Quality Approach

QUALITY APPROACH

A quality system incorporating continuous improvement

TABLE OF CONTENTS

Overview

3

RTO Quality Framework: Structure

4

Principle 1: An organisation is a system

5

Principle 2: Continuous improvement is a cycle

6

Principle 3: An RTO has a unique Business process

7

Principle 4: Management systems provide support for the Business process Management systems 1. Business system 2. Client engagement system 3. Client services system 4. Training system 5. Assessment system 6. Records system 7. Quality system

8

Management system and ADRI cycle Planning and evaluation Monitoring and review Evidence: Systematic approach Evidence: Continuous improvement Self assessment

13

10 11

9 10 11 12 12

15 16

14 17 18

Principle 5: AQTF standards provide performance indicators for measuring quality Quality criteria by AQTF standard Conditions of registration

19 23

©ChalkPort Pty Ltd 2007 The RTO Quality Framework™ may be adapted to suit the requirements of the organisation. It may not be shared with other organisations. Disclaimer ChalkPort Pty Ltd does not give any warranty nor accept any liability in relation to the contents. If any law prohibits the exclusion of such liability, ChalkPort limits its liability to the extent permitted by law.

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THE QUALITY SYSTEM The RTO Quality Framework™ is a quality system designed to assist an RTO to: continuously improve operations to achieve quality outcomes meet the requirements of AQTF 2007 It can be applied to the operations of any RTO regardless of size or scope.

Defining a quality system A quality system is a structured and documented approach that covers the structure, procedures, processes, responsibilities and resources needed to implement a system wide approach to ensuring quality in work processes, products and services. It usually consists of a philosophy, a framework, a methodology and a set of tools.

RTO Quality Framework: The philosophy The philosophy that underpins this approach to quality is captured by these principles: 1. An organisation is a system 2. Continuous improvement is a cycle 3. An RTO has a unique Business process 4. Management systems provide support for the Business process 5. AQTF standards provide the criteria for measuring quality

RTO Quality Framework: The framework The way the quality system works can be understood by following the flow of the conceptual model.

RTO Quality Framework: The methodology The Approach-Deploy-Results-Improvements [ADRI] cycle is applied to the Business process of an RTO. There are three strategy documents that facilitate implementation: Quality Approach, Deployment Strategy and Self Assessment Instrument.

RTO Quality Framework: The set of tools Procedures and related documents and forms are the tools that provide operational assistance with implementation of the quality system. RTO Quality Framework™: Quality Approach Ver 4: Page 3 of 24

THE FRAMEWORK

QUALITY APPROACH

Quality criteria

DEPLOYMENT STRATEGY

Deplo y

SELF ASSESSMENT INSTRUMENT

Revie w

Results

Improvements

Quality approach [A] The system wide approach to operating efficiently and effectively as an organisation is set out in the document Quality Approach. It contains the principles and the methodology for the quality system. Quality criteria These are derived from the evidence guides associated with each Element in the AQTF standards. The quality criteria are used to guide deployment and also to measure effectiveness as a quality organisation. Deployment Strategy This is the plan for establishing the quality system. Each step of the Business process has a set of key actions. Responsibility for each key action is allocated to a specific person and major documents relevant to the actions are also named. Deployment [D] Once the quality system has been set up a staff induction is conducted so that everyone is aware of their role. Then it is implemented across the business. The deployment of both the quality system and compliance with AQTF is monitored systematically.

Self Assessment Instrument The SAI is based on the quality criteria drawn from the AQTF standards. This instrument is used to check compliance with AQTF requirements and to rate progress towards excellent practice. Review There are mechanisms for reviewing and evaluating the effectiveness of the quality system. The Self Assessment Instrument is used to measure progress at the strategic level and it also provides results.

Results [R] Reviews provide data that reveals how to improve the quality system, and operations generally, to achieve even better outcomes. Improvements [I] These improvements are implemented at the appropriate time and the cycle begins again.

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ORGANISATION AS A SYSTEM Principle 1: An organisation is a system

Systems theory fundamentals An organisation is a complex relationship involving people, physical assets, funds and processes, all aligned to achieving predetermined goals and objectives. An organisation takes the inputs and adds value to them by means of processes and procedures, which transforms them into outputs. The effectiveness of this transformation is measured by the outcomes. Systems theory and continuous improvement Systems theory holds that an organisation can get better outputs, and as a result, better outcomes, by controlling the quality of both inputs and the transformation process (the first two columns in the diagram). Therefore, emphasis should be on continually improving the inputs and transformation process, which are under the control of the organisation. These efforts usually result in incremental improvement over time although there can be breakthrough improvements. Organisational capability This refers to the organisation’s ability to perform using the available resources (the inputs on the diagram above). Three dimensions that must be aligned and support each other to build organisational capability are: • • •

Human capital: people skills and knowledge Social capital: relationships between people Organisational capital: organisation’s processes

The AQTF Excellence Criteria are used as a model for building and measuring organisational capability.

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CONTINUOUS IMPROVEMENT Principle 2: Continuous improvement is a cycle

Defining continuous improvement Total Quality Management (TQM) is a strategic approach aimed at embedding awareness of quality in all organisational processes. It has been used successfully across most industries over the past five decades. The guiding principle of TQM is that it is possible to increase quality by practicing continual improvement, which is an ongoing effort to improve products, services and processes. These efforts usually result in incremental improvement over time, although there can be breakthrough improvements. A process for continually improving The Approach-Deployment-Results-Improvement [ADRI] Cycle can be deliberately embedded in the organisation in a way that means the Business process is continually being improved. It focuses on the quality of both inputs and the transformation process. The ADRI cycle is used to drive improvements within the organisation. It is also the focus of Step 7 of the Business process.

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RTO BUSINESS PROCESS

Principle 3: An RTO has a unique Business process

A Business process is a collection of interrelated tasks that deliver a specific outcome. The Business process outlined here applies to all Registered Training Organisations. These steps are the starting point for a systematic approach to the RTOs core business of training and assessment. There is an objective for each step of the Business process:

1. Plan business direction and systems

Objective: Organisation has a clear strategic direction and management systems are in place to support it.

2. Engage clients Objective: Products and services are tailored to client requirements. 3. Provide client services Objective: Learner clients receive appropriate support at all times. 4. Deliver training Objective: Qualified personnel engage learners in industry focused training. 5. Conduct assessment Objective: Qualified personnel conduct assessment designed to deliver industry standard performance. 6. Record participation, progress and results Objective: System wide records management processes are transparent, efficient and effective.

7. Review and improve quality processes

Objective: Products, services, processes and organisational performance are systematically reviewed and improved.

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MANAGEMENT SYSTEMS Principle 4: Management systems provide support for the Business process

There are seven management systems that provide the operational infrastructure to support the Business process. They align with the Business process steps and underpin and enable them. Therefore, effective management systems are critical for effective Business process. The seven management systems are: 1. Business systems 2. Client engagement system 3. Client services system 4. Training system 5. Assessment system 6. Records system 7. Quality system System contents Procedures A process has well-defined inputs, outputs and purposes. It is very specific and there may be many processes as part of a workflow. Processes are articulated in procedures. Documents/forms Each management system has key documents that support the procedures. These are checked and considered as part of the monitoring and review processes. System monitoring Each management system must be monitored at least once a year. Personnel interpret the procedures and, through their actions, create work practices. Therefore, work practices are included when a system is monitored.

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1. BUSINESS SYSTEM This management system consists of the procedures and documents that support: Business process step 1: Plan business direction and systems Objective: Organisation has a clear strategic direction and management systems are in place to support it. Contents Procedures AQTF standards documents Assets management Certified accounts Change management Conditions of registration Contracts: government Contracts: User choice Ethical issues: Technology Financial processes Insurances Intellectual property Knowledge management Learning technology Legislation Partnerships Performance review Policy development Recruitment and induction Staff communication Staff development Strategic planning TAS: Development TAS: Industry consultation TAS: Learner profile TAS: Employability Skills TAS: Review TAS: Validation Training authorities Tuition fees Website Workplace relations

Practices to be monitored Documents AQTF Audit handbook AQTF Guidelines for non compliance AQTF Essential standards for registration AQTF Guidelines responding to complaints AQTF Users guide to standards AQTF Guidelines risk management for RTOs Change management plan template Change management core ides Conditions of registration risk check template Employability Skills for trainers/assessors booklet Employability Skills framework diagram Knowledge management core ideas Monitoring checklist: partnership agreement Partnership agreement template Performance review template Strategic plan template TAS: Training and assessment strategy template TAS: Review template

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AQTF standards documents Assets management Certified accounts Change management Conditions of registration Contracts: government Contracts: User choice Ethical issues: Technology Financial processes Insurances Intellectual property Knowledge management Learning technology Legislation Partnerships Performance review Policy development Recruitment and induction Staff communication Staff development Strategic planning TAS: Development TAS: Industry consultation TAS: Learner profile TAS: Employability Skills TAS: Review TAS: Validation Training authorities Tuition fees Website Workplace relations

2. CLIENT ENGAGEMENT SYSTEM This management system consists of the procedures and documents that support: Business process step 2: Engage clients Objective Products and services are tailored to client requirements. Contents

Practices to be monitored

Procedures

Documents

3. CLIENT SERVICES SYSTEM This management system consists of the procedures and documents that support: Business process step 3: Provide client services Objective Learner clients receive appropriate support at all times. Contents Procedures

Practices to be monitored Documents

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4. TRAINING SYSTEM This management system consists of the procedures and documents that support: Business process step 4: Deliver training Objective Qualified personnel engage learners in industry focused training. Contents Procedures

Practices to be monitored

Documents

5. ASSESSMENT SYSTEM This management system consists of the processes and documents that support: Business process step 5: Conduct assessment Objective Qualified personnel conduct assessment designed to deliver industry standard performance. Contents Procedures

Documents

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Practices to be monitored

6. RECORDS SYSTEM This management system consists of the procedures and documents that support: Business process step 6: Record participation, progress and results Objective System wide records management processes are transparent, efficient and effective. Contents Procedures

Practices to be monitored Documents

7. QUALITY SYSTEM This management system consists of the procedures and documents that support: Business process step 7: Review and improve quality processes Objective Products, services, processes and organisational performance are systematically reviewed and improved. Contents Procedures

Practices to be monitored Documents

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MANAGEMENT SYSTEMS AND ADRI CYCLE

Approach: Thinking and planning [A] How this is embedded into organisational processes:

• • • •

A documented systematic approach A transparent Business process etc

Deployment: Implementing and monitoring [D] How this is embedded into organisational processes:

• • • • • •

Calendar of key dates etc

Results: Reviewing and evaluating [R] How this is embedded into organisational processes:

• • •

Annual Performance summary Etc

Improvements: Learning and adapting [I] How this is embedded into organisational processes:

• • •

Self assessment Etc

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PLANNING & EVALUATION

Planning: Strategic plan The Strategic plan is a projection of what the organisation would like to achieve for the coming calendar year. It is a companion document to the Performance summary, which reports on how effective the organisation was at achieving the goals set out in the Strategic plan. Management must hold a strategic planning meeting once a year, preferably in November/December. The audience for the Strategic plan is RTO personnel. The annual Strategic plan is filed in Quality documents: completed. Evaluation: Performance summary Organisational results (outputs and outcomes) for each year are reported as an annual Performance summary at the end of the calendar year. The Performance summary for a current year is completed in time to inform the strategic planning for the approaching year. This document is filed Quality documents: completed. The list below each result area identifies possible sources for data. Result areas The result areas specified in the AQTF Excellence Criteria provide the headings for both the Strategic plan and the annual Performance summary. Result Area 1: Learner performance

Result Area 2: Client services

Result Area 3: Financial

Result Area 4: People

Result Area 5: Operational effectiveness

Result Area 6: Governance and social responsibility

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MONITORING AND REVIEW

Monitoring Monitoring is simply a system check to see that everything is going as planned. If systems are running well, monitoring will be relatively quick and non-invasive. A spot check can be called at any time, especially in response to a complaint or a suspected breach of procedure. Monitoring checklists are created for each of the systems. Three things are checked: • • •

Procedures: checking the accuracy and appropriateness of what is written Documents: checking these are still suitable and are being used Practices: checking that what is stated in the producre is what is actually happening

Review Each system is formally reviewed once a year. The Quality Group considers results from monitoring activity for the management system. Recommended improvements, or previously made improvements, are noted in the Improvements register. It is the responsibility of the RTO Manager to ensure improvements are deployed appropriately. Schedule Monitoring and review dates, and several other dates important to the quality system, are set out in an annual calendar for publication to personnel. Month

Monitoring schedule

Planning and review schedule

January February March April May June July August September October November December

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EVIDENCE: SYSTEMATIC APPROACH Element 3.1 requires that an RTO has a systematic and continuous improvement approach to the management of operations. This is a visual representation of how the RTO Quality Framework embeds a systematic approach in the RTO’s operations.

Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec

Monitoring checklist (s)

Monitoring checklist (s)

Quality group minutes

Monitoring checklist (s)

Quality group minutes

Quality group minutes Self Assessment

Improvements register entries

Strategic plan

Performance summary

Evidence presented at audit to support this timeline for each year: 

 

  

Completed Strategic plan 7 completed monitoring checklists Minutes of Quality group meetings Self Assessment Instrument results Completed Performance summary Improvements register entries

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EVIDENCE: CONTINUOUS IMPROVEMENT Two examples of how the cycle of continuous improvement is embedded in the organisation. Managing the business Decide business direction Annual Strategic plan

Make improvements

Operationalise plan

Improvements register

Management systems

Review outcomes

Monitor progress

Managing body meeting

Monitoring checklists

Gather data

Performance summary

Evidence presented at audit to support this cycle: • • • • • •

Strategic plans since last audit Online/folder systems Completed monitoring checklists Performance summaries since last audit Minutes: Managing body meetings Improvements register with entries

When a complaint is received

Complaint is received

Make improvements Improvements register

Review outcome

Quality group minutes

Procedure followed

Client services system

Complaint recorded

Complaints and Appeals log

Monitor outcome

Monitoring Client services

Evidence presented at audit to support this cycle: • • • •

Record of the complaint Procedure as part of Client services system Record of complaint outcome Minutes: Quality Group meeting mentions complaint/outcome RTO Quality Framework™: Quality Approach Ver 4: Page 17 of 24

•

Evidence that it has been used to improve quality system

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EVIDENCE: SELF ASSESSMENT

The principle of self assessment A basic assumption of a continuous improvement cycle is that self evaluation at appropriate points will provide data to improve operations. This process is intended to indicate how well the organisation is travelling, rather than be a fault finding mission. Process This is a top level evaluation that is done once a year. However, if there have been significant system wide changes, or events such as a number of complaints, that indicate need for a range of improvements, the SAI may be carried out after improvements have been made. Self Assessment Instrument (SAI) Self assessment is organised by Business process steps. Quality criteria from AQTF standards are matched to the steps. This creates 7 grids that form the SAI. Evaluators There may be one or more evaluators appointed by the organisation. It is useful for the evaluators to have a working knowledge of the RTO Quality Framework. If they do not, it would be important for them to read this Quality Approach document before commencement. The rating scale A numbered scale from 0-10 provides a performance continuum for rating progress against the criteria. There is a written descriptor at three points on the continuum so that evaluators know what they are looking for. Self rating for each step can be shown as a number to provide quantitative data.

1-4 evidence Some

0 No evidence of advance information or it is unclear and/or confusing

Compliant 5 Clients are provided with enough clear information in advance to make an informed choice about enrolment

Excellent practice 6-9 Increasing evidence

Non compliant

10 Well articulated marketing materials that are high quality and client focused

Rating

Trends Results from each SAI are recorded on a grid so that this data can be used to identify trends over time. These results are also considered by the Quality Group at appropriate times. Current

Step

Totals

Previous Totals (date)

Step 1: Determine business direction and systems Step 2: Engage clients Step 3: Provide client services Step 4: Deliver training Step 5: Conduct assessment Step 6: Record participation, progress and results Step 7: Review and improve quality processes Results

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Totals (date)

Totals (date)

Totals (date)

QUALITY CRITERIA BY AQTF STANDARD Principle 5: AQTF standards provide the criteria for measuring quality

A

criterion is a reference point against which something can be evaluated. The quality criteria for guiding the establishment of the quality system, and also for evaluating progress with the Self Assessment Instrument (SAI), are drawn from the evidence guides that are listed for each Element in the AQTF 2007 Users’ Guide to the Essential Standards for Registration. Example: Extract from Users’ Guide Element 2.2 Before clients enrol or enter into a contract, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. Evidence guide Information provided to clients is clear and sufficient to assist them to make an informed choice. Information provided to clients accurately describes the services to be provided. Improvements to client information services are demonstrated.

In the RTO Quality Framework the evidence required above becomes three criteria. These are observable and can be measured. Clear and sufficient information is provided to clients prior to enrolment/contract Accurate information on services is provided to clients Improvements made in client information

2 2 2

All three quality criteria in this example apply to the step before someone actually signs up for training or assessment: Engage clients. Therefore they are used to measure effectiveness in the Client engagement system. The complete set of quality criteria is set out on the following pages.

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STANDARD 1 The Registered Training Organisation provides quality training and assessment across all of its operations Quality criteria

Step/System

1.1 Training and assessment The RTO collects, analyses and acts on relevant data for continuous improvement of training and assessment. Data is collected, analysed systematically and used to make improvements to training and assessment There are demonstrated improvements in training and assessment

7 7

1.2 Training and assessment strategies (TAS)

Strategies for training and assessment meet the requirements of the relevant Training Package or accredited course and are developed in consultation with industry stakeholders. For each qualification/unit/course on Scope of Registration: Industry/enterprise is consulted during development of TAS Learner profile is clearly articulated as part of TAS Human and physical resources are specified in TAS TAS is clearly articulated and meets Training Package requirements TAS is monitored and improved

1 1 1 1 1

1.3 Training and assessment resources Staff, facilities, equipment and training and assessment materials used by the RTO are consistent with the requirements of the Training Package or accredited course and the RTO’s own training and assessment strategies. For each qualification/unit/course on Scope of Registration: Resources specified in T&A strategy are used by staff Resources specified in T&A strategy are used by learners Improvements made in staff, facilities, equipment and training and assessment materials

4 4 4

1.4 Training and assessment personnel Training and assessment are conducted by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors b) have the relevant vocational competencies at least to the level being delivered or assessed c) continue developing their vocational and training and assessment competencies to support continuous improvements in delivery of the RTO’s services. Trainer competence is established and verified Trainer supervision arrangements are effective Trainers continuously develop their competencies Assessor competence is established and verified Assessors continuously develop their competencies

4 4 4 5 5

1.5 Assessment, including RPL Assessment, including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or accredited course b) is conducted in accordance with the principles of assessment and the rules of evidence c) meets workplace and, where relevant, regulatory requirements. Assessment meets Training Package requirements Assessment is consistent with T&A strategy Assessment is valid, reliable, flexible and fair Assessment is to workplace performance standard Judgements against same competency standards are consistent Judgement is made on basis of sufficient, valid, authentic and current evidence Improvements made in assessment systems, processes, tools and practices

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5 5 5 5 5 5 5

STANDARD 2 The Registered Training Organisation adheres to principles of access and equity and maximises outcomes for its clients Quality criteria

Step/System

2.1 Client services The RTO continuously improves client services by collecting, analysing and acting on relevant data. Data is collected, analysed systematically and used to make improvements to client services There are demonstrated improvements in client services

7 7

2.2 Client information Before clients enrol or enter into a contract, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations. Clear and sufficient information is provided to clients prior to enrolment/contract Accurate information on services is provided to clients Improvements made in client information

2 2 2

2. 3 Engagement in training and assessment Employers and other parties who contribute to each learner’s training and assessment are engaged in the development, delivery and monitoring of training and assessment. Workplace personnel are consulted in development of workplace training and assessment processes Workplace personnel are aware of their training and assessment roles and responsibilities Workplace personnel support for each learner is monitored Learner progress is monitored Workplace personnel are consulted as part of the review of training and assessment

2 2 2 2 2

2.4 Individual needs of learners Learners receive training, assessment and support services that meet their individual needs. Learner needs are systematically assessed Learners have access to relevant learning support services Support services are consistent with T&A strategies Training, assessment and support services are monitored Improvements made in training, assessment and support services

3 3 3 3 3

2.5 Learner access to records Learners have timely access to current and accurate records of their participation and progress. Learners are informed about how to access their records Participation data is systematically collected, recorded and stored Progress data is systematically collected, recorded and stored Records management practices are monitored Improvements made in records management practices

4 6 6 6 6

2.6 Complaints and appeals Complaints and appeals are addressed efficiently and effectively. Complaints and appeals are managed effectively Complaints and appeals are resolved satisfactorily Complaints and appeals are monitored Improvements made on basis of complaints and appeals

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3 3 3 3

STANDARD 3 The Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the Registered Training Organisation operates

Quality criteria

Step/System

3.1 Management of operations The RTO uses a systematic and continuous improvement approach to the management of operations. There is a systematic approach to management and improvement of operations Management systems are focused on providing quality services Management systems are appropriate for size and scope of operations Management systems are consistently implemented across operations Management systems are monitored systematically

7 1 1 1 1

3.2 Partnership arrangements The RTO monitors training and/or assessment services provided on its behalf to ensure that they comply with all aspects of the AQTF 2007 Essential Standards for Registration. An agreement about T&A services is in place with each partner organisation Partner organisation’s T&A services are monitored and improved

1 1

3.3 Accuracy and integrity of records The RTO manages records to ensure their accuracy and integrity. Records management system is in place AQTF compliance records are maintained Staff meet their responsibilities for records management Records management system is monitored Improvements made in records management system

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6 6 6 6 6

CONDITIONS OF REGISTRATION System monitoring that covers this Condition 1. Governance The RTO’s chief executive must ensure that the RTO complies with the AQTF 2007 Essential Standards for Registration, and with any other national guidelines approved by the National Quality Council. This applies to all of the operations in its scope of registration as listed on the National Training Information Service.

Quality system

2. Interactions with the registering body The RTO’s chief executive must ensure that the RTO cooperates with its registering body:

Quality system

• in the conduct of audits and the monitoring of its operations • by providing accurate and timely data relevant to measures of its performance • by providing information about significant changes to its operations • in the retention, archiving, retrieval and transfer of records consistent with its registering body’s requirements.

3. Compliance with legislation The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements that are relevant to its operations and its scope of registration. It must ensure that its staff and clients are fully informed of these requirements where they affect their duties or participation in vocational education and training.

Business system

4. Insurance The RTO must hold insurance for public liability throughout its registration period.

Business system

5. Financial management The RTO must protect fees paid in advance and have a fair and reasonable refund policy. The RTO must have its accounts certified by a qualified accountant to Australian Accounting Standards, at least annually, and provide the certificate of accounts to its registering body on request. If the registering body reasonably deems it necessary, the RTO’s chief executive must provide a full audit report of its financial accounts from a qualified and independent accountant.

6. Certification and issuing of qualifications and Statements of Attainment The RTO must issue to people it has assessed as competent in accordance with the requirements of the Training Package or accredited course, a qualification or statement of attainment (as appropriate) that:

Business system

Records system

• meets the Australian Qualifications Framework (AQF) requirements • identifies the RTO by its national provider number from the National Training Information Service • includes the Nationally Recognised Training (NRT) logo in accordance with the current conditions of use. The RTO must retain learners’ records of attainment of units of competence and qualifications for a period of 30 years.

7. Recognition of qualifications issued by other RTOs The RTO must recognise the AQF qualifications and statements of attainment issued by any other RTO.

Client services system

8. Accuracy and integrity of marketing The RTO must ensure that its marketing and advertising of AQF qualifications to prospective clients is ethical, accurate and consistent with its scope of registration. The NRT logo must be employed only in accordance with its conditions of use.

Client engagement system

9. Transition to Training Packages / expiry of accredited courses The RTO must manage the transition from superseded Training Packages within 12 months of their publication on the National Training Information Service and also manage the transition from superseded accredited courses so that it delivers only currently endorsed Training Packages or currently accredited courses.

Training system

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