Competence and Training

1. Purpose

This procedure defines the process for ensuring that all personnel with responsibilities within the AI Management System (AIMS) possess the necessary competence to fulfill their roles. It establishes the framework for identifying training needs, delivering training, and maintaining records of competence in accordance with ISO/IEC 42001:2023 Clause 7.2.

2. Scope

This procedure applies to all Rygen employees and contractors whose roles and responsibilities are defined within the AIMS. It covers general AIMS awareness training for all staff and role-specific competence training for personnel with direct involvement in AI system development, oversight, or governance.

3. Training Framework

3.1. Identification of Training and Evaluation Needs

AIMS training needs are identified based on:

• Role Requirements: Specific responsibilities assigned in AI-005-aims-roles-responsibilities-authorities.md.
• New Hires: As part of the onboarding process.
• Role Changes: When an employee transitions to a new role or takes on additional AIMS responsibilities.
• Process Changes: When significant updates are made to the AIMS.
• System Changes: When new AI technologies or systems are introduced.
• Corrective Actions: When a nonconformity investigation identifies a gap in competence.
• Periodic Review: Annual performance reviews.

3.2. Training Materials and Delivery

Training materials are developed to meet the specific learning objectives for each target audience. All training is delivered and managed through the central AI Management System Training Hub SharePoint Site.

Standard materials include:

• Recorded video presentations or live webinars.
• Links to relevant AIMS policies and procedures.
• Formal acknowledgment forms.
• Competence assessments.

3.3. Record Keeping

Documented information on competence shall be retained as evidence of training completion. Records are maintained in the AIMS Training Hub and include:

• Submitted acknowledgment forms confirming review of required materials.
• Assessment results (e.g., quiz scores).
• Attendance records for live training sessions.

3.4. Review of Effectiveness

The effectiveness of training activities is evaluated through:

• Performance Monitoring: Observing that AIMS processes are being followed correctly by trained personnel.
• Management Reviews: Discussing training effectiveness and identifying further needs.
• Internal Audits: Verifying that competence requirements are being met.

3.5. Evidence of Competence

Per ISO/IEC 42001:2023 Clause 7.2, the organization shall retain documented information as evidence of competence. The following types of evidence are acceptable for demonstrating that personnel possess the necessary competence for their AIMS roles:

Qualification Requirements: Baseline competence requirements for each role are specified in the corresponding Job Description, which is maintained in Sprinto.

Evidence Selection: The appropriate evidence type(s) for demonstrating competence will depend on the individual’s role, tenure, and how competence was acquired (e.g., through formal training, prior experience, or on-the-job demonstration).

4. Role-Specific Training Plan: AI Governance Committee

This plan outlines the specific competence requirements for members of the AI Governance Committee.

4.1. Audience

All members of the AI Governance Committee as defined in AI-005 and AI-019.

4.2. Learning Objectives

Upon completion of this training, members will be able to:

• Understand and accept their specific roles, responsibilities, and authorities within the AIMS.
• Effectively execute the Management Review procedure.
• Understand the Risk Management Framework and their approval authority.
• Interpret AIMS performance data to make informed governance decisions.

4.3. Training Components & Delivery

To complete this training, each member must perform the following steps within the AI Management System Training Hub:

1. Watch the “AIMS Governance Committee Responsibilities” training video.
2. Review the following key governance documents: AI-001 (Policy), AI-005 (Roles), AI-008 (Risk), AI-012 (Management Review), AI-019 (Committee Roles).
3. Submit the digital Acknowledgment Form confirming they have reviewed and understood the materials.
4. Complete the “AIMS Governance Competence Assessment” (Microsoft Forms quiz) with a passing score of 90% or higher.

4.4. Record of Completion

The official record of competence for each member will consist of:

• The submitted Acknowledgment Form.
• The saved quiz results from Microsoft Forms.

Both records will be stored in the AIMS Training Hub SharePoint site.

4.5. Effectiveness Review

The effectiveness of this training will be confirmed by the successful and compliant execution of the quarterly AIMS Management Review, as evidenced by meeting minutes.

5. Revision History