Assessor Resource

CPPACC4016
Manage risk in access consulting operations

Assessment tool

Version 1.0
Issue Date: April 2024


This unit of competency specifies the outcomes required to assess and manage risk in access consulting operations. It involves identifying and analysing existing and potential threats to determine the level of risk exposure of access consulting operations, and then developing and implementing a risk management plan in response.

The unit supports the full range of access consulting services. It applies to those access consultants who develop and apply risk management procedures to manage risk exposure in the course of their work.

No licensing, legislative, regulatory, or certification requirements apply to this unit of competency at the time of endorsement.

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.

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions.

1.

Identify risks in access consulting operation.

1.1.

Information on actual and potential risks is collected using suitable risk assessment tools, and assessed for currency, accuracy and relevance according to organisational requirements.

1.2.

Terms of reference and timeframes are determined in consultation with relevant persons, and information is updated, modified and maintained according to organisational requirements.

1.3.

Structured plan for identifying and assessing risk likelihood is developed according to agreed terms of reference and timeframes.

1.4.

Limitations in identifying and assessing risks are identified and assistance is sought as required.

2.

Analyse risks in access consulting operation.

2.1.

Assessment criteria for measuring level of potential or existing risk and assessing consequences are developed according to terms of reference.

2.2.

Valid data relevant to operation is analysed and evaluated against the assessment criteria according to organisational requirements to determine level of potential risk.

2.3.

Gaps in assessment methodology are identified and suitable actions are implemented according to organisational requirements.

2.4.

Risk assessment findings are documented and distributed to required persons according to organisational requirements.

3.

Develop risk management plan for access consulting operation.

3.1.

Regulatory, industry, and association standards and procedures for access consulting are identified and assessed.

3.2.

Organisational policy on risk management is sourced and analysed.

3.3.

Organisational capability to control or reduce likelihood of actual and potential risks is analysed.

3.4.

Findings relating to health, safety and risk management are reviewed and analysed; risk management plan is drafted; and stakeholders are consulted as required.

3.5.

Risk management plan with associated policies and procedures, and provisions for training and education is finalised and documented according to organisational, legislative andregulatory requirements.

3.6.

Limitations in developing risk management plan are identified and assistance is sought as required.

3.7.

Procedures for ongoing identification of risks are established and documented in plan.

4.

Implement risk management plan for access consulting operation.

4.1.

Unacceptable risks are eliminated and other risks are minimised according to organisational requirements.

4.2.

Access consulting operations are conducted in compliance with regulatory, industry, and association standards and procedures and are modified as necessary to comply with risk management plan.

4.3.

Opportunities for professional development are identified and accessed.

4.4.

Access consulting operations are monitored continuously to identify potential risks.

4.5.

Comprehensive documentation relevant to operation is maintained for service provision according to regulatory and organisational requirements.

A person demonstrating competency in this unit must satisfy the requirements of the elements, performance criteria, foundation skills and range of conditions of this unit.

The person must also assess hazards, risks and work health and safety (WHS) requirements associated with one access consulting operation, and develop and implement a risk management plan in response.

The plan must identify and address the following areas of risk in the operation, which can relate to deliberate, natural or accidental acts or omissions:

loss of goodwill or reputation

loss of profits

loss, destruction or compromise of an asset

professional liability

public liability

WHS risk.

In developing the above plan, the person must:

access and research information from at least three of the following different sources:

government reports

reports commissioned by owner or manager

other reports and supporting documentation

key personnel

historical data

assess above risks and evaluate risk control measures

identify, interpret and apply required codes of practice and other legislative requirements to work processes

assign a low, medium or high rank to the likelihood of the identified risks occurring

identify and address limitations in identifying and assessing risks associated with:

job role and responsibilities

quality processes

own competency level

industry requirements

own understanding of risk identification processes

legal responsibilities

reflect legislative, regulatory, industry and association standards and procedures for access consulting, including:

legislative requirements in licensing, anti-discrimination and building access legislation

any tribunal and court precedents relevant to operation, organisation or risk assessment

industry standards, including AS/NZS ISO 31000 Risk management - Principles and guidelines

WHS standards

provide advice and clear information and instructions on workplace procedures relating to health, safety and risk management.

A person demonstrating competency in this unit must demonstrate knowledge of:

policies, procedures and processes for developing and implementing a risk management plan, including:

procedures for identifying and assessing risks associated with access consulting operations

key features of risk assessment tools and their application in an access consulting context

risk management hierarchy of control

risk management policies and procedures

key requirements of:

legislative and regulatory requirements specified in the range of conditions

industry and association standards and procedures for access consulting specified in the performance evidence

product instructions and manufacturer specifications

procedures for responding to and monitoring risks associated with access consulting operations

organisational requirements for collecting and assessing information on actual and potential risks, including:

client service standards

code of conduct and code of ethics

procedures for developing and recording operation-specific risk management plan, including required content and format

client privacy, confidentiality and security requirements

communication channels and reporting procedures

complaint and dispute resolution procedures

procedures for researching and developing operation-specific plan content

procedures for writing, storing and maintaining risk management plan documentation

quality assurance requirements

records and information management systems and processes

limitations of own work role, responsibility and professional abilities with regard to above risk management plan.

The following must be present and available to learners during assessment activities:

equipment:

computer and software to access, retrieve, store and distribute plan-specific documentation

specifications:

legislative, regulatory, industry and association standards and procedures for access consulting specified in the performance evidence

legislative and regulatory requirements specified in the range of conditions

relationships, including consultation with:

clients

colleagues.

Timeframe:

in line with timeframe established in contractual arrangements for developing risk management plan.

Assessor requirements

As a minimum, assessors must satisfy the assessor requirements in the Standards for Registered Training Organisations (RTOs) current at the time of assessment.

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.

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions.

1.

Identify risks in access consulting operation.

1.1.

Information on actual and potential risks is collected using suitable risk assessment tools, and assessed for currency, accuracy and relevance according to organisational requirements.

1.2.

Terms of reference and timeframes are determined in consultation with relevant persons, and information is updated, modified and maintained according to organisational requirements.

1.3.

Structured plan for identifying and assessing risk likelihood is developed according to agreed terms of reference and timeframes.

1.4.

Limitations in identifying and assessing risks are identified and assistance is sought as required.

2.

Analyse risks in access consulting operation.

2.1.

Assessment criteria for measuring level of potential or existing risk and assessing consequences are developed according to terms of reference.

2.2.

Valid data relevant to operation is analysed and evaluated against the assessment criteria according to organisational requirements to determine level of potential risk.

2.3.

Gaps in assessment methodology are identified and suitable actions are implemented according to organisational requirements.

2.4.

Risk assessment findings are documented and distributed to required persons according to organisational requirements.

3.

Develop risk management plan for access consulting operation.

3.1.

Regulatory, industry, and association standards and procedures for access consulting are identified and assessed.

3.2.

Organisational policy on risk management is sourced and analysed.

3.3.

Organisational capability to control or reduce likelihood of actual and potential risks is analysed.

3.4.

Findings relating to health, safety and risk management are reviewed and analysed; risk management plan is drafted; and stakeholders are consulted as required.

3.5.

Risk management plan with associated policies and procedures, and provisions for training and education is finalised and documented according to organisational, legislative andregulatory requirements.

3.6.

Limitations in developing risk management plan are identified and assistance is sought as required.

3.7.

Procedures for ongoing identification of risks are established and documented in plan.

4.

Implement risk management plan for access consulting operation.

4.1.

Unacceptable risks are eliminated and other risks are minimised according to organisational requirements.

4.2.

Access consulting operations are conducted in compliance with regulatory, industry, and association standards and procedures and are modified as necessary to comply with risk management plan.

4.3.

Opportunities for professional development are identified and accessed.

4.4.

Access consulting operations are monitored continuously to identify potential risks.

4.5.

Comprehensive documentation relevant to operation is maintained for service provision according to regulatory and organisational requirements.

This section specifies work environments and conditions that may affect performance. Essential operating conditions that may be present (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) are included. Bold italicised wording, if used in the performance criteria, is detailed below.

Risk assessment tools must include:

instruments that assess severity of identified hazards and rank them by severity

worksheets, checklists or matrix models

at least five of the following:

government and/or industry hazard or safety alerts

job and work system assessment

job hazard analysis

job safety analysis

manufacturer guidance information and manuals

review of work health and safety (WHS) records

safety and hazard audits

workplace inspection checklists.

Terms of reference must include:

agreed timeframes

client expectations

costs

limitations and exclusions

operational environment

roles and responsibilities

security and other clearances

scale of task or assessment, whether:

full-scale operation

limited to particular section or operation of organisation.

Relevant persons must include at least two of the following:

business partner

client

colleague

industry association

legal representative

supervisor.

Structured plan must use at least three of the following:

checklists

interview question sheets

spreadsheets, word-processing or other software

structured planning software

structured questionnaires

structured tables.

Assessment criteria must be based on a combination of at least three of the following:

organisational or client requirements

qualitative factors

quantitative or semi-quantitative factors

risk management standard AS/NZS ISO 31000 Risk management - Principles and guidelines.

Risk assessment findings must include at least three of the following:

information from approved data collection tools

graphical representations of data

suggestions for addressing risk

summary of assessment outcomes.

Consulting stakeholders must include:

presenting and discussing risk assessment findings in a suitable format

providing clear information on recommended workplace policies and procedures pertaining to health, safety and risk management.

Legislative and regulatory requirements must include those in:

commonwealth, state and territory legislation affecting organisational operation:

anti-discrimination

building

environmental

privacy

WHS

codes of practice

local government regulations and by-laws

quality assurance and certification requirements

standards, including AS/NZS ISO 31000

trade practices laws and guidelines.

A person demonstrating competency in this unit must satisfy the requirements of the elements, performance criteria, foundation skills and range of conditions of this unit.

The person must also assess hazards, risks and work health and safety (WHS) requirements associated with one access consulting operation, and develop and implement a risk management plan in response.

The plan must identify and address the following areas of risk in the operation, which can relate to deliberate, natural or accidental acts or omissions:

loss of goodwill or reputation

loss of profits

loss, destruction or compromise of an asset

professional liability

public liability

WHS risk.

In developing the above plan, the person must:

access and research information from at least three of the following different sources:

government reports

reports commissioned by owner or manager

other reports and supporting documentation

key personnel

historical data

assess above risks and evaluate risk control measures

identify, interpret and apply required codes of practice and other legislative requirements to work processes

assign a low, medium or high rank to the likelihood of the identified risks occurring

identify and address limitations in identifying and assessing risks associated with:

job role and responsibilities

quality processes

own competency level

industry requirements

own understanding of risk identification processes

legal responsibilities

reflect legislative, regulatory, industry and association standards and procedures for access consulting, including:

legislative requirements in licensing, anti-discrimination and building access legislation

any tribunal and court precedents relevant to operation, organisation or risk assessment

industry standards, including AS/NZS ISO 31000 Risk management - Principles and guidelines

WHS standards

provide advice and clear information and instructions on workplace procedures relating to health, safety and risk management.

A person demonstrating competency in this unit must demonstrate knowledge of:

policies, procedures and processes for developing and implementing a risk management plan, including:

procedures for identifying and assessing risks associated with access consulting operations

key features of risk assessment tools and their application in an access consulting context

risk management hierarchy of control

risk management policies and procedures

key requirements of:

legislative and regulatory requirements specified in the range of conditions

industry and association standards and procedures for access consulting specified in the performance evidence

product instructions and manufacturer specifications

procedures for responding to and monitoring risks associated with access consulting operations

organisational requirements for collecting and assessing information on actual and potential risks, including:

client service standards

code of conduct and code of ethics

procedures for developing and recording operation-specific risk management plan, including required content and format

client privacy, confidentiality and security requirements

communication channels and reporting procedures

complaint and dispute resolution procedures

procedures for researching and developing operation-specific plan content

procedures for writing, storing and maintaining risk management plan documentation

quality assurance requirements

records and information management systems and processes

limitations of own work role, responsibility and professional abilities with regard to above risk management plan.

The following must be present and available to learners during assessment activities:

equipment:

computer and software to access, retrieve, store and distribute plan-specific documentation

specifications:

legislative, regulatory, industry and association standards and procedures for access consulting specified in the performance evidence

legislative and regulatory requirements specified in the range of conditions

relationships, including consultation with:

clients

colleagues.

Timeframe:

in line with timeframe established in contractual arrangements for developing risk management plan.

Assessor requirements

As a minimum, assessors must satisfy the assessor requirements in the Standards for Registered Training Organisations (RTOs) current at the time of assessment.

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
Information on actual and potential risks is collected using suitable risk assessment tools, and assessed for currency, accuracy and relevance according to organisational requirements. 
Terms of reference and timeframes are determined in consultation with relevant persons, and information is updated, modified and maintained according to organisational requirements. 
Structured plan for identifying and assessing risk likelihood is developed according to agreed terms of reference and timeframes. 
Limitations in identifying and assessing risks are identified and assistance is sought as required. 
Assessment criteria for measuring level of potential or existing risk and assessing consequences are developed according to terms of reference. 
Valid data relevant to operation is analysed and evaluated against the assessment criteria according to organisational requirements to determine level of potential risk. 
Gaps in assessment methodology are identified and suitable actions are implemented according to organisational requirements. 
Risk assessment findings are documented and distributed to required persons according to organisational requirements. 
Regulatory, industry, and association standards and procedures for access consulting are identified and assessed. 
Organisational policy on risk management is sourced and analysed. 
Organisational capability to control or reduce likelihood of actual and potential risks is analysed. 
Findings relating to health, safety and risk management are reviewed and analysed; risk management plan is drafted; and stakeholders are consulted as required. 
Risk management plan with associated policies and procedures, and provisions for training and education is finalised and documented according to organisational, legislative andregulatory requirements. 
Limitations in developing risk management plan are identified and assistance is sought as required. 
Procedures for ongoing identification of risks are established and documented in plan. 
Unacceptable risks are eliminated and other risks are minimised according to organisational requirements. 
Access consulting operations are conducted in compliance with regulatory, industry, and association standards and procedures and are modified as necessary to comply with risk management plan. 
Opportunities for professional development are identified and accessed. 
Access consulting operations are monitored continuously to identify potential risks. 
Comprehensive documentation relevant to operation is maintained for service provision according to regulatory and organisational requirements. 

Forms

Assessment Cover Sheet

CPPACC4016 - Manage risk in access consulting operations
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CPPACC4016 - Manage risk in access consulting operations

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