cms guide to approval - opito.com · individual competence is measured by assessment ... the main...

Form OPITO 004.04B of 13 Rev 9 (13/06/2018)

COMPETENCE MANAGEMENT SYSTEMS

GUIDE TO APPROVAL


AMENDMENTS

AMENDMENT PAGES CHANGES MADE BY:

CHECKED BY:

APPROVED BY:

Rev 1: Clarification of OPITO Approval Criteria – renumbered Approval Criteria, reworded criteria to provide better clarity. (9 July 2012)

Removed previous Approval Criteria 6.2.7 OPITO administrative requirements are maintained where candidate Certificates of Competence are required.

Added new Approval Criteria 3.3 There is a formally documented procedure for informing OPITO when new standards are developed to cover new job roles within the CMS as its scope is expanded.

All Melissa Foo Peter Lammiman

David Doig

Rev 2: Amended criteria 3.3 to include requirement to notify OPITO if additional assessment locations are added to the scope of the approved CMS. (30 May 2014)

9 Melissa Foo Peter Lammiman

David Doig

Rev 3: Change in OPITO Dubai office address. (2 Oct 2014)

13 Melissa Foo Peter Lammiman

David Doig

Rev 4: Amended section 3.3 on page 6 to clarify site audit requirements (01 October 2015)

6 Quality Systems

Approvals Managers

CEO

Rev 5: Amended address for OPITO office on page 13. (3 May 2016)

13 Quality Assurance

Approvals Managers

CEO

Rev 6: Added contact details for OPITO Americas office on page 13, added reference to delegated authority throughout document. (27 Jan 2017)

5 Quality Assurance

UK & International MDs

UK & International MDs

Rev 7: Updated internal process for managing appeals and review of audit recommendation.

Amended approval criteria 2.4 to state, “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”. 2.5 to state, “The organisation must demonstrate that it has sufficient Internal Verifiers across the scope of the CMS in order to ensure that

11 Quality Assurance/

Standards

Standards Manager

Operations Director


assessment decisions are valid and robust and that all Internal Verifiers hold a nationally/industry recognised Internal Verifier qualification”, and

2.6 to state, “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).

(20 October 2017)

Rev 8: Updated OPITO Dubai’s office address

(21 February 2018)


Director

(QA & Standards)

Operations Director

Rev 9: Update OPITO Americas contact details

(13 June 2018)


Director

(QA & Standards)

Operations Director


OPITO Approvals Process: Competence Management Systems This documentation is designed to provide information on the requirements for OPITO approval of a Competence Management System. The Approvals process and detailed criteria as stated within this document have been designed by OPITO as guidelines of good practice for employers. OPITO regularly reviews this process as part of its commitment to continuous improvement. This edition has been specifically designed to provide an enhanced focus and greater level of detail and understanding on what is required for the achievement of OPITO approval.

Contents

1. THE ADDED VALUE OF AN EFFECTIVE COMPETENCE MANAGEMENT SYSTEM 5

1.1 OPITO APPROVAL 5

2. OPITO CMS APPROVAL PROCESS FLOWCHART 6

3. OPITO CMS APPROVAL PROCESS 7

3.1 SYSTEMS HEALTH CHECK 7 3.2 DESK TOP AUDIT 7 3.3 AUDIT OF MAIN CENTRE AND LOCATIONS WHERE ASSESSMENT TAKES PLACE 7 3.4 AUDIT FINDINGS 7

4. APPROVALS DEFINITIONS 8

4.1 APPROVAL OUTRIGHT 8 4.2 APPROVAL WITH CORRECTIVE ACTIONS 8 4.3 NON-APPROVAL 8

5. SUMMARY OF APPROVAL CRITERIA 8

6. OPITO APPROVAL CRITERIA 9

1. POLICY SETTING AND OBJECTIVES 9 2. PLANNING, TARGETS AND ORGANISATIONAL RESPONSIBILITIES 10 3. STANDARDS, PROCEDURES AND IMPLEMENTATION 11 4. PERFORMANCE REVIEW AND AUDIT 11 5. MANAGEMENT REVIEW 11

7. LOCATIONS WHERE CANDIDATE ASSESSMENTS TAKE PLACE 11

8. USE OF OPITO LOGO 12

9. AUDIT APPEALS 13

9.1 APPROVAL AND ANNUAL MONITORING AUDITS 13


1. The Added Value of an Effective Competence Management System

‘Occupational competence is the ability to perform to the standards

expected in employment across a range of circumstances and to meet changing demands’

A Competence Management System (CMS) is based on a set of standards, each defining the competences which apply to particular job roles. These occupational standards define how a task is performed and the necessary underpinning knowledge and understanding required to deal with any unexpected circumstances which could arise. Individual competence is measured by assessment conducted in the workplace, and the quality of the assessment system is maintained by a process of internal quality assurance. Competence relates to the work employees carry out, therefore, it is a business critical issue. An effective CMS is linked to a number of business processes including quality management, health and safety management, performance management, human resource management and the development and revision of operating systems and procedures. A CMS therefore adds both internal and external value to an organisation. An effective CMS encompasses the performance and development of all personnel into a structured, measured system giving organisations more control over risk and cost at every step of the competence management lifecycle - selection, training and development, staff deployment, assessment and carrying out the job role. The benefits attained by an effective CMS include: Adding value to business processes Providing a cost effective robust system giving recognition of skills attained Meeting safety criteria through confirmation of processes Encouraging compliance with safe working practices Increasing employee skills levels Providing measure for recruitment of new employees Improving working practices Enabling more focused training Providing recognition and development opportunities Improving employee motivation through formal recognition of abilities Ensuring compliance with external quality auditing requirements

1.1 OPITO Approval

OPITO has developed best practice criteria by which an organisation may have its existing CMS evaluated and approved. OPITO seeks to provide value to an employer by conducting an objective third party measurement against a range of key processes associated with an effective CMS. Organisations currently holding OPITO approval for their CMS have confirmed real value from the on-going quality assurance review and measurement, and continue to incorporate the audit findings into their organisations’ continuous improvement plans.


2. OPITO CMS approval process flowchart

Yes

No

Submission of Application for Approval along with required supporting documentation

Request for information or advice on route to application

Take actions to meet Approval requirements

Centre Approval Audit visit arranged

Main site and assessment site(s) visited

Copy of Audit Report received

If appropriate: Address corrective actions and confirm to OPITO within given timescale

CMS Approval Award accepted

Provide advice and assistance to applicant

Optional – Stage 1: Provide support to conduct a Systems

Health Check for applicant

Optional – Stage 2: Audit OPITO-Approved in-house Assessor and Internal Verifier training to support the

CMS system

Desk Top Audit

Recommendation

Auditor / Audit Team conducts approval audit at main site and assessment site(s)

Auditor / Audit Team produce Approval Audit Report and Recommendations

Review of Auditor / Audit Team recommendations by OPITO Operations

Director: 1. Approval Outright

2. Approval with Corrective Actions 3. Non-Approval

Review of Auditor / Audit Team

recommendations by OPITO Chief Executive:

1. Approval Outright 2. Approval with Corrective Actions

3. Non-Approval

Approval of

CMS

Satisfactory?

Centre approval Audit visit arranged

Actions by Applicant

Actions by OPITO


3. OPITO CMS approval process

3.1 Systems Health Check

OPITO offers applicants the opportunity to access consultancy support to conduct a baseline review of company existing systems and procedures in line with the requirements for an OPITO approved CMS. The main purpose of this baseline review is to provide organisations with an objective assessment of their current arrangements against the OPITO approval criteria. Applicants should note that Stage 1 (see flowchart on page 6) is offered as additional support to gaining OPITO approval and is not a mandatory part of the application process.

3.2 Desk top audit

The first step of the audit process, conducted in OPITO’s offices, is a detailed desktop audit of the required materials submitted by the organisation (see the Application form on page 12). The detailed approval criteria are provided in Section 6 on pages 9 to 11.

3.3 Audit of main centre and locations where assessment takes place

The next audit step is conducted at the location where the CMS is to be managed and administered and, where applicable, at agreed operational sites where assessments take place in order to verify that the assessment process is carried out in line with organisational procedures and to facilitate the observation of the assessment process. The Auditor / Audit Team will review a fully functioning CMS, which meets the requirements of the OPITO criteria for approval as provided in Section 6 on pages 9 to 11. This will include auditor observation of one or more relevant elements of the following stages of the assessment process:

Assessor planning an assessment with the candidate

Assessment activity in line with organisation’s procedures (e.g. observation, Q&A session etc.)

Assessor review of evidence generated by the candidate

Assessor providing assessment feedback to the candidate Our primary aim is to physically observe assessment at site. However, to pre-empt potential difficulties of gaining site access, we will also accept observation of the assessment process taking place at site via video link if auditor access to site cannot be obtained. The scope of the CMS approval may apply to one or more job roles and/or locations across the organisation. OPITO must be notified should any additional job roles/locations/standards require to be added to the scope of the CMS approval. Depending on the scale of the amended scope, this may require further audit prior to the additional scope items being accepted as part of the OPITO approval. It should be noted that every job role within the system must have documented standards which underpin the core competences of the job role. It is recommended that the organisation’s CMS is functioning for a minimum of three months prior to the audit taking place. The desk top audit, together with the approval audit, and annual on-going monitoring audits will incur a fee.

3.4 Audit findings

OPITO provides the applicant with a report of the audit findings at each step of the approval process. The audit report produced by the Auditor / Audit Team following the main centre and assessment site audits, also contains an appropriate approval recommendation as detailed on pages 8 and 7. Approval is valid for as long as OPITO is satisfied that the criteria under which approval was initially awarded is maintained. OPITO will ensure this by carrying out annual monitoring audits against the OPITO criteria. OPITO may also carry out unannounced visits where there are concerns about the on-going maintenance of the system.


It is important to note that OPITO do not ‘approve’ the content of the standards used within an organisation’s CMS. The approval process confirms that the system is robust and functioning in line with the OPITO Approval criteria.

4. Approvals definitions

The definition of each recommendation is as follows:

4.1 Approval Outright

The team has identified that there are no non-compliances at the time of the audit hence no corrective actions required. When approval is formally ratified the OPITO Approved CMS award will be made.

4.2 Approval with Corrective Actions

Areas of non-compliance have been identified which require corrective actions. This recommendation means that the requirements have not been achieved in their entirety. Approval will be awarded when the corrective actions have been implemented and verified by OPITO. Verification must be conclusive and submitted to OPITO. This can be by submission of documents, photographic or any other appropriate evidence. OPITO will not carry out a further audit to verify compliance, however, the following annual monitoring audit will review the areas concerned.

4.3 Non-Approval

This means that there are a large number of areas requiring improvement within the system. This recommendation means that approval requirements have clearly not been achieved. Once actions to correct the system have been submitted, OPITO will conduct a further site audit to ensure the effectiveness of the actions. The client will be charged for this repeat audit at the standard OPITO day rate (the initial approval fee is not repeated).

5. Summary of Approval Criteria

The “Six Golden Values” of a competence Management System:

1 Competence is embraced throughout the organisation from Senior to operational levels.

2 The competence system improves the organisation’s business performance.

3 Effective policies, procedures and processes have been implemented within the system and these are regularly reviewed.

4 Standards of competence have been designed to fit the business needs of the organisation.

5 There are sufficient qualified assessors and verifiers to meet the demands of the assessment and verification activities.

6 There are sufficient staff and financial resources allocated for the design, implementation and maintenance of the system.


6. OPITO Approval Criteria

The organisation specifies and maintains an effective system for assuring that the competence system complies with the OPITO approval requirements.

Figure 1: The five main sections of the OPITO Approval Criteria for Competence Management Systems To this end, organisations seeking approval will be required to demonstrate compliance with the following criteria: NB The criteria should be considered with the Approvals Criteria Guidance Matrix document which sets out in more detail what the specific requirements of the criteria are. This document must be completed as part of the application process

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.

1.2 The purpose and scope of the CMS is clearly defined and understood at all levels of the organisation.

1.3 The Organisational objectives both short and long term will include the delivery, development and maintenance of the CMS.


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.

2.2 There are sufficient personnel available to manage, operate, maintain, review and administer the CMS.

2.3 The CMS Targets and Key Performance Indicators are clearly communicated, accurately monitored and reported to all levels of the organisation.

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.

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

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)


3. Standards, Procedures and Implementation

3.1 There is a formally documented procedure to control the design, review and approval of the standards of occupational competence.

3.2 There are standards of occupational competence applying to all job roles and worksites covered by the scope of the CMS.

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.

3.4 There is a formally documented procedure covering the control and maintenance of all CMS documents.

3.5 There is a formally documented procedure covering the control and maintenance of all assessment records.

3.6 There is a formally documented procedure to ensure the consistency, quality and objectivity of all assessment and verification decisions.

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 the competence of personnel involved in the management and administration of the CMS is maintained over time.

3.9 There is a formally documented procedure to support Candidate appeals against assessment decisions.

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.

4.2 There is a formally documented procedure to ensure frequent internal auditing of the CMS against the OPITO approval criteria.

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.

7. Locations where Candidate Assessments Take Place

All locations where assessment takes place will be audited to ensure consistent implementation of the CMS against the OPITO Approval Criteria. OPITO will audit through a sample of workplace locations where assessments take place during initial and on-going monitoring audits. The duration and location of on-going monitoring audits will be determined by the scope of initial CMS application.


Where access to a location audit cannot be made within a 12 month period, the relevant element of the CMS approval will be held in suspension until such time as the audit has been completed.

8. Use of OPITO Logo

The OPITO Logo is to be used in accordance with the OPITO logo guidance which will be issued upon completion of successful approval.

The OPITO Logo must not be used in any way to create an assumption that it is a certification mark for any qualification, product, training /assessment programme/activity or approved system that has not been specifically approved by OPITO.


9. Audit Appeals

9.1 Approval and Annual Monitoring Audits

OPITO's intention is to work in partnership with its Approved organisations. In the unlikely event that during an audit, both parties are unable to reach agreement on the achievement of the approval requirements then the applicant or approved organisation has the right to make a formal appeal (in writing) to the OPITO CEO. The submission should state the nature of the appeal and the specific area of the criteria against which the appeal is made. OPITO will review the appeal and every effort will be made to resolve the area of contention within the parameters of the approvals process. OPITO will acknowledge the appeal upon receipt and every effort will be made to provide the petitioner with a final conclusion in writing within 14 days from receipt of the formal appeal. If the subject of appeal is administrative and does not impact on the wellbeing or safety of the organisation’s employees, or their attainment of competence then the petitioner’s position will be upheld during the appeal. If the subject of the appeal is directly related to the wellbeing or safety of the organisation’s employees, or their attainment of competence then the Auditor / Audit Team’s recommendation made at the time of the audit will be upheld until such time as the appeal has been concluded. The Auditor / Audit Team may consult with other OPITO representatives when forming the recommendation.


APPLICATION FOR OPITO APPROVAL OF A

COMPETENCE MANAGEMENT SYSTEM

Name of Organisation: ……………………….....................………………………………..…….................... (Please note that this is the name which will appear on your Approval certificate) Address of Organisation: .…………………………………………....................……………..……………........ .……………………………………..……………………………………….…................. .…………………………………..…………………………………………….................. Telephone Number: …………………..…………...... E-mail Address: ………………………………................ Scope of application (job roles): ...................................................................................................................... …………………………………………………………………………………………………………………………. All Location(s) of workplace where CMS will be applied: ................................................................................ ………………………………………………………………………………………………………………………….. Note: Proof of non-refundable initial payment of 50% covering the scope of this application will be required prior to any desktop audit work being undertaken. The remaining costs associated with the initial audit we aim to invoice 30 days before the scheduled initial site audit and this payment should be received 10 days prior to site audits. Further audit, if required, will be subject to a separate quotation.

Proof of Payment (IBAN/EG/Cheque No/)

In support of your application, please complete this OPITO Application Form and the Approval Criteria Guidance Matrix then submit them to OPITO with all supporting evidence and documentation in paper format clearly referenced and indexed. Senior contact: ………………………….............… Position: ………………………………… (Senior Management e.g. CEO/MD/Director) Coordinator contact: ...………….…….……......… Position: ………………………………… (for operational business) Accounts contact: ...……….………...…....…..….. Position: ………………………………… (for financial business) Signed (Senior contact): ………………............…... Date: ....…………………………........... FOR OFFICE USE ONLY: Date Received: ………………………


Please complete and return to your closest OPITO office: For applications in the Asia Pacific region, kindly send your submission to: OPITO Asia Pacific Sdn Bhd 10

th Floor, UBN Tower

10 Jalan P. Ramlee 50250 Kuala Lumpur Malaysia For attention: Punitha Sannasy, Approvals Coordinator Telephone: +603 2072 7350 Fax: +603 2072 7355 Email: [email protected] For applications in the UK and North Sea bordering countries, kindly send your submission to: OPITO Minerva House Bruntland Road Portlethen, Aberdeen, AB12 4QL United Kingdom For attention: Lisa Donald, Approvals Coordinator Telephone: +44 1224 787800 Fax: +44 1224 787830 E-mail: [email protected]

For applications in the Middle East, Africa and Europe region, kindly send your submission to: OPITO International FZ LLC PO Box 500726 Block 11 Room F12 Knowledge Park Dubai United Arab Emirates For attention: Llewellyn Atienza Del Rosario, Approvals Coordinator Telephone: +971 4 4458482 Fax: +971 4 4458481 Email: [email protected] For applications in the Americas region, kindly send your submission to: OPITO Americas LLC 16225 Park Ten Place Suite 500, Houston Texas, 77084 USA For attention: Lisa Donald, Approvals Coordinator Telephone: +1-713-338-3492 / +44 1224 787800 Email: [email protected]

mailto:[email protected]



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