This checklist checks training requirements are set for each role, that competence is evidenced, and that renewals do not lapse.
Prepared using the F-Q2A Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
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Further guidance on competence and internal auditing:
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Staff Training and Competence Audit Checklist Template
A process audit checklist for auditing staff training and competence: how training is managed, the training requirements for each role, how competence is checked for a project, evaluation of training, induction, access to records and renewals. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.
Questions Covered
- How training is managed within the organisation
- What roles there are, and whether training requirements have been set for each of them
- How training is checked when people are assigned to a project
- Whether the effectiveness of training and other action taken to build competence is evaluated, and whether evidence of competence is kept
- Whether induction and training cover awareness of the organisation's quality culture and the ethical behaviour expected
- Whether managers and others who need them can see the relevant training records
- How the renewal of training and certificates is managed
Carrying Out the Audit
Choose a few people in different roles and check their training records against the requirements for their role, including any certificates with an expiry date. Asking a manager to find a team member's training record shows whether the records are accessible to the people who need them.
Planning the Audit
Have the training matrix and the training requirements for each role to hand, along with a list of recent starters and anyone assigned to a current project.
Who Should Carry Out the Audit?
Anyone trained in internal auditing who is independent of the area being audited. The questions are written in plain language, so the checklist also works well for training new internal auditors.
Included in the ISO Toolkits
This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.
Related Documents
Documents that work alongside this checklist:
Part of the Process Audit Checklists
This is one of the alphaZ process audit checklists, each covering a single area of the management system, so audits can be spread across the year using the ER11 Audit Schedule. The completed checklist becomes the record of the audit, and the results can be written up using the F-Q31 Audit Report.
Adapting the Checklist
The questions can be edited, added to or removed to suit the way the organisation works, and the scope and criteria at the top changed to match the area being audited. Because every alphaZ audit checklist uses the same F-Q2A layout, audit records look the same whichever area was audited, which makes them easier to review and compare.
Using the Findings
Lapsed certificates, missing records or training that was never evaluated are raised as actions and added to the training plan.
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