This unit describes a participant’s skills and knowledge required to carry out risk management processes in the Resources and Infrastructure Industries.
This unit it appropriate for those working in supervisory roles.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Evidence Required
List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
1. Plan and prepare for implementing the risk management process
1.1 Access, interpret and apply risk management documentation and ensure the work activity is compliant
1.2 Identify and determine the process to be used for risk management
1.3 Identify, develop and document parameters of the risk assessment task
1.4 Access, interpret and apply the data required to complete the risk assessment task
2. Identify hazards
2.1 Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence
2.2 Establish and communicate to others the process for hazard identification
2.3 Undertake routine hazard identification
2.4 Add to the hazard identification process any potential variations from changes to work practices, systems or technology
2.5 Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
3. Assess risk
3.1 Determine the likelihood of the loss scenario
3.2 Analyse and determine the consequence if the loss scenario should occur
3.3 Determine the risk level of the loss scenario
4. Identify unacceptable risk
4.1 Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party
4.2 Determine the risk level or score
4.3 Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
5. Identify potential actions
5.1 Identify existing controls
5.2 Identify, analyse and document the range of risk controls for identified unacceptable risks
5.3 Identify risk control options using the hierarchy of controls, considering operational effectiveness
5.4 Verify feasible options for risk control by preliminary analysis and consideration
6. Decide on action
6.1 Select most appropriate risk controls for the situation from the feasible options
6.2 Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
6.3 Prepare written document outlining the selected course of action and resources required
7. Implement or facilitate action
7.1 Implement directly, or facilitate through others, the course of action plans
7.2 Maintain the standards for safety regulations and procedures
7.3 Communicate to all parties relevant information related to the new/revised work procedures and action plans
7.4 Reinforce requirements through observing the impact of information and implemented action plans
7.5 Coach others to effectively carry out action plans
8. Review the implementation of action
8.1 Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
8.2 Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment
8.3 Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process
9. Audit the risk management process
9.1 Conduct audits of risk management processes and work procedures and amend accordingly
9.2 Consult with others to identify issues to action plans
9.3 Respond to changed requirements identified during audits in a systematic and timely manner
9.4 Complete and retain all written risk management documentation covering the reason for, and changes made
10. Complete records and reports
10.1 Produce and process and all written risk management documentation and reports
10.2 Maintain all written risk management documentation and reports
The evidence required to demonstrate competency in this unit must be relevant to the roles within this sector’s worksite operations and satisfy all of the requirements of the performance criteria, required skills and knowledge and the range statement of this unit and include evidence of the following:
obtain and applies relevant legislation, documentation, policies and procedures
works effectively with others to undertake and complete carrying out the risk management process that meets all of the required outcomes including:
seeking advice and clarifying findings for unacceptable risks
communicating to all parties relevant outcomes, work procedures and requirements for managing risk
demonstrates completion of carrying out the risk management process that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:
facilitating risk assessment exercises for others
providing clear and timely instruction and supervision by the individual of those involved in carrying out the risk management
providing opportunity for people to undertake hazard identification and implement action plans
identifying hazards which may have acute and long-term effects on people
applying hazard analysis to identify and score the risk
selecting and implementing the appropriate treatments using the hierarchy of controls, and reduce unacceptable risk
auditing outcomes and processes for compliance and effectiveness, and recommend changes to improve effectiveness
preparing written risk assessment documentation
The candidate must demonstrate knowledge of apply the risk management process through:
hazards and assessing risks
acceptability of risks
identifying existing risk controls
determining adequacy of current risk controls
new potential risk controls
An assessor of this unit must satisfy the requirements of the NVR/AQTF or their successors; and Industry regulations for certification and licensing; and,
this unit is best assessed in the context of this sector’s work environment;
where personal safety or environmental damage are limiting factors, assessment may occur in a simulated environment provided it is realistic and sufficiently rigorous to cover all aspects of this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills; and,
this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed; and,
assessment may be conducted in conjunction with the assessment of other Units of Competency; and,
assessment must confirm consistent performance can be applied in a range of relevant workplace circumstances; and,
assessors must demonstrate the performance evidence, and knowledge evidence as outlined in this Unit of Competency, and through the minimum years of current* work experience specified below in an Industry sector relevant to the outcomes of the unit; or,
where the assessor does not meet experience requirements a co-assessment or partnership arrangement must exist between the qualified assessor and an Industry subject matter expert. The Industry subject matter expert should hold the unit being assessed (or an equivalent unit) and/or demonstrate equivalence of skills and knowledge at the unit level. An Industry technical expert must also demonstrate skills and knowledge from the minimum years of current work experience specified below in the Industry sector, including time spent in roles related to the unit being assessed; and,
assessor and Industry subject matter expert requirements differ depending on the Australian Qualifications Framework Level (AQF) of the qualification being assessed and/or Industry Sector as follows:
Industry sector
AQF** Level
Required assessor or Industry subject matter expert experience
Drilling, Metalliferous Mining, Coal Mining, Extractive (Quarrying) and Civil Construction
1
1 Year
2
2 Years
Drilling, Coal Mining and Extractive (Quarrying)
3-6
3 Years
Metalliferous Mining and Civil Construction
3-6
5 Years
Other sectors
Where this Unit is being assessed outside of the Resources and Infrastructure Sectors assessor and/or Industry subject matter expert experience should be in-line with industry standards for the sector in which it is being assessed and where no Industry standard is specified should comply with any relevant regulation.
*Assessors can demonstrate current work experience through employment within Industry in a role relevant to the outcomes of the Unit; or, for external assessors this can be demonstrated through exposure to Industry by conducting frequent site assessments across various locations.
**Where a unit is being delivered outside of a Qualification the first numeric character in the Unit code should be considered to indicate the AQF level
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here
Assessment task 1: [title] Due date:
(add new lines for each of the assessment tasks)
Assessment Tasks
Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.
1. Plan and prepare for implementing the risk management process
1.1 Access, interpret and apply risk management documentation and ensure the work activity is compliant
1.2 Identify and determine the process to be used for risk management
1.3 Identify, develop and document parameters of the risk assessment task
1.4 Access, interpret and apply the data required to complete the risk assessment task
2. Identify hazards
2.1 Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence
2.2 Establish and communicate to others the process for hazard identification
2.3 Undertake routine hazard identification
2.4 Add to the hazard identification process any potential variations from changes to work practices, systems or technology
2.5 Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
3. Assess risk
3.1 Determine the likelihood of the loss scenario
3.2 Analyse and determine the consequence if the loss scenario should occur
3.3 Determine the risk level of the loss scenario
4. Identify unacceptable risk
4.1 Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party
4.2 Determine the risk level or score
4.3 Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
5. Identify potential actions
5.1 Identify existing controls
5.2 Identify, analyse and document the range of risk controls for identified unacceptable risks
5.3 Identify risk control options using the hierarchy of controls, considering operational effectiveness
5.4 Verify feasible options for risk control by preliminary analysis and consideration
6. Decide on action
6.1 Select most appropriate risk controls for the situation from the feasible options
6.2 Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
6.3 Prepare written document outlining the selected course of action and resources required
7. Implement or facilitate action
7.1 Implement directly, or facilitate through others, the course of action plans
7.2 Maintain the standards for safety regulations and procedures
7.3 Communicate to all parties relevant information related to the new/revised work procedures and action plans
7.4 Reinforce requirements through observing the impact of information and implemented action plans
7.5 Coach others to effectively carry out action plans
8. Review the implementation of action
8.1 Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
8.2 Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment
8.3 Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process
9. Audit the risk management process
9.1 Conduct audits of risk management processes and work procedures and amend accordingly
9.2 Consult with others to identify issues to action plans
9.3 Respond to changed requirements identified during audits in a systematic and timely manner
9.4 Complete and retain all written risk management documentation covering the reason for, and changes made
10. Complete records and reports
10.1 Produce and process and all written risk management documentation and reports
10.2 Maintain all written risk management documentation and reports
The evidence required to demonstrate competency in this unit must be relevant to the roles within this sector’s worksite operations and satisfy all of the requirements of the performance criteria, required skills and knowledge and the range statement of this unit and include evidence of the following:
obtain and applies relevant legislation, documentation, policies and procedures
works effectively with others to undertake and complete carrying out the risk management process that meets all of the required outcomes including:
seeking advice and clarifying findings for unacceptable risks
communicating to all parties relevant outcomes, work procedures and requirements for managing risk
demonstrates completion of carrying out the risk management process that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:
facilitating risk assessment exercises for others
providing clear and timely instruction and supervision by the individual of those involved in carrying out the risk management
providing opportunity for people to undertake hazard identification and implement action plans
identifying hazards which may have acute and long-term effects on people
applying hazard analysis to identify and score the risk
selecting and implementing the appropriate treatments using the hierarchy of controls, and reduce unacceptable risk
auditing outcomes and processes for compliance and effectiveness, and recommend changes to improve effectiveness
preparing written risk assessment documentation
The candidate must demonstrate knowledge of apply the risk management process through:
hazards and assessing risks
acceptability of risks
identifying existing risk controls
determining adequacy of current risk controls
new potential risk controls
An assessor of this unit must satisfy the requirements of the NVR/AQTF or their successors; and Industry regulations for certification and licensing; and,
this unit is best assessed in the context of this sector’s work environment;
where personal safety or environmental damage are limiting factors, assessment may occur in a simulated environment provided it is realistic and sufficiently rigorous to cover all aspects of this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skills; and,
this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed; and,
assessment may be conducted in conjunction with the assessment of other Units of Competency; and,
assessment must confirm consistent performance can be applied in a range of relevant workplace circumstances; and,
assessors must demonstrate the performance evidence, and knowledge evidence as outlined in this Unit of Competency, and through the minimum years of current* work experience specified below in an Industry sector relevant to the outcomes of the unit; or,
where the assessor does not meet experience requirements a co-assessment or partnership arrangement must exist between the qualified assessor and an Industry subject matter expert. The Industry subject matter expert should hold the unit being assessed (or an equivalent unit) and/or demonstrate equivalence of skills and knowledge at the unit level. An Industry technical expert must also demonstrate skills and knowledge from the minimum years of current work experience specified below in the Industry sector, including time spent in roles related to the unit being assessed; and,
assessor and Industry subject matter expert requirements differ depending on the Australian Qualifications Framework Level (AQF) of the qualification being assessed and/or Industry Sector as follows:
Industry sector
AQF** Level
Required assessor or Industry subject matter expert experience
Drilling, Metalliferous Mining, Coal Mining, Extractive (Quarrying) and Civil Construction
1
1 Year
2
2 Years
Drilling, Coal Mining and Extractive (Quarrying)
3-6
3 Years
Metalliferous Mining and Civil Construction
3-6
5 Years
Other sectors
Where this Unit is being assessed outside of the Resources and Infrastructure Sectors assessor and/or Industry subject matter expert experience should be in-line with industry standards for the sector in which it is being assessed and where no Industry standard is specified should comply with any relevant regulation.
*Assessors can demonstrate current work experience through employment within Industry in a role relevant to the outcomes of the Unit; or, for external assessors this can be demonstrated through exposure to Industry by conducting frequent site assessments across various locations.
**Where a unit is being delivered outside of a Qualification the first numeric character in the Unit code should be considered to indicate the AQF level
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.
Observation Checklist
Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice
Yes
No
Comments/feedback
Access, interpret and apply risk management documentation and ensure the work activity is compliant
Identify and determine the process to be used for risk management
Identify, develop and document parameters of the risk assessment task
Access, interpret and apply the data required to complete the risk assessment task
Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence
Establish and communicate to others the process for hazard identification
Undertake routine hazard identification
Add to the hazard identification process any potential variations from changes to work practices, systems or technology
Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
Determine the likelihood of the loss scenario
Analyse and determine the consequence if the loss scenario should occur
Determine the risk level of the loss scenario
Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party
Determine the risk level or score
Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
Identify existing controls
Identify, analyse and document the range of risk controls for identified unacceptable risks
Identify risk control options using the hierarchy of controls, considering operational effectiveness
Verify feasible options for risk control by preliminary analysis and consideration
Select most appropriate risk controls for the situation from the feasible options
Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
Prepare written document outlining the selected course of action and resources required
Implement directly, or facilitate through others, the course of action plans
Maintain the standards for safety regulations and procedures
Communicate to all parties relevant information related to the new/revised work procedures and action plans
Reinforce requirements through observing the impact of information and implemented action plans
Coach others to effectively carry out action plans
Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment
Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process
Conduct audits of risk management processes and work procedures and amend accordingly
Consult with others to identify issues to action plans
Respond to changed requirements identified during audits in a systematic and timely manner
Complete and retain all written risk management documentation covering the reason for, and changes made
Produce and process and all written risk management documentation and reports
Maintain all written risk management documentation and reports
Access, interpret and apply risk management documentation and ensure the work activity is compliant
Identify and determine the process to be used for risk management
Identify, develop and document parameters of the risk assessment task
Access, interpret and apply the data required to complete the risk assessment task
Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence
Establish and communicate to others the process for hazard identification
Undertake routine hazard identification
Add to the hazard identification process any potential variations from changes to work practices, systems or technology
Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
Determine the likelihood of the loss scenario
Analyse and determine the consequence if the loss scenario should occur
Determine the risk level of the loss scenario
Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party
Determine the risk level or score
Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
Identify existing controls
Identify, analyse and document the range of risk controls for identified unacceptable risks
Identify risk control options using the hierarchy of controls, considering operational effectiveness
Verify feasible options for risk control by preliminary analysis and consideration
Select most appropriate risk controls for the situation from the feasible options
Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
Prepare written document outlining the selected course of action and resources required
Implement directly, or facilitate through others, the course of action plans
Maintain the standards for safety regulations and procedures
Communicate to all parties relevant information related to the new/revised work procedures and action plans
Reinforce requirements through observing the impact of information and implemented action plans
Coach others to effectively carry out action plans
Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment
Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process
Conduct audits of risk management processes and work procedures and amend accordingly
Consult with others to identify issues to action plans
Respond to changed requirements identified during audits in a systematic and timely manner
Complete and retain all written risk management documentation covering the reason for, and changes made
Produce and process and all written risk management documentation and reports
Maintain all written risk management documentation and reports
Forms
Assessment Cover Sheet
RIIRIS402D - Carry out the risk management process
Assessment task 1: [title]
Student name:
Student ID:
I declare that the assessment tasks submitted for this unit are my own work.
Student signature:
Result: Competent Not yet competent
Feedback to student
Assessor name:
Signature:
Date:
Assessment Record Sheet
RIIRIS402D - Carry out the risk management process
Student name:
Student ID:
Assessment task 1: [title] Result: Competent Not yet competent
(add lines for each task)
Feedback to student:
Overall assessment result: Competent Not yet competent