71: Personnel Records Issue
Definition/Typical Issues
Was the training record system incomplete or not up to date? Did it inaccurately reflect the employee's training? Was there a failure to use the records to determine worker selection and assignments to tasks?
Did the records show training that the individual had not received? Did the records incorrectly indicate the individual's qualifications?
Did the training records fail to show the individual's current status for job qualification? Did the qualification expire and was this not reflected in the training records?
Examples of documents that are addressed by this node include:
- Hiring records
- Training records
- Qualification records
Examples
Example 1
- A tank overflowed because the operator had not received training on how to calculate liquid levels. The training records were not routinely updated; therefore, the worker who was assigned to the job was assumed to be qualified.
Example 2
- An operator overflowed a solvent tank. He had been given the assignment to fill the tank because his records indicated that he had been trained on calculating liquid levels of solutions with specific gravities less than water. The operator had not received this training.
Example 3
- An operator overflowed a solvent tank because he had not received training on calculating liquid levels for solvent solutions. He had been qualified before this training was made part of the qualifications. The training records still showed him as qualified because they did not reflect the new requirements.
Typical Recommendations
- Document the training that an individual is required to receive prior to qualification and to maintain qualification status.
- Document the required training that an employee is required to complete annually.
- Document all in-house, on-the-job, and outside training that an employee completes. Include dates of completion, test scores, instructor comments, certifications, and a description of how competency is assessed.
- Establish a training records management system that assigns specific individuals the responsibility for:
- Scheduling employees and instructors for specific training modules
- Alerting employees and supervisors of upcoming training requirements
- Recording training completion dates
- Notifying records management personnel of employee training completion dates
- Forwarding materials that verify employee understanding of the training to records management personnel
Cross-References
| Version 10 Element(s) | |
|---|---|
| Node ID | Node Name |
| 167 | Training Records System LTA |
| Maritime Element(s) | |
|---|---|
| Node ID | Node Name |
| 184 | Training Records System Issue |