i-sms-9071 - 27.11.07

CHIEF CIVIL ENGINEERSafety Management Standard

I-SMS-9071Safety Competence Management System for Rules-Related Tasks

PurposeThis standard describes the process by which the CCE Department manages competence for personnel engaged in safety-critical rules-related tasks.

Document ControlReference No I-SMS-9071 Issue No Issue 1.0

Operative Date 01/01/08 Prepared by D. Buckley

Checked by J Mullin Authorised for Release by

Chief Civil Engineer E. Wilcock

This standard has been approved by the Infrastructure Safety Steering Group and therefore constitutes mandatory standard practices which apply throughout the Department.

This standard is presented online. As such, it is the current issue of the standard and thus may be considered as controlled. If the user prints a copy of this standard, the copy becomes uncontrolled and the uncontrolled status is declared below.

Holders of uncontrolled copies of this document are responsible for checking the online version to see if they have the current issue. No record is maintained of holders of uncontrolled copies.

If this standard is being issued in print as a controlled copy, it will be recorded in a document control system and an appropriate coloured endorsement will be affixed below.

The issue of CCE standards is a continuous process. There may be some cross-references to standards which have not yet been issued. Specific queries on this standard may be directed to the Safety Manager, CCE Department.

General queries may be directed to the Document Controller, CCE department, Iarnród Éireann, Inchicore, Dublin 8.

AS PRESENTED ONLINE, THIS IS A CONTROLLED COPY

IF YOU READ THIS IN PRINTED FORM, IT IS UNCONTROLLED

CONTENTS

Iarnród Éireann Safety Competence Management System for Rules-Related Tasks

1 POLICY AND PRINCIPLES 41.1 Policy 41.2 General Principles 41.3 Competence 41.4 Qualifications of Assessors and Verifiers 41.5 Records 51.6 Monitoring 51.7 Audit 5

2 DEFINITIONS 5

3 ORGANISATION AND DUTIES 63.1 General 63.2 Chief Civil Engineer (CCE) 63.3 Safety Manager, CCE department 73.4 Section Managers 73.5 Human Resources (HR) Manager, CCE department 73.6 Supervisors and Inspectors 83.7 Verifiers 83.8 Assessors 93.9 All Staff 9

4 Planning 94.1 Identification of Safety-Critical Tasks 94.2 Selection and Development of Appropriate Assessment Criteria 10

5 IMPLEMENTATION AND OPERATION 115.1 General 115.2 Training, Assessment and Appointment of Assessors 115.3 Training, Assessment and Appointment of Verifiers 115.4 Assessment of Candidate’s Competence 125.5 Maintenance of Records 13

6 MONITORING 136.1 General 136.2 Verification Checks 14

7 REVIEW 147.1 Review Procedure 14

8 REVISION HISTORY 14

APPENDIX A SAFETY-CRITICAL RULES-RELATED TASKS 15

APPENDIX B GUIDANCE NOTES ON COMPETENCE ASSESSMENTS 16B.1 Joint Responsibility 16B.2 Managers, Supervisors 16B.3 Assessors 16B.4 Candidates 18

APPENDIX C COMPETENCE ASSESSMENTS: APPEALS PROCEDURE 19C.1 Disputed Assessments 19C.2 Competence Assessment: Appeal Form C2 20

APPENDIX D COMPETENCE ASSESSMENT FORMS 21

I-SMS-9071 of 21Issue 1.0


1 POLICY AND PRINCIPLES

1.1 Policy1.1.1 The Chief Civil Engineer (CCE) controls risk by measures which include

the use of suitably trained and competent personnel.1.1.2 This standard supports the requirements contained in Company Safety

Standard 7 and Railway Safety Standard 67. 1.1.3 This standard applies to all CCE Department personnel involved in rules-

related tasks that are designated safety critical (SC).1.1.4 The procedures contained in this standard support compliance with Rule

Book competence, and Iarnród Éireann Railway Standards.

1.2 General Principles1.2.1 Before any of the competencies described in this standard can be

achieved, the candidate must have satisfied the requirements of Iarnród Éireann Railway Safety Standard 11 Personal Track Safety (PTS).

1.2.2 CCE ensures that the competence arrangements for rules-related tasks comply with the general arrangements contained in the Safety Case for SC competencies.

1.2.3 CCE ensures that personnel undertaking work designated as SC are also competent to carry out that work.

1.2.4 Terms such as handsignalman in this standard are not gender specific.

1.3 Competence1.3.1 Competence is assessed for the activities identified as SC rules-related

tasks and listed in Appendix A.1.3.2 Competence assessment criteria adopted are appropriate to the

potential risk involved in the activity being performed.1.3.3 The competence assessment criteria being applied must be approved. 1.3.4 Each candidate is assessed against the requirements of the relevant

competence assessment criteria for the SC rules-related tasks.

1.4 Qualifications of Assessors and Verifiers1.4.1 CCE only uses assessors with the following:

1. Occupational skills, knowledge and experience relevant to the (SC) tasks being assessed

2. A qualification from the National Standard for Assessors (A1) 3. A Track Safety Co-ordinator (TSC) certificate, where the location of

the assessments requires this1.4.2 Any chief assessor appointed as verifier must hold a NVQ for Verifiers

(V1).

1.5 Records



1.5.1 The records of SC rules-related training and assessments are kept in an auditable form.

1.5.2 Retrieval is possible within 48 hours of a request from an authorised individual.

1.6 Monitoring1.6.1 As part of their normal duties, supervisors, managers and assessors

monitor the competence of personnel performing these SC tasks.1.6.2 Formal assessments carried out as part of this standard complement

supervisory spot checks and on-site monitoring. They do not replace them.

1.7 Audit 1.7.1 This standard is audited every 5 years as part of the CCE internal audit

process.

2 DEFINITIONS

2.1.1 The established definition of safety terminology used in standards and procedures is set out in Railway Safety Standard 40 Glossary of Terms and Definitions for Use in Safety Management on Iarnród Éireann. Additional definitions for this standard are given below:4. Assessment Forms – A document used by an assessor to record

the assessment of a candidate’s performance.5. Candidate – A person whose competence is assessed by an

assessor.6. Competence Assessment Criteria – A statement of:

what a person must be able to do, and how well, to achieve the intended outcome of an activity or task consistently

how this competence will be assessed the circumstances under which the

candidate’s ability has to be demonstrated the evidence needed to ensure that

performance is consistent and can be sustained7. Element of Competence – A task, or element of a task, which

forms part of the performance criteria.8. Essential Underpinning Knowledge – The core understanding

and experience that allows a person to perform the task in the workplace.

9. Performance Criteria – A statement of the skills and knowledge required to carry out a particular task.

10. Safety Competence Management System – A documented system by which CCE ensures, as far as is reasonably practicable, that its employees consistently achieve the standards of rules competence required for their work.



11. Safety-Critical (SC) Task – As defined in the Railway Safety Act 2005.

12. Section Managers – Heads of Sections in CCE: Divisional Engineer Production Manager Manager Facilities and Buildings Human Resources Manager CCE Department Asset Manager Planning and Development Manager Finance Manager Safety Manager Principle Engineer Track and Structures OTM Co-ordinator (Acting)

13. Verifier – Person who ensures the assessment process and the systems and procedures which underpin the process are independently assured. A verifier may also be a chief assessor.

14. Work Activity – A component of work for which performance criteria can be separately identified.

3 ORGANISATION AND DUTIES

3.1 General3.1.1 Listed below are the assigned duties associated with this standard.

Detailed responsibilities are contained within the individual job description for the post concerned.

3.2 Chief Civil Engineer3.2.1 The duties include:

15. Having arrangements in place in his/her department to ensure all staff including managers and supervisors are competent to undertake their safety responsibilities

16. Having arrangements in place for the implementation and monitoring of this standard



3.3 Safety Manager, CCE Department3.3.1 The duties include:

17. Auditing compliance with this standard18. Reporting findings to the Chief Civil Engineer 19. Ensuring that the appeals procedure is dealt with appropriately 20. Leading the review of this standard at least every 5 years21. The approval of documentation used by assessors in carrying out

assessments

3.4 Section Managers3.4.1 The duties include:

22. Identifying staff who undertake SC rules-related tasks23. Ensuring that arrangements are in place both initially and at the

required intervals for the training and assessment of staff who undertake these tasks

24. Ensuring that people who have recently completed theoretical training are given the opportunity to achieve practical competence within a reasonable period of time

25. Ensuring that any remedial action following an assessment is implemented, such as additional training, coaching etc.

26. Making themselves familiar with the relevant standards and selecting suitable candidates to be trained as assessors

27. Ensuring that assessors who are assigned to assess a candidate’s performance hold the relevant certificate of competence, and that validated methodologies are used to verify the practical knowledge

28. Ensuring sufficient assessors are available to comply with the requirements of this standard

29. Approving the signing of certificates for issuing to qualified personnel

30. Advising inspectors, supervisors and employees in advance when medical assessments are about to fall due

3.4.2 These responsibilities may be delegated through each section’s line management structure as decided by the section manager.

3.5 Human Resources (HR) Manager, CCE Department3.5.1 The duties include:

31. Advising managers and employees in advance when medical assessments are about to fall due

32. Arranging training for assessors and verifiers so that they can work towards obtaining the relevant qualifications: A1 for assessors and V1 for verifiers



33. Ensuring that all training and competence assessment records to support the issue of certificates are recorded in the competence database register and are available for audit

34. Assisting managers based in HQ in meeting their responsibilities as outlined in section 3.4.1 above

3.5.2 These responsibilities may be delegated to HR managers attached to sections.

3.6 Supervisors and Inspectors3.6.1 The duties include:

35. Taking reasonable steps to verify that staff reporting for duty are fit and competent to carry out the work, and remain so during their period of duty

36. Identifying training requirements for staff37. Arranging for the release of staff for training and assessment38. Providing staff who have recently completed theoretical training

with the opportunity to achieve practical competence 39. Supporting their staff in achieving the required competence

requirements40. Paying special attention to newly qualified staff and giving feedback

regarding any concerns about their competence to their manager or the assessor

3.7 Verifiers3.7.1 The duties include:

41. Ensuring that the appropriate competent assessment criteria are being used to assess personnel

42. Supporting the Safety Manager with the development of competence assessment criteria

43. Endorsing an assessor’s authority to assess for inclusion in the competence database register

44. Carrying out spot checks on assessments to ensure all assessors are consistent in their use of the standards

45. Ensuring that assessors retain technical expertise and assessor skills

46. Managing and carrying out the appeals process where appropriate47. Maintaining copies of verification checks48. Ensuring assessors and internal verifiers retain the necessary

competence to assess all SC rules-related tasks and keep their certification up to date by attending refresher training and any further professional development programmes as may be identified



3.8 Assessors3.8.1 The duties include:

49. Assessing workplace rules-related competence using appropriate assessment criteria

50. Coaching staff in the implementation of rules procedures51. Monitoring safety performance52. Briefing on safety matters

3.9 All Staff3.9.1 The duties include:

53. Ensuring, when undertaking an assessment, that they are able to understand the performance criteria required to achieve the relevant task competence

54. Requesting copies, if they wish, of their assessment for their own records

55. Not undertaking SC tasks for which they are not considered competent

56. Ensuring that they retain the necessary competence57. Advising their manager if an existing certificate of competence,

which is required to be retained, is about to expire and no advice has been received of reassessment

4 PLANNING

4.1 Identification of Safety-Critical Tasks4.1.1 Identification of safety-critical (SC) tasks is guided by the safety-critical

definition contained in the Railway Safety Act 2005. All rules-related tasks are assessed to identify those that are SC.

4.1.2 Rules Related SC tasks are identified as follows: 58. Track Safety Co-ordinator (TSC)59. Lookout60. Person in Charge (PIC)61. Handsignalman (HSM)62. Person in Charge of Possession (PICOP)63. Engineering Supervisor (ES)64. Train Guard65. On-Track Machine (OTM) operator

4.1.3 SC rules-related tasks are listed in more detail in Appendix A of this standard.



4.2 Selection and Development of Appropriate Assessment Criteria

4.2.1 The CCE department Safety Section develops competence assessment criteria for all rules-related tasks designated as SC.

4.2.2 The CCE department Safety Section reviews competence assessment criteria to ensure the content meets the current requirements for the tasks being undertaken.

4.2.3 Competence assessment criteria are developed in order of priority, taking account of:66. The potential severity of the consequences of human error by

persons performing SC rules-related tasks, and the likelihood of errors occurring

67. SC rules-related tasks outlined in the specific railway safety standards

68. The presence of supervisory systems and other controls designed to control the risk

4.2.4 The competence assessment criteria provide guidance for competence-based assessment. They are based on the elements required to perform the tasks competently in the workplace. They include assessment of the knowledge that is needed to perform the same duties, in varying situations.

4.2.5 Assessment consists of the following:69. Task being covered70. Element of competence71. Performance criteria72. Essential underpinning knowledge73. Evidence requirements

4.2.6 Each assessment contains a breakdown of the skills and knowledge needed to carry out a particular task. The candidate’s performance in carrying out a task is assessed using the performance criteria.

4.2.7 Each assessment is broken down into elements of competence. These are the tasks that the candidate should be able to demonstrate in the workplace. Each element of competence can be assessed separately.

4.2.8 Each element of competence has its own performance criteria and underpinning knowledge. Each element details the standard to which the task should be performed. All the performance criteria must be met for the candidate to be assessed as competent in that element.

4.2.9 The competence assessment criteria to be used form part of this standard. The development of these criteria is ongoing.

4.2.10 The Document Controller (DC) arranges to make available on line the most up to date Competence Assessment Criteria

4.2.11 Candidates must meet the fitness or medical requirements for SC rules-related tasks.



5 IMPLEMENTATION AND OPERATION

5.1 General5.1.1 SC rules-related tasks which require demonstration of competence are

identified from a number of sources. Sources of information examined to identify these tasks include the following:74. Rule Book75. Railway Safety Standards76. Railway Safety Act 2005

5.1.2 Contracts include the requirement for contractors or sub-contractors to demonstrate the competence of their personnel before commencing any rules-related tasks which are deemed to be SC.

5.1.3 Changes to the organisation are subject to safety validation (see Company Safety Standard 3 Standard for the Safety Validation of Organisational Change). This includes a review to ensure that the capability to undertake SC work is not compromised.

5.2 Training, Assessment and Appointment of Assessors5.2.1 All managers must ensure that they have a sufficient number of trained

assessors to carry out the assessments required by this standard.5.2.2 Where a shortfall in assessors is identified, managers must ensure that

additional suitable candidates are selected for training or arrange for competent assessors to be procured.

5.2.3 Candidates undertaking A1 training follow the requirements of the National Standard for Assessors and are deemed as competent to assess by a verifier qualified to V1 level.

5.2.4 An assessor demonstrates occupational competence by having:77. Certification of competence in the work being assessed, or evidence

of previous occupational competence together with recent experience in relevant positions associated with the work being assessed (e.g. supervisory), and

78. Up-to-date theoretical and practical knowledge. 5.2.5 If an assessor is deemed to be no longer competent to assess a

particular activity, the verifier advises the assessor’s line manager and the Human Resources Manager, CCE department. The assessor's authority to assess is amended accordingly and reissued as appropriate.

5.2.6 An assessor’s authority to assess is endorsed by the verifier, for inclusion in the competence database register.

5.3 Training, Assessment and Appointment of Verifiers5.3.1 A verifier demonstrates occupational competence by having:

79. Certification of competence in the work being assessed, or evidence of previous occupational competence together with more recent experience in relevant positions associated with that work (e.g. supervisory), and

80. Up-to-date theoretical and practical knowledge.



5.3.2 Where the verifier is deemed to be no longer competent to assess a particular activity, the Safety Manager advises the Human Resources Manager, CCE department. The verifier's authority to verify is amended accordingly and reissued as appropriate.

5.4 Assessment of Candidate’s Competence5.4.1 The assessment methods chosen for each SC rules-related task enables

the assessor to be satisfied, as far as is reasonably practicable, that the candidate is competent or not yet competent:81. Across the range of SC rules-related tasks and equipment for which

he/she is responsible82. To carry out his/her responsibilities in emergencies or unplanned

situations that they could be expected to encounter in the course of their work

5.4.2 These methods enable the assessor to confirm that the candidate has the knowledge needed to underpin competent performance.

5.4.3 Reassessment of competence is carried out:83. At intervals not greater than two years, except where a higher

frequency is provided for, or 84. Where an incident has occurred which calls into question an

individual's competence, or85. Where an activity is performed infrequently (This must be done

where appropriate, taking into account the risk associated with the activity concerned.), or

86. In other circumstances, where a manager or supervisor deems this necessary.

5.4.4 Guidance to candidates and assessors in carrying out assessments is given in Appendix B.

5.4.5 There is provision for a candidate to appeal the outcome of an assessment. An outline of the appeals procedure is given in Appendix C.



5.5 Maintenance of Records5.5.1 Records are maintained of the following:

87. All staff who are engaged in SC rules-related tasks, their training and their assessments

88. Refresher training, reassessment and expiry dates of competence certificates

89. All qualified assessors together with those SC rules-related tasks which each assessor is competent to assess

90. All qualified verifiers together with those SC rules-related tasks which each verifier is competent to verify

5.5.2 The results of assessments are recorded in a form that is available to CCE department local managers and other authorised staff who may require details of an individual’s competence. The results are also made available to candidates.

5.5.3 This information is held in the competence database register which is available on a read-only basis to authorised users.

5.5.4 Records of training, assessment, and competence certification issued are retained for 12 years.

5.5.5 Records of verification checks on assessors are retained for 5 years.

6 MONITORING

6.1 General6.1.1 Managers and supervisors must continually check that personnel

remain competent in the tasks they are asked to perform and observe compliance with this standard.

6.1.2 During site monitoring visits, managers and supervisors ensure that staff who carry out SC rules-related tasks have the appropriate certificate of competence and that this is in date.

6.1.3 Reassessment of competence is carried out at the specified intervals, or when a member of staff displays a lack of competence while undertaking an activity for which he/she had previously been deemed competent.

6.1.4 The effectiveness of this standard is monitored by:91. Review of incidents involving SC rules-related tasks92. Review of assessment results93. Competence-related issues identified in the monitoring process



6.2 Verification Checks6.2.1 Verifiers monitor the quality and consistency of assessment practice

and review the assessment decisions made by assessors. Work performed by assessors is reviewed on a regular basis. This is done though sampling or spot checks. The scale of the sampling must be sufficient over time to include each different assessment method used by an individual assessor.

6.2.2 Verifiers ensure that the assessment process is consistently applied.6.2.3 The frequency of verification checks is decided by:

94. The assessor’s previous experience of using the CCE assessment system

95. The amount of assessment work being undertaken96. Incidents which indicate deficiencies in the assessment system or

staff competence6.2.4 Assessments are monitored by the appropriate verifier.

7 REVIEW

7.1 Review Procedure7.1.1 This standard will be reviewed every 5 years or earlier if required.7.1.2 If changes arise from the review, this standard will be reissued. If no

changes arise from the review, the current version of this standard will remain in force.

8 REVISION HISTORY

Issue No and Date Section No and Reason for Change



APPENDIX A SAFETY-CRITICAL RULES-RELATED TASKS

A.1.1 The following safety-critical (SC) rules-related tasks are within the scope of this standard:97. Track Safety Co-ordinator (TSC) Person responsible for setting up a

safe system of work including the safety briefing of other personnel in a work group.

98. Person(s) acting as a lookout. This must be carried out by staff holding a Lookout certificate.

99. Person responsible for the protection and working of a hand trolley and Rail-Mounted maintenance equipment. This must be carried out by staff holding the following certificate: Person In Charge (PIC).

100. Person responsible for the protection of engineering works on lines not under possession. This must be carried out by staff holding the following certificate: Person In Charge (PIC).

101. Person responsible for loading or unloading vehicles during engineering work. This must be carried out by staff holding the following certificate: Person In Charge (PIC).

102. Person responsible for the line after an accidental obstruction of the line. This must be carried out by staff holding the following certificate: Person In Charge (PIC).

103. Person responsible for the co-ordination of Road/Rail vehicles. This must be carried out by staff holding the following certificate: Person In Charge (PIC).

104. Persons responsible for acting as a handsignalman (HSM). This must be carried out by staff holding a Handsignalman certificate.

105. Person responsible for the absolute possessions of the line. This must be carried out by staff holding the following certificate: Person in Charge of Possession (PICOP)/Engineering Supervisor (ES).

106. Person responsible for Train Guard duties associated with the operation of Engineers trains.

107. Person responsible for the operation of a On-Track Machine (OTM Operator.)

A.1.2 The following Railway Safety Standards are associated with rules-related safety-critical tasks: 108. Railway Safety Standard 13 Person in Charge of Possession

and Engineering Supervisor

109. Railway Safety Standard 38 Selection, Training, Assessment and Monitoring of Track Safety Co-ordinators

110. Railway Safety Standard 49 Selection, Training, Assessment and Monitoring of Lookouts (Draft)

111. Railway Safety Standard 50 Selection, Training, Assessment and Monitoring of Handsignalmen (Draft)



112. Railway Safety Standard 39 Selection, Training, Assessment and Monitoring of On-Track Machine Operators.



APPENDIX B GUIDANCE NOTES ON COMPETENCE ASSESSMENTS

B.1 Joint ResponsibilityB.1.1 The achievement of competence and the monitoring of performance are

the responsibilities of managers, supervisors and staff alike. This process is designed to be an open system, applying standards that are accessible and achievable.

B.2 Managers, SupervisorsB.2.1 Managers or supervisors must ensure that the assessment

arrangements are fully briefed to the candidate prior to undertaking an assessment.

B.3 AssessorsB.3.1 The assessor must brief the candidate and agree an assessment plan

before the first occasion of an assessment event. Subsequent assessments will not require candidate briefing, but will require an assessment plan, which must be communicated in advance to the candidate.

B.3.2 Any questions and responses that are used to meet the evidence requirements must be recorded.

B.3.3 Reference must be made to relevant documentation, including the current status of any known non-compliance with existing standards or procedures.

B.3.4 Assessment activities that are carried out on or near the line must take place under the direction of a Track Safety Co-ordinator (TSC). The TSC might be the assessor, the candidate, or another qualified person. If the candidate is acting as a TSC, the assessor should ensure that the candidate feels comfortable acting as TSC while being assessed.

B.3.5 During an assessment, the candidate is regarded as not yet competent, and the assessor is responsible for the safe actions of the candidate. If any unsafe actions are observed, the assessor must intervene immediately and the candidate deemed to be not yet competent.

B.3.6 The assessment must cover all aspects of the essential underpinning knowledge and may be determined through questioning, observation or simulation as necessary.

B.3.7 Additional evidence may be provided by:113. Examining someone else's account of what took place when

the candidate carried out the task (witness testimony)114. Examining records of the task concerned115. Examining an end product of the task

B.3.8 Constructive feedback on the candidate's performance, including the outcome, must be given as soon as possible after the assessment, with future remedial action identified as necessary.

B.3.9 The outcome of the assessment must be recorded, including reasons if the candidate is deemed not yet competent and any agreed future action(s). Copies of decision forms signed by the assessor and the



candidate must be sent to the appropriate section manager for record keeping.

B.3.10 On being deemed not yet competent, the candidate must be informed that he/she has the right of appeal.

B.3.11 If the candidate is deemed not yet competent during reassessment, the existing relevant certificate of competence must be revoked immediately. A new certificate may not be issued until the candidate has been assessed as competent.

B.3.12 Competence assessment criteria are available for each activity in individual forms, separately identified by a unique reference number.

B.3.13 Various forms for the recording of the assessment and the verification processes have been produced (see Appendix D).

B.3.14 The assessor ensures assessment in all items included in the underpinning knowledge relate to the performance criteria.

B.3.15 During any assessment, the assessor stays out of the way as much as possible. However, the assessor does intervene and stop the assessment if the candidate does something that puts him/her or others in danger.

B.3.16 The assessor records the following information:116. Date(s) and location of the assessment117. Methods of assessment used: questioning, product evidence

or observation118. The safety-critical task against which assessment is made119. If the performance criteria were met

B.3.17 Any disputed assessments are dealt with through the appeals procedure, details of which are set out in this document (see Appendix C).

B.4 CandidatesB.4.1 It is the responsibility of the candidate undertaking the assessment to

ensure that he/she understands the performance criteria to be assessed.



B.4.2 It is the responsibility of the candidate undertaking the assessment to ensure that he/she has the required equipment and documentation.

B.4.3 Before candidates are assessed for the first time on any element of competence, their assessor meets with them. Candidates can expect their assessor to do some or all of the following: Go through the assessment documentation with them to make sure

they understand the performance criteria, etc. Ask them if they feel confident about being assessed as competent

in the task at this moment in time. Ask them how they might be helped if they are not confident.

Candidates should feel free to make suggestions or to point out areas where they would like more information, practice, or training.

Plan some or all of the assessments for the task concerned. Take steps to ensure that the candidate’s assessment plan is agreed

by others who may be affected e.g. their supervisor.



APPENDIX C COMPETENCE ASSESSMENTS: APPEALS PROCEDURE

C.1 Disputed AssessmentsC.1.1 This appeals procedure is for use in the case of a disputed assessment.C.1.2 On being deemed not yet competent and the supports of training or

coaching having been exhausted, the candidate must be informed by the assessor of the performance criteria that have not been achieved and that he/she has the right of appeal.

C.1.3 The assessor informs the candidate that he/she has 7 days to submit an appeal and advises to whom the appeal should be sent.

C.1.4 The reason(s) for the appeal should be given in writing by the candidate on Appeal Form C2, which should be sent to the relevant local manager (see C.2 for a sample of the appeal form).

C.1.5 The local manager forwards a copy of the appeal form and assessment evidence to the relevant verifier.

C.1.6 The verifier reviews the evidence and arranges for a further assessment to be carried out by an independent assessor, who can be the verifier.

C.1.7 If deemed not yet competent following the independent assessment, the candidate must be informed of the reasons by the independent assessor and also informed that he/she has a further right of appeal.

C.1.8 The reason(s) for a second appeal should also be given in writing by the candidate on Appeal Form C2 which should be sent to the relevant local manager (see C.2 for a sample of the appeal form).

C.1.9 Notice of a second appeal by the candidate must be given to the Safety Manager by the section manager of the task that was assessed.

C.1.10 The Safety Manager, CCE or his/her representative, convenes an appeals panel. The panel consists of the section manager or their representative, a HR representative, and an assessor with relevant task knowledge. The assessor must be independent of the disputed assessments.

C.1.11 The candidate may present his/her case to the appeals panel in person. C.1.12 The decision of the appeals panel is communicated to the candidate

and assessor involved.C.1.13 The decision of the appeals panel is final.



C.2 Competence Assessment: Appeal Form C2

IARNRÓD ÉIREANN – CCE DepartmentCompetence Assessment Appeal (Form C2)

Candidate Details Name: _____________________ Staff No: _________________Grade: _____________________ Location: ________________

Assessment DetailsAssessor Name: _________________________Date of Assessment: _____________________

Certificate Being Assessed: _________________________________

Indicate whether: 1st Appeal or 2nd Appeal

The reasons for my appeal is/are as follows:

The appeal must be submitted within 7 days of the date of the assessment.

Signed: ________________________ Date: _______________________

To Manager: ________________________________



APPENDIX D COMPETENCE ASSESSMENT FORMS

This table indicates where to locate the relevant forms used for competence assessment of rules-related safety-critical tasks.

COMPETENCE ASSESSMENT

Task/Role Document Section(Form)

Status Date Approved By

1 PICOP Appendix D1 Approved 3rd June 2005 Manager Operations HQ

2 LOOKOUT Appendix D2 Approved 3rd June 2005 Manager Operations HQ

3 TSC Appendix D3 Approved 3rd June 2005 Manager Operations HQ

4 HSM Appendix D4 Approved 23rd Oct 2007 Safety Manager CCE, Dept

5 PIC Appendix D5 Approved 23rd Oct 2007 Safety Manager CCE, Dept

6 ES Appendix D6 Approved 23rd Oct 2007 Safety Manager CCE, Dept

7 BALLAST GUARD

Appendix D7 Approved 25th Feb 2009 Safety Manager CCE, Dept

8 OTM OPERATOR

Appendix D8 Draft

Abbreviations

ES Engineering SupervisorHSM HandsignalmanOTM On-Track MachinePIC Person in ChargePICOP Person in Charge of PossessionTSC Track Safety Co-ordinator


i-sms-9071 - 27.11.07

Documents