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Good Governance - Risk Audit

_____________________________________

(ORGANISATION’S NAME & DATE OF REVIEW)

RISK MANAGEMENT

A VEHICLE TO EFFECTIVE GOVERNANCE

RISK AUDIT QUESTIONNAIRE

Prepared by

Paul S. Rolek(Permission granted for

non-profit use)


A. CONTEXT OF RISK AUDIT EXERCISE

Governance & Management

Governance Management

Focuses on the systems, instruments and structures by which our organisation is directed, controlled and accountable.

Concerned with the operation/ application/ implementation of our organisations policies, guidelines, procedures, etc.

President, Vice Presidents, Secretary, Treasurer, Directors

CEO/ED/GM Staff VolunteersConveners of Committees

Foundations of sound Corporate Governance

Duty Statements (Office bearers, Councillors, Committee Conveners)

Purpose : Clear understanding as to the extent of responsibility accepted with particular positions.

Policies Purpose : Consistency of our organisations administration; Protection of office bearers.

Operating Guidelines / Procedures

Key Components of Corporate Governance: DIRECTION CONTROL ACCOUNTABILITY

Direction Strategic / Forward Planning; Risk Management

ControlPolicy Decisions; Risk Management

Compliance and Performance Reviews

Accountability Performance Measurement & Reviews; Reporting

B. RISK MANAGEMENT

Risk - General Characteristics

A Source of Risk

Something at Risk People Assets Intangibles (reputation, etc.)

An Effect of Risk Damage Injury Loss


Broad Categories of Risk in Sport

Injuries to participants (competitors, officials, etc.) to spectators

Legal Liabilities of Coaches Administrators Executive Members Organisation as a whole

Damage to / Loss of Assets Loss of Financial Support from Government Loss of Sponsorship

Some Examples of Risk in Sport

Lack of awareness of risks within the organisation Failure to recognise and take advantage of opportunities Failure of a project/ program/ event/ team to reach its objectives Stakeholder dissatisfaction Unfavourable publicity; loss of credibility/ reputation Injury Mismanagement Failure of Equipment Failure to provide a safe, healthy or enjoyable environmentA breach of legal responsibility (statutory as well as common law)

Risk Management Model


C. RISK AND SAFETY AUDITS

Introduction

Risk is an integral part of all sport and recreation activities. Traditionally, risk management in sport has focused on injury prevention, but today, in an increasingly complex environment, it is about more than just preventing injury.

Organisations are now more likely to be held accountable for losses, whether it be injury to participants, theft, damage to facilities and equipment, or loss of goodwill, and for their performance in risk management. There are many risks which should be considered by an organisation to provide safe and sustainable sport and recreation experiences.

The increased awareness of risk management in the sport and recreation industry has caused many organisations to question their performance, but often they have found little guidance to help move them beyond this point.

The approach of sport and recreation organisations to risk management is often reactive, and little is done to anticipate and deal with problems before they escalate.

Rather than wait for a catastrophe, progressive organisations are now shifting to a culture of continuous improvement and using audits as a tool to evaluate their performance and guide their direction in risk management.

What is an audit?

A systematic and critical examination of the key risk and safety areas in an organisation.

A diagnostic tool which will disclose and organisation’s strengths, weaknesses and main areas of vulnerability to risk.

What can an audit tell us?

It provides an assessment of the current state of risk/safety management in an organisation.

It identifies broad areas of concern for risk and safety. It can show whether the systems in place to manage risks are working. In identifying weaknesses and the main areas of vulnerability to risk it prompts thinking on

remedies and priorities. It brings to attention areas that perhaps have not previously been considered, but are

important to improving risk or safety management.

What are the benefits of an audit?

It provides a positive approach to evaluating performance in risk management. It greatly assists the risk management process by guiding the identification of risks. It is a clear demonstration of an organisation’s commitment to risk management. It can provide a benchmark for reporting performance in risk management. It can assist an organisation to develop a better understanding of roles and

responsibilities in risk management.


It is a clear demonstration that an organisation is reviewing and monitoring its safety systems, which can be a valuable point if called to account for safety systems in court.

D. RISK AUDIT – AN INITIAL EFFORT

The task

To identify the major corporate governance issues and associated risk areas/issues in a systematic and structured way by using the attached Risk Audit Questionnaire methodology.

Synopsis of the Risk Audit Questionnaire

1 Administration2 Finance3 Insurance 4 Policy5 Planning6 Personnel Management7 Office Bearers & Committee Convenors -

Education, Training & Accreditation 8 Contractual Relationships9 Risk Identification & Control10 Legislation & Industry Standards11 Event Management: Championships,

Training Camps, Workshops12 Coaches – Accreditation and Standards 13 Work Health and Safety Guidelines &

Injury Prevention Policies14 High Performance


E. RISK AUDIT QUESTIONNAIRE

1. Administration(Reference to our organisations Constitution means reference to our organisations Constitution and Regulations)

YES If NO, Action requiredIs our organisation properly constituted?

Is our constitution appropriate and relevant?

Are all members aware of the constitution?

Are all members provided access to a copy of the constitution?

Does our organisations constitution cover the following broad areas:

Objectives of our organisation

Powers of the organisation

Membership

Termination of membership

Affiliation

Management committee

Auditor

General meetings

Voting

Finance

Alterations to the constitution

Winding up of the organisation

Does our organisation follow the requirements of its constitution?

Is our organisation currently incorporated?

Does our organisation fulfil the requirements to maintain incorporation?

Are our organisations meeting procedures in accordance with the constitution?

Are suitable minutes recorded, distributed and approved?

Are minutes distributed within a reasonable time (eg. 2 months)?

Is inward correspondence recorded?

Is correspondence dealt with within prescribed time frames?

Is outward correspondence monitored and approved as appropriate?

Are our organisation’s records maintained to an appropriate standard?

Are our organisations records stored in a secure place?

Does our organisation have effective channels of communication established?

Are liaison protocols established for important stakeholder relationships (eg. Governments, national body etc.)?

Is the Annual Report circulated to all members?


2. Finance

YES If NO, Action requiredAre all our organisations financial transactions accurately recorded?

Is an annual audit conducted of our organisations financial records?

Is the audit conducted by an appropriate person?

Is a financial report provided regularly to members?

Is all expenditure authorised through an identified process?

Are suitable banking arrangements in place?

Is all income banked within a prescribed time frame?

Are multiple signatures required for withdrawal?

Do you have provisions for approval of electronic transactions/withdrawals?

Are the requirements stipulated for all grants being met?

Does our organisation have a financial plan?

Does our organisation prepare budgets where appropriate?

Is professional advice sought on financial matters?

3. Insurance

YES If NO, Action requiredDoes our organisation have suitable insurance covers in respect to:

Public Liability (Broadform Policy)

Professional Indemnity Insurance

Directors & Officers Liability

Personal Accident

Occupational Health and Safety Cover

Worker’s Compensation

Property Content

Fidelity Insurance

Travel Insurance

Was advice sought from an insurance broker?

Are all members aware of the insurance with respect to:

Cover

Limitations and exclusions

Responsibilities

Claim procedures

Is our organisation insurance reviewed on an annual basis?


4. Policy

YES If NO, Action requiredDoes our organisation have any policies to guide its decision making?

Are our organisations policies documented in an appropriate manner?

Are policy documents easily accessible to members?

Are policies clearly communicated to members?

Are policies properly implemented?

Are policies supported by appropriate operating instructions?

Are policies monitored for compliance and periodically reviewed?

Are there clear policies in respect of:

Equal Employment Opportunity

People with Disabilities

Discrimination

Harassment

Anti-Doping

Child Protection -WWVP

Privacy

Risk Management Policy

Work Health and Safety

5. Planning

YES If NO, Action requiredDoes our organisation have a clear, documented strategic plan?

Are all members aware of and in agreement with the strategic plan?

Does our organisation have a risk management Framework?

Are responsibilities clearly defined in all plans?

Are realistic time frames set and met in all plans?

Are adequate resources allocated to implement all plans?

Does our organisation periodically review all its plans?


6. Personnel Management

YES If NO, Action requiredAre position descriptions available for all elected office bearers?

Does the CEO/ED/GM have a current job description?

Does the CEO/ED/GM undergo a regular performance appraisal?

Are position descriptions available for all committee convenors?

Do position descriptions clearly detail duties and responsibilities?

Are suitable induction processes in place to ensure a smooth transition when office bearers and committee convenors change?

Has our organisation adopted appropriate Codes of Behaviour?

Are responsibilities shared amongst members of our organisation?

Are the following legislative requirements met for any paid employees

Workers Compensation Insurance

Taxation requirements

Superannuation requirements

Award requirements

Workplace Health and Safety

Rehabilitation requirements

Are reporting mechanisms and levels/delegations of authority clearly defined for our organisations employees?

Are representative selection procedures clearly documented?

Is there a clear procedure to handle disputes/complaints within our organisation?

Is there a procedure for handling complaints from outside our organisation?

7. Office Bearers & Committee Convenors Education, Training, and Accreditation

YES If NO, Action requiredAre all office bearers suitably skilled or qualified?

Are opportunities for their training and education sought?

Are opportunities for their training and education promoted?

Are suitable records kept indicating the training and qualifications of office bearers and committee convenors?

Does our organisation have a Code of Conduct for its Office Bearers and members in general?

Do our organisations officials act as positive role models

Does the organisation have an induction process for new office bearers and committee convenors?


8. Contractual RelationshipsYES If NO, Action required

Does our organisation have:

Sponsorship contract(s)

Competitor agreements

Employment contract(s)

Fee for service agreements/contracts

Does our organisation fulfil the terms of the above contracts?

Are members aware of the nature of the contracts to which our organisation is party?

Are all contracts subject to an appropriate review before renewal?

9. Risk Identification and ControlYES If NO, Action required

Are suitable procedures in place to identify our organisations risks?

Are suitable procedures in place to manage known risks?

Are appropriate risk assessments made of all programs?

Is risk assessment an integral part of program/project management?

Are risk assessments documented?

Is there a clear procedure for reporting incidents/accidents/injuries?

10. Legislation & Industry StandardsYES If NO, Action required

Is our organisation involved or likely to be involved in:

The employment of anyone including coaches, judges, referees, scorers, administrators, etc

The operation and maintenance of any facilities

The selling of products, services or merchandise

Sponsorship arrangements with private sector

The organising of events in public places

Are our organisations members aware of the legislation or local Government By-Laws that could apply to each of the above?

Does our organisation comply with the respective requirements?

Are our organisations members aware of the industry standards that apply to our organisations operations?

Does our organisation comply with these standards and 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” and the concept of “Due Diligence”?


11. Event Management: Championships, Training Camps, Workshops, Representative Teams

YES If NO, Action requiredIs a risk management plan developed when planning an event?

Are all significant risks identified?

Are reasonable steps taken to reduce risks to acceptable levels?

Are risk management strategies documented?

Is an appropriate standard of care applied to all participants?

Are participants notified of the risks, and the level of preparation/skill required?

Is a suitable screening policy/process in place to ensure all participants have the fitness and skill necessary to safely participate?

Are procedures developed to respond to foreseeable emergencies?

Are appropriate permits sought to hold the event?

Are participants required to complete and sign a suitable disclaimer?

Is the feasibility of the event seriously considered?

Is a detailed budget prepared?

Are there paramedics and/or people on hand with current first aid certificates?

Are organisational responsibilities clearly defined, allocated and communicated?

Are clear time lines for each aspect of event organisation determined and communicated?

Is a plan prepared for media relations?

Is appropriate insurance cover purchased for major risks?

12. Coaches – Accreditation and Standards

YES If NO, Action requiredAccreditationDoes our organisation ensure that all coaches have suitable experience and accreditation through appropriate and enforceable policies?

Do coaches attend regular education updates?

Do coaches undergo re-accreditation?

Do coaches act as a positive role models (per codes of behaviour and sport safety principles)

Does our organisation promote and assist the ongoing development and implementation of higher levels of coaching accreditation?


13. Health & Safety Guidelines and Injury Prevention Policies

YES If NO, Action requiredDoes our organisation have policies and/or guidelines for the following health and injury prevention issues and ensuring their compliance:

Children in sport (per Sport Medicine Australia and Play By The Rules)

Pregnancy in sport (per Pregnant Athlete and the Law Guidelines by Women and Sport Unit at SMA and ASC)

Alcohol usage

Hydration

Infectious diseases

Anti-Doping

Equipment safety

Protective equipment

Surface safety standards

Emergency / first aid response procedures

Are these policies and/or guidelines communicated to all members?

Is there a process in place to ensure that these policies and/or guidelines are being implemented and appropriate records maintained?

14. HIGH PERFORMANCEAn effective High Performance program is part of the sports overall strategic plan and aims to:

1. Ensure the sport maintains its national competitiveness2. Identifies opportunities for the sport to achieve medal winning standards at

major sporting events and/or to make significant improvements on their performance at benchmark events.

YES If NO, Action required

We have a written high performance plan that details both our short and long term goals and what we will do to achieve them. This allows the sport to effectively communicate and coordinate the whole process.

______________

The plan sets realistic key performance indicators linked to an achievable timeframe. These KPI’s relate to the entire pathway and not just the senior performance at a single event.

The plan has an organisational chart describing


Key personnel, their functions and responsibilities as well as an appraisal process

The reporting and decision making chain of command. The development pathway for athletes, coaches and

officials A calendar of events noting benchmark events

We have accessible and clear athlete pathways in place.

The High Performance plan is freely available across the sport to inform and advise aspiring athletes, coaches and officials of the pathway and processes involved.

There is a publicly available selection policy that is written in plain English and is monitored by the High Performance committee.

The sport has established Development squads with related processes to support them.

We deliver opportunities for coach development

The Head coach plays a lead role in the development and implementation of the plan through the successive levels of the pathway in collaboration with a high performance committee.

The quality of coaching within the athlete pathway is linked to the High Performance plan and supported by a system of professional development and accreditation. This is linked to an annual appraisal process.

There is a sound link between the National, State and local coaches with a view to succession planning.

We deliver opportunities for officiating development

We provide a system of professional development and accreditation for our officials which are linked to an appraisal process.

Communication is fostered between Territory level officials and club/local level officials.

We actively encourage our officials to apply for positions on national bodies.

We have sufficient officials to service our current needs at the Territory and National level.


We provide a system to maximise high performance outcomes

There is a range of underpinning programs to support the pathway.

There is a dedicated budget allocation to support the High Performance plan.

Sport science & sports medicine play a central role in the pathway as well as a process for injury monitoring and management.

There is a mechanism for monitoring athlete training and performance against their own progress and benchmark standards.

We have an established process to ensure the welfare of our athletes. We support participation in competitions locally, Nationally and Internationally.

The Territory body ensures that there is an effective competition structure to provide adequate competition experience within the athlete pathway.

Events are conducted according to an agreed set of criteria and are overseen by a coordinating committee.

The Sports calendar is well coordinated and is communicated across the sport. This would include attempt to synchronise the range of events that are delivered at National and local level.

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