Completion, withdrawal and certificate issuance policy and procedure
Purpose of the policy
Allara is committed to the integrity and credibility of the qualifications it issues, by ensuringthat it meets the requirements of the AQF Qualifications Issuance Policy and Schedules 4 and 5 of the RTO Standards 2015.
This policy sets out the internal procedures and controls Allara will utilise to ensure that the AQF certificates Allara issues for its training products under its scope of registration: are issued only to learners following adequate assessment; comply with the RTO standards and the AQF policy including fraud prevention measures; are issued to the learner within 30 calendar days of completion; and are compliant with the requirements of the Unique Student Identifier scheme.
Definitions
Allara - Allara Investments Pty Ltd, trading as Allara learning and is inclusive of Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL).
TTG - Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG)
WGL - W G learning Pty Ltd, RTO Provider No: 91178 (WGL)
Scope - means, Scope of Registration and consists of the list of training package qualifications, units of competency or state accredited courses which a training organisation is registered to provide, and the services offered, either training and assessment, or assessment only.
Training package - means the components of a training package developed by the Jobs and Skills Councilsin accordance with the Standards for Training Packages. The endorsed components of a training package include units of competency, assessment requirements (for individual units of competency), qualifications and credit arrangements. A training package also consists of a non-endorsed, quality assured companion volume/s which contains industry advice to RTOs on different aspects of implementation.
Training product - means, a course, AQF qualification, accredited course, skill set, or unit of competency currently or previously endorsed by the Jobs and Skills Councils or its delegate in accordance with the Standards for Training Packages.
Training Plan - means a document describing the formal off the job training provided by the RTO and is inclusive of units of competency to be trained and assessed, dates of training, methods of assessment, assessment outcomes and date of competence, and employer support of competence.
"Three lines of defence" model - Allara has adopted a three lines of defence model approach to compliance against the Standards for RTO’s, 2015, which clearly identifies the roles of the business operations (first Line) Compliance (second Line) and Assurance performed by the General Manager Education (third line). First line business operations are responsible for procedural compliance and ensuring certificates are issued in accordance with AQF standards and rules. The second line of defence is responsible for ensuring procedures comply with Standards and Rules, and undertakes testing to ensure procedures are consistently and accurately understood and followed. The third line of defence independently reviews and challenges the effectiveness and accuracy of the operation of the first and second lines of defence and provides assurance to the CEO on Allara’s compliance and progress on any areas identified for continuous improvement.
Scope
The policy applies to Allara Learning (Allara), including Tactical Training Group Pty Ltd, RTO provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL), its participants and employers.
It covers all training products in scope, AQF qualifications and, through the issuance of a statement of attainment, accredited units regardless of where and how they are delivered (for example, on the job, in the classroom, workplace, online, through formal study or assessment).
Policy
Allara will ensure that sufficient controls are in place so that it issues AQF certificates only to participants validly assessed as competent.
Allara will also ensure that student data is accurate and complete when entered into the Student Management System, and Quality Assurance (QA) checked by Compliance before the certificate is issued.
Allara complies with the requirements of the Student Identifiers Act 2014 by having processes in place to collect a participant’s Unique Student Identifier (USI) and Allara’s Student Management System has the inbuilt capability to create and verify a participant’s USI and to prevent issuance of certification where there is no record of a valid USI. Further, Allara has security policies to protect access to a participant’s USI information and to meet its obligations under Australian Privacy Principles in accordance with Allara’s Privacy and personal information policy and Unique Student Identifier (USI) policy.
Allara will ensure that the format of its qualification certificates, statements of attainment and records of results comply with the requirements of Schedule 5 of the RTO Standards and the requirements specified within the AQF Qualifications Issuance Policy, including measures to prevent the fraudulent production of certificates.
Allara has internal controls to issue certificates to participants within 30 calendar days of completion and to retain records of qualifications and statements of attainment issued for 30 years in accordance with Allara’s Records management policy and procedure.
Issuance of certification control procedure
General procedures
Allara employs a “three lines of defence” compliance model where:
- The first line of defence (Administration, Training Facilitators and Client Relationship Managers) is responsible for performing the control procedures set out below.
- The second line of defence (Compliance) performs quality assurance on the accuracy and completeness of the training records and the timeliness of the issuance of the certificates.
- The third line of defence is a Compliance report is issued of any issues detected for process or performance improvement.
First line control procedures
Completion procedure - Monitoring progress and expected completion dates
On the fifteenth (15th) day of each calendar month or the next Business Day, the administrator will:
- Generate a three (3) month to completion report to identify participants that are expected to complete within a three (3) month period; and
- Issue the report to the Training Facilitator and cc. the Client Relations Manager and Compliance.
The Training Facilitator is to:
- Review the participant’s training progression to determine if completion is achievable within the required timeframe.
- If completion of training is achievable refer to point 3.2 below.
- If completion is not achievable, and extension of the contract is required, advise the Client Relations Manager and the State Manager to lodge an extension form as soon as practicable in accordance with the procedures set out in item 6. Training contract review and updates of the Training and Assessment policy and procedure.
Completion of training
To complete the participant’s study within a training product, the Training Facilitator is to:
- Finalise assessment in all units of competency within the participant’s training plan.
- Ensure the training plan is completed by:
- Marking all units of competency with an assessment outcome and outcome date;
- Identifying the assessment methods used for each unit of competency; and
- Ensuring employer support of competence is attained (if applicable).
- Issue a completion form (see table 1 for required form) and have all stakeholders of the training contract, Allara, the Participant and, if applicable, their Employer (mandatory for all traineeships and apprenticeships), sign in agreement of completion.
- Ensure the participant completes an AQTF satisfaction survey.
Completion notification
To notify of completion, the training facilitator is to submit to administration and cc. to Compliance the end of week report and paperwork including final assessments, completion form, finalised training plan and the completed AQTF survey.
Within two (2) business days of receipt of the completion notification and all required documentation, the administrator will undertake the Certificate issuance procedure as described below.
Withdrawal or cancellation procedure - Monitoring participant progress
Participant progress is to be monitored on a regular basis in accordance the Training and assessment policy and procedure[ND1] .
If as a result of monitoring it is identified that the participant is unlikely to complete the program and chooses not to complete, the administrator will undertake the withdrawal procedure as described below.
Withdrawal or Cancellation notification
To notify of the participant withdrawal or cancellation the training facilitator is to either:
- Collect a cancellation form signed by the participant, and employer if applicable, and notify the Client Relations Manager of the form’s collection; or
- Provide written (email) notification to the relevant Client Relations Manager.
If notified by a training facilitator of participant withdrawal or cancellation from a training program the Client Relations Manager is to:
- Collect a signed cancellation form from the participant, and employer if applicable; and
- Submit the signed cancellation form to the administration department and cc. Compliance.
Within two (2) business days of receipt of the withdrawal or cancellation notification the administrator will undertake the Certificate issuance procedure as described below.
Certificate issuance procedure
Notification of completion or withdrawal requirement to issue certification is received from the Training Facilitator and/or Client Relations Manager by the submission of a completion or cancellation form as detailed above.
Upon Completion and/or cancellation/withdrawal of a participant from the training program and prior to issuing an AQF qualification or statement of attainment the administrator will:
- Check the Student Management System to ensure the participant’s USI has been verified with the registry (unless an exemption applies under the Student Identifiers Act 2014)
- When no USI is present and the participant is in a registered contract as a trainee or apprentice with a state regulatory body/ department, contact the participant to create / verify a USI
- USI created / verified; continue with completion procedure, step ii
- USI not created / verified; send notification to the relevant state department of the pending completion and estimated timeframe for finalisation of the participant’s record
- Record correspondence with participant and relevant state department against participant in the Student Management System
- When no USI is present and the participant is a fee for service / commercial fee-paying participant, contact the participant to create / verify a USI
- USI created / verified; continue with completion procedure, step ii
- USI not created / verified; File note correspondence with participant in the Student Management System
- Notify state or territory regulatory body when three (3) attempts have been made to acquire and verify the participant’s USI without success.
- When no USI is present and the participant is in a registered contract as a trainee or apprentice with a state regulatory body/ department, contact the participant to create / verify a USI
- Review the participant’s hard copy file (if applicable) and digital file to conduct a completion and or cancellation/withdrawal audit to ensure that:
- Completed units of competency are in line with the training plan and training package
- All records of results for each unit of competency are accurately recorded within the Student Management System
- All required documentation and evidence of assessment is contained within the participant file
- Produce certificates or statements of attainment whichever is applicable within the Student Management System.
- When required, print certificates or statements of attainment whichever is applicable on the required certificate or statement paper stock that has been verified to meet the requirements of the AQF Qualifications Issuance Policy and Schedule 5 of the Standards for RTOs, 2015
- Provide a copy of the issued certification to Compliance for Second line control procedures
Important note
AQF certification documentation must be issued within 30 calendar days (21 days for all contracted enrolments in WA) of the participant’s final assessment being completed or exiting their course, providing all fees have been paid.
The procedures and deadlines for certification issuance vary slightly for ACT subsidsied training as set out in ‘State and territory specific policies’ at the end of this policy.
Second line control procedures
Certification quality assurance
The Administrator issues certificate in accordance with the Certificate Issuance procedure outlined in First line procedures.
A completions and certificates issued reports are emailed to Compliance on the last Business Day of each week for review
Compliance conducts quality assurance of the certification documentation by:
- Verifying that the student’s unique student identifier is recorded and validated within Student Management System
- Ensuring that the date of issue and completion are accurate with the records of completion or withdrawal
- Each unit of competency is accurately recorded in the Student Management System
Compliance notifies the administrator and CRM of Certification that is:
- Approved for issuance; go to item 6. Approved certification
- Declined for non-compliances; go to item 5. Declined certification
Important note
See Table 1 for detailed timelines for the certification issuance procedure and the relevant control processes.
Declined certification
Certificate recall
Upon notification from Compliance of declined certification documents the administrator will:
- disable the original issued certification in the Student Management System
- mark any hard copy certification as Declined with a date of decline and file the hard copy in the participant’s hard copy file
- make necessary amendments to student records in the student management system
Create a file note in the student management system and record:
- the recommendations for rectification
- amendments made to student records, and
- the document number of the cancelled certification.
Certificate re-issue
After necessary amendments to student records have been completed the administrator will re-issue the certification following the Certificate Issuance procedure outlined in First line procedures
Approved certification
Certificate register
For all certificates approved for issuance by Compliance, the administrator will:
- Record the issuance of the AQF qualification Certificate and or statement of attainment in the Qualifications issued register (managed within the Student Management System (Job Ready) and Job Ready can produce a report over any given timeframe of statements of attainment and qualifications it has issued
- Upload the approved certification to the participant’s records within the student management system
- Provide soft copy of certification (scanned) to Client Relations Manager and Training Facilitator as notification of finalisation of the completion and/or withdrawal procedures.
Certificate delivery
Certificates are delivered by either:
- Email direct to the participant
- Direct mail to the participant
- Direct to employer via the relevant CRM.
Table 1 Completion and withdrawal processing timelines
| Step in the process | Timeline |
| Final assessment records submitted to administration for processing | Five (5) Business Days from the date the participant is assessed as competent in their final unit of competency |
| Conduct a completion or withdrawal participant file audit | Within two (2) Business Days after notification received |
| Notify trainer and/or CRM of file non-compliances and rectification requirements | Within two (2) Business Days after notification received |
| Rectifications provided to Administration (if applicable) | Five (5) Business Days from the date the rectification notice is provided by administration |
| Rectifications received (if applicable) and certificate issued | One (1) Business Day from the date rectifications received |
| Quality assurance completed by Compliance | Last Business Day of each week |
Notifications to administrator for:
| First Business Day of each week (Each Business Day for WA) |
| Certificate re-issue (if applicable) | One (1) Business Day from the date rectifications received |
| Certificates delivered | One (1) Business Day from date of Compliance approval |
State and Territory Specific Policies
Australian Capital Territory subsidised enrolments
Within 30 days after the date on which a training contract, under its terms, is successfully completed, written notice is to be given stating the date on which the contract was successfully completed. To do so the relevant trainee or apprentice record is to be updated in AVETARS (online portal) including:
- Actual completion date
- RTO representative name
- Certificate issue date.
To ensure that notification is provided within the 30-day period the Administration Manager is to run a completion report on a monthly basis and:
- Identify all Australian Capital Territory completions
- Log into TRS and complete the certificate issuance records
Where a trainee or apprentice has completed training but has not paid the required fee/s, or has other outstanding obligations to the RTO, the completion status and qualification issuance must be reported within 30 days of the date deemed competent and no later than the due to complete date even if certification is withheld from the student.
Where a trainee or apprentice ceases employment or withdraws from training prior to completion of the qualification, the cancellation must be initiated within 30 days of notification of cancellation.
Where a student withdraws from training prior to completion of the qualification, the student record must be cancelled within 30 days of the decision. Where initiated by the RTO, evidence of student cancellation must be retained on the student file.
Fraud protection controls
Certification security features
Allara has implemented the following security features to prevent the fraudulent production of its certificates:
Certificate template, each certificate has:
- A unique certificate number
- Cert Check – a unique QR Code (two-dimensional barcode) present on the certificate for real time authentication of certification documents
- Security stock paper preventing unauthorised copying of the template.
Quality assurance
Allara implements a three lines of defence model including:
- Quality assurance of participant records
- Quality assurance of issued certification
- Quality audits and reviews
Related documents
- Training and assessment policy and procedure
- Records management policy and procedure