When an auditor examines your training program for compliance, a simple list of names with ticks will not be enough to satisfy them. Here is what the evidence needs to show.
Timestamped Completions Tied to Individuals
Evidence that an audit can verify that the correct individual completed the required Elearning course(s) (ie records against individual user ID) – simply a list of names with ticks in a spreadsheet for example does not count.
Version History of Course Content
A version history for your course content will demonstrate that the rules covered in training were current when training took place. This is an FCA training and competence requirement.
Assessment Scores and Retry Logs
Compliance Elearning records each learner’s attempt at a test and saves details of their score for each test including the number of attempts they took to pass the test. The number of attempts made by each learner to achieve a pass on a test is something that can highlight problems with a training program, for example a learner attaining a pass on the fourth occasion.
Attestation and Declaration Records
Proof of understanding has not been demonstrated by a simple completion certificate. A record has to be kept of the date and time that a learner has confirmed they have read and understand the course material that has been delivered to them.
There is more on Compliance Elearning at https://www.adempi.co.uk/compliance-training/elearning-courses.
Escalation and Gap Records
An auditor will be less concerned with the gaps in your training program than with the lack of evidence of attempts to close those gaps. Thus, a record of who failed to complete a program on time, and of when follow-up attempts were made and completed, will provide evidence of the efforts your company made to train employees and of the reason why some did not receive the training they required until late in the day.
Solid evidence proves that the process was taken seriously.