HEALTH AND SAFETY POLICY STATEMENT
UNDERSTAND HORSES regards health and safety as a priority and its aim is to provide and continually improve upon a safe and healthy environment for all employees, learners and those who work on behalf of UNDERSTAND HORSES. Health and safety management is an important component of UNDERSTAND HORSES business.

UNDERSTAND HORSES responsibilities:

• Has a legal responsibility, as an employer, to adhere to the health and safety at Work Act and other relevant legislation

• The overall and final responsibility for the day to day running and implementation of this health & safety policy is JUSTINE HARRISON

• It is the responsibility of all employees, learners and those who work on behalf of UNDERSTAND HORSES to take reasonable steps to safeguard their own health and safety and that of others

• UNDERSTAND HORSES will ensure that standards are maintained and improved where necessary

• All learners attending training courses/qualifications run by UNDERSTAND HORSES must cooperate with instructors/assessors on health & safety matters

• Learners must take care of their own health & safety and report all health & safety concerns to the appropriate person which may be their instructor or assessor

• UNDERSTAND HORSES expects everyone to contribute towards achieving a safe and healthy working environment.

Our statement of general policy is:

• To provide adequate control of the health and safety risks

• To consult on matters affecting health and safety

• All equipment belonging to UNDERSTAND HORSES is safe and maintained

• To ensure equipment used for training and assessment purposes meet health and safety standards

• Display health & safety law poster at UNDERSTAND HORSES

• To ensure all instructors/assessors who provide training and assessment for UNDERSTAND HORSES meet instructor criteria as defined by UNDERSTAND HORSES

• To ensure that all accidents are reported and documented

• To ensure safe handling and use of substances

• To prevent accidents and cases of work-related ill health

• To maintain safe and healthy working conditions

• To review and revise this policy as necessary on an annual basis

• To provide the appropriate information, instruction, training and supervision to all employees, learners and those who work on behalf of UNDERSTAND HORSES

SCOPE
The health and safety policy aims to promote safe systems of working whilst delivering UNDERSTAND HORSES business and ensure compliance with all relevant health and safety legislation.

UNDERSTAND HORSES is committed to achieving best practice in the management of health and safety and regularly monitors health and safety to ensure that it provides a safe environment for those who work or represent UNDERSTAND HORSES. In order to establish and maintain safe practice UNDERSTAND HORSES carries out periodic health and safety audit checks.

RESPONSIBILITIES
Everyone who works for or represents UNDERSTAND HORSES is responsible for health and safety. UNDERSTAND HORSES has the ultimate responsibility for health and safety matters relating to UNDERSTAND HORSES business.

It is expected that, employees, learners and those who work on behalf of UNDERSTAND HORSES adhere to the principles within this health and safety policy and encouraging a positive safety culture ensuring that they act safely by adhering to UNDERSTAND HORSES documented policies and procedures.

UNDERSTAND HORSES provides awareness of health and safety and is responsible for the management of:

• Accident reporting

• Risk assessment records

• Health and safety audits

• Provision of health and safety guidance

• Compliance with relevant health and safety legislation, policies and procedures.

During training and assessment, it is expected that instructors/assessors adhere to the principles within this health and safety policy. Instructors/assessors are responsible for their own health and safety and for ensuring others are not put at risk by any of their actions. Instructors/assessors should be able to demonstrate health & safety knowledge through certification of a qualification or training course or evidence of health and safety working knowledge.

It is the instructor/assessor responsibility to assess and reasonably foresee any significant risks prior to commencing any training or assessment activities. The Instructor/assessor must ensure that a risk assessment is carried out and that everyone is well informed of any significant health and safety risks associated with the delivery of training or assessment. In order to do this the instructor must:

• Discuss potential health and safety risks with all learners

• Ensure risk assessments are carried out and control measures are communicated

• Ensure that all risks have been considered

• Update the risk assessment if further significant risks are identified

• Return completed risk assessment to UNDERSTAND HORSES.

HEALTH AND SAFETY POLICIES

Accidents and emergencies
Reporting accidents and ill health at work is a legal requirement. All employees, learners and those who work on behalf of UNDERSTAND HORSES are responsible for informing UNDERSTAND HORSES of any accidents and near misses.

In the event of an accident, near miss or work related illness UNDERSTAND HORSES will take immediate preventive measures to avoid recurrence.

In the event of an accident/near miss or work related illness UNDERSTAND HORSES needs to be informed as reasonable practical in order to commence the accident investigation and assist in effecting remedial action to ensure the enforcing authorities are notified according to the reporting injuries, diseases and dangerous occurrences (RIDDOR) Regulations as appropriate. The appropriate documentation must be completed for all accidents, near miss or work related illnesses.

Communicable diseases
UNDERSTAND HORSES follows all applicable legislation and guidance in relations to communicable diseases. Under the Reporting of Injuries, Diseases and Dangerous Occurrences (RIDDOR) Regulations, UNDERSTAND HORSES is responsible for notifying the Health and Safety Executive (HSE) of any reportable diseases.

Those suffering from a communicable disease whilst working for or on UNDERSTAND HORSES training course must inform UNDERSTAND HORSES as soon as possible. Those suffering from a communicable disease must follow all control measures given by their general practitioner and must take all necessary precautions to prevent the transmission of the disease or condition.

Control of substances hazards to health (COSHH)
Any use or storage of hazardous substances potentially exposes people to harm. If the exposure is not prevented or controlled, it can lead to serious illness or even death. It is important to identify when using hazardous substances in its activities.

It is important to avoid tasks involving hazardous substances wherever possible. Where it is unavoidable, a risk assessment and control measures must be carried out. It is important to ensure that all chemicals are stored and used correctly and to follow the product label instructions.

Dealing with contractors
The definition of a contractor is any organisation or business supplying services and support to UNDERSTAND HORSES. All employees who manage contractors have a responsibility to ensure that the contractor’s activities comply with the statutory requirements and UNDERSTAND HORSES health and safety policies.

All contractors must have adequate insurance to cover any results of injury to a person as a direct result of the contractors’ work activities. For activities that carry risks, a risk assessment by the contractor must be carried out before works starts. Where there are concerns relating to a contractor’s conduct or competence, or a contractor is working unsafely, ask them to stop working immediately and take appropriate measures to enable work to continue safety. All machinery and equipment used by the contractor must conform to the Provision and Use of Work Equipment Regulations.

Display screen equipment
The Health and Safety Display Screen Equipment (DSE) Regulation aim to protect the health of people who work with DSE. Where possible instructors/assessors should ensure that:

• Furniture and equipment are adjusted to suit their or learner’s needs

• DSE users should not work for more than 50 minutes without taking a break of a least 5 minutes

• Whenever possible, users should be encouraged to use a docking station or firm surface and a full-sized keyboard and mouse for portable systems

• The height and position of the portable’s screen should be angled so that the user is sitting comfortably and reflection is minimised

• More changes in activity may be needed if the user cannot minimise the risks of prolonged use and awkward postures to suitable levels

• Consider potential risks from the use of portable systems with regards to manual handling if users have to carry heavy equipment and papers.

Driver safety
The driver should ensure that the vehicle(s) they use whilst working or training with UNDERSTAND HORSES is maintained and in a roadworthy condition, holds appropriate insurance, current road tax and a valid MOT certificate. In addition, the driver must hold a valid and current driving licence and hold the appropriate licence category for any vehicles used within the training environment. It is the responsibility of the instructor/assessor to ensure that learners also hold the appropriate licence and category for any vehicles that are used for training purposes. It is the driver’s responsibility to carry out safety checks on their vehicle(s) before starting any journeys or training events.

The driver is required to comply with local and national speed limits and road traffic legislation at all times. The use of hand-held mobile telephones whilst driving is illegal. Driving under the influence of drugs or alcohol on UNDERSTAND HORSES business or training courses is not permitted. To avoid driving when tired, take regular breaks for at least 15 minutes for every two hours of continuous driving, for longer distances consider overnight stays.

Electrical equipment
In most situations the risks from the use of electrical appliances arise from three key areas:

• The safety of the electrical system such as sockets and wiring

• The safety of portable electrical equipment

• The use of portable equipment such as positioning, use of extension cables, using multiple items of equipment simultaneously.

When using IT equipment, everyone must reduce the risks of slips, trips and falls caused by inappropriate cable positioning. The Electricity at Work Regulations require that any electrical equipment that has the potential to cause injury is maintained in a safe condition. Employees, instructors, assessors and contractors are responsible for visual checks of their IT equipment; by simply looking for signs of damage is a good way of maintaining portable electric equipment. Instructors, contractor’s IT equipment is their responsibility with regards to electrical safety.

Emergency contact procedure
This procedure should be followed if UNDERSTAND HORSES employee, learner or person representing UNDERSTAND HORSES is involved in an accident of becomes ill and it is necessary to inform their emergency contact:

• Take the name of the employee concerned and the location

• Details of what has happened as a result of the accident e.g. whether the employee has been taken to hospital for treatment and the name of the hospital

• Take an appropriate contact number if available.

Emergency evacuation procedure All UNDERSTAND HORSES employees, learners and those who work on behalf of UNDERSTAND HORSES are required to familiarise themselves with the evacuation procedure in the event of an emergency.

It is the responsibility of everyone to take immediate and appropriate action on discovering a fire in the building or anything which may be life-threatening. People in the immediate vicinity should be alerted and alarms signals activated and telephone the emergency services on 999.

On leaving the building staff must:

• Leave the building immediately by the nearest exit

• Not attempt to put the fire out unless you are a fire marshal

• Obey instructions of the fire marshal

• Assemble at the fire assembly point and do not leave or re-enter the building until you are told it is safe from the fire marshal.

First aid arrangements
All employees, learners and those who work on behalf of UNDERSTAND HORSES are required to comply with Health and Safety at Work Act by acting responsibly in the workplace and not endangering the health and safety of others.

First aid procedure for someone who sustains a minor injury but is able to remain at work:

• The injured person reports the injury

• A first-aider administers first aid and records the accident details

• The first-aider checks the condition of the injured person periodically throughout the day

• If the injured person is able to work satisfactory no further action is taken

• Further action will be considered and decided if the injured person is unable to carry on working satisfactory or if their condition shows signs of deterioration.

First aid procedure for someone who sustains a minor injury and has to be sent home:

• The injured person reports the injury

• A first-aider administers first aid and records the accident details

• The named friend of family member is phoned to pick up the injured person

• If the person suggests there is no one to help, the first aider will arrange transport and accompany the person home and arrange for someone to stay with the person at home

• The injured person is contacted the next day if not in work to check their condition.

First aid procedure when someone sustains a major injury or serious accident:

• Apply first-aid and all necessary assistance

• Ask someone to call an ambulance

• Inform ambulance staff of the assistance already give

• Arrange for the next of kin to be notified

• Accompany the injured person to hospital if necessary

• Write up notes and document.

Home Working
UNDERSTAND HORSES has the same duty of care for its employees, regardless of where they are based. Employees have a responsibility to provide a suitable working environment, work safely at home and to report any health and safety concerns to UNDERSTAND HORSES.

All home-based employees must carry out an annual risk assessment of their home working environment to include regular visual safety checks on all electrical work equipment.

Manual handling
All employees, learners and those who work on behalf of UNDERSTAND HORSES has the responsibility to minimise exposure to manual handling risks and should follow the recommended control measures:

• avoid - can the task be avoided

• assess - assess the task, individual, load and environment:

- task: consider how the task will be undertaken and can mechanical lifting aids be used. Will the task involve twisting, stretching, bending or carrying. Is the task repetitive

- individual: do they need personal protective equipment, have they received appropriate training

- load: consider the weight, size and stability of the load

- environment: consider seasonal weather conditions, uneven or slippery surfaces, poor lighting, temperature conditions and obstacles or hazards

• reduce - where a manual handling task cannot be avoided apply control measures to reduce the risk

• Review - review and update risk assessments.

Always apply the principles of safe handling:

• plan – stop and think about the task

• position – get as close to the load as possible

• lift – keep your head up and shoulders level; bend with your knees not your back; keep the load as close to the body as possible; check you have a good grip; feet apart to give you balance

• move – avoid twisting; make sure you can see where you are going; keep carrying distance to a minimum

• lower – use the same principles used for lifting with the movement reversed. Take care to avoid crush injuries to fingers and toes when putting down load.

If using manual handling equipment, ensure you get the right equipment for the task. You should always check equipment visually before each use. When not in use, manual handling equipment should be stored safety and in conditions that avoid the equipment to deteriorate.

Noise in the workplace
Where there is excessive noise in the work area, carry out a noise risk assessment and implement suitable control measures in accordance with the Noise at Work Regulations. There is a noise problem if people have to shout or have difficulty hearing someone approximately two metres away. Under these circumstances a noise risk assessment should be carried out.

Occupational health provision
Occupational health is mostly concerned with longer-term injury or work-related illness. As such, UNDERSTAND HORSES will take reasonable steps to identify potential sources of occupational injury, provide adequate support/treatment for any employees who might be exposed to long-term injury or ill health through work and monitor their effects. Any issues giving rise to a potential for occupational injury or ill health will be dealt with through a risk assessment and appropriate risk-control measures implemented.

Out of hours working
UNDERSTAND HORSES recognises the need for employees, instructor’s assessors and contractors to work outside normal office hours. Out of hours can include early morning, evening and weekend work. Those who work outside normal hours and possible lone working need to be aware of potential risks. UNDERSTAND HORSES makes every provision for the security and safety of its employees at all times, however there may be an occasion/incident where an employee needs to be aware of the arrangements in the event of an emergency. Employees working out of hours must gain authorisation by UNDERSTAND HORSES.

Personal protective equipment (PPE)
Instructors, assessors and contractors are responsible for supplying their own suitable PPE and ensuring regularly serviceability. They are also responsible for ensuring that learners have the appropriate PPE for training purposes. UNDERSTAND HORSES employees will be provided with suitable PPE if and when required.

The appropriate PPE must be available and comply with the Personal Protective Equipment at Work Regulations. When selecting PPE choose a good quality product that complies with HSE and CE standards and ensure that it is:

• Properly assessed before use to ensure it is suitable

• Maintained and stored properly

• Provided with instructions on how to use it safely

• Used correctly

• Considers all the main types of PPE for, eyes, head, breathing, protecting the body, hands, arms, feet and legs.

Remember:

• PPE has a life expectancy from the date of issue

• Dirt, oils and fuels can cause deterioration of PPE

• PPE is not a substitute for safe handling and care during operation

• Correct care and cleaning of PPE is essential

• A positive personal attitude to wearing PPE is also vital.

Personal safety
A lone worker is anyone required to work alone, out of sight or without direct supervision. When working alone is unavoidable, a risk assessment to reduce risks associated with lone working must be carried out. All employees, learners and those who work on behalf of UNDERSTAND HORSES are responsible for reducing their exposure to personal safety risks by ensuring that:

• Colleagues are aware of their schedule, destination and times

• Provide colleagues with contact details when lone working

• Plan itinerary carefully

• Report incidents to UNDERSTAND HORSES.

Risk assessment
A risk assessment is a simple examination of what, in your work, could cause harm to people, to enable you to assess whether you have taken enough precautions or do more to prevent harm.

Employers are legally required to assess the risks in their workplace so that they can put into place a plan to control the risks. A risk assessment will help identify what could go wrong, how likely it is to happen and how serious the result could be. Before undertaking any training or high risk activity a written risk assessment must be completed to include:

• Identify hazard and risk specific to the task, site and machine

• Decide who might be harmed and how

• Evaluate the risks and decide on precautions

• Record your minimum control measures to reduce the risks to an acceptable level

• Review your risk assessment and update if necessary

• Findings of the risk assessment will be reported to UNDERSTAND HORSES

• UNDERSTAND HORSES will take action to remove or control risks where appropriate.

Emergency procedures should be recorded as part of the risk assessment and be available and understood by all.

Safety on sites
It is the responsibility of the training provider/third party to ensure that there is adequate health and safety arrangements for the delivery of any training and assessment activities. Before commencing any training, the instructor/assessor must be clear of any procedures for dealing with specific risks, emergency procedures and contact details in the event of any problems.

This may include:

• Location name, including postcode where applicable

• OS grid reference (including grid letters), for example SK123 123

• Designated meeting place (useful for remote access, to guide the emergency services to the work site)

• Nearest access point

• Type of access (such as public road, access for light vehicles or the need for a four-wheeled drive vehicle)

• Suitable helicopter landing area

• Location and telephone number of nearest accident and emergency hospital

• Your own contact details or the on-site contact details.

A risk assessment must be carried out to assess working on third party sites. It a problem is identified on third party sites it must be reported to UNDERSTAND HORSES to establish if the training is able to continue.

Staying in hotels
If hotel overnight accommodation is required UNDERSTAND HORSES recommends that individuals should park as close as convenient and safe to the hotel entrance, in order to minimise personal safety and manual handling risks. On arrival at the hotel, the hotel room should be inspected to confirm its suitability, security and location of the fire exits and evacuation procedures.

Stress management
UNDERSTAND HORSES is committed to protecting the health, safety and well-being of individuals and acknowledges the importance of identifying and reducing work-related stress. All work-related stress and health issues will be treated seriously and UNDERSTAND HORSES will respond positively and appropriately. Managing stress within UNDERSTAND HORSES is a collective responsibility and will be managed in partnership by all to create a safe, healthy and supportive environment.

The Health and Safety Executive define stress as ‘the adverse reaction people have to excessive pressure or other types of demand placed on them’. Work-related stress is not an illness, but if it is prolonged it can lead to ill health.

It is UNDERSTAND HORSES responsibility for implementing a system that tackles work-related stress. UNDERSTAND HORSES will ensure that stress factors are identified, monitored and eliminated where possible. Where it is not possible to eliminate stressors, UNDERSTAND HORSES is responsible for ensuring that proactive measures are taken to control and minimise the risks as far as it reasonable practicable.

UNDERSTAND HORSES has an open and transparent culture, which encourages a receptive line of communication for all work-related stress. Employees have a duty to communication to UNDERSTAND HORSES if they are suffering with the effects of work related stress.

Working abroad
Those working abroad are at risk from a number of factors, such as fatigue, inappropriate selection of transport, behaviour, dress, illness, lone working and personal safety. A risk control measure must be carried out before and during working abroad. Where terrorist activity or political unrest in the intended destination is anticipated, British passport holders should consult with the Foreign and Commonwealth Office website. Those who are national of another country should seek travel advice from their own government website. When visiting countries in which there is likelihood of political unrest or the threat of terrorism you should register with the British or your own National Embassy.

When travelling on long flights follow the relevant airline’s advisory procedures to avoid deep vein thrombosis (DVT). Risk assessments should take into consideration safety implications of the vehicle used and of the region in which travel takes place, lone working, personal safety and reference to the country’s culture and religious traditions. Women employees should not travel alone to some countries. The appropriate travel insurance must be in place before travelling abroad.

HEALTH AND SAFETY LEGISLATION
Everyone must comply at all times with Health and Safety legislation and are advised to keep up to date with current legislation and codes of practice which can be found by accessing the Health and Safety Executive website http://www.hse.gov.uk/

The following list is examples of key legislation/code of practice to be aware of.

Approved Code of Practice (ACoP)
ACoPs are provided to give employers practical advice on how to comply with the law. Although failure to comply with any provision of an ACoP is not in itself an offence, that failure may be taken by a court in criminal proceedings as proof that a person has contravened the HSWA.

Control of Substances Hazardous to Health Regulations (COSHH)
When dealing with substances and materials that can be hazardous to health such as but not limited to oils, fuels, coolants, spores, sap, fumes and dust you should ensure you have access to:

• documentation that outlines the substances that are potentially dangerous

• the health risks associated with them

• the actions you need to take to avoid harm.

Environmental legislation
UNDERSTAND HORSES employees, learners and those who work on behalf of UNDERSTAND HORSES must recognise the importance of nature conservation and ecology especially when delivering training. Environmental law covers a broad scope; however, the following list gives examples of some of the Acts you should be aware of:

• Wildlife and Countryside Act

• Protection of Badgers Act 1992

• Countryside and Rights of Way Act 2000

• The Conservation of Habitats and Species Regulations

• CRD code of practice.

It is recommended where appropriate that an Environmental Impact Assessment (EIA) is carried out showing the site assessment of the possible negatives or positive impact that a proposed training event may have on the environment.

Health and Safety at Work Act (HSWA)
The Health and Safety at Work Act places general obligations:

• On employers, to ensure the safety of their employees at work, for example by maintaining safe plant, safe systems of work and safe practices; employers are also required to provide training, instruction and supervision for their employees as necessary to ensure their safety

• On employees and the self-employed, to take reasonable care to avoid injury to themselves in the course of work activities

• On employers, the self-employed and employees, not to put at risk the health and safety of any third party.

Health and Safety (First Aid) Regulations
The Health and Safety (First Aid) regulations require the provision of adequate and appropriate first-aid equipment, facilities and people so that individuals can be given immediate help if they are injured or taken ill.

A statutory first aid kit must be available on site. It must be appropriate to the number of personnel on site and have a designated person to inspect and replenish it. Any incidents that lead to the use of the first aid kit should be recorded in the accident book. The minimum first-aid provision on any worksite is:

• A suitable stocked first-aid box

• An appointed person to take charge of the first-aid arrangements

• Information for individuals about first-aid arrangements.

Health and Safety (Safety Signs and Signals) Regulations
These regulations require employers to provide specific safety signs whenever there is a risk which has not been avoided or controlled by other means. The regulations require duty holders to: Maintain the safety signs; Explain unfamiliar signs to individuals.

Lifting operations and lifting equipment regulations (LOLER)
LOLER regulations aim to make working life safer for everyone using and coming into contact with lifting equipment. LOLER is aimed at ensuring all lifting operations are properly planned, lifting equipment is used in a safe manner and is thoroughly examined at suitable intervals by a competent person.

The regulations aim to ensure:

• All lifting equipment is properly managed and properly designed

• Lifting equipment is inspected and maintained and is fit for purpose

• Equipment is appropriately marked with parameters of the use

• The equipment must be stable and strong enough for the purpose to which it is intended

• Equipment must be used safely; work is planned and performed by competent people.

Management of Health and Safety at Work Regulations (MHSWR)
The purpose of the MHSWR is to specify how employers must manage the process of ensuring the health and safety of their employees and others affected by their activities. Precautions must be based on risk assessments undertaken by competent persons and adequately recorded. Certain types of precautions are specified, together with information and training requirements.

Manual Handling Operations Regulations
The manual handling operations regulations is specific to manual handling. The main requirements of the regulations are:

• To avoid the need for manual handling operations which involve the risk of being injured

• To make a suitable and sufficient assessment of all manual handling operations

• To take steps to reduce the risk of injury

• To provide information relating to the load/weight.

Personal Protective Equipment at Work Regulations
The main requirement of the personal protective equipment (PPE) at work regulations is that personal protective equipment is to be supplied and used at work wherever there are risks to health and safety that cannot be adequately controlled in other ways. The regulations require that PPE is:

• Properly assessed before use to ensure its suitability

• Maintained and stored properly

• Provided with instructions on how to use safely

• All PPE provided must be used correctly and comply with PPE Regulations and be CE marked.

Provision and Use of Work Equipment Regulations (PUWER)
The objective of PUWER is to ensure that work equipment should not give rise to health and safety risks, regardless of its age, condition or origin. Work equipment provided or used must meet the requirements of PUWER by making sure that it is:

• Suitable for use, and for the purpose and conditions in which it is to be used

• Maintained in a safe condition for use so that people’s health and safety is not at risk

• Inspected to ensure that it is and continues to be safe for use.

Reporting of injuries, diseases and dangerous occurrences regulation (RIDDOR)
RIDDOR requires employers (including self-employed) or those in control of premises to report any work related deaths, major injuries, cases of disease or near miss incidents to be reported when:

• There has been an accident which caused the injury

• The accident was work-related

• The injury is of a type which is reportable.

Road traffic regulations
Work performed on or alongside a public highway presents particular hazards to both operators and road users. Adequate training and supervision is essential. Operators placing signs and barriers or operating traffic control will require Chapter 8 certification under the New Roads and Street Works Act. The principles of this act are also relevant to work on public rights of way and permissive paths, as there is again a requirement for signs, barriers and in some case a look-out person.

The Control of Noise at Work Regulations
This regulation requires employers to prevent or reduce risk to health and safety from exposure to noise at work. The regulations require employers to:

• Assess the risks to employees from noise at work

• Take action to reduce the noise exposure that produces those risks

• Provide employees with hearing protection if noise exposure cannot be reduced sufficiently by other methods

• Ensure the legal limits on noise exposure are not exceeded

• Provide employees with relevant information, instruction and training

• Carry out health surveillance where there is a risk to health.

The Control of Vibration at Work Regulations
Employers must assess and identify measures to eliminate or reduce risks from exposure to hand-arm vibration to protect employees from risks to their health. The regulations outline:

• Exposure limit values and action values

• Assessment of the risk to health created by vibration

• Elimination or control of exposure to vibration

• Health surveillance

• Information, instruction and training for individuals exposed to risk from vibration.

Working at Heights regulations
The working at heights regulations apply to all work at height where there is a risk of a fall liable to cause personal injury. The regulations require duty holders to ensure:

• All work at height is properly planned and organised

• All work at height takes account of weather conditions

• Those involved in work at height are trained and competent

• The place where work at height is done is assessed as safe

• Equipment for work at height is appropriately inspected

• The risk from fragile surfaces and falling objects are properly controlled.

Workplace (Health, Safety and Welfare) regulations
The workplace (health, safety and welfare) regulations cover a wide range of basic health, safety and welfare issues. The main requirements of the regulations are:

• Maintenance of the workplace and equipment

• Safety of those carrying out maintenance work and others who might be at risk

• Provision of welfare facilities

• Provision of a safe environment.

SCOPE
This policy is designed to ensure that UNDERSTAND HORSES complies with its obligations under equality legislation (The Equality Act 2010) and demonstrates our commitment to treating people equally and fairly.

In England, Scotland and Wales, the Equality Act 2010 brought together and harmonised equality legislation. Legislation in Northern Ireland is different and is principally from Section 75 of the Northern Ireland Act 1998.

The public sector equality duty Section 75 of the Northern Ireland Act 1998 places public authorities, including HEIs, under a duty to have due regard to the need to promote equality of opportunity between:

• People of different religious beliefs, political opinions, racial groups, ages, marital statuses or sexual orientations

• Men and women generally

• People with and without a disability

• People with and without dependants

Equality means everyone having the same chances to do what they can. Some people may need extra help to get the same chances.

Diversity recognises that each of us are different and unique, consequently, it makes sense that treating everyone the same is not necessarily going to work. Different people will have aspirations, expectations, opportunities, responsibilities and needs. Therefore, treating people fairly means recognising their differences, respecting them and acting accordingly. In short, diversity is about valuing differences.

UNDERSTAND HORSES recognises and values people’s differences and will assist them to use their talents to reach their full potential.

UNDERSTAND HORSES is opposed to any form of discrimination on the grounds of age, disability, gender reassignment, marriage or civil partnership, pregnancy and maternity, race, religion or belief, sex and sexual orientation (defined as Protected Characteristics).

RESPONSIBILITIES
UNDERSTAND HORSES has overall responsibility for promoting awareness of this policy and for monitoring its effectiveness and to ensure individuals and service users.

• Adhere to the policy

• Inform UNDERSTAND HORSES if they become aware of any discrimination practices

• Help to create an environment in which all individuals are valued and respected.

OBJECTIVES
UNDERSTAND HORSES objectives are:

• Sustaining, regularly evaluating and continually improving its services to ensure equality and diversity principles and best practice are embedded in our performance to meet the needs of service users

• Working together to provide accessible and relevant service provision that responds to service users’ needs

• Monitoring of services, publicity and events provided by UNDERSTAND HORSES, to ensure that they are accessible to all sections of society.

COMMITMENT
UNDERSTAND HORSES is committed to upholding and promoting equality of opportunity through all aspects of its work and will treat all people with dignity and respect, valuing the diversity of all. It will eliminate all forms of discrimination and will tackle social exclusion, inequality, discrimination and disadvantage.

UNDERSTAND HORSES understands the diverse nature of individuals by:

• Appreciating the needs of individuals and service users

• Meeting the needs of individuals and service users

• Ensuring information and learning opportunities are available to everyone

• Ensuring individuals and service users are not prejudiced

• Insensitivity to difference – ensure individuals and service users are not ignored and will be included

• Over generalisation – efforts are made to obtain individual information

• Assumed homogeneity – differences of individuals and service users are acknowledged

• Overt double standards – provide the same treatment

• Under representation or exclusion – include individuals and service users whenever relevant

• Stereotyping – avoid stereotyping individuals and service users

UNDERSTAND HORSES is committed to taking positive steps to ensure that:

• All people are treated with dignity and respect, valuing the diversity of all

• Equality of opportunity and diversity is promoted

• The differences and individual contributions are recognised and valued

• Services are accessible, appropriate and delivered fairly to all

• Individuals and service users are made aware, understand, agree and are willing to implement this policy

• All individuals and service users will have access to this policy

• Equality and diversity awareness is raised through information and training

• Recruitment and selection for employment is basis on aptitude and ability and applicants’ diversity demographics are captured as part of the recruitment process to promote the elimination of unlawful discrimination

• Staff development is determined solely by criteria which is relevant to the duties of a particular post and will support career development and progression to ensure diverse representation

• Effective record keeping and monitoring is in place in order to measure effectiveness

Training and Qualifications

• Every learner is assessed according to his or her personal capability prior to any training/qualification/assessment

• Training and qualification opportunities in diverse geographical locations is offered

• Training and qualifications are offered to learners who are able to achieve the required standards and free from unnecessary barriers that restrict access and progression

• Content and language of all written information including training and assessment materials are non-discriminatory and free from social and racial bias or stereotypical wording

• Promotional materials are monitored for the use of potentially discriminatory language and bias and make use of images that are representative of society

• Appeals policy is published and made available to individuals and service users

• Reasonable adjustments policy is published and made available to ensure that this is achieving its objective of providing all learners with equal access to fair training /qualifications/ assessment

• Monitoring of data on ethnicity, gender, age, and disability in relation to learners

• Learners with a protected characteristic, when they are undertaking one of our training /qualifications/assessment, are neither advantaged nor disadvantaged in comparison to learners who do not share that characteristic.

COMMON AREAS WHERE DISCRIMINATION CAN OCCUR
Everyone has a responsibility to respect the feelings and sensibilities of others and to behave in a way that does not cause offence. Respect for all people is at the heart of UNDERSTAND HORSES strategy and will take all reasonable steps to avoid discrimination against:

• Direct discrimination: When an individual is treated less favourably than you treat (or would treat) another individual because of a protected characteristic.

• Discrimination by association: When an individual is treated less favourably because of their association with another person who has a protected characteristic.

• Perceptive discrimination: Where an individual is directly discrimination against an individual because others think they possess a particular protected characteristic.

• Indirect discrimination: When a certain criteria or practice is applied in the same way for all individuals but has the effect of putting others sharing a protected characteristic at a particular disadvantage.

• Age – treating someone unfairly because they are seen as being too old or too young

• Disability – treating someone unfairly because they have a disability such as sensory or mobility impairment, a form of disfigurement, or a learning or mental health problem

• Gender reassignment – treating someone unfairly because they are proposing to undergo, is undergoing or has undergone a process (or part of a process) for the purpose of reassigning the person's sex by changing physiological or other attributes of sex

• Marriage or civil partnership - treating someone unfairly because the person is married or is a civil partner

• Race, religion or belief – treating someone unfairly because of where they or their family, originate from or because of their faith, culture or skin colour, or failing to respect their religious or philosophical beliefs

• Pregnancy and maternity - treating someone unfavourably because of a pregnancy or given birth or breast feeding

• Sex - treating someone unfairly because of their sex - a man or a woman

• Sexual orientation and transsexuality – treating someone unfairly because they are a gay man, a lesbian, bisexual or transgendered or of another sex or orientation

REASONABLE ADJUSTMENT
It is the responsibility of UNDERSTAND HORSES and its instructors/assessors to identify learners who are having difficulty or are likely to have difficulty in undertaking training or assessment activities. It is important that the learner is involved in all discussions to set any reasonable adjustments.

We will endeavour to accommodate the needs of learners with a particular training/qualification/assessment requirement, according to individual circumstances, ensuring such learners are not disadvantaged in relation to other learners and that certificates accurately reflect learner attainment.

We will give every consideration to reasonable adjustment requests and will consult with and follow the Awarding Organisation or Accrediting Body process for which the training /qualification/assessment is accredited with. Please refer to the Reasonable Adjustment Policy which outlines reasonable adjustments for learners.

LEGAL RESPONSIBILITY
Discrimination is a key concept of the legislation and direct and indirect discrimination are defined and recognised by the Act. UNDERSTAND HORSES has a clear duty to ensure that the provisions of relevant legislation and codes of practice are followed. We are committed to ensuring, through policies and procedures the promotion of equality and diversity and the prevention of discrimination. We will fulfil our legal and moral obligations as an employer and during our training activities.

SCOPE
This policy describes how suspected or alleged incidents of malpractice and/or maladministration are dealt with by UNDERSTAND HORSES where there are reasonable grounds for suspicion or allegation.

This policy is designed to ensure that any such incidents are prevented where possible, and thoroughly investigated with appropriate action taken where malpractice/maladministration is suspected or alleged.

RESPONSIBILITIES
This policy applies to those who work for, or contracted to undertake work on behalf of, UNDERSTAND HORSES

DEFINITIONS
Malpractice covers any deliberate actions, neglect, wrong doing, misconduct or other practice that compromises, or could compromise the integrity of the training and/or assessment and validity of results. For example, the failure to maintain appropriate records or systems to the deliberate falsification of records in order to claim certificates.

Maladministration is any activity, neglect, default or other practice that results in the inefficient, dishonest or just bad administration or management which may or may not be deliberate. For example, breach of security or confidentiality of assessment materials including loss or theft, persistent mistakes and inaccurate learner records.

Types of malpractice

• Insecure storage of assessments and learner evidence

• Misuse of assessment documents including inappropriate adjustments

• Improper/excessive assistance to learners to aid their achievement

• Deliberate falsification of records in order to claim certificates

• Plagiarism of another’s work

• Cheating during assessment

• Obtaining unauthorised access to assessment or examination material

• Impersonating a candidate (i.e. claiming to be someone other than yourself)

• Submitting false claims for certificates or skills identity cards

• False ID used at the registration stage

Types of maladministration

• Persistent late learner registrations and certificates

• Registering learners for the wrong training or qualification

• Inaccurate claim for certificates

• Failure to maintain appropriate records, e.g. certification claims and/or forgery of evidence for assessments

• Withholding of information, by deliberate act or omission

• Misuse of UNDERSTAND HORSES, logo and trademark

• Misuse of Awarding Organisation, Accrediting body or regulators logo and trademark

• Failure to apply the requirements of reasonable adjustments and special considerations

DEALING WITH MALPRACTICE AND MALADMINISTRATION

Identification
UNDERSTAND HORSES has appropriate systems and processes in place to identify and effectively deal with malpractice which include:

• Ongoing quality assurance and audits

• Through complaints or feedback received

• Whistleblowing

• Information from other sources

Response
In a case of suspected malpractice or maladministration UNDERSTAND HORSES will review the information presented and decide whether it is appropriate to take no further action or to investigate. UNDERSTAND HORSES will make an initial response in writing within 5 working days.

Investigation
The fundamental principle of investigation is to conduct them in a fair, reasonable and legal manner, ensuring that all relevant information is considered without bias. Incidents will be investigated as follows:

• Establish the facts relating to allegations/complaints in order to determine whether any irregularities have occurred

• Identify the cause of the irregularities and those involved

• Establish the scale of the irregularities

• Notify parties concerned and request an account of the incident

• Gather relevant information from records held – these may include registration data, assessment records or any other information deemed relevant to the investigation

• Consult with others in order to get a full picture if necessary

• Undertake further discussions including face to face meetings if deemed necessary

• Determine whether remedial action is required to reduce the risk to current registered learners and to preserve the integrity of the training or qualification

• Identify and, if necessary, take action to minimise any risks

• Ascertain whether any action is required in respect of certificates already issued

• Identify any changes to policies and procedures

• Identify any adverse patterns or trends.

Outcomes
Where investigations establish that malpractice/maladministration has in fact occurred UNDERSTAND HORSES will take appropriate action. Such actions will be proportionate to the gravity and scope of the occurrence and may include the following:

• The implementation of corrective action plans to prevent re-occurrence

• Additional monitoring

• Suspending or removing course registration

• Suspending or removing contract

• Withdrawal of certificates

• Imposing other sanctions as appropriate.

Malpractice and maladministration process and timescales from notification

• Report any malpractice or maladministration to the Director of UNDERSTAND HORSES

• Acknowledge response of a malpractice or maladministration within 5 days

• Investigation and gathering of evidence 15 days

• Outcome letter within 20 days of the acknowledgement

Appeals
Everyone has the right to appeal where a case of malpractice or maladministration has been upheld.

• An appeal against a malpractice or maladministration decision must be submitted in writing to UNDERSTAND HORSES within 5 days of the decision

• The appeal will be investigated by a senior member of UNDERSTAND HORSES

• The decision will be communicated within 20 days from receipt of initial appeal

• The decision will be final.

Reporting
UNDERSTAND HORSES record incidents of malpractice and maladministration to identify and monitor any recurrent issues or trends.

ADVERSE EFFECTS
UNDERSTAND HORSES will take all reasonable steps to prevent any potential adverse effect to any incident that may arise. Where an incident brings the outcome of other results into serious question this would be considered a potential ‘adverse effect’ as other learners may be affected.

In such cases UNDERSTAND HORSES will:

• Identify any other learner who has been affected

• Correct or mitigate the effect as far as possible – for example adjusting marks

• Take action to avoid a re-occurrence – this may include removal of

instructors/assessors.

Examples of adverse effects

• There is a substantial error in training or assessment materials

• There has been a loss or theft of, or breach of confidentiality in training or assessment materials

• Incorrect certificates have been issued. Certificates will be revoked if the result on the certificate is false because of malpractice or maladministration.

UNDERSTAND HORSES inform where appropriate any malpractice/maladministration and adverse effects to the appropriate Awarding Organisation, Accrediting Body or Regulator. Contact details for a regulator or a regulated Awarding Organisation can be obtained from the following regulators website.

• SQA Accreditation http://accreditation.sqa.org.uk/accreditation/home

• Ofqual https://www.gov.uk/government/organisations/ofqual

• Qualification Wales http://qualificationswales.org/splash?orig=/

• CCEA http://www.ccea.org.uk

SCOPE
This procedure addresses complaints from data subject(s) related to the processing of their personal data, UNDERSTAND HORSES handling of requests from data subjects, and appeals from data subjects on how complaints have been handled.

RESPONSIBILITIES
All Employees/Staff are responsible for ensuring any complaints made in relation to the scope of this procedure are reported to the Data Protection Officer. Data Protection Officer is responsible for dealing with all complaints in line with this procedure.

PROCEDURE
UNDERSTAND HORSES has the contact details of its Data Protection Officer published on its website www.understandhores.com, clearly under the ‘Contact us’ section.

UNDERSTAND HORSES has clear guidelines on its website and contact us form, which is sent directly to the Data Protection Officer mailbox, that enable the data subject to lodge a complaint.

UNDERSTAND HORSES clearly provides data subject(s) with the privacy notice by publishing it on its website www.understandhores.com.

Data subjects are able to complain to Understand Horses about:

• how their personal data has been processed

• how their request for access to data has been handled

• how their complaint has been handled

• appeal against any decision made following a complaint.

Data subject(s) lodging a complaint with the UNDERSTAND HORSES Data Protection Officer are able to do so by contact form published on the company website, and/or via email direct to the Data Protection Officer as published on the company website. Complaints received via the contact form are directed to the Data Protection Officer for resolution.

Complaints are to be resolved within one month. Appeals on the handling of complaints are to be resolved within one month.

If UNDERSTAND HORSES fails to act on a data subject’s access request within the appropriate timeframe, or refuses the request, it sets out in clear and plain language the reasons it took no action/refusal. UNDERSTAND HORSES will also inform the data subject(s) of their right to complain directly to the supervisory authority.

In doing so, UNDERSTAND HORSES provides the data subject(s) with the contact details of the supervisory authority and informs them of their right to seek judicial remedy.

SCOPE
This policy outlines how UNDERSTAND HORSES deals with appeals. An appeal is defined as an application for a decision taken by UNDERSTAND HORSES in relation to a learner or service user to be overturned.

UNDERSTAND HORSES is committed to providing a fair and transparent appeals service.

RESPONSIBILITIES
The policy applies to learners and UNDERSTAND HORSES service users. UNDERSTAND HORSES Director has the overall responsibility for ensuring that this policy is implemented.

POLICY PRINCIPLES
Appeals from learners and/or service users in relation to a decision where we did not apply procedures consistently or that procedures were not followed properly and fairly may include:

• A decision concerning an application to offer UNDERSTAND HORSES provision

• A decision concerning the contents of a monitoring report

• A decision to decline a request to make reasonable adjustments or give special considerations

• The outcome of assessment, including external verification and certification

• Any action taken by UNDERSTAND HORSES following investigations into incidents of malpractice or maladministration

APPEALS PROCESS
When submitting an appeal supporting information such as the following is required where applicable:

• Learner or service user name(s) and contact details

• Date(s) learner or service user received notification of UNDERSTAND HORSES decision

• Title and certificate number of the UNDERSTAND HORSES training or qualification affected, or nature of service affected (if appropriate)

• Full nature of the appeal

• Contents and outcome of any investigation carried out relating to the issue

Appeals should be made as early as possible and must be made in writing within 4 weeks of the date of the event that the appeal refers to. As much detail as possible should be submitted along with any supporting evidence available. An initial response to appeals will normally be made within 5 working days, and a Director of UNDERSTAND HORSES will appoint a representative of UNDERSTAND HORSES to conduct the investigation. The representative will not have had any involvement in the training and assessment process relating to the learner or service user and will be qualified to make a final decision.

The appellant will be informed in writing of the outcome of the appeal, including any relevant correspondence within 20 days from the date that the appeal was submitted with details of UNDERSTAND HORSES decision to either:

• Amend our original decision in light of the new rationale/evidence being put forward and which has now been reviewed; or

• Confirm we stand by our original decision and in doing so the rationale for this decision and where the appellant is not content with the decision made they may appeal to the relevant regulatory body (SQA Accreditation, Ofqual, Qualifications Wales, CCEA).

Complaints procedure and contact details for a regulator or a regulated Awarding Organisation can be obtained from the following regulators website.

• SQA Accreditation http://accreditation.sqa.org.uk/accreditation/home

• Ofqual https://www.gov.uk/government/organisations/ofqual

• Qualification Wales httpqqu://qualificationswales.org/splash?orig=/

• CCEA http://www.ccea.org.uk

Where a referral is made to the regulators UNDERSTAND HORSES will take appropriate, preventative and/or corrective action to prevent re-occurrence as appropriate such as:

• Identify any other learners who have been affected and correct and mitigate as far as possible the effect of the failure (e.g. and amend the results for the learner(s) affected following an appropriate investigation)

• Review our associated processes and policies to ensure that the ‘failure’ does not occur again or mitigate the situation as far as possible if the failure that occurred cannot be corrected

• Cooperate with any follow-up investigations required by the regulators and, if appropriate, agree any remedial action with them.

Where the appeal relates to the outcome of assessment, UNDERSTAND HORSES will ensure independent review any assessment evidence concerned.

Where an appeal against assessment brings the outcome of other results into serious question this would be considered a potential ‘adverse effect’ as other learners may be affected.

In such cases UNDERSTAND HORSES will ensure that:

• Any other learner who has been affected is identified

• Effects are corrected or mitigated as far as possible. This may involve adjusting the outcome of assessments (pass/fail) and re-issuing results, or revoking certificates

• Appropriate action is taken to avoid a re-occurrence. This may involve for example taking action against service users, assessors, instructors or internal verifiers

UNDERSTAND HORSES ensures that any actions are monitored through its internal reporting process.

The monitoring of this policy will be through documented annual review (as a minimum) and quality audits, including updates to industry best practice and legislative changes, and feedback from industry representatives & experts, instructors, assessors, examiners, internal and external verifiers, quality assurance professionals and learner’s.

SCOPE
A reasonable adjustment is an alteration that would enable a disabled person or someone who may experience difficulty to carry out training or assessment activities without being at a disadvantage compared to others. Under the Equality Act 2010, there is a legal duty to make reasonable adjustments for disabled people.

RESPONSIBILITIES
It is the responsibility of instructors and assessors to identify learners who are having difficulty or are likely to have difficulty in undertaking training or assessment activities and inform UNDERSTAND HORSES at the earliest opportunity. It is important that the learner is involved in all discussions to set any reasonable adjustments.

DEFINITION OF REASONABLE ADJUSTMENTS
A reasonable adjustment is any action that helps to reduce the effect of a disability or difficulty in a training or assessment situation

• Reasonable adjustments may include, but not limited to:

- Giving extra time to complete the training or assessment

- Providing an interpreter, sign language or reader

- Changing the assessment method from written to verbal

- Adapting training materials

- Changes in the organisation of the training/assessment room

PRINCIPLES

• A risk assessment must be carried out to ensure health and safety is not compromised by setting a reasonable adjustment

• Adjustments to training or assessment should not invalidate the training or assessment requirements

• A reasonable adjustment must be in place before the training or assessment takes place

• A reasonable adjustment must not give the learner an unfair advantage

• A reasonable adjustment must reflect the learner’s normal way of working

• Adjustments should be based on the individual needs of the learner

• Adjustments should not compensate the learner for lack of knowledge and skills

• Any adjustments must be supported by evidence

• All reasonable adjustments must be recorded.

REASONABLE ADJUSTMENTS
Learners are only eligible for reasonable adjustments if their disability or difficulty places them at a disadvantage in a training or assessment situation, in comparison to a person who is not disabled. A learner does not necessarily have to be disabled (as defined in the Equality Act) to be entitled a reasonable adjustment.

Any reasonable adjustment will be based on learner needs, examples may include:

• Communication and interaction needs – a learner may have problems with reading and writing, the effects could be reduced through the use of a reader, word processor, and interpreter. learners may also benefit from extra time

• Cognition and learning needs – learners may benefit from extra time and assistance with reading and writing

• Sensory a physical need – a learner may need to have their training/assessment /materials modified for hearing or visual impairment

• Behavioural, emotional and social needs – a learner may benefit from 1:1 supervision

• English as an additional language – a learner may benefit from extra time and or an interpreter

Range of reasonable adjustments

• Extra time

The amount of extra time should accurately reflect the extent to which the task can be completed, unlimited extra time is not allowed. Extra time will not be allowed in practical activities where the timing is a crucial element of the training or assessment. Extra time for online assessments may have to be customised

• Supervised rest breaks

The duration of the breaks will not be deducted from the training or assessment time.

• Change in the organisation of the training/assessment room

Visually impaired learners may benefit from sitting near a window so that they have good lightning. Deaf learners may benefit from sitting near the front of the room. Some learners may benefit from using chairs with arm rests or adjustable heights. Autistic learners may benefit from having visual/noise distractions removed from the training/assessment room.

• Modifications to materials

Enlargements of paper-based materials or assessments may be used. Training materials and assessments may be provided in braille.

• Language modification

A learner can sign full responses in British Sign Language BSL). Interpreters may be used where English is used as an additional language.

• Reader

A reader is a person who, when requested, will read to the learner all or part of the training or assessment material. The reader should read only as requested by the learner and read accurately and not advise the Learner regarding the choice of assessment questions.

• Scribe

A scribe is a person who writes down a learner’s dictated response. A scribe must be given clear instructions and should immediately refer any problems in communication during training or assessment questions.

• Practical assistant

A practical assistant is a person who, during training or assessment, carries out practical tasks at the instruction of the learner. Examples of the kinds of tasks which a practical assistant may assist are turning the pages on a workbook or question paper. A practical assistant would not undertake any practical skills on behalf of the learner.

• Transcriber

A transcriber may be used where the learner’s handwriting is illegible, and the learner is unable to use computer or the learners’ response is in braille or BSL.

SPECIAL CONSIDERATION
Special consideration may be given to a learner who is present for the training or assessment but who may have been disadvantaged by temporary illness, injury or adverse circumstances outside of their control.

The learner will need to submit evidence in support of a special consideration.

SCOPE
This Contingency & Succession Planning policy has been prepared to ensure efficacy and consistency in responding to any major disruption to the delivery and assessment of UNDERSTAND HORSES courses and qualifications.

This policy is designed to complement policies and procedures that are already in place, and does not replace these. The contingencies applied are based upon the context of the disruption, and may vary according to specific circumstances.

This policy will be implemented in the event of major disruption to delivery and assessment of qualifications and courses such as (but not limited to) widespread illness, pandemics, major incident at the centre, malpractice & maladministration or going into liquidation. Any actions will be subject to the advice of the Awarding Organisations, Professional Associations and Official Agencies, such as Police, Fire etc. Should the Contingency policy be deemed insufficient for the circumstances, a team consisting of representatives of all organisations involved with be convened in order to decide and implement next steps.

Implementation of this policy, and its plans, is designed to safeguard the interests of the learners whilst maintaining continuity of learning, VASCR principles of assessment and Quality Assurance Standards and monitoring. Priorities are to deliver assessments within stated timeframes where possible, and to comply with regulatory requirements particularly with reference to assessment and standards.

This Contingency and Succession planning policy is subject to a minimum of annual review, or in the event of a major disruption, Qualification or Accreditation structure changes, changes in senior management structure, changes in current practice within the sector(s) (but not limited to) a monitor, audit and review process will take place.

CONTINGENCY & SUCCESSION PLANNING POLICY

Communication
UNDERSTAND HORSES have robust and co-ordinated plans in place for any major disruption that may affect the learners. In the event of major disruption, for any reason, communication is key to ensuring that the response is timely, efficient and consistent. This will include communication between all organisations involved, and may include learners and the public.

We, UNDERSTAND HORSES are committed to the following:-

• Sharing of relevant, appropriate and accurate information as required in order to meet the scope of this plan

• Communicating with all involved, so that they have a picture of the situation, what contingency measures are being implemented and any actions that may be involved

• Ensuring that all communication is honest, transparent and accurate

Changes in Staff/Roles – Succession planning

Managing Director
In the event of the retirement/ resignation/ death of JUSTINE HARRISON their nominated successor is DAVID TAYLOR, who will take on oversight of the business. The Company Secretary also has access to all aspects of the business and is able to take interim charge if necessary.

Key Staff changes
Process and policy manuals have been prepared for all processes that UNDERSTAND HORSES are responsible for. These are stored online in the cloud and are reviewed annually, or as processes change. In the event of a key member of staff leaving, the Managing Director is responsible for the recruitment of replacement staff as appropriate to the business, and training accordingly. In order to maintain the confidentiality of data held by UNDERSTAND HORSES (as per GDPR/Privacy policy) all passwords will be changed, and any resources returned by the member of staff who has left, whether physical, online or software. Please see Statement of Employment for further information.

Failure to comply with AO/Accreditation body requirements
Please refer to name(s) of AO/Accrediting body policy

Accusations of Malpractice/Maladministration
Single accusation – This will be reviewed on a case-by-case basis in line with our Malpractice/Maladministration policy. Resolution peacefully and amicably will always be the preferred option, and supporting the learner to achieve.

Multiple accusation – A meeting will be convened with all stakeholders involved, and as above, swift and amicable resolution sought, in line with our Malpractice/Maladministration policy

Associated document – Malpractice & Maladministration policy

Centre unable to complete Learner Journey
Where UNDERSTAND HORSES is not longer able to complete the learner journey, arrangements have been made for an alternative provider to take this on. UNDERSTAND HORSES have in place arrangements that will cover the cost of transferring the learner to another qualification provider that delivers the same or similar qualification. It is the responsibility of UNDERSTAND HORSES to facilitate such a transfer in a way that minimises impact to the learner. Reasons for such action being taken could be (but are not limited to) long term illness of the course provider, death, bankruptcy or liquidation.

Changes in Senior Management/Key staff
UNDERSTAND HORSES have in place documented processes so that upon changes in key staff, transition is smooth with as little disruption to the learner as possible. Should there be changes in key staff, such as Tutors, Assessors, IQA’s, UNDERSTAND HORSES will immediately inform their AO/Accreditation Body giving evidence of qualifications and experience provided. Any Tutor/Assessor/IQA cannot start their role, until the AO/Accreditation body have approved them.

In the event of a key member of staff leaving, the Managing Director is responsible for the recruitment of replacement staff as appropriate to the business, and training accordingly. In order to maintain the confidentiality of data held by the provider (as per GDPR/Privacy policy) all passwords will be changed, and any resources returned by the member of staff who has left, whether physical, online or software. Freelance Staff working for UNDERSTAND HORSES have a contract or Statement of Employment, as do all employees.

In the event of a change in Senior Management, such as retirement, selling the business, or death, a meeting would need to be convened with the wider team and any other relevant stakeholders, in order to discuss, plan and implement how the qualifications will continue to run, with as little disruption to the learners as possible.

Failure to comply with AO/Accreditation body requirements
UNDERSTAND HORSES will conduct an investigation into any non compliance with requirements. We will aim to resolve any breaches peacefully, by supporting and advising as appropriate. Should this resolution process break down, or be unsuccessful for any reason, UNDERSTAND HORSES will involve the AO/ Accreditation Body Compliance team and process followed as per guidelines.

Accusations of Malpractice/Maladministration
Single accusation – This will be reviewed on a case by case basis in line with UNDERSTAND HORSES malpractice/Maladministration policy. Resolution peacefully and amicably will always be the preferred option, and supporting the learner to achieve.

Multiple accusation – A meeting will be convened with all stakeholders involved, and as above, swift and amicable resolution sought, in line with the UNDERSTAND HORSES Malpractice/Maladministration policy and AO/Accreditation Body policies

Associated document – Malpractice & Maladministration policy

Disruption of teaching & administration
Should UNDERSTAND HORSES be closed for extended periods eg Pandemics, Major incidents, Fire, Flood, Vandalism or major incident that may disrupt teaching and administration, a contingency plan is in place. Where possible disruption should be kept to a minimum, and alternative methods, in line with current guidance, and still subject to VASCR principles, used.

Associated document – Contingency plan

Assessment evidence is not available to be marked
UNDERSTAND HORSES keeps records securely stored electronically in a cloud based storage facility so that it is not affected by centre incidents. Any paper based evidence is kept somewhere secure, fireproof and waterproof.

In the event that evidence is irretrievable, all stakeholders would be consulted and a suitable way forward sought, minimising stress to the learner.

Changes to Qualification structure/Withdrawn Qualifications/Changes in Approval
This will be reviewed on a case by case basis, and all stakeholders involved consulted with, and appropriate action taken.

SCOPE
UNDERSTAND HORSES is committed to the management of risk as an integral part of its operations to minimise threats to the achievement of its organisational goals and objectives. Effective risk management allows us to:

• Have increased confidence in achieving our goals

• Manage risks at tolerable levels

• Make informed decisions

• Strengthen corporate governance procedures.

RESPONSIBILITIES
UNDERSTAND HORSES is accountable for ensuring risk is managed across all activities of UNDERSTAND HORSES. All employees are responsible for managing risk in so far as is reasonably practicable within their area of activity and are required to create an environment where the management of risk is accepted as the personal responsibility of all employees and contractors.

The management of risk is integrated into UNDERSTAND HORSES strategic planning and operational process and is fully recognised in the reporting processes.

UNDERSTAND HORSES regularly review the risk register to ensure it accurately reflects the risk to the business and controls are in place to mitigate any risks.

RISK MANAGEMENT
Risk management is the process of making and carrying out decisions that will minimize the adverse effect of accidental losses upon our company. The risk management process is vital to the personal health and safety of employees and the safety of the public. In financial terms, it is vital to our ability to pursue our goals, commence and operate programs, and to perform duties in an efficient and professional manner.

Sound risk management principles and practices are integral part of business operations and key processes. Risks are transparent across the business providing opportunities for involvement across a range of people. Risk Management performance is measured by a combination of ratings. Our risk register is used to record all the identified risks, mitigations and information on the status of the risks based on the impact and likelihood. The risk grades are assessed by taking account of four impact components, (financial, reputation, operations and health and safety) and the likelihood of the risk occurring.

Risk = Likelihood x Severity

IMPACT RATINGS

Catastrophic > £300k
Substantiated widespread news item, significant reputation damage, third party actions
Business unit/s forced to cease indefinitely
Multiple Fatality

Significant £200k - £300k
Substantiated news item, high impact news profile with embarrassment, possible 2nd or 3rd party involvement
Business unit forced to cease or suffer significantly reduced capacity for months
Extensive injuries / possible multiple injuries. Single Fatality

Major £100k - £200k
Substantiated news item profile with embarrassment
Business unit forced to cease or suffer reduced capacity for days
First aid and ongoing medical treatment. Probable lost time

Moderate £50k- £100k
Substantiated news item with low impact.
Business interruption for hours
Some injuries / first aid required

Minor <£50K
News item with no impact or is unsubstantiated
Business interruption for less than one hour
Minor injuries / first aid required

CONTROL RATING

0 to 6 Low
The controls or mitigating practices are effective in managing the risk.
Management accountability is assigned and controls or mitigating practices are well documented and regular monitoring and review indicates high compliance with the process.

7 - 15 Medium
Controls or mitigating practices exist and are operating effectively which manage the risk. Some improvement opportunities have been identified but not yet actioned.

16 – 22 High
Controls or mitigating practices for managing the risk have been subject to major change or are in the process of being implemented and effectiveness cannot be confirmed.

23 - 24 Critical
No or ineffective controls or mitigating practices exist to manage the risk.

RESIDUAL RISK

High/Critical
Management Action Required: Immediate Action
Monitoring: By event/daily/weekly/Monthly

Medium
Management Action Required: Senior management attention and action needed. Detailed management planning at senior levels. Management control and responsibility must be specified.
Monitoring: Quarterly

Low
Management Action Required: No Immediate Action
No major concern and can be managed by routine controls / procedures. Unlikely to need specific allocation of resources
Monitoring: Annually