Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

PSPGEN038 Mapping and Delivery Guide
Identify and treat risks

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency PSPGEN038 - Identify and treat risks
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills required to identify and treat risk using the organisation’s risk management procedures and treatments. It applies to the risks inherent in all aspects of everyday work in the public sector as well as to specific functional activities and projects related to the particular mandate of the organisation. It includes establishing the risk context, analysing and evaluating risks and monitoring and reviewing the risk treatment plan.This unit applies to those working in generalist or specialist roles within the public sector.The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.Those undertaking this unit would work independently, performing complex tasks in a range of familiar and unfamiliar contexts.No licensing, legislative or certification requirements apply to unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.

Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.

Prerequisites/co-requisites
Competency Field General
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities
Slides
PPT
Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Establish the risk context
  • Establish the nature and extent of the work activity within the broader organisational context.
  • Identify and document outcomes to be achieved.
  • Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes.
  • Identify and consult stakeholders to understand their opinions, concerns and needs.
  • Determine risk evaluation criteria for the activity.
       
Element: Identify risks
  • Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken.
  • Identify and document sources of risk as required.
  • Identify and record risk events related to each source of risk.
  • Undertake consultation to ensure all possible risks are identified.
       
Element: Analyse risks
  • Analyse and rate the probability of identified risks occurring and consequences.
  • Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary.
  • Determine levels of risk in accordance with risk matrix used by the organisation.
  • Consult as required to confirm risk levels, and document analysis.
       
Element: Evaluate risks
  • Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process.
  • Consider the importance of the activity, its outcomes and the degree of control over the risks.
  • Consider potential and actual losses which may arise from the risk.
  • Take into account benefits and opportunities presented by the risk.
  • Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval.
  • Prioritise unacceptable risks and document the reason/s for acceptance of risks.
       
Element: Treat risks
  • Determine options for treating risks.
  • Select the best treatment option and undertake a cost-benefit analysis.
  • Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation.
  • Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments.
  • Organise resources and implement risk treatment plan.
       
Element: Monitor and review risk treatment plan
  • Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments.
  • Monitor and adjust risk treatments for unacceptable risks as required.
  • Monitor acceptable risks to ensure these risk levels do not increase over time.
  • Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation.
  • Review risk treatment plan in accordance with timetable for review of plan and updated as required.
  • Provide input into formal reviews of risk in the organisation to improve risk management outcomes.
       
Element: Establish the risk context
  • Establish the nature and extent of the work activity within the broader organisational context.
  • Identify and document outcomes to be achieved.
  • Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes.
  • Identify and consult stakeholders to understand their opinions, concerns and needs.
  • Determine risk evaluation criteria for the activity.
       
Element: Identify risks
  • Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken.
  • Identify and document sources of risk as required.
  • Identify and record risk events related to each source of risk.
  • Undertake consultation to ensure all possible risks are identified.
       
Element: Analyse risks
  • Analyse and rate the probability of identified risks occurring and consequences.
  • Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary.
  • Determine levels of risk in accordance with risk matrix used by the organisation.
  • Consult as required to confirm risk levels, and document analysis.
       
Element: Evaluate risks
  • Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process.
  • Consider the importance of the activity, its outcomes and the degree of control over the risks.
  • Consider potential and actual losses which may arise from the risk.
  • Take into account benefits and opportunities presented by the risk.
  • Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval.
  • Prioritise unacceptable risks and document the reason/s for acceptance of risks.
       
Element: Treat risks
  • Determine options for treating risks.
  • Select the best treatment option and undertake a cost-benefit analysis.
  • Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation.
  • Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments.
  • Organise resources and implement risk treatment plan.
       
Element: Monitor and review risk treatment plan
  • Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments.
  • Monitor and adjust risk treatments for unacceptable risks as required.
  • Monitor acceptable risks to ensure these risk levels do not increase over time.
  • Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation.
  • Review risk treatment plan in accordance with timetable for review of plan and updated as required.
  • Provide input into formal reviews of risk in the organisation to improve risk management outcomes.
       


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

PERFORMANCE CRITERIA

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 section.

1. Establish the risk context

1.1 Establish the nature and extent of the work activity within the broader organisational context.

1.2 Identify and document outcomes to be achieved.

1.3 Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes.

1.4 Identify and consult stakeholders to understand their opinions, concerns and needs.

1.5 Determine risk evaluation criteria for the activity.

2. Identify risks

2.1 Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken.

2.2 Identify and document sources of risk as required.

2.3 Identify and record risk events related to each source of risk.

2.4 Undertake consultation to ensure all possible risks are identified.

3. Analyse risks

3.1 Analyse and rate the probability of identified risks occurring and consequences.

3.2 Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary.

3.3 Determine levels of risk in accordance with risk matrix used by the organisation.

3.4 Consult as required to confirm risk levels, and document analysis.

4. Evaluate risks

4.1 Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process.

4.2 Consider the importance of the activity, its outcomes and the degree of control over the risks.

4.3 Consider potential and actual losses which may arise from the risk.

4.4 Take into account benefits and opportunities presented by the risk.

4.5 Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval.

4.6 Prioritise unacceptable risks and document the reason/s for acceptance of risks.

5. Treat risks

5.1 Determine options for treating risks.

5.2 Select the best treatment option and undertake a cost-benefit analysis.

5.3 Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation.

5.4 Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments.

5.5 Organise resources and implement risk treatment plan.

6. Monitor and review risk treatment plan

6.1 Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments.

6.2 Monitor and adjust risk treatments for unacceptable risks as required.

6.3 Monitor acceptable risks to ensure these risk levels do not increase over time.

6.4 Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation.

6.5 Review risk treatment plan in accordance with timetable for review of plan and updated as required.

6.6 Provide input into formal reviews of risk in the organisation to improve risk management outcomes.

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the candidate must demonstrate evidence of performance of the following on at least one occasion.

applying legislation, regulations and policies relating to risk management

researching and analysing the wider context affecting the organisation

communicating and consulting with a diverse range of stakeholders

estimating and arranging resources needed for implementation of risk treatments

Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.

public sector legislation including WHS and environment, regulations, policies, procedures and guidelines relating to risk management

AS/NZS ISO 31000:2009 risk management – principles and guidelines

HB 436:2004 (guidelines to AS/NZS 4360:2004) Risk Management Guidelines Companion to AS/NZS 4360:2004

the organisation’s risk management framework

the relationship of risk to context – how the context may define the risks

the importance of consultation and communication at every stage of the risk management cycle

risk management as a core activity of everyday work in the public sector

the diversity of risks in the public sector


Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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

PERFORMANCE CRITERIA

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 section.

1. Establish the risk context

1.1 Establish the nature and extent of the work activity within the broader organisational context.

1.2 Identify and document outcomes to be achieved.

1.3 Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes.

1.4 Identify and consult stakeholders to understand their opinions, concerns and needs.

1.5 Determine risk evaluation criteria for the activity.

2. Identify risks

2.1 Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken.

2.2 Identify and document sources of risk as required.

2.3 Identify and record risk events related to each source of risk.

2.4 Undertake consultation to ensure all possible risks are identified.

3. Analyse risks

3.1 Analyse and rate the probability of identified risks occurring and consequences.

3.2 Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary.

3.3 Determine levels of risk in accordance with risk matrix used by the organisation.

3.4 Consult as required to confirm risk levels, and document analysis.

4. Evaluate risks

4.1 Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process.

4.2 Consider the importance of the activity, its outcomes and the degree of control over the risks.

4.3 Consider potential and actual losses which may arise from the risk.

4.4 Take into account benefits and opportunities presented by the risk.

4.5 Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval.

4.6 Prioritise unacceptable risks and document the reason/s for acceptance of risks.

5. Treat risks

5.1 Determine options for treating risks.

5.2 Select the best treatment option and undertake a cost-benefit analysis.

5.3 Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation.

5.4 Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments.

5.5 Organise resources and implement risk treatment plan.

6. Monitor and review risk treatment plan

6.1 Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments.

6.2 Monitor and adjust risk treatments for unacceptable risks as required.

6.3 Monitor acceptable risks to ensure these risk levels do not increase over time.

6.4 Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation.

6.5 Review risk treatment plan in accordance with timetable for review of plan and updated as required.

6.6 Provide input into formal reviews of risk in the organisation to improve risk management outcomes.

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
Establish the nature and extent of the work activity within the broader organisational context. 
Identify and document outcomes to be achieved. 
Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes. 
Identify and consult stakeholders to understand their opinions, concerns and needs. 
Determine risk evaluation criteria for the activity. 
Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken. 
Identify and document sources of risk as required. 
Identify and record risk events related to each source of risk. 
Undertake consultation to ensure all possible risks are identified. 
Analyse and rate the probability of identified risks occurring and consequences. 
Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary. 
Determine levels of risk in accordance with risk matrix used by the organisation. 
Consult as required to confirm risk levels, and document analysis. 
Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process. 
Consider the importance of the activity, its outcomes and the degree of control over the risks. 
Consider potential and actual losses which may arise from the risk. 
Take into account benefits and opportunities presented by the risk. 
Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval. 
Prioritise unacceptable risks and document the reason/s for acceptance of risks. 
Determine options for treating risks. 
Select the best treatment option and undertake a cost-benefit analysis. 
Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation. 
Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments. 
Organise resources and implement risk treatment plan. 
Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments. 
Monitor and adjust risk treatments for unacceptable risks as required. 
Monitor acceptable risks to ensure these risk levels do not increase over time. 
Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation. 
Review risk treatment plan in accordance with timetable for review of plan and updated as required. 
Provide input into formal reviews of risk in the organisation to improve risk management outcomes. 
Establish the nature and extent of the work activity within the broader organisational context. 
Identify and document outcomes to be achieved. 
Analyse relationship between the activity and its environment and identify critical factors in the environment that may impact on the achievement of outcomes. 
Identify and consult stakeholders to understand their opinions, concerns and needs. 
Determine risk evaluation criteria for the activity. 
Select method/s for identifying risks in accordance with risk management policy and procedures, budgetary and time constraints relative to the type of activity to be undertaken. 
Identify and document sources of risk as required. 
Identify and record risk events related to each source of risk. 
Undertake consultation to ensure all possible risks are identified. 
Analyse and rate the probability of identified risks occurring and consequences. 
Consider current control measures for any of the identified risks in the risk analysis, and analyse and include residual risks if necessary. 
Determine levels of risk in accordance with risk matrix used by the organisation. 
Consult as required to confirm risk levels, and document analysis. 
Evaluate risks by comparing the level of risk with risk evaluation criteria established at the beginning of the risk management process. 
Consider the importance of the activity, its outcomes and the degree of control over the risks. 
Consider potential and actual losses which may arise from the risk. 
Take into account benefits and opportunities presented by the risk. 
Identify risks as acceptable or unacceptable in accordance with risk evaluation criteria, and obtain approval. 
Prioritise unacceptable risks and document the reason/s for acceptance of risks. 
Determine options for treating risks. 
Select the best treatment option and undertake a cost-benefit analysis. 
Prepare, approve and communicate a risk treatment plan to those who will be involved in implementation. 
Negotiate changes required to operational structure, procedures or staffing in order to implement risk treatments. 
Organise resources and implement risk treatment plan. 
Monitor changes in the organisational environment and factors impacting on the organisation for their impact on risks and existing risk treatments. 
Monitor and adjust risk treatments for unacceptable risks as required. 
Monitor acceptable risks to ensure these risk levels do not increase over time. 
Consult and collect, analyse and use data relating to risks and risk treatments to improve risk management in own area of operation. 
Review risk treatment plan in accordance with timetable for review of plan and updated as required. 
Provide input into formal reviews of risk in the organisation to improve risk management outcomes. 

Forms

Assessment Cover Sheet

PSPGEN038 - Identify and treat risks
Assessment task 1: [title]

Student name:

Student ID:

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

PSPGEN038 - Identify and treat risks

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

Assessor name:

Signature:

Date:

Student signature:

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