Competence assessment for ISO 14001 and ISO 45001

For staff with responsibilities in an Environment Management System (EMS) or Safety Management System (SMS), and for staff whose work may affect the organisation’s environmental or work health and safety (WHS) performance, ISO 14001:2015 and ISO 45001:2018 requires that they have the necessary level of competence and awareness.

This is achieved with education, training and on-the-job experience. But how can this competency be verified? And what evidence can be provided to an auditor as proof of competence?

Why are competent staff important?

Before discussing verification of competency, let me say something on the benefits of having competent staff members, especially those whose work has the potential to cause environmental impacts, or who are responsible for responding to emergency situations or conducting internal audits.

A competent person is someone who has the necessary ability, knowledge, or skill to perform a task successfully. Having competent staff members has immense benefits including:

• increased productivity
• reduction in safety and environmental incidents due to staff members’ knowledge of workplace hazards and risk controls
• effective response in emergency situations with competent staff implementing appropriate emergency procedures
• employee retention because valued staff members tend to stay with the organisation.

How to assess the competency of staff members

Assessing the competence of a staff member requires a systematic approach which can be achieved with a 3-step process:

Step 1 – List the competencies required for the role

Competencies can generally be categorised into three specific attributes:

Skills – For example, an EMS manager needs to have a good understanding of how management systems work and be able to write good documentation and deliver effective training.

Knowledge – For example, a HSE officer will need to have a thorough knowledge of the HSE legal requirements applicable to their worksite’s activities so they can design and implement effective controls to achieve compliance with those requirements.

Judgement or Awareness – For example, forklift operators need to have good spatial awareness and adaptability to be able to manoeuvre the forklift safely.

Step 2 – Set assessment goals

Develop key performance indicators to measure if the competency level of the staff member is adequate for the role. Quantifiable key performance indicators are the most effective, but also the most difficult to come up with.

Step 3 – Gather assessment data

Decide who will gather the data for the indicators (set in Step 2) and make the competence assessment, and when this will take place.

Some methods for gathering the data include:

• checking qualifications
• external course assessment (where competency testing is performed)
• feedback from in-house training (with perhaps a multiple-choice test at the end of the session)
• close supervision to assess the person’s work
• assessment of work output and quality
• internal or external audits of the person’s work or outcomes from the work.

What to do when there are competency gaps?

If the person being assessed lacks particular skills or knowledge, or if a person’s role or responsibilities have changed and new competencies are required, then education or training may be necessary to bridge any competency gaps.

Education and training can take many forms, for example, induction, offsite training course, or leadership training, but it must be relevant to the competencies required for the role. Simple multiple-choice tests at the conclusion of training can be used to assess learning and encourage attention during the training session.

You also might need to deliver training on a regular basis to ensure competencies are retained and up-to-date (as is done, for example, in most companies for fire-wardens).

Is awareness just as important as competence?

It most certainly is. Having competent staff members is one side of the coin, the other is having staff members aware of the organisation’s environmental and safety policies and objectives, their awareness of safety and environmental hazards and the implications of nonconformity with risk controls.

For example, you may have a chemical operator specialised in chemical mixing (competency), but that doesn’t mean they automatically know their legal requirements for handling and storing chemicals (awareness).

Through induction or training, educate your staff on the following (among other things):

Procedures – Know the procedures relevant to the area of work, the importance for following those procedures and the implications for not following the procedure.

Legal obligations – Know and stay informed of the environmental and safety legal requirements pertinent to the job they are performing, and an understanding of the ramifications of nonconformance.

Their role and responsibilities – Understand their role and responsibilities for the organisation’s safety or environmental performance and the effectiveness of the management system.

Self-protection – Know when and how to remove themselves from a work situation that they consider presents an imminent danger to their life or health.

What evidence of competence can I show?

Evidence of competence may include:

• results from competence assessments
• training plans and records of training
• qualifications and certifications (keep copies of these on-file)
• any other notes and records of competence assessment.

All of these are important evidence demonstrating compliance in conformance with the requirements of Clause 7.2 and 7.3 of ISO 14001:2015 and ISO 45001:2018. This evidence will also be vital in avoiding prosecution in the event of a serious incident.