Key Organisational Procedures and Model Policies

5.1 School Induction Procedures

To Heads of School with a copy for information to School Safety Officers

This circular reminds Schools of the need to have an induction system in place to ensure all new staff receive and understand crucial health, safety and fire information for their particular place of work.

The health and safety induction procedures for new recruits have been reviewed by the University Safety Committee. It is considered that the provision of basic, general health and safety information at a very early stage of a new recruit's time at the University is essential. All Schools are reminded of this important matter and to assist in the provision of this, and to promote consistency across the University, a Health and Safety Induction Questionnaire has been developed.

The purpose behind the questionnaire is to make the new recruit find out basic safety information thus raising awareness and consolidating this. A passive process whereby someone is merely given safety literature to read is much less likely to achieve this.

The preferred method for ensuring that appropriate health and safety information is given to the new recruit on induction is that s/he completes the attached questionnaire within a short time of starting in the School. The individual should be given the questionnaire on arrival at the School and their manager, supervisor, or School Safety Officer (whoever is designated by the School) should ensure that they have enough knowledge to complete the questionnaire satisfactorily. The questionnaire should be completed within the first week and returned to the designated person prior to incorporation into their personal records.

It is noted that some Schools will not need all parts of the questionnaire and therefore it is expected that Schools will modify the questionnaire to suit their needs. The questionnaire is available from the Safety Office in an electronic format to assist in this. A WordPerfect 5.1 or 6.1 version will be forwarded via E-mail to SSOs, on request, for easy alteration.

If a School feels that the induction procedures they already have in place are adequate it is not compulsory to use the questionnaire system. However, whichever system is used this should be described in the School's Safety Policy.

Please contact the University Safety Office if you have any queries concerning this issue.

It was agreed that a system be introduced in each School and this arrangement be part of the School's Safety Policies.

(The need for specific induction procedures has been discussed at the University Safety Committee. It is not sufficient to rely on general inductions offered by the University).

Thank you for your attention to this matter.

Dr J Sutherland

Safety Officer

Appendix - New Starter Health and Safety Induction Questionnaire

5.2 Safety Policy Statement

Statement of Intent

The School's safety policy should be read in conjunction with the University Safety Handbook. The policy has the objective of ensuring the health, safety and welfare of its staff, students and visitors and is issued to all staff / members of the School.

The Head of School is ultimately responsible for the adequacy and effectiveness of the School's arrangements for health and safety. He/she is assisted in performing the duties associated with these responsibilities by the School Safety Officer.

All members of staff and students are responsible for their own safety and the safety of others. Academic and supervisory staff shall conduct those activities over which they have control in a safe manner and in accordance with University and School policies and procedures. They will co-operate with the Head of School so that responsibilities at that level can be discharged. Assessment of work-related risks is a key part of managing the School's safety. Unsafe working practices must not be condoned. Any deficiencies, defects, faults, etc must be brought to the attention of the School Safety Officer.

State procedure by which new staff and students are given essential health and safety information regarding their place of work within a short time of them starting. (Refer Safety Circular P2/97A)

IMPORTANT TELEPHONE NUMBERS

University Emergency Telephone Number: 8888 (from any internal telephone). (U-Park)

Occupational Health : 14329

University Safety Office : 13401

5.3 Incident Reporting Procedures

5.3.1 Accidents, Occupational Illnesses and Dangerous Occurrences

For ALL incidents (injuries, near misses/dangerous occurrences and occupational health cases) an Incident Report must be completed. This includes accidents to ANY person, including students and visitors, in ANY part of the campus, including conference facilities, Halls of Residence and sports facilities. This is to ensure that basic information of the incident is available to the University in the event of any future enquiry and to enable the incident to be followed up with a view to the possibility of preventing further similar incidents.

Reporting of work-related injuries, diseases and dangerous occurrences/near misses is done via the on-line incident reporting system which replaces the previous paper-based system.The paper form is still available in most School/Departments for use at a local level, the details are then transferred by the School/Department to the on-line system. 

The on-line incident report form consists of a report section enabling rapid notification of the incident to the relevant staff and the Safety Office and may be completed by anyone who has sufficient information, e.g. the injured person, supervisor, first aider etc. In addition there is an investigation section enabling further information to be provided once the full details are known, this is completed by the local manager and/or safety officer. A comments/actions section is also available.

5.3.2 Fire Report Form

In the case of any fire occurring at the University, a Fire Report must be completed.

5.3.3 Reporting of Injuries, Diseases and Dangerous Occurrences to the Relevant Authorities.

The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) require certain types of incidents to be notified to the Health and Safety Executive within certain time limits.

The information provided enables the enforcing authorities to identify where and how risks arise and to investigate serious accidents. Should any major accident occur the HSE Inspector would wish to have an opportunity to visit the scene as soon as possible, before anything significant has been disturbed.

The RIDDOR Regulations require that major accidents must be notified as soon as possible to the Health and Safety Executive. The Safety Office makes the notifications to the HSE on behalf of the University. Consequently it is essential that the Safety Office is informed as soon as possible by telephone and by completing an on-line incident report, which identifies the more serious reportable incidents.

The types of major injuries which require notification to the HSE include:

• most fractures other than that of fingers or toes;
• major dislocations; some eye injuries;
• serious injuries from electrical accidents;
• some types of loss of consciousness;
• acute illness arising from exposure to harmful substances or biological agents;
• Injuries received as a consequence of being assaulted whilst working, and
• any injury which results in the injured person being detained in Hospital for more than 24 hours.

It is therefore essential that the Safety Office be notified as soon as possible of any accidents, which seem to fall into these categories. (This will ensure that reporting of a potentially notifiable accident is not unduly delayed by uncertainty over the outcome of the injury).

There is also a statutory requirement to notify the HSE of any other accidents which result in someone being absent for more than three days after the day of the accident. The Safety Office should be notified immediately by telephone on the first day of any such absence.

The Safety Office should be notified by telephone of any of the twenty-one categories of Dangerous Occurrences. These do not necessarily involve injury but have the potential of so doing. The one most likely to occur at the University is that of an uncontrolled release or escape of a potentially hazardous material, and an occurrence in this category should always be notified immediately to the Safety Office

There are similar requirements for notifications to the Environment Agency in relation to radiation incidents and the police or other authorities in relation to security of certain substances.

Appendix - New Starter Health and Safety Induction Questionnaire

Name Job/Position

School Date first employed

This questionnaire is designed to ensure that you have understood all the basic safety rules and procedures of the School you work in. You should be able to complete all sections. On completion, arrange to discuss your responses with your section manager.

Information and procedures associated with issues such as radiation, hazardous substances, etc which may be specific to your School must be provided to you by the School. You have a responsibility to ensure you are fully informed before starting work.

A. Fire

A1. What action should you take if you discover a fire?

A2. What action should you take on hearing the fire alarm?

A3. Describe the sound of the fire alarm?

A4. Where is your nearest means of raising the fire alarm?

A5. Where & what type are the nearest fire extinguishers to your normal place of work?

A6. What type of extinguisher would you use for (a) electrical fire, (b)chemical fire, (c) paper fire?

A7. What is your fire escape route?

A8. Where is your assembly point?

A9. Why should fire doors be kept closed?

B. Accidents/First Aid

B1. Where is your nearest first aid box?

B2. Who are the designated first aiders for your area and how would you contact them?

B3. What is the procedure for reporting accidents in your area?

B4. What is the internal emergency telephone number for the campus where you are working?

B5. What information would you give if you needed to telephone the above number?

C. Safety Responsibility/Procedures

C1. Who is your School Safety Officer and how would you contact them?

C2. Who is your safety representative and how would you contact them?

C3. Have you read and understood the University Safety Handbook and your School safety policy? Explain your responsibilities.

C4. Where would you find out more information about health and safety issues?

C5. Does your School have a Safety Committee? If so, how often does it meet?

D. Your Work and Safety

D1. The table below gives 20 hazards which are common in the university environment. Tick those which you might encounter in your line of work?

D2. State any other hazards specific to your work?

D3. Describe any health surveillance which your School requires you to undergo? State the frequency and where the surveillance is carried out?

D4. What type of personal protective equipment are you required to use for your work at the university?

D5. Describe the procedure for reporting of hazards or faults which you discover at work?

E. Miscellaneous

E1. Give reasons for maintaining good housekeeping and a clear and unobstructed workplace?

E2. Where is smoking permitted in your area of work?

E3. What checks should you make before using any work equipment?

E4. If you bring in electrical equipment from outside, what action should you take before using it at work?

E5. Have you been designated a “user” of display screen equipment? If YES, has your workstation been assessed? What training will you be given?

E6. Will your work involve much lifting and carrying? If YES, what is the date for your handling and lifting training course?

MODEL SAFETY POLICY

School of (name)

Safety Policy Statement

Statement of Intent

The School’s safety policy should be read in conjunction with the University Safety Handbook. The policy has the objective of ensuring the health, safety and welfare of its staff, students and visitors and is issued to all staff / members of the School.

The Head of School is ultimately responsible for the adequacy and effectiveness of the School’s arrangements for health and safety. He/she is assisted in performing the duties associated with these responsibilities by the School Safety Officer.

All members of staff and students are responsible for their own safety and the safety of others. Academic and supervisory staff shall conduct those activities over which they have control in a safe manner and in accordance with University and School policies and procedures. They will co-operate with the Head of School so that responsibilities at that level can be discharged. Assessment of work-related risks is a key part of managing the School’s safety. Unsafe working practices must not be condoned. Any deficiencies, defects, faults, etc must be brought to the attention of the School Safety Officer.

State procedure by which new staff and students are given essential health and safety information regarding their place of work within a short time of them starting. (Refer Safety Circular P2/97A)

IMPORTANT TELEPHONE NUMBERS

University Emergency Telephone Number: 2222 (from any internal telephone). (U-Park)
Occupational Health : 14329
University Safety Office : 13401

Safety Committees/School Staff Meetings

Either

Safety policy and safety issues are discussed by the School Safety Committee and this comprises representatives of all interest groups (See Appendix for list of current members). Any member of the committee may be approached to raise particular safety issues.  A meeting of the School Safety Committee is held ?????????????????(e.g. on a termly basis).

or

Health and safety is a standing item on agenda of the School Staff Meetings which are held ????????????????(e.g. termly). This is an opportunity for the policies and procedures of the School to be discussed and reviewed.

School Safety Inspections

To ensure that the School’s policies and procedures are being correctly implemented, inspections will be carried out every ... e.g. term (minimum annually). The frequency of monitoring will depend on the issues involved to some extent. Issues arising from inspections will be reported to the Safety Committee/ School Staff Meeting and appropriate remedial action instigated.
Any member of the School should report any defects, faults and other safety hazards to the School Safety Officer or the School’s secretary as soon as possible.

Fire

All members of the School must ensure they know the positions of the nearest fire alarm call point, internal and external telephones, fire extinguishers and exit routes.

• On discovering a fire:
- Activate the Fire Alarm by operating the nearest break glass call point.
- Dial 2222 via the nearest internal telephone and state location of fire.
- Use appropriate fire extinguishers if safe to do so and your escape route is clear.
- Evacuate the building.

• On hearing the fire alarm:
(The fire alarm sound is a ???????? e.g. continuous/intermittent/bell/siren)
- Immediately evacuate building by the nearest available exit, closing doors & windows.
- Do not use lifts or stop to collect personal belongings.
- Report to the assembly point which is ?????????????????????????
- Do no re-enter the building until instructed that it is safe to do so.

The fire alarm system is tested each week at ??????????????(time) by the Estates Office. A fire drill to test the School’s procedures will be held at least annually.

Add in any details which are specific to the School such as fire marshals or token systems e.g.

Fire Evacuation token system

In order that information is available for the Emergency Services on whether there are any persons remaining in the building immediately after an emergency evacuation, a fire token system is in place.

How the token system works:

• The (e.g. Old Engineering Building) Building is divided into sections identified by strategically placed fire tokens. In an emergency where evacuation is taking place, each token should be taken by the first member of staff passing it, they should check (with the assistance of others if appropriate) that the rooms within the section identified on the token have been cleared and evacuate the building reporting to the co-ordinator at the assembly point.

• Either (for single School buildings):
The co-ordinator will be one of a number of senior members of the School’s staff nominated to take charge in the event of an emergency. The co-ordinator will be identifiable by a high-visibility waistcoat.

• Or (for multi-occupancy buildings):
As the (e.g. Old Engineering) Building is occupied by several Schools, there is a co-ordinated system for the building as a whole and so the co-ordinator may not necessarily be a member of the School. The co-ordinator will be identifiable by a high visibility waistcoat.

• As the co-ordinator receives information from those who have picked up a token, he/she will be able to inform the Emergency Services of which sections of the building have not been cleared.

First Aid and Serious Injury

First Aid assistance can be summoned by calling for a first aider if available (see Appendix for current contact list) or dialling the University emergency telephone number (2222). First Aid boxes are kept in rooms ??????????? First Aid supplies are maintained by the First Aiders and any use of first aid supplies should be reported to them.

In cases of serious injury, request an ambulance by calling the emergency telephone number 2222 (U-Park). State location of injured person.

Accident and Incident Reporting

All injuries, diseases and dangerous occurrences must be reported in line with the university procedures laid out in the University Safety Handbook and in Safety Office Circular P1/95A.

University Report Forms are available from ???????e.g. SSO??????  The University Safety Office must be contacted immediately following major injuries and certain dangerous occurrences (refer to Safety Office Circular P5/96B for definitions.

Electrical Safety

The School will comply with the University Code of Practice for Electrical Safety. All items of portable electrical equipment shall be inspected/tested in accordance with the guidance in the above document. Inspection and testing is carried out by (specify as applicable: own technician/ other university section/outside contractor). An inventory of equipment is maintained by ????????????? and is kept ??????????????. Any new items of electrical equipment including those which are brought from home must be added to the inventory and inspected/tested. Members of the School must report any problems arising with electrical equipment to the School Safety Officer (or other designated contact, state in Appendix).

Manual Handling

The School seeks to minimise the risk of injury from manual handling operations. Members of the School who are regularly involved in such operations shall receive training in lifting and handling. Where practicable, mechanical aids will be provided to minimise the risk of injury.

Please report any manual handling issues to ?????????????(e.g. SSO or other appointed person).

Display Screen Equipment (DSE) Safety

The School implements the University policy concerning DSE (refer USO 9/93A) in order to provide a safe environment for staff whose work is highly dependent on the use of DSE.

The Users’ (University employees who habitually use DSE as a significant part of their normal work) within the School are identified and assessments of their workstations are carried out. Records of this information are maintained by SSO/DSE Assessor, (see Appendix for current designee...) and any queries regarding DSE safety should be directed to that designee.

All Users’ will receive training in Safe Use of DSE in order that they are aware of the hazards and precautions. Eye tests are available for Users’ via University Occupational Health (refer to USO P9/94A).

Smoking

Smoking is not permitted in University buildings except in designated areas. Please refer to the University Smoking Policy on p19 of the Safety Handbook for further guidance.

Out of hours working

State relevant procedures e.g. Individuals must sign the late working book when they work outside the hours of ????? and ????? OR Individuals must seek the permission of ????????????????? to work outside the hours of ???????????????????

Children and Young Persons on University Premises and Adult Companions Assisting in University Work.

The School will comply with the guidelines set out in Safety Office Circulars P7/95A & B. These are summarised in the University Safety Handbook.

Fieldwork / Placements

This type of work can pose particular risks depending on the environment. Organisers of such work must prepare a Safety Statement with details of the work, where and when it takes place, who is attending (staff and students), what activities are involved, the foreseeable risks and necessary control measures to be in place. Refer to Safety Office Circular P10/97A for further details concerning Fieldwork safety.

Work in High Risk Countries
The School follows the University Guidelines for evaluating the risks to personal safety and the inoculation requirements for University-related work/trips in high risk countries, (refer to Safety Office Circular P4/97A). Individuals are not expected to visit areas where there could be significant concerns for their health or safety. Where risks are identified the trip/work will be discussed with the Head of School for justification.

Signed (Head of School) 

Date

Appendix

Last update:

School Safety Officer:

Members of Safety Committee

 
First Aiders

Fire Marshals

Contact for Electrical Safety:

Contact for Display Screen Equipment Safety issues:

Contact for Manual Handling Operations Safety issues:

Other key contacts

New Reporting System for Accidents, Occupational Illnesses and Dangerous Occurrences

This circular describes the new form and associated revised procedure for reporting and investigating accidents, occupational illnesses and dangerous occurrences.

Following the exhaustion of the current stock of accident/incident report forms the opportunity has been taken to redesign them. A copy of the new form is attached to this circular, along with a copy of the guidance notes which will accompany the pads of forms. The form has been produced following extensive consultation and a trial run in six diverse Schools. It should be distributed to all Schools by the middle/end of January 1995. Upon receipt of the new forms any remaining stocks of the old forms, and where relevant of the trial forms, should be disposed of.

The Safety Office will hold all stocks of the new forms. Therefore, requests for further pads should be made to the Safety Office and NOT to Superannuation as previously.

The main feature of the new form is that it is split into two sections - a report form and an investigation form.

The report form continues to collect the basic information which will be immediately available at the time of the incident and thereby enable rapid notification of the incident to be made to the relevant sections of the University. In this respect it is not significantly different from its predecessor. The medical treatment section has been designed to highlight the situations where prompt direct notification to the Safety Office by telephone is required, since it may be an incident for which there is a statutory requirement upon the University to notify the Health & Safety Executive. It is not important as to who completes the form, e.g. injured person, line manager, supervisor, witness or first aider.

The main change with respect to the original form and system is the inclusion of an investigation section to the form. The purpose of this is to overcome a deficiency in the previous system whereby a large proportion of accidents were reported by the injured person, rather than by someone in a position of responsibility for either the place where the incident occurred, or for the person who sustained injury, with the possible consequence that it may not have been drawn to the attention of someone in a position to identify the underlying causes and implement remedial action.

The investigation form is designed to be completed by an individual with responsibility as described above, e.g. a line manager or academic supervisor. The layout of the form provides a structure for the investigation of the incident leading to the implementation of remedial action. The risk analysis section is designed to assist in the prioritisation and allocation of resources, where required, for the remedial action proposed.

Where the investigation has identified a need for remedial action, the injured person and any others who may either be affected by, or need to be aware of, the action, should be informed of this.

The investigation form also contains a space for recording a measure of the severity of the incident and the disruption caused, albeit somewhat crudely, by way of an estimate of the duration for which the injured person was unavailable for their usual work.

Although at first glance the addition of the investigation section to the procedure might appear to be imposing further bureaucracy, this should not in reality be of significance since for the most part there are very few accidents in any one School in a year. Furthermore, the line manager/academic supervisor will be likely to vary from accident to accident. It is also anticipated that where the investigation form has been satisfactorily completed, this will then avoid, in most cases, the need for a follow-up form to be sent out. Occasionally however, some additional information may be requested.

The form is self-carbonating in duplicate, with perforations to enable the report form to be detached from the investigation form after completion. (The forms are sequentially numbered to enable them to be subsequently collated).

It should be noted that the top copy of the report form is to be sent to Superannuation in Trent Building (as in the past) from where it will be further distributed. The top copy of the investigation form however should be returned directly to the Safety Office.

During the design of the new form a compromise on size has had to be made. Although space is somewhat more restricted than previously, it should be sufficient. The trial run showed this to be preferable to either an A3 pad or a separate A4 pad for each of the report and investigation forms.

Accident/Occupational Illness/Dangerous Occurrence Report and Investigation Forms

Statutory Reporting Requirements

The University is obliged under the Reporting of Injuries, Diseases & Dangerous Occurrences Regulations 1985 to notify certain categories of accident to the Health & Safety Executive. Serious injuries such as fatalities, amputations, major fractures, eye injuries, loss of consciousness, acute illness and hospitalisation for over 24 hours require immediate notification to the HSE. This will be done by the Safety Office (see Safety Office Circular 4/93D). Should any of the above conditions occur, the Safety Office must be notified at once. If in doubt, telephone the Safety Office anyway. Lesser injuries which involve incapacitation for normal work (including absence or "light duties" for more than 3 consecutive days after the day of the accident also need to be notified to the HSE within 7 days of the accident. The Safety Office must also be notified of this as soon as it seems likely in order that the statutory report can be sent to HSE.

Notes for guidance in completing the forms:

This pad contains a 2-part self-duplicating form. One part comprises a report form and the other an investigation form. The forms are numbered sequentially to enable their subsequent collation. The forms should be completed as follows:

Report Form

As soon as possible after an accident or incident has occurred, or an occupational illness identified, the report form should be completed. The information is basic and this can be completed by any person with the relevant information, e.g. injured person, line manager, witness. It should be completed in respect of all accidents/incidents which occur on University premises or which involve members of the University who are engaged in University activities off the premises.

Although this form is generally self explanatory, it should be noted that the medical treatment section contains 9 tick boxes concerning the treatment given. As many boxes as are relevant may be ticked; for example first aid might be provided before the casualty is sent to hospital where upon a major injury is diagnosed, thus 3 boxes would be completed. If any of the 3 right hand boxes need to be ticked then the Safety Office must be notified as soon as possible (internal telephone 13401) since the accident would be one for which the University has a statutory responsibility to notify the Health & Safety Executive.

On completion, the TOP copy of this form should be detached along the perforation and sent to Superannuation in the Trent Building.  The bottom copy should be retained by the School.

Investigation Form

This form should be completed by the line manager, academic supervisor etc. responsible for either the person who sustained the injury or for the location where the accident occurred. It should be completed as soon as the necessary information is available. The TOP copy should be detached and sent directly to the Safety Office, NOT to Superannuation. The bottom copy should be retained by the School.

Causative agent

Tick box appropriate to the cause of the accident. If more than one box seems appropriate then the initiating event should be identified. For example spillage resulting in an explosion should be categorised under "unintentional spillage/release".  However an explosion which causes a spillage should be categorised under "explosion". Similarly an accident involving a fall or sharps as a result of a manual handling operation should be classified under "handling/lifting". In general the categories are self-explanatory. However the following is provided for clarification on some of the agents.

• Live animal - include all accidents caused by being bitten, stung, crushed, mauled etc. by laboratory animals or livestock.

• Explosion - include all forms of explosion caused by chemicals, gas leaks, pressure vessels, cryogenic liquids, steam pipes, glassware explosion/implosion.

• Fire - include all fires, whatever the cause, requiring a fire extinguisher, fire blanket or the Fire Brigade to extinguish. A fire report should also be completed.

• Handling/Lifting - include muscular skeletal injuries and cuts, fractures etc. whilst manual handling.

• Sharps - include cuts from laboratory glassware, broken panes of glass, broken crockery, needle punctures.

• Hand tools - include power and non-powered hand held tools.

• Hot/cold contact - injuries resulting from steam, furnaces, ovens, cryogenic materials.

• Machinery - exclude vehicles and fork lift trucks.

• Unintentional spillages/releases - include chemicals, highly flammable liquids, oils, radioactive substances, radiation including lasers and X-rays etc., micro-organisms and molten metal that cause or have the potential to cause injury.

• Defective sports equipment - exclude playing field accidents unless Physical Education students/staff involved.

• Vehicle/traffic accidents - include collisions on campus roads or on public roads during University activities, e.g. field work.  Exclude off-campus accidents whilst travelling to or from work/site.

• Other - include anything not covered by previous categories.

• Occupational illness - injury or ill health resulting from prolonged, rather than acute (single event) workplace exposures to the causative agent and which has been diagnosed by a registered medical practitioner, e.g. a GP.

Descriptive sections

Please complete as appropriate. Consideration should be given to the correct design, maintenance and selection of equipment for the task; availability of clear operating instructions, safety information and assessments (e.g. risk, COSHH, noise, etc.) and their date; and the selection, training and supervision of the person performing the task. Only brief information is required to indicate the strategy for controlling the hazards, with expansion where necessary to identify how and why the accident occurred, and to prevent a recurrence.

Where any section is not applicable or not relevant please indicate.  If the reason for this is not self-evident please give a brief reason.

Fire Report

A fire report form must be completed in respect of ALL fires occurring on University premises. Please return one copy to the Safety Office, a second copy to the Security Office, retain a third copy for your files.

Reporting of Injuries, Diseases and Dangerous Occurrences

Summary

This circular deals with the requirements under the recent Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 which came into force on 1 April 1996. These regulations replace the 1985 RIDDO Regulations. This circular seeks to remind responsible personnel of the University’s arrangements for complying with these Regulations.

The reporting of accidents, ill health and dangerous occurrences is a legal requirement. The regulations aim to consolidate and simplify the law concerning the reporting of work-related accidents, dangerous occurrences and diseases to the enforcing authorities. The information enables the enforcing authorities to identify where and how risks arise and to investigate serious accidents.

This circular describes the actions to be taken to comply with the Regulations including the new reporting requirements arising from the revision of the Regulations (see below). This circular replaces circular 4/93D, and follows up the earlier E-mail notice of the changes involved.

The scope of the reporting procedure includes injuries to persons on University property and to those in other locations engaged in activities related to the University. It includes employees and non-employees, i.e. students, members of the public.

If an accident occurs note that the first priority must be to render first aid, take remedial action to deal with injuries and render the situation safe. Then, for certain serious accidents the Health and Safety Executive must be notified immediately as an Inspector may wish to have the opportunity to visit the scene as soon as possible, before anything significant has been disturbed. The University arrangements to deal with this are given on the attached sheet marked ACTIONS.

The New Reporting Requirements:

1 Accident has now been defined to include ‘acts of violence’ if arising out of
or in connection with work.

e.g. A supervisor is hit by an employee while giving an instruction to carry out a work-related task. If as a result, the supervisor dies, suffers a major injury or over-3-day physical injury, this would be reportable to HSE.
e.g A technician in a laboratory hits another during an argument over a personal matter.
Any injuries suffered would not be reportable to HSE.

2 Reportable injuries to members of the public (i.e. non-employees : students,
contractors, visitors, members of the public) are now :

 i) deaths
ii) any injuries which cause a person to be taken from the site of the accident to a hospital for treatment.

Reporting of MAJOR injuries for such persons is not a separate category as serious injuries would fall under category ii) above.

Summary of occurrences that need to be reported to the HSE:

1 Death or major injury (for definition, see Appendix)

(For employees this includes as a result of physical violence. For members of the public, reportable if killed or taken to hospital.)
Safety Office must inform HSE immediately by telephone and in writing within 10 days.

2 Dangerous occurrences (for definition, see Appendix 2)

Safety Office must inform HSE immediately by telephone and in writing within 10 days.

3 Accidents resulting in incapacity to work for more than 3 consecutive days (including as a result of physical violence).

 Safety Office must inform HSE in writing within 10 days.

4 Certain specified work-related diseases (for definition, see Appendix 3)

Please ensure that all members of your staff are aware of these requirements and include in your School’s Safety Policy details of who will carry them out.

Do not forget that in all cases of accident, whether reportable or not, a University accident report form must be completed in respect of injuries to any person in any part of the University. Refer to Circular P1/95A for the procedure for accident forms.

Dr J A Sutherland
Safety Officer

Actions

Note: Where immediate notification to the University Safety Office is specified either Telephone 13401, fax 13399 or notify by E-Mail

A For notifying Serious Accidents:

 i.e. Death, Major Injury,
Member of public taken to Hospital
(major injuries are defined in Appendix 1)

1 The person on the spot shall ensure that the appropriate Head of School, Hall Manager, or in their absence a line manager of similar status, is informed together with the School Safety Officer.

2 A person on the spot shall immediately notify the University Safety Office.

3 If there is no reply from the Safety Office then:

a) the Health and Safety Executive must be immediately telephoned directly (0115 - 9712800) giving necessary details of the incident.

 b) The Safety Office must be informed as soon as possible. Any documents may be faxed directly to the Safety Office on 13399.

4 Out of Hours procedure

 a) Normal immediate action of dealing with any injured persons must be taken, and any action to make the area safe;

b) The reporting procedures in 2 and 3 above shall be put into operation at the first opportunity during normal working hours.

1. Nothing should be disturbed until a preliminary investigation of the facts, backed up as appropriate by descriptions and/or photographs has been made by someone in authority in the School or by the University Safety Officer or an HSE Inspector.

6 If in any doubt about whether an incident constitutes a major injury, contact the Safety Office immediately for advice. Notify the Safety Office immediately if an injured person has a suspected major injury such as a broken bone.

B For notifying Dangerous Occurrences

Follow stages 1 - 5 above as for notification of Major Injuries.

There are 21 categories of Dangerous Occurrences (see Appendix 2). These do not necessarily involve injury but have the potential of doing so. Those most likely to occur at the University are:

• an uncontrolled release or escape of a potentially hazardous material;

• an explosion or fire causing suspension of normal work for over 24 hours.

Occurrences in these categories should always be notified immediately to the Safety Office.

C For notifying Other Accidents involving absences of more than 3 days:

Immediate notification of the University Safety Office should be made on the first day of any absence following an accident. It is a legal requirement to notify the HSE within 10 days in writing of absences of more than 3 days. This notification will be made by the Safety Office.

D For notifying Reportable Diseases:

Complete a standard University accident report form in the usual way upon receiving notification from a doctor that an employee suffers from a notifiable disease. Appendix 3 contains an illustrative list of reportable diseases.

Appendix 1

Definition of Major Injury

For further explanation or guidance on the following list, please contact the Safety Office or refer to HSE publication L73 : A Guide to the Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 1995.

1. Any fracture, other than to the fingers, thumbs or toes.

2. Any amputation

3. Dislocation of the shoulder, hip, knee or spine.

4. Loss of sight (whether temporary or permanent).

5. A chemical or hot metal burn to the eye or any penetrating injury to the eye.

6. Any injury resulting from an electric shock or electrical burn (including any electrical burn caused by arcing or arcing products) leading to unconsciousness or requiring resuscitation or admittance to hospital for more than 24 hours. 

7. Any other injury:

a) leading to hypothermia, heat- induced illness or to unconsciousness
b) requiring resuscitation, or
c) requiring admittance to hospital for more than 24 hours

8. Loss of consciousness caused by asphyxia or by exposure to a harmful substance or biological agent.

9. Either of the following conditions which result from the absorption of any substance by inhalation, ingestion or through the skin :-

1. acute illness requiring medical treatment; or
2. loss of consciousness

10 Acute illness which requires medical treatment where there is reason to believe that this resulted from exposure to a biological agent or its toxins or infected material.

Appendix 2

Dangerous Occurrences

For further explanation or guidance on the following list, please contact the Safety Office or refer to HSE publication L73 : A Guide to the Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 1995.

1. Collapse, overturning or failure of load-bearing parts of lifts and lifting equipment.

2. Explosion, collapse or bursting of any closed vessel or associated pipework

3. Failure of any freight container in any of its load-bearing parts

4. Plant or equipment coming into contact with overhead power lines

5. Electrical short circuit or overload causing fire or explosion

6. Any unintentional explosion, misfire, failure of demolition to cause the intended collapse, projection of material beyond a site boundary, injury caused by an explosion

7. Accidental release of a biological agent likely to cause severe human illness

8. Failure of industrial radiography or irradiation equipment to de-energise or return to is safe position after the intended exposure period

9. Malfunction of breathing apparatus while in use or during testing immediately before use

1. Failure or endangering of diving equipment, trapping of a diver, an explosion near a diver, or an uncontrolled ascent

11. 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

12. Unintended collision of a train with any vehicle

13. Dangerous occurrence at a well (other than a water well)

14. Dangerous occurrence at a pipeline

15. Failure of any load-bearing fairground, or derailment or unintended collision of cars or trains

16. A road tanker carrying a dangerous substance overturns, suffers serious damage, catches fire or the substance is released

17. A dangerous substance being conveyed by road is involved in a fire or released

18. 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

19. Explosion or fire causing suspension of normal work for over 24 hours

20. Sudden, uncontrolled release in a building of: 100 kg or more of flammable liquid; 10 kg of flammable liquid above its boiling point

21. Accidental release of any substance which may damage health 

Appendix 3

Reportable Diseases

For further explanation or guidance on the following list, please contact the Safety Office or refer to HSE publication L73: A Guide to the Reporting of Injuries, Diseases, and Dangerous Occurrences Regulations 1995.

1. Certain poisonings 

2. Some skin diseases such as occupational dermatitis, skin cancer, chrome ulcer, oil folliculitis/acne 

3. Lung disease including: occupational asthma, farmer’s lung, pneumoconiosis, asbestosis, mesothelioma

4. Infections such as leptospirosis, hepatitis, tuberculosis, anthrax, legionellosis and tetanus

5. Other conditions such as: occupational cancer, certain musculoskeletal disorders, decompression illness and hand-arm vibration syndrome.

Health and Safety Responsibilities of Supervisors towards Postgraduate and Undergraduate Students
 
(P 2/94C Feb ‘94 - revised June ‘98)

To Heads of School in the 6 Faculties with a copy for information to School Safety Officers

The ‘Health and Safety Responsibilities’ document provides guidance for academic supervisors in respect of the supervisory aspects of their role in ensuring the safety of their students.

Guidance in this area has been produced in the light of recent changes in legislation and following accidents in laboratories in 1989 and 1991 resulting in criminal prosecution of the university involved in one instance, and the lecturer in the other. The CVCP issued notes of guidance in 1989 and 1993. This document implements the CVCP guidance and is issued following extensive consultation by Safety Working Group.

During consultation the issue of the civil liability of academic supervisors was raised. This matter is dealt with in a statement from the Chief Financial Officer's Office dated 18th October 1989. Briefly the insurance policies carried by the University would compensate a student, visitor or employee injured as a result of negligence on the part of the University. Legal costs for members of staff in the event of prosecution under Health and Safety legislation are similarly covered, although indemnity against any fine imposed is not provided. For further information the above mentioned statement should be consulted.

D A Beeby - Chief Financial Officer
J A Sutherland - Safety Officer

5.4 Responsibilities of Supervisors towards Postgraduate and Undergraduate Students

This document interprets and applies the recent CVCP Note of Guidance N/93/111, ‘Health and Safety Responsibilities of Supervisors towards Postgraduate and Undergraduate Students’ . It provides guidance on the supervisory mechanism by which this aspect of the University’s responsibilities for the health and safety of its students should be implemented.

Guidance Objectives

The University has a responsibility under Health & Safety legislation to provide task supervision (not to be confused with academic supervision) for both undergraduate and postgraduate students to the extent necessary to ensure that they are able to perform their work safely. This guidance considers both categories of student. Most of it is directed towards postgraduate students since the work of undergraduates is usually controlled by the protocols forming the practical side of their course work.

The objectives of the guidance are to ensure that:

a) the supervisory aspects of the preventative measures identified by the risk assessments required by the Management of Health & Safety at Work Regulations 1992 are fully considered, and

b) The students concerned are informed of those aspects of their work where closer supervision of these tasks is needed for the work to be carried out safely.

The Guidance

The duty to provide supervision of students’ work activities to ensure their safety is delegated to the Head of School and subsequently to the members of staff directly responsible for the work (the supervisor). The purpose of this element of student supervision is to ensure that those activities with attendant risks are carried out in such a way that the precautions necessary are correctly applied.

Effective supervision will be based on School procedures, systems of work and monitoring arrangements. In the case of postgraduate students the duty of the supervisor cannot be discharged solely by relying on the student’s status or competence. Initial training of new postgraduate students in safe operating procedures is an essential element of this duty.

Supervision itself is a flexible concept which varies from close and direct involvement with the student in the tasks whilst they are being learnt, to a more distant approach once competence is demonstrated, at which point it becomes a guiding and monitoring activity to ensure that deviation from the safe procedure is not occurring and that other hazards are not being introduced. Consequently, the supervisor will not be required to be directly present during the performance of all tasks although an awareness of the activities of the students under his or her control will be needed and they should be available. There will of course be some tasks in which the risks involved necessitate the direct presence of the supervisor to ensure their safe execution.

Continued supervision of the student will be needed during periods of absence by the supervisor. There will be a need therefore to have mechanism to provide this cover. The simplest method would be to have prior nomination of the "deputy supervisor” to accommodate sudden absences such as through illness. The role of the deputy would usually be limited to being aware of the student’s activities and competence, and being reasonably available for consultation by the student. Direct task supervision of the student should await the return of the student’s own supervisor unless the necessary competent support can be provided, for example by the supervisor personally or by other research workers or technicians - (see below - penultimate paragraph).

Application to Undergraduate Work

For routine undergraduate practical work the risks associated should have been minimised by the design of the experiment or task. The work should be carried out following the written protocol for that work. Supervision of the practical session will be by the responsible academic and/or appointed competent nominees for whom the academic will be responsible.

The extent to which direct task supervision will be needed will depend upon the residual risks of the work, i.e. those which cannot be minimised by the experimental design. The supervisory provision should be sufficient to allow monitoring of the group as a whole with an allowance for those elements where direct task supervision is needed so as to avoid dilution of the general supervision of the group. It is anticipated that these considerations will be broadly in line with the academic requirements for supervision.

For undergraduate projects the supervisor should ensure that the risks of the work have been assessed and that it complies with School procedures and local rules etc. The precautions necessary to prevent personal harm should be written down and explained to the student. These precautions should include those elements of the project where direct supervision of the task is needed for safety reasons and who will provide it.

Effective or adequate supervision does not mean that constant attendance by the supervisor is either necessary or usually required although he or she should be reasonably available. The supervisor should check that the student is following the correct procedures and that alterations are not introduced without consultation. The student should not work alone in the laboratory and for low risk activities it would be sufficient under the above circumstances if other members of the research group are close by. The supervisor or authorised nominee will of course need to be in attendance where a greater degree of care is needed to prevent danger.

Application to Postgraduate Work

Those activities carried out by a research group which have attendant dangers require risk assessments to be done (Management of Health & Safety at Work Regulations 1992). The risk assessment, having identified the hazards involved, how they can occur and the likely consequences, should specify the precautions to be taken to prevent danger.

Where minor hazards are involved, such as where the worst consequences can easily be dealt with by first-aid, and where the precautions are simple to use, then comprehensible written instructions or protocols would be sufficient. The supervisor should ensure that the student has been instructed in these and understands them. Adherence to these should also be monitored by the supervisor, for example from his or her direct observations from regularly seeing the student at work. The supervisor may also receive feedback from other members of the research group about the student’s ability to work to the procedures.

Where the hazard could cause severe consequences, such as serious personal injury arising from loss of containment of toxic or flammable material, release of energy such as pressurised gas, high energy laser or electricity or from dangerous machinery and where lack of knowledge or experience could cause an error to be made in applying the precautions, then the risk assessment should also specify the training and competence needed to perform the task. The complexity of the precautions also needs to be taken into account, since increased complexity could increase the likelihood of a failure to correctly apply them. If the work requires more than one person to be involved in it for safety reasons, then this should also be stated. Once the student has been trained in the safe performance of the task and has satisfied the supervisor of his or her competence, then the student could be authorised for this without direct supervision.

Research is a dynamic activity with the nature of the work and experimental technique changing as the work progresses. The simplest method of linking the various risk assessments to the project would be to list those relevant to the project which entail particular training and supervisory requirements. This list of the projects’ supervisory requirements would thus contain those research tools which are available for the project and pose the highest risks. For the detail the supervisor and student should refer to the actual risk assessment which need not be reproduced in the list.

The list would serve in effect as a training record and a means for authorising the student to use the equipment or procedure in accordance with the protocol contained in the risk assessment. It would be updated by the supervisor as competence in these is demonstrated.

The following categorisation of the supervisory requirements should be used.

Category A The task must be directly supervised;

Category B The supervisor’s advice and approval must be sought before the task is performed;

Category C The work entails risks requiring careful attention to the safety related aspects of it and the student has been trained in the work and has demonstrated competence;

Category D The risks are insignificant and carry no special supervision considerations.

In preparing the list of higher risk activities only those meeting the criteria for category A or B will need to be included. Category C is an option to be used for reclassifying the supervisory arrangements once the student has become competent. Category D is an option to be used in the risk assessments only in order to show that this element has been considered. It is not relevant to this procedure which considers the major risks.

For example, a high risk activity may initially be classified as category A and consequently close task supervision would be provided whilst the student becomes familiarised with the procedure.  Once competent the student may be authorised to take greater responsibility for the work and this should be reflected by reclassifying this activity in the individual’s project outline. The student may then perform that procedure without direct supervision subject to any other requirements of the risk assessment or general School procedures such as “out of hours working”.

In many cases the work may be reclassified from A to C. There may however be circumstances where closer control is required due to the nature of the hazard or the potential for it being realised. For example a second competent person may be needed in attendance or subsequent modifications may need to be discussed with the supervisor. In this instance reclassification to a category B would be appropriate.

The outline should be updated to accommodate new or unforeseen procedures which are introduced as the project develops.

The list should be restricted to high risk activities as defined earlier since it is concerned with instances where a high level of task supervision is required. This should greatly limit the number of tasks which need to be included and facilitate updating as necessary.

In many areas the facilities available will be more or less common to all the students in that group. The simplest means of complying with this guidance would be to use a generic sheet of all the group’s high supervision tasks, a copy of which is then used for each student. A copy of a suitable form for the list is attached to this document. It is entitled “Project Supervisory Requirement Form”. Unless this format presents any particular problems to a School or group, it is recommended that this is adopted.

Both the student and the supervisor should retain a copy and both copies should be updated. In this way it serves to confirm to the student those tasks that are subject to certain restrictions.

Within the above framework both technical staff and other experienced and competent postgraduates could be used as a training resource in the group where they possess the necessary skills. It would remain the responsibility of the academic supervisor to ensure that the technicians or postgraduate was competent to provide the instruction needed. The academic supervisor would also be responsible for assessing the competence of the recipient for the purpose of authorisation.

The system described above could equally well be used to provide training for any new research workers, including visitors, research assistants and technicians. It is recommended that this is adopted unless there is already a similar system in place.

Project Supervisory Requirements

School

Project Title

Name of Student

Name of Academic Supervisor

Name of Deputy Supervisor

The following undermentioned activities which may be relevant to the above research project have been identified as high risk. They have been catagorised as follows:

A. the task must be directly supervised.

B. The supervisor’s advice and approval must be sought before the task is started.

1. The work entails risks which require careful attention to the safety related aspects of it. The student has been trained in the task and has demonstrated competence.

Only A and B risks are identified. Recategorisation during the project can occur using any of the above categories.

Supervisor’s signature Date

Students Signature having read this form Date

5.1 Induction of New Staff - model questionnaire

5.2 Model Safety Policy

5.3 Accident Reporting Procedures

* report forms

* reporting procedure

* Fire Report form

5.4 Safety & Supervision of Students