SkillsDMC New Template with guidance - Assessor … · Web viewNote: if using a different matrix to the one provided in Appendix 1, you may need to update the risk ratings in the

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SkillsDMC (Resources and Infrastructure Industry Skills Council Ltd)

Tower 1, Level 1, Suite 2, 475 Victoria Avenue, Chatswood, NSW 2067

Telephone: +61 (02) 9324 8600

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Email: [email protected]

Web: www.skillsdmc.com.au

Published by: SkillsDMC (Resources and Infrastructure Industry Skills Council Ltd)

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ContentsIntroduction..................................................................................................................................................... iv

Companion Volumes and Support Materials...............................................................................................iv

Assessor Guide................................................................................................................................................v

Contextualising the tools..............................................................................................................................v

Using the Assessment materials for RPL.....................................................................................................v

Steps in the RPL process............................................................................................................................vi

Overview of RPL process............................................................................................................................vi

1. Planning for Assessment............................................................................................................................vii

Set up for Practical Assessment.................................................................................................................vii

Set up for Theory Assessment...................................................................................................................vii

Preparation for Assessment.......................................................................................................................vii

Meeting with the Candidate.......................................................................................................................viii

2. Conducting the Assessment......................................................................................................................viii

Managing risk.............................................................................................................................................viii

Gathering and recording evidence during practical assessment...............................................................viii

Gathering supporting evidence....................................................................................................................ix

Workplace Health and Safety......................................................................................................................ix

3. Finalising the Assessment...........................................................................................................................x

Summary and sign-off..................................................................................................................................x

General Tips.................................................................................................................................................x

Suggested Methods of Assessment and marking guidance............................................................................1

RIIRIS201D – Conduct local risk control......................................................................................................1

Assessment Summary Cover Sheet................................................................................................................4

RIIRIS201D – Conduct local risk control......................................................................................................4

Candidate.....................................................................................................................................................4

Assessor......................................................................................................................................................4

Co-Assessor.................................................................................................................................................4

Pre-Assessment...........................................................................................................................................5

Assessment Summary.................................................................................................................................6

Re-assessment............................................................................................................................................7

2nd Re-assessment.......................................................................................................................................8

SkillsDMC Issued July 2016 Assessor Guide RIIRIS201DVersion D1.1

Page ii of xi

Assessment Method 1 – Direct Observation and Competency Conversation.................................................9

Assessment Method 1 – Direct Observation and Competency Conversation.............................................9

Assessment Method 1 – Observation and Competency Conversation......................................................10

Assessment Method 2 Theory - Questioning.............................................................................................11

Continue Assessment Method 2: Theory - Questioning............................................................................12









Assessment Method 3 Supporting Evidence - Supervisor Testimony...........................................................21

Assessment Method 3: Supporting Evidence – complete where applicable..............................................21

Assessment Method 3 – Other Supporting Evidence....................................................................................22

Assessment Method 3: Supporting Evidence – complete where applicable..............................................22

Assessment Method 4 Workplace Portfolio (Project)....................................................................................23

Assessment Method 4: Workplace Portfolio (Project)................................................................................23

Appendix 1: Risk Assessment Matrix............................................................................................................24

Additional Section............................................................................................................................................1

The Context of Assessment.............................................................................................................................1

Additional Items............................................................................................................................................2


Page iii of xi

IntroductionThis guide provides advice for an assessor on how to use the Resources and Infrastructure Industry Assessment Toolkit to manage the required assessment, or recognition of prior learning (RPL) process, for the relevant unit of competency. It provides general information on how to integrate the unit of competency performance criteria with the authentic workplace context to enable a candidate to be deemed competent for a particular stand-alone Unit of Competency, Skill Set or Qualification.

Companion Volumes and Support MaterialsSkillsDMC has developed a range of Companion Volumes to assist with implementation of the RII Resources and Infrastructure Industry Training Package. The Companion Volumes are non-endorsed components which provide implementation and assessment advice for RII Training package materials.. Development and maintenance of these Companion Volumes occurs through the SkillsDMC continuous improvement process.

Companion Volumes currently available on SkillsDMC website are:

Companion Volume Implementation Guide

provides an overview of the RII Resources and Infrastructure Industry Training Package including information about mapping, regulation and licencing, implementation, pathways advice and relevant links.

Companion Volume Foundation Skills

provides information about the core skill demands of learning, reading, writing, oral communication and numeracy in a unit of competency. It also offers advice on the development and assessment of Foundation Skills in the Resources and Infrastructure Industries and includes mapping of all Units of Competency to the Australian Core Skills Framework (ACSF).

Companion Volume Range of Conditions

contains the Range Statements for all Units of Competency. This volume has been broken up into ‘competency streams’ to simplify navigation.

The Companion Volume and Support Materials are located at www.skillsdmc.com.au


Page iv of xi

Assessor GuideThis Guide includes:

General Assessment Advice

An Introduction to the Guide and guidance on how to contextualise the tool for an assessment or use the materials for Recognition of Prior Learning (RPL) purposes.

Advice on Planning for the Assessment and Conducting and Finalising the Assessment.

Assessment Information and templates for this Unit

An outline of suggested Assessment Methods with corresponding marking information Assessment Summary Tool Practical and Theory Assessment Tools Supporting Evidence Tool

This Assessor Guide provides a framework for an assessor to manage the specific competency-based assessment for this unit. It combines the operational (workplace) context with the industry standard to provide a comprehensive assessment tool to ensure the Candidate has the opportunity to be deemed competent.

The assessor is to conduct the assessment within the boundaries of the Assessor Guide so all requirements of the unit can be met.

Contextualising the toolsBefore using the tools for any type of assessment, the documents must be read over by the assessor to ensure they are suitable for the context in which they are being used.

There is an “Additional Section” at the end of both the Assessor and Candidate Guide for contextualisation. This section provides scope for supplementary or replacement questions and the customisation of specific organisational policies, procedures or similar to be identified

Assessment tools may also be combined for multiple units, where units are combined for delivery. This involves combining the same types of tool (practical with practical, theory with theory) under headings that match the plan of delivery.

Using the Assessment materials for RPLThe assessment tools can be used for assessment after training has been delivered or for RPL purposes.

RPL is a process to recognise a person’s skills and knowledge, regardless of how they have been acquired. RPL assessments can cover part or whole units of competency. All employees interested in training should be made aware of what the RPL process is, and how RPL can be applied for, according to the organisation’s site policy.


Page v of xi

Steps in the RPL processStep 1:

Candidate applies for RPL according to site policy

Step 2:

Initial interview and collection of documents

Step 3:

Conduct a competency conversation

Step 4:

Observe performance

Overview of RPL processThe steps in the RPL process are covered in the following diagram.


Page vi of xi

1. Planning for Assessment

Set up for Practical Assessment Ensure date, time, place, Candidate, assessment instrument and any tools/equipment are arranged. Ensure the environment is adequate for verbal delivery of assessment. Clarify the timing of the assessment with the Area Supervisor or relevant person and any other work in

progress during this time. Determine contingency options if this access is interrupted. Gather relevant site standards and procedures from the appropriate authorised company personnel.

Set up for Theory Assessment Ensure date, time, place, Candidate, assessment instrument and any tools/equipment are arranged Ensure the environment is adequate for delivery of assessment, eg by computer, pen-and-paper or

orally Confirm the assessment questions have been drafted for easy conversion into a computer-based

questionnaire Check availability of support where English or computer literacy is an issue for the Candidate. Confirm the theory assessment has been drafted as a bank of assessment questions from which a

suitable set of sample questions can be chosen for any one assessment Check that when sample of assessment questions is chosen from the complete bank of items they

have been suitably selected (e.g. all areas of the job role have sufficient sample questions included; all sections of the assessment have representative questions included) Issues of question selection and coverage are decided according to site policy.

Ensure the assessment form is finalised for the Candidate to use (whether in computer, pen-and-paper or oral format).

Gather relevant site standards and procedures from the appropriate authorised company personnel.

Preparation for AssessmentItem Details ContingencyDate/Time

Location/Site

Equipment/tools

Other resources required

PPE required

Mode of communication

Special Requirements


Page vii of xi

Meeting with the Candidate Introduce yourself and verify the identity of Candidate Establish that learning has occurred and confirm the Candidate is prepared for the assessment Explain what is required of Candidate. Both Candidate and assessor must confirm Candidate’s

readiness for assessment. Discuss the process of the assessment and how a mix of questions and actions will be part of the

assessment process Advise the Candidate of performance requirements for “Satisfactory” performance, according to site

policy. Discuss your organisation’s approach to skills recognition (or RPL) and the procedure to apply for it Explain how evidence needs to be collected in a variety of ways Confirm the number of attempts to be given on any particular assessment item Indicate the Candidate’s rights in the appeals process if a conflict arises Indicate the link between the assessment and the corresponding unit of competency

2. Conducting the AssessmentSkills need to be applied in the workplace in a variety of circumstances. As such, assessors must ensure that the Candidate can competently and safely undertake the task/s being assessed in different situations and conditions. Sound assessment practice involves the assessor determining that candidates are able to demonstrate the required level of performance prescribed by the unit of competency consistently, over time, and in a range of workplace conditions/settings.

The requirement for performance to be demonstrated on more than one (1) occasion is intended

to drive the use of rigorous assessment practices. Assessment decisions based on a single observation of performance are not sufficient to make a valid or reliable determination of competency.

Managing risk Define the assessment work area and equipment to be used as part of the assessment. Check any safety requirements, such as the use of PPE, have been met. Explain the methods of communication and the signal to stop the assessment. Where the Candidate is working dangerously or without necessary care or confidence, the assessor

must direct the Candidate to cease work and terminate the assessment. Immediate feedback should be given.

Gathering and recording evidence during practical assessment Do not interrupt while the Candidate is performing a task. Ask “What if …” questions where possible to assess knowledge relating to emergency and/or operating

situations Keep instructions to specific actions and position yourself so not to hinder the Candidate but still be

able to observe all actions. Ask safety related questions prior to instructing the Candidate to act, in order to clarify his/her intent. Keep quiet through action steps to allow the Candidate to concentrate.SkillsDMC Issued July 2016 Assessor Guide RIIRIS201D

Version D1.1Page viii of xi

Examine the selection of actions, degree of completion, and timing of outcomes of actions and record these on the instrument.

Check the Candidate’s actions with “what if…” questions to capture different dimensions of competency.

Summarise the assessment progress at the end of each section/element. Ensure that all assessment criteria are met before Candidate is granted overall competency on the

unit. All questions must be answered correctly unless otherwise stated in the assessment instrument or elsewhere in site policy.

Record results in the appropriate place within this document and add notes relating to specific occurrences that identify the individual assessment against the standard work processes.

Gathering supporting evidence The supporting evidence assessment can be undertaken at any stage. The assessment component covers various aspects of a Candidate’s job performance, workplace activities and previous experience and can inform the assessor of his/her competence against the unit of competency.

Not all methods of gathering supporting evidence need to be used for each element. The assessor should gather enough evidence to support a final decision on the Candidate’s competence, taking into account whether separate practical and theory assessments have also been undertaken.

Tick () the box as ‘Satisfactory’, if enough supporting evidence has been gathered for that particular element to form the view that the Candidate has demonstrated satisfactory performance overall. Cross (X) the box where there is not enough supporting evidence to show that the Candidate has achieved satisfactory performance against that particular element.

Workplace Health and Safety Ensure all personnel have completed an area-specific induction prior to assessment commencing. Site, area and statutory safety requirements must be observed at all times during the assessment. Personal Protective Equipment (PPE) appropriate to the task and the assessment context is to be worn

at all times


Page ix of xi

3. Finalising the Assessment

Summary and sign-off Make a final decision about the Candidate’s competence after completing the required assessment(s),

and provide feedback to the Candidate on their performance (highlighting both positive examples and room for improvement).

If the Not Satisfactory box is ticked, the assessor must inform the Candidate’s supervisor and further training needs to be given to bring the Candidate up to a satisfactory level.

Complete the final assessment summary sheet, including signatures of those involved, and explain that the Candidate is now responsible for maintaining their competence.

The Assessor will need to explain the re-assessment policy that applies to the Candidate in relation to gaining competence in this unit.

General Tips All assessment should be customised to reflect site-specific:

risks and hazards equipment and machinery processes and procedures, including reporting and recording procedures standards and requirements

All sections of the assessment must be completed with an ink pen. Pre–assessment: To ensure that the Candidate understands the assessment process the assessor

must explain the assessment and any appeal processes to the Candidate. Both are to sign the Pre-assessment form prior to commencing the assessment.

Performance will often need to be demonstrated over a period of time and/or in different locations. More than one assessment of a block of tasks may be necessary. The relevant part of a blank assessment tool can be copied for re-use, then dated and attached to the original once it is completed.

Where appropriate, performance should be assessed across different conditions e.g. wet and dry weather; day and night; different equipment attachments; different materials, etc.

The assessment tool is structured to allow for suitable breaks where needed between blocks of tasks. Outcomes from theory and other supporting evidence assessments should be reflected in the final

assessment summary. On final completion of the overall assessment the “Assessment Summary” sheet must be completed by

both the Candidate and Assessor. Communicate to the Candidate any feedback comments.


Page x of xi


Page xi of xi

Suggested Methods of Assessment and marking

guidance

RIIRIS201D – Conduct local risk control The following information outlines the assessment items Candidates will be required to complete during each unit. For each separate assessment method there are acceptable responses recorded and parameters are set in which the assessment context is defined.

Note that some methods require the collection of a number of pieces of ‘evidence’ over a period of time. Other methods, such as the theory assessment, will take a more definitive amount of time.

Assessment Method 1Nature of task: Direct Observation and Competency Conversation

Location for assessment: Candidate Workplace

Supervision: Trainer/ Assessor

COMMENCE DATE: Complete Date:

Information:

1. Skills need to be applied in the workplace in a variety of circumstances. As such, assessors must ensure that the Candidate can competently and safely undertake the task/s being assessed in different situations and conditions, to industry standards. Sound assessment practice involves the assessor determining that the Candidate is able to demonstrate the required level of performance prescribed by the unit of competency consistently, over time, and in a range of workplace conditions or settings.

2. Assessors will evaluate the skills demonstrated by Candidates as specified in the Observation Checklist, (contained in this Assessor Guide).The Assessor will also conduct a competency conversation to determine and record Candidate competence. These questions guide your conversation with the Candidate and assist in your assessment of their competence. The notes you take about this conversation are important evidence for assessment.

3. The Assessor will provide feedback to the Candidate and record results appropriately.4. The Candidate will need to ascertain appropriate times and dates with Supervisors/ Managers and plan

for the assessment.5. Explain the elements of the observation (contained in this Assessor Guide) at the pre-assessment and

how the Candidate will be required to demonstrate competence at the observation.


CandidateInitial:___________

Page 1 of 24

Assessment Method 2Nature of task: Theory / Questioning

Location for assessment: Workplace / Own time

Supervision: Trainer/ Assessor

Commence Date: Complete Date:Information:

1. The questions pertaining to this assessment are included in the Candidate Guide.2. The questions and candidate answers are to be submitted to the Assessor as evidence of competency.3. Candidates are required to complete these questions in their own time to hand back to the Assessor at

the time of final summative assessment.4. The Assessor should provide feedback to the Candidate and record results appropriately on the

Marking Sheet provided (found within this Assessor Guide).

Assessment Method 3Nature of task: Supporting Evidence – Third Party (Supervisor Report)

Location for assessment: Workplace

Supervision: Supervisor


1. The Third Party/ Supervisor Report is included in the Candidate Guide.2. Once completed by the workplace Supervisor, this report is to be extracted from the Candidate Guide

and submitted to the Assessor as evidence of competency.3. Candidates are required to have their Supervisor complete this report in the workplace to hand back to

the Assessor at the time of final summative assessment.4. The Assessor should provide feedback to Candidate and record results appropriately on the Marking

Sheet provided (found within this Assessor Guide).


CandidateInitial:______

Page 2 of 24

Assessment Method 4Nature of task: Workplace Portfolio (Project)

Location for assessment: Workplace / Own time

Supervision: Trainer/Assessor


1. Instructions pertaining to the workplace portfolio (Project) are included in the Candidate Guide.2. The pages reflecting the workplace portfolio (Project) results are to be extracted and submitted to the

Assessor as evidence of competency.3. Candidates are required to complete this project in their own time and to hand back to the Assessor at

the time of final summative assessment.4. The Assessor should provide feedback to the Candidate and record results appropriately on the

Marking Sheet provided (found within this Assessor Guide).



Page 3 of 24

Assessment Summary Cover Sheet

RIIRIS201D – Conduct local risk control

Candidate AssessorCandidate name:(Print)

Candidate comments:

Assessor name:Click here to enter text.

(Print)

Assessor comments:

Co-AssessorCo-Assessor Assessor name:Click here to enter text.

(Print)

Co-Assessor comments:

Candidate information

Any documentation provided as evidence must be prepared by you to a satisfactory standard and be in accordance with workplace/site policy and procedures, and industry standards.

If collecting material for an assessment portfolio, please ensure that the confidentiality of colleagues, workers and other persons is protected, and block out any sensitive information.

If you have any doubts regarding confidentiality and privacy issues, contact the organisation concerned.

(Signature)

(Date)

(Signature)

(Date)

Candidate Declaration: I declare that all work submitted for assessment has been completed by me, that all work has been attributed in the references provided for each item and that the intellectual property of authors is acknowledged.

Where work has been completed as part of a group activity, the work of each individual has been recognised.



Page 4 of 24

Pre-Assessment

Assessment process explained to the Candidate ( if Yes). ☐

Any appeal relating to the outcome of the assessment or the way in which the assessment was conducted shall be made through the company’s fair treatment policy as explained to the Candidate ( if Yes).

☐

Candidate name:(Print)

Candidate comments:

Assessor name:Click here to enter text.

(Print)

Assessor comments:

I fully understand the assessment and appeals process.

Assessment and appeals process has been explained to the Candidate.

(Signature)

(Date)

(Signature)

(Date)



Page 5 of 24

Assessment SummaryCandidate Name Click here to enter text.

Date Submitted: Click here to enter text.

Unit Name & Code RIIRIS201D – Conduct local risk controlAssessment MethodsTick the box when an assessment method is completed

Overall Outcome ()Satisfactory Not Satisfactory

☐1.1 Direct Observation and Competency Conversation ☐ ☐

☐1.2 Theory Assessment – Questioning ☐ ☐

☐1.3

Supporting EvidenceNote: this report supports the assessment by the Assessor.

☐ ☐

☐1.4 Workplace Portfolio (Project) ☐ ☐

1st Assessment Overall Result for Unit of CompetencyCompetent Not Yet Competent

☐ ☐

Re-submission/re-sitYes ☐

What is required?Click here to enter text.

Click here to enter text.








(Date)

Assessor


(name)

(Signature)

(Date)

Candidate

I have been provided with feedback on my performance for each assessment activity or task. I agree with the outcomes of my assessment for this unit of competency.

(Signature)

(Date)



Page 6 of 24

Re-assessment

Re-assessment Overall Result for Unit of CompetencyCompetent Not Yet Competent

☐ ☐

Assessor(name)

(Signature)

(Date)

CandidateI have been provided with feedback on my performance for each assessment activity or task. I agree with the outcomes of my assessment for this unit of competency.

(Signature)

(Date)

Assessment MethodsTick the box when an assessment method is completed

Date: Overall Outcome ()Satisfactory Not Satisfactory

☐

1.1 Direct Observation and Competency Conversation ☐ ☐

☐

1.2 Theory Assessment Questions ☐ ☐

☐

1.3 Supporting EvidenceNote: this report supports the assessment by the Assessor.

☐ ☐

☐

1.4 Workplace Assignment (Project) ☐ ☐



Page 7 of 24

2nd Re-assessment

2nd Re-assessment Overall Result for Unit of CompetencyCompetent Not Yet Competent

☐ ☐

Assessor(name)

(Signature)

(Date)

CandidateI have been provided with feedback on my performance for each assessment activity or task. I agree with the outcomes of my assessment for this unit of competency.

(Signature)

(Date)

Assessment MethodsTick the box when an assessment method is completed

Date: Overall Outcome ()Satisfactory Not Satisfactory

☐

1.1 Direct Observation and Competency Conversation ☐ ☐

☐

1.2 Theory Assessment Questions ☐ ☐

☐

1.3 Supporting EvidenceNote: this report supports the assessment by the Assessor.

☐ ☐

☐

1.4 Workplace Assignment (Project) ☐ ☐



Page 8 of 24

Assessment Method 1 – Direct Observation and

Competency ConversationAssessment Method 1 – Direct Observation and Competency

ConversationCandidate Name:

Assessor Name:

Workplace location:Site detailsNOTE: This unit is best assessed in the context of this sector’s 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 this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skillsDuring the assessment, the Candidate must ‘demonstrate knowledge’ of in conducting local risk control through accessing, interpreting and applying the organisation and site requirements and procedures that safely, effectively and efficiently meets all of the required outcomes.

You will need to have a competency conversation to assess if the Candidate has the required knowledge for this unit.Competency ConversationWhere would you find and how would you access, interpret, and apply the organisation and site requirements and procedures for:

organisational risk management policy, procedure requirements

conducting worksite risk management procedures conducting and maintaining worksite communication,

reporting and recording procedures identifying and assessing hazards, risks, acceptability

of risks and controls reading, preparing and using worksite safety systems

information

Assessment ComponentSatisfactory

()

RIIRIS201DKnowledge Evidence

Yes No

☐ ☐

Candidate Feedback:

Competency conversation comments:

Candidate Signature: Date:

Assessor Signature: Date:



Page 9 of 24

Assessment Method 1 – Observation and Competency ConversationCandidate Name: Click here to enter text.

Assessor Name: Click here to enter text.

Workplace location:Site details


NOTE: This unit is best assessed in the context of this sector’s 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 this sector’s workplace performance, including environment, task skills, task management skills, contingency management skills and job role environment skillsDuring the assessment, the Candidate demonstrates the ability to work effectively with others to undertake and complete conducting of local risk control including those that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:Ability to;

locate and apply relevant documentation, policies and procedures

work effectively with others to undertake and complete conducting of local risk control including:

communicating clearly and concisely with others to receive and clarify treatment information

communicating clearly and concisely the likelihood and consequence of an identified risk identifying ‘unacceptable risk’ using the acceptability/unacceptability criteria

work with others to determine risk controls assess and determine consequences and likelihood of

potential risk control risk by selecting and implementing most

appropriate treatment report written information about risk assessment and

treatment implementation

Assessment Component Satisfactory ()

RIIRIS201DPerformance Evidence

Yes

☐

No

☐

Candidate Feedback:

Observation comments:





Page 10 of 24

Assessment Method 2 Theory - QuestioningCandidate Name: Click here to enter text.


During the assessment, did the Candidate adequately answer the following questions:

Q1. Before conducting a local risk control, compliance documentation should be adhered to

True

False

A1. Answer True


RIIRIS201D1.1.Knowledge Evidence Performance Evidence

Yes

☐

No

☐

Q3. Who is responsible for identifying hazards/risks on the work site?

A. Company managersB. Your supervisorC. YouD. Everybody

A2. Answer D - Everybody

RIIRIS201D1.1, 1.2.Knowledge Evidence Performance Evidence

Yes

☐

No

☐

Q4. A hazard is a source or situation with the potential to cause harm, injury or ill health.

True

False

A3. Answer True

RIIRIS201D1.1, 1.2.Knowledge Evidence

Yes

☐

No

☐

Q5. Hazards should be identified:

A. Before commencing a work taskB. Through site inspectionsC. While work is being carried outD. When carrying out any task, or in any situation that

could affect your safety and health, and/or that of any other person on the work site

A4. Answer D - When carrying out any task, or in any situation that could affect your safety and health, and/or that of any other person on the work site


Yes

☐

No

☐



Page 11 of 24

Continue Assessment Method 2: Theory - QuestioningCandidate Name:

Assessor Name:

During the assessment, did the Candidate adequately answer:


Q6. An example of a physical hazard is:

A. AcidsB. Manual handlingC. HeatD. All of the above

A5. Answer C – Heat

RIIRIS201D1.2.Knowledge Evidence

Yes

☐

No

☐

Q7. An example of a chemical hazard is:

A. AcidsB. GasesC. DustD. All of the above

A6. Answer D


Yes

☐

No

☐

Q8. An example of a biological hazard is:

A. Animal borne diseaseB. Organic compoundsC. DustD. All of the above

A7. Answer A - Animal borne disease


Yes

☐

No

☐

Q9. An example of a mechanical hazard is:

A. Manual handlingB. Unguarded machinesC. Hydraulic pressuresD. All of the above

A8. Answer: D


Yes

☐

No

☐



Page 12 of 24


Assessor Name:



Q10. An example of a psychosocial hazard is:

A. PressureB. StressC. Human borne diseaseD. All of the above

A9. Answer B – Stress


Yes

☐

No

☐

Q11. Which of the following hazards are common to resource sector work sites?

A. Fire and explosionB. Engulfment / entrapmentC. Energy sourcesD. All of the above

A10. Answer D


Yes

☐

No

☐

Q12. The time, duration and event frequency of hazard(s) is often a major factor when assessing the potential of a hazard.

True

False

A11. Answer True


Yes

☐

No

☐

Q13. Safe operating procedures should only be obtained for a task you are undertaking if you are not familiar with the task.

True

False

A12. Answer: False


Yes

☐

No

☐



Page 13 of 24


Assessor Name:



Q14. Personal protective equipment (PPE) should only be used as a short term control measure or as a last resort.

True

False

A13. Answer True


Yes

☐

No

☐

Q15. Any hazards that cannot be eliminated or controlled using existing procedures must be analysed further.

True

False

A14. Answer True

RIIRIS201D1.4.Knowledge Evidence Performance Evidence Yes

☐

No

☐

Q16. A Risk is the chance that a source or situation will result in an incident causing injury or damage.

True

False

A15. Answer True


Yes

☐

No

☐

Q17. Consequence is defined as the outcome of an event.

True

False

A16. Answer True


Yes

☐

No

☐

Q18. Likelihood is defined as the probability or frequency of an event happening.

True

False

A17. Answer True


Yes

☐

No

☐



Page 14 of 24


Assessor Name:



NOTE: Questions 18 and 19 require the use of a Risk Assessment Matrix (such as the one in Appendix 1 or the Risk Assessment Matrix in the company or sites Risk Assessment Plan). Ensure the Candidate has access to a relevant matrix. Note: if using a different matrix to the one provided in Appendix 1, you may need to update the risk ratings in the answers to questions 18 and 19.

Q19. Using a Risk Assessment Matrix, determine the level of risk for a hazard that has a moderate consequence and an almost certain likelihood.

A. Low riskB. Moderate riskC. Significant riskD. High risk

A18. Answer D - High risk


Yes

☐

No

☐

Q20. Using a Risk Assessment Matrix, determine the level of risk for a hazard that has a minor consequence and a possible likelihood.

A. Low riskB. Moderate riskC. Significant riskD. High risk

A19. Answer B - Moderate risk


Yes

☐

No

☐

Q21. What documentation should you use to record the Risk Rating for identified risks?

A. Hazard registerB. Risk treatment planC. Risk registerD. All of the above

A20. Answer C - Risk register


Yes

☐

No

☐



Page 15 of 24


Assessor Name:



Q22. When prioritising the level of risk, what criteria is your first priority?

A. Risk to machinery and equipmentB. Environmental riskC. Risk to safety of personnelD. Risk to product quality

A21. Answer. C - Risk to safety of personnel


Yes

☐

No

☐

Q23. Although you must prioritise and act on risks in order of priority, you should “fix” simple hazards/risks immediately.

True

False

A22. Answer True


Yes

☐

No

☐

Q24. Criteria for acceptable/unacceptable risk are found in ______________?

A. Legal and regulatory requirementsB. OHS guidelines and exposure limitsC. Company proceduresD. All of the above

A23. Answer D - All of the above


Yes

☐

No

☐

Q25. The purpose of risk evaluation is for you to be able to make decisions, based on the outcomes of the risk analysis, about which risks need treatment and the treatment priorities.

True

False

A24. Answer True


Yes

☐

No

☐



Page 16 of 24


Assessor Name:



Q26. Your starting point for identifying risk treatment options is often a review of existing guides that are in place for treating that particular type of risk.

True

False

A25. Answer True

RIIRIS201D3.1, 3.2, 3.3, 3.4.Knowledge Evidence

Yes

☐

No

☐

Q27. Risk treatment options do not include reducing the potential consequences and/or likelihood of the identified hazard.

True

False

A26. Answer: False

RIIRIS201D3.1, 3.2, 3.3, 3.4.Knowledge Evidence

Yes

☐

No

☐

Q28. What must you do once the risk treatment plan is completed?

A. Implement the planB. File it awayC. Have it approved by a responsible personD. Commence the task and refer to it if you need to

A27. Answer C - Have it approved by a responsible person


Yes

☐

No

☐

Q29. When implementing the risk treatment plan you must comply with its contents at all times.

True

False

A28. Answer: True

RIIRIS201D3.6.Knowledge Evidence Performance Evidence Yes

☐

No

☐



Page 17 of 24


Assessor Name:



Q30. What must you do if any changes are required to the risk treatment plan?

A. Note the changes and complete the planB. Stop implementing the planC. Complete the plan and review the changesD. Carry out the risk assessment process again to take

into account any resulting potential hazards

A29. Answer D - Carry out the risk assessment process again to take into account any resulting potential hazards


Yes

☐

No

☐

Q31. What must you do if any residual risk remains after the risk treatment plan has been implemented?

A. Ignore it as it would only be minorB. Make a note on the risk treatment planC. Notify all persons involved in the task and document

itD. Carry out the risk assessment process again

A30. Answer C - Notify all persons involved in the task and document it


Yes

☐

No

☐

Q32. The benefits of ongoing monitoring and review of the risk treatments is:

A. Contributes to a safer workplaceB. Measures the effectiveness of the risk controlsC. Identifies any new hazards that may have been

introduced into the task/process through the actions/controls

D. All of the above

A31. Answer D


Yes

☐

No

☐



Page 18 of 24


Assessor Name:



Q33. To what other persons/departments / organisations may you be required to report hazards and risks?

A32. Answers may include but are not limited to:Company or site specific requirements: Safety, Compliance, HR, Departs.Worksafe. Local council, State/National regulators, Peak bodies. Department of Environment.


Yes

☐

No

☐

Q34. Although your work sheet can be kept as the record of risk analysis, you should enter the relevant information into your company/site Hazard and/or Risk Register

True

False

A33. Answer True


Yes

☐

No

☐

Q35. Incident reporting using Company Incident reporting system is not important in providing an indication of the success, or not, of risk control measures.

True

False

A34. Answer False


Yes

☐

No

☐



Page 19 of 24


Assessor Name:



Q36. Name three hazard recording and reporting mechanisms that you and/or supervisors should complete as required.

A35. Answers may include but are not limited to:Specific Company/site reporting documents and proceduresShift reportsEquipment inspection listsTime sheetsSupervisor reports


Yes

☐

No

☐

Feedback to Candidate:

Questioning comments:





Page 20 of 24

Assessment Method 3 Supporting Evidence -

Supervisor TestimonyAssessment Method 3: Supporting Evidence – complete where

applicableCandidate Name: Click here to enter text.


Evidence is required to be collected that demonstrates a candidate’s competency in this unit. Evidence must be relevant to the roles within this sector’s work operations

Supervisor Testimony

Details:

Supervisor verification of Candidate performance


RIIRIS201DFoundation SkillsKnowledge EvidenceAnd / orPerformance Evidence

Yes

☐

No

☐






Page 21 of 24

Assessment Method 3 – Other Supporting

EvidenceAssessment Method 3: Supporting Evidence – complete where

applicableCandidate Name: Click here to enter text.


Evidence is required to be collected that demonstrates a candidate’s competency in this unit. Evidence must be relevant to the roles within this sector’s work operations

During the assessment, the Candidate provided: Assessment ComponentMap to relevant assessment component

Satisfactory ()

Other 3rd party reportDetails: Other 3rd party verification of Candidate performance

Click here to enter text.Yes

☐

No

☐

Induction / Employer Training Program(s)Details: Candidate has participated in Employer Induction / training program(s)


☐

No

☐

Relevant licence / certificate / permitDetails: Relevant licences/certificates sighted and endorsed


☐

No

☐

Work log book / Equipment use logDetails: Log book sighted and endorsed


☐

No

☐

Training record bookDetails: Training record sighted and endorsed


☐

No

☐






Page 22 of 24

Assessment Method 4 Workplace Portfolio

(Project)Assessment Method 4: Workplace Portfolio (Project)

Candidate Name: Click here to enter text.


During the assessment, did the candidate satisfactorily demonstrate the following

You are required to research your workplace/site to build a portfolio of documentation that would support work activity you do is compliant when conducting risk control some considerations you will need to include: what is unacceptable risk and how is it managed implementing risk treatments actions for risk assessment

Please attach all relevant documentation that you would require and outline the work activity you would perform explaining how the attached documentation would support you.

Assessor Guidance may be provided to the candidate around what types of evidence are acceptable and appropriate for the portfolio.Examples of relevant evidence could include (but are not limited to):

Risk Assessment Matrix, Risk register. Emergency, JSA, Safety audits, site fire / safety management strategies, contamination principles, and issues register.

Policies and procedures: worksite safety systems information. Risk management procedures, safety data sheet (SDS), site emergency, hazardous goods, consequences of spills, Isolation.


RIIRIS201D1.1, 1.2, 1.3, 1.4.2.1, 2.2, 2.3, 2.4, 2.5.3.1, 3.2, 3.3, 3.4, 3.5, 3.6, 3.7.4.1, 4.2.Knowledge Evidence

Yes

☐

No

☐


Workplace project comments:





Page 23 of 24

Appendix 1: Risk Assessment MatrixRisk Assessment Matrix

Risk Rating: L = Low risk M = Moderate risk S = Significant risk H = High risk

LIKELIHOOD

CONSEQUENCE

1- Insignificant 2 - Minor 3 - Moderate 4 - Major 5 - Extreme

5 - Almost certain S S H H H

4 - Likely M S S H H

3 - Possible L M S H H

2 - Unlikely L L M S H

1 - Rare L L M S S



Page 24 of 24

Additional SectionThis section provides scope for you to add supplementary assessment items. It can be used to customise additional assessment methods and/or contextualised questions.

The Context of AssessmentThe RTO/Compliance Manager should take time to consult with the candidate’s site to determine the information that will complete the list below. Each of the assessment methods in this Guide should then be conducted using this list as a reference. This will help to ensure that the assessment process is consistent with the organisation’s/site’s work context.

Where assessment is being conducted in a simulated environment, the RTO should complete this page based on the documentation, policies, procedures and equipment that are used in the simulated environment. Further information about appropriate simulated assessment environments can be found in the SkillsDMC Companion Volume: Implementation Guide, available from www.skillsdmc.com.au.

The Assessor using this document should take time to familiarise themselves with the items in the list below. Where this is not possible, the Assessor should consider working with an Industry Subject Matter Expert from the organisation/site who is already familiar and experienced with the items listed.

Specific company policies that must be assessed against:

Specific company procedures (including work procedures) that must be assessed against:

Specific legislative/regulatory/statutory documentation that must be adhered to during the assessment:



Section 2Page 25 of 2

http://www.skillsdmc.com.au/

Additional ItemsCandidate Name:

Assessor Name:

Evidence

Satisfactory ()

Yes No

Feedback to Candidate:Workplace project comments:





Section 2Page 26 of 2

RTO Name:

RTO ID Number:

Documents

SkillsDMC New Template with guidance - Assessor … · Web viewNote: if using a different matrix to the one provided in Appendix 1, you may need to update the risk ratings in the