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RII Resources and Infrastructure IndustryRIIWHS404D Implement and monitor health and hygiene management systemsAssessment Tools – Assessor Guide

CopyrightÓ SkillsDMC

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

Facsimile: +61 (02) 9324 8699

Email: [email protected]

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).

SkillsDMC Issued <May> 2015 Assessor Guide < unit code >Review <MAY> 2016 Version 1

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mailto:[email protected]

ContentsIntroduction......................................................................................................................................................v

Companion Volumes and Support Materials................................................................................................v

Assessor Guide...............................................................................................................................................vi

Contextualising the tools.............................................................................................................................vi

Using the Assessment materials for RPL....................................................................................................vi

Steps in the RPL process...........................................................................................................................vii

Overview of RPL process...........................................................................................................................vii

1. Planning for Assessment...........................................................................................................................viii

Set up for Practical Assessment................................................................................................................viii

Set up for Theory Assessment...................................................................................................................viii

Preparation for Assessment.......................................................................................................................viii

Meeting with the Candidate.........................................................................................................................ix

2. Conducting the Assessment....................................................................................................................... ix

Managing risk.............................................................................................................................................. ix

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

Gathering supporting evidence....................................................................................................................x

Workplace Health and Safety.......................................................................................................................x

3. Finalising the Assessment..........................................................................................................................xi

Summary and sign-off.................................................................................................................................xi

General Tips................................................................................................................................................xi

Suggested Methods of Assessment and marking guidance............................................................................2

Assessment Summary Cover Sheet................................................................................................................5

RIIWHS404D - Implement and monitor health and hygiene management systems....................................5

Candidate.....................................................................................................................................................5

Assessor......................................................................................................................................................5

Co-Assessor.................................................................................................................................................5

Pre-Assessment...........................................................................................................................................6

Assessment Summary.................................................................................................................................7

Re-assessment............................................................................................................................................8

2nd Re-assessment.......................................................................................................................................9

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


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

Assessment Method 1 – Direct Observation and Competency Conversation...........................................11

Assessment Method 1 – Observation and Competency Conversation......................................................12

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

Continue Assessment Method 2: Theory - Questioning............................................................................14












Assessment Method 3 Supporting Evidence - Supervisor Testimony...........................................................26

Assessment Method 3: Supporting Evidence – complete where applicable..............................................26

Assessment Method 3 – Other Supporting Evidence....................................................................................27

Assessment Method 3: Supporting Evidence – complete where applicable..............................................27

Assessment Method 4 Workplace Portfolio (Project)....................................................................................28

Assessment Method 4: Workplace Portfolio (Project)................................................................................28

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

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

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


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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


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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.


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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.


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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


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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.


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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 must is 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


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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 (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 Candidate any feedback comments.


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Assessment Tools for:RIIWHS404D Implement and monitor health and hygiene management systemsCandidate Name:

Suggested Methods of Assessment and marking guidanceRIIWHS404D - Implement and monitor health and hygiene management systemsThe 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 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 the 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 Candidate and record results appropriately.4. Ascertain appropriate times and dates with Supervisors/ Managers and plan for the assessment.5. Explain the elements of the observation (contained in the Assessor Guide) at the pre-assessment and

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

SkillsDMC Issued August 2015 Assessor Guide RIIWHS404DReview August 2016 Version 1

CandidateInitial:______

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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 at the back of the Candidate Guide.2. The pages reflecting the questions and suitable answers is to be extracted from the back of the

Candidate Guide and submitted to the Assessor as evidence of competency.3. Candidates are required to complete these questions 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 Candidate and record results appropriately on the Marking

Sheet provided (found within the 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 at the back of 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. Students are required to have their Supervisor complete this report in the workplace and 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




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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 at the back of the Candidate

Guide.2. The pages reflecting the workplace portfolio (Project) results are to be extracted and to be 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 Candidate and record results appropriately on the Marking




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Assessment Summary Cover SheetRIIWHS404D - Implement and monitor health and hygiene management systems

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



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recognised.

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)



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Assessment SummaryCandidate Name

Date Submitted:

Unit Name & Code RIIWHS404D - Implement and monitor health and hygiene management systems

Assessment 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)



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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)


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)



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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)


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)



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Assessment Method 1 – Direct Observation and Competency Conversation


Candidate 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 implementing and monitoring health and hygiene management systems.

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:

establishing health and hygiene management systems risk management and control theory and processes chemical information management systems, safety data

sheets (SDS or equivalent) health hazards and controls associated with mining

processes and the likely causes, symptoms and on personnel of:

stress on employees drug and substance abuse

health hazards and controls associated with

exposure to heat / cold conditions explosives radiation and radiation sources equipment and plant lighting vibration noise

Assessment ComponentSatisfactory

()RIIWHS404DKnowledge Evidence

Yes

No



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Competency ConversationAsk where and how the organisational policy and procedures are used for the following:

health and hygiene training requirements and systems

Assessment ComponentSatisfactory

()

RIIWHS404DKnowledge Evidence

Yes No

Candidate Feedback:

Competency conversation comments:

Candidate Signature: Date:

Assessor Signature: Date:



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Assessment Method 1 – Observation and Competency Conversation

Candidate 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 demonstrates completion of implementation and monitoring of health and hygiene management systems that safely, effectively and efficiently meets all of the required outcomes on more than one (1) occasion including:Ability to;

locate and apply relevant legislation, documentation, policies, procedures and interpret technical information

plan and organise activities that maintain or improve health and hygiene systems

use a range of communication techniques to share ideas and information and clarify job roles and responsibilities to others

monitor the activity for those involved in applying health and hygiene management systems

consistently and successfully implement and monitor health and hygiene management systems

prepare and document systems and procedures for health and hygiene systems

apply risk management processes and techniques conduct enquiries / investigations and prepare written

reports access, evaluate and apply data from monitoring

systems and equipment / plant validate training and analyse results apply review and audit processes and techniques

Assessment Component Satisfactory ()

RIIWHS404DPerformance Evidence

Yes

No

Candidate Feedback:Observation comments:





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Assessment Method 2: Theory - QuestioningCandidate Name:

Assessor Name:

During the assessment, did the Candidate adequately answer:


Q1.Which of the following rules and regulations would provide the most guidance on health and hygiene?

A. SDSB. PPEC. WHSD. HAZCHEM

A1. Answer. C

RIIWHS404D1.1, 2.1.Performance EvidenceKnowledge Evidence

Yes

No

Q2. Which documents would be used to provide guidance on the disposal of hazardous chemicals?

A. SDSB. PPEC. WHSD. HAZCHEM

A2. Answer. A

RIIWHS404D1.1, 2.1, 2.6.Performance EvidenceKnowledge Evidence

Yes

No

Q3. List five (5) documents that would support you with health and hygiene work activity at your work site?

A3. Answer. May include the following; Workplace policy, procedures, rules and regulations. Australian Standards. Legislation, Acts, Codes of Practice, Regulation. Training Records. Dangerous goods maintenance schedules and instructions; site First Aid provisions. Risk Management and application. Job Hazard Analysis (JHA).

RIIWHS404D1.1.Performance EvidenceKnowledge Evidence

Yes

No

Q4. Which of the following gases have health risks?

A. CO2

B. H2SC. CH4

D. All of the above

A4. Answer. D


Yes

No



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Continue Assessment Method 2: Theory - QuestioningCandidate Name:

Assessor Name:



Q5. Which of the following has the most significant long term health risks?

A. O2

B. Silica dustC. CO2

D. 200 micron dust

A5. Answer. B

RIIWHS404D1.2, 2.7, 4.6.Performance EvidenceKnowledge Evidence

Yes

No

Q6. Which three (3) items below cause dangerous stress on a miner?

A. HeatB. Heavy liftingC. BullyingD. Working under supported groundE. Using a continuous miner

A6. Answer. A/B/C


Yes

No

Q7. Which of the following might be caused by stresses associated with adverse shift allocation?

A. Falling asleep at the wheelB. TrippingC. Failure to follow WHS proceduresD. All of the above

A7. Answer. D


Yes

No



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Assessor Name:



Q8. Tiredness, drugs and alcohol are the legal responsibility of:

A. the employerB. the employeeC. both employer and employeeD. the mine manager

A8. Answer. C


Yes

No

Q9. A worker is handling equipment poorly and appears drug affected. The best approach is to ___________ the worker and make queries about ____________.

A. grab, drugs and alcoholB. speak to, (WHS) work health and safetyC. restrain, testing

A9. Answer. B


Yes

No

Q10. Which three (3) items below constitute indicators of possible drug and alcohol abuse?

A. QuietnessB. Near miss incidentsC. HappinessD. Habitual latenessE. Neglect of personal grooming

A10. Answer. B/D/E


Yes

No

Q11. Daily exposure levels for noise are found in:

A. SDSB. manufacturer’s specificationsC. government regulationsD. HAZCHEM records

A11. Answer. C

RIIWHS404D2.1, 2.7, 4.3.Knowledge Evidence

Yes

No



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Assessor Name:



Q12. When choosing suitable PPE it is important to meet Australian Standards. Which of the following symbols represents that standard?

A. ASB. S/AC. FAQD. A green kangaroo with yellow border

A12. Answer. A

RIIWHS404D2.1, 2.3, 3.2.Knowledge Evidence

Yes

No

Q13. Which site documents contain health and hygiene planning and management systems?

A 13. Answer may vary depending on the workplace procedures and may include the following; Site procedures and processes. Governmental workplace rules and regulations. WHS rules and regulations. Environment rules and regulations.

RIIWHS404D2.2.Performance EvidenceKnowledge Evidence Yes

No

Q14. A drill rod falls from handling equipment on a drill jumbo. What should be done?

A. Nothing if no-one is injuredB. Recorded as a near missC. Reported to government agenciesD. Fixed by the next shift

A14. Answer. B

RIIWHS404D2.4, 5.2.Knowledge Evidence

Yes

No



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Assessor Name:



Q15. Which three (3) injuries would require work injury reporting?

A. Car accident on the way to workB. Blister from use of scaling barC. Crush injuriesD. ElectrocutionE. An operator in an Elevated Work Platform (EWP)

jolts over rough ground pinching fingers in a guard rail

A15. Answer. C/D/E (Answer may vary depending on the workplace procedures)


Yes

No

Q16. The best form of minimising the impacts of dust is through dust suppression at the source.

TrueFalse

A16. Answer. True

RIIWHS404D2.7.Knowledge Evidence

Yes

No

Q17. Disposal of human wastes at a remote camp will be determined by ________________ and ____________ rules and regulations.

A. WHS, government sewageB. native title, geotechnical hazardC. WHS , environmental

A17. Answer. C


Yes

No



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Assessor Name:



Q18. Which of the following will provide immediate details about the fire-fighting requirements for hazardous substances?

A. Site requirementsB. SDSC. HAZCHEMD. PPE

A18. Answer. C


Yes

No

Q19. Run-off from tailings:

A. should flow naturally into water coursesB. has no impact on the environmentC. should be stored and allowed to filter through to

aquifersD. should be contained and monitored

A19. Answer. D


Yes

No

Q20. What are the procedures and record keeping associated with monitoring the atmosphere of the mine?

A20. Answer may vary depending on the workplace procedures but may include the following; Site procedures and processes, Governmental workplace rules and regulations, WHS rules and regulations, Environment rules and regulations.


Yes

No

Q21. What are the training systems and programs for health and hygiene at the mine?

A21. Answer may vary depending on the workplace procedures but may include the following; Site procedures and processes. Governmental workplace rules and regulations, WHS legislation and regulation requirements, Environment legislation and regulation requirements.

RIIWHS404D3.1.Performance EvidenceKnowledge Evidence Yes

No



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Assessor Name:



Q22. Which of the following training processes might result in noise reductions?

A. On-site instructions on the use of equipmentB. Training in the use of hearing protectionC. WHS briefings prior to noisy workD. All of the above

A22. Answer. D


Yes

No

Q23. Place in order these events for noise reduction.

A. Reduce the noise through administrationB. Issue hearing protectionC. Isolate the noise from the personD. Substitute the area where the noise occursE. Reduce the noise through engineering

A23. Answer. D/C/E/A/B


Yes

No

Q24. How long does a self-rescuer normally issue breathable air?

A. 5 minutesB. 30 minutesC. 1 hourD. 2 hours

A24. Answer. B


Yes

No



Page 19 of 28


Assessor Name:



Q25. The best process prior to conducting man riding activities on a drill rig would be:

A. a Job Safety AnalysisB. choosing an inexperienced hand who requires

experienceC. to rig up a high speed winch without deadman

controlsD. to use ‘scissors, paper, rock’ to choose the crew

member to be hoisted

A25. Answer. A


Yes

No

Q26. Lifting objects is best performed with a ________________ and _______________________.

A. fork lift / EWPB. crane/ straight armsC. partner / bent knees

A26. Answer. C


Yes

No

Q27. During operations in high headings inspections of roofs or backs needs:

A. vehicle lightsB. helmet lamp when raised in an EWPC. lighting greater than a helmet lampD. helmet lamp

A27. Answer. C


Yes

No



Page 20 of 28


Assessor Name:



Q28. Lighting in open pits needs to consider:

A. the effects on nearby populationsB. the eyesight of drivers on haul roadsC. intensity of the moonD. all of the above

A28. Answer. A


Yes

No

Q29. What are the site procedures and processes to minimise harmful vibration from site machinery?

A29. Answer may vary depending on the workplace procedures but may include the following; Legislative & regulatory workplace rules and regulations. WHS rules and regulations. Environment rules and regulations.

RIIWHS404D4.2, 5.1.Performance EvidenceKnowledge Evidence Yes

No

Q30. Which of the following is the most common long term result from harmful exposure to vibration?

A. SinusitisB. Low back painC. ArthritisD. All of the above

A30. Answer. B


Yes

No

Q31. Which of the following is the best PPE for working in hot outside conditions?

A. Steel capsB. Self-rescuerC. Miners lampD. Brimmed hat, sunscreen, sun glasses

A31. Answer. D


Yes

No



Page 21 of 28


Assessor Name:



Q32. Which three (3) items below can best be used to assist with manual handling of mining consumables?

A. CrowbarsB. ThermometerC. Car jackD. Trolleys and hand cartsE. Hoists

A32. Answer. A/D/E


Yes

No

Q33. What are the procedures and processes used to store explosives on mine sites?

A33. Answers may vary depending on the workplace policy and procedures but may include the following;Legislative and regulatory workplace rules and regulationsWHS rules and regulations. Environment rules and regulations.

RIIWHS404D4.5, 4.7.Performance EvidenceKnowledge Evidence Yes

No

Q34. What is monitored and recorded to assess ventilation rates in a mine?

A34. Answer may vary depending on the workplace policy procedures but may include the following; Legislative, organisation and site requirements. Manufacturer’s guidelines and specifications. Industry codes of practice and guidelines.

RIIWHS404D4.6.Performance Evidence

Yes

No

Q35. Licensing requirements for explosives use on a mine site will usually require the manager to establish ________________ and _____________.

A. emergency procedures, storage ratesB. emergency procedures, evacuation proceduresC. storage rates, mixing rates

A35. Answer. B


Yes

No



Page 22 of 28


Assessor Name:



Q36. Which of the following can occur as a result of exposure to radiation?

A. ColonoscopyB. Retinal damageC. Ligament damageD. Cancer

A36. Answer. D


Yes

No

Q37. There is no safe level of exposure to radiation.TrueFalse

A37. Answer. True

RIIWHS404D4.8.Knowledge Evidence Yes

No

Q38. A near miss on a haul road intersection reveals a four wheel drive nearly colliding with a haul truck. Which of the following measurements would prove useful for future risk management?

A. Angle of convergence at the intersectionB. Width of pillars and ROP devices on cabinsC. Prevailing wind and weather conditionsD. All of the above

A38. Answer. D


Yes

No

Q39. What documents would be required to prepare an analysis of risks from dust from stockpiles?

A39. Answer may vary depending on the workplace policy & procedures but may include the following; Legislative, organisation and site requirements, training records. Manufacturer’s guidelines and specifications. Industry codes of practice and guidelines. Site weather and other statistical data. Health and safety reports.


Yes

No



Page 23 of 28


Assessor Name:



Q40. Site injury and accident records can help resolve questionable work practices.

TrueFalse

A40. Answer. True


Yes

No

Q41. What requirements and processes are involved in determining the acceptability of risk when mining in adverse conditions?

A41. Answer may vary depending on the workplace policy & procedures but may include the following; Legislative, organisation and site requirements and procedures. Industry codes of practice and guidelines. Manufacturer’s guidelines and specifications.


Yes

No

Q42. Which of the following provides the most feasible options for workshop harm minimisation?

A. Correctly stowed materialsB. Oxyacetylene bottles stowed uprightC. Clear walkwaysD. All of the above

A42. Answer. D


Yes

No

Q43. Which of the following would be useful in forming part of an audit of risk management in WHS?

A. Accident reportB. Failed tailings dam incident reportC. Near miss reportD. All of the above

A43. Answer. D


Yes

No



Page 24 of 28


Assessor Name:



Q44. Which three (3) items below would need to be reported consistently to ensure record keeping procedures for the mine atmosphere are kept up-to–date?

A. Readings from diesel enginesB. Walk around inspection of an LHD carC. Operation of continuous minerD. Methane readings at the faceE. Ventilation maintenance records

A44. Answer. A/D/E


Yes

No

Q45. How frequently should a routine inspection of a tailings or rejects storage facility which carries radioactive material be performed?

A. A properly constructed and authorised tailings dam requires no regular inspection

B. A tailings dam need only be inspected during maintenance

C. The higher the tailings dam wall the less frequent the inspections

D. The greater the hazard/risk the more frequent the inspection

A45. Answer. D


Yes

No

Feedback to Candidate:

Questioning comments:





Page 25 of 28

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


RIIWHS404DFoundation SkillsKnowledge EvidenceAnd / orPerformance Evidence

Yes

No






Page 26 of 28

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 27 of 28

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

You are required to research your workplace/site to build a portfolio of documentation that would support work activity you do is compliant when ‘implementing and monitoring health and hygiene management systems’. Some considerations you will need to include: Identify high risk activities and control measures

including; Site policy around the high risk activities identified Consultation and training around the high risk activities

identified Monitoring around the high risk activities identified

Guidance may be provided to the candidate around what types of evidence are acceptable and appropriate for the portfolio.Assessor Guide: Safety and Health Management System (SHMS) with analysis of high risk activity. Principal Hazard Management Plan (PHMP), Trigger action response plan (TARP), Principal mining hazard management plan (PMHMP).Legislation; regulation; Codes of Practice; standards. MOP/SOP. Site risk management policy; and work instructions for hazard identification; work instructions for risk assessment, selection and implementation of controls; incident/accident investigation requirements; risk auditing and investigation requirements; consultative arrangements for employees in the risk management process. Manufacturer’s guidelines and specifications; Equipment and maintenance records i.e. Ventilation.


RIIWHS404D1.1, 1.2, 1.3, 1.4, 1.5.2.1, 2.2, 2.3, 2.4, 2.5, 2.6, 2.7.3.1, 3.2, 3.3.4.1, 4.2, 4.3, 4.4, 4.5, 4.6, 4.7, 4.8.5.1, 5.2, 5.3, 5.4.Knowledge Evidence

Yes

No

Feedback to Candidate:Workplace project comments:





Page 28 of 28

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 29 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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