1. University Safety Office 10 Parks Road Oxford OX1 3PD 01865 270811 https://www.admin.ox.ac.uk/safety Health and Safety Self Assurance Toolkit Directly at: http://oxford.financesat.co.uk/en/login Or via: www.admin.ox.ac.uk/safety/selfassurance

2. Today’s Aims How to complete the toolkit Points to consider

3. How to complete the toolkit

4. Purpose of the Toolkit To help you identify effective systems of control To help you identify areas for improvement To help you plan improvements To help the University monitor performance, but NOT as a ranking exercise.

5. Purpose of the Toolkit To help you identify effective systems of control To help you identify areas for improvement To help you plan improvements To help the University monitor performance, but NOT as a ranking exercise.

6. Self Assurance Toolkit Ten questions: 1. How does your department decide what actions to take to comply with health and safety legislation? 2. How does your department conduct risk assessments and ensure that precautions/controls are adequate? 3. How does your department establish and maintain management control? 4. How does your department consult with its members and encourage participation in developing safety procedures? 5. How does your department identify training needs and ensure everyone is informed and suitably trained in procedures? 6. How does your department ensure incidents are reported, managed and investigated? 7. How does your department conduct inspections and ensure corrective and preventative measures are implemented? 8. How does your department ensure those with authority are committed to controlling risk and preventing harm to people? 9. How does your department manage health and safety in respect to the following ‘key topics’ (Emergency Planning & Response)? 10. How does your department ensure health & safety is seen as an integral part of the department's overall objectives?

7. Self Assurance Toolkit Ten questions: 1. How does your department decide what actions to take to comply with health and safety legislation? (Planning to improve performance) 2. How does your department conduct risk assessments and ensure that precautions/controls are adequate? (Risk Control) 3. How does your department establish and maintain management control? (Control) 4. How does your department consult with its members and encourage participation in developing safety procedures? (Co-operation) 5. How does your department identify training needs and ensure everyone is informed and suitably trained in procedures? (Communication/Competence) 6. How does your department ensure incidents are reported, managed and investigated? (Accidents and Incidents) 7. How does your department conduct inspections and ensure corrective and preventative measures are implemented? (Surveying/Corrective measures) 8. How does your department ensure those with authority are committed to controlling risk and preventing harm to people? (Leadership/Review) 9. How does your department manage health and safety in respect to the following ‘key topics’ (Emergency Planning & Response)? (Key Topics) 10. How does your department ensure health & safety is seen as an integral part of the department's overall objectives? (Integration)

8. How to complete the toolkit http://oxford.financesat.co.uk/security/login User Name Password Forgotten Password

9. How to complete the toolkit Select the relevant questionnaire Further instructions available Helpdesk

10. Question How to complete the toolkit Overview Weblinks

11. Each question has a set of answers How to complete the toolkit

12. Each answer has a different ‘Performance Level’ statement

13. How to complete the toolkit For each answer, you select the statement that best represents your department

14. How to complete the toolkit Add ‘Evidence’

15. ‘Evidence’ can be a written summary and / or attachment How to complete the toolkit

16. Continue and select ‘Statement’ and add ‘Evidence’ for all remaining answers

17. How to complete the toolkit Continue and select ‘Statement’ and add ‘Evidence’ for all remaining answers and questions

18. How to complete the toolkit If unsure, take a look at the additional ‘Information’ and ‘Links’

19. How to complete the toolkit The colour code will tell you how much of the questionnaire has been completed. When all green, you can submit.

20. Performance Profile

21. Approval Process

22. DSO completes toolkit Approval Process

23. DSO completes toolkit Head of Department reviews Approval Process

24. DSO completes toolkit Head of Department reviews Back to DSO if changes required Approval Process

25. DSO completes toolkit Head of Department reviews Submitted to Safety Office Back to DSO if changes required Approval Process

26. DSO completes toolkit Head of Department reviews Submitted to Safety Office Back to DSO if changes required Area Safety Officer has access to their departments Approval Process

27. Points to Consider

28. 1. How does your department decide what actions to take to comply with health and safety legislation? Answers Implementation of University health and safety policies Evidence Consider meeting minutes, emails, handbooks, safety manuals, standard operating procedures

29. Points to Consider 2. How does your department conduct risk assessments and ensure that precautions/controls are adequate? Answers Risk assessments ‘Suitable and sufficient’ risk assessments Review of risk assessments Control measures Evidence Attach fire risk assessment Consider ‘general’ & ‘topic specific’ assessments Consider emails, incident reports, minutes, inspections

30. Points to Consider 3. How does your department establish and maintain management control? Answers Health and safety responsibilities Supervision Contractor control Arrangements with other departments/organisations Evidence Attach statement of safety organisation Consider how people are selected & understand their roles Consider levels of experience and the required supervision Consider how well the department interacts with others over safety

31. Points to Consider 4. How does your department consult with its members and encourage participation in developing safety procedures? Answers Discussion forums for health and safety Agenda and recording of safety discussions Staff and student involvement in developing controls Evidence Attach minutes & agendas from safety discussion forums Consider terms of reference and representation on committees Consider how active and informed are the committee members Consider what discussions are held at group levels

32. Points to Consider 5. How does your department identify training needs and ensure everyone is informed & suitably trained in procedures? Answers Health and safety induction training Ongoing health and safety training Communication of health and safety information Competent health and safety advice Evidence Consider induction training, including different types of individual or remote locations, and what records kept Consider training records or attendance on courses Consider how well updated information is known Consider whether individuals contact the DSO and take your advice

33. Points to Consider 6. How does your department ensure incidents are reported, managed and investigated? Answers Incident reports and investigations First aid provision Evidence Attach a summary of the incidents reported in past year Consider the reporting system and whether it ensures all incidents are reported within 24hrs. Consider how well your department investigates incidents and implements preventive actions Consider how well information is shared across the department. Consider whether ‘near-miss’ type of incidents are reported.

34. Points to Consider 7. How does your department conduct inspections and ensure corrective and preventative measures are implemented? Answers Safety inspections Safety inspection personnel and involvement Implementation of corrective measures Evidence Attach inspection reports from the past year Consider how effective the inspection process is at finding problems Consider whether actions are rectified in a timely manner Consider actions arising from other sources, such as risk assessments, incident investigations, committees.

35. Points to Consider 8. How does your department ensure those with authority are committed to controlling risk & preventing harm to people? Answers Head of Department Supervisor influence Governance Evidence Attach: All: Statement of Safety Organisation, Agenda and Minutes from relevant Safety Meetings, Inspection Reports, Accident Reports, Self Assurance Questionnaire, Fire Risk Assessment. Topic Specific: Ionising Radiation monthly returns, Biological Survey, Laser Inventory/Inspection report, New or modified Local Exhaust Ventilation (LEV) systems Consider what involvement Heads of Department and Supervisors take in implementing the measures outlined in the other questions.

36. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? Answers Fire Hazardous Substances Workshop / Machinery Fieldwork / Overseas Travel Miscellaneous (e.g. floods, asbestos, electrical, lasers)

37. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? (cont.…) Evidence Risk Assessments: What type of incidents might arise? Have you considered and identified all possible emergencies e.g. fire, flood, electrical shut-down, spillage exposure, needle-stick exposure, trip / slip / fall, machinery / work equipment, medical emergency, asbestos, legionnaire's disease, personal attacks? Do you have different buildings, or people working abroad or in remote locations? Could there be different types of emergency? Is there anyone in the department who might need specific assistance in an emergency?

38. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? (cont.…) Evidence Emergency Procedures/Equipment Is there a set procedure for dealing with an emergency? Do you need to provide clear instructions outlining what to do? What about external agencies e.g. emergency services, security services, Trust / University estates, safety office? Do you know what their response will be in an emergency? Have you produced relevant information e.g. Building Contingency Plans, First Response Plans?

39. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? (cont.…) Evidence Emergency Procedures/Equipment Is there any specialist equipment required? Is this equipment available and appropriate?

40. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? (cont.…) Evidence Training / Testing Who might be involved with an incident e.g. facilities, first aiders, dedicated escorts, supervisors, lab managers? Are there deputies for all these people? What training have these people received? What about people working alone or out of hours? What other incidents might occur out of hours? What escalation procedures do you have? What tests / drills / checks are conducted?

41. Points to Consider 9. How does your department manage health and safety in respect to the following ‘key topic’ – Emergency Plans & Response? (cont.…) Evidence Post-Event Who decides it is safe to re-enter a building or re-use an area? Is there any plant / equipment that needs to be checked or manually re- started to ensure controls are functioning correctly after an incident? Do you have systems for cleaning up & disposing of hazardous substances e.g. human blood, needles, chemicals? Does your incident reporting system capture all types of incident? Do you need to include anyone else in your incident investigation? Does the department consider the need for counselling following certain incidents?

42. Points to Consider 10. How does your department ensure health & safety is seen as an integral part of the department's overall objectives? Answers Changes in research or teaching activities Planned improvements for the forthcoming year Evidence Consider building projects Consider new groups or equipment arriving Consider individuals collaborating with other departments Consider emerging or new technologies Implement a plan for improvement based on overall findings.

43. And finally… Toolkit open at least End of September, 2015 Identify areas of improvement and use the findings to devise some form of action plan for 2015/16 Discuss the findings during safety committees

44. Any questions? http://oxford.financesat.co.uk/content http://www.admin.ox.ac.uk/safety/selfassurance/ toolkit_support@admin.ox.ac.uk postmaster@safety.ox.ac.uk