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Evidence Guide: RIIRIS402D - Carry out the risk management process

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

 

RIIRIS402D - Carry out the risk management process

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

Plan and prepare for implementing the risk management process

  1. Access, interpret and apply risk management documentation and ensure the work activity is compliant
  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 risk management documentation and ensure the work activity is compliant

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. Establish and communicate to others the process for hazard identification
  3. Undertake routine hazard identification
  4. Add to the hazard identification process any potential variations from changes to work practices, systems or technology
  5. Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and communicate to others the process for hazard identification

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake routine hazard identification

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate 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
  3. Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify potential actions

  1. Identify existing controls
  2. Identify, analyse and document the range of risk controls for identified unacceptable risks
  3. Identify risk control options using the hierarchy of controls, considering operational effectiveness
  4. Verify feasible options for risk control by preliminary analysis and consideration
Identify existing controls

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, analyse and document the range of risk controls for identified unacceptable risks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risk control options using the hierarchy of controls, considering operational effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Verify feasible options for risk control by preliminary analysis and consideration

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Decide on action

  1. Select most appropriate risk controls for the situation from the feasible options
  2. Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
  3. Prepare written document outlining the selected course of action and resources required
Select most appropriate risk controls for the situation from the feasible options

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare written document outlining the selected course of action and resources required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement or facilitate action

  1. Implement directly, or facilitate through others, the course of action plans
  2. Maintain the standards for safety regulations and procedures
  3. Communicate to all parties relevant information related to the new/revised work procedures and action plans
  4. Reinforce requirements through observing the impact of information and implemented action plans
  5. Coach others to effectively carry out action plans
Implement directly, or facilitate through others, the course of action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain the standards for safety regulations and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate to all parties relevant information related to the new/revised work procedures and action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reinforce requirements through observing the impact of information and implemented action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Coach others to effectively carry out action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review the implementation of action

  1. Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
  2. Routinely 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 plans for risk controls

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Routinely 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 and amend accordingly
  2. Consult with others to identify issues to action plans
  3. Respond to changed requirements identified during audits in a systematic and timely manner
  4. Complete and retain all written risk management documentation covering the reason for, and changes made
Conduct audits of risk management processes and work procedures and amend accordingly

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with others to identify issues to action plans

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 written risk management documentation covering the reason for, and changes made

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete records and reports

  1. Produce and process and all written risk management documentation and reports
  2. Maintain all written risk management documentation and reports
Produce and process and all written risk management documentation and reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain all written risk management documentation and reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and prepare for implementing the risk management process

  1. Access, interpret and apply risk management documentation and ensure the work activity is compliant
  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 risk management documentation and ensure the work activity is compliant

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. Establish and communicate to others the process for hazard identification
  3. Undertake routine hazard identification
  4. Add to the hazard identification process any potential variations from changes to work practices, systems or technology
  5. Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios
Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and communicate to others the process for hazard identification

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake routine hazard identification

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate 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
  3. Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy
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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify potential actions

  1. Identify existing controls
  2. Identify, analyse and document the range of risk controls for identified unacceptable risks
  3. Identify risk control options using the hierarchy of controls, considering operational effectiveness
  4. Verify feasible options for risk control by preliminary analysis and consideration
Identify existing controls

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, analyse and document the range of risk controls for identified unacceptable risks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risk control options using the hierarchy of controls, considering operational effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Verify feasible options for risk control by preliminary analysis and consideration

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Decide on action

  1. Select most appropriate risk controls for the situation from the feasible options
  2. Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints
  3. Prepare written document outlining the selected course of action and resources required
Select most appropriate risk controls for the situation from the feasible options

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare written document outlining the selected course of action and resources required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement or facilitate action

  1. Implement directly, or facilitate through others, the course of action plans
  2. Maintain the standards for safety regulations and procedures
  3. Communicate to all parties relevant information related to the new/revised work procedures and action plans
  4. Reinforce requirements through observing the impact of information and implemented action plans
  5. Coach others to effectively carry out action plans
Implement directly, or facilitate through others, the course of action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain the standards for safety regulations and procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate to all parties relevant information related to the new/revised work procedures and action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Reinforce requirements through observing the impact of information and implemented action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Coach others to effectively carry out action plans

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review the implementation of action

  1. Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls
  2. Routinely 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 plans for risk controls

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Routinely 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 and amend accordingly
  2. Consult with others to identify issues to action plans
  3. Respond to changed requirements identified during audits in a systematic and timely manner
  4. Complete and retain all written risk management documentation covering the reason for, and changes made
Conduct audits of risk management processes and work procedures and amend accordingly

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult with others to identify issues to action plans

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 written risk management documentation covering the reason for, and changes made

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete records and reports

  1. Produce and process and all written risk management documentation and reports
  2. Maintain all written risk management documentation and reports
Produce and process and all written risk management documentation and reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Maintain all written risk management documentation and reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

1. Plan and prepare for implementing the risk management process

1.1 Access, interpret and apply risk management documentation and ensure the work activity is compliant

1.2 Identify and determine the process to be used for risk management

1.3 Identify, develop and document parameters of the risk assessment task

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

2. Identify hazards

2.1 Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence

2.2 Establish and communicate to others the process for hazard identification

2.3 Undertake routine hazard identification

2.4 Add to the hazard identification process any potential variations from changes to work practices, systems or technology

2.5 Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios

3. Assess risk

3.1 Determine the likelihood of the loss scenario

3.2 Analyse and determine the consequence if the loss scenario should occur

3.3 Determine the risk level of the loss scenario

4. Identify unacceptable risk

4.1 Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party

4.2 Determine the risk level or score

4.3 Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy

5. Identify potential actions

5.1 Identify existing controls

5.2 Identify, analyse and document the range of risk controls for identified unacceptable risks

5.3 Identify risk control options using the hierarchy of controls, considering operational effectiveness

5.4 Verify feasible options for risk control by preliminary analysis and consideration

6. Decide on action

6.1 Select most appropriate risk controls for the situation from the feasible options

6.2 Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints

6.3 Prepare written document outlining the selected course of action and resources required

7. Implement or facilitate action

7.1 Implement directly, or facilitate through others, the course of action plans

7.2 Maintain the standards for safety regulations and procedures

7.3 Communicate to all parties relevant information related to the new/revised work procedures and action plans

7.4 Reinforce requirements through observing the impact of information and implemented action plans

7.5 Coach others to effectively carry out action plans

8. Review the implementation of action

8.1 Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls

8.2 Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment

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

9. Audit the risk management process

9.1 Conduct audits of risk management processes and work procedures and amend accordingly

9.2 Consult with others to identify issues to action plans

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

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

10. Complete records and reports

10.1 Produce and process and all written risk management documentation and reports

10.2 Maintain all written risk management documentation and reports

Required Skills and Knowledge

1. Plan and prepare for implementing the risk management process

1.1 Access, interpret and apply risk management documentation and ensure the work activity is compliant

1.2 Identify and determine the process to be used for risk management

1.3 Identify, develop and document parameters of the risk assessment task

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

2. Identify hazards

2.1 Identify and confirm types of potential hazards by reference to site circumstances, history and/or precedence

2.2 Establish and communicate to others the process for hazard identification

2.3 Undertake routine hazard identification

2.4 Add to the hazard identification process any potential variations from changes to work practices, systems or technology

2.5 Analyse the hazard identification process or parts of the process, to identify and prepare written documents to communicate loss scenarios

3. Assess risk

3.1 Determine the likelihood of the loss scenario

3.2 Analyse and determine the consequence if the loss scenario should occur

3.3 Determine the risk level of the loss scenario

4. Identify unacceptable risk

4.1 Source or determine site criteria for assessing the acceptability of risks in conjunction with the appropriate party

4.2 Determine the risk level or score

4.3 Seek expert advice and clarify findings which are ambiguous, unclear or of doubtful accuracy

5. Identify potential actions

5.1 Identify existing controls

5.2 Identify, analyse and document the range of risk controls for identified unacceptable risks

5.3 Identify risk control options using the hierarchy of controls, considering operational effectiveness

5.4 Verify feasible options for risk control by preliminary analysis and consideration

6. Decide on action

6.1 Select most appropriate risk controls for the situation from the feasible options

6.2 Clarify the decision and confirm the selected course of action following analysis of resource requirements, cost, safety and welfare issues within site constraints

6.3 Prepare written document outlining the selected course of action and resources required

7. Implement or facilitate action

7.1 Implement directly, or facilitate through others, the course of action plans

7.2 Maintain the standards for safety regulations and procedures

7.3 Communicate to all parties relevant information related to the new/revised work procedures and action plans

7.4 Reinforce requirements through observing the impact of information and implemented action plans

7.5 Coach others to effectively carry out action plans

8. Review the implementation of action

8.1 Determine and facilitate an ongoing review process to ensure implementation and application plans for risk controls

8.2 Routinely review process, actions and controls to ensure continuing effectiveness in the changing work environment

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

9. Audit the risk management process

9.1 Conduct audits of risk management processes and work procedures and amend accordingly

9.2 Consult with others to identify issues to action plans

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

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

10. Complete records and reports

10.1 Produce and process and all written risk management documentation and reports

10.2 Maintain all written risk management documentation and reports

The evidence required to demonstrate competency in this unit must be relevant to the roles within this sector’s 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:

obtain and applies relevant legislation, documentation, policies and procedures

works effectively with others to undertake and complete carrying out the risk management process that meets all of the required outcomes including:

seeking advice and clarifying findings for unacceptable risks

communicating to all parties relevant outcomes, work procedures and requirements for managing risk

demonstrates completion of carrying out the risk management process that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:

facilitating risk assessment exercises for others

providing clear and timely instruction and supervision by the individual of those involved in carrying out the risk management

providing opportunity for people to undertake hazard identification and implement action plans

identifying hazards which may have acute and long-term effects on people

applying hazard analysis to identify and score the risk

selecting and implementing the appropriate treatments using the hierarchy of controls, and reduce unacceptable risk

auditing outcomes and processes for compliance and effectiveness, and recommend changes to improve effectiveness

preparing written risk assessment documentation

The candidate must demonstrate knowledge of apply the risk management process through:

hazards and assessing risks

acceptability of risks

identifying existing risk controls

determining adequacy of current risk controls

new potential risk controls