COMPETENCY ASSESSMENT

PROCESS

MARCH 2010

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 1 of 7 Rio Tinto Alcan confidential

Overview
The purpose of the following document is to outline the process for developing a competency assessment scheme from the selection of competency assessors, the preparation of the assessors, the conduct of competency assessments and record keeping.

The competency assessment is one of the fundamental aspects of the HSEQ Management System (HSEQ MS) Standard Element 6: Training, Competency and Awareness.

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 2 of 7 Rio Tinto Alcan confidential

1- Definitions
A competency is the application or the execution of a particular knowledge, skills and attitudes combination in order to perform an activity. A competency assessment is the measurement of an employee's performance against an agreed set of standards for work-based activities. There are four dimensions to assessment: the knowledge and understanding required to carry out a task; the performance indicators to be looked for; the scope or range of situations across which an employee is expected to perform; any particular evidence requirements.

2- Scope
It is based on standards that describe the expected level of labour competency. Standards include criteria that provide details of what they consider a good job. The assessment is individual; there is no comparison among workers. It provides an objective assessment for the assessed workers: competent or not yet competent. It is done in real working situations. It does not take a predetermined period of time; it is a process rather than a particular moment. It is not subject to the completion of a specific training action. It includes the recognition of acquired competencies as a result of labour experience; recognition of prior learning. It is a tool for the orientation of subsequent learning of the worker; as such, it plays an important role in the development of skills and abilities of the ones assessed.

It is the basis for the certification of labour competency.

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 3 of 7 Rio Tinto Alcan confidential

3- Competency Assessment Process

1 Competency Assessment is needed

Select the Assessor

Qualified Assessor? NO YES Material is up to date? NO YES Update Material

4a

Prepare/Train Assessor

3a

Plan Assessment Logistic

Competency Assessment

Record results and recommendations

8a

Results

Fail

Training Recommendations

7a

Pass
8

Record Assessment Results

Define next assessment requirements END

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 4 of 7 Rio Tinto Alcan confidential

1- Competency Assessment Request

A competency assessment is generated by the Competency Profile Management System (CPMS) or new requirement.

2- Select the Assessor

The assessors role is to complete an objective assessment of the employee according to specific knowledge and skills, predetermined set of standards (HSEQ) and performance criteria.

The selection criteria for the assessor are: Good interpersonal and communication skills Observation skills Willingness to be a competency assessor Committed to HSEQ Being impartial No conflict of interest

3- Qualified Assessor
A qualified assessor should be fully knowledgeable of the subject and process: Went through the initial training (if applicable e.g. HEC, lift trucks) Has demonstrated/proven competency on assigned task Experienced in the field operations Studied all relevant materials (e.g. manuals, SOPs, rules, policies and standards) Familiar with the assessed area and its safety challenges.

Any newly trained competency assessor should be allocated to an experienced competency assessor for an initial period. The experienced assessor will act as a guide until such time as the new competency assessor becomes fully trained.

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 5 of 7 Rio Tinto Alcan confidential

4- Material Updates
Any major changes due to corporate, government and/or manufacturing requirements need to go through the Change Management Process. Through this process, changes will be rolled out through the affected departments. Before any assessment, updating the material is crucial. The Supervisor is responsible to inform the Area Designated Training Advisor on specific changes to the operations. The Area Designated Training Advisor is responsible for updating the competency profile. The competency assessment is linked to the profile. The competency assessor is responsible to confirm that materials are up to date.

5- Assessment Logistic
The Supervisor is responsible for planning with the Training Advisor the assessment logistics. The guidelines to set the assessment needs are listed as follow: Review employees training portfolio e.g. training records (courses and refreshers), mentoring follow-up sheet, previous competency assessments. Check for employees schedule with supervisor. Check for area/equipment availabilities.

6- Competency Assessment
It is important to perform a one-on-one competency assessment process. Assessing more than one employee is distracting for the assessor and non-productive for other employees and affected crew. All the assessment results shall be shared with the employee privately. The assessment documentation should be signed by the assessor, the assessed employee and the Supervisor.

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 6 of 7 Rio Tinto Alcan confidential

7- Training Recommendations

One of the main reasons to use competency assessment is to target the training needs. If an employee fails a competency assessment, a training program is to be developed and training recommendations is to be listed by the Training Advisor based on the assessment results and assessors feedback. Targeting the knowledge and skills to be developed is more efficient and reduce the training cost (not going back to the entire training program). Any recommendations should be recorded and tracked by the training advisor when entering the assessment results (as a remark) into the CPMS.

8- Record Assessment results

When a competency assessment is done and successful, the assessor will forward the signed documentation to the Area Designated Training Advisor for recording the assessment results into the CPMS.

9- Define next assessment requirements

While entering the assessment records, the Training Advisor with the Supervisor will determine a date for the next competency assessment. Based on the results, the Supervisor and Training Advisor will define a standard frequency (i.e. 1, 2 or 3 years) for each assessed competency.

4- Competency Monitoring
The CPMS provides a report (web based) to the Supervisor for the monitoring of his employees (by team or individually) for each assigned competency. The CPMS monitoring report function is to target the competency development progression and the training needs.

G:\Human Resources\TrainingShare\Competency Approach\Competency Assessment\Procedure\Competency Assessment Process Current.doc Uncontrolled document if printed Page 7 of 7 Rio Tinto Alcan confidential