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RII Resources and Infrastructure Industry

RIIMPO301D - Conduct hydraulic excavator operationsAssessment Tools – Assessor Guide

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SkillsDMC (Resources and Infrastructure Industry Skills Council Ltd)

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Telephone: +61 (02) 9324 8600

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Web: www.skillsdmc.com.au

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

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

First published: 2015

Disclaimer:SkillsDMC is the owner of all copyright and other intellectual property rights in the products and any modifications made by SkillsDMC to the materials (parent document issued to you at point of sale and as reflected in the invoice). You acknowledge that, apart from the limited licence granted under these Terms of Sale, you have no right, title or interest (including intellectual property rights) in the products. You will do anything reasonably required to give effect to SkillsDMC’s ownership of the products (parent document).

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mailto:[email protected]

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

RIIMPO301D - Conduct hydraulic excavator operations.............................................................................1

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

RIIMPO301D - Conduct hydraulic excavator operations.............................................................................4

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

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

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

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

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

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

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

SkillsDMC Issued July 2015 Assessor Guide RIIMPO301DReview July 2016 Version 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.............................................................................................12

Continue Assessment Method 2: Theory - Questioning............................................................................13








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

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 AssessmentSet 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.


Page 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 AssessmentSummary 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

Assessment Tools for:RIIMPO301D - Conduct hydraulic excavator operationsCandidate Name:

Suggested Methods of Assessment and marking guidanceRIIMPO301D - Conduct hydraulic excavator operationsThe 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.

Assessment Method 2Nature of task: Theory / Questioning

Location for assessment: Workplace / Own time

Supervision: Trainer/ Assessor


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


Information:

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


Information:

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 SheetRIIMPO301D - Conduct hydraulic excavator operations

Candidate AssessorCandidate name:

(Print)

Candidate comments:

Assessor name:

(Print)

Assessor comments:

Co-AssessorCo-Assessor Assessor name:

(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-AssessmentAssessment 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:

(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

Date Submitted:

Unit Name & Code RIIMPO301D - Conduct hydraulic excavator operationsAssessment 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

1.3Supporting 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?

(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


1.2 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-assessment2nd Re-assessment Overall Result for Unit of Competency

Competent 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


1.2 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 Conversation

Assessment Method 1 – Direct Observation and Competency Conversation

Candidate Name:

Assessor Name:

Workplace location:Site detailsNOTE: This unit must be assessed in the context of this sector’s work environment; and,this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed.During the assessment, the Candidate must ‘demonstrate knowledge’ of the following when conducting hydraulic excavator operations.

You will need to have a competency conversation to assess if the Candidate has the required knowledge for this unit.Competency ConversationAsk where and how the organisational policy and procedures are used for the following:

complying with worksite inspection requirements applying signage and barricade requirements communicating and performing isolation procedures identifying equipment processes, technical capability

and limitations identifying, interpreting and using geological and

technical data (basic) being prepared for fire/accident/emergency identifying signs of operator fatigue and how it should

be managed applying site quality requirements applying operational, maintenance and basic

diagnostics completing housekeeping activities

Assessment ComponentSatisfactory

()

RIIMPO301DKnowledge Evidence

Yes No

Candidate Feedback:Competency conversation comments:

Candidate Signature: Date:



Page 9 of 24

Assessor Signature: Date:

Assessment Method 1 – Observation and Competency Conversation

Candidate Name:

Assessor Name:

Workplace location:Site detailsNOTE: This unit must be assessed in the context of this sector’s work environment; and,this unit must be assessed in compliance with relevant legislation/regulation and using policies, procedures, processes and operational manuals directly related to the industry sector for which it is being assessed.

During the assessment, the Candidate demonstrates completion of hydraulic excavator operations 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

conduct prestart checks prior to commencing operations and shutdown procedures on completion of operations

carry out vehicle refuelling requirements and procedures

apply safe work practices and identify and report all potential hazards, risks and environmental issues

apply problem solving and troubleshooting techniques conduct bucket loading and discharge side cast bulk materials distribute bulk materials into materials handling

equipment conduct inspection and preparation of work area conduct equipment positioning use a range of communications techniques and

equipment to convey information to others maintain written and verbal reporting requirements and

procedures communicate with others in and around the trench

before commencing work, during and on completion of the work

drive and operate the excavator for operations adjust equipment operations to suit site conditions walk the machine in a straight line conduct jump turning the machine connect auxiliary hydraulic lines and

buckets/attachments

Assessment Component Satisfactory ()

RIIMPO301DPerformance Evidence

Yes

No



Page 10 of 24

clean the undercarriage out as needed keep clear of obstacles and avoid running over items effectively use the heel of the bucket correctly shut down and park the excavator equipment

Candidate Feedback:Observation comments:





Page 11 of 24

Assessment Method 2 Theory - QuestioningCandidate Name:

Assessor Name:

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

Q1. Identify two (2) sources of information that you could refer to if you needed to clarify the correct way to complete a task associated with a hydraulic excavator.

A1. Answers could include, but are not limited to:Work instructions; documented work procedures (e.g. safe work method statements); operator manuals; manufacturer’s specifications and guidelines


RIIMPO301D1.1, 1.2.Performance EvidenceKnowledge Evidence

Yes

No

Q2. Identify three (3) pieces of personal protective equipment (PPE) that you may be required to wear during hydraulic excavator operations.

A2. Answers could include, but are not limited to:Hard hat; safety glasses; hearing protection; respiratory protection; safety cap boots; hi-vis clothing/long pants/long sleeve shirt; gloves

RIIMPO301D1.4.Performance Evidence Yes

No

Q3. Disposing of site contaminants correctly is covered in:

A. Heritage policiesB. Environmental and site proceduresC. Government legislationD. Supervisors advice

A3. Answer. B

RIIMPO301D1.1, 1.3.Performance Evidence

Yes

No

Q4. Identify two (2) examples of communications equipment OR techniques that would be effective in the coordination of work activities involving hydraulic excavator operations in your industry.

A4. Answers could include, but are not limited to:Radio; lights; flags; hand signals; whistles; alarms; horns

RIIMPO301D2.2.Performance Evidence Yes

No

Q5. If you need to isolate an excavator for any reason, how should you inform other site personnel that they should not start or operate the machine?

A. Place a notice on the crib room information boardB. Place an isolation tag on the excavator’s ignitionC. Send an e-mail to all site personnelD. Erect a barricade around the excavator

A5: Answer. B

RIIMPO301DPerformance EvidenceKnowledge Evidence

Yes

No



Page 12 of 24

Continue Assessment Method 2: Theory - QuestioningCandidate Name:

Assessor Name:

During the assessment, did the Candidate adequately answer:


Q6. Identify one (1) type of geological data that you may need to obtain and read prior to hydraulic excavator operations in your industry.

A6. Answers could include, but are not limited to:Rock type and characteristics; faults and joints; water tables or other sources of water

RIIMPO301D1.5.Knowledge Evidence

Yes

No

Q7. Identify one (1) type of survey data that you may need to obtain and read prior to hydraulic excavator operations in your industry.

A7: Answers could include, but are not limited to:Floor heights; bench widths; grades


Yes

No

Q8. Identify three (3) different signs that an excavator operator might be fatigued?

A8: Answers may include: Trouble focusing; inability to keep eyes open; head nodding; difficulty remembering the last few minutes; slower reaction time; shortened attention span; yawning; constant rubbing of eyes; trouble keeping machinery in a straight line; erratic movements of the machine

RIIMPO301D1.3, 2.9, 4.2.Knowledge Evidence

Yes

No

Q9. Reorder the steps below to show the correct procedure for shutting down and isolating a hydraulic excavator during park-up, an inspection or maintenance activities.

A. Turn the ignition off and remove the keyB. Tag out the equipment (if required) and complete

tag out recordsC. Lock hydraulic arm leverD. Lower any attachments to the groundE. Put the excavator in neutral

A9: Answer (in order). D, C, E, A, B

RIIMPO301D2.1.Performance EvidenceKnowledge Evidence

Yes

No



Page 13 of 24


Assessor Name:



Q10. Identify three (3) environmental OR site risks/hazards that should be looked for during a pre-work site inspection.

A10. Answers could include, but are not limited to:The presence of underground services (e.g. water, gas, electricity, telecommunications); hazardous materials (e.g. asbestos, nearby fuel sources); unstable ground/the risk of soil damage or erosion; whether there are stakeholders who could be affected by operations (e.g. other site personnel, neighbours to the site, other property holders, etc.); areas of the site that are potentially sensitive (for either environmental or heritage reasons); areas of the site that will cause a risk to the excavator (e.g. drop-offs, embankments, soft or boggy ground); the presence of overhead services (e.g. electrical, telecommunications)

RIIMPO301D1.3, 1.6, 4.2.Performance EvidenceKnowledge Evidence

Yes

No

Q11. Name two (2) types of signs that you may need to install (or confirm the presence of) on a site prior to commencing excavation works.

A11. Answers could include, but are not limited to:Danger: Deep Excavation; Keep out; PPE Required; Watch Out for Trucks; Underground Service Warnings; Traffic Control/Management Signs (e.g. Give Way; Stop; etc.)

RIIMPO301D1.6.Performance EvidenceKnowledge Evidence Yes

No

Q12. Identify one (1) type of barrier or barricade that could be installed around an excavation area to prevent vehicles or people from falling onto an excavation trench or pit.

A12. Answers could include, but are not limited to:Hoardings; reflective tape; concrete barricade; wheel stoppers


Yes

No

Q13. A pre-start check of an excavator must be conducted:

A. if any repair or service work has been performedB. at each shift changeC. at each shift change or after repair/service work has

been performedD. once a week

A13. Answer. C


Yes

No



Page 14 of 24


Assessor Name:



Q14. Any faults, damage or abnormalities found during a pre-start check of an excavator should be reported:

A. in the log book and then commence operationB. to maintenance/ supervisor and then commence

operationC. immediately and machine not operated until

checked/fixedD. at the end of the shift

A14. Answer. C


Yes

No

Q15. On hearing an emergency evacuation alarm in the workplace; how would you evacuate?

A. Evacuate following procedures, routes and exit points to your nominated muster areas

B. Evacuate following your mate, through any areas that will give you the quickest way out

C. Evacuate by the quickest means and report to any muster area

D. None of the above

A15. Answer. A


Yes

No

Q16. You have noticed smoke coming from the engine compartment. Place the following steps in the correct procedure order.

A. Transmission in “PARK”B. Manually activate the fire suppression systemC. Park machine safely and lower bucket to groundD. Evacuate the machineE. Place an emergency call over the two-way radioF. Shut down the engine

A16. Answer. C, A, F, B, E, D


Yes

No



Page 15 of 24


Assessor Name:



Q17. Place the following in order to identify the correct procedure if your machine breaks down in the mining area.

A. Turn on hazard lightsB. Notify Supervisor and others in immediate areaC. Shut down the engine if necessaryD. If safe, stay in cab and wait for assistanceE. Park up and ground bucketF. Apply slew/travel brake

A17. Answer. E, F, C, A, B, D


Yes

No

Q18. What action do you take if any warning lights continue to show after starting?

A. Rev the engine to get them to go outB. Keep the engine idling and report any faultsC. Shut the engine down and report any faultsD. Shut the engine down and restart after 5 minutes

A18. Answer. C

RIIMPO301D2.5, 2.6.Knowledge Evidence

Yes

No

Q19. Place the following in correct order for testing the fire suppression system.

A. Press test button on control panelB. Check alarm sounds and light flashesC. Start the engineD. Press test button followed by reset button for system

reset and restart machineE. Check for engine shutdownF. Let air pressure build up after starting

A19. Answer. C, F, A, B, E, D

RIIMPO301D3.2, 3.3.Knowledge Evidence

Yes

No



Page 16 of 24


Assessor Name:



Q20. During start-up, all hydraulic controls should be checked that they are functioning correctly and the _______________ should be _________________________________ to ensure even wear and grease distribution.

A. boom / raised fullyB. machine / slewed through 360°C. bucket / fully extendedD. stick / fully extended

A20. Answer. B


Yes

No

Q21. What must you do if, when moving using a spotter, you lose sight of the spotter or signals are not clear?

A. Stop and don’t move until contact/ understanding is established

B. Stop and get out of the cab to look for the spotterC. Sound the horn three times and keep moving backD. Keep moving but call up on two-way to find out

where the spotter is

A21. Answer. A

RIIMPO301D2.2, 2.9.Performance Evidence

Yes

No

Q22. The bucket can be slewed over persons / machines / vehicles as long as it is empty.

True

False

A22. Answer. False

RIIMPO301D2.9, 4.2.Performance Evidence Yes

No

Q23. The slew function can be used to shift rocks, clean floors and clean up walls.

True

False

A23. Answer. False


Yes

No



Page 17 of 24


Assessor Name:



Q24. What position should the machine be in when travelling the machine on level ground, with no overhead obstructions, for some distance?

A24. Answer. B


Yes

No

Q25. When travelling some distance, track roller temperatures need to be monitored as excessive heat can build up in them.

True

False

A25. Answer. True


Yes

No

Q26. The excavator should not be walked up or down a slope over ________ degrees or across a slope over ________ degrees.

A. 10 / 5B. 20 / 10C. 30 / 15D. 40 / 20

A26. Answer. C


Yes

No



Page 18 of 24


Assessor Name:



Q27. When operating near power lines, you cannot work (fully extended) closer than ______ metres.

A. 3B. 5C. 10D. 15

A27. Answer. C

RIIMPO301D2.4, 2.9, 4.2.Performance Evidence

Yes

No

Q28. The recommended position at all times while loading from a bench is to place the tracks at a _____ degree angle to the digging face.

A. 25B. 35C. 45D. 55

A28. Answer. C


Yes

No

Q29. If loading rocky material, fill the first bucket with ___________________ material to cushion the impact of the material to follow.

A. heavy rockyB. light rockyC. a mix of heavy and lightD. fine

A29. Answer. D


Yes

No

Q30. You should recycle materials in accordance with:

A. Manufacturer’s guidelinesB. Project environmental management planC. Australian standardsD. WHS manual

A30. Answer. B

RIIMPO301D4.1.Performance EvidenceKnowledge Evidence Yes

No



Page 19 of 24


Assessor Name:



Q31. Equipment should be checked and stored in accordance with:

A. Site safety planB. Safety data sheetsC. Manufacturer’s recommendationsD. The environmental plan

A31. Answer. C


Yes

No

Q32. Equipment defects should be recorded in the:

A. Work instructionsB. Site proceduresC. Maintenance log bookD. Noticeboard

A32. Answer. C (Answer may vary depending on the workplace procedures)


Yes

No

Feedback to Candidate:

Questioning comments:





Page 20 of 24

Assessment Method 3 Supporting Evidence - Supervisor Testimony

Assessment Method 3: Supporting Evidence – complete where applicable

Candidate Name:

Assessor Name:

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


RIIMPO301DFoundation SkillsPerformance EvidenceAnd / orKnowledge Evidence

Yes

No






Page 21 of 24

Assessment Method 3 – Other Supporting Evidence

Assessment Method 3: Supporting Evidence – complete where applicable

Candidate Name:

Assessor Name:

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

Yes

No

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

Yes

No

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

Yes

No

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

Yes

No

Training record bookDetails:Training record sighted and endorsed

Yes

No






Page 22 of 24

Assessment Method 4 Workplace Portfolio (Project)

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

Assessor Name:

During the assessment, did the candidate satisfactorily demonstrate the following

The candidate is required to assemble a portfolio of evidence that shows that they can identify and access the compliance documentation that applies to hydraulic excavator operations on their site AND that they can complete any required administrative or housekeeping processes associated with hydraulic excavator operations on their site.

Part A: Compliance and Work Documentation: In this part, the candidate must identify the key compliance documentation that applies to hydraulic excavator operations on their site. This may include (but is not limited to) legislation, regulation, company policies and procedures, Australian standards and manufacturer’s guidelines, manuals and specifications. They are also required to provide copies of work requirements and instructions related to hydraulic excavator operations that have been assigned to them.

Part B: Administration, Housekeeping and Written Work Samples: In this part, the candidate is required to supply work samples of any administrative, housekeeping or written tasks related to hydraulic excavator operations that they have completed as part of their role. These could include (but are not limited to) forms, records or reports, completed templates/checklists or screen shots of company system use.

Part C (optional): Hydraulic Excavator Operation: In this optional part, you may request that the candidate supply video or photographic evidence of their operation of a hydraulic excavator in a live working environment. Depending on your overall assessment


RIIMPO301D1.1, 1.2, 1.3, 1.5, 1.7, 1.8, 2.1, 2.2, 2.9, 3.2, 3.5, 4.2, 4.3.Performance EvidenceKnowledge Evidence

Yes

No



Page 23 of 24

strategy, this may or may not be required.

Examples of evidence that could be included in Part A include, but are not limited to: Legislation and regulation; organisational policies and procedures; site policies and procedures; manufacturer’s guidelines, specifications and manuals; Australian standards; codes of practice; work requirements and instructions; geological, survey and technical data; risk management plans, policies and procedures; environmental management plans, policies and Feedback to Candidate:Workplace project comments:





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 3

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

Additional ItemsCandidate Name:

Assessor Name:

Evidence

Satisfactory ()

Yes No

Feedback to Candidate:Workplace project comments:






RTO Name here

RTO ID Number here




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