learners guide - risk

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SRXRIK001A

UNDERTAKE RISK ANALYSISOF ACTIVITIES

ASSESSMENT TASKS

Acknowledgments

SRXRIK001A Undertake Risk Analysis of Activities

Version 2 25 May 2006

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Sport and Recreation Australia Ltd -Learners Guide and Assessment Resources for SRXRIS 001A Undertake risk analysis of activities

“A Sporting Chance – A risk management framework for the sport and recreationindustry”

Office of Sport and Recreation Tasmania



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SRXRIK001AUNDERTAKE RISK ANALYSIS

OF ACTIVITIES

TRAINEE DETAILS

Trainee’s Name: ____________________________________________________

E-mail:______________________________________________________________

Tele:________________________________________________________________

Employer:___________________________________________________________

TBC CONTACT

Name: ______________________________________________________________

E-mail:______________________________________________________________

Tele:________________________________________________________________

Mobile Tele:_________________________________________________________



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OUTCOMES REQUIRED

The unit in the Training Package details the Element and Performance

Criteria as follows:

ELEMENT

to achievecompetency inthis unit, traineesmust be able to

PERFORMANCE CRITERIA

you will know trainees have achieved this when

1 Establish the

context of therisk analysis

1.1 Obtain the organisations' equipment maintenance

procedures and operational procedures for the activityand/or location

1.2 Obtain activity-specific and location-specific informationand equipment maintenance history including relevantincident and failure reports

1.3 Research applicable occupational health and safety andenvironmental standards and industry best practiceguidelines

1.4 Obtain applicable technical documentation

1.5 Access and clarify risk evaluation criteria, asdetermined by the organisation's risk management policyand plan

2 Identify risksassociated withan activity

2.1 Generate a comprehensive list of sources of riskswithin the particular activity, including risks that are notunder the control of the organisation

2.2 Take into consideration areas of impact on theorganisation

2.3 Consider possible causes of risks, hazards and thedefinitions of risk

2.4 Document sources of risk, risk identification andareas of impact in a clear and concise manner

3 Conductrisk analysis of anactivity

3.1 Complete analysis using appropriate structuredmethodology (eg, a template) in accordance withorganisations' and/or activity requirements



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3.2 For each risk determine existing controls which havebeen put in place by the organisation, or by occupationalhealth and safety legislation

3.3 Identify sources of information to assist in assessing

the likelihood of any given risk turning into anaccident/injury/loss3.4 Identify sources of information on the consequencesof particular incidents in order to determine the degree of emphasis placed on the risk

3.5 Analyse the likelihood and consequences of particularrisks, and classification of risk using suitable techniques,as determined by the organisation

4 Undertakerisk assessmentof an activity

4.1 Compare the level of risk established during the analysisprocess with previously established risk evaluationcriteria using methodology as prescribed by theorganisation

4.2 Rank or prioritise risks for further action, taking accountof the wider context of the risk

4.3 Consider the objectives of the organisation and theextent of opportunity which could result from taking the risk

4.4 Take into account, when making decisions, the widercontext of the risk

4.5 Accept risks that fall into the low or acceptablecategories without further treatment, and monitor andperiodically review to ensure they remain acceptable

4.6 Treat risks that fall outside the low or acceptablecategory using a range of options

5 Treat risksassociated withan activity

5.1 Identify specific risk treatment options applicable tothe risk associated with the activity

5.2 Evaluate risk treatment options in accordance with theorganisation's risk management plan, on the basis of theextent of risk reduction, the extent of benefits oropportunities created and taking into account the risk evaluation criteria previously established

5.3 Prepare activity-specific risk treatment plan whichdocuments how the chosen options should be implemented,

identifying responsibilities, schedules, the expected



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outcome of treatments, budgeting, performance measuresand the review process

5.4 Implement risk treatment plans prior to and during theconduct of an activity

6 Monitor andreview the risk managementfor an activity

6.1 Document risk analysis , evaluation and treatmentoptions, in accordance with the organisation's procedures

6.2 Monitor risks, the effectiveness of the risk treatment plan, strategies and the management system which is set upto control the implementation in accordance with theorganisation's risk management plan to ensure changingcircumstances within the activity do not alter risk priorities

6.3 Repeat the risk analysis of the activity regularly toensure the risk treatment plan remains relevant

6.4 Make changes to the conduct of an activity, whererequired, in accordance with review recommendations

6.5 Implement recommendations in accordance with theorganisation's risk audit in future risk analysis of theactivity

This unit provides basic knowledge and skills to apply a risk

management process in the context of a sport or recreation activity inaccordance with an organisation’s risk management policies andprocedures and Australian/New Zealand Standard AS/NZS 4360:1999. Inthis context, the risk analysis process is conducted using structuredanalysis methodology (eg, templates) as determined by the organisation. in accordance with an organisation’s risk management policies and

procedures and conducted

To be judged competent in this unit, you must show that you have theability to:

• Required knowledge

o Common risk management terminology, eg, risk, riskmanagement, hazard, risk analysis, risk management plan

o The role of risk as a reason for participating in or using sportand recreation activities

o Factors that affect an individual's perception of risk

o Effect of legislation on procedures and practices in the sport

and recreation industry



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o Causes of accidents, incidents and losses, in a sport andrecreation context

o Impact of high profile accidents/incidents/losses

o

Legal responsibilities in risk managemento Knowledge of the activity and its associated hazards in order

to conduct the risk analysis

Equipment design limits and effects of operating outside designlimits

• Required skills

o Application of incident scenarios to logically assess risk

Analysis and documentation of accident/incident research.

INSTRUCTIONS

This trainee’s guide and assessment task document is not intended toprovide in depth details of every piece of legislation that may apply to allthe sectors of the sport and recreation industry. It is only an overview,and other sources will have to be utilised to obtain every aspect of apiece of legislation.

This trainee’s guide provides you with information and tasks will enableyou to become competent in the sport and recreation workplace.

You will develop competency in Undertake Risk Analysis of Activities inthe following ways:

• reading the material in this guide

• asking questions about anything you do not understand

• determining where the information in this guide applies to youworkplace

• reviewing the policies and procedures in your workplace

• observing what is actually done in your workplace

• discussions with you supervisor and colleagues

• completing the assessment tasks in this document.



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This document is available as a Microsoft Word document and can be e-mailed to trainees. Trainees can type and insert documents (Excelspreadsheet) directly into the areas where there are answer lines, andwhere inserts are requested.

Upon completion, the trainee retains a copy, and e-mails the completeddocument to Tassport.

Tassport will on forward to the nominated assessor for review.

Assessor is to review and insert comment, in red, where appropriate, andwhen finished forward the updated document to Tassport.

Tassport will review the assessors comment and decision, and on-forwardto the trainee.

ASSESSMENT TASKS

ASSESSMENT TASK 1

For a particular sport and recreation organisation conducting specificactivities determine external influences or factors that may be relevant toan analysis of risk associated with the activities, including:

• occupational health and safety regulations

• statutory legislation

• Australian Standards for equipment, signage, facilities, environment

Name of organisation:

Activity/ies conducted:

External factors:

___________________________________________________________________________

___________________________________________________________________________



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___________________________________________________________________________

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___________________________________________________________________________

___________________________________________________________________________

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ASSESSMENT TASK 2

For the same organisation used in assessment task 1, determine internalinfluences or factors within the organisation that may be relevant to ananalysis of risk associated with an activity, including:

• organisation’s goals and objectives

• operating procedures for activities

• facility or location operating procedures

• equipment and/or facility maintenance protocols

• facility and/or equipment maintenance records

• incident/accident and failure reports

Internal factors/influences

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

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___________________________________________________________________________

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ASSESSMENT TASK 3

Establish clearly defined criteria for assessment and acceptance of riskfor a particular activity within a sector of the recreation industry, basedon:

• the organisation’s policies, goals and objectives

• relevant standards and legislation

• the activity aims and objectives

___________________________________________________________________________

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___________________________________________________________________________

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ASSESSMENT TASK 4

Select one activity conducted by a sport and recreation organisationand classify the sources of risk associated with the activity.

Indicate the classification of the source under the four headings

• environmental,

• human/people,

• equipment/product

• occupational health and safety.

Mark those that are out of the control of the organisation as'external' and those that are substantially under the organisation'scontrol as 'internal'.

Source of risk Classification Internal orExternal



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Source of risk Classification Internal orExternal

Outline the methods that you used to identify the sources of risk.

(a)_____________________________________________________________________

(b) ____________________________________________________________________

(c) ___________________________________________________________________

(d) ____________________________________________________________________

(e) ____________________________________________________________________



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(f) ____________________________________________________________________

(g) ____________________________________________________________________

(h) ____________________________________________________________________

Indicate beside each method which of the four classifications(environmental, human/people, equipment/product or occupationalhealth and safety) it most suited.

Risk identification method Most suitable for:

a)

b)



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Risk identification method Most suitable for:

c)

d)

e)

f)

g)

h)

ASSESSMENT TASK 5

Use the list of sources of risk that you developed in Assessment Task

4 to determine:

• where each one could impact on the activity

• how each one could impact on the activity

• how participants/clients might be affected

• how the organisation would be affected.



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Source of risk Impact

(Where & how)

Impact onparticipants

Impact onorganisation

ASSESSMENT TASK 6

In the table below, use the sport and recreation activity for which youidentified sources of risk in Assessment Task 4.

Enter the list of risks and complete the remainder of the table.

Risk Control Type of risk

analysis

Likelihood Consequence

Likelihoodx

consequence



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ASSESSMENT TASK 7

Fill in your list of risks from Assessment Task 6 into the table below,ranking them from high to low.

Fill in any criteria that might be appropriate for evaluating theserisks.



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Risk Criteria Type of risk

analysis

Likelihood Consequence

Likelihoodx

consequence

Is there a clear place to draw a line that separates the acceptablefrom the unacceptable? If not, why not?

___________________________________________________________________________

___________________________________________________________________________



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___________________________________________________________________________

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If the line is clear, are there any circumstances that you canenvisage that might shift the line, or change the order of ranking?

___________________________________________________________________________

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___________________________________________________________________________ ___________________________________________________________________________

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Transfer the four (4) most significant risks from the table above into thetable below.

Complete the columns by deciding:

•____________________________________what risk treatment would involve



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•____________________________________what treating the loss would entail

•__________________________________the cost of each of these (estimated)

•______________________________opportunities afforded by taking the risk

Risk Risk treatment

wouldentail……and cost

Treatingthe losswould

entail…..and cost

Opportunities

affordedby

takingthe risk

Accept/

don'taccept

1.

2.

3.

4.

ASSESSMENT TASK 8



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Focusing on one sector of the sport and recreation industry (communityrecreation, fitness, sport or outdoor recreation), provide two (2) examplesof each of the risk treatment options mentioned in the table.

Sector:

Avoidance Acceptance Reduction of

likelihood

Reduction of

consequenc

e

Transfer of

risk

Example1

Example2

ASSESSMENT TASK 9



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For each of the following risks, suggest what you would do to reduce thelikelihood of the risk occurring:

Risk Risk Treatment

a head injury in aroad bicycle race

heat stroke during agame of cricket

muscle injury duringan aerobics class

drowning in theevent of a canoecapsize

'losing' a groupmember whilstconducting arecreational game

For each of the following risks, suggest at least to (2) ways of reducing

the consequences.



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Risk Method 1 Method 2

a diver hitting

their head on adiving board

a personsustaining amuscle injuryduring anaerobics class

a football playerinjuring an ankleon uneven playingfield

a persondamaging a toothwhen fallingduring an activity

getting lost whenon a hike inwilderness terrain

ASSESSMENT TASK 10



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Prepare a risk treatment plan for the following Scenarios listed below.

Comment on:

• the decision process

• who might take what responsibilities

• timetable

• what the outcomes might be

• a process for implementing the risk treatment plan

• how you would check that the plan is being followed

Scenario 1:

A Year 9 school group is attending a sport and recreation centre toparticipate in a low ropes course. An identified risk is one of the lesssensible boys using the initiative activities without his "spotter".


___________________________________________________________________________

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___________________________________________________________________________


___________________________________________________________________________

___________________________________________________________________________

• timetable

___________________________________________________________________________

___________________________________________________________________________

•

what the outcomes might be



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__________________________________________________________________________

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Scenario 2:

A daytime aerobics class in which middle age participants are taking partwith undeclared heart problems. Some are at a small, but serious risk of experiencing a cardiac arrest during the class.


___________________________________________________________________________

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___________________________________________________________________________


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• timetable

___________________________________________________________________________

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Scenario 3:

A cricket team regularly plays on a Saturday morning. One member of the team is a known insulin dependant diabetic who resents taking his

medication.


___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________



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___________________________________________________________________________

___________________________________________________________________________

• timetable

___________________________________________________________________________

___________________________________________________________________________


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ASSESSMENT TASK 11

Document a process for the monitoring of the risk management for theexample sport and recreation activity used as a case study in Assessment

Task 4 and subsequent tasks

Detail:

• efficacy of risk assessment and treatment techniques

• mechanism and frequency of review to monitor new risks

• review/audit process

• how review recommendations will be followed up

• efficacy of risk assessment and treatment techniques

___________________________________________________________________________

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• mechanism and frequency of review to monitor new risks

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• review/audit process

___________________________________________________________________________

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•

how review recommendations will be followed up___________________________________________________________________________

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ASSESSMENT TASK 12

You will be required to:

• conduct a risk analysis of an activity/session in a sport and recreationcontext and demonstrate the ability to identify and treat risk inaccordance with the organisation's policy and procedures

• respond to risk during the conduct of the activity/session, inaccordance with the risk management plan; and

• review the risk management plan at the completion of theactivity/session.

You will need to demonstrate your ability to:

• establish the context in which the risk analysis is to occur

o obtain organisation's operational procedures

o obtain equipment operating and maintenance history andequipment maintenance procedures

o access technical documentation

o clarify organisation's risk criteria from risk managementpolicy

• identify risks

o list sources of risk and possible causes of risk

o identify areas of impact of the risk

o document sources/causes of risk and possible areas of impact

o conduct and document a risk analysis

o identify existing controls



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o document likelihood and consequences associated withidentified risk

• undertake a risk assessment or evaluation

o compare level of risk with organisation's risk criteria

o determine and justify those risks that are acceptable

o determine those risks that require treatment

• treat the risks

o identify range of risk treatment options

o evaluate risk treatment options in accordance withorganisation's

o risk management plan

o prepare and document risk treatment plans

o implement risk treatment plans prior to and during the

conduct of an activity/session

o review risk priorities and control measures with respectto changing circumstances

• monitor and review risk management plan

o review effectiveness of control measures

o recommend changes to the conduct of theactivity/session where required.

(insert you answer here - you answer should be a minimum of four typespages)



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Note there is a Risk Audit for Event Management in “A Sporting Chance –A risk management framework for the sport and recreation industry”available on www.osr.tas.gov.au which has helpful reminder points.

ASSESSMENT TASK 15

Complete the following checklist for a sport and recreation body,preferably your workplace.

Administration

Yes No

Is your organisation properly constituted?

Is the constitutionappropriate and relevant to your organisation?

Are all members aware of your constitution?

Are members provided with a copy of your constitution?

Does your constitution cover the following broad areas?

• Objectives of your organisation

• Powers of the organisation

• Membership

• Termination of membership

• Affiliation

• Management committee

• Auditor

General meetings

• Voting

• Finance

• Common seal

• Alterations to the constitution

• Winding up of the organisation

Does your organisation follow the requirements of your constitution?

Is your organisation incorporated?

Do you fulfil the requirements to maintain incorporation?

Are meeting procedures in accordance with the constitution?

Are suitable minutes recorded, distributed and approved?



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http://www.osr.tas.gov.au/




Is inward correspondence recorded?

Is correspondence dealt with within prescribed timeframes?

Is outward correspondence monitored and approved as appropriate?

Are club records maintained to an appropriate standard?

Are club records stored in a secure place?

Is appropriate membership information collected and maintained?

Are procedures in place to ensure security of membership information?

Does your organisation have effective channels of communication

established?

Are liaison protocols established for important relationships?

Is the annual report circulated to all members?

Finance

Yes No

Are all financial transactions accurately recorded?

Is an annual audit conducted of your organisation’s financial records?

Is the audit conducted by an appropriate person?

Is a financial report provided to each meeting?

Is all expenditure authorised through an identified process?

Are suitable banking arrangements in place for the organisation?

Is all income banked within a prescribed time frame?

Are multiple signatures required for withdrawal?

Are loan conditions met and repayments made on time?

Are the requirements stipulated for any grants being met?

Does your organisation have a financial plan?

Does your organisation prepare budgets where appropriate?

Is professional advice sought on financial matters?

Insurance

Does the organisation have suitable insurance cover?

Was advice sought from an insurance broker?

Are all members aware of the organisation’s insurance with respect to:• cover

• limitations and exclusions

• responsibilities

• claim procedures

Is insurance reviewed on an annual basis?

Policy



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Does your club have any policies to guide its decision-making?

Are policies documented in an appropriate manner?

Are policy documents easily accessible to all members?

Are policies clearly communicated to all members?

Are policies properly implemented?

Are policies supported by appropriate operating instructions?

Are policies monitored and periodically reviewed?

Are there clear policies in respect of:

Equal Employment Opportunity

People with Disabilities

Discrimination

Harassment

Drugs

Child Protection

Planning

Yes NoDoes your organisation have a clear, documented strategic direction?

Are all members aware of and in agreement with the direction?

Does your organisation have a risk management plan?

Are responsibilities clearly defined in all plans?

Are time frames set and met in all plans?

Are adequate resources allocated to implement all plans?

Do you have appropriate emergency response procedures?

Do you have appropriate critical incident management plans?

Do you periodically review your plans?

Personnel Management

Are position descriptions available for all office bearers?

Do position descriptions clearly detail responsibilities?

Are suitable induction processes in place to ensure a smooth transition

when office bearers change?

Has the organisation adopted appropriate Codes of Behaviour?

Are responsibilities shared amongst members of the organisation?

Are the following legislative requirements met for paid employees:

• Workers Compensation Insurance

• Taxation requirements

• Superannuation requirements

• Award requirements

• Workplace Health and Safety

• Rehabilitation requirements

Are reporting mechanisms and levels of authority clearly defined

for employees?

Are representative selection procedures clearly documented?



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Is there a clear procedure to handle disputes/complaints within

the organisation?

Is there a procedure for handling complaints from outside the

organisation?

Education, Training, and Accreditation

Are all office bearers suitably skilled or qualified?

Do all coaches have appropriate accreditation?

Do all coaches maintain their accreditation?

Are opportunities for training and education sought?

Are opportunities for training and education promoted?

Are suitable records kept indicating the training and qualifications

of members?

Do activity leaders have appropriate experience, training, or

accreditation?

Does the organisation have an induction process for new members?

Contracts

Does your organisation have:

• Sponsorship

• Player agreements

• Employment contracts

• Tickets

• Anyone paid a fee for service

Does your organisation fulfil the terms of the above contracts?

Are members aware of the nature of the contracts to which the

organisation is party?

Are all contracts subject to an appropriate review before renewal?

Hazard Identification and Control

Are appropriate risk / safety inspections made of:

• Buildings

• Grounds

• Equipment

Are the inspections made on a regular or predetermined basis?

Is there a procedure documented for such inspections?

Is there a checklist to assist with inspections?

Are results of inspections recorded and filed?

Are inspections made by suitably qualified or experienced personnel?

Are defects identified by inspections addressed promptly?

Are suitable procedures in place to manage known hazards?

Are appropriate risk assessments made of all programs?



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Is risk assessment an integral part of program management?

Are risk assessments documented?

Is there a clear procedure for reporting accidents/injuries?

Legislation & Industry Standards

Is your organisation involved in

• Fundraising through raffles, gaming machines etc

• The operation of a canteen or food stalls

• The operation of a bar on a permanent or

• casual basis

• The employment of anyone including coaches,

referees,scorers, administrators etc

•

The operation and maintenance of a clubhouseor facilities

• The selling of products, services or merchandise

• Sponsorship arrangements between businesses and

your organisation

• The organising of events in public places

Are you aware of the legislation or local Government By-Laws that could

apply to each of the above?

Does your organisation comply with the requirements?

Are you aware of the industry standards that apply to your operations?

Does your organisation comply with their requirements?

Do you ensure the recommended rules of play and protocols are

followed for your activity?

Is professional legal advice sought when necessary?

Do members understand the extent of their “Duty of Care”?

Event Management

Is risk management considered when planning an event?

Are all significant risks/hazards identified?

Are reasonable steps taken to reduce risks to acceptable levels?

Are risk management strategies documented?

Is an appropriate standard of care applied to participants?

Are participants notified of the risks, and the level of preparation/

skill required?

Is a suitable screening process in place to ensure all participants

have the fitness and skill necessary to safely participate?

Are procedures developed to respond to foreseeable emergencies?



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Are appropriate permits sought to hold the event?

Is permission obtained from affected land managers?

Are participants required to complete and sign a suitable disclaimer?

Is the feasibility of the event seriously considered?

Is a detailed budget prepared?

Are organisational responsibilities clearly defined and allocated?

Are clear time lines determined for each aspect of organisation?

Is a plan prepared for media relations?

Is appropriate insurance cover purchased for major risks?

Are insurance covers reviewed to ensure they are adequate?

(OSR, Qld, 1998)

The checklist is source from “A Sporting Chance - A riskmanagement framework for the sport and recreation Industry”Tasmanian Office of Sport & Recreation 1999

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