Executive Memorandum

April 2000
P 00-4

Subject: Risk Management Policy

Policy Statement

The risk management practices of Humboldt State University (HSU) are specifically designed to identify and assess all types of risk to the campus, and to implement appropriate risk management techniques to protect the University and allow it to carry out its mission. It is the goal of the Risk Management Policy to aid in the identification and evaluation of risk, to facilitate the selection and application of the best risk management techniques, and to monitor the results.

Roles and Responsibilities

The implementation of the campus Risk Management Policy is a responsibility shared by all campus administrators, faculty and staff. It is the responsibility of the administration to ensure that all HSU employees are aware of the Risk Management Policy and remain committed to its implementation. Individuals charged with implementing and maintaining the program by providing advice, information, and coordination include:

  1. The Director of Contracts, Procurement & Risk Management. The role of the Director is to evaluate and implement campuswide risk management practices. He/she serves as the University's risk management representative to the CSU Risk Management Authority and the Chancellor's Office. In addition, it is the responsibility of the Director to apply appropriate contract language, including insurance specifications, hold harmless clauses, and professional liability to protect the University. He/she is also responsible for informing and advising the Vice President of Development & Administrative Services, as appropriate.
  2. The Director of Environmental Health & Occupational Safety (EH&OS). This particular administrator develops and implements injury and illness prevention programs in compliance with various regulatory requirements. Additionally, he/she establishes standards and conducts programs that reduce the risk of environmental and/or property damage. Furthermore, the Director of Environmental Health & Occupational Safety is responsible for informing and advising the Director of Physical Services of any significant exposure risks which may exist in regard to EH&OS program areas. (Campus Policy on Environmental Health Compliance and Occupational Safety - Executive Memorandum P 92-2.)
  3. The Director of Human Resources. As chief personnel officer for non-academic staff, the Director of Human Resources is responsible for the development and implementation of human resource policies and procedures as they pertain to equitable hiring and workers' compensation management practices. The Director is likewise responsible for informing and advising the Vice President for Development & Administrative Services of any significant potential risk exposures related to human resources services.
  4. The Director of Faculty Personnel Services. The Director of Faculty Personnel Services is responsible for the development and implementation of faculty personnel procedures. He/she is responsible for apprizing the Vice President for Academic Affairs of any potential risk exposures related to faculty personnel matters.
  5. The Director of Public Safety. Is charged with maintaining campus safety through law enforcement. The Director of Public Safety=s primary concern is crime prevention, the avoidance of workplace violence, and the taking of related measures to help ensure public and employee safety on campus. When necessary, the Director of Public Safety involves the Vice President for Student Affairs.

Risk Management Elements

Campus risk is managed through a process of anticipation/identification, evaluation and control. This management process is designed to allow the University to carry out its mission with the lowest practicable risk exposure. The aforementioned risk management administrators meet as needed to review potential risk situations and recommend appropriate action.

  • Anticipation & Identification -

    The following methods are used to anticipate and identify risks related to the campus environment and University activities:
    1. Review and assess Workers' Compensation claims and Employer's Report of Occupational Injury or Illness documents.
    2. Schedule campus safety inspections.
    3. Investigate accidents and near misses.
    4. Assess campus public safety issues and crime statistics.
    5. Review allegations of inappropriate treatment of students, faculty, staff and visitors.
    6. Investigate and assess reported safety hazards.
    7. Review and evaluate, as appropriate, student activities including academic field trips/projects, high hazard experiments, sanctioned activities, etc.
    8. Evaluate University contracts for construction, materials, services, etc.

    All campus employees are obligated to report to their supervisor, the Director of Contracts, Procurement & Risk Management, Director of Public Safety, or Director of Environmental Health & Occupational Safety any situation that they think poses an occupational safety hazard and/or puts the campus at risk of loss.

    The kinds of risk that employees should be alert to include situations that could lead to:

    1. Death, injury or inappropriate treatment of employees, students and guests.
    2. Physical damage to University property.
    3. Loss of campus revenues due to property damage.
    4. Liability claims against the University due to damage to non-University property.
    5. Losses resulting from fraud or criminal acts.

  • Evaluation -

    Identified risks which pose a potentially precedent-setting, broad or major impact to the University are evaluated by the Director of Contracts, Procurement & Risk Management, in conjunction with other units as appropriate, based on the following criteria:
    1. Severity - The amount of human harm or property loss that can occur.
    2. Frequency of Exposure - How often the event or activity takes place.
    3. Predictability - The ability to anticipate losses associated with specific activities or conditions.
    4. Probability - The actuarial chance of a loss.

    In order to select the most practicable method of reducing exposure, the Director of Contracts, Procurement & Risk Management further assesses risks, taking into consideration cost implications and realized benefits associated with the activity.

    Identified risks which pose a narrow and/or case-specific impact will be evaluated by the applicable administrative unit, e.g., Environmental Health & Occupational Safety, Public Safety, etc., for the determination of appropriate control or mitigation measures.

  • Control -

    Based on the above criteria and assessment, the Director of Contracts, Procurement & Risk Management and/or applicable unit determines what method of control provides the most effective means of risk reduction without compromising the mission of the University. The general types of suitable control techniques used include:
    1. Avoidance
    2. Loss Prevention and Reduction
    3. Risk Transfer

    The responsibility of implementing the control measure(s) is that of the department that controls or generates the activity presenting the risk exposure.

Program Monitoring

The Director of Contracts, Procurement & Risk Management continually reviews the campus policy and monitors campus activities to insure that the goals of the Risk Management Policy are achieved. An annual review of occupational injury and illness summary reports, property/personal injury claims reports, and reported "near miss" incidents is prepared by the Director of Contracts, Procurement & Risk Management as a basis for evaluating the overall effectiveness of the Risk Management Policy. This evaluation process is intended to ensure that the Risk Management Policy remains effective and, thus, reduces the University exposure to foreseeable risks and associated losses.

Risk management is an on-going process at HSU. The campus Risk Management Policy will evolve as the nature of campus activities change. However, the goals of the Risk Management Policy will always be to identify and evaluate risk, select and implement the most practicable risk management techniques, and monitor the results.

Effective Date: January 1, 2000

Distribution: All Faculty and Staff