Assessor Resource

DEFCPL001
Evaluate and review safety cases

Assessment tool

Version 1.0
Issue Date: April 2024


This unit specifies the skills and knowledge required to ensure compliance requirements through the evaluation and review of safety cases.

It includes developing evaluation plans, analysing a safety case, communicating with stakeholders and making recommendations about certification.

This unit applies to Defence workers involved in the evaluation and review of safety cases but is applicable to all individuals who work in this field.

The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.

Persons undertaking this unit work independently and as part of a team under direct and indirect supervision, and perform routine tasks in familiar contexts.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Develop an evaluation plan

1.1

Determine evaluation criteria in accordance with safety case procedure

1.2

Develop an evaluation methodology to ensure sufficiently valid and reliable outcomes for safety case review

1.3

Research safety case evaluation and review and seek clarifying advice from stakeholders, as required

1.4

Liaise with stakeholders to develop evaluation plan

2

Analyse a safety case

2.1

Analyse safety case data in accordance with planned methodology

2.2

Review initial outcomes and findings and discuss with stakeholders in accordance with planned methodology

2.3

Conduct additional data collection and analysis to clarify aspects of initial findings, as required

3

Evaluate and review findings

3.1

Prepare a draft report on safety case outcomes, findings and recommendations in accordance with planned methodology

3.2

Discuss draft report with relevant stakeholders and seek feedback, as required

3.3

Update and edit report based on stakeholder feedback

4

Disseminate evaluation outcomes

4.1

Produce report and disseminate to relevant stakeholders in accordance with planned methodology

4.2

Forward recommendations about certification to delegate for action in accordance with organisational procedures

4.3

Store documentation to meet audit requirements

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include:

accessing/preparing information electronically or in hard copy

analysing and organising data using appropriate techniques

applying organisational policies and procedures

applying risk management techniques

applying safety case risk management system by:

explaining how safety (and other forms of risk) has been considered with regard to any system or equipment throughout the life of the capability from definition through to disposal

explaining how due diligence has been given to the hazards associated with the introduction into service of new capability and documenting the system that facilitates the management of hazards

applying safety, legislative and statutory requirements relevant to the risk assessment

communicating with stakeholders using a range of communication styles to suit different audiences and purposes

conducting quantitative data analysis using appropriate techniques

conducting various types of evaluation surveys

contributing to a positive culture of safety compliance

determining and applying evaluation and review methodology

maintaining security and confidentiality of data in accordance with organisational procedures and regulatory requirements

managing projects, resources and timelines

preparing detailed and complex reports and recommendations

undertaking research

using management techniques related to evaluation and review of safety cases

using management tools suited to evaluation and review of safety cases.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of:

management tools suited to evaluation and review processes

procedures for verifying data and identifying mistakes

regulatory systems relevant to safety cases and safety systems

regulatory systems relevant to the work performed

relevant organisational policies, procedures and guidelines

risk assessment and management process relevant to materiel, materiel systems and work being performed

safety case certification procedures

safety case risk management system

relevant work health and safety (WHS)/occupational health and safety (OHS) legislation.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Assessment must occur in workplace operational situations, where it is appropriate to do so; where this is not appropriate, assessment must occur in simulated workplace operational situations that replicate workplace conditions.

Resources for assessment must include access to:

a range of relevant exercises, case studies and/or other simulations

relevant and appropriate materials, computer, software, legislation, guidelines, procedures and protocols relating to safety case processes, relevant plans and workplace documentation currently used in industry

applicable documentation including operational procedures, regulations, codes of practice and operation manuals.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Develop an evaluation plan

1.1

Determine evaluation criteria in accordance with safety case procedure

1.2

Develop an evaluation methodology to ensure sufficiently valid and reliable outcomes for safety case review

1.3

Research safety case evaluation and review and seek clarifying advice from stakeholders, as required

1.4

Liaise with stakeholders to develop evaluation plan

2

Analyse a safety case

2.1

Analyse safety case data in accordance with planned methodology

2.2

Review initial outcomes and findings and discuss with stakeholders in accordance with planned methodology

2.3

Conduct additional data collection and analysis to clarify aspects of initial findings, as required

3

Evaluate and review findings

3.1

Prepare a draft report on safety case outcomes, findings and recommendations in accordance with planned methodology

3.2

Discuss draft report with relevant stakeholders and seek feedback, as required

3.3

Update and edit report based on stakeholder feedback

4

Disseminate evaluation outcomes

4.1

Produce report and disseminate to relevant stakeholders in accordance with planned methodology

4.2

Forward recommendations about certification to delegate for action in accordance with organisational procedures

4.3

Store documentation to meet audit requirements

Range is restricted to essential operating conditions and any other variables essential to the work environment.

Non-essential conditions may be found in the Companion Volume Implementation Guide.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria on at least one occasion and include:

accessing/preparing information electronically or in hard copy

analysing and organising data using appropriate techniques

applying organisational policies and procedures

applying risk management techniques

applying safety case risk management system by:

explaining how safety (and other forms of risk) has been considered with regard to any system or equipment throughout the life of the capability from definition through to disposal

explaining how due diligence has been given to the hazards associated with the introduction into service of new capability and documenting the system that facilitates the management of hazards

applying safety, legislative and statutory requirements relevant to the risk assessment

communicating with stakeholders using a range of communication styles to suit different audiences and purposes

conducting quantitative data analysis using appropriate techniques

conducting various types of evaluation surveys

contributing to a positive culture of safety compliance

determining and applying evaluation and review methodology

maintaining security and confidentiality of data in accordance with organisational procedures and regulatory requirements

managing projects, resources and timelines

preparing detailed and complex reports and recommendations

undertaking research

using management techniques related to evaluation and review of safety cases

using management tools suited to evaluation and review of safety cases.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements and performance criteria and include knowledge of:

management tools suited to evaluation and review processes

procedures for verifying data and identifying mistakes

regulatory systems relevant to safety cases and safety systems

regulatory systems relevant to the work performed

relevant organisational policies, procedures and guidelines

risk assessment and management process relevant to materiel, materiel systems and work being performed

safety case certification procedures

safety case risk management system

relevant work health and safety (WHS)/occupational health and safety (OHS) legislation.

As a minimum, assessors must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

As a minimum, assessment must satisfy applicable regulatory requirements, which include requirements in the Standards for Registered Training Organisations current at the time of assessment.

Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.

Assessment must occur in workplace operational situations, where it is appropriate to do so; where this is not appropriate, assessment must occur in simulated workplace operational situations that replicate workplace conditions.

Resources for assessment must include access to:

a range of relevant exercises, case studies and/or other simulations

relevant and appropriate materials, computer, software, legislation, guidelines, procedures and protocols relating to safety case processes, relevant plans and workplace documentation currently used in industry

applicable documentation including operational procedures, regulations, codes of practice and operation manuals.

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Determine evaluation criteria in accordance with safety case procedure 
Develop an evaluation methodology to ensure sufficiently valid and reliable outcomes for safety case review 
Research safety case evaluation and review and seek clarifying advice from stakeholders, as required 
Liaise with stakeholders to develop evaluation plan 
Analyse safety case data in accordance with planned methodology 
Review initial outcomes and findings and discuss with stakeholders in accordance with planned methodology 
Conduct additional data collection and analysis to clarify aspects of initial findings, as required 
Prepare a draft report on safety case outcomes, findings and recommendations in accordance with planned methodology 
Discuss draft report with relevant stakeholders and seek feedback, as required 
Update and edit report based on stakeholder feedback 
Produce report and disseminate to relevant stakeholders in accordance with planned methodology 
Forward recommendations about certification to delegate for action in accordance with organisational procedures 
Store documentation to meet audit requirements 

Forms

Assessment Cover Sheet

DEFCPL001 - Evaluate and review safety cases
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

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Result: Competent Not yet competent

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Assessment Record Sheet

DEFCPL001 - Evaluate and review safety cases

Student name:

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Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

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Overall assessment result: Competent Not yet competent

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