Handling Exceptions to Required Training

Typically, a track is removed when someone no longer requires training. Occasionally with auto-assigned tracks, there are exceptions to the standard completion process. It is important to document training as accurately as possible where there is a chance the records will be audited or multiple staff are verifying program compliance.

Exceptions can be handled in a few ways (Alternate course, Waiver). There are times when no action is the best path. Know the impact and best practice for each way to handle these exceptions.

  • When the learner has completed training deemed equivalent to your standard course - Record an Alternate course completion.
    • Sometimes learners have similar training from another institution. In that case, you can upload a copy of their certificate or enter a note into a Alternate course set-up for that purpose. 
    • Sometimes a learner may need an accommodation from how your standard course is delivered (e.g. poor internet connection, hearing or sight limitation). In that case, you can enroll the person into the Alternate course which provides alternate delivery such as a PDF or test-out option. Or you may provide individual coaching and manually mark the completion when you are satisfied s/he has met the requirement.
      Enter alternate course info in pop-up window shown
  • When the learner is exempted* from a course or entire track - Mark a Waiver.

    Occasionally, you may have a learner auto-assigned a track (based on some criteria such as academic major, job title, department...) that doesn't fit the intention of the policy. If your program occasionally allows some individuals to be exempt from a requirement, as a Compliance staff you can waive the requirement. For example, sometimes, the track auto-assignment is not precise enough and a the process mis-assigns to an individual. 

    Compliance staff can also add back the requirement by removing a waiver later.

    If the learner did complete the training through another means, do not use a waiver. Instead record a completion using another method such as your Alternative course.

    If the track is Due (not expired), click the check mark next to the course in the track.

    If the track is already expired or overdue and this is not possible, go into the learner's History tab and add a course record. Instead of Finished/Pass, use Waiver/NA and the current date.

    If you find that a large percentage of people need waivers from the track, you may want to consider removing the auto-assignment group and going to manual assignment of the track to just those who require the training.

    *Temporary or Permanent Exemption?

    If you know in advance that a waiver of the requirement is temporary, you can enter an expiration date on the waiver record. For example, if you have entered temporary documentation of completion while waiting more official documentation. Or for example, if you know the employee is returning from an extended leave on a specific date, you can enter the waiver expiration a month after return so the system will send them a training reminder upon their return.

    Note that track waivers and waivers of courses without expiration date are permanent. If the learner's situation changes, requiring them to need the training, the waiver will need to be removed. 

  • When the learner is temporarily unavailable to complete a course due - Temporarily ignore or remove track

    Supervisors are usually the best informed about whether a learner is out on an extended vacation, furlough, medical or other leave. In those cases where the learner is not exposed* to the risk or responsibility associated with the required training, you can either:

    • Ignore the overdue or expired notice until the person returns, or
    • Remove the track and add it back when the person returns.

    *Employees and students who are still involved in work or studies remotely are still covered by the DEI, HIPAA, SARV, RVSM, RCR and other requirements that govern online/remote responsibilities and relationships.

When entering training history such as for alternate training or waiver), you have the option to enter notes as reminder/record of why the exception was made. Refer to instructions on manually entering/editing course completion record in the Trainers section.

Note on the history record Properties tab, part-way down is an Audit Log field available to enter details about an Alternative training, particularly if you do not have alternative training documentation to upload into the record. However, there are some guidelines to follow.

  • When entering notes in the Audit field of a learner's course record, avoid adding special characters such as &% or quotes. Type rather than copy/paste as those actions can bring in hidden characters.
  • Type below any existing text; appending to the bottom of the audit log (not deleting previous notes). End your audit log note with the date and your netID.
  • Never enter any personal health or other sensitive information into the audit field.