Assessor Resource

RIIRIS402A
Carry out the risk management processes

Assessment tool

Version 1.0
Issue Date: March 2024


This unit is appropriate for those working in supervisory and risk management technical specialist roles within:

Coal mining

Metalliferous mining

This unit covers the skills and knowledge required to carry out risk management processes in the coal and metalliferous mining industries. It includes: determining the risk management process; identifying hazards; assessing risk; identifying unacceptable risk and potential actions; deciding on, implementing or facilitating of actions; reviewing the implementation of action; auditing the risk management process; and completing records and reports.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.


Co-Requisites

Not applicable.


Employability Skills

This unit contains employability skills.




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.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit

The evidence required to demonstrate competency in this unit must be relevant to 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:

knowledge of the requirements, procedures and instructions to carry out the risk management processes

implementation of appropriate procedures and techniques for the safe, effective and efficient carrying out of risk management processes

working with others to plan, prepare and conduct risk management processes

provision of clear and timely instruction and supervision by the individual of those involved in carrying out the risk management processes

evidence of the consistent successful application in carrying out the risk management processes

Context of and specific resources for assessment

This unit must be assessed in the context of the 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 workplace performance, including task skills, task management skills, contingency management skills and job role environment skills.

The assessment environment should not disadvantage the participant. For example, language, literacy and numeracy demands of assessment should not be greater than those required on the job.

Customisation of assessment and delivery environment to sensitively accommodate cultural diversity.

Aboriginal people and other people from a non English speaking background may have second language issues.

Assessment of this competency requires typical resources normally used in a resources and infrastructure sector environment. Selection and use of resources for particular worksites may differ due to the site circumstances.

Where applicable, physical resources should include equipment modified for people with disabilities.

Access must be provided to appropriate learning and/or assessment support when required.

Method of assessment

This unit may be assessed in a holistic way with other units of competency. The assessment strategy for this unit must verify required knowledge and skill and practical application using more than one of the following assessment methods:

written and/or oral assessment of the candidate's required knowledge

observed, documented and/or first hand testimonial evidence of the candidate's:

implementation of appropriate procedures and techniques for the safe, effective and efficient achievement of the required outcomes

consistently achieving the required outcomes

first hand testimonial evidence of the candidate's:

working with others to plan, prepare and carry out the risk management processes

provision of clear and timely instruction and supervision by the individual of those involved in carrying out the risk management processes

Guidance information for assessment

Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.


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.

Required skills

Specific skills are required to achieve the performance criteria in this unit, particularly for the application in the various circumstances in which this unit may be applied. This includes the ability to carry out the following as required to carry out a risk management processes:

apply legislative, organisation and site requirements and procedures risk management processes

read, interpret, apply and communicate technical information, procedures, regulations in the workplace

apply effective communication with a range of people in the workplace

facilitate a group of people to achieve a required outcome

apply interview processes

facilitate and document scoping sessions for risk assessment

facilitate risk assessment exercises

participate in a risk assessment as team members

apply proactive hazard identification

apply hazard analyse to identify and score the risk

select the appropriate treatments reduce unacceptable risk

apply Risk Assessment documentation requirements

apply Risk Management documentation requirements and procedures

maintain relevant records and documents

audit systems for compliance and effectiveness, and recommend changes to improve effectiveness

monitor and recommend changes to processes

identify hazards which may have acute and long-term effects on people

Required knowledge

Specific knowledge is required to achieve the Performance Criteria of this unit, particularly its application in a variety of circumstances in which the unit may be used. This includes knowledge of the following, as required to carry out a risk management processes:

relevant site and equipment safety requirements

statutory and site rules, policies, procedures and regulations

the risk management process

risk assessment scoping methods

risk assessment methods including:

identifying hazards

assessing risks

determining acceptability of risks

identifying existing controls

determining adequacy of current controls

identifying new potential controls

risk management documentation and reporting methods used at a mine site

methods of identifying Risk Control actions based on cost, safety and welfare issues

action planning and implementation methods

review and auditing methods

basic human physiology

the effects of hazards on people's health and hygiene

causes and effects of common diseases and disabilities

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Relevant compliance documentation

may include:

legislative, organisation and site requirements and procedures

manufacturer's guidelines and specifications

Australian standards

code of practice

Employment and workplace relations legislation

Equal Employment Opportunity and Disability Discrimination legislation

Risk is defined as:

the chance of something happening that will have an impact upon objectives. It is measured in terms of consequences and likelihood

Risk Management is defined as:

the systematic application of management policies, procedures and practices to the tasks of identifying, analysing, assessing, treating and monitoring risk

Risk Assessment is defined as:

the process used to determine risk management priorities by evaluating and comparing the level of risk against predetermined standards, target risk levels or other criteria

Parameters of the risk management task may include:

objectives

system boundaries

hazard and consequence type

methods/team processes

timing, venue/locations

consultation and communication processes

Hazard is defined as:

a source of potential harm or a situation with a potential to cause loss

Hazards may involve:

equipment and materials

people

methods/plans/work systems

the work environment

Loss scenarios may include:

hazards described as:

incidents

events or

accidents

Likelihood is used as:

a qualitative description of probability and frequency

Consequence is defined as:

the outcome of an event or situation expressed qualitatively or quantitatively, being a loss, injury, disadvantage or gain

Risk level is determined by:

combination of likelihood and consequence

Risk Acceptance is defined as:

an informed decision to accept the likelihood and the consequences of a particular risk. The criteria for acceptability of risks must be determined by the organisation's internal policy, goals and/or objectives

Risk Control is defined as:

that part of risk management which involves the provision of policies, standards and 2procedures to eliminate, avoid or minimise adverse risks facing an enterprise

Risk controls may include:

those focussed on personal safety - e.g., personal protective equipment, medical standards, drug and alcohol, stress management, evacuation procedures, fitness for duty

those focussed on equipment/machinery safety - e.g., isolation, protection and guarding

hazard identification and monitoring

procedures for incident/emergency circumstances e.g. fire safety procedures, chemical safety procedures

Hierarchy of control should be considered using option types in sequence from:

eliminating the hazard

substitution

engineering controls

administrative controls (work procedures, etc), and finally

personal protective equipment (PPE)

Safety regulations and procedures may contain:

legislation and regulations

relevant Australian standards

management plans

OHS policies

code of practice

manufacturer's instructions

Work procedures may include:

standard operating procedures (SOPs)

safe operating procedures (SOPs)

safe work procedures (SWPs)

safe job procedures (SJPs)

Audit is defined as:

a systematic examination against defined criteria to determine whether activities and related results conform to planned arrangement, and whether these arrangements are implemented effectively and are suitable to achieve the organisation's policy and objectives

Audits may be:

conducted internally, or may use external personnel

aspects to be audited may include:

parameters of the risk management task

the process and resulting documentation used for risk management

work procedures

implementation plans and processes

results of reviews of implementation

Risk management documentation and reports may include:

objectives

parameters of the risk management task

methodology

results and recommendations

the risk assessment forms

action planning documents

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 compliance documentation relevant to carry out risk management processes 
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 
Break process into steps or parts for detailed hazard identification 
Add to the defined process any potential variations from changes to work practices, systems or technology 
Analyse the steps or parts of the process, and identify and document 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 by the application of the approved site criteria 
Clarify findings which are ambiguous, unclear or of doubtful accuracy by seeking expert advice 
Identify existing controls 
Identify, analyse and document the range of risk controls which may be appropriate for identified unacceptable risks 
Identify possible options for risk control by the use of the hierarchy of controls, considering the potential for operational effectiveness 
Verify feasible options for risk control by preliminary analysis and consideration, including potential to provide an integrated response to the range of issues 
Select most appropriate risk controls for the situation from the feasible options 
Confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints 
Document the selected course of action 
Implement directly, or facilitate through others, the course of action 
Observe and apply all safety regulations and procedures 
Communicate to all involved parties relevant information related to the new/revised work procedures and their implementation in accordance with site requirements 
Determine and facilitate an ongoing review process to ensure implementation and application of risk controls in accordance with risk assessment outcomes, new or revised work procedures and accident investigation outcomes 
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 to ensure compliance and effectiveness 
Respond to changed requirements identified during audits in a systematic and timely manner 
Complete and retain all risk management documentation covering the reason for, and changes made 
Produce, process and maintain all risk management documentation and reports 

Forms

Assessment Cover Sheet

RIIRIS402A - Carry out the risk management processes
Assessment task 1: [title]

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I declare that the assessment tasks submitted for this unit are my own work.

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Result: Competent Not yet competent

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Assessment Record Sheet

RIIRIS402A - Carry out the risk management processes

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

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Overall assessment result: Competent Not yet competent

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