Appendix 2 — Training Record and Performance Monitoring
Parent procedure: 04 – Competence, Training and Awareness
Purpose
To document the complete training history and ongoing competence monitoring for each individual personnel member. This record tracks formal training, on-the-job training, competence evaluations, and supervisor observations. It serves as evidence of competence development and is reviewed annually.
Instructions
A separate Training Record is maintained for each employee. The Quality Manager coordinates record-keeping; the Technical Manager and Supervisors provide competence assessments and observations. Records are retained according to Procedure 00 — Document and Record Control.
Individual Training Record
Employee Name: [Name]
Position: [Role] | Hire Date: [Date] | Supervisor: [Name]
Section 1: Formal Qualifications and Certifications
| Qualification | Awarding Body | Expiry Date (if applicable) | Date Obtained | Notes |
|---|---|---|---|---|
| [e.g., B.S. Chemistry] | [e.g., University Name] | [Date or N/A] | [Date] | [Relevant background] |
| [e.g., ISO 17025 Lead Auditor Certificate] | [Provider] | [Date] | [Date] | [Certification number] |
Section 2: Induction Training
| Training Topic | Trainer | Date Completed | Signature | Notes |
|---|---|---|---|---|
| Laboratory Safety | [Name] | [Date] | [Signature] | [e.g., PPE, emergency procedures] |
| QMS Overview | [Name] | [Date] | [Signature] | [Document locations, key procedures] |
| Laboratory Procedures | [Name] | [Date] | [Signature] | [Record keeping, confidentiality] |
| Ethical Principles | [Name] | [Date] | [Signature] | [Impartiality, conflicts of interest] |
| Role-Specific Orientation | [Name] | [Date] | [Signature] | [Contact info, equipment locations] |
Induction Completion Date: [Date]
Quality Manager Sign-off: [Signature] | Date: [Date]
Section 3: Technical Method Training
| Method/Equipment | Internal/External | Trainer/Provider | Training Start | Training End | Supervised Practice Period | Notes |
|---|---|---|---|---|---|---|
| [e.g., ICP-OES Operation] | Internal | [Name] | [Date] | [Date] | [Date] to [Date] | [e.g., 4 weeks supervised practice] |
| [e.g., Sample Preparation for ICP] | Internal | [Name] | [Date] | [Date] | [Date] to [Date] | |
Section 4: Formal Competence Evaluation
| Method/Role | Evaluation Method | Evaluator | Date | Result | Notes |
|---|---|---|---|---|---|
| [e.g., ICP-OES Analysis] | [Practical demo + written exam] | [Technical Manager] | [Date] | [Competent/Not Yet Competent/Requires Refresher] | [Comments on strengths/areas for development] |
| [e.g., Quality Control Procedures] | [Supervisor observation] | [Technical Manager] | [Date] | [Competent/Conditional] | [Conditions: e.g., "Requires supervision for complex samples"] |
Section 5: Ongoing Supervision and Observations
Supervisors record periodic observations of work quality, technique, and adherence to procedures.
| Date | Supervisor | Method/Activity Observed | Observation/Feedback | Action Required | Follow-up Completion |
|---|---|---|---|---|---|
| [Date] | [Name] | [e.g., ICP-OES calibration] | [e.g., Excellent technique, followed all QC steps correctly] | [None / Discuss result interpretation] | [Date if applicable] |
| [Date] | [Name] | [e.g., Documentation] | [e.g., Minor: Ensure sample ID is recorded before analysis] | [Verbal feedback provided] | [Date] |
Section 6: Annual Competence Review
Completed annually by the Technical Manager and reviewed with the employee.
| Review Year | Reviewer | Quality of Results | Problem Identification | Procedure Adherence | Safety Record | Overall Recommendation | Renewal Date |
|---|---|---|---|---|---|---|---|
| [Year] | [Name] | [Excellent/Good/Needs Improvement] | [Excellent/Good/Needs Improvement] | [Excellent/Good/Needs Improvement] | [Excellent/Good/Needs Improvement] | [Renew authorization / Conditional renewal / Require refresher training] | [Date +1 year] |
Section 7: Continuing Education and Updates
| Date | Topic | Training Type | Provider | Hours | Attendance Confirmed | Certificate/Outcome |
|---|---|---|---|---|---|---|
| [Date] | [e.g., Measurement Uncertainty in ISO 17025] | Seminar | [Provider] | [# hours] | Yes / No | [Certificate date or notes] |
| [Date] | [e.g., New HPLC Software Update] | Equipment Training | Internal | [# hours] | Yes / No | [Competence sign-off] |
Section 8: Competence Concerns and Corrective Actions
Document any concerns about competence and resulting training or evaluation.
| Date Identified | Concern Description | Supervisor | Recommended Action | Action Taken | Completion Date | Outcome |
|---|---|---|---|---|---|---|
| [Date] | [e.g., Results outside control limits on 3 occasions] | [Name] | [Refresher training on QC procedures] | [Training delivered [Date]] | [Date] | [Competent after retraining] |
Authorization and Signatures
Employee Acknowledgment: I have reviewed my training record and competence assessments.
Employee Name (print): [Name] | Signature: [Signature] | Date: [Date]
Technical Manager Review: Confirms this record accurately reflects [Employee Name]'s competence status.
Technical Manager Name (print): [Name] | Signature: [Signature] | Date: [Date]
Adjust sections based on your laboratory's role structure. Some labs may emphasize specific methods or add sections for equipment qualifications, procedure-specific competence, or mentoring relationships.