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
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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
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
1.2 The purpose and scope of the CMS is clearly
defined and understood at all levels of the
organisation.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
Explanation of evidence required
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.
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
2. Planning Targets and Organisational Responsibilities
2.1 The roles, responsibilities and authorities for those This is a controlled organisation chart that
involved in the operation of the CMS are clearly
shows the roles, responsibilities and
defined and documented at every level.
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.
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OPITO Requirement
2.2 There are sufficient personnel available to
manage, operate, maintain, review and administer
the CMS.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
Explanation of evidence required
2.3 The CMS Targets and Key Performance Indicators
(KPIs) are clearly communicated, accurately
monitored and reported to all levels of the
organisation.
CMS objectives and KPIs must be directly
correlated to the corporate objectives as
set by senior management (element 1.3.).
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
2.4 There are sufficient qualified and competent
assessors to carry out valid and robust
assessments across all sites and for all standards
of competence within the CMS scope.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
There must be sufficient qualified and
competent assessors to cover all job roles
as defined within the CMS scope and
workplace locations where the
assessments will take place.
There should be a balanced ratio of
assessors to candidate e.g. assessor:
candidate ratio 1:10. Although it is
accepted this may vary depending on the
standards of performance being assessed.
Assessors must be qualified to National
standards and/or OPITO standards.
Assessors must be able to provide
verifiable evidence that they are
occupationally competent.
Assessment records must be entered into
the CMS in a consistent and timely
manner.
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OPITO Requirement
2.5 There are sufficient qualified and competent
internal verifiers to carry out Internal Verification
of the assessment processes across all sites and
for all standards of competence within the CMS
scope.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
There must be sufficient qualified and
technically knowledgeable internal verifiers
to cover all job roles as defined within the
CMS scope.
There should be a balanced ratio of
internal verifiers to assessor e.g. internal
verifier to assessor ratio 1:10. Although it
is accepted this may vary depending on
the standards of performance being
assessed.
Internal verifiers must be qualified to
National standards and/or OPITO
standards.
Internal verifiers must be able to provide
verifiable evidence that they are
occupationally knowledgeable.
Verification records are entered into the
CMS in a consistent and timely manner.
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OPITO Requirement
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
3.2 There are standards of occupational competence
applying to all job roles and worksites covered by
the scope of the CMS.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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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.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
Explanation of evidence required
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.
Reference where Evidence Of
Compliance can be found in submission
All staff working within the management
of the CMS should be knowledgeable of
the document control procedure and
effectively comply with it.
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OPITO Requirement
3.5 There is a formally documented procedure
covering the control and maintenance of all
assessment records.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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OPITO Requirement
3.6 There is a formally documented procedure to
ensure the consistency, quality and objectivity of
all assessment and verification decisions.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
These are typical instructional procedures
which include but are not limited to:
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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
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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.
Explanation of evidence required
This is a typical instructional procedure
which includes but is not limited to:
•
•
•
•
•
•
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.
FORMOPITO004.01BB
Reference where Evidence Of
Compliance can be found in submission
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
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OPITO Requirement
3.9. There is a formally documented procedure to
support Candidate appeals against assessment
decisions.
FORMOPITO004.01BB
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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
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OPITO Requirement
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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
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OPITO Requirement
4.2 There is a formally documented procedure to
ensure frequent internal auditing of the CMS
against the OPITO approval criteria.
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
This is a typical instructional procedure
which includes but is not limited to:
 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.
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OPITO Requirement
Explanation of evidence required
Reference where Evidence Of
Compliance can be found in submission
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.
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