Records management policy and procedure
Purpose of the policy
This policy is to provide guidance and direction on the creation and management of information and records and to clarify staff responsibilities. Allara is committed to implementing best practice in its records management practices and systems to ensure data integrity is maintained.
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)
AVETMISS - The Australian Vocational Education and Training Management Information Statistical Standard is the national data standard that ensures consistent and accurate capture and reporting of vocational education and training (VET) information about students
Scope
The policy applies to all of Allara Learning’s (Allara) operations inclusive of the operations and services provided by Tactical Training Group Pty Ltd, RTO Provider No: 91054 (TTG) and W G learning Pty Ltd, RTO Provider No: 91178 (WGL).
Policy
In the creation and management of information and records Allara will:
- Ensure all staff employed by Allara responsible for the maintenance of information and records are conversant with its privacy and personal information policy and procedure developed to meet with regulations set out in the Privacy Act 1988.
- Comply with all commonwealth and state or territory regulatory requirements for the implementation of a national Unique Student Identifier within all participant records.
- Maintain all participant records within its AVETMISS capable Student Management System.
- Provide reports of its client records, attainment of units of competence and qualifications to its registering body on a regular basis, as determined by the registering body.
- Only release information and records held on file to third parties where consent has been provided in written format and in accordance with the privacy and personal information policy.
Data reporting
Data reporting requirements
All states and territories have specific data reporting requirements. The Administration Team Leader has the responsibility to record and report data according to these requirements.
Data processing procedures
All participation and assessment records are to be submitted to the administration department weekly, no later than COB the Wednesday for the previous week and is inclusive of:
- Enrolment forms
- Unit introduction forms
- Participant monitoring and assessment record forms
- Assessment tools
- Recognition of Prior Learning and Credit Transfer applications.
The administration team is to record all enrolment and participation data in the Student Management System weekly with all data reporting completed by COB Friday.
Upon completion of data processing all participation and assessment records are to be stored according to the Records Management procedures (See section 5 for details).
Data health checks
The Administration Team Leader has the responsibility to conduct data health checks on a weekly basis with the health check to include verification that the following data has been populated appropriately:
- General enrolment fields; Course type, start and end dates, reason for study
- Enrolment AVETMISS
- National funding source
- State and territory funding source
- Concession identifiers
- Training contract identifiers
- State and territory funding contract numbers/codes
- Unit fees and charges
- Additional state and territory required data fields.
Data Health checks are to be run on all new enrolments created in the preceding week.
Where errors are identified, the Administration Team Leader is to provide the General Manager with a report on the identified data field errors. The General Manager is to compile a list of commonly made errors for internal training purposes (see Section 6 for more details).
The Administration Team Leader with the support of the RTO administartors, is to rectify the data errors as required and run a subsequent Health check report to verify that all data fields have been corrected.
NOTE: Health check reports are a Student Management System report. Each report has specific fields for the data fields required by the state and territory data reporting and provisions policies.
Data reporting procedures
On a daily, weekly or monthly basis, as determined by the state or territory data processing requirements, the Administration Team Leader is to undertake the data validation and reporting process whereby:
- VET activity data is generated from the student management system, and
- validated per state and territory requirements.
- Errors identified with activity data are to be corrected prior to re-validating.
- Validated data to be submitted to the relevant state and territory authority by no later than COB on the last business day of each calendar month.
Data reporting timelines
| State / Department | Data reporting submission |
| NSW - Smart and Skilled | Reported daily (Monday to Friday) |
| ACT - Skills Canberra | Validated weekly with final reporting lodged once per month |
| QLD - Department of Education and Training | Validated weekly with final reporting lodged once per month |
Data reporting (Total VET Activity) procedures
Data reporting requirements
All RTOs must collect and report 'Total VET Activity' data through the submission of AVETMISS data, in accordance with the National VET Provider Collection Data Requirements Policy.
Data reporting procedures
All participation and assessment records for the calendar year are to be submitted to the administration department by no later than COB of the last working day of trade in each calendar year inclusive of:
- Enrolment forms
- Unit introduction forms
- Participant monitoring and assessment record forms
- Assessment tools
- Recognition of Prior Learning and Credit Transfer applications.
The RTO Administrators are to record all participation activity and assessment outcomes prior to the 10th January or next business day of each calendar year.
Total VET activity data is to be validated per state and territory requirements.
Errors identified with activity data are to be corrected prior to re-validating.
Validated data is to be submitted to the relevant state and territory authority by no later than close of business 15th January of each calendar year.
All Fee for service activity data that is not accepted by State and Territory authorities is to be submitted separately through NCVER.
Records of data submissions are to be retained in Allara’s file storage system (Drive), G Drive G:\AllaraLearning\Management\Compliance with records to include:
- A copy of the AVETMISS files
- A copy of the NCVER validation summary
- A screen-print or email verification of the data upload or provisions to NCVER or the state or territory authority.
NOTE: Participation, monitoring, training and assessment records received after COB on the last working day of trade in each calendar year cannot be accepted or processed. Changes to annual data cannot be made after the final submission is made to either NCVER or the relevant state or territory authority.
Records management procedures
Records management personnel
In the management of information and data records of Allara clients, participants and stakeholders, the CEO will ensure any other staff carrying out business operational procedures is conversant with and informed of:
- this records management policy and procedure, and
- the Privacy and personal information policy.
- the applicable state or territory legislation and regulations including:
- the Privacy Act 1988
- the Standards for Registered Training Organisations, 2015.
Allara staff will comply with all external reporting responsibilities where required to do so. (i.e. AVETMISS).
Records access
Only personnel directly involved with participant’s welfare and or participant’s results will have access to personal participant details.
Only upon receipt of written consent by a participant can staff provide a third party with a participant’s personal details.
Upon reasonable request and notice, administrative staff shall provide a participant with access to their personal participant records and reissue statements of attainment or qualifications achieved.
Access to participant records may be provided where the Standards for Registered Training Organisations, 2015 or an officer of the law require Allara to do so.
Records management
Upon receipt of client, participant or stakeholder records inclusive of AVETMISS enrolment forms, the Allara staff member will record the client, participant or stakeholder details into the student management system.
At the completion of the data entry process the Allara staff member will:
- Create a hard copy file of the records (if applicable), and
- File the hard copy file securely by:
- Client name in alpha order (surname, first name), and
- Within the secure file storage area.
- Upon receipt of an application or request to change details the Allara staff member will:
- Update the client, participant or stakeholder records in the student management system.
- File the change of details form into the respective hard copy file.
Records storage
Designated staff shall ensure that all participant records are maintained in an accurate manner, providing for the safekeeping of all participant assessment results for a term no less than 30 years and providing the CEO with at least one week’s written notice before any records are destroyed.
Participant records shall be stored:
- Electronically in a web-based student management system.
- A copy of all participant records will be stored securely on-premises, or if removed from the premises for safe keeping, in a location agreed to by the CEO for a period of no less than 7 years.
Cessation of services
On cessation of services and the discontinuation of business the CEO shall ensure that all participant records are made available to the Regulatory Authority.
Related documents
- Privacy and personal information policy
- Privacy Act 1988
- Standards for Registered Training Organisations, 2015
- Access, equity and enrolment policy
- Training and assessment policy
- Completions, withdrawal and certificate issuance policy and procedure
- Various Allara record forms