The Scottish Manual Handling Passport Scheme

SECTION 3 MANUAL HANDLING DOCUMENTATION

As identified in the introduction, this section is split into three:

• Section 3A - An audit tool, for use in the format provided.
• Section 3B - Guidance documents

This is split into two parts, the first containing guidance for developing a MH policy framework; and the second, guidance for developing job specific MH roles using competencies.

• Section 3C - Minimum criteria for manual handling documents

This section provides guidance and minimum criteria to use when developing documents. Sample forms or documents likely to be used are provided within the appendices, including a 'Passport' document.

Section 3A Manual Handling Audit Tool

Introduction

The purpose of the audit tool is to ensure that participating organisations can demonstrate compliance with the principles and guidance in the Scottish Manual Handling Passport Scheme (SMHPS). Although participation in the SMHPS is not compulsory, implementation of the guidance contained in it may be taken into account by health and safety inspectors when seeking demonstrations of compliance with the relevant legal requirements.

The audit tool may be used to audit the whole organisation or an individual service. The audit should be conducted by a competent person from within the organisation with knowledge of manual handling (MH), or by an External or Internal Auditor appointed by the organisation. If a competent auditor with no knowledge of MH is conducting the audit, a person from the organisation knowledgeable in MH should be present. The requirement to complete audits of Section 1, 2 and / or 3 of the audit tool is dependent on the nature of the audit and the circumstances in which it is being undertaken. For example, an audit of the training department by a competent person from within the organisation might only involve completion of the audit tool for Section 2, whereas the audit tool for all 3 Sections might be appropriate for an audit of the organisation by an External Auditor.

Administration details

Audit tool for Scottish Manual Handling Passport Scheme

1	The organisation has documented management arrangements in place to adequately control the risks from manual handling (MH) activities and there is management commitment and support to implement the MH strategy
1.1	The organisation has their MH management arrangements documented and this complies with current legislation and guidance Example of evidence: Current MH policy or procedure including key elements outlined in SMHPS policy framework Reference section 1.1 and 1.2	Yes	No	Partial	Comments
1.2	The MH management arrangements are communicated at all levels. Examples of evidence: Organisational/ local induction Training Intranet/locally held policies Quarterly / annual reports to Board Level / Senior Management Teams Health and Safety Committee Risk Management Committee Confirmed in discussion with employees Reference section 1.1
2	The organisation identifies competent individuals to undertake key MH roles
2.1	Person(s) undertaking key MH roles at strategic, organisational and / or local level are identified Examples of evidence: MH management arrangements identify responsible person(s) The roles are clearly defined through eg job description, role profiles or procedural arrangements Reference section 1.1, 1.2 and 3B.2	Yes	No	Partial	Comments
2.2	Person(s) undertaking key MH roles meet the relevant competency criteria detailed in Section 3B.2 Examples of evidence: System in place for ensuring competence of those undertaking key MH roles as detailed in Section 3B.2 Reference section 1.1 and 3B
3	The organisation allocates sufficient resources to implement, develop and deliver the MH education strategy in line with the MH management arrangements
3.1	There is access to sufficient MH practitioners to deliver the MH strategy. Examples of evidence: MH management arrangement documentation Job descriptions / role profiles The strategy is being delivered timeously Evidence of workplace MH practitioners eg link workers, key workers Reference section 1.1, 1.2 and 1.7	Yes	No	Partial	Comments
3.2	There is a maximum ratio of 1 trainer to 8 trainees (or 2:16) for practical people handling sessions and 1 to 10 for inanimate load handling sessions. Examples of evidence: Trainer notes Training procedure / risk assessments Attendance sheets Training programmes / course plans Reference section 1.4	Yes	No	Partial	Comments
3.3	Sufficient and appropriate equipment and training resources are provided to support the SMHPS training requirements. Examples of evidence: Appropriate training venue Equipment inventory and LOLER documentation MH management arrangement documentation / training records Reference section 1.1 and 1.4
4	The organisation has systems in place to assess the risks arising from MH activities and to identify control measures
4.1	A clear documented process for recording MH risk assessments and outcomes Examples of evidence: Management arrangements describing MH risk assessment process MH risk assessment documentation in place and meets minimum criteria in section 3C Completed risk assessments and resultant safe systems of work Reference section 1.1, 1.2 and 3C	Yes	No	Partial	Comments
4.2	There is clear delegation of MH risk assessment responsibilities Examples of evidence: Management arrangements identify delegated responsibilities System in place for ensuring competence of those undertaking MH risk assessment roles as detailed in Section 3B.2 Reference section 1.1, 1.2 and 3B.2	Yes	No	Partial	Comments
5	The organisation has systems to identify learning needs of employees including a suitable and sufficient education programme to address needs identified
5.1	A suitable and sufficient education programme as informed by the SMHPS has been developed. Examples of evidence: MH education strategy Education programme for those undertaking key MH roles at local level eg MH risk assessors Training course plans / bookings on internal training course management systems Reference section 1.1	Yes	No	Partial	Comments
5.2	The organisation has an established process in place to ensure that new start employees do not undertake any higher risk handling activities until it has been identified whether they have undertaken foundation training. Examples of Evidence: Process identified within management arrangements Induction record documentation (eg appendix 8) Training records Reference section 1.1 and 1.4
5.3	Systems to identify learning needs of employees. Examples of evidence: Appropriately completed risk assessments Audit reports MH competency assessments / self assessments Evidence of advice sought and actions taken Reference section 1.1 and 1.4	Yes	No	Partial	Comments
5.4	The organisation ensures that contracted external training providers (where used) meet the SMHPS standards. Examples of evidence: Contractual / service level agreement Documentary evidence from training provider Reference section 1.6
6	The organisation records training in line with the SMHPS
6.1	Employee's attendance at MH education is recorded. Examples of evidence: Attendance Records Course cancellation records Failure to attend records Reference section 1.5	Yes	No	Partial	Comments
6.2	Training is planned and recorded with reference to the guidance outlined in the SMHPS. Examples of evidence: Training records meet the minimum criteria of the SMHPS Process for nominating employees onto training courses System for recall and update training Lesson plans and handouts Reference section 1.5 and 3C
6.3	There is a system in place to monitor and feedback training attendance, non-attendance and non-achievement of the learning outcomes within the organisation Examples of evidence: Risk Management Committee minutes Health and Safety Committee minutes MH Committee minutes Reference section 1.5	Yes	No	Partial	Comments
6.4	The organisation retains evidence of trainees' attendance at foundation training modules to enable transfer of information between participating organisations: Examples of evidence: Electronic or paper passport documents Reference to passport document within employee induction literature Reference section 1.5 and 3C
7	The organisation has systems to audit, monitor and review MH incidents and practices
7.1	Suitable arrangements are in place to monitor practices within the workplace. Examples of evidence: Appropriately completed risk assessments Audit reports MH competency assessments Evidence of advice sought and actions taken Reference section 1.1 and 1.7	Yes	No	Partial	Comments
7.2	Adverse incidents that result as a consequence of MH tasks or activities are reported, investigated, reviewed, and appropriate action taken, with lessons learnt communicated. Examples of evidence: Completed incident and RIDDOR reports Investigation / lessons learnt reports Unit / department / team meeting minutes Health and safety committee minutes Risk registers / action plans Reference section 1.1 and 1.8	Yes	No	Partial	Comments
7.3	There is a support network within or available to the organisation for access by managers and employees which: Supports MH education provided Allows for monitoring of practice in the workplace Allows for provision of advice for more complex handling situations Enables employees to undertake safe practice Examples of evidence: Identified competent person(s) employed by the organisation to provide MH support and advice Identified competent external person/agency contracted by the organisation to provide MH support and advice Evidence of competent workplace employees with enhanced MH skills / knowledge eg link workers, key workers Reference section 1.1 and 1.7
7.4	A system is in place to audit and review the MH management arrangements and to ensure compliance with SMHPS guidance Examples of evidence: Completed MH management arrangement audits Completed SMHPS Compliance Audits MH management arrangements outline process Reference section 1.1 and 1.8	Yes	No	Partial	Comments
8	The organisation has provided foundation training that meets the aims & learning outcomes specified within the SMHPS
8.1	Length of training is commensurate with time scales set against each module. Examples of evidence: Training plans meet minimum suggested module delivery time as per SMHPS Reference section 2.2 to 2.7	Yes	No	Partial	Comments
8.2	There is a process in place to ascertain individuals fitness to engage in the practical aspects of training prior to participating Examples of evidence: Heath questionnaires Annual health and safety report Training risk assessment Trainer training plans outlines this requirement Reference section 1.5 and 3C
8.3	Foundation training contains standard elements as per SMHPS modules, as appropriate to needs. Examples of evidence: Training / module plans / records Reference section 2.2 to 2.7
9	The organisation has implemented a system of assessment of competence and / or formal refresher/update education where the MH risk assessment has identified MH education as a control measure.
9.1	Formal refresher/update education programme or competence assessment occurs at appropriate time intervals. Examples of evidence: Organisation or local risk assessments MH education strategy Training records Reference section 2.8	Yes	No	Partial	Comments
9.2	Systems are in place to assist in the identification of specific gaps in an individuals knowledge / skills which influences the need for refresher / update education. Examples of evidence: Self assessment documentation Induction record Reference section 1.4 and 2.8
10	The organisation has appropriate MH documentation that meets the minimum criteria identified in the SMHPS
10.1	The organisation's MH documentation meets the minimum criteria in the SMHPS. Examples of evidence: Attendance and/or Record of Training documentation MH risk assessment documentation Reference section 3C	Yes	No	Partial	Comments
10.2	The documentation is completed accurately. Examples of evidence: A random sample of Attendance Records are audited A random sample of Records of Training are audited A random sample of MH risk assessments are audited as per organisational guidance Reference section 3C	Yes	No	Partial	Comments

Scoring methodology

1. The assessors will indicate their assessment of compliance with each of the various 'Areas', by ticking 'Yes', 'No' or 'Partial'. Where more than one element of evidence has been reviewed each of these elements will contribute to the assessment mark for each area of assessment. A 'Not Applicable' mark (N/A) may also be given, and no score should be given against such assessments, however, the 'max score' for that section on the table below should be amended for these areas, which will reduce the total score to below 50.

2. The allocation of scores for each of the 'Areas' will then be made by the assessor, based on the assessments of compliance and the associated comments. The scoring will be: Yes = 2 / Partial = 1 / No = 0

3. On completion of the audit the scores should be transferred to the Scoring Table

Scoring table

Scoring guidelines for manual handling compliance audit

The table below gives guidance on identifying the overall 'Audit Response Score' as identified by the 'Total' percentage score:

Response	Score	Rationale
Nil Compliance	0%	No compliance anywhere in the organisation with any of the requirements set by the criterion.
Partial - Low Compliance	1 - 29%	A low degree of organisation wide compliance with the requirements set by the criterion Demonstrable evidence that a start has been made towards compliance in some or all parts of the organisation Percentage of compliance based on professional judgement by competent persons as part of the self-assessment process
Partial - Moderate Compliance	30 - 69%	A moderate degree of organisation wide compliance with the requirements set by the criterion Demonstrable evidence that work is ongoing across most parts of the organisation to achieve compliance, though some directorates or departments may be in the very early stages of compliance Percentage of compliance based on professional judgement by competent persons as part of the self-assessment process
Partial - High Compliance	70 - 99%	Substantive organisation wide compliance with all requirements set by the criterion Demonstrable evidence that most parts of the organisation are meeting most of the requirements set by the criterion Only minor non-compliance requiring, in the main, minor action Percentage of compliance based on professional judgement by competent persons as part of the self-assessment process
Full Compliance	100%	Full compliance across the whole organisation with all requirements set by the criterion.

The scoring of the audit is important to provide a robust indication of overall compliance for benchmarking purposes and for demonstrating improvement over time. At the same time, it is important to recognise that it is the action planning and implementation processes resulting from self assessment against the audit that dictates its success. Therefore, when auditors are presenting their reports recommendations should be provided identifying what actions are required.

Section 3B SMHPS Guidance Documents

This section contains guidance for participating organisations to assist them in meeting SMHPS requirements. It consists of:

3B.1. Guidance for developing a Manual Handling Policy Framework; and

3B.2. Guidance on manual handling (MH) roles, the minimum competency criteria to fulfil them and the evidence required to demonstrate competence.

3B.1 Guidance for developing a Manual Handling Policy Framework

The following suggested framework content includes key elements that should be included in an overarching organisational policy / procedure. It is intended as a guide towards a minimum standard. Additional policies and procedures may be developed, as required, for sub divisions of an organisation, which set out local and operational detail. Headings can be rearranged as appropriate.

1.1. Statement of the organisation's commitment to managing the risks associated with manual handling people and loads

• Recognition of risks (this may include statistics and information relating to musculoskeletal disorders and number of lost working days)
• Commitment to introducing measures to reduce these risks
• Intention to comply with legislative requirement and current evidence based practice
• Commitment to comply with national standards eg SMHPS
• Commitment to allocation of sufficient resources to implement, develop and deliver the MH strategy

1.2. Details of who is responsible for doing what

Responsibilities should be clearly outlined to include those at all levels within the organisation

• Chief Executive; Directors; Heads of Service/Departmental Managers
• Line Managers (eg responsible for: ensuring staff have received appropriate MH training; inspection of / monitoring MH activities in the workplace; investigating adverse incidents and initiating remedial action etc)
• Manual Handling Lead / Competent Person (may be provided in-house or by an external contractor); those with other delegated key MH roles eg Key workers / Link workers / Trainers
• Employees (eg responsible for: applying previously taught MH principles/techniques; reporting concerns with equipment, MH tasks; injuries etc.)
• Occupational Health Service; relevant others, including committees

1.3. Risk assessment and action planning

The organisation's arrangements for ensuring competent assessments are completed, documented, implemented and reviewed for all hazardous MH activities should be outlined. This should include:

• Identification of those delegated to undertake risk assessments
• How the organisation ensures the competency of those delegated to undertake/record MH risk assessments
• Process for completion of generic assessments and action plans
• Process for completion of person specific risk assessments for people handling activities (including a clear handling plan, reflecting the requirement for balanced risk assessment and, procedures to deal with disputes: (ie reluctance/refusal of person and/or their advocate to accept the outcomes of the risk assessment)

1.4. Unusual / higher risk handling situations

Predictable but non routine / higher risk situations should be acknowledged in the over-arching policy / procedure and arrangements for safe handling outlined. These can be detailed in separate organisational procedures or guidance. This may include:

• Emergency evacuation handling
• Dealing with the falling / fallen person
• Handling of plus size people
• Rehabilitation handling

1.5. Manual handling equipment

Arrangements for providing and maintaining handling equipment should be made clear:

• Assessment and selection process for suitable equipment
• Provision, suitability and sufficiency/availability
• Care and maintenance arrangements / requirements
• Training / instruction / monitoring in safe use

1.6. Advice, guidance, support, information for employees

• The arrangements for provision and referral process for competent advice
• Identification of those delegated to provide advice / guidance / support at local and organisational level (this may be included in the Responsibilities section)
• How the organisation ensures the competency of those delegated to provide competent advice, guidance and support (Section 3B. 2, competencies for MH roles)
• Arrangements for informing staff on mechanisms for reporting discomfort, pain or injuries caused by MH activities

1.7. Manual handling education

• The organisation's MH training and education strategy (eg in-house or externally sourced provision; adoption of SMHPS)
• The organisation's standards for foundation training and education (eg application of standards of the SMHPS)
• A clear requirement that new start employees do not undertake any handling activities posing significant risk until appropriate training is provided
• The arrangements in place for continuing education eg competency assessment and/or formal refresher/update education
• Identification of those delegated to provide workplace instruction/supervision, training, competency assessments (where competency assessments are implemented) at local and organisational level
• How the organisation ensures the competency of those delegated MH education roles

1.8. Monitoring, audit and review arrangements

• The arrangements for effective monitoring and supervision of workplace MH practices
• The processes used to monitor compliance and to audit and evaluate the MH arrangements eg:
• Outcomes and indicators used to evaluate the organisation's MH arrangements (eg accident/incident data; sickness absence rates; competency assessment outcomes)
• Inspection regimes
• Frequency of review of documented arrangements
• Audit arrangements and tools

3B.2 Guidance for the Minimum Competency Criteria for Manual Handling Roles

It is recognised that those involved in manual handling (MH) may undertake a combination of key MH roles. Distinct competencies are therefore required to undertake these roles at different levels within organisations:

• Local Level - employees who have a dedicated role, (within their own department / area) relating to MH as a component of their main job, identified through either their job description or other organisational documentation
• Organisational Level - employees who are engaged specifically in a MH role
• Strategic Level - employees who are engaged specifically to take a lead in MH within the organisation

All staff involved in a MH role should:

• As a minimum, have successfully completed foundation MH training and additional continuing education appropriate to their role where detailed in the evidence column of the specific MH role they will be undertaking
• Be appropriately supported with access to additional advice and support when necessary
• Maintain continuing personal development appropriate to their roles in accordance with individual assessed needs and organisational requirements
• Meet their own professional code of practice

In reference to the competencies in the following pages, staff working at an organisational level in a particular role should additionally meet the criteria and demonstrate the evidence for the local level; staff working at a strategic level should additionally meet the criteria and demonstrate the evidence for the local and organisational levels.

Manual handling competencies for specific roles include (3B.2 cont/d):

Role	Level of Role	Minimum Competency Criteria	Evidence
1. Undertaking MH risk assessments	Local Level	Confident in local risk assessment and problem solving and can develop safer systems of work for local handling activities Able to complete the necessary documentation Advises on control measures to be implemented, for example, use of equipment and ergonomic adjustments to minimise risks	Record of attendance at risk assessment training undertaken after foundation training Assessed as competent in undertaking risk assessments at local level, example of completion of MH risk assessment Evidence of an improvement in systems as a result of risk assessment Evidence of balanced decision making in risk assessment outcomes
	Organisational / Strategic Level	Confident in undertaking MH risk assessment and problem solving across a variety of situations Has a broad knowledge base of potential control measures that may be implemented Can develop safer systems of work for a range of handling activities across the organisation Able to problem solve in complex risk assessment situations Able to complete necessary documentation and facilitate sharing of learning	As above in a range of scenarios and complex situations
2. Monitoring and supervision of practice	Local Level	Competent in own MH practice and use of equipment relevant to the area of work Able to monitor the handling practice of staff within local area Maintain and improve standards in handling practices within local area	Assessed as competent in relevant MH activities in the workplace Example of on-going action plan for monitoring, reviewing and improving practice Evidence of improvement in systems of work
	1. Organisational / Strategic Level	Able to assist local managers to monitor standards in manual handling Able to develop evidence based systems and pathways to assist work areas with risk assessment and evaluate application of resulting safer systems of work. Able to monitor organisational performance in meeting legislative requirements through quality assurance and compliance audits	Example of applying evidence based practice to the development of a safer system of work Example of audit processes to monitor and evaluate application of safer systems and compliance
3. Providing information and advice	Local Level	Competent in own MH practice and use of equipment relevant to the area of work Able to provide advice to those involved in basic local handling situations	Assessed as competent in relevant MH activities in the workplace Description of reasoned advice given in basic local handling situations
	Organisational Level	Able to provide advice to staff in a wide range and complexity of handling situations Within people handling areas of work, be able to provide advice and support in complex people handling scenarios	Description of evidence-based advice given in complex handling situations Description of evidence-based advice given in complex people handling situations including evidence of a multi-disciplinary approach
	Strategic Level	Able to promote an ergonomics approach at senior management level in the design development and evaluation of MH policies, procedures and risk management strategies Competent to develop a MH education strategy for the organisation based on assessed needs Able to develop MH business cases	Detail of the strategic arrangements for MH in the organisation Example of completed business case including cost-benefit analysis
4. Providing advice on selection and application of equipment	Local Level	Has a working knowledge of the relevant range of equipment, the selection criteria, risks of use and safety features Within people handling areas, has a working understanding of the relevant factors associated with the assessment of people for MH equipment Able to demonstrate a problem-solving approach in basic handling situations	Assessed competence in the assessment, selection and use of the relevant range of equipment in the workplace Record of attendance at relevant equipment training Evidence of problem solving and advice given on the selection and use of equipment in a basic local handling situation
	1. Organisational Level	Able to research, identify and evaluate a range of handling equipment in line with organisational requirements Able to demonstrate a problem-solving approach in a range of handling situations	Report of equipment evaluations Evidence of problem solving and advice given on the use of equipment in a variety of complex handling situations
5. Coaching	Local Level	Competent in own MH practice and use of equipment relevant to the area of work Able to deliver coaching in practical aspects in local area	Assessed competence in relevant MH activities in the workplace. Assessed ability to observe practice and give appropriate feedback in range of scenarios appropriate to area.
	1. Organisational Level	Practical knowledge and experience of teaching the range of MH activities required Able to support staff who are providing coaching at a local level	Assessed as competent and able to demonstrate good practice in relevant manual handling activities Assessed ability to observe coaching practice in a range of scenarios and give appropriate feedback
6. Training delivery	Local / Organisational Level	Has relevant knowledge or experience of the work/service area Competent in own MH practice and use of equipment relevant to the area of work Has an understanding of the topics covered in the foundation training curriculum Is able to demonstrate good practice. Able to deliver a foundation level training session. Able to assess competency of trainee performance and offer relevant feedback to improve practice	Record of successful completion of appropriate training and continuing education Assessed knowledge of topics covered in foundation training curriculum Assessed as competent and able to demonstrate good practice in relevant manual handling activities Assessed competence in presentation skills Assessed ability to observe practice in a range of scenarios and give appropriate feedback
	1. Organisational Level	Able to develop a MH education programme for the organisation based on assessed needs Able to devise and develop suitable training sessions and materials to suit a range of staff groups at various levels within the organisation Able to deliver a range of training programmes Able to competency assess trainers and provide feedback on performance Has an understanding of the principles of evaluation and review of training delivery	Evidence of appropriate lesson plans for a range of training programmes Evidence of evaluation process and example of evidence based improvement Assessed ability to evaluate teaching practice in a range of scenarios and give appropriate feedback
7. Competency assessment of MH practice	Local Level	Practical knowledge and experience of the MH activities being competency assessed Competent in MH practices and use of equipment relevant to activities being assessed Able to assess competency of MH practice and offer relevant feedback on performance	Assessed as competent in relevant MH activities in the workplace. Attended MH competency assessment training Record of successful assessed competency assessment in practice Evidence of example of a clear record of the assessment
	1. Organisational Level	Provide training, supervision and feedback to those responsible for undertaking competency assessment Meet minimum competency criteria for training delivery at organisational Level	Evidence of development of staff competency assessment skills Meets evidence for training delivery at organisational Level
8. Advice on MH risks for individuals with an underlying health issue which impacts on MH activities	Local Level	Able to identify when advice should be sought on an individual's ability to carry out specific tasks	Evidence of referral to appropriate services eg Occupational Health
	1. Organisational Level	Knowledge of an individual's job role Able to assess the impact of an individual's health issues on their capabilities (in conjunction with appropriate health professional(s)) and their ability to carry out MH activities safely Demonstrate a problem solving approach to modifying working activities to suit individual requirements Able to identify when advice should be sought on an individual's ability to carry out specific tasks	Example of evidence based assessment of an individual's capabilities and resultant modifications
9. Monitoring and evaluation of MH incidents	Local Level	Aware of all MH related incidents and near-misses in local area Able to carry out suitable investigation of incidents and develop appropriate actions to reduce likelihood of recurrence	Example of suitable investigation and appropriate actions following incident
	1. Organisational Level	Able to give appropriate advice and feedback to managers and facilitate sharing of learning Understands the impact of incidents and how they can be used to develop safer systems of work throughout the organisation	Example of support given to incident investigation. Evidence based development of safer systems of work
	1. Strategic Level	Able to interpret performance data, identify trends and use information to effect improvements	Example of data used appropriately eg within business case or service review

Section 3 C Minimum Criteria for Manual Handling Documents

This section comprises a number of other documents, sample forms, records etc, which have been produced to assist organisations. Organisations are free to produce their own material, but if they do, they should take account of the guidance and minimum criteria contained in the table below. This is necessary to meet the SMHPS requirements.

Appendix 1	Appendix description and guidance	Minimum criteria for documentation
Documents for 'Passporting' SMHPS Education	The process for transferring training information between participating organisations can occur using the following: A) Passport Booklet. This booklet details all modules completed, giving space to identify any elements not undertaken. Additionally the booklet enables the employee to identify additional MH education or assessments undertaken / completed. B) Certificate of SMHPS Foundation training. A certificate with details of all modules undertaken and should identify any elements within the modules that were not completed. The certificate will not identify additional education or assessments completed. C) Electronic records. Care should be used when accepting these as evidence of MH education as they may not identify individual trainee exceptions. The Record of Training and Attendance Record may need to be consulted as well as the electronic record.	A) If using the Passport Booklet in Appendix 1A, it should be used as provided. B) The wording provided on the Certificate of SMHPS Foundation Training at Appendix 1B should be incorporated onto individual organisation's certificates. In particular, it should have the awardee's name and the date the modules were undertaken and space to record the modules the certificate is being awarded for, including a statement indicating that all elements in the modules completed were achieved. Additionally, it should be signed and dated by the awarding organisation. C) Electronic record keeping is often part of a larger Human Resources system and therefore dependent on organisation's internal arrangements / systems.
Sample Forms: 1a) Passport Booklet 1b) Certificate of Training
Appendix 2	Appendix description and guidance	Minimum criteria for documentation
Documents for recording attendance	A document used to record all trainees' attendance signed by trainer and all trainees. It is recommended that one form is to be completed per course and retained by the training department in accordance with the organisation's arrangements. NB Items other than those listed in the minimum criteria may be recorded on the form, as required by individual organisations.	The Attendance Record should include: Date of course and place of training Printed and signed name of trainer(s) Printed and signed name of trainee(s) Each day should to be signed for by trainee Trainee unique identifier eg pay roll number Trainee place of work ie Service / Department, base Type of course eg induction (foundation), update Modules covered
Sample Form: Foundation Training Attendance Record
Appendix 3	Appendix description and guidance	Minimum criteria for documentation
Document for recording the content of a course	A document used to record the key elements / manoeuvres covered during the training and any special comments / notes about the training session. A Record of Training should be completed for each course. The Record of Training should be kept with the Training Attendance Record, and retained as per the organisation's local arrangements. A generic Record of Training will be sufficient, however, individual Records of Training for each trainee can be used if desired.	Record of training paperwork should include: Duty of care statement regarding trainees' ability to participate on the course A breakdown of each learning outcome for the module(s)and a section to indicate whether the element has been discussed, demonstrated and / or practised A section for trainer's comments eg lateness, exemptions for individual trainees Trainer(s)' full signature and date The trainer should initial each element covered during the training.
Sample Form: Foundation Record of Training
Appendix 4	Appendix description and guidance	Minimum criteria for documentation
Document for recording trainees' fitness to participate	In order for the MH Trainer to fulfil a 'Duty of Care', train employees safely and meet the needs of participants, awareness of any pre-existing conditions that could impact upon employees' ability to safely undertake the training is required. As a minimum this information must be gathered verbally and recorded as having been asked for on the Record of Training as in Appendix 3. Organisations who wish to gather this information in a written format must be cognisant of the Data Protection Act which categorises personal data relating to an individual's physical or mental health or condition as 'sensitive personal data' and must be processed under the conditions for 'higher status' data.	For organisations collecting this information in a written format the following criteria is the minimal information that should be included on a Record: Date and name of the course / module Participant's and trainer's name (printed / signed) and date Trainee unique identifier eg pay roll number Statement to enable informed consent when signing (informing the participant why information is required and how/where information will be used, disclosed and retained) and a statement on confidentiality Related health questions and statement for participant to declare their fitness for training Area for trainer to add comments relevant to the training session The participant must be informed of the content and consent to this being shared with specified persons
Sample Form: Training course Health Declaration Record
Appendix 5	A document used for gaining feedback on training provision from participants. The form may be paper or electronic format: All participants should have the opportunity to complete a feedback form Questions should be relevant to the course undertaken Feedback forms should include questions requiring responses using both scales (eg Likert) and free text Feedback forms should be completed at the end of the course The participant should have the option to remain anonymous	Where used feedback forms should include: Administrative details to be recorded including: Course type Duration Date Trainer's name Training venue Specific sections to be evaluated such as: The relevancy of the course to the participant's area of work The course delivery including content, style of delivery, time allocated and the training environment.
Document used to gain feedback
Sample Form: Training Feedback Form
Appendix 6	Appendix description and guidance	Minimum criteria for documentation
Documents to promote reflective analysis.	A document used to enable employees to reflect on personal MH knowledge and skills in relation to their workplace and assist in the identification of learning needs. Prior to a formal refresher/update training programme being undertaken, employees can complete a MH self assessment to assist in the identification of individual learning needs. These can also be used to supplement a competency assessment programme. NB The self assessment form alone is not evidence of competency and it is the employer's duty to ensure that an employee is competent to carry out relevant MH tasks.	There are no specific criteria for what constitutes a self assessment. However, the two sample forms provided are representative of approaches that could be used.
Sample Forms MH Self Assessment Record for: 6a)People handling employees (Provided by NHSGGC) 6b) Inanimate load handling employees
Appendix 7	Appendix description and guidance	Minimum criteria for documentation
Documents to assess competence	A document used to formally record the details and outcome of an individual employee's assessment of competence. When and how often should it to be completed? This should be informed by the risk assessment and previous competency assessment outcomes (see Section 2.8 in main document) Who would be undertaking the assessment? Individuals who have been deemed competent by the organisation What is to be assessed? The ability to apply MH knowledge and skills appropriately to tasks undertaken by the employee within their working environment to include ability to risk assess, handling, personal movement, communication, and environmental factors Competency assessments should reflect the range and complexity of tasks regularly undertaken as part of the normal duties of the employee. Tasks assessed should be identified as constituting a higher risk activity whilst being an activity commonly undertaken by the employee being assessed. A suitable decision making pathway must be identified if an acceptable standard is not achieved Where and how is the documentation to be stored? Records of assessment must be held locally or if electronically stored, accessible at a local level	MH competency is a new and developing approach and as such, consensus of minimum criteria is still to be established. The sample forms provided are representative of approaches that could be used and are consistent in their use of the following elements: Personal details ie employee's name (printed); department / service area Assessor details Signature and date sections for employee and assessor Section to record the activity / manoeuvre assessed and equipment used The criteria used for the assessment Assessment outcome section Feedback / further action section Guidance as to when the next review / competency assessment should be undertaken
Sample Forms Competency Assessment Record 7a) People handling tasks - CA Form 7b) People handling tasks - assessment criteria 7c) Inanimate load handling tasks - CA Form 7d) Inanimate load handling tasks - assessment criteria 7a & 7b from NHS Greater Glasgow & Clyde 7c & 7d adapted from Fife Council
Appendix 8	Appendix description and guidance	Minimum criteria for documentation
Documents for identifying new employees' learning needs	A document used to identify previous MH training of employees new to an organisation or area and any skills gaps that require to be addressed to allow them to work safely in their new job/workplace	Induction record should include: Service / department and post that the record relates to A clear indication of the essential SMHPS modules required for the specific post Information to identify the individual employee and employment start date Indication of dates SMHPS modules completed from employee's previous employment/role Identification of employee's additional module requirements (if any) Date the required modules are to be completed Record of equipment including make and model's employee is familiar with Induction checklist should include a record of employee's awareness of: Organisational arrangements to control MH risks The employee's role / responsibilities in relation to the control of MH risks Local risk assessments appropriate to their role Specific local procedures/safe systems of work to manage MH risk Control measures currently in place, including the use of specific equipment MH training and education requirements and local support mechanisms Additionally, the checklist should identify any additional input required and / or competency assessment date.
Sample Forms: Induction Record and Checklist for: 8a)People handling employees 8b) Inanimate load handling employees
Appendix 9	Appendix description and guidance	Minimum criteria for documentation
Documents for Generic Risk Assessments	A document used to identify hazards and quantify the risks involving people and inanimate load handling activities within a particular department or service; and to record current and future control measures implemented and required to reduce the risk to employees. Guidance on MH risk assessment is available from a large number of organisations including: Health & Safety Executive National Back Exchange	There are no specific criteria identified here as a plethora of risk assessment forms, guidance and examples are available form a wide range of sources. The two sample forms provided here are representative of what could be used.
Sample Forms: 9a) Inanimate load handling activities 9b) People handling activities (Based on forms provided by SALUS)
Appendix 10	A document to record the factors considered during a MH assessment of a person to justify the MH methods and any equipment to be used to safely provide manual handling assistance.	An Individual / Person Handling Assessment should include: Personal Details - Essential Information Name, address, date of birth, unique identifying number, weight / height, location
Documents for assessing individuals
Sample Forms: 10a) Health care hospital setting (Provided by NHSGGC) 10b) Social care community setting (Provided by Fife Council)
Appendix 10	Appendix description and guidance	Minimum criteria for documentation
Cont/d	When and how often should it to be completed? Before any MH intervention where this is reasonable / practicable or at the earliest opportunity thereafter. The person's handling assessment should be updated at regular intervals or earlier where there are significant changes to the persons needs Who would be undertaking the assessment? Individuals who have been deemed competent by the organisation The MH assessment should be made available to any employee(s) involved in assisting the person and (where appropriate) should accompany the person at all times	Individual Person Assessment - include consideration of all factors that could affect the person's mobility including: Relevant medical history eg CVA, arthritis, Parkinson's Disease, Osteoporosis etc Movement ability eg ability to: stand; walk; sit; move upper limbs Handling constraints eg pain; skin integrity; muscle strength / tone; behaviour Communication / Comprehension eg risks associated with: hearing; vision; speech Predictability eg variations in abilities at different times of the day/night; unpredictable movements Personal needs/wishes eg culture/religious considerations; expectations; concerns History of fall(s), that is, previous history of falling to the ground, past or present Attachments, eg IV lines, catheter, oxygen therapy etc Environmental factors, where prior generic assessments have not been undertaken eg in community settings. Consider space, furniture / work heights, equipment, flooring, lighting, temperatures, access / egress Other risk factors eg social factors, weight of person, body shape, seizures Control Measures - Mobility Chart / Care Plan should include: Each task to be undertaken Specific equipment needed eg hoist used, type/size of slings and where attached Number of employees required to sufficiently reduce the MH risks The method to be used Any residual issues that require further controls and/or ongoing monitoring Signature and date section Section to include the assessor's name (printed); assessor signature; date of completion and any other professional involved in the assessment Review section Section to record review dates; assessor undertaking the review