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Shanghai Shang Shaft Bearing Quality Inspection Institute Co., Ltd.

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Address: 301 Shangxue Road, Jiading District, Shanghai

What to put in personnel files?

2021-11-01 13:11

What to put in personnel files?




Education Background Information


Educational background information refers to the personnel's academic qualifications and degree certification materials. General laboratories only require copies of academic certificates, degree certificates and completion certificates. When collecting educational background information from laboratory personnel and filing it, the information shall be reviewed in combination with the requirements of different laboratory personnel. The need table lists the requirements for the educational background of laboratory personnel, such as accreditation criteria, qualification assessment criteria, and application instructions of accreditation criteria in specific fields. Laboratory personnel in the work of continuing education, the degree certificate and other materials should also be included in the personnel technical files in a timely manner.





Work Experience Information


Some personnel in the laboratory have other working backgrounds before entering the laboratory. If they were engaged in the same professional work as before, the laboratory should have corresponding work experience certification materials, such as work resume, employment letter, professional and technical qualification (title) certificates at all levels, etc. when collecting information from them.

For those who work in the laboratory, the laboratory should also have corresponding documents or record forms to update the working years of these personnel in a timely manner. This is because in the accreditation standards and other regulations, when the academic qualifications of certain positions do not meet the requirements, they can use a certain period of professional work experience and professional title level to make up for it. Such as key technical personnel, authorized signatories, etc. When the laboratory reviews or authorizes the corresponding post personnel, the personnel's technical files play a key role in the query.




Training Materials


Training materials can be divided into pre-job training materials and on-the-job training materials. The testing personnel is the main body of the laboratory, and the ability of the testing personnel directly affects the quality of the test results. Whether it is fresh graduates or personnel with work experience, or personnel who have been transferred and re-employed, they must undergo induction training before entering specific testing positions. Therefore, the technical files of all testing personnel must include the training materials before the personnel take up their posts. The general laboratory records the training process of personnel in the form of training record forms.

In the process of laboratory personnel work, in order to make their own level to meet the needs of constantly updated detection methods and detection technology, the laboratory will organize internal training, or let the testing personnel participate in external training. These trainings should be recorded accordingly and included in the individual's technical file after the training. According to the provisions of CNAS-CL01 5.5.2, "the effectiveness of these training activities should be evaluated", so the archiver of the technical files of laboratory personnel should pay attention to confirm whether the training records have been filled in the evaluation of the training effect and signed by the corresponding personnel.



Documents for authorization and/or qualification


The laboratory personnel shall be qualified and have corresponding authorization documents before taking up their posts. There are mainly the following ways to confirm the qualification of laboratory personnel:

1) Evaluation of experimental operation: conduct operation detection on blind samples, samples with known results, or quality control samples. Whether the routine operation meets the requirements of the standard or the work instruction, including the inspection process analysis and result report, instrument maintenance, etc.

2) Theoretical assessment: understanding of relevant knowledge and ability to solve problems.

3) Assess problem-solving skills: responses to relevant questions raised orally, etc.

4) Personnel supervision: directly observe the personnel inspection process, the personnel's standard implementation ability, operation standardization, instrument maintenance and function inspection, etc.

5) Report and record verification of monitoring experimental results: The corresponding qualification confirmation documents may involve written examination answers for theoretical examinations, original test records/test reports for blind samples/quality control samples/retained samples/inter-laboratory comparison samples, personnel supervision record forms, laboratory evaluation standards for a certain experimental operation process, personnel completion records, etc.


The laboratory manager shall authorize five specific categories of personnel, including:

1) Personnel of a particular type of sampling;

2) personnel for testing and/or calibration;

3) The person who issues the test report and calibration certificate;

4) Persons who put forward opinions and explanations;

5) A person who operates a particular type of equipment."

These types of personnel must have corresponding authorization documents, and the format of the authorization documents can be drawn up by the laboratory itself, but the authorization for specific personnel must be clear and specific, such as authorization to carry out a certain testing work or operate a certain equipment, etc.

The date of the authorization shall be true and accurate and signed by the person responsible for the authorization.



Certificate obtained


The certificate mainly refers to the certificate obtained by personnel participating in various training or assessment in the process of work. Such as internal auditor certificate, assessor certificate, auditor certificate, professional and technical qualification (title) certificate at all levels, authorization certificate, instrument operation certificate, English grade certificate, award certificate, etc.

The internal auditor certificate, authorization certificate (or above authorization documents) and instrument operation certificate are the focus of the audit because they are related to the key elements in the accreditation criteria.

Application notes for special fields should be noted, such as microbiological laboratories, CNAS-CL09:2013 Application Notes for Accreditation Guidelines for Testing and Calibration Laboratories in the Microbiological Field 5.2.1d)

"If the high-pressure steam sterilizer used in the laboratory is not a simple pressure vessel, the operator shall hold a certificate of special operation personnel."



Technical level certification materials


The technical level certification materials mainly include papers, works, scientific research achievements, patent certificates, subject materials presided over or participated in by the personnel during their employment.
The laboratory should gradually improve the collection of various technical materials of personnel, and the comprehensive technical files of personnel are the comprehensive embodiment of the overall situation of laboratory personnel.