Cert IV OHS - Course
Unit BSBRSK401A
Identify risk and
apply risk
management processes
(information sourced
from NTIS website
http://www.ntis.gov.au/)
Description
This unit describes the
performance outcomes, skills
and knowledge required to
identify risks and to apply
established risk management
processes to a subset of an
organisation or project's
operations that are within
the person's own work
responsibilities and area of
operation. No licensing,
legislative, regulatory or
certification requirements
apply to this unit at the
time of endorsement.
Employability Skills
This unit contains
employability skills.
Application Of Unit
This unit applies to
individuals with a broad
knowledge of risk analysis
or project management who
contribute well developed
skills in creating solutions
to unpredictable problems
through analysis and
evaluation of information
from a variety of sources.
They may have responsibility
to provide guidance or to
delegate aspects of these
tasks to others.
In this unit, risks
applicable within own work
responsibilities and area of
operation, may include
projects being undertaken
individually or by a team,
or operations within a
section of the organisation.
Unit Sector
No sector assigned
Performance criteria
|
Element |
|
Performance
criteria |
| 1. |
Identify risks |
|
|
1.1 |
Identify the
context
for risk
management
|
|
1.2 |
Identify
risks
using
tools,
ensuring all
reasonable
steps have
been taken
to identify
all risks
|
|
1.3 |
Document
identified
risks in
accordance
with
relevant
policies,
procedures
and
legislation
|
|
| 2. |
Analyse and
evaluate risks |
|
|
2.1 |
Analyse and
document
risks in
consultation
with
relevant
stakeholders
|
|
2.2 |
Undertake
risk
categorisation
and
determine
level of
risk
|
|
2.3 |
Document
analysis
processes
and outcomes
|
|
| 3. |
Treat risks |
|
|
3.1 |
Determine
appropriate
control
measures
for risks
and assess
for
strengths
and
weaknesses
|
|
3.2 |
Identify
control
measures for
all risks
|
|
3.3 |
Refer risks
relevant to
whole of
organisation
or having an
impact
beyond own
work
responsibilities
and area of
operation to
others as
per
established
policies and
procedures
|
|
3.4 |
Choose and
implement
control
measures for
own area of
operation
and/or
responsibilities
|
|
3.5 |
Prepare and
implement
treatment
plans
|
|
| 4. |
Monitor and
review effectiveness
of risk treatment/s |
|
|
4.1 |
Regularly
review
implemented
treatment/s
against
measures
of success
|
|
4.2 |
Use review
results to
improve the
treatment of
risks
|
|
4.3 |
Provide
assistance
to auditing
risk in own
area of
operation
|
|
4.4 |
Monitor and
review
management
of risk in
own area of
operation
|
|
Skills and Knowledge
Required skills
-
literacy skills
sufficient to read and
understand a variety of
texts; and to write,
edit and proofread
documents to ensure
clarity of meaning,
accuracy and consistency
of information
-
research and data
collection skills to
monitor and evaluate
risks
-
problem-solving
skills to appropriately
address identified
risks.
Required knowledge
-
Australian and
international standards
for risk management
-
key provisions of
relevant legislation
from all levels of
government that may
affect aspects of
business operations,
such as:
-
organisational
policies and procedures
relating to risk
management processes and
strategies
-
auditing requirements
relating to risk
management.
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.
|
|
|
|
|
Context
may include:
|
|
-
any related
projects or
organisations
-
any
resources,
including
physical assets,
which are vital
to operations
-
key
operational
elements and
service of the
organisation
-
organisation
or project, how
it is organised
and its
capabilities
-
own role and
responsibilities
in relation to
overall project
or organisation
design
|
|
Risks
may include:
|
|
-
commercial
and legal
relationships
-
economic
circumstances
and scenarios
-
human
behaviour
-
individual
activities
-
management
activities and
controls
-
natural
events
-
political
circumstances
-
positive risk
-
technology -
technological
issues
|
|
Tools
may include:
|
|
-
documentation
to assist in
process of
identifying
risk, and
assessing impact
and likelihood
of occurrence
-
standard
instruments
developed for
the organisation
and
contextualised
for sections of
the workplace's
operations, such
as checklists
and testing
procedures
-
tools to
prioritise
risks, including
where relevant,
numerical
scoring systems
for risks
|
|
Stakeholders
may include:
|
|
-
contractors
-
employees
-
financial
managers
-
insurance
agents
-
managers
-
public
-
service
providers
-
suppliers
-
unions
-
volunteers
|
|
Risk
categorisation
may include:
|
|
-
likelihood of
risks:
-
almost
certain
-
likely
-
possible
-
unlikely
-
rare
-
consequences
of risks:
-
insignificant
-
minor
-
moderate
-
major
-
catastrophic
-
current
control
measures
|
|
Level of
risk may
include:
|
|
-
low, treated
with routine
procedures
-
moderate,
with specific
responsibility
allocated for
the risk, and
monitoring and
response
procedures
implemented
-
high,
requiring
action, as it
has potential to
be damaging to
the organisation
or project
-
extreme,
requiring
immediate
action, as it
has potential to
be devastating
to the
organisation or
project
|
|
Control
measures may
include:
|
|
-
hierarchy of
controls:
-
reduction
in
likelihood
of risks
-
reduction
of
consequences
of risks
-
retention
of risks
-
risk
aversion
-
transfer
of
responsibility
of risks
|
|
Measures of
success may
include:
|
|
-
costs
-
reductions in
impact
-
reductions in
likelihood
-
reductions in
occurrence
|
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 |
|
Evidence of the
following is
essential:
-
identification,
analysis and
evaluation of
risks
-
demonstrated
understanding of
personal role in
relation to
wider
organisational
or project
context
-
demonstrated
understanding of
risk management
processes and
procedures.
|
| Context of
and specific
resources for
assessment |
|
Assessment must
ensure:
|
| Method of
assessment |
|
A range of
assessment methods
should be used to
assess practical
skills and
knowledge. The
following examples
are appropriate for
this unit:
-
direct
questioning
combined with
review of
portfolios of
evidence and
third party
workplace
reports of
on-the-job
performance by
the candidate
-
review of
documentation
outlining risk
analysis
processes and
outcomes
-
analysis of
responses to
case studies and
scenarios
-
oral or
written
questioning to
assess knowledge
of Australian
and
international
standards for
risk management
-
review of
implementation
of treatment
plans.
|
| Guidance
information for
assessment |
|
Holistic
assessment with
other units relevant
to the industry
sector, workplace
and job role is
recommended, for
example:
|
|
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