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

RIIRIS601E Mapping and Delivery Guide
Establish and maintain risk management systems

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency RIIRIS601E - Establish and maintain risk management systems
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to establish and maintain the risk management system in the resources and infrastructure industries.It applies to those who work in management roles. They are generally responsible for the outcomes of others and contribute to the development of solutions to nonroutine problems.Licensing, legislative and certification requirements may apply to this unit and can vary between states, territories and industry sectors. Users must check requirements with relevant body before applying the unit.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

Mandatory conditions for assessment of this unit are stipulated below. The assessment must:

include access to:

personal protective equipment

equipment related to establishing and maintaining the risk management system

relevant documentation

be conducted in a safe environment; and,

be assessed in the context of this sector's work environment; and,

be assessed in compliance with relevant legislation/regulation and using policies, procedures and processes directly related to the industry sector for which it is being assessed; and,

confirm consistent performance can be applied in a range of relevant workplace circumstances.

Where personal safety or environmental damage are limiting factors, assessment may occur in a simulated work 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.

Assessor requirements

Assessors must be able to clearly demonstrate current and relevant industry knowledge and experience to satisfy the mandatory regulatory standards as set out in the Standards for Registered Training Organisations (RTOs) 2015/Australian Quality Training Framework mandatory requirements for assessors current at the time of assessment and any relevant licensing and certification requirements. This includes:

vocational competencies at least to the level being delivered and assessed

current industry skills directly relevant to the training and assessment being provided

current knowledge and skills in vocational training and learning that informs their training and assessment

formal relevant qualifications in training and assessment

having knowledge of and/or experience using the latest techniques and processes

possessing the required level of RII training product knowledge

having an understanding and knowledge of legislation and regulations relevant to the industry and to employment and workplaces

demonstrating the performance evidence, and knowledge evidence outlined in this unit of competency, and

the minimum years of current** work experience after competency has been obtained as specified below in an industry sector relevant to the outcomes of the unit.

It is also acceptable for the appropriately qualified assessor to work with an industry expert to conduct assessment together and for the industry expert to be involved in the assessment judgement. The industry expert must have current industry skills directly relevant to the training and assessment being provided. This means the industry subject matter expert must demonstrate skills and knowledge from the minimum years of current work experience after competency has been obtained as specified below, including time spent in roles related to the unit being assessed:

Industry sector

AQF indicator level***

Required assessor or industry subject matter expert experience

Drilling, Metalliferous Mining, Coal Mining, Extractive (Quarrying) and Civil Infrastructure

1

1 year

2

2 years

Drilling, Coal Mining, Extractive (Quarrying), Metalliferous Mining and Civil Infrastructure

3-6

3 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.

*Guidance on simulated environments has been stipulated in the Companion Volume Implementation Guide located on VETNet.

**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 a minimum number of site assessments as determined by the relevant industry sector, across various locations.

*** While a unit of competency does not have an AQF level, where a unit is being delivered outside of a qualification the first numeric character in the unit code should be considered as the AQF indicator level for assessment purposes.
Prerequisites/co-requisites
Competency Field
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: Plan and prepare to establish the framework for the risk management system
  • Obtain, interpret and confirm work requirements
  • Access, interpret and apply documentation required to establish and maintain the risk management system
  • Develop worksite policy and objectives regarding risk management
  • Establish and implement the risk management structure and framework
  • Confirm, allocate and document responsibilities for risk management in job descriptions and duty statements according to workplace procedures
       
Element: Establish processes to support the risk management system
  • Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review to relevant personnel as required
  • Provide appropriate development and training for relevant personnel
  • Obtain, communicate and maintain information sources that support the risk management system to relevant personnel as required
  • Communicate information on known and intended process changes and enhancements to the risk management system to relevant personnel
  • Determine, provide and communicate the workplace criteria for assessing the acceptability of risks to relevant personnel
  • Obtain and provide expert advice to relevant personnel as required
       
Element: Plan and facilitate the implementation of the risk management system
  • Plan, schedule and document the coverage of the risk management system according to workplace procedures
  • Monitor the risk management activities and achievement targets, and provide and focus resources to confirm the risk management system is satisfied according to job requirements
  • Review and update the risk management system periodically
       
Element: Audit the management processes
  • Formally audit risk management processes, including operating procedures and implementation processes according to workplace procedures
  • Respond to changed requirements disclosed during audits in a systematic and timely manner according to workplace requirements
  • Complete and retain risk management documentation according to workplace procedures
       


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 candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

establish and maintain the risk management system on at least two occasions, including:

applying procedures for developing and maintaining procedures and policies

applying procedures for facilitating and documenting management planning

applying procedures for monitoring and deciding on changes to processes

explaining complex risk management information to superiors/subordinates

applying coaching and mentoring support to supervisors who are carrying out risk management activities

actively encouraging the free exchange of information through consultation, using technology mediums and policies

preparing written reports, communicating the options for managing risk, clarifying the decisions and reviewing of outcomes

performing audits of risk management processes

recognising positive behaviours of others contributing to the management of risk.

During the above, the candidate must:

locate and apply relevant legislation, documentation, policies and procedures and confirm that the work activity is compliant

implement the requirements, procedures and techniques required for establishing and maintaining the risk management system

communicate clearly and concisely with others to receive and clarify work instructions.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

key legislation required to establish and maintain the risk management system

key policies, procedures and documentation required to establish and maintain the risk management system, including:

work procedures

risk management system reporting and recording procedures

hazard identification, risk assessment and risk treatment processes

organisational mentoring, coaching and training practices

principles and techniques for managing and communicating with others, including:

active listening

barriers to communication and provides clarification to make meaning

actions based on cost, safety, and welfare issues

principles and techniques for planning methods

principles and techniques for identifying relevant hazards and emergencies

techniques for coordinating and communicating job activities with others.

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.
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
Obtain, interpret and confirm work requirements 
Access, interpret and apply documentation required to establish and maintain the risk management system 
Develop worksite policy and objectives regarding risk management 
Establish and implement the risk management structure and framework 
Confirm, allocate and document responsibilities for risk management in job descriptions and duty statements according to workplace procedures 
Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review to relevant personnel as required 
Provide appropriate development and training for relevant personnel 
Obtain, communicate and maintain information sources that support the risk management system to relevant personnel as required 
Communicate information on known and intended process changes and enhancements to the risk management system to relevant personnel 
Determine, provide and communicate the workplace criteria for assessing the acceptability of risks to relevant personnel 
Obtain and provide expert advice to relevant personnel as required 
Plan, schedule and document the coverage of the risk management system according to workplace procedures 
Monitor the risk management activities and achievement targets, and provide and focus resources to confirm the risk management system is satisfied according to job requirements 
Review and update the risk management system periodically 
Formally audit risk management processes, including operating procedures and implementation processes according to workplace procedures 
Respond to changed requirements disclosed during audits in a systematic and timely manner according to workplace requirements 
Complete and retain risk management documentation according to workplace procedures 

Forms

Assessment Cover Sheet

RIIRIS601E - Establish and maintain risk management systems
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

RIIRIS601E - Establish and maintain risk management systems

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: