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Evidence Guide: RIIRIS601D - Establish and maintain the risk management system

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

 

RIIRIS601D - Establish and maintain the risk management system

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

Plan and prepare to establish the framework for the risk management system

  1. Access, interpret and apply risk management documentation, and ensure the work activity is compliant
  2. Develop the policy and objectives that express the organisation’s commitment to risk management
  3. Establish and implement the structure and framework
  4. Define, allocate and document responsibilities for risk management in job descriptions and duty statements
Access, interpret and apply risk management documentation, and ensure the work activity is compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop the policy and objectives that express the organisation’s commitment to risk management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and implement the structure and framework

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Define, allocate and document responsibilities for risk management in job descriptions and duty statements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish processes to support the risk management system

  1. Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review
  2. Provide or arrange appropriate development and/or training for personnel
  3. Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement
  4. Provide information on known and intended process changes and enhancements to responsible personnel
  5. Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel
  6. Obtain and provide expert advice to responsible personnel
Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide or arrange appropriate development and/or training for personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information on known and intended process changes and enhancements to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain and provide expert advice to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and facilitate the implementation of the risk management system

  1. Plan, schedule and document the systems coverage
  2. Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied
  3. Provide support and encouragement to those responsible for the system activities
  4. Review and update the system work plan when changing circumstances are anticipated or occur
Plan, schedule and document the systems coverage

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide support and encouragement to those responsible for the system activities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and update the system work plan when changing circumstances are anticipated or occur

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Audit the management processes

  1. Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness
  2. Respond to changed requirements disclosed during audits in a systematic and timely manner
  3. Complete and retain risk management documentation including the reasons for and changes made to the system
Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete and retain risk management documentation including the reasons for and changes made to the system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor completion of records and reports

  1. Ensure all risk management documentation is produced and processed
  2. Ensure all risk management documentation is maintained
Ensure all risk management documentation is produced and processed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure all risk management documentation is maintained

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and prepare to establish the framework for the risk management system

  1. Access, interpret and apply risk management documentation, and ensure the work activity is compliant
  2. Develop the policy and objectives that express the organisation’s commitment to risk management
  3. Establish and implement the structure and framework
  4. Define, allocate and document responsibilities for risk management in job descriptions and duty statements
Access, interpret and apply risk management documentation, and ensure the work activity is compliant

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop the policy and objectives that express the organisation’s commitment to risk management

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish and implement the structure and framework

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Define, allocate and document responsibilities for risk management in job descriptions and duty statements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish processes to support the risk management system

  1. Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review
  2. Provide or arrange appropriate development and/or training for personnel
  3. Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement
  4. Provide information on known and intended process changes and enhancements to responsible personnel
  5. Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel
  6. Obtain and provide expert advice to responsible personnel
Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide or arrange appropriate development and/or training for personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide information on known and intended process changes and enhancements to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Obtain and provide expert advice to responsible personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan and facilitate the implementation of the risk management system

  1. Plan, schedule and document the systems coverage
  2. Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied
  3. Provide support and encouragement to those responsible for the system activities
  4. Review and update the system work plan when changing circumstances are anticipated or occur
Plan, schedule and document the systems coverage

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Provide support and encouragement to those responsible for the system activities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and update the system work plan when changing circumstances are anticipated or occur

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Audit the management processes

  1. Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness
  2. Respond to changed requirements disclosed during audits in a systematic and timely manner
  3. Complete and retain risk management documentation including the reasons for and changes made to the system
Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete and retain risk management documentation including the reasons for and changes made to the system

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor completion of records and reports

  1. Ensure all risk management documentation is produced and processed
  2. Ensure all risk management documentation is maintained
Ensure all risk management documentation is produced and processed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure all risk management documentation is maintained

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

1. Plan and prepare to establish the framework for the risk management system

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

1.2 Develop the policy and objectives that express the organisation’s commitment to risk management

1.3 Establish and implement the structure and framework

1.4 Define, allocate and document responsibilities for risk management in job descriptions and duty statements

2. Establish processes to support the risk management system

2.1 Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review

2.2 Provide or arrange appropriate development and/or training for personnel

2.3 Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement

2.4 Provide information on known and intended process changes and enhancements to responsible personnel

2.5 Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel

2.6 Obtain and provide expert advice to responsible personnel

3. Plan and facilitate the implementation of the risk management system

3.1 Plan, schedule and document the systems coverage

3.2 Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied

3.3 Provide support and encouragement to those responsible for the system activities

3.4 Review and update the system work plan when changing circumstances are anticipated or occur

4. Audit the management processes

4.1 Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness

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

4.3 Complete and retain risk management documentation including the reasons for and changes made to the system

5. Monitor completion of records and reports

5.1 Ensure all risk management documentation is produced and processed

5.2 Ensure all risk management documentation is maintained

Required Skills and Knowledge

1. Plan and prepare to establish the framework for the risk management system

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

1.2 Develop the policy and objectives that express the organisation’s commitment to risk management

1.3 Establish and implement the structure and framework

1.4 Define, allocate and document responsibilities for risk management in job descriptions and duty statements

2. Establish processes to support the risk management system

2.1 Develop, document and communicate procedures covering risk identification, assessment, treatment, communication, consultation, monitoring and review

2.2 Provide or arrange appropriate development and/or training for personnel

2.3 Identify, obtain and maintain information sources to support the system, and make them available to personnel to implement

2.4 Provide information on known and intended process changes and enhancements to responsible personnel

2.5 Determine and make available organisation’s criteria for assessing the acceptability of risks to responsible personnel

2.6 Obtain and provide expert advice to responsible personnel

3. Plan and facilitate the implementation of the risk management system

3.1 Plan, schedule and document the systems coverage

3.2 Monitor activities and achievement targets, and provide and focus resources to ensure the work plan is satisfied

3.3 Provide support and encouragement to those responsible for the system activities

3.4 Review and update the system work plan when changing circumstances are anticipated or occur

4. Audit the management processes

4.1 Formally audit risk management processes, including operating procedures and implementation processes, to ensure compliance and effectiveness

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

4.3 Complete and retain risk management documentation including the reasons for and changes made to the system

5. Monitor completion of records and reports

5.1 Ensure all risk management documentation is produced and processed

5.2 Ensure all risk management documentation is maintained