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Quality Approach: A Quality System Incorporating Continuous Improvement
Quality Approach: A Quality System Incorporating Continuous Improvement
Quality Approach: A Quality System Incorporating Continuous Improvement
Overview 3
Management systems 8
1. Business system 9
2. Client engagement system 10
3. Client services system 10
4. Training system 11
5. Assessment system 11
6. Records system 12
7. Quality system 12
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The RTO Quality Framework™ is a quality system designed to assist an RTO to:
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
Quality criteria
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
DEPLOYMENT This is the plan for establishing the quality system. Each step of the Business process has a
STRATEGY 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.
Deplo
y
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
Revie also provides results.
w
Results [R]
Results Reviews provide data that reveals how to improve the quality system, and operations
generally, to achieve even better outcomes.
An organisation takes the inputs and adds value to them by means of processes and
procedures, which transforms them into outputs.
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:
The AQTF Excellence Criteria are used as a model for building and measuring organisational
capability.
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.
The ADRI cycle is used to drive improvements within the organisation. It is also the focus of
Step 7 of the 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:
2. Engage clients
Objective: Products and services are tailored to client requirements.
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.
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.
Objective:
Organisation has a clear strategic direction and management systems are in place to support it.
Procedures Documents
AQTF standards documents AQTF Audit handbook AQTF standards documents
Assets management AQTF Guidelines for non compliance Assets management
Certified accounts AQTF Essential standards for registration Certified accounts
Change management AQTF Guidelines responding to complaints Change management
Conditions of registration AQTF Users guide to standards Conditions of registration
Contracts: government AQTF Guidelines risk management for RTOs Contracts: government
Contracts: User choice Change management plan template Contracts: User choice
Ethical issues: Technology Change management core ides Ethical issues: Technology
Financial processes Conditions of registration risk check Financial processes
Insurances template Insurances
Intellectual property Employability Skills for trainers/assessors Intellectual property
Knowledge management booklet Knowledge management
Learning technology Employability Skills framework diagram Learning technology
Legislation Knowledge management core ideas Legislation
Partnerships Monitoring checklist: partnership Partnerships
Performance review agreement Performance review
Policy development Partnership agreement template Policy development
Recruitment and induction Performance review template Recruitment and induction
Staff communication Strategic plan template Staff communication
Staff development TAS: Training and assessment strategy Staff development
Strategic planning template Strategic planning
TAS: Development TAS: Review template TAS: Development
TAS: Industry consultation TAS: Industry consultation
TAS: Learner profile TAS: Learner profile
TAS: Employability Skills TAS: Employability Skills
TAS: Review TAS: Review
TAS: Validation TAS: Validation
Training authorities Training authorities
Tuition fees Tuition fees
Website Website
Workplace relations Workplace relations
Objective
Products and services are tailored to client requirements.
Procedures Documents
Objective
Learner clients receive appropriate support at all times.
Procedures Documents
Objective
Qualified personnel engage learners in industry focused training.
Procedures 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.
Procedures Documents
Objective
System wide records management processes are transparent, efficient and effective.
Procedures 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.
Procedures Documents
• Self assessment
• Etc
•
Result areas
The result areas specified in the AQTF Excellence Criteria provide the headings for both the
Strategic plan and the annual Performance summary.
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:
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.
January
February
March
April
May
June
July
August
September
October
November
December
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
Self Assessment
Improvements register
Strategic plan entries Performance summary
Two examples of how the cycle of continuous improvement is embedded in the organisation.
Gather data
Performance summary
Complaint is received
Monitor outcome
Monitoring Client services
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.
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.
evidence
information or it is unclear enough clear information in materials that are high quality
and/or confusing advance to make an informed and client focused
choice about enrolment
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 Previous
Step
Totals Totals Totals Totals Totals
(date) (date) (date) (date)
Step 1: Determine business direction and systems
Results
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.
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.
In the RTO Quality Framework the evidence required above becomes three criteria. These are
observable and can be measured.
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.
Data is collected, analysed systematically and used to make improvements to training and assessment 7
There are demonstrated improvements in training and assessment 7
Data is collected, analysed systematically and used to make improvements to client services 7
There are demonstrated improvements in client services 7
Workplace personnel are consulted in development of workplace training and assessment processes 2
Workplace personnel are aware of their training and assessment roles and responsibilities 2
Workplace personnel support for each learner is monitored 2
Learner progress is monitored 2
Workplace personnel are consulted as part of the review of training and assessment 2
System monitoring
that covers this Condition
5. Financial management
The RTO must protect fees paid in advance and have a fair and reasonable refund Business system
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.
The RTO must retain learners’ records of attainment of units of competence and
qualifications for a period of 30 years.