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

RIIRIS601A Mapping and Delivery Guide
Establish and maintain the risk management system

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency RIIRIS601A - Establish and maintain the risk management system
Description This unit covers the establishing and maintaining of risk management systems in resources and infrastructure industries. It includes: establishing the framework processes to support the system; planning and facilitating the implementation of the system; auditing the risk management processes; and ensuring completion of records and reports.
Employability Skills This unit contains employability skills.
Learning Outcomes and Application This unit is appropriate for those working in a management role or as a technical specialist, within:Civil constructionCoal miningDrillingExtractive industries Metalliferous mining
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Not applicable. Not applicable.
Competency Field Refer to Unit Sector(s).
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 framework for the system
  • Access, interpret and apply compliance documentation relevant to establishing and maintaining risk management systems to control risk
  • Develop the policy and objectives that express the organisation's commitment to risk management
  • Establish and implement the structure and framework for the risk management system
  • Define, allocate and document responsibilities for risk management in job descriptions and duty statement for all relevant positions
       
Element: Establish processes to support the system
  • Develop, document and communicate detailed systems procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review
  • Provide or arrange appropriate development and/or training for those who have responsibilities within the risk management system
  • Identify, obtain and maintain information sources required to support the risk management system and make them available to those who implement the risk management processes
  • Provide information on known and intended process changes and enhancements to those responsible for implementing the risk management processes
  • Determine and make available organisation's criteria for assessing the acceptability of risks to those responsible for implementing risk management processes
  • Obtain and provide expert advice, as necessary, to those responsible for implementing risk management processes
       
Element: Plan and facilitate the implementation of the system
  • Plan, schedule and document the systems coverage of the entire work environment
  • Monitor the system activities and achievement targets and provide and focus resources to ensure the work plan is satisfied
  • Provide support and encouragement to those responsible for the detailed system activities
  • Review and update the system work plan when changing circumstances are anticipated or occur
       
Element: Audit the management processes
  • Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness
  • Respond to changed requirements disclosed during audits in a systematic and timely manner
  • Complete and retain risk management documentation including the reasons for and changes made to the system
       
Element: Completion of records and reports
  • Ensure all risk management documentation is produced, processed and maintained
       


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 that are to apply in establishing and maintaining of risk management systems

implementation of procedures and techniques for the safe, effective and efficient establishment and maintenance of risk management systems

the identification of the relevant information and scope of the work required to meet the required outcomes

working with others to establish and maintain risk management systems

consistent and timely establishing and maintaining of risk management systems

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 civil works environment. Selection and use of resources for particular worksites may differ due to 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

identification of the relevant information and scope of the work required

consistently achieving the required outcomes

first hand testimonial and documentary evidence of the candidate's:

working with others to establish and maintain risk management systems

consistent and timely gaining of approval for the establishing and maintaining of risk management systems

provision of clear, timely required support and advice on the application of risk management systems

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, 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.

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 establish and maintain risk management systems:

apply legislative, organisation and site requirements and procedures

read, interpret and apply legislation

apply procedures for developing and maintaining procedures and policies

read, interpret, apply and communicate technical information, rules, procedures, regulations

apply procedures for facilitating and documenting management planning

apply procedures for monitoring and deciding on changes to process

provide leadership and guidance for group activities

communicate effectively in the workplace

explain complex information to superiors/subordinates

apply coaching and mentoring support

apply active listening

show sensitivity to the needs and feelings of others

actively encourage the free exchange of information

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 establish and maintain risk management systems:

organisation's policies, goals and objectives

relevant legislative requirements

action planning methods

negotiation methods

written and oral communication methods

human resource management processes

method of identifying appropriate action based on cost, safety, and welfare issues

work procedure and instruction writing requirements

reporting and recording procedures

work site operating procedures

hazard identification processes

risk assessment processes

risk treatment processes

documentation methods and procedures

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

The policy is:

the statement of overall intent and direction of the organisation in respect of the specific area of managerial responsibility

Risk is

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

Risk management is

the culture, processes and structure that are directed towards the effective management of potential opportunities and adverse risk

Risk management may be applied to:

statutory compliance

occupational health and safety

environment

quality

property security

business risks, such as:

credit management

capital expenditure

sales and marketing

finance and accounting

The system's procedures are

the procedures that support and expand on the policy and set out the requirements for implementing the system on individual sites. They provide direction and guidance to those responsible for implementation of the system including the preparation of site specific work procedures, instruction and practices to put the system into effect

System's procedures may include:

identification of hazards

risk identification

risk assessment

risk treatment

interim solutions

dealing with unplanned incidents and events

consultation

communication

monitoring

review

record keeping

reporting

training

Risk identification is

the process of determining what can happen, why and how

Risk assessment is

the overall process of risk analysis and risk evaluation

Risk treatment

should considered using options in sequence from eliminating the hazard, substitution, engineering controls, administrative controls, and finally personal protective equipment

Consultation would typically include:

regulatory authorities

tenderers

project managers

contractors

employees

community

customers

suppliers

Risk management processes are

the systematic application of management policies, procedures and practices to the task of establishing the context, identifying, analysing, evaluating, treating, monitoring and communicating risk

Monitor is

to check, supervise, observe critically, or record the progress of an activity, action or system on a regular basis in order to identify change

Resources may include:

people

finance

equipment

buildings/facilities

technology

information

Risk management documentation may need to include:

requirements for the maintenance of records for statutory/legal breaches

provision of information and training

regulations and code of practice relating to statutory/legal compliance

site representatives and committees

issue resolution

Audit is

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

Records and reports may include:

audit and inspection reports

hazard registers

risk analysis records

risk treatment reports

minutes of meetings (risk management, occupational health and safety, environmental etc)

induction, instruction, training and assessment

manufacturer's and supplier's information

dangerous goods and hazardous substances registers

plant and equipment maintenance and testing reports

workers compensation and rehabilitation records

First Aid/medical records

major incident and emergency response instructions

emergency contact lists

financial records

contract 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 establishing and maintaining risk management systems to control risk 
Develop the policy and objectives that express the organisation's commitment to risk management 
Establish and implement the structure and framework for the risk management system 
Define, allocate and document responsibilities for risk management in job descriptions and duty statement for all relevant positions 
Develop, document and communicate detailed systems procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review 
Provide or arrange appropriate development and/or training for those who have responsibilities within the risk management system 
Identify, obtain and maintain information sources required to support the risk management system and make them available to those who implement the risk management processes 
Provide information on known and intended process changes and enhancements to those responsible for implementing the risk management processes 
Determine and make available organisation's criteria for assessing the acceptability of risks to those responsible for implementing risk management processes 
Obtain and provide expert advice, as necessary, to those responsible for implementing risk management processes 
Plan, schedule and document the systems coverage of the entire work environment 
Monitor the system activities and achievement targets and provide and focus resources to ensure the work plan is satisfied 
Provide support and encouragement to those responsible for the detailed system activities 
Review and update the system work plan when changing circumstances are anticipated or occur 
Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness 
Respond to changed requirements disclosed during audits in a systematic and timely manner 
Complete and retain risk management documentation including the reasons for and changes made to the system 
Ensure all risk management documentation is produced, processed and maintained 

Forms

Assessment Cover Sheet

RIIRIS601A - Establish and maintain the risk management system
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

RIIRIS601A - Establish and maintain the risk management system

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:

Date: