ASSESSMENT INSTRUCTIONS FOR THE STUDENT
ASSESSMENT BY COMPLETING QUESTIONS WITHIN THIS BOOK:
This booklet contains assessment questions and tasks which will allow you to provide evidence toward gaining this qualification. If you have been able to demonstrate competence through recognition for any unit(s) then your Trainer will advise of which questions for that particular unit(s) that you will not need to complete.
ASSESSMENT STRATEGY
Assessment Tasks to establish competency in this unit may include: self-assessment exercises; workplace scenarios; workplace tasks; questioning (explanation); questioning (analysis); questioning (description); case study; self-performance analysis; self-reflection/observation with checklists; reports; diary/journal; research projects; scenarios -problem solving ; plans; and multiple choice.
DEMONSTRATING COMPETENCY
To demonstrate competence you must complete all assessment tasks. Each task is linked to specific competency element/s or critical aspects of assessment.
CUSTOMISING ASSESSMENTS
Students may negotiate to customise assessment tasks to meet their individual needs in relation to workplace setting, interests, learning style, literacy or cultural background. The original integrity of the assessment must be maintained.
ASSESSMENT TASK LENGTH
Where space/lines have been provided for addressing an assessment task, the Student should be guided as to the length of their answer by the space provided. If more space/lines are required, the Student should attach a separate page containing their name and with the assessment task number clearly indicated. Where no space/lines have been provided, the Student should complete the answer on a separate page and attach it to the assessment containing their name and with the assessment task number clearly indicated.
ASSESSMENT
When you have completed all assessment tasks, complete the information at the front of the booklet and submit it to your trainer. Your trainer will provide you with feedback and you will be assessed as Competent or Not Yet Competent in this unit. If you are assessed as Not Yet Competent you will have an opportunity to be reassessed.
WORKPLACE OBSERVATION ASSESSMENT
As part of your assessment for this course, there may be a need for your Trainer to come and observe you demonstrating skills in the workplace that reflect elements and criteria of this course. If this is the case, your Trainer will advise you of this requirement and organise a time with you to conduct this observation.
THIRD PARTY SUPERVISOR SKILLS OBSERVATION
As part of your assessment for this course, there may be a need for your supervisor to document their observations of the skills that you have demonstrated in the workplace relevant to your qualification. If this is the case, there will be a copy of this document contained in your Student Assessment Booklet. It is your responsibility during work placement or at other times at your workplace to ensure that your supervisor completes the Third Party Supervisor Skills Observation checklist prior to submission to your Trainer.
SUBMISSION OF ASSESSMENT
How to lodge assessments:
Presentation of any written assessments is important. Remember you are trying to convince your assessor of your competency. Your written assessment or recognition portfolio should:
• Be typed or handwritten (legibly)
• Have an assessment cover page
• Have a contents list (if appropriate)
• Have headings (if appropriate
• Give clear references (if external information sources are used)
Assessments should be provided stapled or clipped – not in a plastic sleeve or presentation folder (even though these look professional) as we cannot undertake to return all your assessments – all assessment items are retained for audit purposes as part of our quality assurance commitment. Appropriate feedback on your work will be provided back to you.
For the above reasons it is also important to keep a copy of your assessments in case they are lost in transit. All assessments tasks arriving with a completed email address on the cover sheet will be acknowledged on the day of receipt.
WRITTEN WORK
Assessment projects are common assessment items used to measure a participants understanding. A good project should:
• Have your name on each part of the project
• Use a numbering system for referencing to attachments (and clearly label attachments)
• Focus on the set tasks
• Show that you have researched the topic thoroughly
• Cover the topic in a logical and structured manner
• Be written in simple, clear language
• Be well presented with correct grammar, punctuation and referencing (if appropriate)
PLAGIARISM
Plagiarism is a form of cheating. It is taking and using someone else’s thoughts, writings or inventions and representing them as your own. Plagiarism is a serious act and may result in a participant’s exclusion from a module or a course. When you have any doubts about including the work of other authors in your assessments, please consult with your facilitator. The following list outlines some of the activities for which a participant can be accused of plagiarism:
• Presenting any work by another individual as one’s own unintentionally
• Handing in assessments markedly similar to or copied from another Student
• Presenting the work of another individual or group as their own work.
• Handing up assessments without the adequate acknowledgement of sources used, including assessments taken totally or in part from the internet.
WHAT ABOUT COPYRIGHT?
You must be careful when copying the work of others. The owner of the material may take legal action against you if the owner’s copyright has been infringed.
You are allowed to do a certain amount of copying for research or study purposes. Generally, 10% or one chapter of a book is acceptable, where the participant is studying with or employed by an educational institution.

ASSESSMENT COVER SHEET
Assessment Cover Sheet
Student’s name: USI
Assessors Name: Date Submitted:
The following questions are to be completed by the assessor:
Is the Student ready for assessment? Yes No
Has the assessment process been explained? Yes No
Does the Student understand which evidence is to be collected and how? Yes No
Have the Student’s rights and the appeal system been fully explained? Yes No
Have you discussed any special needs to be considered during assessment? Yes No
The following documents must be completed and attached:
? Written Activity and Checklist
The student will complete the written activity provided to them by the assessor. The Written Activity Checklist will be completed by the assessor. S NYS
? Observation / Demonstration and Checklist
The student will demonstrate a range of skills and the assessor will observe where appropriate to the unit. The Observation Checklist will be completed by the assessor. S NYS
? Questions and Questions Checklist
The student will answer a range of questions either verbally or written. The Questioning Checklist will be completed by the assessor. S NYS
Student Declaration
I agree to undertake assessment in the knowledge that information gathered will only be used for professional development purposes and can only be accessed by the RTO
I declare that:
? The material I have submitted is my own work;
? I have kept a copy of all relevant notes and reference material that I used in the production of my work;
? I have given references for all sources of information that are not my own, including the words, ideas and images of others.
Student Signature: Date:
Result and Feedback
Feedback to Student:
Overall Outcome ?Competent ?Not yet Competent
Assessor Signature: Date:
ASSESSMENT CONDITIONS
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk - risk management field of work and include access to:
• relevant legislation, regulations, standards and codes
• relevant workplace documentation and resources
• case studies and, where possible, real situations
• interaction with others.
• Assessors must satisfy NVR/AQTF Assessor requirements

QUESTIONING
Briefly answer the questions below in the spaces provided.
MULTIPLE CHOICE Circle the correct answer.
TRUE OR FALSE Circle the correct answer.
1. Explain what is meant by risk management

2. Risks can be identified in many different contexts depending on the work situation, local industry and regions. List three (3) contexts where risks may need to be managed in the workplace:


3. Complete the following sentence.
Your risk management treatments will need to be _________________
and __________________.
4. Give three (3) risk identification tools:

5. Explain the difference between an internal risk and an external risk:


6. Give two (2) risks that Gail could potentially plan for:

7. Identified risks do not have to be documented, just noticing them is enough.


8. Explain the definition of a stakeholder, and who that may include.

9. Explain how you would consult relevant stakeholders.


10. List five (5) relevant stakeholders who may need to be consulted when analysing and documenting risks:

11. Once risks have been identified they need to be categorised to determine their level of risk. List the five (5) levels that you can rate the likelihood of a risk eventuating:


12. Explain why it is important to prioritise and determine the level of risk.

13. True or false. Circle the correct answer.
An overall risk rating is determined by multiplying impact by likelihood.
14. Give five (5) main treatment strategies in how to approach and handle risks.


15. Complete the following sentence.
Controls are the __________________, __________________ and
__________________ used to treat, or manage, risks.
16. List some of the strengths and weaknesses of choosing your control measure types.


17. Explain the risk audit method when monitoring risks.

18. Multiple choice; Circle the correct answer.
Explain what you would do if you identify a risk that could have an impact beyond your own work responsibilities and area of operation?
a) Continue working as you normally would
b) Call the emergency service
c) Refer the risks to others as per policies and procedures
d) Try to reduce the risk yourself

19. Explain how you would ensure that you are detecting as many risks as possible.


20. Give three (3) examples of the smaller organisation golden rules.

21. True or false? Circle the correct answer.
You mustn’t ensure all relevant areas of your organisation or business are aware of the risks that may impact them.
22. Complete the following sentence.
A risk treatment __________________ is a document defining how risk __________________ and
__________________ are to be implemented to treat particular risks or risk events.

23. Multiple choice; Circle the correct answer.
At the completion of your pro¬ject or business activity you will want to see all of your risks closed in the risk register. Each risk must meet one of the following criteria to be closed:
a) The risk was successfully prevented from occurring
b) The risk did not occur
c) The risk occurred and was treated
d) All of the above
24. Explain why it is important to monitor and review your risk treatments for the lifecycle of the project, and once they are complete.


25. Explain a simple yet effective way of how you would review risk treatments.

26. True or false? Circle the correct answer.
The person given responsibility for the risk treatment is also usually responsible for the treatment monitoring and review. This person should not be responsible for communicating the results of the review to the concerned stakeholders and other areas that could benefit from this knowledge.
True or False

27. Explain two (2) steps to provide assistance to auditing risks in your own area of operation, and explain how you would achieve this.

28. Give three (3) primary purposes of monitoring and review.


29. Give five (5) questions you could ask yourself to complete the risk management review.


30. Describe how you would comprehend documents and texts of varying complexity to extract and analyse relevant information.


31. Explain how you would use specific, industry related terminology and logical organisational structure in the workplace documents that identify and analyse risk and report management process outcomes.

32. How would you participate effectively in interactions with stakeholders by using questioning and listening to elicit opinions and clarify understanding?

33. Explain how you would use numerical tools to assess risk and use numerical data to review plans


34.
a) Why is it necessary to comply with organisational and legislative requirements?

b) Describe how would you take responsibility for identification and management of risk within your own work context and refer matters to others as required?

35. How would you select appropriate communication protocols and conventions when conferring with others to establish risk management requirements?

PORTFOLIO COVER SHEET
Student’s Name:
BSBRSK401 - Identify risk and apply risk management processes
I declare this evidence to have been produced by the undersigned:
Student’s Signature: Date submitted:
Portfolio evidence presented:
Outcomes from learning programs (including self-learning and online learning)
Assessment feedback (from a trainer or assessor)
Observation checklists (from a workplace supervisor or assessor)
Written assessments or references (including workplace supervisors, community leaders)
Third party reports
Work journals
Finished products
Product description or specifications (supporting the product samples included)
Other evidence (list each piece)
All Students:
• Completion of self-paced learning materials and trainer feedback form a part of the assessments for this unit.
• Completed observation checklists from a workbook supervisor or assessor form a part of your assessment for this unit and must be included in your portfolio.
• Product descriptions or specifications for all products used during are required as a part of assessment for this unit and must be included in your portfolio.
Assessor to complete: PLEASE CIRCLE ANSWER
Portfolio evidence is: VALID SUFFICIENT AUTHENTIC CURRENT
Assessor Signature Date:

PORTFOLIO INSTRUCTIONS
Student’s Name:
Unique Student Identifier (USI):
Unit: BSBRSK401 - Identify risk and apply risk management processes
Assessor’s Name:
Training Package:
Workplace/simulated workplace:
Date of assessment:
Portfolio Instructions:
ALL STUDENTS:
For you to be deemed competent in this unit of competency the following activity needs to be satisfactorily completed and supporting evidence supplied at least once.
The case study below can be used to augment your delivery of the evidence required. Ensure that your responses to the delivery of the evidence are in agreement with the performance criteria for this unit of competency.
Case Study:
You are to assume the role of a loyal and long-term sales supervisor who manages a fun and energetic sales team of six at a successful family owned stationery and office requirements business. You have a wealth of experience and knowledge in the industry. It is your role to ensure the sales team are actively and successfully seeking new business while maintaining their existing clients and looking for ways on how to improve the services. Most of the customer contact is made over the phone, with one sales representative on the road who visit’s clients.
The sales team reports back to you with this month’s customer feedback. It is obvious there is an enormous growth in mistakes. A number of clients have complained about picking errors or not receiving their deliveries at all.
Brian, the Director of the family business, is apprehensive that clients will abandon the company and sales will decline. Both Brian and you know you have to take measures to ameliorate their services.
You are required to record the processes and steps he/she would take to carry out this task by working through the performance criteria listed for this unit.
You are to supply at least one example of evidence of the ability to:
• relevant legislation, regulations, standards and codes
• relevant workplace documentation and resources
• case studies and, where possible, real situations
• interaction with others
Below are the criteria required as evidence for your portfolio, make sure you clearly read and define each point and include all relevant documentation in your portfolio.
Portfolio contents must be organised in a logical sequence.
The information you include in this portfolio should be typed and presented in a neat and tidy manner.
Identify risks
• By identifying the context for risk management
• By identifying risks using tools, ensuring all reasonable steps have been taken to identify all risks
• By documenting identified risks in accordance with relevant policies, procedures, legislation and standards
Analyse and evaluate risks
• By analysing and documenting risks in consultation with relevant stakeholders
• By undertaking risk categorisation and determine level of risk
• By documenting analysis processes and outcomes
Treat risks
• By determining appropriate control measures for risks and assessing for strengths and weaknesses
• By identifying control measures for all risks
• By refering 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
• By choosing and implementing control measures for own area of operation and/or responsibilities
• By preparing and implementing treatment plans
Monitor and review effectiveness of risk treatment/s
• By regularly reviewing implemented treatment/s against measures of success
• By using review results to improve the treatment of risks
• By providing assistance to auditing risk in own area of operation
• By monitoring and reviewing management of risk in own area of operation

Resources required for Portfolio
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk - risk management field of work and include access to:
• relevant legislation, regulations, standards and codes
• relevant workplace documentation and resources
• case studies and, where possible, real situations
• interaction with others.
Assessors must satisfy NVR/AQTF assessor requirements.

DIRECT OBSERVATION INSTRUCTIONS
Student’s Name:
Unique Student Identifier (USI):
Unit: BSBRSK401 - Identify risk and apply risk management processes
Assessor’s Name:
Training Package:
Workplace/simulated workplace:
Date of assessment:
ALL STUDENTS:
The Student is to demonstrate in the following role play at least one example of evidence of the ability to:
• identify risks
• consult with relevant stakeholders to analyse and evaluate risks
• identify and evaluate control measures
• develop and implement treatment plans for own area or responsibility
• refer risks that are beyond own area of responsibility to others
• maintain risk management documentation.
Role Play:
You are to assume the role of an experienced customer service manager who controls a dynamic team of 18 staff in a profitable corporation. It is your role to support and manage the team to carry out eminent service.
The team reports back to you immediately with any negative consumer criticism. It is obvious there is an enormous growth in mistakes. A number of clients have complained about receiving their deliveries much later than advised and items missing from their orders.
The Head of the corporation is fearful that it may impact ongoing sales. You know you have to take measures to ameliorate their service to ensure the client is at ease.
You are to conduct one role play to exhibit that you can identity and evaluate risks. The role play is to be a meeting with stakeholders to rectify the cause of the issues and come up with a solution to prevent ongoing risks. A colleague or class mate can play the role of this person and must be briefed on the situation so he/she can act the role appropriately.
You will be required to check your progress with the trainer/ assessor at the completion of each part of the assessment before commencing the next.
The trainer/ assessor will inform you of any significant errors or misjudgements throughout the procedure and give valuable feedback to you for the rectification of the problem.
If the result of the assessment is that you are Not Yet Satisfactory, you may be required to retake the assessment.
Identify risks
• By identifying the context for risk management
• By identifying risks using tools, ensuring all reasonable steps have been taken to identify all risks
• By documenting identified risks in accordance with relevant policies, procedures, legislation and standards
Analyse and evaluate risks
• By analysing and documenting risks in consultation with relevant stakeholders
• By undertaking risk categorisation and determine level of risk
• By documenting analysis processes and outcomes
Treat risks
• By determining appropriate control measures for risks and assessing for strengths and weaknesses
• By identifying control measures for all risks
• By referring 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
• By choosing and implementing control measures for own area of operation and/or responsibilities
• By preparing and implementing treatment plans
Monitor and review effectiveness of risk treatment/s
• By regularly reviewing implemented treatment/s against measures of success
• By using review results to improve the treatment of risks
• By providing assistance to auditing risk in own area of operation
• By monitoring and reviewing management of risk in own area of operation
Resources required for Direct Observation
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk - risk management field of work and include access to:
• relevant legislation, regulations, standards and codes
• relevant workplace documentation and resources
• case studies and, where possible, real situations
• interaction with others.
Assessors must satisfy NVR/AQTF assessor requirements.
THIRD PARTY OBSERVATION - CLIENT
Student’s Name:
Unique Student Identifier (USI):
Name of Third Party:
Unit: BSBRSK401 - Identify risk and apply risk management processes
Assessor’s Name:
Assessment Date:
Third Party Instructions: Please complete this form to give feedback about the performance of the Student during the service that was provided to you today.
Information provided on this form is used for evaluation and assessment to determine the competency of the Student.
This information is confidential and is not released to any external parties without your written consent.
Please tick ? Yes or No for the questions below: Yes No
relevant legislation, regulations, standards and codes
relevant workplace documentation and resources
case studies and, where possible, real situations
interaction with others
Comments:

STUDENT FEEDBACK FORM
Student’s Name:
Unique Student Identifier (USI):
Unit: BSBRSK401 - Identify risk and apply risk management processes
Assessor’s Name:
Assessment Date:
Please provide us some feedback on your assessment process.
Information provided on this form is used for evaluation of our assessment systems and processes.
This information is confidential and is not released to any external parties without your written consent.
Please tick ? Yes or No for the questions below: Yes No
Did you receive information about the assessment prior to the date?
Were the instructions to the assessment clear and easy to understand?
Did you understand the purpose of the assessment?
Were you advised of the performance criteria?
Were you advised of the process of the assessment?
Were there any surprises in your assessment?
Did you feel the assessment was fair?
Was your assessor professional?
Did you feel the assessment was accurate?
Were you comfortable with the outcome?
Did you receive feedback about your assessment?
If you answered no to any of the above questions are you aware of the appeals process?
Comments: