ELEMENT

PERFORMANCE CRITERIA

1. Establish security risk context

1.1 The scope of the risk assessment and its strategic and organisational context are identified in accordance with organisational requirements.

1.2 Legislation, policies, procedures and guidelines related to security risk management are identified and complied with.

1.3 Stakeholders are identified and their expectations and input are obtained in accordance with organisational policy and procedures.

1.4 Security risk criteria are identified in accordance with the organisation's security policy, jurisdictional policies and legislation.

1.5 A risk assessment plan is developed in accordance with organisational priorities, and endorsement is obtained.

2. Gather and analyse information

2.1 Sources of information are identified and information is gathered in accordance with organisational policy and procedures.

2.2 Internal information including historical information is reviewed.

2.3 New information from internal/external sources is aggregated.

2.4 Information is contextualised to the organisational context.

2.5 Gaps in information are identified and addressed.

3. Identify security risks

3.1 Sources of threat to the organisation's resources and functions are identified, and threats/potential threats are determined in accordance with organisational policy and procedures.

3.2 Threat assessment is conducted against organisational policies, procedures and guidelines.

3.3 Access to, availability of and procedures relating to resources/areas are analysed to determine risk exposure.

3.4 Risks are assessed using risk assessment techniques to suit the type and level of risk in accordance with organisational policy and procedures.

3.5 Risk potential is determined and risks are documented in accordance with organisational requirements.

4. Analyse security risks

4.1 Potential consequences of risks/threats are analysed in light of potential damage to agency, including critical lead time for recovery.

4.2 Analysis techniques are used in accordance with organisational policy and procedures.

4.3 Intent, capability and opportunity for each risk/threat to occur are assessed.

4.4 Using all known information, likelihood of risks/threats occurring is assessed.

4.5 Current security countermeasures/treatment options are analysed to determine areas of vulnerability.

4.6 Risk ratings are determined and documented in agreed format using all known information.

5. Assess and prioritise security risks

5.1 Stakeholders are consulted about acceptable/unacceptable risk levels.

5.2 Acceptable/unacceptable levels of risk are documented.

5.3 Identified risks are compared with security risk criteria to determine whether they are acceptable/unacceptable.

5.4 Identified risks are prioritised in accordance with security criteria.

5.5 Risks are documented in priority order in accordance with organisational policies, procedures and guidelines.

5.6 Residual risks are determined and documented in accordance with organisational policies, procedures and guidelines.

This section describes the essential skills and knowledge and their level, required for this unit.

Skill requirements

Look for evidence that confirms skills in:

applying legislation, regulations and policies relating to security risk management

undertaking risk assessment

reading and analysing the complex information in standards, legislation and security plans

researching and analysing the operational environment and drawing conclusions

applying critical analysis, evaluation and deductive reasoning

using problem solving and decision making

using creative thinking

communicating with diverse stakeholders involving interviewing, listening, questioning, paraphrasing, clarifying, summarising

responding to diversity, including gender and disability

writing reports requiring formality of language and structure

using computer technology to gather and analyse information, and prepare reports

using computer modelling

using numerical, graphical and statistical information

representing mathematical information in a range of formats to suit the information and the purpose

responding to diversity, including gender and disability

applying procedures relating to occupational health and safety and environment in the context of security risk management

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

legislation, regulations, policies, procedures and guidelines relating to security risk management such as:

occupational health and safety

public service Acts

Crimes Act 1914 and Criminal Code 1985

Freedom of Information Act 1982

Privacy Act 1988

fraud control policy

protective security policy

Australian Government Information Security Manual (ISM)

Protective Security Policy Framework

risk assessment techniques/processes

information handling

qualitative and quantitative analysis techniques

incident reports and statistics

asset holdings and recording mechanisms

Australian standards, quality assurance and certification requirements

international treaties and protocols

cross-jurisdictional protocols

organisation's strategic objectives

national strategic objectives

requirements of user groups

equal employment opportunity, equity and diversity principles

public sector legislation such as occupational health and safety and environment in the context of security risk assessment

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package.

Units to be assessed together

Pre-requisite units that must be achieved prior to this unit:Nil

Co-requisite units that must be assessed with this unit:Nil

Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:

PSPETHC501B Promote the values and ethos of public service

PSPGOV502B Develop client services

PSPGOV504B Undertake research and analysis

PSPLEGN501B Promote compliance with legislation in the public sector

PSPSEC502A Develop security risk management plans

PSPSEC503A Implement and monitor security risk management plans

Overview of evidence requirements

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

the knowledge requirements of this unit

the skill requirements of this unit

application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework)

assessment of security risks in a range of (3 or more) contexts (or occasions, over time)

Resources required to carry out assessment

These resources include:

legislation, policy, procedures and protocols relating to the assessment of security risk

Australian Government Information Manual (ISM)

Protective Security Policy Framework

case studies and workplace scenarios to capture the range of situations likely to be encountered when assessing security risks

Where and how to assess evidence

Valid assessment of this unit requires:

a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when assessing security risks, including coping with difficulties, irregularities and breakdowns in routine

assessment of security risks in a range of (3 or more) contexts (or occasions, over time)

Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as:

people with disabilities

people from culturally and linguistically diverse backgrounds

Aboriginal and Torres Strait Islander people

women

young people

older people

people in rural and remote locations

Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of:

case studies

portfolios

questioning

scenarios

simulation or role plays

authenticated evidence from the workplace and/or training courses, such as risk assessment plan

For consistency of assessment

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics in the Performance Criteria is explained here.

Strategic context may include:

the relationship between the organisation and the environment in which it operates

the organisation's functions:

political

operational

financial

social

legal

commercial

the various stakeholders and clients

Organisational context may include:

the organisation, how it is organised, and its capabilities

any official resources, including physical areas and assets, that are vital to the operation of the organisation

key operational elements of the organisation

any major projects

Legislation, policies procedures and guidelines may include:

Commonwealth and State/Territory legislation relating to security

national and international codes of practice and standards

the organisation's policies and practices

jurisdictional policies

codes of conduct/codes of ethics

AS/NZS ISO 31000:2009 Risk management - Principles and guidelines

Australian Government Information Security Manual (ISM)

Protective Security Policy Framework

Stakeholders may include:

supervisors

managers

other areas within the organisation

other organisations

government

third parties

Security risk criteria may concern:

vital functions and capabilities

the expectations of stakeholders and clients

the personal security of employees and clients

general expectations about confidentiality

the availability of the organisation's official resources

Jurisdictional policies and legislation relating to risk criteria cover:

expectations about the care and confidentiality of official information reflected in legislation such as Public Service Act 1999, Crimes Act 1914 and Criminal Code 1985

the availability of official information to the public (Freedom of Information Act 1982)

expectations about the collection, use and care of personal information (the Privacy Act 1988)

expectations about the well-being and personal security of staff (Occupational Health and Safety [Commonwealth Employment] Act 1991)

the measures and procedures agencies must adopt to protect official resources from fraud (Commonwealth fraud control policy)

the expectation that there will be a Commonwealth-wide system for providing appropriate protection to security classified information (Commonwealth protective security policy)

Risk assessment plan will include:

the strategic and organisational context of the agency (or organisation, area or project under review)

the scope and objectives of the review

information and resources required to complete the review

the security risk criteria

Information may be:

hardcopy

audio-visual

electronic

Sources of threat may include:

people

systems

environmental

financial

natural

conflict

terrorism

political circumstances

internal

external

local

national

international

Resources may be:

agency owned

contractor owned

hired

leased

owned by third parties

Threats/potential threats may be:

internal

external

national

international

real

perceived

to:

people

property

information

reputation

criminal

terrorist

from foreign intelligence services

from commercial/industrial competitors

from malicious people

Threat assessment:

is used to provide information about people and events that may pose a risk to a particular resource or function

evaluates and discusses the likelihood of a threat being realised

determines the potential of a threat to actually cause harm

Risk exposure is:

a measure of how open a resource is to harm, or

the potential of a resource to attract harm

Risk assessment techniques may include:

qualitative and/or semi-quantitative and/or quantitative

brainstorming

focus groups

expert judgment

strengths, weaknesses, opportunities and threats (SWOT) analysis

analysis of risk registers

examination of available data such as audit results, incident reports

nomogram

risk matrix

scenario analysis

business continuity planning

Consequences may include:

degree of harm

who would be affected and how

how much disruption would occur

damage to:

the organisation

other organisations

government

third parties

critical lead time for recovery

Critical lead time for recovery is

the period of time a function is compromised

critical if the function is vital to the organisation

Likelihood of risk may be determined through analysis of:

current controls to deter, detect or prevent harm

effectiveness of current controls

level of exposure

threat assessment

determination of threat source/s

competence/capability of threat source/s

opportunity for threat to occur

Risk ratings may include:

severe

high

major

significant

moderate

low

trivial

Format for risk documentation may include:

matrix

table

graphs

graphics

computer modelling

Acceptable risks are:

those which an organisation has determined have the least potential for harm

Unacceptable risks are:

those which an organisation has determined have the most potential for harm

Residual risks are:

those which cannot be treated but still need to be documented