OPITO DESKTOP AUDIT APPROVAL - GUIDANCE MATRIX FOR COMPETENCE MANAGEMENT SYSTEMS TO BE SUBMIITED WITH APPLICATION FORM The purpose of this document is to enable the applicant to map their evidence of compliance against the OPITO approval requirements. Reference to sections indicating a formally documented procedure: is defined as being a written description of a prescribed course of action, procedure, or process. To Be Completed By Applicant Applicant: Contact Point: Scope of Application (job roles): All Location(s) of workplace where CMS will be applied: For Office Use Only Date Received by OPITO: FORMOPITO004.01BB Page 1 of 20 Rev 4 (20/10/17)
OPITO DESKTOP AUDIT APPROVAL - GUIDANCE MATRIX Information must be submitted for all sections of the OPITO requirements as defined in the left hand section OPITO Requirement 1. Policy Setting and Objectives 1.1 An explicit policy exists for promoting, implementing and maintaining the CMS which is endorsed by management at an appropriate level of seniority in relation to the CMS This is a policy signed by MD / CEO indicating the value the organisation places on the competence of its people and the importance of the competence management system (CMS) to the business. The policy should be posted in various workplace locations and contained in the staff induction pack. All staff should be knowledgeable of the policy s existence and what it actually means. FORMOPITO004.01BB Page 2 of 20 Rev 4 (20/10/17)
OPITO Requirement 1.2 The purpose and scope of the CMS is clearly defined and understood at all levels of the organisation. There is a formal document which shows the organisational structure for incorporating procedures and processes into the CMS. It should also show how competence will be managed within the organisation through the CMS. It should set out how the scope of the CMS is aligned to the core purpose of the organisation and definitive in terms of where the CMS will apply and what job roles it will apply to. It should provide a clear understanding of the purpose/scope of the CMS to (but not limited to) Senior Management, workplace supervision, assessors, internal verifiers, system administrators/ coordinators and all members of the workforce involved within the CMS. FORMOPITO004.01BB Page 3 of 20 Rev 4 (20/10/17)
OPITO Requirement 1.3 The Organisational objectives both short and long term will include the delivery, development and maintenance of the CMS. These are organisational objectives which are set corporately by senior management. The objectives are SMART and there is alignment with the corporate policy set at point 1.1. The objectives should define measurable achievement and goals within the scope of the CMS as it applies to the functions of the business within the CMS. It must be clear how the objectives will be measured, by whom and when. FORMOPITO004.01BB Page 4 of 20 Rev 4 (20/10/17)
OPITO Requirement 2. Planning Targets and Organisational Responsibilities 2.1 The roles, responsibilities and authorities for those involved in the operation of the CMS are clearly defined and documented at every level. This is a controlled organisation chart that shows the roles, responsibilities and authorities of staff with a direct involvement in the CMS. The organisation chart should be available in the corporate office and in the workplace where the CMS is applied. All personnel should be knowledgeable of their role within the CMS and the interrelationships with others. There should be documented roles, responsibilities and authorities for all personnel listed within the organisational chart. FORMOPITO004.01BB Page 5 of 20 Rev 4 (20/10/17)
OPITO Requirement 2.2 There are sufficient personnel available to manage, operate, maintain, review and administer the CMS. There must be sufficient staff resources directly associated with the application of the CMS. There are dedicated personnel for each key element of the CMS e.g. Management, site specific focal points, subject matter experts, document controllers, administration and data co-ordinators. FORMOPITO004.01BB Page 6 of 20 Rev 4 (20/10/17)
OPITO Requirement CMS objectives and KPIs must be directly correlated to the corporate objectives as set by senior management (element 1.3.). 2.3 The CMS Targets and Key Performance Indicators (KPIs) are clearly communicated, accurately monitored and reported to all levels of the organisation. Targets and KPIs should be widely known and well communicated within the organisation e.g. Minutes of operational meetings Department briefings Notice boards Company newsletters Monitoring and reporting should be undertaken as per the assigned job roles/responsibilities (as defined in element 2.2.). The CMS performance must be recorded and reported at a frequency which is relevant to the attainment of the targets and stated objectives. There should be evidence that performance measurement is reported to senior management (element 5.1 Management Review) and this information is reviewed and action taken where required. There should be evidence that the person who has signed the CMS policy (element 1.1) is continually informed on the performance of the CMS. FORMOPITO004.01BB Page 7 of 20 Rev 4 (20/10/17)
OPITO Requirement There must be sufficient qualified and competent assessors to cover assessment activity for all job roles and workplace locations as defined within the CMS scope. 2.4 The organisation must demonstrate that it has sufficient assessors with national/industry recognised assessor qualifications across the scope of the CMS in order to ensure that decisions are valid and robust.. Assessors must be qualified to National standards and/or industry standards. Assessors must be able to provide verifiable evidence that they are occupationally competent. A register of Assessors must be maintained. 2.5 The organisation must demonstrate that it has sufficient Internal Verifiers across the scope of the CMS in order to ensure that assessment decisions are valid and robust and that all Internal Verifiers hold a nationally/industry recognised Internal Verifier qualification.. There must be sufficient qualified internal verifiers to ensure internal verification of assessment activity across all job roles as defined within the scope of the CMS. Internal verifiers must be qualified to National standards and/or industry standards. FORMOPITO004.01BB Page 8 of 20 Rev 4 (20/10/17)
OPITO Requirement Internal verification decisions must be made by occupationally knowledgeable Internal Verifiers and/or by Internal Verifiers supported by an appropriate technical authority. A register of Internal Verifiers must be maintained. 2.6 The organisation must demonstrate that Expert Witnesses utilised in the Assessment Process are occupationally competent and trained in the assessment techniques required in the Expert Witness role (where utilised) There must be sufficient occupationally competent Expert Witnesses to support assessment activity for all relevant job roles and workplace locations as defined within the scope of the CMS. Expert Witnesses must be trained in assessment techniques relevant to their role. Expert Witnesses must be able to provide verifiable evidence that they are occupationally competent. Prior to conducting assessment activity an Expert Witness must be formally approved at an appropriate level. A register of Expert Witnesses must be maintained. FORMOPITO004.01BB Page 9 of 20 Rev 4 (20/10/17)
OPITO Requirement 3. Standards, Procedures and Implementation 3.1 There is a formally documented procedure to There is a typical formal control control the design, review and approval of the procedure which includes but is not standards of occupational competence. limited to: Roles and responsibilities Who determines the standards to be used Who sets the standards and is responsible for their technical content Who ultimately approves the standards Who confirms their alignment with business and safety critical needs How the standards are made available in the workplace / or other places where work scopes are assigned How issue of the standards is controlled How are they tested for effectiveness/ fit for purpose i.e. feedback loop and review period How is change managed i.e. document control, availability of current standards in the workplace / or other places where work scopes are assigned. FORMOPITO004.01BB Page 10 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.2 There are standards of occupational competence applying to all job roles and worksites covered by the scope of the CMS. OPITO cannot make judgement on the technical content of the standards associated with each job role as these are driven by business and operational needs. As a minimum, OPITO expects the competence standards to cover: Job role definition and scope of duties Skills Knowledge Demonstration Every single job role within the system must have a range of defined occupational standards which underpin the key and core competence requirements for that job role. FORMOPITO004.01BB Page 11 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.3 There is a formally documented procedure for informing OPITO when additional assessment locations and/or new standards and/or new job roles are introduced within the CMS as its scope is expanded. This is a typical instructional procedure which includes but is not limited to: Roles and responsibilities Decision making on what new job roles are to be included within the CMS Internal communication with all personnel in the CMS Formal communication with OPITO on CMS expansion This procedure is critical in nature with specific regards to communicating with OPITO should the CMS be expanded from the original scope of Approval. If no communication is made, then the areas of expansion will not be included in the on-going audit process. Areas of expansion will be subject to a separate audit if the scope of Approval is to be revised to incorporate the additional job roles. FORMOPITO004.01BB Page 12 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.4 There is a formally documented procedure covering the control and maintenance of all CMS documents. This is a typical systems control procedure which includes but is not limited to: Roles and responsibilities Approval and ownership Review and management of change Version control Communication and issue Retention periods and the removal of obsolete documents from the system. All staff working within the management of the CMS should be knowledgeable of the document control procedure and effectively comply with it. FORMOPITO004.01BB Page 13 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.5 There is a formally documented procedure covering the control and maintenance of all assessment records. This is a typical systems control procedure which includes but is not limited to: Roles and responsibilities Dissemination Storage / security Protection Retrieval and access Retention and removal of obsoleted assessment records All staff (assessors / verifiers / administrators) working within the management of the CMS are knowledgeable of the control of assessment procedure and effectively comply with it. All personnel undergoing assessment are knowledgeable of the control of assessment procedure and effectively comply with it. FORMOPITO004.01BB Page 14 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.6 There is a formally documented procedure to ensure the consistency, quality and objectivity of all assessment and verification decisions. These are typical instructional procedures which include but are not limited to: Assessment* Roles and responsibilities How assessors are assigned to candidates How assessments are planned What assessment methods and documents are used What evidence should be gathered How assessment decisions are made (e.g. Competent/Not Yet Competent) How assessment decisions are communicated to the candidate How assessment decisions are recorded How resources are made available for candidates with individual or particular assessment requirements Verification (of the assessment process) Roles and responsibilities How verification is planned What documents are used during the verification How verification is carried out How verification decisions are recorded within the system How verification decisions are communicated to Assessors and actions closed out *During operational site audits (initial and monitoring) the auditor will observe relevant elements of the assessment process FORMOPITO004.01BB Page 15 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.7 There is a formally documented procedure to detail the actions to be taken in identifying the training and development needs of Candidates who have been deemed as not yet competent following competence assessment. 3.8. There is a formally documented procedure covering how competence of personnel involved in the management and administration of the CMS is maintained over time. This is a typical instructional procedure which includes but is not limited to: Roles and responsibilities How training and development needs are identified and defined from the assessment process How the time period for undertaking training and development is agreed How feedback into line management structures are made How completion of training and development is entered into the system How further assessment is planned This is a typical instructional procedure which includes but is not limited to: Roles and Responsibilities How the training and development needs are evaluated as the CMS system evolves, grows and changes How training and development needs are prioritised How and when the training will occur How training and development is evaluated for effectiveness FORMOPITO004.01BB Page 16 of 20 Rev 4 (20/10/17)
OPITO Requirement 3.9. There is a formally documented procedure to support Candidate appeals against assessment decisions. This is a typical instructional procedure which includes but is not limited to: Roles and responsibilities How a Candidate raises an appeal How an appeal is processed and fairly judged How the outcome of the appeal is recorded and maintained FORMOPITO004.01BB Page 17 of 20 Rev 4 (20/10/17)
OPITO Requirement 4. Performance Review and Audit 4.1. There is a system in place to ensure the outcomes of assessment decisions are fed back into the management review of the CMS. This is an identifiable system that provides an effective feedback loop from end users to management to enable continual improvement of the CMS system. The system should demonstrate: Workforce engagement and consultation Flows of communication e.g. emails, operational reports, team briefings, Minutes of meetings How consistent emerging trends from the assessment process are evaluated and what action is taken FORMOPITO004.01BB Page 18 of 20 Rev 4 (20/10/17)
OPITO Requirement 4.2 There is a formally documented procedure to ensure frequent internal auditing of the CMS This is a typical instructional procedure which includes but is not limited to: against the OPITO approval criteria. Roles and responsibilities Audit plan and schedule Audit locations covering all sites within the CMS scope Internal audit findings are recorded and disseminated within the organisation structure How corrective and preventive actions are identified, recorded and closed out. Audits must be carried out by suitably qualified personnel who are independent of the process. Audit reports are submitted to the person with ultimate responsibility for the CMS i.e. the person who has signed the CMS policy (element 1.1). Audits across all areas of the CMS should be carried out annually as a minimum. FORMOPITO004.01BB Page 19 of 20 Rev 4 (20/10/17)
OPITO Requirement 5. Management Review 5.1 There is a formally documented procedure in place to ensure senior management with responsibility for the CMS approval conduct frequent management reviews of the CMS. This is a typical instructional procedure which includes but is not limited to: Roles and responsibilities Review of current policies, objectives and procedures Analysis of key performance indicator results System performance against stated objectives All resources deployed within the system to ensure its effectiveness and continual development Internal audit reports OPITO Audit reports Agreed actions and timelines for implementation Minutes of the meeting should be recorded and disseminated to all personnel involved with the management of CMS. As a minimum, one management review meeting should be conducted once per annum. FORMOPITO004.01BB Page 20 of 20 Rev 4 (20/10/17)