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MIDDLESEX UNIVERSITY Form B - Natural Sciences Ethics Committee (NSEC) - Application for Ethical Approval (Rev 02 Oct 14)

Application Form for Ethical Approval of Research Projects

Important Information

The areas represented by NSESC: Biomedical Sciences, Environment, Risk and Biosciences.

Applications with missing or inadequate information will be returned. This will delay approval.

You must report any incentives, financial or otherwise, you may receive from undertaking this research for or on behalf of an external party.

Primary research data collection is not permitted prior to attaining ethical approval.

Follow these instructions to complete this process Double click box

1. Complete this form in electronic copy - Microsoft Word only and save as NSEC[Your Name][Version] i.e. “NSECJoeJonesVer1.doc”.

2. Review and choose the research study types applicable to you in the guidance table overleaf and fill out the relevant sections of this form as directed.

3. Obtain the relevant permissions/approvals from appropriate parties as required by your research study type noted in the ethics guidance table overleaf.

4. Tick to indicate completion of all relevant sections in the ethics guidance table overleaf prior to submission to your supervisor.

5. Please delete the attached forms at the end of this form that are not required.

6. Submit an electronic copy to your research supervisor at least three weeks before the NSESC meeting for review and then forwarding to the committee for consideration.

7. The researcher is to confirm that transportation of any samples etc. meets with relevant national and international legislative and other requirements, and is considered in the relevant risk assessment/s

Name …………………………………………………………………………………..

Student Number …………………………………………………………………………………..

MDX Email …………………………………………………………………………………..

Area/Programme of Study …………………………………………………………………………………..

Research Supervisor …………………………………………………………………………………..

Title of Proposed Research …………………………………………………………………………………..

Timeline for Completion …………………………………………………………………………………..

Important: Primary data collection can not start until ethical approval is received.

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For Internal UseNSEC Application Number: ………………Date of Receipt: ………………


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Ethics Form Guidance Checklist

Important Note – Your research project may consist of a range of research methods. Please refer to each type below to determine what sections are applicable to your ethics application and tick when completed accordingly.

Desktop Research Desktop study only No external participants, patients or

employment data to be used

Please fill out the following Sections: TickSection A - General Project DetailsSection B – Rationale and Summary of MethodsSection E – Project Declaration

Research Study with Participants External Participants Collection of new samples and use of

existing samples of Human Biological Material (not cells)

If based in a workplace/organisation, an approval letter from the company is also required

Involves self completed questionnaires Involves focus groups, observations or

semi-structured interviews

To contact the Middlesex University HTA Designated Individual - Lucy Ghali [email protected]

Please fill out the following Sections:Initial Approval Required – Workplace/Organisation Approval Letter (if applicable)

Section A - General Project Details

Section B – Rationale and Summary of Methods

Section C – Participant Information

Section D – Human/Animal Cell/GMO Lab Work Information(if human biological material is being used)

Section E – Project Declaration

Attachment 1 – Participant Information Sheet & Consent Form

Lab Based (Biological Tissues) Human Cell Samples Genetically Modified Organisms (GMO)

Samples

To contact the Middlesex University GM Committee Secretary: Graham Shennan [email protected]

Please fill out the following Sections: TickInitial Approval Required –GM Committee Approval (if applicable)

Initial Approval Required – Recognised UK Ethics Committee Authority (UKECA) or NHS Research Ethics Committee Approval required for primary human cell lines (if applicable)Section A - General Project Details


Section D – Human/Animal Cell/GMO Lab Work Information


Attachment 2 – LabRATFor the external collection and/or transport of samples:Attachment 3 – Field based Risk Assessment

Lab Based (Other) Commercially available cell lines Other Chemical or Biological Agents

Please fill out the following Sections: TickSection A - General Project Details



Attachment 2 – LabRATFor the external collection and/or transport of samples:Attachment 3 – Field based Risk Assessment

Field Based Data collection Physical sampling, monitoring or external

data collection outside of university or place of employment

Data/Information gathering outside of normal workplace

Please fill out the following Sections: TickSection A - General Project Details



Attachment 3 – Field based Risk Assessment

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mailto:[email protected]



Section A – General Project Details

Primary Purpose of the Study

Educational qualification Publicly funded trial or scientific investigation Other (Please detail below)

Is the proposal externally funded? YES NO If yes, provide details: ………………………………………………………

Is there a potential conflict of interest that could impact the integrity of the proposal? YES NO

Have you applied or received ethical approval from another committee or organisation (e.g. NHS, Partner Body)?

Note: You must submit confirmation of approval with this application. Details included in Ethics Form Guidance Checklist.

NO YES

If yes, provide details ………………………………………………………………………………………………………..

Are you planning to use internal data or information from employment and/or external organisation?

Note: You must submit confirmation from the employer/external organisation indicating that permission has been granted to access premises and data.

NO YES

If yes, provide details ………………………………………………………………………………………………………..

Section B – Rationale and Summary of MethodsPlease read the NSESC Ethics Code carefully. In this section you must demonstrate your conformance to these codes through your considerations and methods used.

Research Rationale & Summary of MethodsNote: Provide main purpose of your research. Provide an overview of your methods such as standard lab methods, qualitative questionnaires; quantitative statistical analysis, empirical study etc.

Ethical Considerations Integrated

Please Read: Considering your methods, please indicate how you have addressed the following in your proposal: Research Integrity; Choice of participants (including addressing participant vulnerability); Principal research inclusion/exclusion criteria; Confidentiality/anonymity of data; Data retention; Access to Data, and Reporting. You must also detail if no significant ethical considerations exist. Please be as comprehensive as possible.

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Section C – Participant InformationWhere it is proposed that participants will be requested to provide information or other data towards a research project, you must complete this section and also fill out the participant information sheet and participant consent form in Attachment 1 as part of this application.

Does your project involve vulnerable risk groups? YES NO

Note: Vulnerable risk groups include those with health problems, minors under 16 years old, young people under 18 years old, prisoners or those in custodial care, young offenders or those with a dependent relationship either with the researcher or other.

If Yes, complete remaining questions in section C. If No, no further Section C questions need to be answered.

Does your methodology consider these participant vulnerabilities in ensuring conformance with the code of ethics?

NO YESIf yes, provide details ………………………………………………………………………………………………………..

If no, please revisit your methods to detail extra steps to safeguard their protection and also any arrangements to be made for obtaining consent from a legal representative (such as that for minors under 16 years old).

Is there any potential for adverse risks (physical, mental, medical or nuisance) to participants in carrying out this study?

NO YESIf yes, provide details ………………………………………………………………………………………………………………………………

Note: You must revisit your method to detail how you will negate or mitigate any potential risks

Are there any potential benefits to participants? If yes, provide details ……………………………………………………………………….

Section D – Human cell / GMO Lab Work Information

Does your project involve using stored archived samples of human biological material (e.g. blood, tissue)? YES NO

Note: Archived human tissue/products that are held within Middlesex University premises only.

What samples, and how many, will be included in the study? Sample Type…………………….. Number to be used ………….

For Genetically Modified/Engineered Organisms, has GMO Health and Safety Committee approval been received? YES NO

Note: You must submit evidence of approval with this application. Please contact the Middlesex University GM Committee Secretary: Graham Shennan [email protected]

For primary human cell lines, have you received Recognised UK Ethics Committee Authority (UKECA) or NHS Research Ethics Committee Approval? YES NO

Note: You must submit evidence of approval with this application. Details included in Ethics Form Guidance checklist.

Will samples need to be covered by Middlesex University HTA (Human Tissue Authority) Research Licence?YES NO

Note: If yes you must provide details. Please contact and advise the Middlesex University HTA Designated Individual - Lucy Ghali [email protected]

If samples are from an established tissue bank, give the name, location and the Human Tissue Authority Research Licence Number under which the tissue bank is covered. Name ……………………… Location ……………………. Licence Number …………………..

Section E – Additional Information

Are there any other ethical issues that you think may arise from this study that have not been previously noted?

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DECLARATION FORM

Tick1. The information in this form is accurate to the best of my knowledge and belief and I take full

responsibility for it.2. As principal investigator for this research study I understand that it is my responsibility that a risk

assessment has been undertaken and completed to ensure that health and safety of the researcher, participants and others is not jeopardised during the course of this study.

3. I understand that, where applicable, it is my responsibility to ensure that the study is conducted in a manner that is consistent with the World Medical Association Declaration of Helsinki: Ethical Principles for Medical Research Involving Human Subjects (see http://www.wma.net/e/policy/b3.htm)

4. If the research is approved I undertake to adhere without deviation to the approved study protocol unless a modification has been approved.

5. I undertake to inform the NSEC of any changes in the protocol, and, if applicable, to submit annual reports setting out the progress of the research.

6. I am aware of my responsibility to be up to date and comply with the requirements of the law and relevant guidelines relating to security and confidentiality of patient or other personal data.

7. I understand that research records/data may be subject to inspection for audit purposes if required in future.

8. I understand that personal data about me as a researcher in this application will be held by the NSEC and their operational managers and that this will be managed according to the principles established in the Data Protection Act.

9. I agree to participate fully in any audit procedures required by the ethics Committee.10. I have read and agree to comply with the Data Protection Act.11. I have read and agree to comply with the university conflict of interest policy.12. I confirm that I have reviewed all of the information submitted as part of this research ethics application.

I confirm that all appropriate sections of the form have been completed as required.

Student/Principal Researcher Confirmation (Name):............................................. Date.............................

Final Instructions for Researchers1. Once you have finished this application, please revisit the Ethics Form Guidance Checklist in this form to ensure that all relevant

sections and attached forms have been completed, and approvals have obtained.

2. On the front page, ensure that all instructions have been followed and tick to confirm.

SUPERVISOR CHECKLIST

Tick1. I confirm that I have reviewed and checked all of the information submitted as part of this application.

2. I confirm that any part of the research to be conducted outside the university, normal work duties, work place or in a lab has an appropriate risk assessment form (Attachment 2 and/or 3) completed and I have checked for adequate quality and detail.

3. I agree to participate fully in any audit procedures required by the ethics Committee.

4. I have read and agree to comply with the Data Protection Act.

5. I have read and agree to comply with the university conflict of interest policy.

I have read and agreed that all required sections and parts of the ethics application have been completed. I recommend for this application to be send to the NSESC for ethical evaluation

Supervisor Confirmation (Name): ........................................................................Date.........................................

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http://www.wma.net/e/policy/b3.htm


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Attachment 1

Participant Information Sheet & Consent form

[Delete this attachment if not required for submission of application]

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GUIDELINE AND TEMPLATE FOR A PARTICIPANT INFORMATION SHEET AND CONSENT FORM

MIDDLESEX UNIVERSITYSCHOOL OF SCIENCE AND TECHNOLOGY

NATURAL SCIENCES ETHICS COMMITTEE (NSEC)

PARTICIPANT INFORMATION SHEET

Instructions

Potential recruits to your research study must be given sufficient information to allow them to decide whether or not they want to take part.

An Information Sheet should contain information under the headings given below where appropriate, and in the order specified. Delete and amend the details in the following sections 1 to 15 to reflect the details of your research study. It should be written in simple, non-technical terms and be easily understood by a lay person. Use short words, sentences and paragraphs. Delete all text in red after following the instructions.

1. Study title

[Amend for your study: Is the title self-explanatory to a lay person? If not, a simplified title should be included.]

2. Invitation paragraph

[This should explain that the participant is being asked to take part in a research study. The following is a suitable example:

‘You are being invited to take part in a research study. Before you decide it is important for you to understand why the research is being done and what it will involve. Please take time to read the following information carefully and discuss it with others if you wish. Ask us if there is anything that is not clear or if you would like more information. Take time to decide whether or not you wish to take part.Thank you for reading this.’]

3. What is the purpose of the study?

[The background and aim of the study should be given here. Also mention the duration of the study.]

4. Why have I been invited?

[You should explain how and why the participant was chosen and how many other participants will be studied.]

5. Do I have to take part?

[You should explain that taking part in the research is entirely voluntary. You could use the following paragraph:-‘It is up to you to decide whether or not to take part. If you do decide to take part you will be given this information sheet to keep and be asked to sign a consent form. If you decide to take part you are still free to withdraw at any time and without giving a reason. Please note anonymised data already collected may however still continue to be used as part of this study. .

A decision to withdraw at any time, or a decision not to take part, will not affect the standard of care you receive (include this section only if applicable).]

6. What will happen to me if I take part?[You should say how long the person will be involved in the research, how long the research will last (if this is different), how often they will need to visit a clinic (if this is appropriate) and how long these visits will be. What exactly will happen e.g. tests, interviews, etc.? What are the participant’s responsibilities? Set down clearly what you expect of them.

You should set out simply the research methods you intend to use – For example:-Survey:In a survey we aim to collect information to answer the research question through the use of questionnaires, interviews, and sometimes though observation.

Randomised Trial:Sometimes because we do not know which way of treating participants is best, we need to make comparisons. People will be put into groups and then compared. The groups are selected by a computer which has no information about the individual – i.e. by chance. Participants in each group then have a different treatment and these are compared.You should tell the participants what chance they have of getting the study drug/treatment e.g. a one in four chances.Please note that in order to ensure quality assurance and equity this project may be selected for audit by a designated member of the committee. This means that the designated member can request to see signed consent forms. However, if this is the case your signed consent form will only be accessed by the designated auditor or member of the audit team.]

7. What do I have to do?

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[What does taking part actually entail? For example, a questionnaire, a semi-structured interview, focus groups etc. You should also give an indication of the length of time that the research will require if the participant consents to take part. In addition, you should inform the participants of any lifestyle restrictions e.g. dietary or physical exercise and what happens if the participant becomes pregnant.]

8. What are the alternatives for diagnosis or treatment?[For therapeutic research the participant should be told what other treatments are available.]

9. What are the side effects of any treatment received when taking part?[For any new procedure you should explain the possible side effects. If they suffer these or any other symptoms they should report them next time you meet. You should also give them a contact name and number to phone if they become in any way concerned. The name and number of the person to contact in the event of an emergency (if that is different) should also be given.]

10. What are the possible disadvantages and risks of taking part?[For studies where there could be harm to an unborn child if the participant were pregnant or became pregnant during the study, the following (or similar) should be said:

‘It is possible that if the treatment is given to a pregnant woman it will harm the unborn child. Pregnant women must not therefore take part in this study; neither should women who plan to become pregnant during the study. Women who are at risk of pregnancy may be asked to have a pregnancy test before taking part to exclude the possibility of pregnancy. Women who could become pregnant must use an effective contraceptive during the course of this study. Any woman who finds that she has become pregnant while taking part in the study should immediately inform the principle investigator and her research doctor.’

Use the pregnancy statement carefully. In certain circumstances (e.g. terminal illness) it would be inappropriate and insensitive to bring up pregnancy.There should also be an appropriate warning and advice for men if the treatment could damage sperm which might therefore lead to a risk of a damaged foetus.If future insurance status e.g. for life insurance or private medical insurance, could be affected by taking part this should be stated (if e.g. high blood pressure is detected.) If the participants have private medical insurance you should ask them to check with the company before agreeing to take part in the trial. They will need to do this to ensure that their participation will not affect their medical insurance.You should state what happens if you find a condition of which the person was unaware. Is it treatable? What are you going to do with this information? What might be uncovered?]

11. What are the possible benefits of taking part?[Where there is no intended benefit to the participant from taking part in the study this should be stated clearly.It is important not to exaggerate the possible benefits to the particular person during the course of the study, e.g. by saying they will be given extra attention. This could be seen as coercive. It would be reasonable to say something similar to:‘We hope that both (all) the treatments will help you. However, this cannot be guaranteed. The information we get from this study may help us to treat future participants with (name of condition) better.’]

12. Will my taking part in this study be kept confidential?[You should explain that all information collected about them will be kept strictly confidential. A suggested form of words is:‘All information that is collected about you during the course of the research will be kept strictly confidential. Any information about you which is used will have your name and address removed so that you cannot be recognised from it.’You should always bear in mind that you, as the researcher, are responsible for ensuring that when collecting or using data, you are not contravening the legal or regulatory requirements in any part of the UK. Please include a statement that all data will be stored, analysed and reported in compliance with the Data Protection legislation of the relevant country where the study is being conducted.]

13. What will happen to the results of the research study?[You should be able to tell the participants what will happen to the results of the research. Please state if this research will be published as part of an undergraduate or postgraduate dissertation. When are the results likely to be published? Where can they obtain a copy of the published results? You might add that they will not be identified in any report/publication.Results of research should be made available to the research participants and the communities from which they are drawn. This should be indicated.]

14. Who has reviewed the study?[You must give the full name of the Research Ethics Committee(s), which reviewed the study (you do not however have to list the members of the Committee). This committee is the Middlesex University, School of Science and Technology, Natural Sciences Ethics Committee.]

15. Contact for further information[You should give the participant a contact point for further information. This must be yours and your supervisor’s name, work/university address, work/university telephone number and work/university e-mail address. (Please do not disclose personal home and mobile telephone numbers)

Remember to thank your participant for taking part in this study!

The participant information sheet should be dated and given a version number.The Participant Information Sheet should state that the participant will be given a copy of the information sheet and a signed consent form to keep.]

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CONSENT FORMParticipant Identification Number:

Title of Project:

Name of Researcher:

1. I confirm that I have read and understood the information sheet dated ...................……………..…for the above study and have had the opportunity to ask questions.

2. I understand that my participation is voluntary and that I am free to withdraw at any time, without giving any reason.

3. I agree that this form that bears my name and signature may be seen by a designated auditor.

4. I agree that my non-identifiable research data may be stored in National Archives and be used anonymously by others for future research. I am assured that the confidentiality of my personal data will be upheld through the removal of any identifiers.

Delete 5, and or 6 and or 7 if not applicable:

5. I agree that any unused relevant human tissue can be used for further research, or be properly disposed of having regard to appropriate statutory requirements.

6. I understand that sections of any of my medical notes may be looked at by responsible individuals from [company name] or from regulatory authorities where it is relevant to my taking part in research. I give permission for these individuals to have access to my records.

7. I understand that my interview may be taped and subsequently transcribed.

8. I agree to take part in the above study.

___________________________ _______________ __________________________Name of participant Date Signature

___________________________ _______________ __________________________Name of person taking consent Date Signature(if different from researcher)

___________________________ _______________ __________________________Researcher Date Signature

1 copy for participant; 1 copy for researcher;

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Attachment 2

Lab - RAT[Delete this attachment if not required for submission of application]

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School of Science and Technology (S&T)

Laboratory Risk Assessment Tool (LabRAT)

Index

Page 1 IntroductionPage 2 Completing the LabRAT template

“ Subsequent ActionPage 3 LabRAT guidancePage 9 Guidance on severity, likelihood and risk rating

Introduction

The Management of Health and Safety at Work Regulations 1999 defines the requirement for making a suitable and sufficient assessment of the risks to employees and others. This requirement is also specified within a wide range of other specific Health and Safety regulations, including (but not limited to):- Control of Substances Hazardous to Health Regulations 2002 (COSHH)- The Dangerous Substances and Explosive Atmospheres Regulations 2002 (DSEAR)- The Ionising Radiations Regulations 1999 (IRR99)- The Manual Handling Operations Regulations 1992- The Control of Noise at Work Regulations 2005

LabRAT is intended as a tool to assist staff in their duty to complete Risk Assessments for laboratory work. It is neither a “generic” or “model” Risk Assessment as there are too many variables in terms of hazards and procedures to attempt an accurate and useful representation in this manner. Instead, using the format of the standard Risk Assessment form, it outlines the various hazards that may require consideration by the person completing the Risk Assessment. It then offers guidance as to what Risk Controls may already be in place and potential Future Requirements that may need incorporating dependant upon the result of the Risk Assessment process.

It is the duty of each Manager (as defined within the Health and Safety Policy - hrps2.pdf) to Risk Assess the work under their control and to communicate the relevant facts to staff and students who may be exposed. The responsibility for risk assessing laboratory activities can broadly be defined as follows: Classroom practicals • Are typically done by the academic involved.

http://www.intra.mdx.ac.uk/services/HR/docs/HRPS2.pdf

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- The Module Leader must ensure the LabRAT is completed appropriately and sign to this effect.Classroom preparations / support

• Are the responsibility of the relevant technician / academic involved.

Staff Research activities • Are the responsibility of the academic involved. - The Principal Investigator must ensure the LabRAT is completed appropriately and sign to this effect.

Student Research activities • May be completed by student or the research supervisor. - The research supervisor must ensure the LabRAT is completed appropriately and sign to this effect.

• All staff undertaking Risk Assessments are expected to have received all relevant training at Induction (including Risk Assessment) with refresher courses at appropriate intervals - Staff Development Portal• It is a line management responsibility to ensure that all Risk Assessments are made prior to commencement of the work and that they are reviewed, updated and documented on an annual basis.

Completing the LabRAT template

Do not be alarmed by the size and complexity of this Risk Assessment Tool, as it details a much wider collection of considerations than is likely to be encompassed within a single laboratory Risk Assessment. The following numbered steps outline the recommended process for laboratory Risk Assessments by completing the LabRAT-template using this tool as a guide.

1. Look through the details under each Hazard Section (shaded) of the tool, identify those hazards which are relevant to the process being Risk Assessed and incorporate these only. If an entire Section is not relevant (eg perhaps there are no Radiation hazards), simply enter “Not Applicable” under that Section.NB The purpose of the risk assessment is to provide a clear review of the activity under assessment.Please provide sufficient detail to permit a reviewer to understand and assess the work, ie:• Identify (list) any hazardous chemicals, indicate volumes used, plus any conditions that may make the substance more (or less) hazardous (eg heat). Identify any chemical products or by-products that may be hazardous• Identify (list) any biological agents that may be hazardous to humans, animals or the environment. Include reference to any relevant categorisations (eg ACDP, SAPO, GM, ATCSA etc). Give consideration to agents that may incidentally be present (eg in biological or environmental samples).• Identify (list) any radioactive materials that are used and their chemical form. Indicate volumes and activity used.2. Once the hazards have been identified, address who may be at risk, typically using the following terms: Employees, Students, Visitors, Contractors or Public3. Identify what controls are already in place. The Tool gives some guidance as to what might be expected for each hazard, but the Risk Assessor must review to ensure that entries are appropriate and correct.4. Using the guidelines on the final page of the Risk Assessment template (and of this Tool), identify the scores for the Severity of each hazard and the Likelihood of this occurring.

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5. By multiplying the scores for Severity and Likelihood, an indication of the Risk Level is obtained. Reference again to the final page gives an indication of the action required and timescale.6. A decision on whether to accept the risk can now be made. If unsure, consult your line-manager / supervisor.7. Specify any further requirements and timescale (based on step 5).

Further guidance on individual assessments may be sought from a variety of sources including: Health and Safety Officer (HSO), academic and technical colleagues, your line-manager or supervisor.

Subsequent Action

8. Keep an electronic copy of your completed Risk Assessment locally for future use.9. Lodge an electronic copy of the completed Risk Assessment in your area of the Lab Wiki.10. Forward an electronic copy of the completed Risk Assessment to anyone who may require it, e.g. technical staff (for completion of their own RA with regard to preparations), research students, line-manager, colleagues, EFMS staff etc.11. Review Risk Assessment if procedures / circumstances change. Document any changes and date. Update and inform as per 9 and 10 above.12. Repeat process annually. Previous Risk Assessments in this format will be an excellent starting point and may only require a change of dates.

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Risk Assessment For (Project title):

Project Title Assessment Date:

dd/mm/yyyy

Review Date: dd/mm/yyyy

Carried out by:

Name: Name Authorised by:Module Leader,Principle Investigator or Research SupervisorDelete as appropriate

Name: NameStaff Student Signatur

e:Signature

PhD MSc BSc

Hazard Persons affected

Risk Controls

(outline the controls in place)

Risk Rating Future Requirements

(with timescales)

Sev

erity

Like

lihoo

d

Ris

k

Acc

ept

Ris

k?

Y/NChemical hazardsChemicals• Use Material Safety Data Sheets (MSDS) to consider COSHH hazards (corrosive, sensitizing, toxic and toxic to reproduction, carcinogenic, mutagenic, harmful or irritant) as well as DSEAR hazards (eg oxidising, flammable, explosive).• Consider hazards arising from chemical reactants, products and any intermediates.• Consider physical effects (eg heat, vibration etc) on chemicals / reaction.• Give particular consideration to chemicals that have been allocated Workplace Exposure Limits (WELs) and accommodate these in the Risk Assessment

Employees & students

• All relevant staff and students given appropriate induction / training for lab work in general and for each specific practical.• Protocol produced by academic for each lab practical, including precise use of chemicals and disposal of associated waste.• Lowest risk options chosen• Fume chambers / extractor table available for respiratory hazards. These are included on preventative maintenance schedule as well as being subject to in-house testing regime using anemometer.• Personal Protective Equipment (PPE) such as lab coats, appropriate gloves and eye protection are worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance.• Drench showers are available in the event of major personal chemical contamination.• Defined procedure for chemical spills• Appropriate chemical spill kits available in each lab• Appropriate and segregated storage for hazardous chemicals (flammables, acids, bases, oxidizing agents, poisons etc)• Appropriate external storage for chemicals and solvents not

• Safe Systems of Work written and applied to procedures with significant risk.• All staff must complete all H&S e.training modules (includes COSHH and Risk Assessment) and update at appropriate intervals.• All staff using chemicals must keep up-to-date on changes with regards to WELs (from EH40)• Ensure safety critical equipment (eg fume chambers) is included on preventative maintenance schedule as well as being subject to in-house testing regime. Test results should be affixed to the equipment in question.• Maintain local and central lists of chemicals stored.• Presence flammable chemicals must be included in fire risk

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in active use.• Disposal of laboratory waste (including chemical waste) is defined within the document “HSSc-GN Waste Disposal”• Mouth pipetting is prohibited

assessment of laboratories.• Specific training on use of fire extinguishers recommended for staff in laboratories where flammables are used.

Compressed Gases• Consider the hazardous properties of all gases including asphyxiants.• All compressed gases are hazardous with respect to the risk of uncontrolled release.


• All gas cylinders appropriately restrained• External secure storage for cylinders not in active use.• Use (and maintenance) of gas monitors and alarm systems in areas where hazardous gases or asphyxiants may present significant hazard• All relevant staff are trained in use of equipment (use of regulators, connecting cylinders, use of restraints and cylinder trolleys)• All staff required to undertake Manual Handling e.training and refresh at appropriate intervals.• Gas cylinder deliveries by BOC staff

• Ensure system of checking regulators and pipework in place• Annual review of regulators by person in charge of specific lab activities with replacement at appropriate frequencies.• Review need for monitors (CO2, O2, flammable atmospheres) and maintenance.• Presence of gas cylinders and especially of flammable gases must be included in fire risk assessment of laboratories.• Specific training on use of fire extinguishers recommended for staff in laboratories where flammables are used.

Cryogenic hazards (LqN2, dry-ice)• Consider hazards arising from thermal properties of substance• Consider hazards arising from asphyxiant properties of substance• Consider hazards arising from transport / manipulation of substance


• All relevant staff and students given appropriate induction / training for lab work in general and for each specific practical.• External secure storage of any pressurised vessels• PPE (lab coats, thermal gloves, face mask) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance. Legs and feet should be fully enclosed by normal clothing.• All staff must undertake Manual Handling e.training and refresh at appropriate intervals.

• Transportation of LqN2 should be specifically risk assessed and a safe system of work produced• Ensure containers are monitored for replacement at end of defined lifespan• Areas where use of cryogenic reagents could result in a hazardous (asphyxiant) environment will require O2 depletion monitor and maintenance regime.

Biological HazardsAnimal Work (Live Work)• Consider hazards arising from exposure to fur, dander and excreta as well as physical elements such as bites and scratches

n/a No work with animals (including insects, fish etc) is currently permitted at Middlesex University.

• Any intention to work with live animals must be discussed and approved initially by the HSSc H&S Committee, and would require Corporate agreement. Process should be initiated well in advance of expected start dates as processes, and notifications can take some time.

Animal Tissues• Consider hazards arising from potential human or animal pathogens• Consider hazards arising from exposure to fur, dander and excreta.


• All relevant staff and students given appropriate induction / training for their lab work in general and for each specific practical.• PPE (lab coats, appropriate gloves, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance.

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• Disposal of laboratory waste (including animal tissues) is defined within the document “HSSc-GN Waste Disposal”

Human (and primate) tissues (bloods and blood products, organs, biopsies, cell lines).• Consider hazards arising from acquisition, use, storage and disposal of Human tissues – this will included consideration of potential disease carried by the tissue, especially in relation to Blood-Borne-Viruses (BBVs). Use of samples with known BBV infection is prohibited.• Consider physical effects (eg vibration, centrifugation) with regard to potential for dissemination.• Consider risks presented by use of sharps and avoid use wherever possible.• Consider hazards arising from any donation of blood / tissues. Use of autologous tissues for long-term studies should be avoided.• Consider safe and secure storage of samples (NB Human Tissue Act may also apply).

Employees & students (+Public

via waste)

• All relevant staff and students given appropriate induction / training for their lab work in general and for each specific practical.• In-house guidance produced by staff• Protocol produced by academic for each lab practical, including precise use of human tissues and disposal of associated waste.• Lowest risk options chosen (use of blood substitutes or screened bloods is promoted wherever possible).• Sharps work discouraged where suitable alternatives available.• Specific Occupational Health services provided for staff and students who may be exposed to Human tissues.• All relevant students and staff are vaccinated for Hepatitis-B.• All work with unscreened bloods or tissues must be done in laboratories identified as CL2. Work with materials known or suspected to be infected with a Blood Borne Virus (BBV) is not permissible in Middlesex University.• Class-II cabinets available for aerosol-prone procedures. These are included on preventative maintenance schedule as well as being subject to in-house testing regime using anemometer.• Any centrifugation of unscreened human tissues must be done in hermetically-sealed buckets• All centrifuges must be on preventative maintenance schedule.• PPE (lab coats, appropriate gloves, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance.• Ubiquitous Disinfection Policy in place across all labs• Disposal of laboratory waste (including biological and clinical waste) is defined within the document “HSSc-GN Waste Disposal”

• Ensure safety critical equipment (eg safety cabinets and centrifuges) is included on preventative maintenance schedule as well as being subject to in-house testing regime. Test results should be affixed to the equipment in question.• Maintain list of sample contents on fridges / freezers• Transport of samples off-campus subject to individual and separate risk assessment and Safe System of Work. IATA approved containers recommended.

HG1 and HG2 biological agents(as listed under ACDP - link)• Consider hazards arising from acquisition, use, storage and disposal of microbiological agents.• Consider physical effects (eg vibration, centrifugation) with regard to potential for dissemination.• Consider risks presented by use of sharps and avoid use wherever possible.• Consider safe and secure storage of agents.


• All staff and students given appropriate induction / training for their lab work in general and for each specific practical.• Protocol produced by academic for each lab practical, including precise use of agents and disposal of associated waste.• All work with HG1 organisms must be done within laboratories identified as CL1 or CL2.• All work with HG2 organisms must be done within laboratories identified as CL2.• Class-I and Class-II cabinets available for aerosol-prone procedures. These are included on preventative maintenance schedule as well as being subject to in-house testing regime using anemometer.

• Any intention to acquire / work with new HG2 biological agents must be approved by the HSSc H&S Committee. (“Work” in this context includes acquisition, transport, use, storage and disposal.)Process should be initiated well in advance of expected start dates as processes, and notifications can take some time.• Ensure safety critical equipment (eg safety cabinets and centrifuges) is included on preventative maintenance

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• Sharps work discouraged where suitable alternatives available.• Any centrifugation of HG2 organisms must be done in hermetically-sealed buckets• All centrifuges are on preventative maintenance schedule.• PPE (lab coats, appropriate gloves, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance• Disposal of laboratory waste (including biological and clinical waste) is defined within the document “HSSc-GN Waste Disposal”. All solid waste from Microbiological laboratories is autoclaved before disposal as clinical waste.• Ubiquitous Disinfection Policy in place across all labs

schedule as well as being subject to in-house testing regime. Test results should be affixed to the equipment in question.• Maintain list of sample contents on fridges / freezers

HG3 and HG4 biological agents(as listed under ACDP - link)

n/a No work with these organisms is currently permitted at Middlesex University. (“Work” in this context includes acquisition, transport, use, storage and disposal.)No suitable facilities exist for work with HG3 or HG4 agents

• Any intention to acquire, use, store or dispose of HG3 or HG4 biological agents must be approved initially by the HSSc H&S Committee and would require Corporate agreement. This includes work with materials where such agents are suspected - see “Human and primate tissues” above.

Specified Animal Pathogens(Classes 1 to 4 as defined and listed under SAPO - link)• Consider acquisition, use, storage and disposal of these agents

Employees students &

Public

No work with these organisms is currently permitted (“Work” in this context includes acquisition, transport, use, storage and disposal.)• All work with SAPO Class 1 organisms must be done within laboratories identified as CL1 or CL2.• All work with SAPO Class 2 organisms must be done within laboratories identified as CL2.No suitable facilities exist for work with SAPO Class 3 or 4.

• Any intention to acquire, transport, use, store or dispose of agents listed under SAPO must be approved by the HSSc H&S Committee.Process should be initiated well in advance of expected start dates as processes, and notifications can take some time.

Schedule 5 agents (as defined and listed in the Anti-Terrorism, Crime and Security Act – ATCSA - link)• Consider acquisition, use, storage and disposal of these agents (may be organisms, toxins or genetic material coding for such)


Public

• Stocks must be securely held within locked fridge / freezer and within locked laboratory.• Staff and students should be subject to security vetting before being granted access to Schedule 5 agents.

• Any intention to acquire, transport, use, store or dispose of agents listed under ATCSA Schedule 5 must be approved by the HSSc H&S Committee. Process should be initiated well in advance of expected start dates as processes, and notifications can take some time.• Regular (annual as minimum) review of microbiological holdings to ensure knowledgebase is correct.

Genetically Modified Organisms (GMOs)• Consider acquisition, use, storage and disposal of these agents


All work with GMOs is subject to individual assessment and approval by the GM Committee. (“Work” in this context includes acquisition, transport, use, storage and disposal.)• All work with GM materials (Class 1 or Class 2) must be restricted to the CL2 laboratories identified in the relevant GM risk assessmentNo suitable facilities exist for work with GM Class 3 or 4.

• Any intention to acquire, transport, use, store or dispose of GMOs must be discussed and formally approved in advance by the GM Committee.Contact via the Health and Safety Officer (HSO). Process should be initiated well in advance of expected start dates as processes, and

19

http://www.legislation.gov.uk/ukpga/2001/24/schedule/5

http://www.defra.gov.uk/foodfarm/farmanimal/diseases/pathogens/classification.htm

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notifications can take some time.Radiation HazardsIonising Radiation• Consider hazards arising from acquisition, use, storage and disposal of radioisotopes• Consider risks presented by use of sharps and avoid use wherever possible.• Consider hazards arising from equipment which may have a sealed radioactive source,

Employees & research students

only (+Public

via waste)

• Not used for undergraduate teaching• All work will be under guidance of the local Radiation Protection Supervisor (RPS)• All work in accordance with Local Radioactive Rules (includes details of where work will be performed, induction and registration procedures, acquisitions / use / storage / disposal of radioisotopes, PPE etc)• Sharps work discouraged where suitable alternatives available.

• Any consideration of new work with radioisotopes must be approved by the HSSc H&S Committee. (“Work” in this context includes acquisition, transport, use, storage and disposal.)This includes work with new isotopes for chemical forms and any significant increase in activities handled. Process should be initiated well in advance of expected start dates as processes, and notifications can take some time.

Non-ionising radiation (eg UV & IR)• Consider hazards arising from use of non-ionising radiation


• Wherever possible, sources of non-ionising radiation are shielded at source to protect the user and others• PPE (lab coats, suitable gloves, UV face mask) worn and stored. Normal clothing should cover all skin surfaces that are not covered by PPE

• Ensure suitable siting and appropriate PPE available• If work is outdoors, consider sun-protection.

LASERs• Consider hazards arising from use of non-enclosed LASERsNB class-1 LASERs are totally enclosed and do not present hazard unless shielding is removed (eg for adjustment / maintenance)


No work with unenclosed LASERs is currently permitted.• Wherever possible, LASERs are shielded at source to protect the user and others• PPE (lab coats, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance.

• Any intention to acquire LASERs must be approved by the HSSc H&S Committee.

Magnetic Hazards• Consider hazards arising from use of equipment that generates a magnetic field (particular issue for those with pacemakers / metal implants)


No work with equipment that generates a strong magnetic field is currently permitted!

• Any intention to acquire equipment that generates a strong magnetic field must be approved by the HSSc H&S Committee.

Equipment Hazards – Including SAFETY CRITICAL equipment (ie equipment whose failure to operate correctly would result in unsafe conditions)General• Consider hazards associated with primary properties of equipment (eg fire, heat, cold, sharp/abrasive surfaces, exposed moving parts, noise, weight, instability). May include specific hazards detailed above (eg ionising / non-ionising radiation, LASERs, magnets)• Consider secondary hazards arising from use of equipment (eg contamination with chemical, biological or radioactive hazards)

Employees students & contractors

• All staff and students given appropriate induction / training for equipment they are required to use.• All electrical equipment subject to Portable Appliance Testing (PAT) or fixed appliance testing.• Disposal of equipment is defined within the document “HSSc-GN Waste Disposal”.

• All disposal of electronic / electrical equipment subject to WEEE regulations.• All equipment from laboratories require Decontamination certificates prior to maintenance, transport or disposal.High risk equipment placed on preventative maintenance schedule

Pressure Vessels – SAFETY CRITICAL(eg autoclaves, pressurised gas vessels and pipework, some HPLC

Employees &

contractors

• Equipment on annual Preventative Maintenance Schedule• All autoclaves require annual insurance inspection and annual calibration. Autoclaves used for processing waste also

• Ensure any new, relevant equipment is added to annual Preventative Maintenance Schedule via Lab

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systems may be included).• Consider primary hazards of equipment (heat, risk of explosion)• Consider secondary hazards (eg chemical / biological) associated with use of substances )

require annual 12-point thermocouple testing.• Preventative maintenance schedule for autoclaves and compressors run by EFMS.• Use restricted to those who have been suitably trained.• Subject to visual inspection on each use• Autoclave logbook maintained by user(s)

Manager

Local Exhaust Ventilation (LEV)– SAFETY CRITICAL• Fume Chambers and extraction tables• Safety Cabinets (Class-1, Class-2 and glove-boxes)• Any other LEV (eg exhaust ducting from ovens / furnaces)


• Use restricted to those who have been suitably trained.• Equipment on annual Preventative Maintenance Schedule, results displayed on equipment.• Regular in-house testing using anemometer, results displayed on equipment.• Subject to visual inspection on each use

• Decontamination certificates required prior to maintenance, transport or disposal.• Spent HEPA filters require disposal via hazardous waste route.

Centrifuges– SAFETY CRITICAL• Consider primary hazards of equipment (eg parts ejected)• Consider secondary hazards (eg chemical / biological) associated with use of substances


• Use restricted to those who have been suitably trained.• Equipment on annual Preventative Maintenance Schedule, results displayed on equipment.• Subject to visual inspection on each use• Hermetically-sealed buckets must be used for hazardous materials.

WORKSHOP hazards (Drills, saws grinders etc) – SAFETY CRITICAL• Consider primary hazards of the equipment (Cuts, abrasions, noise etc)• Consider secondary hazards associated with the equipment (hardwood dust, metal spoils etc)


• Use restricted to those who have been suitably trained.Students not permitted to use equipment.• Staff always accompany students into workshops• Subject to visual inspection on each use• Appropriate use of safeguards• Appropriate use Personal Protective Equipment (gloves, ear defenders etc)• Remote stop-controls fitted

• Certain procedures may require specific Risk Assessment and a written Safe Systems of Work required.• Possible ban on lone-working.

Lifting Equipment – SAFETY CRITICAL (as covered by The Lifting Operations and Lifting Equipment Regulations 1998 - LOLER)• Consider hazards arising from equipment failure or incorrect usage.


• All staff and students given appropriate induction / training for equipment they are required to use.

• Ensure any equipment coming under LOLER is maintained on a schedule for inspection by a competent individual at the recommended frequency.

Ovens & furnaces• Consider primary heat hazards• Consider secondary hazards arising from use of substances within oven / furnace


• All staff and students given appropriate induction / training for equipment they are required to use.• PPE (lab coats, appropriate gloves, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance

• Ensure any equipment with active Local Exhaust Ventilation is included on Preventative Maintenance Schedule.

Cryostat / Microtome• Consider primary cold and sharp hazards• Consider secondary hazards (eg chemical / biological) arising from use of substances on Cryostat / Microtome


• All staff and students given appropriate induction / training for equipment they are required to use.• PPE (lab coats, appropriate gloves, eye protection) worn and stored in line with Good Laboratory Practice and as set-out in Local Guidance• Specific Occupational Health services provided for staff and students who may be exposed to Human tissues.• All relevant students and staff are vaccinated for Hepatitis-B.• Containment Level 2 (CL2) labs and methods used for all

• Review need for HepB vaccination if working with Human tissues• Look at training available

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biological activities. Appropriate signage in place.Other HazardsHousekeeping• Consider hazards arising from poor housekeeping (slips, trips and falls).• Consider secondary hazards arising from exposure to laboratory materials


• All staff and students given appropriate induction / training for their lab work in general and for each specific practical.

• Regular inspections by person in charge of laboratory / workshop.

Manual Handling• Consider primary hazards of manual handling (eg weight, size height, distance etc)• Consider secondary hazards associated with manual handling of hazardous substances

Employees • All staff undertake e.training on DSE• Manual Handling aids available (trolleys, cylinder trolleys etc)

• Gas cylinder handling done by BOC staff

• Certain procedures will require specific Risk Assessment and a written Safe Systems of Work required.

Noise• Consider whether legal noise action levels or limits could be reached.


• Siting of equipment, use of noise baffles etc.• Use of Personal Protective Equipment (ear defenders etc).

• May require noise measurement and specific Risk Assessment.• Possibly requiring noise monitoring.

Display Screen Equipment (DSE) Employees • All staff undertake e.training on DSE• Specific risk assessment for staff DSE work required.• Free eye-tests available for staff plus assistance for staff with specific work-related need for glasses.

• Possibly adjustment to work activities

Disability• Consider how staff / students with known disabilities might affect the overall procedure.• Individuals with short-term disabilities or conditions which could affect safety should also be considered.


• Staff and students with mobility or sensory impairment should have a Personal Emergency Evacuation Plan (PEEP) defining action in the event of Fire Alarm etc.

• Specific Risk Assessment / Safe System of Work may be required for the individual concerned.

Work at Height(ladders, stepladders & certain locations (see non-standard environments also))• Consider primary hazards of work at height• Consider secondary hazards associated with performing the relevant procedure at height


• Ladders / stepladders must conform to British Standard• Visual inspection of ladder on each use.• Use restricted to those who have been suitably trained.

• Some uses may require a written Safe System of Work• Specific Risk Assessments may be required

Lone Working• Consider how lone working / out-of-hours working would affect the procedure as a whole


• Security notified of out-of-hours lab work in advance.• Work / experiments left to run overnight should be appropriately signed and include contact details

• Procedures whose risk assessment calculates as Moderate Risk or higher should not be performed as lone work unless additional and specific control measures have been incorporated to compensate for this aspect.

Non-standard environments• Consider primary hazards of working in non-standard environments• Consider secondary hazards associated with the specific work /

Employees students,

visitors and contractors

• Any on-campus lab work / research outside of defined laboratories must be subject to specific risk assessment.

• Specific Safe System of Work likely to be required• Liaise with Health and Safety Officer and appropriate EFMS representative

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researchField Trips & Overseas travelDoes not require consideration here as there are specific processes and forms in place.


public

• Specific Fieldwork forms and processes in place• Subject to review by Ethics Committee

• Staff always accompany students.• Defined staff / student ratio

PlacementDoes not require consideration here as there are specific processes and forms in place.


public

• Specific Placement forms and processes in place

Use of MU-owned vehicle (van)Does not require consideration here as there are specific processes in place.


public

• Driven by appropriately licensed staff only• Nominated individual organizes use and maintenance of vehicle. Keeps copies of licences etc.

• Should be considered as part of Fieldwork Risk assessment.

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Risk Calculation and Interpretation

Severity Likelihood

High – Death or major injury (as defined by RIDDOR) or illness causing long term disability

High – where it is certain or near certain that harm will occur

Medium – Injuries or illness causing short tem disability Medium – where harm will often occur

Low – All other injuries or illness Low – where harm will seldom occur

Risk RatingLow likelihood

1Medium likelihood

2High likelihood

3Persons affected

Low severity 1Trivial Risk

1Tolerable Risk

2Moderate Risk

3e – employeess – studentsv – visitorsc – contractors

p – public

Medium severity 2Tolerable Risk

2Moderate Risk

4Substantial Risk

6High severity 3

Moderate Risk3

Substantial Risk6

Intolerable Risk9

A guide to a risk control plan

Risk Level Action and Timescale (Timescales where required shall be determined by the appropriate school/service or management unit)

Trivial No action required and no documentation necessary

Tolerable No additional controls are required. Monitoring is required to ensure that the controls are maintained.

Moderate Efforts should be made to reduce the risk further where reasonable and practicable. Risk reduction measures (where identified) should be implemented within a defined period.

Substantial Work should not be started until the risk has been reduced. If work is already in progress then urgent action should be taken.

Intolerable Work should NOT be started or continued until the risk has been reduced. If it is not possible to reduce the risk then work has to remain prohibited

24

MIDDLESEX UNIVERSITY - Natural Sciences Ethics sub-Committee (NSESC) - Application for Ethical Approval

25


Attachment 3

Field Based Risk Assessment[Delete this attachment if not required for submission of application]

26


Please complete the risk assessment form if your project is field or lab based. Important information for retaining evidence of completed risk assessments:

Once the risk assessment is completed and approval gained the supervisor should retain this form and issue a copy of it to the field/location worker participating on the field course/work. In addition the approver must keep a copy of this risk assessment in an appropriate Health and Safety file.

INDEPENDENT FIELD/LOCATION WORK RISK ASSESSMENT

This proforma is applicable to, and must be completed in advance for, the following field/location work situations:1. All field/location work undertaken independently by individual students, either in the UK or overseas, including in connection with proposition module or dissertations. Supervisor to complete with student(s).2. All field/location work undertaken by postgraduate students. Supervisors to complete with student(s).3. Field/location work undertaken by research students. Student to complete with supervisor.4. Field/location work/visits by research staff. Researcher to complete with Research Centre Head.5. Essential information for students travelling abroad can be found on www.fco.gov.uk

FIELD/LOCATION WORK DETAILS

Name ………………………………………………. Student NoResearch Centre (staff only)…………………………………

Supervisor …………………………………………. Degree course ………………………………………………….

Telephone numbers and name of next of kin who may be contacted in the event of an accident

NEXT OF KIN

Name …………………………………………………………………………..

Phone …………………………………………………………………………..

Physical or psychological limitations to carrying out the proposed field/location work

……….………….………….…………..……………………………………….

……….………….………….…………..……………………………………….

Any health problems (full details)Which may be relevant to proposed field/location work activity in case of emergencies.

……….………….………….…………..……………………………………….

……….………….………….…………..……………………………………….

Locality (Country and Region) …………………………………………………………………………………..

……….………….………….…………..……………………………………….

Travel Arrangements …………………………………………………………………………………..

……….………….………….…………..……………………………………….

NB: Comprehensive travel and health insurance must always be obtained for independent overseas field/location work.

……….………….………….…………..……………………………………….

Dates of Travel and Field/location work

……….………….………….…………..………………………………………

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http://www.fco.gov.uk/


PLEASE READ THE FOLLOWING INFORMATION VERY CAREFULLY

Hazard Identification and Risk AssessmentList the localities to be visited or specify routes to be followed (Col. 1). For each locality, enter the potential hazards that may be identified beyond those accepted in everyday life. Add details giving cause for concern (Col. 2).

Examples of Potential Hazards :Adverse weather: exposure (heat, sunburn, lightening, wind, hypothermia)Terrain: rugged, unstable, fall, slip, trip, debris, and remoteness. Traffic: pollution.Demolition/building sites, assault, getting lost, animals, disease.Working on/near water: drowning, swept away, disease (weils disease, hepatitis, malaria, etc), parasites’, flooding, tides and range.Lone working: difficult to summon help, alone or in isolation, lone interviews.Dealing with the public: personal attack, causing offence/intrusion, misinterpreted, political, ethnic, cultural, socio-economic differences/problems. Known or suspected criminal offenders.Safety Standards (other work organisations, transport, hotels, etc), working at night, areas of high crime.Ill health: personal considerations or vulnerabilities, pre-determined medical conditions (asthma, allergies, fitting) general fitness, disabilities, persons suited to task.Articles and equipment: inappropriate type and/or use, failure of equipment, insufficient training for use and repair, injury.Substances (chemicals, plants, bio- hazards, waste): ill health - poisoning, infection, irritation, burns, cuts, eye-damage.Manual handling: lifting, carrying, moving large or heavy items, physical unsuitability for task

If no hazard can be identified beyond those of everyday life, enter ‘NONE’.

1. LOCALITY/ROUTE 2. POTENTIAL HAZARDS

The University Field/location work code of Practice booklet provides practical advice that should be followed in planning and conducting field/location work.

Risk Minimisation/Control Measures PLEASE READ VERY CAREFULLYFor each hazard identified (Col 2), list the precautions/control measures in place or that will be taken (Col 3) to "reduce the risk to acceptable levels", and the safety equipment (Col 5) that will be employed.

Assuming the safety precautions/control methods that will be adopted (Col. 3), categorise the field/location work risk for each location/route as negligible, low, moderate or high (Col. 4).Risk increases with both the increasing likelihood of an accident and the increasing severity of the consequences of an accident.

An acceptable level of risk is: a risk which can be safely controlled by person taking part in the activity using the precautions and control measures noted including the necessary instructions, information and training relevant to that risk. The resultant risk should not be significantly higher than that encountered in everyday life. Examples of control measures/precautions: Providing adequate training, information & instructions on field/location work tasks and the safe and correct use of any equipment, substances and personal protective equipment. Inspection and safety check of any equipment prior to use. Assessing individuals’ fitness and suitability to environment and tasks involved. Appropriate clothing, environmental information consulted and advice followed (weather conditions, tide times etc.). Seek advice on harmful plants, animals & substances that may be encountered, including information and instruction on safe procedures for handling hazardous substances. First aid provisions, inoculations, individual medical requirements, logging of location, route and expected return times of lone workers. Establish emergency procedures (means of raising an alarm, back up arrangements). Working with colleagues (pairs). Lone working is not permitted where the risk of physical or verbal violence is a realistic possibility. Training in interview techniques and avoiding /defusing conflict, following advice from local organisations, wearing of clothing unlikely to cause offence or unwanted attention. Interviews in neutral locations. Checks on Health and Safety standards & welfare facilities of travel, accommodation and outside organisations. Seek information on social/cultural/political status of field/location work area.Examples of Safety Equipment: Hardhats, goggles, gloves, harness, waders, whistles, boots, mobile phone, ear protectors, bright fluorescent clothing (for roadside work), dust mask, etc.

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If a proposed locality has not been visited previously, give your authority for the risk assessment stated or indicate that your visit will be preceded by a thorough risk assessment.

3. PRECAUTIONS/CONTROL 4. MEASURES RISK ASSESSMENT(low, moderate, high)

5. SAFETY/EQUIPMENT

PLEASE READ THE FOLLOWING INFORMATION AND SIGN AS APPROPRIATE

DECLARATION: The undersigned have assessed the activity and the associated risks and declare that there is no significant risk or that the risk will be controlled by the method(s) listed above/over. Those participating in the work have read the assessment and will put in place precautions/control measures identified.

NB: Risk should be constantly reassessed during the field/location work period and additional precautions taken or field/location work discontinued if the risk is seen to be unacceptable. If the research is carried outside UK then a signature from the HoD will be required

Signature of Field/location worker (Student/Staff)

……….……………..………….………… Date ............

Signature of Student Supervisor

……….……………..………….………… Date ............

Signature of HoD if research outside UK borders…………………………………………………..

1. Ensure that all members of the field party possess the following attributes (where relevant) at a level appropriate to the proposed activity and likely field conditions:

Safety knowledge and training?

Awareness of cultural, social and political differences?

Physical and psychological fitness and disease immunity, protection and awareness?

Personal clothing and safety equipment?

Suitability of field/location workers to proposed tasks?

2. Have all the necessary arrangements been made and information/instruction gained, and have the relevant authorities been consulted or informed with regard to:

Visa, permits?

Legal access to sites and/or persons?

Political or military sensitivity of the proposed topic, its method or location?

Weather conditions, tide times and ranges?

Vaccinations and other health precautions?

Civil unrest and terrorism?

Arrival times after journeys?

Safety equipment and protective clothing?

Financial and insurance implications?

Crime risk?

Health insurance arrangements?

Emergency procedures?

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Transport use?

Travel and accommodation arrangements?

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