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Evidence Guide: RIIRIS402A - Carry out the risk management processes

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

RIIRIS402A - Carry out the risk management processes

What evidence can you provide to prove your understanding of each of the following citeria?

Determine the risk management process

  1. Access, interpret and apply compliance documentation relevant to carry out risk management processes
  2. Identify and determine the process to be used for risk management
  3. Identify, develop and document parameters of the risk assessment task
  4. Access, interpret and apply the data required to complete the risk assessment task
Access, interpret and apply compliance documentation relevant to carry out risk management processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and determine the process to be used for risk management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, develop and document parameters of the risk assessment task

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access, interpret and apply the data required to complete the risk assessment task

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify hazards

  1. Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence
  2. Break process into steps or parts for detailed hazard identification
  3. Add to the defined process any potential variations from changes to work practices, systems or technology
  4. Analyse the steps or parts of the process, and identify and document loss scenarios
Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Break process into steps or parts for detailed hazard identification

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Add to the defined process any potential variations from changes to work practices, systems or technology

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse the steps or parts of the process, and identify and document loss scenarios

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess risk

  1. Determine the likelihood of the loss scenario
  2. Analyse and determine the consequence if the loss scenario should occur
  3. Determine the risk level of the loss scenario
Determine the likelihood of the loss scenario

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse and determine the consequence if the loss scenario should occur

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine the risk level of the loss scenario

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify unacceptable risk

  1. Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party
  2. Determine the risk level or score by the application of the approved site criteria
  3. Clarify findings which are ambiguous, unclear or of doubtful accuracy by seeking expert advice
Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine the risk level or score by the application of the approved site criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Clarify findings which are ambiguous, unclear or of doubtful accuracy by seeking expert advice

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify potential actions

  1. Identify existing controls
  2. Identify, analyse and document the range of risk controls which may be appropriate for identified unacceptable risks
  3. Identify possible options for risk control by the use of the hierarchy of controls, considering the potential for operational effectiveness
  4. Verify feasible options for risk control by preliminary analysis and consideration, including potential to provide an integrated response to the range of issues
Identify existing controls

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, analyse and document the range of risk controls which may be appropriate for identified unacceptable risks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify possible options for risk control by the use of the hierarchy of controls, considering the potential for operational effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Verify feasible options for risk control by preliminary analysis and consideration, including potential to provide an integrated response to the range of issues

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Decide on action

  1. Select most appropriate risk controls for the situation from the feasible options
  2. Confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
  3. Document the selected course of action
Select most appropriate risk controls for the situation from the feasible options

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document the selected course of action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement or facilitate action

  1. Implement directly, or facilitate through others, the course of action
  2. Observe and apply all safety regulations and procedures
  3. Communicate to all involved parties relevant information related to the new/revised work procedures and their implementation in accordance with site requirements
Implement directly, or facilitate through others, the course of action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Observe and apply all safety regulations and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate to all involved parties relevant information related to the new/revised work procedures and their implementation in accordance with site requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review the implementation of action

  1. 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
  2. Review process, actions and controls to ensure continuing effectiveness in the changing work environment.
  3. Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process
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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review process, actions and controls to ensure continuing effectiveness in the changing work environment.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Respond to, or refer to the appropriate party for follow-up action, anomalies and shortcomings identified during the review process

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Audit the risk management process

  1. Conduct audits of risk management processes and work procedures to ensure compliance and effectiveness
  2. Respond to changed requirements identified during audits in a systematic and timely manner
  3. Complete and retain all risk management documentation covering the reason for, and changes made
Conduct audits of risk management processes and work procedures to ensure compliance and effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Respond to changed requirements identified during audits in a systematic and timely manner

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete and retain all risk management documentation covering the reason for, and changes made

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete records and reports

  1. Produce, process and maintain all risk management documentation and reports
Produce, process and maintain all risk management documentation and reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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

Range Statement

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