could have a material impact on health and
safety (as advised by the HR Manager, Health & Safety).
The following Directors have additional responsibilities:
The Director (Resources) is also responsible for ensuring that arrangements

exist in the NPD for:
The appointment of appropriate Competent Persons to provide suitable ‘local’
(NPD) and ‘corporate’ (NPS) advice in respect of health & safety matters;
Preparing local requirements necessary for the delivery of a safe & healthy
working environment within NPD (ie additional to the National Policy Manual);
The safe delivery of all ‘facilities management’ contracts under the control of
NPD;
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 General for the delivery of the relevant
matters.
The Head of Estates is responsible for ensuring that fit for purpose procedures
are in place for the safe delivery of all ‘facilities management’ contracts under the
control of the NPD. These must ensure the provision of a safe & healthy
workplace within those facilities.
The Head of Estates is accountable to the Director (Resources) for this matter.
The HR Manager, Health & Safety is responsible for:

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

through the Head of Human Resources.
General Responsibilities of Contractors and other non NPS Employees

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

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

Director
Local General NPS
Area
Chair
NPD
Local Area
Directors
Chief
& Senior
Officer Staff
NPD
Employees
Local Area
Senior Staff
The NPD
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.
Generally this will be 12 months for Areas where high quality procedures already
exist or 6 months where this is not the case. The judgement of whether existing
procedures are suitable & sufficient must be subject to formal agreement (ie
recorded in the minutes) by the Area’s Joint Health & Safety Committee advised,
as necessary, by the NPD. (Where agreement cannot be reached, the National
Health & Safety Forum will act as the arbiter.) Mandatory aspects must be
implemented within the declared timescales by Areas. Guidance aspects should
be used by Areas as a means of checking whether current local procedures are
consistent (or better) than the guidance given – if this is the case then no further
action is required by the Area for these aspects.
Additional detailed procedures (including references to additional pre-existing
documentation) will be incorporated into annexes. As noted above, these will be
identified as being either mandatory or for guidance.
The Specific Arrangements.
The following contents list identifies the individual arrangements including a unique
reference number and the date and number of the issue. This tabulation forms a
part of the quality control process by identifying the current version of specific
arrangements.
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The Arrangements Index
Index of Specific Arrangements

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

NPS/HS/ No Date
Asbestos 12 1 5/4/04
Biological Contamination Risk Assessment 4 1 5/4/04
Competent Persons 30 1 5/4/04
Contingency Planning 15 1 5/4/04
Contractors 10 1 5/4/04
COSHH Risk assessment 16 1 5/4/04
Driving and NPS Transport Vehicles 17 1 5/4/04
Drugs & Alcohol 5 1 5/4/04
DSE assessments and the use of IT systems 18 1 5/4/04
Electricity at Work 19 1 5/4/04
Fire Protection 11 1 5/4/04
First Aid 6 1 5/4/04
Identification, Categorisation & Reporting of Incidents 1 1 5/4/04
Investigation of Incidents & Learning from Experience 2 1 5/4/04
Joint H&S Committees 20 1 5/4/04
Lone working 21 1 5/4/04
Management of safety in the NPS Estate(eg including 13 1 5/4/04

accommodation, workplace safety etc)
Manual Handling Risk Assessment 22 1 5/4/04
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The Arrangements Index
Index of Specific Arrangements, Continued
Night working 23 1 5/4/04
Occupational Health Services and Health 7 1 5/4/04

Surveillance
Outdoor Working (including on or near water) 29 1 5/4/04
Permits to Work 14 1 5/4/04
Personal Assistance Alarms 24 1 5/4/04
Personal Protective Equipment 25 1 5/4/04
Risk Assessment 3 1 5/4/04
Stress Management 8 1 5/4/04
Tobacco Smoking 9 1 5/4/04
Training (induction, specific task, specialist & 26 1 5/4/04

refresher)
Use of Equipment and machinery in the workplace 27 1 5/4/04
Violence in the Workplace 28 1 5/4/04
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IDENTIFICATION, CATEGORISATION & Doc Ref:
REPORTING OF ACCIDENTS & INCIDENTS. NPS/HS/1
Issue Number: 1 Date of Issue. 5th April 2004
Issued by: Kathryn Ball Page 1 of 19
Statement of Policy & Objectives.

It is National Probation Service (NPS) policy that accidents & incidents with a
potential to harm people are reduced and, where possible, eliminated. The
objective of this procedure is to ensure the uniform application of a system for
the recording & reporting of such accidents & incidents as a contribution to a
culture of proactive protection.
Scope of Application.
The requirements set out in this procedure are mandatory on all NPS Areas
and the NPD in respect of the classification and reporting of:
• Accidents & incidents affecting or potentially affecting NPS employees;
• Accidents & incidents affecting or potentially affecting any other person as
a consequence of activities under the control & supervision of NPS
employees.
In the event of any accident or incident affecting or potentially affecting a non
NPS employee as a consequence of the activity of a third party (eg a
Contractor’s employee injured as a consequence of the activity of a
Contractor), the NPS Area must liaise with the appropriate bodies to ensure
that the accident/incident is properly recorded & reported. The NPS reserves
the right in such cases to independently record and report such accidents &
incidents.
The Specific Requirements:
The following are statements of best practice to be applied across the NPS
together with the relevant detailed arrangements set out in the annexes to this
Procedure. Areas are required to have in place suitable & sufficient local
arrangements to ensure the following:
• All accidents & incidents, as identified in Annex 1, are promptly identified.
• All accidents & incidents are appropriately categorised (Annex 1 sets out
the mandatory procedures for accident & and incidents reportable to NPD
and guidance for all other accident & incidents).
• All accidents & incidents are reported both within the Area & externally
within specific timescales (as identified in Annex 1).
• All accidents & incidents are properly recorded (Annex 2 identifies the
general requirements).
• The responsibilities for internal & external reporting (including out of office
hours reporting) are clearly identified.
• Appropriate persons are suitably trained to implement the local
arrangements.
The procedures for investigating accidents & incidents and consequent
corrective actions are set out in Arrangement NPS/HS/2.
Implementation.
Consistency with the guidance aspects and compliance with the mandatory
aspects of this Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health &
Safety Committee has formally agreed that the current local arrangements
are of a high quality; and in all other cases:
• Within 6 months of the above issue date.
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ANNEX 1
Detailed Categorisation of Accidents & Incidents and
Reporting Routes & Timescales.
Introduction
The use of a common categorisation system (together with the associated
timescales & routes for reporting of specified accidents & incidents) is an
important contributor to the overall process of reducing accidents & incidents.
The term ‘Accident & Incident’ includes ‘accidents’, ‘injuries’ and other
‘abnormal events’.
In the following Tables, where information is identified as requiring to be
notified to NPD, these requirements are mandatory on all Areas. (NB these
comply with the requirements of the Human Resources ‘Workforce
Information’ data set.)
For all other categories of accidents & incidents (ie information not identified
as notifiable to NPD), the Tables present guidance on ‘best practice’ which
should be taken into account by the local Area Joint Health & Safety
Committee when assessing the adequacy of pre-existing local arrangements.
Areas may include additional local reporting categories (eg offender self harm;
violence of offender to offender) as appropriate to local circumstances.
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.
Detailed requirements
The following tables identify the totality of the categorisation scheme covering
both type and severity and the reporting requirements. Eight basic types of
accidents & incidents are used (reflected in the subsequent eight tables) as
follows:
A Physical Injury in the Workplace
B Road Traffic Accident (RTA)
C Violence & Intimidation in Prisons.
D Violence & Intimidation in Approved Premises.
E Violence & Intimidation in Community Punishment Projects
F Violence & Intimidation in other NPS Premises
G Abnormal Events
H Ill Health
Detailed notes (identified by italic numerals in brackets) are given after table H
to aid in the interpretation of the terms used.
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A) Physical Injury (1)
Severity Detail of Reportable to NPD? Reportable to

Accident/Incident HSE/Police?
Yes/No Timescale (2) Who Timescale
1 a) Death (3) Yes Immediate HSE & Immediate
Police
2 a) Major Injury (4) Yes Next Working HSE Immediate
Day
3 a) 3 day Lost Time Yes Quarterly only HSE Within 10
Accident to employee days
(5)
4 a) Injury to employee Yes Quarterly only Neither -
resulting in absence in
excess of one day (6)
5 a) Hospital treatment of No - Neither -
employee with absence
of less than one day.
b) Employee First Aid No - Neither -
case (no absence).
c) Injury to an offender No - Neither -
(requiring first aid
hospital treatment etc
but not including major
injury or death (see
Severities 1 & 2))
6 a) Near Hit/Miss & No - Neither -
including minor injury
not requiring first aid.
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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 (4) Day
b) Major Injury to third Yes Next Working Police Immediate
party (4) (8) Day
3 a) Injury to employee Yes Quarterly only Police As soon as
resulting in the practicable
equivalent of a 3 day
Lost Time Accident (5)
4 a) Injury to employee Yes Quarterly only Neither -
resulting in absence in
excess of one day (6)
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 (4) as a Yes Immediate HSE & Police Immediate
consequence of an assault.
b) Threat with intent to kill Yes Next Police As
(ie a significant threat Working (if necessary) appropriate
where there is considered Day
to be a real risk of harm
involved).
3 a) 3 day Lost Time Injury Yes Next HSE & HSE: within
(5) to employee as a Working Police 10 days,
consequence of an assault. Day Police:
as soon as
practicable
b) Threaten with offensive Yes Quarterly Police As
weapon (10) only (if necessary) appropriate
c) Incident with health & No - Police As
safety implications resulting (if necessary) appropriate
in a requirement to
summon Police/ return to
custody/ court.
d) Incident with health & No - Neither -
safety implications resulting
in Final Warning
4 a) Injury to employee Yes Quarterly Neither -
resulting in absence in only
excess of one day (6) as a
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 (4) as a Yes Immediate HSE & Police Immediate
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) only (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 Community Punishment Projects (9)

Severity Detail of Accident/Incident Reportable to NPD? Reportable to
HSE/Police?
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4) as a Yes Immediate HSE & Immediate
consequence of an assault. Police
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) only (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 NPD? Reportable to
HSE/Police?
(2)
1 a) Death occurring within one Yes Immediate HSE & Immediate
year of an assault Police
2 a) Major injury (4) as a Yes Immediate HSE & Immediate
consequence of an assault. Police
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) only (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 Quarterly only Neither -
the attendance of the
Emergency Services
b) Discovery of any No - Neither -
other offensive
weapons. (12)
c) Failure of fire or No - Neither -
personal assistance
alarms for more than
12 hours.
d) Bomb Threat. No - Neither -
e) Malicious damage No - Neither -

to NPS property with
significant health &
safety implications
(including arson,
tampering with
asbestos materials
etc).
4 a) Near Hit/Miss (13) No - Neither -
5 None Identified at this - - - -
time
time
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H) Ill Health
Severity Detail of Reportable to NPD? 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) Notifiable industrial Yes Next HSE As soon as
disease (14) (as Working practicable
defined in RIDDOR Day
95).
3 a) Sickness absence Yes Quarterly Neither -
consequent upon work only
activity (eg
occupational related
asthma, dermatitis,
muscular-skeletal, work
related stress etc).
4 a) Other sickness Yes Quarterly Neither -
absence. (15) only
5 a) Infestation (eg No - Neither -
cockroaches, rodents,
lice, fleas etc)
time
Detailed notes (identified by italic numerals in brackets) are given overleaf to

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

1. Arising from work activity other than road traffic accidents (see category
B) or assault (see categories C, D & E).
2. In all cases where reporting to NPD is required, a quarterly return via
the NPD Common Data Set 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. Major Injury (of any person) as defined in RIDDOR 95 (see Annex 3).
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).
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.
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General notes to the Tables

The categories relate to general health & safety matters. They do not include
such additional reporting requirements as may be required by local security
requirements, Estates, Finance, General HR nor ‘one off’ epidemiological
study requirements etc.
When ascribing a category to an accident or incident, the general rule is that it
must be the most appropriate in respect of Type and Severity. In some
cases the categorisation may need to change (especially the severity ranking
as more information emerges). In most cases an accident or incident will
appear in only one category. Note that the injury of, say, 3 persons from a
single accident/incident (eg a road traffic accident) will be recorded as 3
individual injuries. The convention for stating the category will be: Basic
Type – Severity – Sub Type. For example, a physical injury in the workplace
(not from an assault or road traffic accident) requiring only first aid would be
stated as: ‘A5b’.
Timescales etc for Internal Reporting within Areas.
Local arrangements must include the reporting routes for internal Area
reporting together with the responsibilities for reporting to NPD and the
relevant statutory authorities and also for keeping the relevant Safety
Representatives appraised of accidents & incidents. These must take
account of the requirements for reporting to HSE, the Police and NPD as set
out below. In some circumstances this will include a requirement for reporting
in ‘out of office’ hours.
Timescales etc for Reporting to Statutory Authorities.
For reporting accidents & incidents to HSE the relevant statutory forms must
be used (using the HSE web site if appropriate). The timescales for reporting
to HSE (as specified in RIDDOR) are:
• Death or Major Injury: Immediate (ie without delay) by telephone (0845
300 9923) followed within 10 days by a completed HSE accident form
(note this can be achieved through the HSE ‘web’ site
riddor@natbrit.com).
• Three day lost time injury: Within 10 days by a completed HSE accident
form (note this can be achieved through the HSE ‘web’ site or by
telephone: 0845 300 9923, Fax: 0845 300 9924).
Reports to be made to the Local Police should be by telephone and without
delay.
Timescales etc for Reporting to NPD.
• ‘Immediate’ Reporting: In normal NPD office hours, this must be to the
office of the Director General; The Head of HR and also to the NPD HR
Manager, Health & Safety. Telephone numbers are given in the NAPO
Directory. The route in ‘out of office’ hours must be to the Home Office
Duty Officer (Contact via the Home Office Switchboard: 0870 000 1585).
• ‘Next Working Day’ Reporting: is defined as the next working day within
NPD and must be to the NPD HR Manager, Health & Safety.
• ‘Quarterly reporting’ will be via the routine NPD HR ‘Workforce Information’
reports prepared by Area HR functions.
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ANNEX 2
The Common Recording Pro Forma.
Introduction & Implementation

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

Subject to the transitional arrangements noted below, all Areas are required to
ensure that their local Area Accident & Incident Report Forms incorporate the
data and information set out in the Model Accident & Incident Report Form
illustrated in Fig 2.1. The actual format can take account of local
circumstances and can include additional information and detail as required
by an individual Area.
Accident & Incident Records may be required in the event of claims against
the Area. It is recommended that in addition to the statutory requirements (3
years is stipulated by the Department for Work & Pensions), Areas should
give consideration to retaining records for longer periods as set out in the
general introduction to this Section.
Transitional Arrangements for the use of the Model Accident & Incident
Reporting Form.
The transitional arrangements are as follows:
• Areas where existing systems are agreed by the Local Joint Health &
Safety Committee to be not of high quality (ie the current local
arrangements are significantly not in compliance with this arrangement
- see ‘Implementation’ on Page 1) it is recommended that the revision
of the local arrangements (required within 6 months of the
implementation date of this Arrangement) incorporates the format
without change.
• Where the Local Joint Health & Safety Committee has agreed that
existing systems are of high quality, the local forms are to include the
data and information given in the Model Form (noting the caveats re
format above) within 3 years of the implementation date of this
Arrangement.
The Model Accident & Incident Report Form will be subject to review in
association with the normal review of this Arrangement and will take account
of current approaches to ‘best practice’ for such reporting.
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The Model Accident & Incident Recording Form

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

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

number within a given Area to permit tracking of information. To comply with
the requirements of the Data Protection Act, only HR Departments, Health &
Safety Advisors and Appointed Safety Representatives may retain copies of
the form including personal details. Copies of completed forms held by other
persons should have the relevant personal information appropriately
obscured. Wherever possible, permanent records should be maintained in an
‘electronic’ format in which personal information can be restricted to
authorised users only.
As structured, the form conforms to the requirements of the ‘Social Security

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

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

NPS Employee* Trainee
Person under Supervision Member of Public
Approved Premises Resident Other
* Please insert occupation or job title.
Details of the injury
What was the Injury (eg fracture,
laceration, burn, stab wound etc)
What Part of the body was injured?
If Hospitalised, name of Hospital

Did the injury result from any of the following (tick as appropriate)
Contact with moving Slip trip or fall at same level Exposed to or in contact with a
machinery/material being machined harmful substance
Hit by a moving, flying or falling Fall from height Exposure to fire
object
Hit by a moving vehicle How high was the fall (metres) Exposed to an explosion
Hit by something fixed or stationary Trapped by something Contact with electricity or an

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

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

Category of Accident/Incident
Type Severity Sub-Type
External Reporting requirements: Insert date reported (or ‘N/A’ if not reportable)
Statutory Authority (state Immediate/ Next Working
which). Day to NPD (Severity 1 &
2 only)
This form complies with the Social Security (Claims & Payments) Regulations) 1979
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ANNEX 3
Definitions of RIDDOR ‘Lost Time Accidents’, ‘Major Injuries’ &
‘Dangerous Occurrences’.
(See footnotes to the tables in Annex 1 for HSE contact numbers etc)
Lost Time Accidents:

‘Three Day Lost Time Accidents’ means any accident/incident which results in
an individual being unable to perform their full range of normal duties for more
than 3 days (including any days they wouldn’t normally be expected to work
but not counting the day of the injury itself). The total figure for reporting to
HSE, and for general ‘3 day LTA’ records, will also include the data from
Categories C, D & E (but not B).
To calculate the Lost Time Accident Frequency Rate (ie the number of such
accidents per 100,000 hours worked) the convention to be used for
determining the ‘total hours worked’ in any quarter is:
‘Number of full time equivalent people x 11 x 40’
Where ‘11’ is the typical number of weeks worked per quarter (allowing for
leave & other absence) and ‘40’ is a notional number of hours per week
(allowing for overtime etc). Pro rata figures can be used for periods other than
Quarters.
Major Injuries (as defined by the Health & Safety Executive (HSE)):
• Fracture other than to fingers, thumbs or toes;
• Amputation;
• Dislocation of the shoulder, hip, knee or spine;
• Loss of sight (temporary or permanent);
• Chemical or hot metal burn to the eye or any penetrating injury to the
eye;
• Injury resulting from electric shock or electrical burn leading to
unconsciousness or requiring resuscitation or admittance to hospital for
more than 24 hours;
• Any other injury: leading to hypothermia, heat-induced illness or
unconsciousness; or requiring resuscitation; or requiring admittance to
hospital for more than 24 hours;
• Unconsciousness caused by asphyxia or exposure to a harmful
substance or biological agent;
• Acute illness requiring medical attention, or loss of consciousness
arising from absorption of any substance by inhalation, ingestion or
through the skin;
• Acute illness requiring medical treatment where there is reason to
believe that this resulted from exposure to a biological agent or its
toxins or infected material.
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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: 1 Date of Issue: 5th April 2004
Statement of Policy & Objectives:

It is NPS policy that accidents & incidents with a potential to harm people are
properly investigated, the lessons learnt and improvements adopted.
Scope of Application:
The requirements set out in this procedure present the best practice to be
applied in all NPS Areas and the NPD in respect of the investigation of:
• Accidents & incidents affecting or potentially affecting NPS employees;
• Accidents & incidents affecting or potentially affecting any other person as
a consequence of activities under the control & supervision of NPS
employees.
The Mandatory elements of best practice which must be implemented are
stated below (‘Specific Requirements’). Guidance on the implementation of
these is given in the annexes (noting that in the case of Severity 1 accidents &
incidents (all associated with a death) the annexes set out a mandatory
implementation requirement). In the event of any accident or incident
affecting or potentially affecting a non NPS employee as a consequence of
the activity of a third party (eg a Contractor’s employee injured as a
consequence of the activity of a Contractor), the NPS Area must liaise with
the appropriate bodies to ensure that the accident/incident is properly
investigated and the improvements are implemented. The NPS reserves the
right in such cases to independently investigate such accidents & incidents.
The Specific Requirements
The following are statements of best practice to be applied across the NPS.
Detailed guidance on the implementation of the best practice is set out in the
annexes to this procedure. Areas are required to have in place suitable &
sufficient local arrangements to ensure that:
• All accidents & incidents are properly investigated without delay to identify
root and contributory causes (see Annex 1).
• Investigations are properly constituted, resourced, conducted and reported
(see Annex 1).
• Lessons learnt are acted on both in the Area and, as appropriate, across
the NPS (see Annex 2).
• Mechanisms are in place to confirm that action has been taken (see Annex
2).
• Such investigations are not associated with the apportionment of personal
blame (this is a matter for independent management action).
The procedures for the categorisation and reporting of accidents & incidents
are set out in Arrangement NPS/HS/1.
Implementation.
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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
All Severity 3 & 4 Accidents & incidents Local Management Inquiry
involving lost time injury or hospital
treatment as a result of an 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 General), 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 General, NPD
Area Board of Inquiry CO in consultation with the Area
Board Chair
Local Management Inquiry ACO responsible for the area of
work
Local Investigation No formal requirement for a
Convening Authority, but the local
arrangements should ensure that
matters are suitably & sufficiently
investigated, the lessons learnt
and who has the responsibility for
ensuring that this happens.
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Annex 1.3
Membership of Inquiries.
Table 3 provides guidance (mandatory requirements in respect of severity 1

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

the following guidance (mandatory requirements in respect of severity 1
accidents & incidents) on tracking systems is given:
• For National Boards of Inquiry, the NPD H&S Manager (in association
with the Area Health & Safety Advisor) will, on behalf of the relevant
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Area Board Chair and the Director General, track the progress of
actions.
• For Area Boards of Inquiry and Local Management Inquiries, the Area
Health & Safety Advisor should, on behalf of the Convening Authority,
track the progress of actions.
• For all other Investigations the Area Health & Safety Advisor should
satisfy themselves that a suitably identified local manager is tracking
the progress of actions.
• In all cases, the individual responsible for action tracking should make
regular reports (for example monthly) to the Convening Officer (where
appointed) or other appropriate Manager as to progress on
implementation.
• In all cases, the Convening Officer (where appointed) or other
appropriate manager must take action to ensure that any failure to
implement recommendations is dealt with expeditiously.
• In all cases, the Area Health & Safety Advisor (in discussion with the
NPD H&S Manager as necessary) should make periodic (eg six
monthly) presentations to the Area Board re progress on implementing
inquiry/investigation recommendations.
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RISK ASSESSMENT Doc Ref: NPS/HS/3

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Subject to the transitional arrangements noted below, all Areas are required to
ensure that their local Area Risk Assessment Forms incorporate the data and
information set out in the Model Risk Assessment Form illustrated in Fig 5.1. (to
enable assessments to be readily shared between Areas). The actual format
can take account of local circumstances (and the risk evaluation model may vary
from that given in this Arrangement provided it provides at least a similar degree
of flexibility).
The legal requirements for maintaining records are such that it is considered
prudent that all Risk Assessments undertaken within the terms of the HSE’s
Management of Safety regulations are recorded.
Risk Assessments must be kept for the duration of the work to which they apply.
Guidance on retaining records for longer periods is set out in the general
introduction to this Section.
Transitional Arrangements for the use of the Model Risk assessment Form.
The transitional arrangements are as follows:
• Areas where existing systems are agreed by the Local Joint Health &
Safety Committee to be not of high quality (ie the current local
arrangements are significantly not in compliance with this arrangement -
see ‘Implementation’ on Page 1) it is recommended that the revision of the
local arrangements (required within 6 months of the implementation date of
this Arrangement) incorporates the format without change.
• Where The Local Joint Health & Safety Committee has agreed that
existing systems are of high quality, the local forms are to include the data
and information given in the Model Form (noting the caveats re format and
the risk evaluation model above) within 3 years of the implementation date
of this Arrangement.
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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 diseases
Electrical equipment/supplies
Falling objects
Flammable/explosive substances
Hand tools
Hygiene issues (ie personal not food)
Installed plant/ machinery
Lone/out of hours working
Musculo-skeletal injury
Needle stick injury
Noise
Occupational asthma/dermatitis
Ozone (photocopiers, laser printers)
Portable power tools
Power washing equipment
Pressurised plant
Slip trip & fall hazards
Stress at work
Upper limb disorders
Use of NPS/other vehicles
Vibration
Violence/intimidation
Working at height
Working environment
Working on/near water
Workload change of significance
Any other hazard:
Identification of Groups who may be harmed (note any Groups particularly at risk)
Risk Evaluation Model

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

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

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

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

Distribution
Line Manager Safety Representatives Workplace
H&S Adviser
Page 2 of 2
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ANNEX 6
REVIEWING AND REVISING RISK ASSESSMENTS.
This Annex sets out best practice for reviewing and revising Risk Assessments.
All Risk Assessments must be reviewed (by the manager/supervisor responsible
for the work activity who should be assisted by the local Safety Representative,
the people undertaking the work and (as necessary) the Area Health & Safety
Advisor) and modified as necessary. Risk Assessments must be reviewed:
• Every 12 months to ensure that the arrangements are still ‘fit for purpose’.
These should be linked to the nature of the risk concluded after all
previously identified additional protective measures have been put in
place.
• If, in the meantime, the nature of work changes significantly. This does not
mean that a re-evaluation is required every time an inconsequential
change is introduced.
• Or whenever there are reasons to believe the assessment is no longer
valid (eg the identification of previously unidentified hazards).
The review should be recorded (eg in the space provided in the Model Risk
Assessment Form) where no changes are identified or by completing a new
assessment form where changes are required.
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BIOLOGICAL HAZARDS Doc Ref: NPS/HS/4
Issued by: Andrew Nicoll Page 1 of 4
Statement of Policy and Objectives

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

applied in all NPS Areas in respect of the assessment of risk of exposure to
biological hazards to:
• All employees (whether engaged in activities on NPS premises or
elsewhere);
• Other persons whose health & safety may be affected by the activities of
the NPS.
The mandatory elements of best practice that must be implemented are stated
below (‘Specific Requirements’). Outline guidance on the implementation of
these is given in the Annex.

Outline guidance on best practice for implementation is set out in the attached
Annex. Areas are required to have in place suitable and sufficient local
arrangements to ensure that :
• Persons whose work may place them at risk of exposure to biological
hazards are identified.
• The resultant risks are evaluated, the adequacy of existing levels of
protection is assessed and additional control measures introduced as
necessary.
• The findings are properly recorded.
• All risk assessment are periodically reviewed and revised as necessary.
• Where the risk cannot be adequately controlled by other means and where
a vaccination is available then local arrangements are made to offer
vaccination to those staff considered at risk.
• Local arrangements are made to ensure that appropriate advice and
support is available in the event of an inoculation (eg needlestick or other
puncture wound) injury.
• Suitable arrangements are in place for the decontamination of any spillage
of blood or other body fluids.
Implementation
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ANNEX: OUTLINE GUIDANCE RE BIOLOGICAL HAZARDS
Definitions
For the purpose of this Arrangement, ‘biological hazards’ within the NPS
include:
• Potentially contaminated body fluids (including: urine, faeces, vomit,
sweat, saliva, semen, breast milk, blood etc);
• Contagious & infectious diseases;
• Parasite infestations (lice etc).
Who might be at risk?

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

Subject to the outcome of an appropriate risk assessment,
vaccination/inoculation may need to be made available in the following
circumstances:
• Where there is a potential for infection with Hepatitis B: ie where there is a
significant risk of needlestick injury or exposure to body fluids (particularly
cleaners, maintenance personnel and First Aiders).
• Where there is a potential for contact with Tuberculosis carriers.
Appropriate cleansing agents should be made available in the event of

parasitic infestation of employees as a consequence of their work activity.
The Area Occupational Health Provider or NPD Occupational Health Manager

will be able to provide specific guidance on all the above issues.
Training and Information

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

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

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

at special risk?
Likelihood of exposure?
Precautions /Control Measures
Review Program
Distribution
Line Manager Safety Reps H&S Adviser Workplace
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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5

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

arrangements and to ensure that;
• Robust policy arrangements are in place for dealing with employees and
others who are under, or are suspected of being under the influence of
drugs or alcohol in the workplace,
• No person whose judgement is impaired through the use of drugs or
alcohol is allowed to work or remain on NPS premises ,
Implementation
aspects of the Arrangement must be demonstrated by all Areas:
• Within 12 months of the above issue date where the local Joint Health and
are of high quality; and in all other cases:
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DRUG AND ALCOHOL USE AT WORK Doc Ref: NPS/HS/5
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.
Scope of the Application

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
are of high quality; and in all other cases
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ANNEX 1
OUTLINE GUIDANCE: FIRST AID AT WORK
General Guidance
• General guidance on the provision of First Aid in the workplace, training
etc is given in Reference 1.
• Specific issues required for legal compliance are noted below.
• Whilst in law there is no legal obligation to provide first aid to offenders,
nonetheless, as a common duty of care, first aid should be available to
anyone injured on NPS premises or as a result of NPS work activities in
other places. However, non NPS employees will not be counted for the
purpose of determining the number of First Aiders etc.
Provision of First Aid Containers

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

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

surveillance are currently under development. In the interim Areas are
required to comply with the statutory requirements relating to health
surveillance. Health surveillance may be required in order to comply in
particular with the following:
• Working Time Regulations, relating to Night Workers.
• COSHH Regulations, including biological hazards.
• Noise at Work Regulations.
• Health & Safety (Display Screen Equipment) Regulations.
• Management of Health & Safety at Work Regulations, this should include
consideration of appropriate Health Screening for employees:
who drive significant distances on behalf of the NPS (eg excess of 10,000
miles) in the course of a year or who regularly drive mini buses (eg on a
weekly basis);
who experience trauma from contact with particular offenders (eg high risk
offenders, domestic violence offenders etc) ;
are new or expectant mothers.
Areas should ensure that health surveillance is undertaken by appropriately

qualified personnel and in accordance with the relevant national guidelines.
It is to be noted that health surveillance may be a new concept in some Areas

and may be viewed with suspicion by staff. It is therefore vital that health
surveillance is introduced sensitively and with full and timely consultation with
staff and the Trades Union Safety Representatives.
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STRESS MANAGEMENT Doc Ref: NPS/HS/8

It is NPS policy that the hazards arising from all work activities are
properly assessed for risk to ensure the reduction and ultimate
elimination of harm. This includes the risk to health associated with
stress at work. The objective of this procedure is to complement the
detailed NPS Management of Stress Policy (Ref 1) to provide a coherent
approach to the management of stress within the NPS as a contribution
to a culture of proactive health promotion.
Scope of the Application.
applied in all NPS Areas and the NPD in respect of the management of stress
to:
elsewhere);
the NPS.
The mandatory elements of best practice, which must be implemented, are
stated below (‘Specific Requirements’). Guidance on the implementation of
these is given in Ref 1.
Guidance on best practice for implementation is set out in Ref 1. Areas are
required to have in place suitable & sufficient local arrangements to ensure
that:
• Written risk assessments relating to stress at work are undertaken, by
competent persons, for each post (see ref 1).
• Where risks are identified, suitable control measures are introduced to
ensure that the risk to health is adequately controlled.
• All staff are managed in a way as to minimise the adverse effects of work
related stress on them.
• Sufficient resources are available within the organisation to effectively
manage stress at work
Implementation.
• Within 6 months of the above issue date
References
1 Management of The full and detailed NPS Management of
Stress. Stress Policy.
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TOBACCO SMOKING Doc Ref: NPS/HS/9

It is NPS policy to ensure that all employees can work in a smoke free working
environment. The objective of this procedure is to ensure a coherent approach
to smoking at work across the NPS.
Scope of the application

applied in all NPS Areas and the NPD in respect of the arrangements for
tobacco etc smoking at work.
This applies to:
• All employees
• All Contractors
• All other persons
who are on NPS premises, worksites and in NPS vehicles.

The following is the statement of best practice to be applied across the NPS.
arrangements to ensure that:
• Staff who do not smoke are protected from the dangers of other people’s
tobacco smoke.
Implementation
are of high quality; and in all other cases:
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ANNEX: OUTLINE GUIDANCE RE SMOKING AT WORK.
Definition and General Guidance

• Smoking includes the smoking of any substance (eg tobacco or herbal) in
the form of a cigarette, cigar or pipe.
• Occupational Health Advisors will provide advice to any employee who
wishes to stop smoking. Provision of assistive devices (skin patches etc) is
the responsibility of the employee and cannot be funded by the employer
(NB they can often be obtained free of charge from NHS ‘Stop Smoking’
support services).
Determining a Local Area Smoking Policy

The Area Joint Health & Safety Committee should consider one of the following
options, either:
a. Smoking is not permitted in any part of any NPS premises; or
b. Smoking is not permitted in any part of any NPS premises apart from
individual residents’ own rooms. (NB: smoking must not take place when
rooms are being cleaned or otherwise maintained by non smoking
personnel, and doors must be kept closed to prevent drift of smoke beyond
the room); or
c. Smoking is only allowed in clearly designated smoking areas (see below)
and is not permitted in any of the following locations:
offices;
reception areas;
restrooms, kitchens, lavatories and washroom areas;
committee and meeting rooms;
group rooms and workshops;
general circulation areas including corridors and stairs;
NPS vehicles
Smoking Areas (Option ‘c’ above)

In the event of option ‘c’ being selected, the following criteria should be applied
to designated smoking areas:
• Where possible designated smoking areas should be provided at all
premises, where they are not provided within the building an area outside of
the building should be identified.
• These must be properly identified by suitable signage on the doors/
entrances.
• In all cases:
Designated smoking areas must be sited so as to minimise the risk of
accidental fire from the careless disposal of lighted matches etc.
Suitable tamper proof containers for the disposal of cigarettes etc must
be provided at the designated smoking area.
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• Where designated general smoking areas are provided within a building (ie
in a room specifically designated as a ‘smoking room’):
External ventilation must be provided to prevent drift of smoke into the
remainder of the building and to provide a clean environment for
cleaning and maintenance personnel. (External ventilation by extractor
fans capable of changing the air in the room 2 – 3 times per hour will
normally suffice to prevent drift of smoke. These must be operated
when smokers are using the room. Access by cleaning/maintenance
personnel (other than those who are themselves smokers) should be
arranged such that the air in the room has had time to adequately clear,
typically for about an hour);
Access doors must be kept closed to prevent drift of smoke into the
general work areas.
• Where designated smoking areas are outside of a building they should be
located:
To afford smokers some protection from the elements (where
reasonably practicable);
In a way to ensure that non smokers are not exposed to environmental
tobacco smoke eg not near entrances or open windows (smoking at
entrances to buildings should be discouraged as a matter of principle).
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CONTRACTORS: SELECTION AND Doc Ref: NPS/HS/10
PERFORMANCE
Issued by: Bill Wood Page 1 of 4

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.

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

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

• Area Boards are responsible for providing appropriate information and
instruction to Contractors that is relevant to their health and safety whilst
working on site.
• NPD, the Areas and the Contractors are required to have in place
adequate mechanisms for consultation and liaison on matters affecting the
health and safety of all persons affected by the work of the various parties.
This may take the form of regular liaison meetings at a national and local
level as appropriate.
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PERFORMANCE
References

1 General guidance NPD: Approved Premises Heath and Safety
Manual
2 General guidance NPD: Property Management Contract Guide
(this relates to Approved Premises)
NPD: Property Management Contract Guide
(there is one per Division) e.g. North Division
Property Management Contract Guide
NPD: Property Area Handbook
(there is one per Division) e.g. North Division
Property Area Handbook
3 General guidance NPD: PC52/2003 Health and Safety re
Property
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FIRE PROTECTION Doc Ref: NPS/HS/11

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

The requirements set out in this procedure present the best practice applied
in all NPS Areas and the NPD in respect of fire protection and fire procedural
arrangements. It should be noted that NPS premises are no longer under the
jurisdiction of local Fire Authorities. As Crown property they are now the
responsibility of the Home Office Fire Service Inspectorate. 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. NPD and Areas (as appropriate) are required to have in place
suitable & sufficient local arrangements to ensure that:
• All NPS Premises are subject to a suitable Fire Risk Assessment;
• Premises comply with the findings of the Fire Risk Assessment;
• Suitable information/training is given to all relevant persons;
• Fire alarms and fire detection equipment are routinely tested and
maintained;
• Suitable and sufficient fire fighting equipment is provided;
• Emergency procedures are available and regularly practised
Implementation.
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ANNEX: OUTLINE GUIDANCE RE FIRE PROTECTION

Fire Risk Assessment
• NPD are responsible for arranging an initial Fire Risk Assessment of all
NPS premises. The result of that assessment will be site specific.
• Future and subsequent assessments will be the responsibility of the local
Area and will be undertaken by a competent person.
• Where any structural alteration is necessary or the provision of fire
protection equipment is required, this will be undertaken by the NPD.
• A fire risk assessment is not a one-off procedure; it should be continually
monitored to ensure that the arrangements remain realistic. It should be
reviewed if there is a significant change in: the occupancy, work activity,
materials or equipment used or stored (including furniture and fittings),
when building works are proposed or when it is thought the risk
assessment is no longer valid.
• When considering supervision of persons with a history of arson
related offences, the offender management assessments must take this
into account in assessing the overall risks particularly in respect of
Approved Premises.
• Where local issues are identified eg training of staff, provision of fire action
plans or other control measures these will be undertaken by a competent
person in the Local Area.
Instruction & Training
• Areas will ensure that local fire routines are understood, that staff training
is current and records of training are maintained.
• Training will include the identification and use of fire fighting equipment.
• Areas will ensure emergency procedure notices are displayed and
understood.
• Consideration should be given to the provision of appropriately trained fire
marshals, as may be identified by the Fire Risk Assessment.
• Particular account should be taken for groups or individuals with special
needs or mobility difficulties.
Fire Alarm & Emergency Procedure Testing
• NPD will arrange the inspection and maintenance of fire fighting
equipment, detection and alarm systems and emergency lighting in
accordance with manufacturers and statutory guidance.
• Areas will ensure the weekly test of the fire alarm system and any
additional periodic checks of emergency lighting and detection equipment.
Records of these tests must be available for inspection on the premises.
• Areas will arrange regular fire drills (6 monthly) in conjunction with a
Contractors representative as appropriate.
Other Issues
• Areas will identify and maintain emergency escape routes from buildings.
• Areas will arrange for the safe storage of all flammable substances in NPS
buildings.
• Additional guidance is given in Refs 1 & 2.
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References

1 Regulatory HMSO: The Fire Precautions (Workplace)
requirements Regulations 1996 (as amended 1999)
2 General guidance HSE: Fire Safety an employers guide ISBN
0-11-341229-0
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ASBESTOS Doc Ref: NPS/HS/12

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
• NPD 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.

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

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.

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

• 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.
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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
• NPD Estates will produce health and safety policies and guidance for the
whole of the estate.
Statutory Obligations
• NPD Estates will ensure the Estate is fully compliant in terms of statutory
requirements in respect of:
o Asbestos registers;
o Legionella testing;
o Fire risk assessments (ie the initial assessment);
o Electrical system and portable appliance testing;
o Lift maintenance testing;
o Pressure testing
o Gas safety;
o Eye bolt testing;
o Food hygiene tests(in approved premises);
o Disability Discrimination Act audits;
and any other statutory tests that may be required.
• Local areas will continue to ensure that all Health and Safety statutory
requirements are being met.
Monitoring Contractors Performance
(See also the NPS/HS/10, ‘Contractors: Selection & Performance’)
• NPD Estates 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.
• NPD Estates 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.
References

1 General Guidance NPD: Property Management Contract Guide
(there is one per Division) e.g. North
Division Property Management Contract
Guide
NPD: Property Area Handbook
(there is one per Division) e.g. North
Division Property Area Handbook
2 Approved Premises NPD: Property Management Contract Guide
Guidance
3 General space & HSE: ‘Workplace (Health, Safety & Welfare)
accommodation etc Regulations 1992’
requirements
4 Specific issues re new HSE: ‘Management of Health & Safety at
& expectant mothers Work Regulations 1999’
5 Specific issues re DSE HSE: ‘Health & Safety (Display Screen
work. Equipment) Regulations 1992’
6 Electrical installations HSE: The Electricity at Work Regulations
& maintenance/testing 1989.
of supplies
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PERMITS TO WORK Doc Ref: NPS/HS/14

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 and the NPD in respect of work requiring Permit to
Work Systems. The mandatory elements of best practice which must be
implemented are stated below (‘Specific Requirements’). Outline guidance on
the implementation of these is given in the Annex.

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

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

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


Annex. Areas are required to have in place suitable & sufficient local
arrangements to ensure that in the event of:
• Any premises becoming unusable, suitable arrangements are identified for
alternative premises (which may or may not be owned/leased/rented by
the NPS, but which should be in the same locality where possible).
• Key services (eg IT, power, water, catering etc) being unavailable, suitable
arrangements are identified for alternative means of supplying the required
service.
• The unavailability of substantive numbers of key staff, suitable
arrangements are in place for using alternative resources from within or
external to the Area.
Implementation.
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ANNEX: OUTLINE GUIDANCE RE CONTINGENCY ARRANGEMENTS.
Introduction.
It is a basic tenet of Contingency Planning that:
• Key staff are identified to handle specific issues.
• Key information re communication and the supply of equipment and
services is available to those identified members of staff.
The objective is to ensure that the right team of managers and support staff
are rapidly deployed to resolve the immediate impact of the initiating event (eg
fire resulting in loss of an Approved Premise). Detailed planning is not
appropriate (all contingencies cannot be covered – key is flexibility).
Whilst the various FM etc contractors will provide (though NPD) support in the
longer term, nonetheless Areas need to be in a position to deal with the
immediate aftermath of contingencies which render buildings or services
unusable. This Arrangement is aimed primarily at ensuring that this initial
phase is undertaken with due regard for the health, safety & welfare of
employees and others who may be affected by the event.
Where work is undertaken in non NPS premises (eg prisons, courts etc), the
contingency arrangements will be the responsibility of the organisation
responsible for those premises.
Nature of events
Identify the type of contingencies which could significantly affect operations
within the given Area etc (eg Fire, flood, terrorist or other violent activity, loss
of power, sudden loss of Approved Premises services, loss of significant
numbers of staff etc).
Key Staff
• Identify: key staff and their respective roles in the event of an emergency.
(This should include operational staff and the person in the Area
responsible for media liaison.)
• Ensure key staff are properly briefed/trained re their responsibilities. The
training will need to take account of the circumstances under which the
contingency plans must be activated. Exercising the plans provides an
excellent opportunity to test both the training requirements and the plans
themselves.
• Ensure there are adequate means of alerting the key staff (problems may
occur outside office hours).
Resources
• Maintain (and ensure the key staff have 24 hour access to) contacts for
any immediate requirements for replacement resources including:
o Alternate accommodation (neighbouring Areas may assist re Approved
Premises);
o Emergency generators;
o Drinking water supplies & sanitation;
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o Catering in Approved Premises (eg local ‘take-away’ establishments);

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

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.

applied in all NPS Areas and the NPD in respect of the assessment of risk of
exposure to hazardous substances to:
elsewhere);
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.)
• 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:
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.
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ANNEX: OUTLINE GUIDANCE RE DRIVING ON NPS BUSINESS

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

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

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.

exposure to 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 and the NPD have in place Joint Health &
Safety Committees. The objective of this procedure is to ensure a
coherent approach to such Committees across the NPS.

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

Annex. Areas and NPD are required to have in place suitable & sufficient
local arrangements to ensure that:
• A Joint Health & Safety Committee (JHSC) is established.
• The JHSC meets on a regular basis with a formal agenda and agreed
minutes.
• Membership includes:
• A member of the Area Board (not applicable to NPD);
• Appointed Trades Union Safety Representatives;
• The Senior Manager with functional responsibility for Health & Safety;
• A Senior Operations Manager;
• The Area Health & Safety Advisor.
• The JHSC works within agreed objectives and terms of reference.
Implementation.
aspects of this Arrangement must be demonstrated by all Areas as follows:
• Any Area that does not have a local Joint Health & Safety Committee
(comprising the membership and constitution as set out above) in place at
the date of issue of this Arrangement must ensure (through the Chair &
Chief Officer) that such a Committee is established within one month of
that date.
• Areas which do have a local Joint Health & Safety Committee (comprising
the membership and general constitution as set out above) should ensure
consistency/compliance with the detailed aspects of this Arrangement
within 12 months of the above issue date.
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ANNEX 1
OUTLINE GUIDANCE: JOINT HEALTH & SAFETY COMMITTEES
General guidance
This Annex provides guidance for compliance with the mandatory
requirements for Joint Health & Safety Committees (JHSC’s) in Areas and the
NPD (a statutory requirement (Ref 1)). The JHSC’s provide an essential role
in assisting in the improvement of health and safety performance. They are
not, however, a substitute for the overall management role. Area (and NPD)
management remains the accountable body for health & safety performance.
Committee structures
In most circumstances a single committee will suffice. However in larger
Areas it may be appropriate to support the main Area JHSC by means of sub-
committees representing geographical areas or types of work. In such cases
the membership should mirror that of the main Area JHSC (except that a
Board member would not be necessary) to be reflective of the management
and Trades Union structures in that ‘sub unit’. Sub-committees would report
to the main Area JHSC.
Membership
The minimum standards of membership are set out in the ‘Specific
Requirements’ section of this Arrangement. The following provides additional
guidance on membership:
• The number of ‘Management’ and ‘Trades Union’ members should be
balanced.
• The Area Board member (not applicable to NPD) should be drawn from
the independent Board Members (ie those who are not direct employees
of the NPS/Area).
• The ‘Appointed Safety Representatives’ are appointed and trained by the
Trades Unions (as defined in the relevant statutory provisions).
Appropriate ‘facility time’ must be made available as necessary to the
requirements of the role.
• Senior management representatives should include senior operational
managers (including, where applicable, ACO or higher) representing the
operational aspects of the Area (eg Approved Premises, Community
Punishment, General Probation activities etc) as well as the functional
activities (eg Human Resources).
• As well as the Area Health & Safety Advisor, the Occupational Health
Advisor (if appointed) should also be a member.
• Other persons may be co-opted as agreed by the Committee.
The JHSC arrangements must include the appointment of a Chair (this could
rotate between Management and Trades Union members if agreed by all
parties). Appropriate secretariat support must be provided. A quorum should
be established to ensure representation of the essential members (see
‘Specific Requirements’) and appropriate Management/Trades Union balance.
Meetings should not be cancelled except by joint agreement of all parties.
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Objectives and Terms of Reference

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

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

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

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

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

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

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

• Lone working (with offenders) should be considered against the general
risk criteria noted above. Where the risk is considered to be ‘significant’
(eg in some circumstances of evening, night or weekend work) then the
work should not be undertaken by a lone employee. Completion of out of
hours work should be reported to an appropriate contact point. Suitable
alerting systems should be available (eg mobile phones or remotely
operating emergency alerting systems).
• Lone working in offices, not with offenders or victims etc, carries
significantly less risk and whilst no special measures are required over and
above the normal workplace/task risk assessment, it should be
discouraged. Where it is necessary, it should be undertaken with the
agreement of the relevant local management.
Additional considerations
• Areas should have in place contingency arrangements for handling any
problems, failure to report etc.
• Employees undertaking Lone Working should be properly trained and
informed of the hazards likely to be encountered. Due account must be
taken of local conditions, access availability, adverse weather conditions
etc.
• Employees must always be advised to withdraw from a potentially violent
situation.
• The experience of the employee to detect an emerging problem should be
taken into account when planning Lone Working together with any pre-
existing medical conditions which could affect their ability to handle such a
problem.
• Victim liaison work should be subject to a risk assessment to determine
whether lone working is appropriate.
• There is a requirement to comply with local procedures for lone working
when working on the premises of third parties (eg prisons and courts)
except where the local Area system is more restrictive – when this should
take precedence.
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MANUAL HANDLING RISK ASSESSMENT Doc Ref: NPS/HS/22
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 and the NPD 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 & DTI: The Working Time Regulations, 1998
rest periods etc (as amended) (www.dti.gov.uk)
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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 and by the NPD (in respect of Estates issues) in
respect of Personal Assistance Alarms.

Annex. Areas and NPD (in respect of Estates issues) are required to have in
place suitable & sufficient local arrangements to ensure that:
• Personal Assistance Alarms are available where there is a risk of assault
and violence in the workplace;
• Such systems are capable of alerting (directly or indirectly) the appropriate
authorities;
• Systems are regularly tested and appropriate records maintained;
• Faults are promptly reported (see also NPS/HS/1 re specific reporting
requirements);
• Contingency plans are in place for reaction to an alarm and for situations
where the alarms fail;
• All relevant staff are suitably trained in the use of the alarms and the action
to be taken when an alarm is activated.
Implementation.
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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 NPD Estates may be responsible for installation & maintenance of
PAA systems, nonetheless, Areas (as the ‘Local Employer’) are
accountable for provision of a safe place of work. This must be taken into
account in respect of the installation of systems and the actions to be
taken in the event of a system failure.
Situations requiring alarms

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

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

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

• 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 and the NPD 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, NPD Estates or the Area).
• Health and Safety training needs analysis should be undertaken by
management to determine specific needs.
• Training may be undertaken in-house, using external trainers (who must
comply with the terms of the Area Health & Safety Policy Manual) or
external training courses (particularly where these are accredited by, for
example, the Institute of Occupational Safety & Health (IOSH)).
Local rules and instructions

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

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

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

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

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

training typically on a 3 yearly cycle to ensure they are fully conversant
with the current requirements.
Records
Areas should maintain records of the training undertaken by individual
employees. Case records should include the training undertaken by
offenders.
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USE OF EQUIPMENT IN THE WORKPLACE Doc Ref: NPS/HS/27
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 and the NPD 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 and the NPD in respect of work related violence. In
this context this means violence and assault perpetrated by an offender or
member of the public upon an NPS or Contractor’s employee. Assessment of
risk relating to an offender’s likely behaviour is covered elsewhere within the
NPS procedures.

• 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
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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 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 and the NPD 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.
Transitional arrangements: Where employees are currently undertaking an
accredited course (for the relevant qualifications defined above) at the date of
issue of this Arrangement, the qualifications are to be achieved within 2 years
of that date (except in exceptional circumstances as ratified by the local Area
Board).
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Measuring & Reviewing Performance
5) 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.
Since the NPS is a relatively new organisation, there has, to date, been no
collection of health & safety performance data by NPD. This is currently being
rectified and it is anticipated that the first annual review of this manual will
permit the establishment of a full regime of monitoring against targets for the
subsequent years. For the present this is not practicable and what follows is
therefore based on what can in practice be achieved in 2004.
Specific Monitoring and Review Processes
The following monitoring and review processes are to be introduced within all
Areas (including NPD) within the timescales indicated. Unless stated
otherwise, the local arrangements are a matter for agreement through the
Local Area Health & Safety Forum.
1. Accident & Incident Information: The detailed requirements (including

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

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

• Local Inspections: eg within a workshop, an Approved Premises,
a long term Community Punishment Project, an office suite etc.
These should generally be broadly based (eg using the model
check list in figure 5.1) though they may be focused on specific
work activities if a need is indicated by poor previous
performance.
• Thematic Inspections: which may be focussed on specific
activities or facilities across an Area particularly (but not
exclusively) where previous health & safety performance has not
been to the expected standard. Again the model check list may
be used for this purpose.
Workplace Inspections should be undertaken on the following
frequencies:
Local Inspections at not less than quarterly intervals for all areas
except in Approved Premises where the frequency should be
monthly because of the higher risk potential.
All Areas should undertake one ‘Thematic Inspection’ each
calendar year. Larger Areas (eg those with more than 1000 staff)
should consider a more frequent level of Thematic Inspections
dependent on their overall health & safety performance.
The results of the inspection (in the form of recommendations) must be
made available to the management and staff of the relevant area of work
– and more broadly if there are more general lessons to be shared (NB
this might include generally across the NPS). The completion of actions
must be tracked (the method identified for the tracking of accident/
incident investigation recommendations set out in Section 4 of this
Manual is recommended).
It is essential that all recommendations are promptly implemented. Area
Health & Safety Advisors should review the Inspection findings on a
quarterly basis and raise any outstanding issues with the appropriate line
manager and the Area Joint Health & Safety Committee.
These requirements for Local Inspections & Thematic Inspections must
be implemented in all Areas within 6 months of the implementation date
of this Policy Manual.
3. Specific Inspections of Display Screen Equipment: is a specific
statutory requirement. Specific detailed procedures are set out in
Section 4 of this Manual.
This requirement must be implemented with immediate effect.
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Improvement Targets.
Since the current level of performance has not previously been collated
across the NPS, it is not practicable to identify specific detailed targets for
improvement. In lieu of these there is a general requirement for Areas to
demonstrate a year on year statistically significant improvement in their
personal injury performance (eg as measured by the (over) 3 or 1 day lost
time accident frequency rate – as defined in NPS/HS/1). Specific targets will
be set for future years when the current level of performance is established.
Reporting Performance.
Section 4 sets out the internal and external reporting requirements for
accidents/incidents. The results of all inspections must be notified to the staff
working in the affected work area.
In addition, the results of general workplace and DSE inspections should be

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

performance. Areas are encouraged to benchmark and share experience at a
local, regional and national level with other Public Service agencies.
Involvement in local and national ‘Health & Safety Events’ (eg as sponsored
from time to time by the HSE) provides a further source of identifying
improvement opportunities.
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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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Issue Number Date of Issue
Issued by Page 5 of 6
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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Issue Number Date of Issue
Issued by Page 6 of 6
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.)
The Thematic Review (ie Audit) undertaken in 2002 – 03 served to identify the
current level of Health & Safety performance and compliance. Because of the
current need to improve significantly in this area the question of a detailed
audit programme within the NPS has been deferred for the present time. In
lieu of a detailed programme, the following general audit requirements will be
followed across the NPS.
NPD sponsored audits: A further Thematic Audit across the NPS will
be planned during the implementation of the three phases of the Health
& Safety Strategy announced in March 2003. NPD sponsored audits
will be developed in conjunction with the National Health and Safety
Forum.
Local Area Audits: Individual Areas should identify an audit

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

poor, it is recommended that this be deferred until significant progress
has been made in adopting the procedures to be developed in section
4 of this Manual.
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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).
Audit reports should be made available to NPD on request.
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HEALTH & SAFETY: NATIONAL

HEALTH AND SAFETY POLICY Probation

ACTION ISSUE DATE:

National Probation Directorate

THE NATIONAL HEALTH & SAFETY

Stephen Murphy Martin Wargent

Judy McKnight Ben Priestley

Date: 5th April 2004

Diversity Impact Statement

SUBJECT SECTION Issue Issue Date

Diversity Statement Page ii 1 5th April 2004

General Index Page iii 1 5th April 2004

General Introduction 1 1 5th April 2004

The National Health & Safety 2 1 5th April 2004

Measuring & Reviewing 5 1 5th April 2004

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

Application within the National Probation Directorate.

Review of National and Area Health & Safety Policy Manuals.

2 THE NATIONAL HEALTH & SAFETY POLICY

The National Probation Service People Management Strategy is:

‘Working in partnership to make the National Probation Service an excellent

The National Policy Statement.

3 ORGANISATION & KEY RESPONSIBILITIES

The National Probation Service Organisation.

General Responsibilities of all NPS Employees.

Specific NPS Line Management Responsibilities for Health & Safety.

a) The Director General

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

The Director General is accountable to The Commissioner for Correctional

 A suitably experienced member of the Board is appointed to take a particular

 Chief Officers are responsible for ensuring that:

 Local Area Health & Safety Advisors are responsible for:

c) Specific NPD Responsibilities.

 All Directors are responsible for ensuring that

The following Directors have additional responsibilities:

 The Director (Resources) is also responsible for ensuring that arrangements

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

The HR Manager, Health & Safety is accountable to the Director (Resources)

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

Index of Specific Arrangements

Title Ref No Issue Issue

Biological Contamination Risk Assessment 4 1 5/4/04

Competent Persons 30 1 5/4/04

Contingency Planning 15 1 5/4/04

COSHH Risk assessment 16 1 5/4/04

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

Drugs & Alcohol 5 1 5/4/04

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

Electricity at Work 19 1 5/4/04

Fire Protection 11 1 5/4/04

First Aid 6 1 5/4/04

Identification, Categorisation & Reporting of Incidents 1 1 5/4/04

Investigation of Incidents & Learning from Experience 2 1 5/4/04

Joint H&S Committees 20 1 5/4/04

Lone working 21 1 5/4/04

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

The Director General (NPS) is responsible for ensuring that:

A suitably experienced member of the Board is appointed to take a particular

Chief Officers are responsible for ensuring that:

Local Area Health & Safety Advisors are responsible for:

All Directors are responsible for ensuring that

The Director (Resources) is also responsible for ensuring that arrangements

The HR Manager, Health & Safety is responsible for: