Training Completion, Tracking & Certification Policy

1. Purpose

This policy defines how training is enrolled, tracked, recertified, and reported across the enterprise. It applies to all training documented in this catalog (TRN-CAT-001 through TRN-CAT-009) and to any role-specific training designated as required by an owning organization.

2. Enrollment

• At hire, the assignment automation receives the new-hire record from the HR onboarding workflow and enrolls the employee in the universal mandatory training (TRN-CAT-003) plus the role-required courses for the employee’s role profile (TRN-CAT-002).
• At role change, the assignment automation receives the role-change record from HR, computes the difference between the previous and new role profiles, and enrolls the employee in the additional or replacement courses.
• At policy or course change, the L&D administration tool re-enrolls affected employees in the replacement course on a published transition schedule.
• Manager-initiated enrollment is available for recommended courses and for deferred mandatory training where an exception has been approved.

3. Completion Tracking

• All course completions are recorded in the L&D administration tool, which is the authoritative source of training records for the employee.
• Practical demonstrations, observed evaluations, and capstone exercises are recorded by the certified evaluator within five business days of the evaluation.
• Phishing simulation outcomes (SEC-101 program) are recorded automatically by the simulation service.
• Coaching sessions (CCO-401-aligned) are recorded by the supervisor or coach.

4. Status and Compliance State

Every employee record in the L&D administration tool carries the following statuses, which feed the corporate compliance dashboard:

• In Good Standing — All required training is current.
• Due Soon — At least one required course is within thirty days of its deadline.
• Overdue — At least one required course is past deadline.
• Exception Pending — A documented exception is in review by the owning organization.
• Exception Approved — A time-bound exception is active.

5. Manager Visibility

• Managers receive a weekly training-status digest covering their direct and indirect reports.
• Managers can view any direct report’s assigned, in-progress, and completed courses in the L&D administration tool.
• Managers approve role-required-training exceptions through the L&D exception workflow; exceptions exceeding thirty days require director approval; exceptions exceeding ninety days require HR business partner approval.

6. Overdue Training Escalation

7. Certification Expiry

• Certifications with an explicit recertification cadence (for example, FLD-101 annual, SEC-101 annual, SEC-310 annual) have an expiry date computed automatically from the completion date.
• Thirty days before expiry, the next-year instance is enrolled and the employee receives an enrollment notification.
• Practical re-evaluations (FLD-120, FLD-130, SEC-301, SEC-420) require a scheduled practical session and cannot be satisfied by course completion alone.

8. Role-Change Re-Training

When an employee changes role:

• The assignment automation computes the symmetric difference between the previous role profile’s required courses and the new role profile’s required courses.
• Courses required by the new role and not already completed are enrolled with deadlines computed from the role-change effective date.
• Courses required by the prior role but not by the new role are retained in the employee’s record but are not required for recertification.
• Where the new role places the employee in a higher security tier (HW-CAT-005), the higher-tier security courses (for example, SEC-301) are added.
• Where the new role moves the employee into a manager role, the New Manager Fundamentals track (LDR-101 plus LDR-110) is added with the standard deadlines.

9. Exceptions

• Exceptions to required training are submitted by the manager through the L&D exception workflow with a documented justification and a target completion date.
• Standard exceptions (under thirty days) are approved by the owning training organization.
• Extended exceptions (thirty to ninety days) require director approval.
• Exceptions exceeding ninety days require HR business partner approval and are tracked in the Training Exception Register.
• No exception is permitted for SEC-101, SEC-301, NEW-101, NEW-103, NEW-104, RTL-210, or FLD-101.

10. Reporting Cadence

• A monthly training compliance report is published by L&D Operations to the L&D Council, the Information Security Office, and HR Operations.
• A quarterly training metrics report covering completion rates, overdue trends, exception trends, and cohort participation is published to the L&D Council.
• An annual training program review is conducted by the L&D Council and includes a calibration check across owning organizations.

11. Data Retention

• Training records are retained in the L&D administration tool for the duration of the employee’s tenure plus seven years.
• Completion data is replicated to the HR personnel record at the end of each completion event.
• Records are deleted only through the HR records retention process; the L&D administration tool does not support direct record deletion.

12. Role-Based Training Requirements (Policy Coverage by Role)

This policy applies to every role. The following table summarizes which policy sections are most load-bearing for each workforce segment.

13. Governance

This policy is owned by L&D Operations and reviewed annually by the L&D Council. Changes require concurrence from the Information Security Office (for security-tier-related sections) and HR Operations (for employee-record-related sections).