We are often asked how to build or structure a T&C scheme or framework. To build a robust Training & Competence (T&C) scheme use these framework elements. These are based on both the TC sourcebook and industry best practice. You should try to satisfy all the indicators within each element.
T&C Scheme Framework – COMPETENCE
By understanding their role and personal performance against known standards employees know how they personally contribute to the company achieving their corporate outcomes.
- Each job holder has a clear understanding of their job role.
- Each job holder understands and accepts what measures they need to achieve to be deemed competent in their role.
- Any difference between standards associated with competence and the highest levels of achievable performance in the role are clear.
- Standards used must be measurable.
- The standards associated with competence result in meaningful business outcomes being achieved. This helps ensure that competence standards are set at the appropriate level.
- Competence standards ensure that personal performance delivers acceptable outcomes against any values, competency or behavioural framework.
- Each job holder understands how competence in their role helps the company achieve defined corporate outcomes. (These may include the TCF consumer outcomes).
- Competence considers the whole job and not just specific elements within it.
- The standards associated with competence are reviewed periodically to ensure that they continue to deliver expected business outcomes.
T&C Scheme Framework – RECRUITMENT
Employees are selected for roles based on an objective assessment of their potential and suitability to fulfill the standards required for the role.
- Persons performing tasks within the selection process must be competent to do so.
- Policy is clear whether you recruit INE (Inexperienced New Entrant) or ENE (Experienced New Entrant) or mixture and shape the selection process accordingly.
- Selection processes must use elements that consider the applicant’s current knowledge, skills and behaviour compared to those required for the prospective job
- All relevant qualifications must be supported by original examination certificates.
T&C Scheme Framework – TRAINING
Training follows a continuous cycle to ensure needs are identified, addressed and result in improvements in business quantity and/or quality
- A gap analysis is performed for each new entrant to determine the inputs required on the pathway to competence.
- Training is carried out by those people competent to do so.
- Training interventions are preceded by a pre-brief and followed by a post brief.
- Follow up ensures that learning is transferred to the job.
- All development plans indicate the improvement in quantity/quality that will result assuming the development is successful
- Training is periodically reviewed and evaluated to ensure that it was and remains fit for purpose.
- There is a training planning process that covers strategic, operational and individual training to ensure that there are no conflicts and the plans are manageable
T&C Scheme Framework – ASSESSING COMPETENCE
Competence is assessed reliably across the business against relevant standards designed to achieve specific business outcomes
- Whoever performs the role of assessor must be competent to do so
- Sufficient evidence must be gathered to evidence competence
- To be competent the person must routinely demonstrate the ability to perform the task to the required standards.
- Sufficient evidence requires the assessor to consider the range of activities, different customer types or permutations that might be engaged.
- The standards used to assess competence must be clear, understood and accepted by the parties involved.
- Competence is assessed reliably across the business.
- Evidence used to assess competence must be the most recent examples of the persons performance.
- Evidence used to assess competence must be valid for the element of competence to be assessed. E.g. you would normally not use a case study to evidence a soft skill.
- Evidence used to assess competence must be objective, not subjective.
- Evidence used to assess competence must be capable of being confirmed for authenticity.
- Once a person has attained competence they continue to take steps to keep their knowledge, skills and expertise up to date.
- Individuals take responsibility for the ownership of their competence.
T&C Scheme Framework – SUPERVISION
Through effective supervision performance gaps and/or risks are identified and addressed.
- The focus of supervision is on the effectiveness of the supervisory invention
- Supervisors must be competent to perform their role
- Supervision is appropriate to the possible risks identified in achieving the desired outcomes.
- Supervision is based on a continuum ranging from 100% to minimum benchmark levels. The criteria used to apply this supervisory continuum are clear.
- Key performance measures are defined and measured against key job outputs.
- Any assessments are performed by people that do not have a vested interest in the outcome. If they do appropriate measures are in place to sample the appropriate application of the assessment decisions
- Performance is reviewed on a frequency appropriate to the experience and competence of the person.
- As a minimum requirement performance must be reviewed annually
- Supervision is focused on the management of competence/highest level of achievable performance not by the need to complete a minimum number of activities.
- Measurement of performance can pinpoint the level someone is performing and not just whether they are competent or not.
- Development is able to progress an individual beyond competence towards the highest level of achievable performance
- The outcome of performance reviews is commensurate with the standards of competence
- Supervisors continue to refresh evidence of competence to ensure that it remains reflective of the individual’s current performance.
- For regulated roles the employee must pass the regulatory module of the exam before starting regulated activities with customers.
- Adequate supervisory resource is deployed at all times
- Where supervisory responsibilities are split the demarcation of responsibilities is clear.
- Each individual has an active development plan
T&C Scheme Framework – QUALIFICATIONS & TESTS
Employees can demonstrate knowledge required for roles they undertake through passing professional examinations and/or job specific assessments.
- Development through the achievement of appropriate qualifications is encouraged.
- A control framework is built around any qualifications stating time frames and number of attempts permitted.
- Any tests designed to assess knowledge aspects of competence are sourced against a knowledge syllabus.
- Test questions are written by people competent to do so.
- A failure policy is appropriately applied ensuring that support is available in between test attempts.
- Formal role plays have defined briefs for participants and assessors with clear objectives as to what is being measured
- For regulated roles the person must pass the appropriate examination before being deemed competent
T&C Scheme Framework – REPORTING & CONTROLS
Senior Management can demonstrate how they ensure consistent application of these principles are applied within their business area
- Senior Management can demonstrate how effectively the scheme is working at national level against expected outcomes
- You can interrogate high level information to drill into root causes at lower levels
- There is a clear 2 way flow of relevant information from first line supervision to approved persons
- It is clear who takes overall responsibility for the approaches taken and how governance works.
- There must be a change control policy
- There must be a version control policy
- Remuneration approaches are geared to rewarding the desired outcomes of quantity and quality.
- There is process in place to ensure consistent communication of the approaches to be taken.
- You can demonstrate the robustness of Management Information.
- A process in place to escalate risks and issues up to the governance committee as appropriate.
- Existing corporate processes are utilised wherever possible to ensure consistency across the business and avoidance of ‘reinventing the wheel’
- Exit interviews are conducted to ensure risks and issues are identified.
- Supervisors changing roles/leaving ensure that all records and activities have been completed to the required standards.
- There is an appropriate supervisor handover process
- A process in place to gather and review feedback from users and customers. Such processes could include focus groups, complaints analyses and exit surveys
- There is a process in place to share best practice
T&C Scheme Framework – RECORD KEEPING
Record keeping is embraced as an essential and effective business practice satisfying regulatory requirements as a by-product
- Sufficient records are kept to provide evidence of a person’s current level of competence
- Records that are kept are capable of being understood and enable continuity of management where appropriate