FIELDWORK POLICY STANDARD & PROCEDURES FIELDWORK

Transcription

1 POLICY STANDARD & PROCEDURES This Policy Standard states the requirements placed on the University and its Colleges with regards to the management of fieldwork for teaching and research purposes. The Policy Standard notes the general duties and responsibilities placed on Academic Supervisors, Fieldwork Leaders and Supervisors, staff, students and third-party fieldwork providers. The Policy Standard is supplemented by guidance documents that advise Colleges on what is required of them when arranging and managing fieldwork activities. The Standard applies to all: Colleges that arrange field activities and trips. Staff, Students and Volunteers. The Policy Standard does not apply to: Work Placements at or away from the University. Attendance at conferences and meetings. Work using the facilities of other institutions. Approved by Health and Safety Committee: 4 th February 2015 Date of Implementation: 4 th February 2015 Gwasanaethau Iechyd a Diogelwch / Health and Safety Services Penbre, Lon y Coleg. Bangor. LL57 2DG Ebost: iechydadiogelwch@bangor.ac.uk - healthandsafety@bangor.ac.uk Tel:

2 1. POLICY STATEMENT It is the policy of Bangor University, so far as is reasonably practicable and in accordance with the relevant legislation, statutory requirements and good practice, to ensure the health and safety of staff, students and others who could be affected by fieldwork activities. 2. INTRODUCTION Fieldwork is a valuable aspect of teaching and learning, and is often an essential part of research. This Policy Standard seeks to promote and support fieldwork activities to ensure they take place without unwarranted restrictions. The general duties outlined by the Health and Safety at Work etc. Act and the Management of Health and Safety at Work Regulations apply to all activities under the control or direction of the University including off-site activities such as fieldwork. Recently, the Universities and Colleges Employers Association (UCEA) has produced specific guidance on Health and Safety in Fieldwork. The University and its constituent Colleges have an obligation for the health and safety of all person(s) participating in fieldwork. This includes implementing procedures to: i. Approve fieldwork. ii. Identify risks associated with the fieldwork. iii. Establish suitable controls to manage those risks. iv. Ensure the competence of Academic Supervisors, Fieldwork Leaders and Supervisors. v. Confirm the suitability of any 3 rd Party Fieldwork providers. vi. Plan for potential emergency situations. The procedures in Appendix 1 outline the specific arrangements that Colleges should establish to control fieldwork risks in accordance with legislative requirements and University expectations. The supporting Handbooks and template documents produced to assist Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors when planning fieldwork seek to reflect the principles of the UCEA guidance and British Standard BS8848 created for the provision of visits, fieldwork, expeditions, and adventurous activities, outside of the UK, whilst having due regard to the level of risk and the implementation of realistic controls. Definitions: For the purpose of this Policy Standard the following definition applies: Fieldwork: Work carried out by staff or students for the primary purpose of teaching and / or research at locations away from the University where the University remains responsible for the safety and health of participating staff and / or students and others affected by their activities. NOTES: Fieldwork does not include work placements, the use of facilities within other institutions or business travel / attendance at meetings and conferences away from the University. Standard safety procedures should be adopted for these activities. Overseas fieldwork has two distinct elements, namely the travel to the overseas destination and the actual work which will occur. This Policy Standard and its associated procedures consider the fieldwork element only; Colleges, staff and students are referred to the Overseas Travel Policy for information regarding overseas travel. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 1 of 9

3 3. BACKGROUND AND INFORMATION Fieldwork if not planned for and appropriately controlled can be quite hazardous as work is undertaken away from the University s direct control and supervision, and of course its immediate support in an emergency. However, just because there may be some risk does not mean activities should be avoided. Instead, measures need to be put in place to ensure risks and controls are considered during the planning stages so fieldwork can take place safely. It should be remembered that most fieldwork is undertaken in relatively low risk environments or involves everyday activities such as visiting museums or publicly accessible locations like a beach or simple mountain path. Sometimes fieldwork will carry a greater level of potential risk and will require more thought and greater controls; for example, social research, cliff side flora collection, collecting snake venom, work in quarries or other harsh environments such as deserts. 4. DUTIES OF THE UNIVERSITY The University will: a) Establish, through this Policy Standard and its associated documentation, a management system that seeks to promote fieldwork whilst suitably controlling risks to participants and others affected by the fieldwork. b) Provide adequate resources to support the implementation of this Policy Standard. c) Delegate, in line with the University s health and safety management system, the duty to implement this Policy Standard to Deans of College and applicable Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors. d) Periodically review this Policy Standard and associated procedures and controls. 5. DUTIES OF COLLEGES In pursuance of the commitments and objectives of this Policy Standard, each College is responsible for implementing procedures to ensure fieldwork takes place without significant risk to participants. Each College will: a) Identify fieldwork activities. b) Put in place an appropriate fieldwork approval mechanism, commensurate to the level of risk and taking into account other University policies and controls (eg. Ethics). c) Ensure staff and others planning and supervising fieldwork are suitably experienced and competent to do so. d) Risk Assess fieldwork activities and communicate the findings and controls required to participants and others as appropriate. e) Ensure other factors are considered and addressed as needed eg Regulatory Authority approvals, legislative requirements, adequate insurance, University Minibus Safety Policy. f) Seek to ensure that fieldwork is, where practicable, inclusive, taking into account the needs and capabilities of potential participants in line with the spirit of the Equalities Act. g) Ensure all equipment and materials to be used during fieldwork activities are suitable and safe. h) Provide suitable personal protective equipment or stipulate that such should be worn, as appropriate to the fieldwork activity. i) Plan all fieldwork to ensure the necessary controls are put in place. j) Confirm third-party fieldwork providers are competent and will implement similar or greater controls as those stipulated by this Policy Standard. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 2 of 9

4 k) Provide all fieldwork participants with suitable information, instruction and training to enable them to understand the nature of the risks involved and how these risks are controlled. l) Identify and inform participants of participant borne costs and requirements. m) Establish, as appropriate to the level of risk, suitable emergency procedures. n) Ensure fieldwork accidents and incidents are investigated with action taken, including cascading findings within the College and / or institution as necessary. o) Regularly review arrangements for managing fieldwork and complying with this Policy Standard. Further information is provided in Appendix 1 of this Policy Standard. 6. DUTIES OF ACADEMIC SUPERVISORS, LEADERS & SUPERVISORS Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors have a duty to comply with this Policy Standard and their College fieldwork management arrangements and systems to ensure risks are considered and suitably controlled. Anyone who plans and supervises fieldwork should at all times seek to ensure the health, safety and wellbeing of the participants and others affected by the fieldwork activity. It is imperative that Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors understand the limits of their own knowledge and experience, and seek the advice and / or assistance of others as necessary. 7. DUTIES OF ALL PARTICIPANTS All staff, students and other fieldwork participants have a duty to follow any requirements established in the interests of health and safety including taking care of their own health and safety and that of any other person who could be affected by their actions. In addition, all fieldwork participants must: a) Attend relevant fieldwork training or briefings. b) Report concerns, including their ability to participate in the fieldwork to their Academic Supervisor, Fieldwork Leader / Fieldwork Supervisor or School / College H&S Coordinator. c) Follow all instruction, controls and procedures pertinent to the fieldwork being undertaken. d) Cooperate with those responsible for managing the fieldwork. e) Not interfere with or mis-use materials or equipment supplied in the interest of health and safety. f) Report any accidents and incidents associated with the fieldwork immediately as b) above. 8. MONITORING AND REVIEWING PROCEDURES Each College must periodically review their own procedures to ensure the requirements of this Policy Standard are implemented, and that they are suitable and effectively eliminate or reduce the risks associated with fieldwork activities to as low as is reasonably practicable. Health and Safety Services will undertake periodic reviews to assess compliance against this Policy Standard and the suitability and appropriateness of the Policy. The University s Health and Safety Committee may from time to time review the effectiveness of the University s system for the management of fieldwork activities. End. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 3 of 9

5 APPENDIX 1 - PROCEDURES This section supports the Fieldwork Policy Standard and provides guidance on the procedures Colleges should establish so fieldwork is suitably planned for and undertaken safely. A number of supplementary Handbooks have also been produced to give Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors practical advice on what to consider when planning and carrying out fieldwork. 1.1 DEFINITIONS The following definitions may apply to off-site activities: GENERAL DAY TRIP & VISITS TAUGHT RESEARCH ACADEMIC SUPERVISORS (AS) LEADERS (FL) Definition Trip (group and alone) away from the University to undertake an activity that poses a risk that is generally no greater than everyday life Fieldwork / study away from the University which includes a taught element and involves a greater level of risk than that encountered generally in everyday life and where University staff will attend to support participating students (eg student group(s) taking plant samples on a mountainside) Traditional field research away from the University, which is generally unsupervised, not part of a taught module and which could involve unusual / higher risk activities Responsible for ensuring all fieldwork they direct complies with the requirements of this Policy. The AS is defined as: The module organizer for group taught fieldwork The Project Supervisor for undergraduate, MSc and MRes students The main AS for PhD students The Principal Investigator for all research associated fieldwork A competent FL is essential for all group taught fieldwork. The FL is responsible for implementing all the controls identified in the risk assessment for maintaining the health and safety of participants. The FL is also responsible for the supervision of all participants taking part in the fieldwork. FLs are expected to take charge in case of emergency and making decisions to abort or change the fieldwork as required FLs may often be involved in planning and risk assessing fieldwork but the responsibility for ensuring compliance with this Policy remains with the AS Where groups of people are involved in research fieldwork the appointment of a competent FL should be considered Comment / Duties Trip involves everyday risks eg aquarium / museum visit, trip to an easily accessible beach Heightened or greater risk activities not usually undertaken in everyday life and where those with little or limited experience may be put at risk Usually unsupervised and / or high risk / unusual activities, eg taking snake venom, assessing quarry-face flora, social interviews Academic Supervisors will provide authorisation on a case by case basis after assessment of all fieldwork elements eg location, activity, participant competence The Dean of College, normally through the Head of School, is responsible for ensuring Academic Supervisors are competent to direct fieldwork Academic Supervisors must be confident that Fieldwork Leaders are competent through knowledge, experience and formal training as required Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 4 of 9

6 SUPERVISORS (FS) ER Definition FS are often required for group taught fieldwork where the main group is split into sub-groups. FS must be competent to supervise these sub-groups under the direction and with the support of the Fieldwork Leader Fieldworkers includes those under supervision and those working independently of direct supervision on a field activity Comment / Duties Academic Supervisors are responsible for ensuring Fieldwork Supervisors are competent and receive the necessary training Academic Supervisors must be confident that any person working independently has the skills and experience to carry out the fieldwork activity at the location being visited, including responding to any emergencies that could arise 1.2 COMPETENCE OF ACADEMIC SUPERVISORS, LEADERS & SUPERVISORS It is essential that Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors understand the limits of their own knowledge and experience and seek the advice or assistance of others as necessary. In order to protect the health and safety of fieldworkers Colleges / Schools may need to arrange additional training and/or information for Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors. In all cases this should be commensurate to the level of risk and could in some instances include formal qualifications such as Mountain Leader Training. Training could also take the form of accompanying an experienced member of staff on a fieldtrip and being briefed so the person can lead in the future. Similarly, a new or relatively inexperienced researcher visiting an area not previously visited may benefit from a formal briefing by a more experienced person on the fieldwork s safety considerations. Colleges are also advised to include any additional training needs during annual Performance Reviews to ensure Academic Supervisors, Fieldwork Leaders and Fieldwork Supervisors skills remain pertinent. Records of any training should, as with any work related training be kept by the College. 1.3 AUTHORISATION Colleges must develop a clear, written, fieldwork approval process. Arrangements should ensure: i. All fieldwork is supported as appropriate by suitable and sufficient risk assessments. ii. iii. iv. Any person involved in the approval process understands and accepts their role, including the duty to prohibit unsafe fieldwork and the powers of their approval authority. Appropriate advice is sought from within the institution as required. Compliance with the specific requirements of the University s Ethics and Overseas Travel Policies and other legislative requirements relevant to the fieldwork. v. Approval can be withdrawn if risks escalate and become unmanageable. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 5 of 9

7 Fieldwork Authorisation Risk Assessment 1 GENERAL DAY TRIP & VISITS / TAUGHT RESEARCH OVERSEAS It is envisaged the majority of such fieldwork will have overarching authorisation from the Dean of College, normally through the Head of School It is envisaged the Dean of College will delegate duties to Academic Supervisors. Academic Supervisors will provide authorisation on a case by case basis after assessment of all fieldwork elements eg location, research activity, emergency aid, competence of participant(s) As above plus the requirements of the Overseas Travel Policy must be adhered to Day Trips: Review and customise the template risk assessment Taught Fieldwork: Customise the template risk assessment as appropriate, otherwise carry out a specific assessment Risk assessments should be reviewed regularly with amended documents communicated to relevant persons A specific risk assessment must be provided to support the fieldwork request As above plus the requirements of the Overseas Travel Policy must be adhered to 1.4 SUPERVISION It should be remembered that students are adults and in the majority of cases will be carrying out activities that pose no more risk than those associated with everyday life. As such, it is envisaged that for the majority of fieldwork supervision ratios will be dictated by academic needs to ensure learning and teaching outcomes are met. In some cases ratios may need to increase if specific health and safety risks are identified which cannot be suitably controlled by the number of supervisors already appointed to fulfill academic needs. Participants should be informed of periods when supervision will not be provided eg free time with details of any controls or restrictions made clear. Where fieldwork is undertaken independently, Colleges must ensure regular contact is made with fieldworkers to confirm arrangements and controls are suitable and being employed. 1.5 TRAINING AND INFORMATION - ERS Colleges must ensure fieldworkers receive appropriate training, information and instruction to undertake fieldwork safely including for example how to take samples and use field equipment correctly. Identifying what needs to be provided pre-trip and what needs to be given once on site is crucial to ensure proper arrangements can be made. Records should be held of any briefing or training given. 1.6 ETHICAL CONSIDERATIONS Colleges must ensure that all fieldwork complies with University and College Ethical Policies and approval arrangements. 1 See relevant Handbook Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 6 of 9

8 1.7 OTHER CONSIDERATIONS Colleges must make sure other relevant requirements are identified and complied with. These may include access restrictions on land managed by public bodies, permits needed to collect samples and permissions from the Relevant Authority if the species or area being studied is protected. When working overseas knowledge of local legislation is essential as is an understanding of local customs and practices. 1.8 COSTS Colleges should ensure fieldwork health and safety costs are included in any estimate or grant application eg safety equipment, training, clothing. In addition and wherever possible Colleges should identify and inform students at the beginning of each academic year of any foreseeable student borne costs. 1.9 CODE OF CONDUCT Colleges may establish a Code of Conduct detailing the general behavioural standards expected of participants including the disciplinary action that will be taken if the rules are breached. Participants should then be informed of additional, specific fieldwork requirements on a case by case basis. For example, specific dress code if visiting a culturally sensitive area HEALTH AND WELL-BEING OF ERS (including disabilities) It is important fieldworkers are encouraged to disclose relevant health information including disabilities so appropriate support / adjustments can be arranged. Dependent on the nature of the fieldwork Colleges may need to develop a system whereby potential fieldworkers complete and sign a Fieldwork Participant Form (examples available on the Health and Safety Website). The information should then be checked prior to fieldwork to capture individual needs. Student Services can provide specific advice to Colleges on student health matters. Health and Safety Services can advise for staff. NOTE: It must be made clear when and with whom the information on Participant Forms will be shared. All information must be stored in accordance with the University s Data Protection Policy CHILDREN (under 18) / VULNERABLE PERSON Colleges must implement the University s relevant child and vulnerable person protection procedures. Further advice can be sought from the Planning and Governance Office THIRD PARTY PROVIDERS Colleges must establish systems to ensure a risk based assessment of the competency of third party providers is undertaken. If the third party is to provide a service which involves a heightened or greater risk not usually encountered in everyday life for example outward bound activities, Colleges are required to undertake a more detailed assessment of the suitability and competency of the third party. This would include a review of their Public Liability Insurance, checking of past Enforcement actions, accreditation to relevant Governing Bodies and the specific management arrangements for their service, including risk assessments. Responsibilities regarding supervision during the activity and the provision of specialist equipment, training etc should also be confirmed pre-trip, with arrangements confirmed in writing. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 7 of 9

9 1.13 ACCOMMODATION Colleges should ensure suitable checks are undertaken of any accommodation being booked for fieldwork. However, as it is accepted costs may dictate the standard of accommodation, a practical approach should be taken with similar checks carried out as if making a personal booking. Checks could include booking through an established provider, ensuring the accommodation is in a safe location and near to the fieldwork site with facilities for male and female students. In addition, a general check of standards eg fire arrangements, cleanliness should be undertaken on arrival with alternative accommodation sought immediately if it is felt the accommodation poses a risk to health and safety ROAD TRAVEL Each College must make certain road travel is undertaken in accordance with the University s Driver and Vehicle Policy Standard, the Minibus Safety Policy Standard and specific Finance Department insurance requirements. It is suggested public transport or licensed / approved providers such as a coach company, especially for group travel, are used where possible. Colleges should be particularly mindful of challenges when driving unfamiliar vehicles, driving in unknown terrain and where driving conditions and practices are extremely different, for example driving overseas. In such cases specific consideration must be given to driver and vehicle risks as part of the fieldwork risk assessment, with, as an alternative, a vehicle and driver hired from a suitable organisation recommended. The Local Tourist Board or the host organization should be able to advise on suitable providers if planning to drive overseas OVERSEAS TRAVEL All overseas travel must be undertaken in accordance with the University s Overseas Travel Policy which includes an on-line system, supported by a risk assessment process to ensure appropriate University Insurance is in place RISK ASSESSMENT Colleges must make sure those leading Taught Fieldwork have a suitable and sufficient Risk Assessment (includes customizing template risk assessments) for their activities with relevant information passed to participants and other interested parties in a timely manner. Participants should be encouraged to be involved in this process to develop fieldwork management skills. With regards to Research Fieldwork, Colleges must make sure staff or students undertaking such activities submit a risk assessment to their Academic Supervisor for approval before activities commence. It is essential that risk assessments are reviewed regularly, eg pre-fieldwork to confirm details remain pertinent. Details should be kept of revisions ie date and version number to keep a track of updates with any updated documents communicated as needed. Systems should also be established to capture salient information centrally so valuable knowledge and experience is not lost if an Academic Supervisor, Fieldwork Leader or Fieldwork Supervisor leaves the University INSURANCE Colleges should ensure relevant persons are aware that if the fieldwork involves an unusual or high risk activity they should seek the advice of the University Insurance Officer to confirm appropriate insurance is in place. NOTE: Fieldworkers should be reminded they will need to arrange personal insurance cover for any activities they wish to carry out during fieldwork free time. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 8 of 9

10 1.18 EMERGENCY PROCEDURES Colleges must make sure suitable emergency procedures are in place for fieldwork activities. This includes identifying first aid provision, how the alarm will be raised, emergency contacts (local, University based, out of hours) etc. For group trips a Trip Registration Form (Participant Register) should be completed with a copy taken on the trip, and if possible a copy held locally with the College or University Security. NOTE: All incidents must be reported on the Accident and Incident Form in accordance with the College and University reporting procedures REVIEW / MONITORING Colleges should develop a Student Feedback mechanism to assess if fieldwork is meeting student needs and to identify any concerns. Fieldwork related accidents; incidents and near misses should also be investigated in accordance with University policies and procedures, with any recommendations / actions or lessons to be learned recorded and tracked to completion. Colleges should also periodically review fieldwork and associated risk assessments and Student Feedback with comments and suggestions coordinated in order to direct any changes in College policy. As part of this process it is important relevant information is forwarded to Health and Safety Services so lessons learned can be shared across the University, with changes made to central University policies and procedures if required. In addition, Health and Safety Services will carry out general and periodic audits to ensure compliance against this Policy Standard and legislation in general. Bangor University Fieldwork Policy Standard and Procedures - Feb 2015 Page 9 of 9