Evidence of training can be requested at short notice, therefore records must be made ready for such a request prior to it being made.
Capture the Right Fields Every Time
Learner records need to include: full name, job title, course name, course version number, completion date and time, assessment score and a unique Certificate ID.
Store Records Centrally and Securely
All learner records should be stored within a single system (e.g. the learning management system (LMS) or the HR system used by the organisation). Access to records should be restricted to authorized employees of the organisation.
Handle Gaps Before They Become Problems
Are there modules that a learner has not been enrolled on or individual training that they have not completed? The reason for this, together with the subsequent remedial action, should be recorded.
Update Version Control When Content Changes
Outline new version numbers and release dates for updated content, and determine whether learners who completed earlier versions of a course need to complete the updated version as well and record their completion as well.
Run a Spot-Check Before Any Audit
Run a “spot-check” to verify that all required information has been recorded for a sample of 10 learners’ records on a monthly basis. Confirm that all required information has been captured and that all certificate IDs match the export from the LMS. The FCA record-keeping requirements for regulated firms set out exactly what must be producible on request and how you must manage your audit trail. If you are looking for Elearning Compliance Training, see //www.adempi.co.uk/compliance-training/elearning-courses.
It’s easy to keep an audit trail up-to-date with a little routine maintenance.
