1 3 180 v6 Signalling Principles Tester

INSTITUTION OF RAILWAY SIGNAL ENGINEERS LICENSING SCHEME
1.
3.180 v6 Signalling Principles Tester - Assessment Checklist
Applicant’s name Licence no (if held) Email
Initial application Surveillance (at 5 years) Renewal (at 10 years)

Scope statement: A Signalling Principles Tester will be responsible for undertaking testing
activities, independent of design, and provide suitable and sufficient evidence to confirm that the
operational, technical, and safety principles demanded by the designated authorities have been
validated. This includes ensuring the integration of testing across technical boundaries
Unit 1: Prepare and plan principles testing

Unit 2: Undertake principles testing
Unit 3: Confirm the operational status of the signalling system
Applicants, assessors and verifiers must follow the notes on pages 2 and 3 when
completing this checklist.
Summary of workplace assessment and assessment methods used Examination of
products/documentation
Professional discussion/questions Review of applicant’s statement Observation Witness
testimony
I confirm that the applicant has met the performance and knowledge requirements and that the
assessment has been carried out impartially in accordance with Licensing Scheme requirements
Name Signature Date
Summary of competence assessment/surveillance
Competence assessor’s comments on applicant’s logbook
I confirm that this assessment has been carried out impartially in accordance with Licensing
Scheme requirements and that the applicant is competent in this licence category
Name Signature Date
If this assessment was subject to internal verification/quality assurance, please complete
below
Name Signature Date
1.3.180 v6 May 23 Page 1

1.
Guidance notes for completing this assessment checklist

1 General
 Please type your entries in the personal statement, workplace assessment and competence assessment boxes
(including summaries) electronically.
 Supporting evidence can be embedded or hyperlinked in the boxes. To embed, select Insert, then Object and in
the dialog select Create from file, and Display as icon, the browse to insert the file. Hyperlinked evidence must
link to external data storage (e.b. USB stick or cloud files) that can be shared with others.
 Insert signatures as image files.
 Handwritten entries will only be accepted if written clearly and legibly in black ink.
 For more information about the licence application process please visit https://www.irse.org/Licensing/How-to-
apply-for-an-IRSE-licence
2 Initial Applications
2.1 Applicants
 Examples of satisfactorily completed logbooks and competence checklists are available on the IRSE website.
2.1.1 Personal statements
 Applicants must complete all the boxes headed Personal Statement (how I meet performance requirements
n.n). Note where several performance criteria are grouped together with a suffix such as a, b, c etc you
should state how all of these are met.
 Statements should be concise focussing on each of the performance criteria in the box ensuring that any
range has also been covered. You should where possible refer to tasks you have carried out by referencing
relevant entries in your logbook.
2.1.2 Knowledge requirements
 Applicants should demonstrate that they meet the knowledge requirements and be prepared to answer
questions on them. Your assessor will validate that you meet each of the knowledge requirements.
2.2 Assessment (for Initial Applications assessment is by both a Workplace and a Competence Assessor)
 The assessment requirements are defined for each of the performance requirements.
 Assessors’ comments should be concise and should relate to how the applicant meets the performance
requirements in the context of the unit title.
 Where a number of performance criteria are grouped together, all of these must be met.
 Where assessment requirements state that natural performance must be observed, the assessor must observe
the applicant carrying out the stated activities. The assessor should state where the observation took place and
what type of equipment was used. (Not needed for the guidance for portfolio-based licenses)
 Where simulation is permitted, the applicant may be observed on a test rig or in the training school. As far as
possible, this should replicate the environment of the operational railway. (Not needed for the guidance for
portfolio-based licenses). The conditions under which the simulated assessment took place shall be recorded.
 Supplementary questioning (e.g., “What would you do if…?) can be used to demonstrate underpinning
knowledge. Questions and answers may be included in the assessment boxes or clearly cross referenced to a
separate sheet submitted with the completed checklist.
3 Surveillance (Re-validation 5 years after an initial application or renewal)
The surveillance check is intended to be a simpler process than an initial assessment and shall consist of a single
stage assessment carried out by a Competence Assessor approved for that licence category
3.1 Applicants
3.1.1 Logbook
 The applicant’s logbook work experience pages must show that they have been undertaking satisfactory
licensable work over the previous five years.
3.1.2 Personal statements
 An appropriately completed logbook will simplify the completion of the assessment checklist, allowing the
applicant to provide a concise personal statement referencing the relevant logbook entries against each
performance requirement.
3.1.3 Knowledge requirements
 Applicants should be prepared to demonstrate that they still meet the knowledge requirements and to answer
questions on them.
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1.
3.2 Assessment (by Competence Assessor only)

 The purpose of this assessment is to confirm that the applicant has maintained competence in their category.
 Assessment for surveillance shall be against the current version of the Competence Standard, but surveillance
assessments are single stage and carried out by a competence assessor only.
 Observation is not required.
 The competence assessor will check the logbook has been regularly updated and verified and that the work
carried out demonstrates continuing competent performance for the current licence standard.
 Where there have been any changes in the competence criteria the assessor will confirm that the licence holder
has the necessary competence
 The competence assessor should indicate how the applicant has maintained competence by commenting on
each of the performance requirements although, apart from where they have questioned the candidate, it is not
necessarily required to provide detailed information for every performance requirement,
 The assessor shall check that any remedial actions resulting from a complaint have been effectively implemented.
 If the assessor is aware of any ongoing issues of competence, even though a complaint has not yet been made
against the candidate, such issues must be taken into account during the assessment and the result recorded.
 The completed records of assessment shall be forwarded to the Registrar.
 If the Competence Assessor is not satisfied with the self-assessment or log book they may require a full
Workplace Assessment before undertaking the Competence Assessment. A new application and full two stage
assessment will be required if the assessor concludes that the candidate is no longer competent.
4 Renewal (10 years after an initial application or previous renewal)

Assessment for renewal shall be against the current version of the Competence Standard and, providing that the
candidate has verified evidence of satisfactorily undertaking licensable work, should be less time consuming than
an initial assessment because of the satisfactory work record.
4.1 Applicants
Applicants should complete this checklist as described in 3.1 Surveillance as above
4.2 Assessment
 Where a licence is being renewed within six months of the expiry date, the assessment can be carried out by a
competence assessor only (single stage) but may ask a separate workplace assessor to undertake just those
performance requirements where observation is mandated.
 Where a licence is being renewed after six months of the expiry date, the assessment should be carried out by a
workplace assessor and a competence assessor (two stage).
 Assessment for renewal shall be against the current version of the Competence Standard and consist of a self
assessment followed by an assessment undertaken by a Competence Assessor (and a workplace assessor if
required).
 Observation is only necessary where it is mandated in the performance requirements, and the assessor should
record it in the workplace assessment box for the relevant performance requirement.
 The candidate is required to demonstrate that
o they have been regularly engaged on licensable work
o that their training and competence has been kept up to date
o that any remedial actions resulting from a complaint have been effectively implemented
 If the assessor is aware of any ongoing issues of competence, even though a complaint has not yet been made
against the candidate, such issues must be taken into account during the assessment and the result recorded.
 The assessment shall ensure that
o the licence holder continues to be competent
o continues to have the physical capability to undertake work within the category,
o is competent in any changed requirements or additional skills acquired since the previous assessment
o has complied with the requirements of the Licensing Scheme
 If the Competence Assessor is not satisfied with the self-assessment or log book they may require a full
Workplace Assessment before undertaking the Competence Assessment. A new application and full two stage
assessment will be required if the assessor concludes that the candidate is no longer competent.
 The completed records of assessment shall be forwarded to the Registrar.
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1.
Signalling Principles Tester - Assessment Checklist
3.180 v6
1.1 Collect the information needed to prepare your plan for undertaking principles testing
You confirm that the information gathered is relevant to the scheme and are current, complete and
authorised.
Examples of the type of information includes:
● Design details ● Operational specification ● Signalling principles ● Legislative requirements ●
Testing plan
Suggested evidence: Evidence should be suitable documents supported by personal accounts
and questioning
Personal statement (how I meet performance Supporting evidence
requirements 1.1)
Workplace assessment (how performance requirements 1.1 were met)
Competence assessor comments on meeting performance criteria 1.1
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1.2 (a) Plan to access work locations safely, within any agreed timescales and in accordance
with site access procedures.
(b) You identify the necessary safety requirements and take relevant action to ensure the
safety of yourself, others and railway operations.
(c) You accurately establish the location of the task
Prior to the undertaking the activity, you follow all the necessary safety requirements and take
relevant action to ensure your own safety, the safety of others and, when working on the railway
infrastructure, railway operations.
The safety requirements include relevant local safety procedures, the implementation of relevant
documentation, the implementation of a safe system of work, and the use of relevant personal
protective equipment.
● Design details ● Operational specification ● Signalling principles ● Legislative requirements ●
Testing plan
Suggested evidence: Evidence should be as a result of direct observation if possible. However,
suitable historic evidence, supported by personal accounts and questioning, is acceptable
requirements 1.2)
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1.3 Accurately determine the scope of the work to be carried out.

 You accurately identify the type and extent of the tests that are required.
 You identify and follow relevant internal/external processes.
 You select the correct testing specification for the work you are undertaking.
 Determine the timescales required to undertake the individual testing activities
 You seek agreement with other relevant parties.
and questioning
requirements 1.3)
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1.4 Select and confirm that all resources, tools and test equipment to be used are available,
appropriate for the work, serviceable and suitable for the working conditions.
Examples of the resources, tools and test equipment include:
● Measurement ● Simulation ● Integration ● Personnel (total required and
competences)
suitable historic evidence, supported by personal accounts and questioning, is acceptable
requirements 1.4)
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1.5 Identify any integration and/or interface requirements and incorporate them in your plan
for undertaking principles testing.
You clearly identify the interfaces between the equipment to be tested including operational
equipment which may be affected, and also define the limits of testing.
You take into account all relevant factors when developing the test documentation.
Factors include:
● Resources available ● Other testing not yet complete ● Testing that is being undertaken by
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others (including other functions) ● Constraints (e.g. possession limits) that impact the testing
and questioning
requirements 1.5)
1.6 Deal effectively with issues during the development of your plan that are within your
control and escalate those that cannot be solved
Where insufficient information or resources are available, or where doubt exists, you seek advice
from relevant personnel.
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and questioning
requirements 1.6)
1.7 Agree with the appropriate people that your plan for undertaking principles testing is
completed and is compatible with other planned activities
You inform and liaise with the tester-in-charge and other testers as appropriate for the purposes of
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review, approval or communication with those who need to know
and questioning
requirements 1.7)
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2.1 a) Work safely at all times, complying with health and safety and other relevant
regulations and guidelines.
b) You ensure yourself and your team follow all the necessary safety requirements and
take the relevant action to ensure the safety of yourself, others and, where appropriate,
railway operations.
c) Determine any necessary changes to safety requirements on arriving at the place of
work, that may be required during the period of the work and comply with local
requirements, including prompt reporting to the relevant person(s).
d) You ensure you and your team are aware of any interfaces between the equipment
under test and operational equipment which may be affected, and define the limits of
testing.
The safety requirements include relevant local safety certificates, the implementation of relevant
documentation, the implementation of a safe system of work, and the use of relevant personal
protective equipment.
Where there is doubt, advice is sought from relevant personnel.
Suggested evidence: Evidence must include observed natural performance
requirements 2.1)
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2.2 Throughout the activities covered by this licence you:

(a) Establish and maintain productive working relationships with colleagues and
members of other departments.
(b) Establish and maintain regular communication with relevant people, including
operations staff, engineering control staff, and other maintenance, fault-finding or testing
staff.
(c) Keep others informed about work plans or activities which affect them.
You recognise, agree and respect the responsibilities and concerns of colleagues and others,
including where related to diversity and equality.
Where applicable you deal with disagreements in an amicable and constructive way so that good
relationships are maintained.
When others ask for help or information you respond in a timely and positive way.
suitable historic evidence, or witness testimony are acceptable.
requirements 2.2)
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2.3 Ensure that your activities minimise the risk of disturbance or damage to the equipment
under test and also to other equipment.
You protect, report and deal with any damage or disturbance to the equipment under test and deal
with it in accordance with organisational processes.
You protect, report and deal with any damage or disturbance to operational equipment and deal
with it in accordance with operational processes.
You clearly identify the boundaries between the equipment under test and operational equipment
and follow the defined limits of testing.
suitable historic evidence, supported by personal accounts and questioning, is acceptable.
requirements 2.3)
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2.4 a) Follow the appropriate procedures for the use of tools and equipment to carry out the
required tests
b) You use the test equipment in accordance with instructions and ensure that true and
accurate results are obtained.
suitable historic evidence supported by personal accounts and questioning is acceptable
requirements 2.4)
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2.5 Set up and carry out principles tests using the correct procedures
You carry out tests as required by the test plan in sufficient detail to establish the equipment status
You ensure that the tests are appropriate to the equipment, provide true and accurate results and
are in accordance with testing procedures/instructions.
You complete the tests accurately, within the limits of your own authority and maintain the
independence of testing.
You identify any problems with the principles testing activities and effectively solve them.
Suggested evidence: Evidence should be as a result of direct observation. However, suitable
historic evidence supported by personal accounts and questioning is acceptable.
requirements 2.5)
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2.6 Confirm testing has not breached communication or cyber security

You ensure and confirm that protocols for the use of software, hardware, transferable hardware and
mobile phone charging have been maintained
Examples may include:
● no use of unauthorised memory sticks, CD ROMS, USB drives, etc.
● protection of passwords and access codes, where applicable, has been maintained;
● restricted connection of personal computers, tablets or mobile phones to the system
● you follow organisational procedures for cyber security
1.3.180 v6 May 23 Page 17

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Suggested evidence: Evidence should be as a result of direct observation. However, suitable
historic evidence supported by personal accounts and questioning is acceptable.
requirements 2.6)
2.7 You accurately record the results of the tests in the appropriate format.
You record the progression of work accurately, clearly and in accordance with organisational
procedures.
suitable historic evidence, personal accounts or questioning are acceptable.
requirements 2.7)
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2.8 Review the results, confirm that they accurately identify the state of the completed
testing and take the appropriate course of action.
You confirm compliance with the design details, specifications, industry standards and plans in
accordance with organisational procedures.
Examples of the “course of action” include:
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● Testing is complete ● Further testing required ● Design change required.
requirements 2.8)
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3.1 Confirm that all testing records are complete and accurately reflect the results of the
testing activities carried out.
You ensure that the completed records, including site records are handed over for processing in
accordance with organisational procedures.
Examples of testing records include but are not limited to:
● Test certificates ● Test logs/error reports
● Test checklists ● Diagrams
suitable historic evidence, supported by personal accounts and questioning, is acceptable.
requirements 3.1)
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3.2 a) Review and compare the test results against the product or asset specification and
identify any faults or variations from specification
b) Take effective and safe course of action to promptly resolve any inconsistencies in the
test data
All actions are taken within the limits of your own authority and where doubt arises you seek advice
from suitable reference documents or personnel.
Examples of the types of faults or variations include those relating to
● Design ● Installation
● Specification ● Industry standards
requirements 3.2)
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3.3 Analyse the results of the testing to define the operational status of the tested signalling
system
Where it is not possible to confirm the operational status of the system, appropriate action is taken
in accordance with organisational procedures.
Examples of the status of the tested system include:
● Fit for entry into service ● Fit for entry into restricted service ● Not fit for entry into service.
suitable historic evidence, personal accounts, or questioning are acceptable.
requirements 3.3)
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3.4 Consistently comply with the Obligations of Licence Holders and work in an ethical
manner including the principles of:
● Honesty & integrity ● Respect for life, law and the public good
● Accuracy & rigour; ● Leadership and communication
The above 4 ethical principles are expanded in the Engineering Council’s Statement of Ethical
Principles which can be found at www.engc.org.uk/professional-ethics
The Engineering Council and the IRSE believe that all persons engaged in engineering at any level,
from the youngest apprentice and student, should be educated and encouraged to think and work
in accordance with these ethical principles. This performance requirement will apply across all
levels of IRSE licences.
Guidance: Give examples of where you have applied or upheld these ethical principles and the
obligations
Suggested evidence Suitable historic evidence, personal accounts, witness testimony or
discussions with the assessors are acceptable.
Note: The current Obligations of Licence Holders can be found at www.irse.org/licensing
requirements 3.4)
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Knowledge requirements
Candidates are responsible for ensuring that they demonstrate how they meet the Knowledge Requirements
criteria below. Candidates may seek guidance from the assessor if required.
The workplace assessor (or competence assessor where there is no workplace assessment) must validate
how the candidate has demonstrated they have met each of the knowledge requirements. This may be by
reference to specific evidence, or by Q & A. All Q & A must be recorded and submitted with this checklist
The knowledge requirements are listed below; the numbers shown in ( ) refer to performance requirement(s)
for which the knowledge is essential but are not exclusive, since many of the knowledge requirements are
applicable across a range of the performance requirements.
Knowledge is about understanding not only what should be done but why and what significant factors should
be taken into account when making decisions. Meeting a performance requirement shown in ( ) in a particular
context does not necessarily show that the candidate has the knowledge to handle any contingencies for
which performance evidence is not available or how the candidate would adapt performance to meet all the
different contexts and circumstances in the scope and unit title of the licence.
No Requirement How requirement is met

1. Describe how to apply signalling principles
relevant to testing (all)
2. Explain the relevant railway possession and
protection arrangements for the work site and
equipment to provide a safe system of work and
how to check these have been implemented (2.1)
3. Explain how to define the limits of testing, what
equipment is affected by the work, how the
affected equipment is protected and ensure other
equipment is not affected (1.3, 1.5, 1.7, 2.1, 2.3,
2.4, 2.5)
4. Describe the operational constraints &
authorisation procedures for carrying out testing
(1.5, 2.1, 2.5).
5. Explain how to determine the tests to be
undertaken, and that the results of the tests are
not masked by other systems. (1.3, 2.5)
6. Explain how different testing methods and
techniques apply to different types of equipment
(1.3, 2.5).
7. Explain how changes can arise to the planned
use of resources, their implications and what
process to follow (1.6, 2.5)
8. Explain what action should be taken in the event
of damage or disturbance to operational
equipment (2.3)
9. Explain in relation to the requirements, what types
of test and evidence is needed to establish the
operational status of the tested signalling
equipment. (3.3)
10. Explain how to assess the safety implications of a
defect or error (3.2)
11. Explain testing documentation care and control
procedures and the requirements for the retention
of records (2.7)
12. Explain what the implications are of signing the
documentation (2.7, 3.1)
13. Explain how to identify non-conformities, errors,
or additional testing needs and how to progress
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these (2.8, 3.2).
14. Explain the limits of authority and responsibility for
yourself and for others involved for safety and
testing activities and the operational railway, the
escalation process and where to seek advice if
required (all)
15. Explain the conditions which must be fulfilled prior
to transfer of equipment to full entry into
operational service (3.3).
16. Explain what to do if testing is incomplete and
options to enable restricted entry into operational
service (3.3)
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The following box is provided for the workplace assessor to make additional comments to those they have
provided in the knowledge requirements table.
Guidance: this may be by additional Q&As/notes.
The following box is provided for the competence assessor to make additional comments to those they have
provided in the knowledge requirements table.
Guidance: this may be by additional Q&As/notes
1.3.180 v6 May 23 Page 28

1 3 180 v6 Signalling Principles Tester

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INSTITUTION OF RAILWAY SIGNAL ENGINEERS LICENSING SCHEME

Applicant’s name Licence no (if held) Email

Initial application Surveillance (at 5 years) Renewal (at 10 years)

Unit 1: Prepare and plan principles testing

Competence assessor’s comments on applicant’s logbook

1.3.180 v6 May 23 Page 1

Guidance notes for completing this assessment checklist

1.3.180 v6 May 23 Page 2

3.2 Assessment (by Competence Assessor only)

4 Renewal (10 years after an initial application or previous renewal)

1.3.180 v6 May 23 Page 3

Workplace assessment (how performance requirements 1.1 were met)

Competence assessor comments on meeting performance criteria 1.1

1.3.180 v6 May 23 Page 4

Workplace assessment (how performance requirements 1.2 were met)

1.3.180 v6 May 23 Page 5

Competence assessor comments on meeting performance criteria 1.2

1.3 Accurately determine the scope of the work to be carried out.

Workplace assessment (how performance requirements 1.3 were met)

1.3.180 v6 May 23 Page 6

Competence assessor comments on meeting performance criteria 1.3

1.3.180 v6 May 23 Page 7

Workplace assessment (how performance requirements 1.4 were met)

Competence assessor comments on meeting performance criteria 1.4

1.3.180 v6 May 23 Page 8

Workplace assessment (how performance requirements 1.5 were met)

Competence assessor comments on meeting performance criteria 1.5

1.3.180 v6 May 23 Page 9

Workplace assessment (how performance requirements 1.6 were met)

Competence assessor comments on meeting performance criteria 1.6

1.3.180 v6 May 23 Page 10

Workplace assessment (how performance requirements 1.7 were met)

Competence assessor comments on meeting performance criteria 1.7

1.3.180 v6 May 23 Page 11

Workplace assessment (how performance requirements 2.1 were met)

Competence assessor comments on meeting performance criteria 2.1

1.3.180 v6 May 23 Page 12

2.2 Throughout the activities covered by this licence you:

Workplace assessment (how performance requirements 2.2 were met)

1.3.180 v6 May 23 Page 13

Competence assessor comments on meeting performance criteria 2.2

Workplace assessment (how performance requirements 2.3 were met)

1.3.180 v6 May 23 Page 14

Competence assessor comments on meeting performance criteria 2.3

Workplace assessment (how performance requirements 2.4 were met)

1.3.180 v6 May 23 Page 15

Competence assessor comments on meeting performance criteria 2.4

1.3.180 v6 May 23 Page 16

Workplace assessment (how performance requirements 2.5 were met)

Competence assessor comments on meeting performance criteria 2.5

2.6 Confirm testing has not breached communication or cyber security

1.3.180 v6 May 23 Page 17

Workplace assessment (how performance requirements 2.6 were met)

Competence assessor comments on meeting performance criteria 2.6

1.3.180 v6 May 23 Page 18

Workplace assessment (how performance requirements 2.7 were met)

Competence assessor comments on meeting performance criteria 2.7

1.3.180 v6 May 23 Page 19

Workplace assessment (how performance requirements 2.8 were met)

Competence assessor comments on meeting performance criteria 2.8

1.3.180 v6 May 23 Page 20

Workplace assessment (how performance requirements 3.1 were met)

Competence assessor comments on meeting performance criteria 3.1