Carrying Out Assessments of HSE Competences:

1. Carrying Out Assessments of HSE Competences: Guidance for Position Holders and Line Supervisors/Assessors

2. Purpose • This slide pack is designed to be a self-learning module to assist with the assessment of the HSE competences of people holding HSE Leadership or HSE Critical Positions Responsible for Planning/Supervisory HSE Critical Activities;  • It is designed for use by position holders and line supervisors (or authorised assessors, where used) of such positions;  • It is not intended to provide detailed guidance on how to use the Competence module of SAPpHiRe, for which other guidance exists (see next slide).

3. Other Available Guidance/Reference Material • Slightly more detailed guidance on carrying out an HSE competence assessment can be found in the form of a HSE Guideline (HSE Guideline GU-679); • More detailed guidance on how to access and use the Competence module of SAPpHiRe can be found in three other self-learning modules: • For Employees (web link) • For Supervisors (web link) • For Assessors (web link) • It is recommended that you access and print-off a copy of the HSE Guideline and the relevant SAPpHiRe guidance for use as a reference, when completing an assessment.

4. Where to Get Further Help • If further advice and/or guidance is required on assessment issues, you should contact your Skill Pool Manager in the first instance or the HSE Skill Pool Manager; • If you require further guidance on SAPpHiRe issues, you should contact the SAP help desk on 1111.

5. HSE Competence Assessment/Development Process: Responsibility Overview Competence Assessment Process

6. Using an ‘Authorised Assessor’ • If a line supervisor is not confident of his/her capability to carry out all or part of an assessment of HSE competence, he/she can request the input of a ‘authorised assessor’; • The HSE Skill Pool Manager keeps a list of HSE ‘authorised assessors’; • However, if an assessor is to be used, or possibly used, the name of the assessor should be entered into SAPpHiReby the position holder and this has to be done before the self-assessment is submitted for review (see detailed SAPpHiRe guidance).

7. Assessment: The Six Steps 1. Competence requirement reviewed and agreed 2. Individual completes a self assessment in SAPpHiRe 3. Self assessment reviewed by line supervisor 4. Assessment discussion between individual and line supervisor: decisions and feedback 5. Actions agreed to mitigate any gaps identified 6. Assessment outcome and actions recorded in SAPpHiRe

8. 1. Competence requirement reviewed and agreed Guidance for Position Holders & Line Supervisors • Competence requirements for each of the 3 HSE competence elements (HSE Lead, HSE Prepare & HSE Apply) should already have been included in the overall competence requirements for the position in SAPpHiRe; • To view the competence requirements for the position you need to use the ‘Print’ facility in SAPpHiRe to download and print off a file version of the competences (see detailed SAPpHiRe guidance); • The details of the Proof Points for each HSE competence element can be found in Procedure HSE-1980. They can also be accessed via the following web link: Web Link

9. 1. Competence requirement reviewed and agreed Guidance for Position Holders & Line Supervisors • The individual and line supervisor should check that the requirements make sense in relation to the HSE risk management demands of the position; • If no requirements are shown in SAPpHiRe or if the requirements seem wrong, contact your Skill Pool Manager or the HSE Skill Pool Manager; • The supervisor should decide whether he will carry out the assessment or will need the input of an authorised assessor; • If an assessor is to be used, or possibly used, the name of the assessor should be entered into SAPpHiReby the position holder and this has to be done before the self-assessment is submitted for review (see detailed SAPpHiRe guidance)

10. 2. Individual completes a self assessment in SAPpHiRe Guidance for Position Holders • You should assess you current competence against the requirements for your position (Awareness, Knowledge or Skill) for each of the 3 HSE competence elements (HSE Lead, HSE prepare and HSE Apply); • You should do this by assessing yourself against the detailed Proof Points for that level of competence (see next slide for examples of the Proof Points); • The details of the Proof Points for each HSE competence element can be found in Procedure HSE-1980. They can also be accessed via the following web link: Web Link

11. 2. Individual completes a self assessment in SAPpHiRe HSSE Lead: Awareness Level Examples of HSE Competence Proof Points HSSE Apply: Skill Level

12. 2. Individual completes a self assessment in SAPpHiRe Guidance for Position Holders • If you believe you meet all the Proof Points for the required level of competence, you should click the radar button for that level of competence and enter evidence to support your self-assessment; • Relevant and recent evidence should be recorded in the evidence text section in SAPpHiRe to support the self-assessment; • The range and depth of evidence to be recorded depends on the competence level concerned (see following slides); • Evidence can be included in SAPpHiRe in the form of attached documents (see detailed SAPpHiRe guidance)

13. Evidence Expectations 2. Individual completes a self assessment in SAPpHiRe Evidence Required For Awareness: The position holder needs only to state the key positions where the understanding required by the Proof Points has been gained, together with any relevant training, which may have been attended. The Line Supervisor or may wish to test the level of understanding claimed via some specific questions at the meeting arranged to review the self-assessment. Evidence Required For Knowledge: Slightly more detailed evidence is required of relevant training completed plus examples of where the practical experience required by the Proof Points has been gained. If the Line Supervisor does not have sufficient personal experience of the position holders work and does not have sufficient practical, observed evidence to cover all the Proof Points, he/she should explore the level of competence via questions at the meeting arranged to review the self-assessment. Evidence Required For Skill, the position holder should provide specific written examples of when and where he/she took a leading role in carrying out the actions required by the Proof Points. The Line Supervisor (or Assessor, if used), should satisfy himself/herself that the individual has effectively carried out all the actions required to a satisfactory standard.

14. 2. Individual completes a self assessment in SAPpHiRe Evidence should meet the four CARS criteria Current - the evidence is sufficiently recent to support a conclusion that the Proficiency Level of Competence is still valid; Authentic - the evidence reflects the position holder’s own work; Relevant - the evidence is appropriate for the position and the Competence Element being assessed; Sufficient - the evidence adequately covers all the relevant Proof Points of the Competence Element at the Proficiency Level being assessed.

15. 2. Individual completes a self assessment in SAPpHiRe Guidance for Position Holders • If you believe you do not meet all the Proof Points for the required level of competence, you should list in the evidence box, those Proof Points which you believe you do not meet; • You should then click the radar button for the level of competence in SAPpHiRe for which you believe you meet all the requirements and enter evidence to support your self-assessment; • If you believe you meet all the Proof Points for a higher level of competence than that required for your position, you should click the radar button in SAPpHiRe for the level of competence at which you assess yourself and enter evidence to support your self-assessment; • Once you are happy with your self-assessment, you should submit it to your line supervisor using the ‘Send Assessment’ function.

16. 3. Self assessment reviewed by line supervisor Guidance for Line Supervisors • You should open the self-assessment (see detailed SAPpHiRe guidance). • If you do not feel competent enough to do the assessment, you should invite help from the authorised assessor identified and named in SAPpHiRe as part of Step 1; • You should do this via the ‘Send Assessment’ function in SAPpHiRe (see detailed SAPpHiRe guidance).

17. 3. Self assessment reviewed by line supervisor Guidance for Line Supervisors/Assessors • You should review the evidence provided in the self-assessment and consider whether it meets the CARS criteria (see slide 14) and fully supports the competence levels self-assessed; • You should consider and access other sources of evidence (see next slide); • In making your assessment, you should consider whether the individual satisfies all the required Proof Points specified for the competence and the proficiency level concerned (see slide 11 for examples of Proof Points) • The details of the Proof Points for each HSE competence element can be found in Procedure HSE-1980. They can also be accessed via the following web link: Web Link

18. 3. Self assessment reviewed by line supervisor Guidance for Line Supervisors/Assessors • Personal Observation provides the most natural form of evidence; it is valid, and reliable; • However, access to first hand evidence of an individual’s performance may not always be possible; • So, what other sources of evidence can be used ? • Individual’s self assessment statements • Work History (CV) • Other options for additional evidence (if considered necessary) • Statements from others who have worked with the individual being assessed • Records, Documents, Products of Work

19. 3. Self assessment reviewed by line supervisor Guidance for Line Supervisors/Assessors • For each competence element, you should consider the evidence provided and your own experience of the individual to make an initial conclusion whether: • The evidence seems to support the self assessment but you may need to check some facts; • The evidence you have is not sufficient to make even an initial conclusion. • For each competence element, decide what you want to find out from the discussion with position holder; • When you have reviewed the self-assessment, you should arrange a face-to-face discussion with the position holder; the review should NOT be done by email and you should NOT simply make your decision without engaging with the position holder.

20. 4. Assessment discussion between individual and line supervisor: decisions and feedback Guidance for Line Supervisors/Assessors • The discussion provides an opportunity for the supervisor/assessor to: • Explore areas of uncertainty; • Secure or clarify evidence; • Come to conclusions about the level of competence in each element; • Discuss and agree any gaps and actions to address them • It is recommended that you review each competence element in turn; • It can be helpful to review what the competence element entails and the proof points at A, K or S level; • Give feedback on your preliminary conclusion, after the discussion of each competence element: • Competence level assessed; any gap you believe exists; recommended actions to fill the gap; • if you are uncertain, say so and what you plan to do to reach a conclusion (e.g. request further evidence)

21. 4. Assessment discussion between individual and line supervisor: decisions and feedback Guidance for Line Supervisors/Assessors • The assessment process requires a particular proficiency level (A, K or S) to be decided; • However, the reality is often that the level is somewhere in between; • For example, someone may meet all the K level requirements and some of the S level requirements, but not all the ones relevant for the position; • The result is that he/she must be assessed at Knowledge; • It is most important to define and explain what the missing requirements of the competence are and to recommend actions to address the gaps(s).

22. 4. Assessment discussion between individual and line supervisor: decisions and feedback Guidance for Line Supervisors/Assessors • Usually, you should not identify a gap without making a recommendation on how to close it; • Situations may arise, where the individual does not meet a particular Proof Point requirement, but it is difficult to define the action to be taken in the present position to fill the gap; • This may be because that particular Proof Point requirement is not relevant to the present position; usually, this arises in the case of Skill requirements; • If you cannot define what the person needs to do in his/her current position to demonstrate Skill, then the position may not need that particular Proof Point requirement; • If you are fully confident that the Proof Point is not relevant and not required for the position, then you should: • Assess the competence at Skill; • Note in SAPpHiRe that the gap exists, but it is not considered relevant for the position. • If in doubt, consult an authorised HSE competence assessor (contact the HSE Skill Pool Manager).

23. 4. Assessment discussion between individual and line supervisor: decisions and feedback Guidance for Line Supervisors/Assessors • Make detailed notes as you go along • Note down key, additional evidence or clarification acquired during the assessment discussion; • Note down the conclusion in terms of level assessed (A, K, S); • Note down what gap(s) you identified against the required criteria; • Note down what feedback you provided and agreed in terms of relevant action to address the gap(s); • After the assessment your comments, conclusions and recommendations will need to be entered into SAPpHiRe

24. 5. Actions agreed to mitigate any gaps identified Guidance for Line Supervisors/Assessors • Importantly, the discussion should be used to define and discuss any gaps versus the position requirement that the assessment has identified and what actions should be taken to address those gaps; • The appropriate actions should include ones designed to both: • Fill gaps; • Mitigate the possible risks associated with gapss

25. 5. Actions agreed to mitigate any gaps identified Potentially Relevant Gap Filling Actions 1. Awareness/Knowledge Level Gaps • Formal training • Self Learning (SOU) • Reading Documents • Participating in activities 2. Skill Level Gaps • Cannot be filled by training alone; • Questions that need to be considered: • What hasn’t yet been proven ? • How can this be done on the job ? • What actions need to be taken ? • What needs to be delivered to prove that the gap is filled ?

26. 5. Actions agreed to mitigate any gaps identified Guidance for Line Supervisors/Assessors • The approach to risk mitigation will potentially involve : • Reallocating the activity to someone who is fully competent; • Providing enhanced supervision and/or support; • You should record, either in SAPpHiRe or elsewhere, the actions identified to mitigate the potential risks, including any restrictions on the tasks that individuals are permitted to perform; • Competence development actions should be agreed and documented in the annual Performance and Development Review documentation; • You should ensure that the position holder understands and agrees with any actions including any temporary constraints on activity and/or decision making.

27. 6. Assessment outcome and actions recorded in SAPpHiRe Guidance for Assessors • You should record your comments, conclusions and recommendations in SAPpHiRe, including the basis for those conclusions and any recommended/agreed actions; • You cannot change the assessed competence level in SAPpHiRe – this can be done only by the line supervisor; • However, you can record a recommend change to the line supervisor in the ‘Comments’ sections in SAPpHiRe; • If any issues emerge from the assessment, you should arrange to discuss them with the line supervisor; • You should then return the assessment to the line supervisor via the ‘Send Assessment’ function (see detailed SAPpHiRe guidance).

28. 6. Assessment outcome and actions recorded in SAPpHiRe Guidance for Line Supervisors • The final assessment conclusions and any actions should be recorded in SAPpHiRe, including appropriate evidence/comments to support the conclusion; • If the assessment has been carried out by an assessor, you should review their conclusions/recommendations and discuss them with them, as necessary, to ensure that you understand and agree them and endorse any recommended actions; • If an assessor has been used, you should arrange a meeting with the position holder to review the assessor’s conclusions and to review actions to address any identified gaps;

29. 6. Assessment outcome and actions recorded in SAPpHiRe Guidance for Line Supervisors • If the outcome of the assessment requires a change to the competence level assessed by the position holder, the ‘radar button’ in SAPpHiRe should be changed to show the finally assessed level of competence; • Once you are confident that that all relevant information has been recorded in SAPpHiRe and that the radar buttons for each competence element show the finally assessed competence levels, you can then finalise the assessment using the ‘Complete’ function; this can be done only by the line supervisor; • Until this has been done, the assessment will be reported as not yet having been fully completed.