Guidelines for Cave and Mine Exploration

Criteria for determining the quality and safety of provision of instruction and leadership

1. NATIONAL CAVING ASSOCIATION TRAINING SPECIAL COMMITTEE

1.1 Structure

The National Caving Association (NCA) is a federation of five Regional Caving Councils and four other organisations with an interest in underground exploration and study. As of July 1994 these are:

Council of Southern Caving Clubs

Cambrian Caving Council

Derbyshire Caving Association

Council of Northern Caving Clubs

Devon and Cornwall Underground Council

The British Cave Rescue Council

The British Cave Research Association

The National Association of Mining History Organisations

The William Pengelly Cave Studies Trust Ltd.

The Training Special Committee is a permanent subcommittee of the Association and comprises of one nominee from each constituent body of the NCA.

The Training Officer, elected by the AGM of the NCA, acts as convener for the Training Committee.

Observers are invited from the Sports Council, the Department for Education and others as decided by the Committee.

1.2 Terms of Reference of the Training Committee.

The NCA Training Committee exists to improve the recreational caver's awareness of all aspects of the underground environment and in particular, the technical skills and knowledge necessary to explore caves, potholes and mines with optimum safety and comfort where formal qualifications are not normally considered necessary.

The committee also endeavours to promote high standards of leadership, judgement and competence in those leading or training others underground and through its leadership schemes offers independent vetting of such persons needing formal accreditation.

2. HISTORICAL

The forerunner of the current leadership schemes was the Cave Leadership Certificate scheme started in 1970. It was administered by the Cave Leader Training Board, a subcommittee of the British Association of Caving Instructors. It was run from Whernside Manor in the Yorkshire Dales which was then the National Caving Centre.
In 1980 the Cave Leader Training Board merged with the Training Special Committee of the National Caving Association.
In 1982 the Cave Leadership Certificate scheme changed to the Cave Instructor Certificate scheme to reflect the role most candidates felt they were playing and "single rope technique" was added to the syllabus.
In 1984 the Local Cave Leader Assessment scheme was instigated aimed a cave leaders who, in the main, operated in a single caving region and had limited objectives.

3. PURPOSE OF THE GUIDELINES

The purpose of the Guidelines for Caving and Mine Exploration is to provide a guide to good practice by:

recommendation of appropriate national awards;
clarification of the specific application and operating limitations of each award;
definition of the respective responsibilities of the provider, instructor or leader and the participant;
provision of information and assistance in determining good practice;
provision of guidance on the appropriate deployment of accredited trainers and leaders to undertake the task of training others for the leadership and instructional role;
definition of the criteria for determining the quality and safety of services provided within the field of cave and mine exploration.

These guidelines set out to describe the principles of good practice. They do not cover operational safety procedures which must always be the responsibility of the provider.

4. PRINCIPLES

The principles governing the administration of the NCA awards are:

The NCA Training Committee defines standards of technical skill needed to lead and instruct others.
The NCA Training Committee determines who shall be accredited trainers and assessors and will maintain a register of such.
The NCA Training Committee will monitor training and assessment to ensure parity of standards.
The issue of reports and certificates relate to the abilities demonstrated by a candidate in respect of the current syllabus at the time of assessment.
The responsibility for deployment and management of award holders lies with the employer. (In the case of self-employed leaders and instructors the interpretation of the Guidelines may need to take this into account consistent with the aims and principles of good practice set out.)
Awards are valid for a set period and need revalidating on a regular basis. The NCA Training Committee will determine the interval before and between revalidations and the procedure and content thereof.
The minimum age for award holders is 18 years.
Awards remain valid only whilst the holder possesses a valid First Aid Certificate.
The National Caving Association supports the introduction of National Vocational Qualifications. Where such qualifications are applied to cave and mine exploration they should be used in conjunction with the appropriate award described within these guidelines.

5. CURRENT NCA AWARDS

5.1 The Local Cave and Mine Leader Assessment Scheme

Purpose

The Local Cave and Mine Leader Assessment provides a report on the competence of those wishing to take responsibility for others underground, for the benefit of employers or others in authority. The main considerations are equally the safety of the group and the conservation of a fragile environment.

Scope

The assessment is for leaders undertaking limited objectives within a single region. It is available at Level One (non-vertical systems), or at Level Two (vertical systems with pitches up to 18m (60') explored with ladders, although "single rope technique" (SRT) is an option for the leader. Those wishing to operate in additional areas should transfer to another Local Scheme or, if they wish to undertake more ambitious objectives, they should register for the Cave Instructor Certificate Scheme.

The assessment has a core syllabus, standardised nationally, but has a local knowledge element to take account of specific hazards and problems of conservation, access etc. Thus the candidate is assessed with regard to a list of named caves or mines in which they wish to lead parties. It is thus a site-specific qualification.

The Local Cave and Mine Leader Assessment should be revalidated every three years after assessment.

5.2 The Cave Instructor Certificate

Purpose

The Cave Instructor Certificate (CIC) Scheme is designed for those involved in introducing others to caving, passing technical skills on to others and instructing in a variety of caves at different technical levels. The CIC is seen as being particularly appropriate for those wishing to work professionally in instructed caving and needing a formal check on their all-round competence.

Scope

The Cave Instructor Certificate holder should be able to work with novice and more experienced groups alike, in a safe, competent and professional manner and also be proficient in the use of modern techniques to teach these effectively to interested adult cavers.

The scheme requires a wide and varied caving background, normally gained by practical involvement in caving for at least 4 years.

The Cave Instructor Certificate should be revalidated every three years after assessment.

It is appropriate for CIC holders to train prospective leaders and instructors in techniques and practice. However prospective leaders and instructors working towards an NCA award and requiring a training course specifically to cover the syllabus should ensure that the trainer is accredited to deliver this by the NCA Training Committee. It is also appropriate for CIC holders to assist providers in establishing their organisation's policy on safety and procedure.

6. OTHER AWARDS

6.1 Cave Leadership Certificate

The Cave Leadership Certificate was replaced by the Cave Instructor Certificate in 1982. For a limited period Cave Leader Certificate holders were permitted, following further assessment, to convert their certificate to the Cave Instructor Certificate. This option is no longer available.

Consequently persons holding the Cave Leader Certificate have had no assessment or revalidation for at least fourteen years. It is the policy of the NCA Training Committee that when a current check is required on the competency of a CLC holder that s(he) and the employer should look towards the Cave Instructor Certificate or Local Cave and Mine Leader Assessment scheme.

7. OPERATIONAL RESPONSIBILITIES

7.1 Providers

The provider should be responsible for ensuring that:

a document detailing the organisation's policy on safety and procedures is provided and understood by the instructor or leader;
information about the safety policy, procedure and practice is available to the participant (or parent or guardian in the case of minors) prior to commencement of the activity;
the individual instructor or leader is adequately trained and experienced for the proposed excursion and work within the limitations of their training;
participants are informed of the qualifications and experience of the instructors or leaders deployed;
the ratio between participants and instructors or leaders is such as to ensure complete control and safe conduct of the activity;
provision is made for ensuring that, in the event of an emergency, the party is able to evacuate safely the cave or mine, by the inclusion of a suitable assistant leader if necessary;
the participant is assessed as being fit, as far as is reasonably practicable, for the proposed activity;
all equipment provided is safe, well maintained and appropriate for any use to which it may be put;
that the participant is notified in advance of any requirements in respect of personal equipment to be provided by the participant;
in the event of any serious incident or accident that the organisation's accident reporting procedure is followed which if appropriate may involve informing the Health and Safety Executive.

7.2 The Instructor or Leader

The Instructor or Leader should be responsible for:

where applicable, ensuring that the supplier's safety policy is adhered to throughout;
the overall welfare of the participants in their charge;
ensuring that they themselves operate within the remit of their training, accreditation and in a manner suitable to their participant's experience and ability;
informing the employer if the ratio of instructors/leaders to participants is such that the safe conduct of the party is in question;
as far as reasonably practicable ensure that the ability and health of participants is suited to the activity proposed. In cases where doubt exists the leader or instructor must be free to use discretion and amend the activity accordingly;
employing suitable equipment, including safety equipment, as necessary;
ensuring that the equipment provided by the supplier and any personal equipment used by participants is suitable for the task;
providing the participants with appropriate information on the activity concerned together with adequate instruction; and providing practical training on the surface prior to going underground;
providing the participants with appropriate information on environmental issues together with adequate guidance;
ensuring every effort is made to protect the environments explored;
showing due regard for other cavers and mine explorers and maintaining good relations;
showing due regard for access arrangements maintaining good relations with landowners;
drawing the attention of participants to the relevant Codes of Practice, club structure, ethics and the role of the National Caving Association and its relevant constituent members.

7.3 Participant (or Parent or Guardian where applicable)

Participant (or their Parent or Guardian where applicable) should as far as reasonably practicable take responsibility for ensuring:

that the activity offered suits the participants' needs, expectations and capabilities;
that the participant conforms with any guidance given during the process of instruction or supervision;
that any distress or concern resulting from or during the activity is drawn to the immediate attention of the instructor or leader in charge;
that they are aware of and accept the recognised risks and hazards associated with the activity;
that any extant health problem that may affect performance during the activity is notified to the leader or instructor;
that any personal equipment and clothing employed is suitable for the activity, conforms with directions given by the provider, and worn as directed;
that due regard is given to care of the environment and other cavers and mine explorers, and that the relevant Code of Conduct for the activity or relevant to the particular environmental circumstances is adhered to.