Unit of competency details

RIIRIS301A - Apply risk management processes (Release 1)


ReleaseStatusRelease date
1 1 (this release)Current 22/Jun/2011

Usage recommendation:
Is superseded by and equivalent to RIIRIS301B - Apply risk management processes 20/Mar/2012

Training packages that include this unit

Qualifications that include this unit

CodeTitleSort Table listing Qualifications that include this unit by the Title columnRelease
RII41109 - Certificate IV in Drilling Oil/Gas (On shore)Certificate IV in Drilling Oil/Gas (On shore) 
RII40709 - Certificate IV in Civil Construction SupervisionCertificate IV in Civil Construction Supervision 
RII40609 - Certificate IV in Civil Construction OperationsCertificate IV in Civil Construction Operations 
RII40509 - Certificate IV in Resource ProcessingCertificate IV in Resource Processing 
RII40311 - Certificate IV in Metalliferous Mining Operations (Underground)Certificate IV in Metalliferous Mining Operations (Underground) 
RII40109 - Certificate IV in Surface Extraction OperationsCertificate IV in Surface Extraction Operations 
RII31909 - Certificate III in Drilling Oil/Gas (Off shore)Certificate III in Drilling Oil/Gas (Off shore) 
RII31809 - Certificate III in Drilling OperationsCertificate III in Drilling Operations 
RII30709 - Certificate III in Mine Emergency Response and RescueCertificate III in Mine Emergency Response and Rescue 
RII30611 - Certificate III in Small Mining OperationsCertificate III in Small Mining Operations 
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SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 061301 Occupational Health And Safety  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 061301 Occupational Health And Safety  02/Sep/2009 
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Modification History

Not applicable.

Unit Descriptor

This unit covers the application of risk management processes in resources and infrastructure industries. It includes identifying hazards; assessing and identifying unacceptable risk; identifying and recommending treatments; contributing to the implementation of treatments; and reviewing safety system documentation.

Application of the Unit

This unit is appropriate for those working in operational roles, at worksites within:

  • Civil construction
  • Coal mining
  • Drilling
  • Extractive industries
  • Metalliferous mining

Licensing/Regulatory Information

Refer to Unit Descriptor.


Not applicable.

Employability Skills Information

This unit contains employability skills.

Elements and Performance Criteria Pre-Content

Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide.

Elements and Performance Criteria



1. Identify hazards

1.1. Access, interpret and apply compliance documentation  relevant to the application of risk management processes

1.2. Inspect and analyze work area conditions regularly and systematically to identify potential hazards

1.3. Access and analyze relevant worksite risk management systems information  to eliminate situations covered by existing and adequate procedures

1.4. Recognise the type and scope of unresolved hazards  and their likely impact

2. Assess and identify unacceptable risk

2.1. Consider and determine the likelihood  of the event happening

2.2. Evaluate and determine the consequence  if the event should occur

2.3. Consider and determine the risk level (likelihood and consequence combined)

2.4. Identify or source the criteria for determining the acceptability /unacceptability of the risk  from the appropriate party

2.5. Evaluate the risk against criteria to identify if it warrants 'unacceptable risk' status and the refer the findings to the appropriate person

3. Identify and recommend treatments

3.1. Identify the range of treatments  which may eliminate or minimise the risk

3.2. Identify and consider the possible options for dealing with the risk

3.3. Identify feasible options by preliminary analysis and consideration of possible options

3.4. Conduct a detailed analysis of feasible options including the identification of resource requirements

3.5. Select the most appropriate treatment for dealing with the situation

4. Contribute to the implementation of treatments

4.1. Plan selected treatment in detail, including the identification of resource  requirements

4.2. Gain authorisation for selected treatment in accordance with site requirements

4.3. Review, prepare, test and document site working instructions (or equivalent) for the job

4.4. Communicate information on the treatment and its implementation to the relevant people

5. Review safety system documentation

5.1. Monitor and review site working instructions (or equivalent) for compliance with compliance documentation and site requirements

5.2. Action amendments to the site working instructions (or equivalent) or refer the matter to the appropriate party for follow up

Required Skills and Knowledge

This section describes the skills and knowledge required for this unit.

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 for the safe, effective and efficient application of risk management processes:

  • apply legislative, organisation and site requirements and procedures
  • research, analyse and apply relevant operational information
  • demonstrate and apply common industry terminology
  • interpret work procedures and processes
  • use effective communication skills, including questioning and active listening skills with supervisors and other employees
  • write reports
  • apply planning and organising skills to the risk management processes
  • demonstrate teamwork to involve and engage the employers/supervisors in the risk management processes
  • apply problem solving skills to technical resources and infrastructure issues

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 for the safe, effective and efficient application of risk management process:

  • OHS legislation and regulations
  • appropriate resources and infrastructure context and language
  • topics or subject areas which are target for assessment and treatment
  • site risk management systems and their application
  • conventions and requirements for written communications including report writing

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 for applying risk management processes
  • implementation of requirements, procedures and techniques for the safe, effective and efficient completion of risk management processes
  • working with others to undertake and complete the application of risk management processes that meets all of the required outcomes
  • consistent timely completion of risk management processes that safely, effectively and efficiently meets the required outcomes

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 the work environment. Selection and use of resources for particular worksites may differ due to 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 requirement, procedures and techniques for the safe, effective and efficient achievement of required outcomes
  • consistently achieving the required outcomes
  • first hand testimonial evidence of the candidate's:
  • working with others to undertake and complete the application of risk management processes

Guidance information for assessment 

Consult the SkillsDMC User Guide for further information on assessment including access and equity issues.

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 Management  is defined as:

  • the culture, processes and structures that are directed towards the effective management of potential opportunities and adverse effects

Risk management systems information  may include those focussed on:

  • personal safety (e.g. personal protective equipment, medical standards, drug and alcohol, stress management and evacuation)
  • equipment and machinery isolation
  • protection and guarding
  • hazard identification and monitoring
  • chemical safety
  • fire safety
  • other potential emergency related circumstances
  • uncontrolled energy
  • change

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

Hazard  is defined as:

  • a source of potential harm or a situation with a potential to cause loss

Hazards  may involve:

  • equipment
  • methods/plans
  • people
  • the work environment
  • uncontrolled energy
  • changeover
  • nearby activities
  • different conditions

Likelihood  is defined as:

  • a qualitative description of probability and frequency

Probability  is defined as:

  • the measure of the chance of occurrence expressed as a number between 0 and 1

Consequence  is defined as:

  • The outcome of an event or situation expressed qualitatively or quantitatively, being a loss, injury, disadvantage or gain

Criteria for the acceptability / unacceptability of the risk  must be determined by:

  • the organisation's internal policy, goals and/or objectives in reference to relevant legislation

Treatments  may include option type in sequence such as:

  • eliminating the hazard
  • substitution
  • engineering controls
  • administrative controls (procedures, etc)
  • PPE

Resources  may include:

  • people
  • finance
  • equipment
  • environment
  • buildings/facilities
  • technology
  • information

Site working instructions  may include:

  • applicable commonwealth/state/territory legislation and code of practice relating to the industry, dangerous and hazardous goods, environmental protection and safety and health
  • worksite safety management systems
  • manufacturer's documentation and handbooks
  • workplace operating procedures and policies
  • materials safety data sheet
  • emergency procedures
  • safety alert

Communications  may include:

  • face to face
  • in writing
  • by telephone or by other electronic means
  • formal
  • informal

Unit Sector(s)

Risk Management

Competency field

Refer to Unit Sector(s).

Co-requisite units

Not applicable.

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