Health and social care: Scottish manual handling passport scheme - version 3

Appendix C - Minimum Criteria for Manual Handling Documents

Organisations should take account of the guidance and minimum criteria contained in the table below. This is necessary to meet the SMHPS requirements. Example documents are available on the SMHPS webpage hosted on the Scottish Manual Handling Forum (SMHF) website - Example Passport Documents, SMHF.

1) Documents for ‘Passporting’ SMHPS Education, eg Passport booklet and certificate of training

The process for transferring training information between participating organisations can occur using one or more of 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. 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.

Minimum criteria for documentation:

A) If using the Passport Booklet, it should be used as provided.

B) If using the Certificate, it should be used as provided. Please note, additional pages can be added if required.

C) Electronic record keeping is often part of a larger Human Resources system and therefore dependent on organisation’s internal arrangements / systems.

2) 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 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.

Minimum criteria for documentation - 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 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

3) Document for recording the content of a course

A document used to record the key elements / activities 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.

Minimum criteria for documentation - 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) to indicate whether it has been achieved
• A section for trainer’s comments eg lateness and exemptions for individual trainees
• Trainer(s) full signature and date
• The trainer should initial each element covered during the training.

4) Documents for self-assessment, promoting 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 A 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.

Minimum criteria for documentation - MH self-assessment forms should contain the following elements:

• Reflectors name and date of completion
• Managers name and date of review
• Date of next review
• A list of MH activities reflected on
• Identification as to whether additional learning may be required for each MH activity

5) 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 3.3)

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

Minimum criteria for documentation - MH competency forms should contain the following elements:

• Personal details ie employee’s name; department / service area
• Assessor details
• Signature and date sections for employee and assessor
• Section to record the activity 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

6) 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.

Minimum criteria for documentation - 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.

7) Documents for Generic Risk Assessments

A document used to identify hazards and quantify the risks involving people and 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 many organisations including, with guidance on meeting statutory requirements, from the Health & Safety Executive.

Minimum criteria for documentation - administration details:

• Location(s) being assessed – site, department / service
• Risk assessor(s) and Managers name and signature
• Date of completion
• Activity / Operation being assessed
• Hazards identified, including who and how people may be affected
• Current controls in place and existing risk level
• Further controls required and target risk level

8) Documents for assessing individuals

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.

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 always accompany the person

Please Note - a Generic Risk Assessment is required to underpin risk in a location / service / team, enabling the individual assessment output to be sufficient. Note that some organisations may wish to combine both together.

Minimum criteria for documentation - an individual / person handling assessment should include:

• Personal Details - name, address, date of birth, unique identifying number, weight / height, location
• Individual Person Assessment - include consideration of all factors that could affect the person’s mobility, for example:
  • Relevant medical history including any history of fall(s)
  • Movement ability
  • Handling constraints
  • Communication and comprehension
  • Predictability
  • Personal needs/wishes and any social factors
• Control Measures - Mobility Chart / Care Plan should include:
  • Each activity to be undertaken
  • Specific equipment needed
  • Number of people required to sufficiently reduce the MH risks
  • Any residual issues that require further controls and/or ongoing monitoring

Assessor’s name and signature; date of completion and a mechanism for recording reviews