Appendix 1: Fieldwork Risk Assessments and Approvals Flow Chart
Appendix 2a: Fieldwork Planning Checklist
General fieldwork planning checklist(amended from Appendix 3 USHA (2010), this list is not exhaustive)
What does the fieldwork involve?
Describe the general purpose and scope of the proposal
Who is involved?
Is it individual field work / part of a staff/research group / unsupervised student/postgraduate work
Identify number and profile of participants - including anyone with special requirements
List of participants, contact details and more required to carried by all staff on course
Identify stakeholders
Identify number of fieldwork leaders/supervisors/participants - level of supervision required, existing competencies, gaps and vacant roles
Identify first aid / medical requirements / See guidelines on health and first aid in the field (Appendix 7)
Identify any Third party providers required for travel, accommodation, catering, services, specific activities etc.
Identify other interested parties, e.g. government agencies, foreign embassies
When will it take place, and for how long?
Travel requirements:
Where will the fieldwork take place, including all travel, stopovers and bases?
Will it require any particular health considerations / vaccinations/ etc?
Will it require any particular documentation / visas / passports / other?
Will it require special transport of equipment?
Will it require cultural integration/awareness training / translators/ etc.?
Why is this work necessary? What are the benefits - both to participants and in terms of research value
How will the fieldwork be carried out? Give as detailed an itinerary and list of activities as is available.
Identify hazards, risk levels and, controls / See hazard identification and risk profiling chart (Appendix 3b)
Have you completed a Risk Assessment Form? Have you submitted it to the Fieldwork Safety Committee? / See Risk Assessment forms (Appendix 4)
Budgetary considerations:
Have health and safety costs been factored into proposals?
What are the projected costs for health and safety requirements?
Are there other logistical issues that need to be considered? E.g. access to cash, services, equipment, transport ..
Insurance considerations:
Does UCC insurance cover all aspects of the field work? Check for exceptions in e.g. travel to areas of instability, high risk field work activities, pre-existing medical conditions, pregnancy, insurance in emergency situations etc. / UCC insurance policies at
Access / permits / certification required:
Are there any specific permissions required for: / See list of potential licenses, permits, certifications required, if fieldwork involves diving see the Code of Conduct for Scientific Diving – Appendix 9&10
Access to private/public/protected land?
Specific sampling activities?
Specific vehicle/equipment/training/certification requirements?
If so have they been applied for and secured in advance?
Are there ethical considerations to be considered? / See relevant University policy at
If so, has approval been sought separately?
Contingency and emergency planning: / See the Emergency incident procedure (Appendix 8)
Do you have/need a contingency plan? For travel, health, activities, etc.
Do you have/need an emergency plan?
Appendix 2b: Field course Planning Checklist
Fieldcourse planning checklist(amended from Appendix 3 USHA (2010), this list is not exhaustive)
What does the fieldwork involve?
Describe the general purpose and scope of the proposal
Who is involved? / See guidelines for field course participants (Appendix 5)
Identify number and profile of participants - including any young/vulnerable/participants with special requirements
(attach list)
Identify stakeholders e.g. parents /guardians of young/vulnerable participants
Identify number of fieldwork leaders/supervisors/postgraduates/technical staff /participants
Levels of supervision required (min. 1 staff to 25 students)
Existing competencies, gaps and vacant roles
Identify first aid / medical requirements including numbersof medically trained staff required (min. 1 First Aider to 25 students) / See guidelines on health and first aid in the field (Appendix 7)
Identify any Third party providers required for travel, accommodation, catering, transport, services, specific activities… / See Appendix 12
Identify other interested parties, e.g. government agencies, foreign embassies etc.
When will the field course take place, and for how long?
Travel requirements:
Where will the fieldwork take place, including all travel, stopovers and bases?
Will it require any particular health considerations / vaccinations/ etc?
Will it require any particular documentation / visas / passports / other?
Will it require special arrangements for transport of equipment?
Will it require cultural integration/awareness training / translators/ other ?
Other considerations?
Why is this work necessary? What are the benefits - both to participants and in terms of research value
How will the fieldwork be carried out? Give as detailed a list of activities and locations as is available.
Identify hazards, risk levels and potential controls / See hazard identification and risk profiling chart (Appendix 3b)
Have you completed a Risk Assessment Form? And submitted it to the Risk Approvals Board? / See Risk Assessment forms (Appendix 4)
Budgetary considerations:
Have health and safety costs been factored into proposals?
What are the projected costs for health and safety requirements?
Are there logistical issues with access to cash etc. that need to be considered?
Insurance considerations:
Does UCC insurance cover all aspects of the field work? Check for exceptions in e.g. travel to areas of instability, high risk field work activities, pre-existing medical conditions, pregnancy, insurance in emergency situations etc. / UCC insurance policies at
Access / permits / certification required:
Are there any specific permissions required for: / See checklist of external permissions for potential licenses, permits, certifications required (Appendix 9 & 10)
Access to private/public/protected land?
Specific sampling activities?
Specific vehicle/equipment requirements?
Specific training/certification requirements?
and if so have they been applied for and secured in advance?
Are there any ethical considerations? / See relevant University policy at
If so, has approval been sought separately?
Contingency and emergency planning: / See Emergency Protocol (Appendix 8)
Do you have a contingency plan? For travel, health, activities, etc.
Do you have an emergency plan?
Provision of information:
Have you prepared a verbal and written statement (participant information booklet) on all aspects of the field course to potential participants? / See Guidelines for field course participants (Appendix 5)
Have you prepared a consent form to be distributed to all potential participants (and/or guardians where necessary), to be returned prior to acceptance on the field course? / See Template Consent forms (Appendix 11)
Have you provided time and staff availability for individual participants to express any concerns regarding participation in the fieldcourse in private?
Appendix 2c: Equipment Checklist
(adapted from Dept. of Geology Safety Documents) This list is not exhaustive.
Basic Equipment Checklist / Work and Personal Protective Equipment ChecklistRucksack / Tools (chisels, hammers, shovels, corers etc.)
Emergency rations (e.g. chocolate, mint cake, glucose tablets) / Collection/marking tools (sample bags/containers, traps, tags etc)
Whistle / Hard hat
Maps/Charts/other navigational aids / Safety goggles/glasses
Torch / Protective gloves
Spare batteries / Safety shoes/boots with steel toe caps if necessary
First Aid Kit / Wellingtons
Watch / Waders
Mobile Phone / other communications device / Wet suits / dry suits
Survival multi-blade / multipurpose knife / Lifejackets
Water canteen / Recording/marking/tagging/labelling equipment
Thermos flask with hot drink / Waterproof pens/markers and labels
Water sterilisation/purification tablets / Ladder / climbing equipment
Compass / GPS
Waterproof bivi-bag/survival bag
Change of clothes
Personal hygiene items
Miscellaneous Equipment Checklist / Boat Equipment Checklist
Sunscreen / Check sea worthiness of vehicle regularly
Sunglasses (Polaroid) / Operators must be licensed, insured, authorised and experienced
Insect repellent / Tide tables
Binoculars / Telescopes / Local bye-laws
Cameras/ Night vision goggles / other recording equipment / Charts
Rear warning lights/ reflectors (night work) / Ship's compass
Rope / GPS
Tent / Satellite phone
Wading pole / Life jackets/life rafts
Cooking utensils, camping stove / Life belt and line
Waterproof matches / lighter etc. / Loudhailer
Horn
Vehicle Equipment Check List / Large torch
Check road worthiness of vehicle regularly / Spare batteries for navigation light
Driver must be licensed, insured and authorised / Fire extinguisher
Basic tool kit / First aid kit
Spare fuel (in safe approved container) / Tool kit
Spare tire(s) / foot pump / Engine spares (spark plugs, shear pins, gaskets)
Water and oil / Bailers
First aid kid / Boathook
Fire extinguisher / Oars and rowlocks
Anchor and warp
Snow Equipment Checklist / Spare fuel
Crampons / Marine band radio
Ice axe / Distress flares (renew annually), red hand flares, orange smoke type
Sunglasses (Polaroid), sunscreen / Star shells, (red (larger vessels)
Skis
Rope
Dead Boy
Appendix 3a: Breakdown of Risk Types (from UCC Health and Safety Office)
Available at:
"Risk assessment is the determination oflevel or magnitude of risk having regard to:
1. the frequency/chance ofany givenhazard manifesting itself
2. thetime of exposure to the hazard (as a% of the 24 day or a year)
3. the consequence of exposure to the hazard e.g. severity of loss/injury/ illness"
Appendix 3b: Hazard Identification, Control and Risk Profiling Chart
Multiple hazards and multiple controls may apply. List is not exhaustive.Potential Hazards / Potential Controls / Comment on Risk Levels
First Aid / Medical Hazards / Illnesses or allergies causing problems, particularly in remote locations / All fieldwork must adhere to School Safety guidelines and will have gone through the RAAP thus reducing all risks / Health effects on personnel is the risk type of major concern here, multiple controls should be applied to maintain overall low risk level
Accidents or injuries resulting from inadequate clothing or footwear i.e. not suitable for the environment / All field work leaders have recognised First Aid training
Health issues resulting from inadequate preparation for the environment: sunburn, sunstroke, wind chill, hypothermia etc. / A minimum ratio of 1 to 25 First Aid trained staff to students is required on all field courses (UCC guideline)
First Aid equipment is carried on all field courses
Accidents and incidents must be reported to Safety Committee & safety protocols updated accordingly - annual review process in place, immediate updating where relevant
Adequate access to emergency medical care is available: relevant emergency services communicable
Alternative transport available from field sites to medical access point for field courses: e.g. staff car follows bus to field site in case of need for transport to doctor/hospital
Emergency protocols in place (Appendix 8)
Solo researchers / Lack of adequate knowledge of risks / Where unsupervised/individual fieldwork is carried out, all safety advice, procedures and guidelines are given to the student/researcher, orally and in written form in advance, receipt of such is acknowledged in writing by individual / Health effects on personnel are the risk type of major concern, working alone always carries a higher risk level. Multiple controls should be applied to maintain overall low to moderate risk levels.
Lack of adequate planning for safety / All fieldwork must adhere to School Safety guidelines and will have gone through the RAAP thus reducing all risks
Accident/injury in the field / Individual researchers advised to carry personal first aid kits
Solo researchers unable to contact help if required / Individual researchers are advised to provide notification of itinerary, estimated time scale, and activities to a colleague in advance
Adequate communication equipment for the situation is available e.g. mobile phones carried by all field leaders/staff on field courses/ a nominated person is advised of estimated departure and return times /in remote/inaccessible areas another form of communication such as radio transmitters/satellite phones used
Details of suitable safety equipment/protective gear
Supervision requirements / vulnerable groups / Failure of supervision / Minimum ratio of staff to students on field courses / Health effects on personnel are the risk type of major concern, working alone always carries a higher risk level. Multiple controls should be applied to maintain overall low risk levels for field courses.
Under 18's or other vulnerable members / members requiring specific support in the group / All fieldwork must adhere to School Safety guidelines and will have gone through the RAAP thus reducing all risks
Lack of adequate planning for safety / Buddy system
Isolation from main group / Increased ratio of supervision in particular circumstances
Risks of accidents/ other during personal/down time / Minimise personal/down time
Psychological / emotional support requirements / Additional supervision from within the student group, appoint student supervisors
Privacy issues / Under 18's restricted from particular activities
Staff go with student groups at night for at least part of time i.e. to restaurant/pub/other
Time made prior to and during field course for one to one meetings with students to discuss any concerns
Confidential Health Questionnaires examined prior to course and potential needs of individuals highlighted
Privacy issues addressed in advance of field courses, i.e. arrangements for private/shared rooms discussed and opportunities for any issues with arrangements to be discussed/altered
General hazards relating to exposure / activities / Exposure to potentially dangerous insects, vegetation or animals which may pose physical danger, or carry disease / release toxins / All fieldwork must adhere to School Safety guidelines and will have gone through the RAAP thus reducing all risks / All risk types may be a factor here depending on specific activities and potential for effects on people, equipment and environment. As well as general controls listed specific controls should be described to keep risk levels as low as possible.
Difficulties in navigation of the particular terrain / Fieldwork safety training is given by experienced staff who have completed field based postgraduate and post doctoral work and are familiar with fieldwork hazards
Isolation from main group / solo research / Advice on specific environments is provided in the BEES field safety manual and can be further detailed in RA form
Hazards from portable tools or machinery used for sampling, boring, cutting, trapping etc. particular to the work undertaken / Specific courses in field safety/navigation and/or survival training taken by field work leaders and/or individuals where necessary
Accidents or injuries resulting from inadequate clothing or footwear i.e. not suitable for the environment / Adequate communication equipment for the situation is available e.g. mobile phones carried by all field leaders/staff on field courses and in very remote/inaccessible areas another form of communication such as radio transmitters/satellite phones/personal location beacon are available
Exposure to adverse weather conditions / Where specialised tools or equipment are used, e.g. portable electric tools, only competent, authorised persons are allowed to operate them
Lack of essential equipment from inadequate planning including maps, compasses, first aid, survival equipment etc. / Adequate access to emergency medical care is available: relevant emergency services communicable at all times, and/or alternative transport from field sites to medical access point available
Avoidance of potentially dangerous situations, routes, animals, plants, insects, etc. where possible
Specific hazards inherent in some sites / activities / Add controls detailing specific certifications, training, expertise, safety equipment, protection of specific equipment etc. in this section
Boating / use of other aquatic transport / vehicles / specialised equipment
Dangers of rising waters or changing tidal conditions, unknown currents etc.
Diving, snorkeling, swimming, wading, electrofishing, tagging, and other mark/capture-type field work activities
Caving, rock climbing, cliff faces, underground workings
Danger of falling rocks, subsidence or floods
Dangers of soft/unsafe underfoot conditions
Dangers of lack of visibility in dense woodland, whiplash of branches, forest fires
Dangerous fauna/flora
Hiking, climbing fences/ditches, digging, coring, clearing vegetation, taking samples etc.
Exposure to extreme environmental conditions to temperature / altitude / pressure
Field activities at night / alone / in poor visibility etc.
Damage to property / environment / Damage to the environment from unnecessary collection of specimens/ trampling or disturbance of area, littering / other damage/ pollution / All fieldwork must adhere to School Safety guidelines and will have gone through the RAAP thus reducing all risks / Risk Type 4 is the main consideration here. Controls should be applied to maintain low risk level.
Damage to property from lack of due care / All fieldwork participants advised of requirement to adhere to guidelines and code of conduct relating to respect for environment, property, people etc.
Complaints and/or altercations due to trespass or sampling without permits / Guidelines on requirement for external permissions provided in safety manual and should be highlighted with regard to specific environments
Hazards due to problems with travel/accomodation/catering/other third party providers / Auditing of third party providers in advance of field course / Multiple controls should be applied to maintain low risk level for field courses.
Use only reputable and approved providers
Hazards from vehicular traffic during fieldwork / Avoidance of potentially dangerous situations and routes where possible / Health effects on personnel are the risk type of major concern, working alone always carries a higher risk level. Multiple controls should be applied to reduce risk levels
Use of reflective clothing / markers
Advance notice of fieldwork locations to relevant authorities where relevant
Requirement for permits in some cases.. If so provide detail in RA
Crime / personal security issues / Adequate communication equipment for the situation is available e.g. mobile phones carried by all field leaders/staff on field courses and in remote/inaccessible areas another form of communication such as radio transmitters/satellite phones/personal location beacon / Health effects on personnel and economic effects (loss of field equipment, personal property etc.) are the risk types of major concern here. Multiple controls should be applied to keep risk levels as low as practically possible.
Individual researchers are advised to provided notification of itinerary, estimated time scale, and activities to a colleague in advance
Additional supervision from within the student group, appoint student supervisors
Under 18's restricted from particular activities
Staff go with student groups at night for at least part of time i.e. to restaurant/pub/other
Use of reputable and approved third party providers
NOTE: there are limits to insurance cover for theft etc. these should be checked in advance of fieldwork / field courses
Appendix 4a: Fieldwork Risk Assessment Template