Training & Awareness Policy — Staff Obligations, Frequency & Audit Tracking
Training & Awareness Policy — Staff Obligations, Frequency & Audit Tracking
Governance & Policies Competence & Awareness
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Key takeaways
- All personnel influencing AI outcomes must demonstrate competence proportional to system risk.
- Training evidence (certificates, logs, attendance) is stored with EV-IDs for ISO 42001 audits.
- Annual refreshers are mandatory; critical roles require certified proficiency testing.
Purpose & scope
This policy governs competence development for everyone who designs, implements, supports, or governs AI solutions within Zen AI Governance UK Ltd. It ensures that people understand ethical, technical, and legal requirements and can perform their roles responsibly.
Competence framework
| Role Group | Required Competence Areas | Evidence of Competence |
|---|
| AI Developers | Model risk controls, bias testing, data ethics | Course completion + practical test |
| Compliance & Governance Staff | ISO 42001, GDPR, EU AI Act, risk register management | Certified module + annual exam |
| Data Scientists | Fairness metrics, privacy-preserving techniques | Peer review + published model card |
| Business Users | Ethical use, data sensitivity awareness | E-learning quiz + manager attestation |
| Executives & Board | AI strategy, governance principles, accountability | Annual board briefing attendance record |
Training programme structure
- Induction Training: Mandatory for new joiners within 30 days.
- Role-Specific Modules: Tailored for technical, compliance, and operational teams.
- Annual Refresher: Covers new legislation (EU AI Act updates, UK ICO guidance).
- Incident Simulation Workshops: Live CAPA drills to strengthen response readiness.
- Ethical AI Certification: Issued to staff completing core Zen AI Governance modules.
Frequency & renewal
- Baseline training on hire + refresher every 12 months.
- Critical roles (Developers, Compliance Leads): semi-annual validation test.
- Board training reviewed annually during management review (ISO 42001 §9.3).
Assessment & records
- Each course issues completion certificates linked to employee ID and EV-ID.
- Training records stored in Zoho People / LMS for minimum 5 years.
- Competence matrix reviewed quarterly to identify gaps and assign remediation.
Roles & responsibilities
- HR & L&D Lead: Owns curriculum design and record maintenance.
- Compliance Manager: Ensures content maps to regulatory updates.
- Supervisors: Monitor attendance and report non-completion to HR.
- Employees: Complete training within assigned timeframes and apply principles in daily work.
Templates & registers
A) Training Record Register (CSV export)
Employee_ID,Name,Role,Course_Name,Completion_Date,Expiry_Date,Status,EV_ID,Assessed_By,Remarks
B) Competence Matrix Template (Excerpt)
| Role | Skill/Knowledge Area | Required Level (1–5) | Current Level | Gap | Action |
|---|
| AI Developer | Bias Testing & Fairness | 4 | 3 | 1 | Enroll in Fairness Lab |
| Compliance Lead | EU AI Act Obligations | 5 | 4 | 1 | Annual Masterclass |
Framework alignment
| Framework | Reference | Relevance |
|---|
| ISO/IEC 42001 | §7.2 & §7.3 | Competence and awareness requirements. |
| NIST AI RMF | Govern & Manage | Organisational awareness and capability building. |
| EU AI Act | Art. 71 | Obligation for training of human oversight staff. |
| UK DSIT Framework | Principle 4 | Fairness and contestability training. |
Implementation checklist
- Training curriculum approved by Governance Board.
- LMS integrated with Zoho People and evidence tracking.
- Competence matrix maintained and reviewed quarterly.
- Non-completion alerts sent automatically to supervisors.
- Annual report submitted to AI Oversight Board.
© Zen AI Governance UK Ltd • Regulatory Knowledge • v1 16 Nov 2025 • This page is general guidance, not legal advice.
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