Example indicators of compliance

For each standard, associated with a regulatory requirement and business risk, measures have been made and recorded, appropriate to the risk assessment associated with that role or task.

Assessment methods are matched to the different types of competence required. As appropriate:

'Show me' / Simulation / Observation / Written and verbal tests / 'What if scenarios' – process upsets / Table top exercises / Behaviours, attitudes / Examination of records

The assessment policy ensures that assessments are carried out by assessors who are accredited or otherwise trained trainers/assessors with relevant experience and who can demonstrate credibility and impartiality.

Examples of what this means in practice

The processes are in place for the ongoing internal monitoring, assessment and analysis of compliance against the standards.

The internal verification processes are in place to monitor and update competence assurance processes.

There is a formal audit and review of records to provide formal evidence of the level of competence of those performing the task, the assessors and assessment processes and the management systems and processes.

There is an evaluation of audit and feedback data at senior level to review the effectiveness of the measures used and how the outcomes have been addressed.

There is a formal management review of the overall CMS to give confidence, internally and externally, of its continued suitability and effectiveness.