The Competence Evaluation Process Steve Russell , & Kevan Parker

1. The Competence Evaluation Process Steve Russell, & Kevan Parker

2. Competence

3. What we have • A system which allocates Assessor competence on the basis of QMS codes. • There are 82 of these codes which were originally designed to breakdown the broader EA codes into more manageable segments. • Clients scopes of certification are matched with QMS codes to facilitate Assessor allocation. • A complete list of codes is defined in Annex A of WP14.

4. The Process • New Auditors submit a form 0018, CV, audit logs and evidence of qualifications. This should be a ‘one off’ exercise. • If an Auditor wishes to seek approval for a given code they must complete a form 0005. In doing this, they make direct reference to the relevant aspects of the above information. • The form 0005 plus supporting evidence, is emailed to international@nqa.com or form5@nqa.com

5. The Process • The submitted documentation is reviewed by a designated member of the UK Customer Operations Team such as a Sector Manager. • The outcome of the review is communicated by email.

6. The Rationale • The purpose of the form 0018 is to support an Auditors approval for a given sector such as QMS or EMS. • Form 0005 identifies code specific knowledge and skills • The purpose of the current incarnation of form 0005 was to reduce duplication. • The idea being, that an individual submits a core body of information including their CV, evidence of qualifications and audit logs only once. They then make reference to applicable elements of this when completing each form 0005.

7. The Rationale • References made on Form 0005s to information held within CV’s must be clear and specific. It is not adequate just to reference a previous employer. You must show what role and tasks were undertaken which demonstrate knowledge and skills in respect of the code applied for. • This removes the need to resubmit the same evidence for different codes. • Whilst reducing duplication, this methodology does place significant emphasis on the individual Auditor to provide an in depth and expansive CV.

8. The Problems

9. The top reasons for return • The Form 005 has not been completed correctly i.e all required sections including the technical statement. • No audit logs submitted • No evidence of Qualifications or Training supplied. • Submissions do not take account of the points system.

10. The top reasons for rejection • The Absence of relevant work experience. • Insufficient Audit Experience • No evidence of related education or training • Submitted content not relevant to specific application

11. The evidence suggests that the only clear element of the competence process… is that people are not clear about the competence process!

12. How NOT to complete the form: No evidence presented Empty boxes mean it is impossible to give you a score

13. How TO complete the form: Detailed evidence All the boxes completed

14. Why is change needed? • To ensure that we deliver competent, value added audits. • To address the concerns expressed by UKAS and ensure that we are successfully re-accredited. • To make life a little bit easier for everyone!  • To make sure that we meet the expectations of our internal customers.

15. Why is change needed? • Competence criteria for QMS schemes are continually being enhanced and our systems must keep pace. • ISO/IEC TS17021-3:2013 – Competence requirements for auditing and certification of quality management systems has been issued.

16. What are the key changes? • We have taken the current QMS codes and grouped them into 20 new Technical Areas. • Technical Areas cover a range of industries with commonalities in terms of processes and legislation. • Each Technical Area maps directly across to EA codes, NACE codes and QMS codes. • Under this system, Auditors may eventually be qualified by EA code rather than QMS code. • We are, therefore, reducing 82 codes to 39. • Basically, less form filling and broader scopes of competence.

17. What will they look like? • Each Technical Area shall have a set of top level documentation. This consists of; • A Briefing Note – Explaining key areas of focus for audits, applicable legislation, a glossary of terms, associated standards and Trade Bodies. • A Competency Determination Matrix – listing major processes, product related requirements and knowledge and skills associated with the Technical Area. • An Examination.

18. How can you help? • To help make the new process work effectively, we are asking all Assessors and Associates to thoroughly review all documentation for completeness prior to submission. • Ensure that you are clear in respect of what is required. Feel free to ask Kevan and myself any questions! • 100% accuracy in code submissions will free up a significant amount of time in the Customer Operations Department not to mention reducing your own efforts. • This will result in better customer service

19. Key changes continued… • Each Technical Area will have a designated Competency Evaluation Oversight (CEO). • The CEO will produce and maintain the associated documentation. • Have veto power over decisions on code approval.

20. When? • The new process went live in August. • The UK element of the UKAS re-accreditation process takes place week commencing 18th November. • By this time we must have a current, in depth CV, audit log and CPD submission from each and every one of you. • We must also have completed form 0005s in respect of every QMS & EMS code approval granted.