Determining the competence required to perform a job means determining the results required by that job, the main tasks that the individual should perform, and the criteria to be met (or the performance standard to be achieved).
It is important that the people who will be evaluated in this process participate in the definition of these standards for the following reasons: because it is necessary to have it very clear what must be obtained from a certain process; because there must be a common vision regarding what needs to be done to achieve a certain objective; because it is good that the desired performance is clearly quantified
How is the correct application of this regulatory requirement demonstrated? It's very simple: demonstrating that the necessary competence of the people who work on a certain process influences the performance of the Quality Management System can be achieved by:
- Presenting evidence that the required and expected results of a process have been discussed and agreed with the person who must pursue them;
- Presenting information that defines the main tasks that the person should perform to achieve these results;
- Presenting information that defines the person's ability to perform these tasks
ASSESSING COMPETENCE
The role of competence in ISO 9001, as we have seen, is nothing more than the ability to apply acquired knowledge and skills and the experience gained in order to achieve the expected results. Selection can be based on past performance, but without performance standards in place and a solid basis for measuring competencies this method is unable to ensure that you have competent people in the workplace.
Why is it necessary to assess competencies? Traditionally, personnel are selected on the basis of qualifications, training provided, and experience gained, but not on the basis of results achieved. This way of proceeding is absolutely inadequate for a number of reasons, among which we remember the main ones:
- A person may have received adequate training but has not had the opportunity to apply the knowledge and skills required for the job;
- A person may have exercised the acquired skills but has not reached a level of competence such as to work as a supervisor;
- A person may possess the knowledge and skills required for a job but may be temporarily or permanently unable for a whole series of reasons;
- A person may have qualified quite a few years ago but has not applied the knowledge since then
The examples above illustrate why qualifications, training certificates, and years of experience are not necessarily adequate proof of competence and the ability to obtain results. How to proceed, then? We must proceed, also in this case, with an approach based on risk management. It is important that the methods of competency assessment are well-based, and to do this it is necessary to determine whether the proposed method is:
- Based on the use of explicit performance statements;
- Focused on evaluating results;
- Independent of any specified learning program;
- Able to provide a personalized assessment;
- Containing clear indications regarding the quality of the evidence that must be collected;
- Containing clear guidelines and procedures to ensure the quality of the results
Demonstrating that people who perform a job are competent based on appropriate education, necessary training, or experience gained can be done:
- Presenting evidence that access to documents relating to the necessary skills is available and that people are selected for specific tasks based on their competence;
- Indicating for each process the people who are responsible for it;
- Presenting evidence that the requirements relating to competence have been determined for the people who must produce these results;
- Presenting evidence that a competency assessment process is employed;
- Presenting evidence that the assessment method requires: - that the criteria for the required performances have been fixed - that evidence relating to the competence gained has been collected - that evidence is presented that there is a correspondence between the evidence and the reference standards - that there is a plan for the development and growth of human resources where they have been assessed as "not yet competent"
- Presenting evidence that the competence of the selected people has been evaluated and found satisfactory by the designated authority (i.e., by the person that the organization has designated as competent to conduct the evaluation);
- Presenting evidence in favor of periodic reviews of skill records based on the development needs of the staff
DEVELOPING COMPETENCIES
After having identified the needs of skills and having evaluated those matured, this regulatory requirement solves the gap between the acquired skills and those necessary. Why is it so important to apply this requirement well? When it is discovered that the staff is not yet competent in some aspects of their work, it is certain that the work is not being performed as expected and that, consequently, the performance of the organization risks being negatively influenced, if not immediately at least in the long term.
It may happen that some people within the organization manage to compensate, temporarily, any weaknesses, but all this is highly unproductive because it "steals" resources from productive work. Action is therefore necessary as quickly as possible to avoid a deterioration of standards and a negative impact on customers.
When it is discovered that people lack the skills necessary to provide the results required by the process in which they are involved, the organization can choose whether to:
- Develop appropriate training interventions to grow the necessary skills through internal or external courses;
- Provide the tutoring of a more experienced person who acts as a point of contact to provide assistance and support;
- Provide on-the-job coaching so that a more experienced person transfers knowledge and experience to those who know less;
- Rotate the work so that a person gains experience;
- Provide special assignments to develop new experience;
- Hire competent staff;
- Subcontract the work to an organization that employs people with the necessary skills;
- Redesign the process so that it can be performed by the current staff, applying the available skills
Whatever decision is made to acquire the necessary skills, it must be documented and supported by a plan to implement it, agreeing it with the people concerned. The related documented information must be kept. Subsequently, this plan will be used to assess the effectiveness of the actions taken.
EVALUATING THE EFFECTIVENESS OF THE ACTIONS TAKEN TO ACQUIRE THE NECESSARY COMPETENCE
Whatever action has been taken to acquire the necessary competence, it will be necessary to evaluate its effectiveness. The simple provision of a training course, in fact, is not sufficient proof of the effectiveness of the work done. Some people, moreover, may pass any exams but not be able to apply their knowledge in a practical way. Hence the need to evaluate the effectiveness of the actions taken. The skills acquired are assessed on the basis of performance and behaviors observed in the workplace.
The evaluation can be divided into three parts:
- An assessment of the performance activity before the intervention established to develop new skills (initial phase);
- An assessment of the performance immediately after the completion of the development activity (intermediate phase);
- An assessment of the activity within a few weeks of its completion (final phase)
RETAINING THE DOCUMENTED INFORMATION OF COMPETENCE
The documented information relating to the acquisition of the skills necessary to carry out a certain job are the evidence of the results achieved and, above all, those that demonstrate how the competence was assessed. This information will therefore provide evidence of:
- The extent to which a person's abilities meet certain competency requirements;
- The activities performed and the criteria used to determine a person's competence
Proof of acquired skills is necessary for two fundamental reasons:
- Demonstrate to an interested party that a certain person has been deemed competent to perform a certain job or activity or to fill a certain role;
- Be of support in any investigation in which the competence of an individual or the method or authority for an assessment of his skills has been questioned
Typical examples of evidence include:
- The job specifications or the description of the process that identifies the necessary skills;
- The staff development plan that identifies the education, training, and development needed to bridge the gap in terms of courses of study and training;
- Proof that necessary training interventions have been completed;
- The records of the competency assessment