Chapter 9: Organisational Risk Management

Question 1

Define “Risk”

Answer 1

The effect of uncertainty on objectives

Question 2

What is the difference between a Threat or hazard, and a Risk?

Answer 2

Threats and hazards are chieftly known and can contribute to risk, increasing or decreasing the likelihood of the risk’s occurrence or the consequences if the risk does eventuate.

We use known threats and hazards to make an assessment of overall risk.

Question 3

List the 4 risk types in our organisation and what do they each relate to?(4)

Answer 3

• Strategic -Risk overseen by Executive Team. Risks that affect strategic objectives in Our Business
• Portfolio - Investment Portfolios over see risks related to the delivery of investment portfolios, programmes and projects
• Corporate - Police Governance groups overseer risks that may affect achievement of Cross organisational objectives (legislation & regulatory compliance, information management, asset management, People and capability)
• Operational - National Operations Steering group overseers risk that will affect day-to-day operations

Question 4

How might a Strategic risk impact?

Answer 4

Impacts our ability to achieve “Our Business”

Question 5

Who oversees Corporate Risks?

Answer 5

Governance Groups

Question 6

What level of organisational risk affects day to day objectives?

Answer 6

Operational Risk.

Question 7

What are the five steps in the process of managing risk?

Answer 7

1: Establish Context (Is it Internal or External risk?)
2: Identify the risk; using an approach to risk identification (ad hoc; risk workshop etc), consider the risk to achieving objectives and possible opportunities
3: Analyse risk impact: Use risk matrix (likelyhood v Consequence) to determine significance of the risk, and then identify any existing controls in place nad how effective they will be (ie policies, SOP’s Training, Supervision, IT systsems etc)
4: Evaluate: Consider the inforamtion and determine what action we need to take; Act, Monitor, Accept, acknowledge that effective management is achieved.
5: Take action: If risk not managed, then you must take action (escalate) to reduce the likelihoood or consequences.

Question 8

What are the 4 possible outcomes when dealing with risk evaluation (Step 4 Evaluation)?

Answer 8

• Act
• Monitor
• Accept
• Achieved - Acknowledge effective management is achieved

Question 9

Once a risk evaluation is completed, what two options do you have?

Answer 9

• If risk has been mitigated or actively managed, no requirement to escalate. Montior and review decision as appropriate.
• If risk not mitgated/managed, escalate and take action to respond to risk to reduce likelihood/consequences.

Question 10

What is the “first line of defence” in risk management?

Answer 10

All police personel who apply controls such as policy, process, procedure and standards to their activity

Question 11

What is the second line of risk management defence?

Answer 11

Management processes (Districts, Service centres; PNHQ) which provide a robust management enviroment for dicussing, acting upon, and escalating risks

Question 12

What is the “third line of defence” in risk management?

Answer 12

Internal audit and assurance. The assurance group and other independant functions main a view of Poilce’s control enviroment and verify or certify that controls are operating as intended.

Question 13

What are common risk management activities that support Our Business? (5)

Answer 13

1. Planning SPT’s - ensure workgroup have strong understanding of risks in your area
2. New Initiatives - easier to run new intitiatives when there is a strong understanding of risks
3. Changing how we do things - considering risks should be part of process in changing how we work.
4. Changes in our operational environment - good chance to ensure our risks are still relevant and nothing new has arisen.
5. Near misses, leasons learnt and events - good chance to consider how to prevent similar happening again. How can we improve

Question 14

A. Why do we need to know about Health and safety? (3)

B. Who are Work Safe and what do they do?

C. What is Work Safe’s MOU regarding Commercial Vehcile Safety?

Answer 14

A. Legal, It’s law

Ethical. Looking after people is right thing to do

Our Business - good health and safety is good business. Vision; Safest Country. Goal; Safe homes, streets and communities and safe workplace

B. NZ’s health and safety regulator. Worksafe bring charges under the Health and Safety in the Workplace Act (HSWA)

C. NZ Police operate on behalf or Work Safe in Commercial Vehicle safety enforcement. (CVST)

Question 15

What does Health and Safety at Work Act (HSWA) define health as?

Answer 15

Health is both physical and mental - it is not just physical injury or illness

Question 16

A. What does S 36 Primary Duty of Care HSWA state?

B. Who does it cover?

Answer 16

A. Police has primary duty of care for peoples health and safety at work.

B. Police must ensure, as far as REASONABLY PRACTICABLE, the Health and safety of:

• Police employees (sworn/non-sworn)
• Any workers it influences (maintance, cleaning, SAR, Contractors, consultants, temporary staff)
• Others who could be put at risk by our work (detainees, general public)

Question 17

What is the work environment?

Answer 17

Includes physical and psychological work environment. Duty of care applies wherever Police working. ie vehicles, custody areas, offices, peoples homes, courts, streets.

Question 18

Police must do what is Reasonably Practicable to ensure health and safety of yourself, people and others. What are the two parts to Reasonably Practicable?

Answer 18

1. Consider what is possible in your circumstances to ensure health and safety
2. Of possible actions, consider what’s reasonable to do in your cirsumstances

Question 19

What three questions should you ask self to determine what is reasonably practicable? (3)

Answer 19

1. How likely is risk and how severe would resulting harm be? The more severe or likely the more measures must be put in place.
2. What do you know, or should reasonably know, about the hazard/risk and ways of eliminating/minimising it? (Control measures)
3. What control measures are available and how suitable are they? Apply your judgement to figure out the best action to take

Question 20

There may be multiple control measures to minimise risk.

Explain the Hierarchy of Controls according to their effectiveness? (5)

Answer 20

Most effective to least effective:

1. Elimination (physically remove the hazard)
2. Substitution (Replace the hazard)
3. Engineering Controls (Isolate people from the hazard)
4. Administrative Controls (Change the way people work)
5. PPE (Protect worker with protective equirpment)

Question 21

What is the final step/consideration when considering control measures?

Answer 21

Are the costs associated with eliminating/minimising risks grossly dissproportionate to the risk.

Cost can only be a reason if it is grossly disproportionate to the risk

Question 22

What should you do regarding risk for planned events?

Answer 22

During planning phase compile a written risk assessment identifying controls to eliminate or minimise them.

Should be understood by all participants

Question 23

What about risk in dynamic events?

Answer 23

Use TENR. However TENR is not a good substitue for good planning

Question 24

What should every person joining the Police or transfering to a new station have done and whose responsibility is this?

Answer 24

A Health and Safety workplace induction. Covers Workplace safety, Fire emergency protocol, how to report incidents and hazards.

It is the supervisors responsibiliy to ensure this is done.

Question 25

If supervisor can’t resolve a H&S issue then who should be the first point of call?

Answer 25

Health and Safety Representatives

Question 26

1. What is a near miss?
2. What does it include?

Answer 26

1. Unplanned or unexpected event occuring as a result of Police work.Under slightly different circumstances could have resulted in harm to a person.
2. ‘Loss only’ incidents where damage to police property but no harm to people.

A near miss is an opportunity to prevent a future injury.

Question 27

What must a supervisor do with all near misses?

Answer 27

Health and safety review to ascertain system level causes (root causes) to put in place appropriate preventative controls to prevent repeat of incident.

Question 28

Do health and safety reviews assign blame?

Answer 28

No, assigning blame is not part of a health and safety review.

Question 29

What events must be notified to Worksafe? (4)

Answer 29

1. Admited to hospital (getting a bed, not as an outpatient)
2. Serious head injuries
3. Loss of consciousness
4. Certain near misses with potential for death or serious injury

Question 30

Why should we notify Worksafe?

Answer 30

• Lets Government focus on preventions resources on areas of most need
• ensures police held to account and act within the law… we don’t break the law to enforce the law

Question 31

Who is exempt?

Answer 31

• NZDF on active Ops
• SIS/GCSB in some activities

Question 32

Do you need to report near misses and injuries relating to others as a result of our work activity?

Answer 32

Yes, you need to report on others such as detainees or volunteers working under Police direction. Ie: serious injury as a result of vehicle pursuit or detainee in custody. Seek advice from H&S advisor.

DCC or NCCC can make notification out of work hours

Question 33

Who is responsible for H&S induction and monitoring of

• fixed term employees
• Consultants and professional service providers

Answer 33

The hiring manager.

Question 34

What are the 3 core elements of the framework for managing contractors and third party organisiations?

Answer 34

1. leadership and accountablility
2. Engagement
3. Health and safety management process