Audit Committee
Extracts from AUD07-M1
Extracts of Minutes of the meeting held on 23 February 2007
07/6. Risk Management
6.1
Matters Arising
(i) Minute 06/29.4, Health and Safety
Governance
AUD07-P07
The
Health, Safety and Environmental Officer attended for this item.
It was noted that, at its meeting on 19 December 2006,
Council had approved, subject to minor revisions being made, a University
Health and Safety Policy, together with subsidiary Policies concerning the
control of ‘Noise at Work’ and ‘Hand Arm Vibration at
Work’. Revisions to the
Vice-Chancellor’s Introduction had yet to be finalised, but would refer
to the devolution of health and safety related responsibilities.
The revised policy would be disseminated through a series of
mandatory training events for HoDs, and, with the assistance of the Health and
Safety Manager, subsequently to staff in departments. Students would be introduced to sections of
the Policy that were relevant to their particular area of study and situation,
on a mandatory basis.
The Committee welcomed the improvements that had taken place
in respect of HSE governance arrangements and the development of the Health and
Safety Policy.
(ii) Minute 06/30 (ii), Risk Register and Risk
Schedules
AUD07-P08
The Committee NOTED the revised Risk Register,
together with revised Risk Schedules for: Information Services; Advancing the
University; Finance; and Health and Safety.
It was further noted that EMG had confirmed
that Risk Schedules and the Risk Register would continue to be reviewed
annually.
The Financial
Accountant was requested to make minor revisions (replace Director of Business
Partnerships, Information and Knowledge Transfer by PVC(E), and Bursar and Finance Officer by
Director of Finance. Also correct
presentation of Likelihood and Impact gradings for risk)
Action:
Financial Accountant
6.2
New Risk Items
(i) EMG
Reports
AUD07-P10
Reports of discussions in EMG in
respect of the following risks were NOTED:
(i) Health and Safety
(ii) IT/IS risks
(ii) Cycle
of Meetings with Risk Holders
AUD07-P11
The Health and Safety Manager discussed risk issues with the
Committee.
(a) Risk Schedule for Health and
Safety.
Having at one point been non-compliant with its obligations
in respect fire safety inspections, the
University had embarked on an urgent and ambitious programme of fire safety
reviews. These had been completed well
ahead of the initial target completion date set as acceptable by the Health and
Safety Officer, demonstrating the University’s commitment to tackling
fire safety issues. Fire safety remained, however, a matter of concern, because
a significant number of buildings were not protected by automatic fire
detection systems. A two-year programme
of work was in place, with the objective of reducing the likelihood of a
serious fire from ‘possible’ to ‘low’. The Committee welcomed that and requested
that it receive annual progress reports
in 2008 and 2009.
Action:
Health and Safety Officer
(b) Internal audit report 07/2006,
Health and Safety
Good progress had been made in enhancing the health and
safety environment following the appointment of Tom Fleming as Health and
Safety Manager, and a particular element of the present review had been to
examine operational HSE arrangements and systems in departments. Information had been collected from
departments using a questionnaire and seven departments had been visited by the
external auditors.
Areas of good practice were noted. The HSE Office was found to have a good level
of visibility and departments were aware of key contacts. In those departments facing the highest risks
by the nature of their discipline, there was generally a good level of
awareness and risk control processes were satisfactory, with policies and
procedures exceeding the University’s minimum requirements. This was not however the case in all
departments, and some confusion appeared to exist as to Heads of
Departments’ responsibilities, suggesting that communication was not
fully effective and that, in some instances, there might be an unwillingness by departments
to accept the responsibilities devolved to them.
The audit conclusion had been that the system of internal
control, risk management and governance was weak, that opinion being a
recognition of the University’s reliance on departments to fulfil their
delegated responsibilities in order for it to meet its statutory obligations. The auditors had commented however that their
opinion did not negate the progress made in improving the health and safety
environment since the appointment of the Mr Fleming as Health and Safety
Manager. It was accepted that new
processes introduced would require time to take full effect.
The Committee noted that of six recommendations made, two
were of high priority. The Health and
Safety Manager would be taking up a post elsewhere shortly and had felt it to
be inappropriate to commit the University to future actions without there being
further discussion with senior staff.
For this reason, the Report was still a draft, awaiting the inclusion of
management responses. The Committee requested that it receive the final report
for consideration at its next meeting.
Action:
Internal auditors and HSE Office
The Committee noted that reports on health and safety audits
of departments and sections undertaken by the Health and Safety Office were
received by HSE Committee. There was not
however an Annual Health and Safety Plan, approved and monitored by HSE
Committee, and it was suggested that HSE should consider the merits of developing
one.
Action:
HSE Committee
It was in the Committee’s view essential that the
progress being made in developing health and safety awareness, systems and
procedures should not be interrupted by the present Health and Safety
Manager’s move to another post, and the Committee urged the University to
give the highest priority to filling the resulting vacancy.
Action:
Registrar