R-1 Risk Management. Policy. Organising. Planning and Implementing. Measuring Performance. Reviewing Performance

Transcription

1 R-1 Risk Management

2 R-1 Risk Management Safety, Health & Environmental (ACOP) R-1 Date of Issue: May (revised 2006) RISK MANAGEMENT for Schools and Services 1. Introduction Risk management is achieved through the establishment of a suitable Safety Management System (SMS) which conforms to the requirements of Regulation 5 of the Health and Safety Management Regulations The adopted SMS for the University of Sunderland is HSG 65. Policy Organising Auditing Planning and Implementing Measuring Performance Reviewing Performance An SMS provides a structure for the overall management activity and controls which facilitate the management of the H&S risks associated with the business of the organization. This includes the establishment of both institutional and local H&S policies, the organisational structure & responsibilities for achieving the institutional H&S policy, the development of a plan, with associated monitoring and review arrangements, which lead to a continual improvement in H&S performance. Note: It is preferred that the University adopts a hollistic approach by requiring the SMS and the associated arrangements to incorporate Environmental management alongside Health and Safety management. Thus the adoption of a Safety, Health and Environmental(SHE) management systems are encouraged throughout. This SMS model is applied at both Institutional and Departmental levels, with a requirement that all Schools and Services implement arrangements which support the achievement of the Institutional SHE Policy, Objectives and Plan, in addition to ensuring effective management control over their own business activities. This document provides details of the requirements and expectations for Schools and Services in respect of the establishment of effective Risk Management arrangements, and additional guidance to assist in their implementation. Page 1 of 4

3 Training in H&S Management principles and practices is available through the University SHE Team, which can be delivered locally if required, including periodic SHE Updates. 2. The elements of a Safety Management System (a) SHE Policy The University has a Corporate SHE Policy which is subject to review every two years. It is a requirement that all Schools and Services have a complementary SHE Policy which supports and underpins the key institutional SHE objectives, which is subject to regular review at intervals of not more than two years. (b) Organisation and Responsibility In practice the safety, health and environmental management functions are delegated through the University management structure to Deans and Directors. Each School and Service is required to have an effective safety, health and environmental management structure, with assigned responsibilities for ensuring the health, safety and welfare of all staff, students and members of the public and the effective control of foreseeable workplace hazards. In practice this means that a Senior Manager is designated responsibility for the oversight of the SHE Management arrangements, supported by an Area Health and Safety Adviser and, a sufficient number of competent personal to provide the necessary information, advice and support mechanisms for the effective control of the workplace hazards and risks. (these might include fire wardens, first-aiders, risk assessors [CoSHH, Manual Handling, DSE, ] and specialists in the control and management of specific hazards). (c) Planning and Implementing All Schools and Services are required to develop a departmental SHE Plan which addresses and supports the Corporate SHE Objectives and the relevant Operational Plan(s). [Gantt Chart]. The departmental SHE Plan is expected to address any identified weaknesses in operational SHE issues or the SHE management system. (see section below); and to provide a framework for continual improvement in SHE performance. The effective implementation of SHE management and control is largely dependent upon :- - clear allocation of line management responsibilities - all line managers and supervisors ensuring their familiarity with all policies, codes of practice, guidance, procedures and standards relevant to the work being undertaken and their compliance with those standards - all workplace activities are subject to an adequate risk assessment and are planned and controlled so as to be safe and free from risks to the health or safety of persons, or harm to the environment, so far as is reasonably practicable - all workplace activities are adequately and properly supervised Page 2 of 4

4 - all staff and students receive adequate information, instruction and training to ensure their health and safety and to minimise environmental impact - all persons are informed of any hazards to their health and safety or to the environment, which may be inherent in the equipment, substances or work activities and are advised of the precautions to be taken - The design, construction and maintenance of all plant, equipment, premises, processes and activities under their control are safe, without risk to health and environmentally safe (d) Monitoring and Review processes All Schools and Services are required to establish a suitable forum (e.g. a Health and Safety Committee) to enable effective communication and consultation at a local level on health, safety and environmental issues, to monitor performance and to identify necessary management actions. All Schools and Services are subject to, and are required to engage in a programme of workplace monitoring and inspection, proportionate to the risks and the hazards present in the workplace. The main purpose of these activities is to enable the early identification of SHE management weaknesses, or issues which present a risk to people, plant or premises; and to take action to address the identified deficiencies. The H&S Committee should routinely monitor performance measured against the SHE Plan and the Operational Gantt Chart; accident and incident data; training needs analysis and training delivery; inspection and audit outcomes; new university standards and arrangements which have been notified/communicated. All Schools and Services are required to undertake an annual review of their Health, Safety and Environmental performance and to produce an Annual SHE Report, in accordance with arrangements approved by the Board of Governors. (e) Audit The University audit arrangements comprise :- - A self assessment based upon a question set which models the adopted SHE Management system (HSG 65) - The production of a portfolio of evidence submitted for evaluation to the H,S&E Manager - Receipt of a report which details identified deficiencies and recommended remedial action The audit period is 1 st August to 31 st July annually and submissions are due no later than 1 month after the audit date comprising :- - A revised SHE Plan, which embraces the concept of continual improvement - An Operational Gantt Chart - An Annual SHE Report, signed by the Dean / Director Where Schools and Services demonstrate high levels of compliance with HSG 65 and have effective systems in place they may be permitted to self-manage the audit and reporting process, to further engender a sense of ownership and responsibility for the effective management of SHE issues. Page 3 of 4

5 The basic audit process described above is supplemented by a programme of compliance audits which seeks to provide institutional confidence in the knowledge, understanding and arrangements in individual Schools and Services, following the introduction of new University SHE standards. The programme of compliance audits is agreed with the University Consultative Committee for Safety, Health and Environment (UCCSHE) annually, and it is the responsibility of the University H,S&E Manager to implement the programme. The outcomes of compliance audits are reported directly to Schools /Services and UCCSHE. 3. Risk Assessment methodology (a) Basic Principles Risk Assessment is fundamental to the effective management of risk. It is a core legal requirement for all non-trivial work activities and processes. The Management of Health and Safety at Work Regulations 1999 Regulation 3, sets out the required principles which are to be adopted. It is the responsibility of all Deans / Directors to have effective arrangements in place to meet those requirements :- - Suitable and sufficient assessment of the risks - Undertaken by competent personnel - The significant outcomes of the risk assessment process are recorded in a retrievable form - Communicated effectively to those who undertake the tasks and activities - Identified controls implemented and; - Monitored for effectiveness Risk assessments should be reviewed when there is reason to believe that the original assessment is no longer adequate. (e.g. accident or incident, changes in personnel, plant or process, individuals who may be considered specifically at risk [pregnant employee, young person, epilepsy]) The 5 steps to risk assessment are :- - Identify the hazards - Identify who might be harmed and how - Identify what controls are currently in place - Assess whether those controls are sufficient - Identify any additional controls which will further reduce the risk Training in risk assessment methodology is available via the University Staff Development Programme, or through local tailored training upon request by the University SHE Team. This training is considered essential for effective implementation of a risk assessment regime. (b) Organisation and management of Risk Assessments Effective arrangements for risk assessments need to be managed to provide the necessary institutional confidence. Risk assessments require :- - that they are organised by task, activity, location or process (a risk register is a useful first step) Page 4 of 4

6 - prioritisation to address the most significant risks first (use of risk mapping processes is helpful here) - completion and verification by competent personnel (competent in terms of the risk assessment methodology, but also in terms of the task, process etc.) - actions arising from the assessment (usually in the form of additional controls to be implemented) to be recorded in a format which enables monitoring - effective and systematic recording, which enables any adjustments made as a result of their review to be identified - periodic review of the risk register and the completeness of the range and scope of the assessments undertaken An example of a simple risk assessment management model is available from the H&S Office upon request. Sample forms for recording the significant outcomes of a risk assessment are also available upon request. There is no fixed method of recording risk assessments it is expected that they are designed to be suitable for purpose and effective communication. Methods include:- - Standard 4 box proforma - University Generic risk assessment pro-forma - Standard Operating Procedures (SOP s) - Task instructions - Safe Systems of Work (SSW) - Laboratory instructions / worksheets Or any other relevant approach (c) Specific risk assessments There are specific legislative requirements to undertake risk assessments to effectively manage defined hazards / risks. It is essential that Schools and Services are fully aware of the specific hazards which they are responsible for and which fall within these requirements. In these cases, the legislative framework normally defines the elements to be included within the risk assessment, the applicable standards and the range of effective controls which would normally meet legislative requirements. Examples include :- Control of Substances Hazardous to Health (CoSHH) Display Screen Equipment (DSE) Provision and Use of Work Equipment (PUWER) Manual Handling RRO (Fire Safety) and Dangerous Substances & Explosive Atmospheres Ionising Radiations Regulations Genetically Modified Organisms Control of Asbestos at Work Noise Vibration and Construction (d) Support available The University SHE Office is available to provide support in the delivery of training, the development of risk assessment management models, to provide advice and assistance in interpretation of applicable legislative standards and to assist School/Service personnel in undertaking risk assessments. Page 5 of 4

7 All Schools and Services are supported directly by an Area Health and Safety Adviser, as required by the University SHE Policy, who has received a range of H&S training which is in proportion to the departmental risk. This training will normally have included risk assessment training. Competent personnel, who understand the tasks, activity, processes undertaken onsite are normally available to all Departments who, when working alongside persons familiar with the risk assessment process should enable a suitable and sufficient assessment of risk to be completed. This is the preferred methodology, where a team approach utilising a broad range of competencies and skills in the assessment of risk is routinely adopted. External competency and support may be obtained from our insurers and other professional and commercial bodies, where specific examination and assessment of plant, equipment and environmental conditions are required. Essential information and advice may be downloaded free (from the free publications section ) from the HSE web-site ( ) and other sector specific sites. (e.g. CoSHH Essentials, British Standards Institute) (d) Bibliography - Management of Health and Safety at Work Regulations 1999: ACOP & Guidance (L21) - 5 Steps to Risk Assessment (PDF) downloadable at - Principles of Health and Safety at Work IOSH Publishing Many documents specific to the management of discrete hazards (e.g. CoSHH, Asbestos, Noise etc.) include references to the particular factors and the methodology to be adopted when undertaking a risk assessment to control the identified hazards. Page 6 of 4