TRUST HANDBOOK
Risk Management Checklist and Register
Every effort has been made to include in this handbook reference to the requirements of the legislation which applies to the operations of Crown reserves, commons and bodies administered under the Trustees of Schools of Arts Enabling Act 1902 in general. Legislation which applies to specific reserves or classes of reserves, eg cemeteries has not been included.
This handbook will be updated from time to time as changes to the law or theDepartment of Primary Industries – Lands’(the Department’s) policies occur. While substantial effort is made to ensure the information in the handbook is up to date and accurate, the law is complex and constantly changing. Before undertaking any significant steps or entering into significant contracts or obligations, users should obtain legal advice to confirm the applicable legal requirements and, if appropriate, should contact the Departmentto confirm current policy.
The Department accepts no responsibility for any loss or damage caused as a result of any information contained in or omitted from this handbook.
Copyright in this work is held by the Department of Primary Industries – Lands. The Commonwealth Copyright Act 1968 recognises that limited further use of this material can occur for the purposes of fair dealing, for example, study, research or criticism. The readers of this Handbook are encouraged to use it for the purposes of managing reserves, commons and schools of arts. The document may be printed or copied in part or whole in the forms publicly provided but may not be reproduced as part of other documents. To make use of this material other than as permitted, please write to the Department of Primary Industries – Lands.
Risk Management Checklist and Register
Instructions for use
This checklist is designed to be used with the Trust Handbook.It provides a guide to the primary tasks required to manage the trust on behalf of the community in a risk aware manner. Not all of the information within this is relevant to all trusts. Review this in light of the size of your trust and the range of your activities.
The checklist is split into sections that relate to particular areas of the Handbook. These are:
- Overview – see page 3
- Insurance and liability – see page 4
- Emergency management – see page 11
- Occupational health & safety – see page 14
- Land and environmental management – see page 18
- Asset management – see page 24
- Staff, contractors and volunteers – see page 28
- Financial management – see page 31
- Other administration – see page 37
- Commons and Schools of Art – Specific guidance – see page 47
Start by completing the Overview and then work through each of the subsequent checklists that are relevant to you and your trust.
Each checklist takes you through a list of statements and asks the following questions of each:
What is the impact if the trust does not comply?
High = Direct financial / legal impact on trust; Moderate = Major impact on other trust operations; Low = Other minor impacts on trust operations
Who is the person responsible for this within the trust?
Does the trust have processes in place to deal with this issue?
How adequate are the trust’s processes?
Adequate = all relevant legislation and Department policies and procedures are complied with ; Needs improving = some or all relevant legislation and Department policies and procedures still need to be implemented
When should this action be completed by?
Timing is dependant on impact rating. High = complete immediately or as soon as possible and in any event within 3 months; Moderate = complete as soon as possible and in any event within 6 months; Low = complete as soon as possible and in any event within 12 months
How often should this action take place?
Ongoing, weekly, monthly, annual, once-off, etc
When is action complete?
March 20071
1.Overview
Item / Impact(High, Moderate, Low) / Person responsible / Process exists
(Yes / No) / Adequate/ Needs improving / Completion due date / How often / Action completed
(Yes / No)
2.Insurance and liability
Go to page 4 for detailed checklist
3.Emergency management
Go to page 11 for detailed checklist
4.Occupational health & safety
Go to page 14 for detailed checklist
5.Land and environment management
Go to page 18 for detailed checklist
6.Asset management
Go to page 24 for detailed checklist
7.Staff, contractors and volunteers
Go to page 28 for detailed checklist
8.Financial management
Go to page 31 for detailed checklist
9.Other administration
Go to page 37 for detailed checklist
10.Commons and Schools of Arts – specific guidance
Go to page 47 for detailed checklist
2.Insurance and liability
Item / Impact(High, Moderate, Low) / Person responsible / Process exists
(Yes / No) / Adequate/ Needs improving / Completion due date / How often / Action completed
(Yes / No)
2.1.Risk management
2.1.1An initial risk assessment has been undertaken
2.1.2Risk assessments are undertaken on a regular basis
2.1.3Risk assessments consider insurable and non-insurable risks
2.1.4Relevant stakeholders are included in the risk assessment process
2.1.5The importance of risk management is communicated to all trust board members, staff, contractors and volunteers
2.2.Public Liability
2.2.1If High risk non commercial activities are undertaken on trust property:
2.2.1.aWe check that the activity is not contrary to Department policy and conforms with any Plan of Management
2.2.1.bWe ensure that organisers / participants have their own appropriate insurance which also covers the Minister and trust and there is a contractual term that the operators of the commercial activity indemnify the Minister and trust
2.2.2If commercial activities are undertaken on trust property:
2.2.2.aWe check that the activity is not contrary to Department policy and conforms with any Plan of Management
2.2.2.bWe ensure that organisers / participants have their own appropriate insurance which also covers the Minister and trust and there is a contractual term that the operators of the commercial activity indemnify the Minister and trust
2.2.3If employees, contractors or volunteers undertake high risk activities on trust land:
2.2.3.aWe check that the activity is not contrary to Department policy and conforms with any Plan of Management
2.2.3.bWe ensure employees, contractors or volunteers have been provided with appropriate training or have appropriate experience to carry out the activity
2.2.3.cWe ensure that appropriate insurances are in place
2.2.4The trust has clear criteria to determine if an activity is a high risk and / or commercial
2.2.5We ensure that all third parties to trust contracts have their own appropriate insurance which also covers the Minister and trust and there is a contractual term indicating the third parties indemnify the Minister and trust
2.2.6We ensure that all lessees and licencees hold appropriate insurance cover which also covers the Minister and trust for activities undertaken and which contain a contractual term indicating the lessees and licencees indemnify the Minister and the reserve trust.
2.2.7The trust maintains an understanding of the inclusions and exclusions of the public liability insurance policy maintained by the Department
2.2.8All claims are submitted within the required timeframe and in accordance with the Treasury Managed Fund and other requirements
2.2.9The trust maintains appropriate levels of any additional insurance required to cover off-site activities not covered by TMF or Workers compensation insurance requirements
2.3.Personal Accident Coverage
2.3.1The trust maintains appropriate levels of current personal accident insurance where not covered by the Treasury Managed Fund
2.4.Worker’s Compensation
2.4.1The trust maintains appropriate levels of current workers compensation insurance to cover employees, contractors and volunteers
2.4.2To ensure correct coverage of all employees, the trust clearly identifies employees and contractors as distinct from volunteers
2.4.3The trust ensures full coverage for part-time and full-time employees
2.5.Vehicles and other equipment
2.5.1The trust maintains an appropriate level of current comprehensive motor vehicle insurance
2.5.2This insurance covers all motor vehicles owned by the trust
2.5.3The trust maintains appropriate levels of comprehensive insurance to cover all other trust assets and equipment eg boats, tractors
2.6.Buildings
2.6.1The trust maintains appropriate levels of current buildings insurance
2.6.2This insurance covers all buildings owned by the trust
2.6.3The trust maintains appropriate levels of fire and damage insurance commensurate with building valuation
2.7.Maintenance
2.7.1A regular maintenance program has been established for potentially dangerous situations on trust land (for example, faulty fencing, potholes etc)
2.7.2This maintenance program is monitored to ensure that the appropriate works are undertaken
2.7.3Appropriate signage and barriers are constructed to warn of potential danger in those areas where maintenance is required but has not yet been carried out (eg warnings of potholes, etc)
2.7.4The maintenance program is reviewed and updated on a regular basis
2.8.Warning signs
2.8.1Appropriate signage exists to warn trust officers, employees, contractors, volunteers and other visitors of potential danger (eg crumbling cliff edges, deep water, etc)
2.8.2All signage associated with inherent dangers, as above is inspected and maintained on a regular basis to ensure readability and visibility
2.8.3Appropriate signage exists to warn trust officers, employees, contractors, volunteers and other visitors of potential danger from high risk activities (eg golf, horse riding, motocross racing, etc) undertaken on or associated with the reserve
2.8.4All signage associated with high risk activities is inspected and maintained on a regular basis to ensure readability and visibility
3.Emergency management
Item / Impact(High, Moderate, Low) / Person responsible / Process exists
(Yes / No) / Adequate/ Needs improving / Completion due date / How often / Action completed
(Yes / No)
3.1.Policies/procedures
3.1.1We ensure an adequate overall emergency plan / checklist is complete and maintained
3.1.2Equipment for use in an emergency management situation is accessible and maintained
3.1.3All trust members and staff are aware of their responsibilities in an emergency situation
3.1.4Trust members and staff have been trained in the use of relevant emergency management equipment
3.1.5A complete, up to date Bushfires, EPA, and National Parks contact list is communicated to all staff
3.1.6The guidelines as per the NSW Fire Brigades Barbecue Fire Safety Fact Sheet are complied with on all trust lands
3.1.7Contact lists of key trust members and staff are maintained and accessible for use in emergency situations
3.1.8An emergency risk management assessment has been undertaken with the assistance of the Rural Fire Service
3.1.9Emergency procedures are communicated in all induction programs for staff, contractors and volunteers
3.1.10Regular testing of fire alarms, fire extinguishers, hydrants and hoses and other equipment is undertaken by a suitably qualified person in accordance with Australian Standards
3.1.11Emergency procedures are regularly tested, evaluated and updated
3.2.Emergency warning signs
3.2.1All bushfire warning and fire trail signs are displayed in accordance with State guidelines
3.2.2All required warning signs for hazardous conditions, fuel sites, damaged fencing etc are appropriately displayed and maintained within legislative guidelines
3.2.3A warning sign has been erected at the entrance to the reserve to inform all users of the reserve about emergency procedures
3.3.Flood
3.3.1Flood management plans have been developed for trust property
3.3.2Warning signs have been erected on flood prone land
3.3.3Flood water level indicators have been placed near local watercourses where relevant
4.Occupational health and safety
Item / Impact(High, Moderate, Low) / Person responsible / Process exists
(Yes / No) / Adequate/ Needs improving / Completion due date / How often / Action completed
(Yes / No)
4.1.Policies
4.1.1The trust has a written OH&S policy
4.1.2The trust has a written OH&S plan
4.1.3The trust is aware of NSW OH&S legislative and regulatory requirements
4.1.4The trust is compliant with these requirements
4.2.OH&S management system
4.2.1An OH&S management system has been established that is appropriate relative to the size of the trust
4.2.2The OH&S management system is reviewed and updated to ensure its relevance is maintained
4.2.3The guidelines for establishing an OH&S management system have been followed
4.2.4Sufficient resources are available to address OH&S requirements
4.3.Hazard, incident and injury reporting
4.3.1Hazard, incident and injury recording and reporting meet legislative standards
4.3.2Procedures exist for hazard identification, risk assessment and control
4.3.3Regular inspections are undertaken to identify and rectify hazards
4.3.4Any action taken to manage hazards is reviewed to ensure effectiveness
4.3.5OH&S implications are considered when purchasing or hiring equipment, furniture etc
4.3.6A safety management plan is completed before construction and other work begins and is maintained during that work.
4.3.7Safe work procedures are in place for identified hazards, emergency procedures and critical incident recovery.
4.3.8There is system for maintaining and regular testing of plant and equipment in accordance with manufacturers instructions
4.3.9First aid is available to all trust members, staff, contractors and volunteers in line with legislative requirements
4.3.10The trust has a standard form for reporting / investigating incidents / injuries
4.3.11All required incidents are reported to WorkCover
4.3.12All incidents are investigated and documented
4.3.13Senior managers are involved in investigations and reviews of serious incidents
4.3.14First aid kits are inspected and refilled as necessary
4.4.Injury and claims management
4.4.1An injury management program has been established, including a Return to Work program for injured workers
4.4.2The program integrates injury management and claims management
4.4.3Claims history is reviewed for areas of improvement to work practices
4.5.Other
4.5.1All staff, including managers and supervisors, are aware of their OH&S obligations
4.5.2Supervisors and managers take an active role in monitoring and reinforcing compliance with work procedures
4.5.3Staff are consulted in OH&S decision making
4.5.4OH&S is on the agenda of each trust board meeting
4.5.5OH&S is a key component of induction programs for trust members, staff, contractors and volunteers
4.5.6Workplaces are reviewed for compliance with OH&S legislation
4.5.7Regular training and communication is provided about OH&S policies and procedures
4.5.8Specialised training is provided for staff and managers who have a specific OH&S responsibility eg first aid
4.5.9OH&S performance is measured against the OH&S plan
5.Land and environment management
Item / Impact(High, Moderate, Low) / Person responsible / Process exists
(Yes / No) / Adequate/ Needs improving / Completion due date / How often / Action completed
(Yes / No)
5.1.Management System
5.1.1An environmental management system has been established that is appropriate relative to the size of the trust
5.1.2The environmental management system is reviewed and updated to ensure its relevance is maintained
5.1.3The ISO 14001 guidelines for establishing an environmental management system have been followed
5.1.4A register of environmental legislative requirements has been established
5.1.5Procedures are in place to ensure environmental legislative requirements are complied with
5.2.Incident Reporting
5.2.1An incident reporting system has been established with key contacts specified
5.2.2The incident reporting system includes a process for recording and tracking incidents
5.3.Training
5.3.1Relevant staff have been trained in key environmental management practices (environmental management, reporting etc)
5.3.2Training in new policies and procedures is undertaken on a regular basis
5.4.Pollution
5.4.1We ensure there is adequate control over pollution disposal on trust land.
5.4.2We hold all relevant pollution licenses and ensure they are kept up to date
5.4.3Where land is not connected to water and sewage mains, alternative arrangements (eg. portacabins) are within relevant legislation
5.4.4We ensure there are adequate bins on all trust lands
5.4.5The trust monitors water quality and takes corrective action where required
5.4.6The trust ensures that there is no wilful discharge of prohibited matter into sewers or drains
5.5.Preventative action
5.5.1Noxious weeds
5.5.1.aThe trust has implemented policies to comply with the Noxious Weeds Act 1993
5.5.1.bThe trust controls weeds to the extent necessary to prevent them from spreading to adjoining land
5.5.2Feral animals
5.5.2.aThe trust controls / eradicates pest animals identified in the Rural Lands Protection Act 1998
5.5.3Water management
5.5.3.aThe trust maintains minor floodgates and other water courses in good repair and efficient condition
5.5.3.bThe trust liaises with the Dam Safety Committee in addressing relevant issues in the plan of management
5.5.3.cThe trust ensures economic use of water
5.5.4Chemical management
5.5.4.aAll chemicals, pesticides and hazardous materials are owned and stored within relevant required guidelines and display hazard signs
5.5.4.bA chemicals register, and relevant Material Safety Data Sheets have been maintained for all chemicals, pesticides and hazardous materials
5.5.4.cAdequate Spill Kits are located in key areas
5.5.4.dAll Spill Kits are adequately maintained
5.5.4.eAny land contamination is advised immediately to the Department of Environment and Conservation
5.5.5Bushfire management
5.5.5.aSites at high risk (eg caravan and camp-sites) have appropriate asset protection zones cleared to minimise the risk to visitors and of fire escaping to adjoining properties
5.5.5.bFire trails and other access routes are maintained
5.5.5.cFire trails and other access routes are inspected and identified improvements made prior to the Bushfire Danger Period being declared
5.5.5.dTrust property is maintained in such a way as to minimise the impact of fire – eg gutters are cleared, leaf litter is cleared
5.5.5.eAccess to adequate water sources and/or fire hydrants is maintained
5.5.5.fFire management equipment is maintained in an appropriate location, ready for use
5.5.5.gTrusts with significant areas of bushfire prone lands have a fire management plan and review this annually in consultation with the local fire authority
5.5.5.hAll staff are appropriately trained and have appropriate Personal Protective Equipment to carry out their functions in the event of a bushfire
5.6.Other obligations
5.6.1The trust ensures that native plants and animals are not harmed, damaged, taken or killed
5.6.2The trust has processes to manage disruptive companion animals (a dog or a cat including working dogs and guard dogs) on reserve property
5.6.3The trust ensures protection for any items of aboriginal heritage on reserve land
5.6.4The trust ensures protection for all items of environmental heritage
5.6.5Relevant approvals, licences and permits are obtained for activities that may have an impact on the environment of the reserve