QUALITY APPROACH. A systems management approach to RTO operations that incorporates continuous improvement

Transcription

1 QUALITY APPROACH A systems management approach to RTO operations that incorporates continuous improvement

2 TABLE OF CONTENTS Overview... 3 CPQMS: 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... 8 Management systems and ADRI cycle... 9 Systematic approach Planning and evaluation Monitoring Improvements Evidence: Continuous improvement Self assessment Principle 5: VQF standards provide performance indicators for measuring quality Quality criteria by VQF standard Principle 6: Additional VQF standards and components define requirements that are addressed by quality processes Quality processes by VQF component ChalkPort Pty Ltd Registered Training Organisations may use the CPQMS: RTO Quality Framework to implement a quality approach in their organisation. Any system, product or process based on the CPQMS: RTO Quality Framework may not be sold commercially or shared with other organisations. Disclaimer ChalkPort Pty Ltd does not give any warranty or accept any liability in relation to the contents. If any law prohibits the exclusion of such liability, ChalkPort limits their liability to the extent permitted by law. Version 8 VQF: Page 2 of 29

3 THE QUALITY APPROACH The CPQMS: RTO Quality Framework is a quality approach designed to assist an RTO to: embed management systems across its operations continuously improve operations to achieve quality outcomes meet the VET compliance requirements It can be applied to the operations of any RTO regardless of size or scope. This Quality Approach document sets out the philosophy, framework and methodology for the CPQMS: RTO Quality Framework. RTOs are able to create their own processes and set of tools that would flesh it out into a full quality management system. Framework Methodology Philosophy Quality Approach Set of tools 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. VQF standards provide the criteria for measuring quality 6. Additional VQF standards and components define the requirements that are addressed by quality processes The framework The framework is a structure the bones of the quality approach. The way the quality approach works can be understood by following the flow of the conceptual model. The methodology The Approach-Deploy-Results-Improvements [ADRI] cycle is applied to the Business process of an RTO. Quality is not an act, it is a habit. Aristotle (384BC-322BC) Version 8 VQF: Page 3 of 29

4 THE FRAMEWORK CPQMS: RTO Quality Framework Quality Approach Quality criteria Quality process Improve Deploy Self Assessment Instrument Results Quality Approach Quality approach [A] The system wide approach to operating efficiently and effectively as an organisation is set out in the document Quality Approach. Quality criteria Quality processes Quality criteria These are derived from the evidence guides associated with standards that the VQF SNRs are based on. The quality criteria are used to guide deployment and also to measure the effectiveness of operations. Quality processes These interpret the requirements that are defined by the requirements of the additional VQF standards and components, and quality processes are created to ensure the requirements can be met. Deploy 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 approach and compliance with the VQF is monitored systematically. Self Assessment Instrument Self Assessment Instrument The SAI is based on the quality criteria drawn from the VQF components. This instrument is used to check compliance with VET requirements and to rate progress towards excellent practice. Results Results [R] Reviews provide data that reveals how to improve the quality approach, and operations generally, to achieve even better outcomes. 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. Improve Improve [I] These improvements are implemented at the appropriate time and the cycle begins again. Version 8 VQF: Page 4 of 29

5 ORGANISATION AS A SYSTEM Principle 1: An organisation is a system Systems theory fundamentals Systems theory views an organisation as a system which always works in a pre-determined way. The diagram below illustrates this. An organisation has varying amounts of resources at its disposal An organisation takes these resources and applies their own processes to them This results in outputs, which provides customers with products and services, and also includes intellectual property and waste What customers think of the quality of products and services delivered, as well as the satisfaction of stakeholders and business profitability, determines the effectiveness of the organisation Inputs Business Process Outputs Outcomes Organisation as a System (Systems Theory) People Capital Equipment Materials Time Processes Procedures Direct tasks Indirect tasks Products & services Intellectual property Waste Customer satisfaction Stakeholder satisfaction Profit Inputs Business process Outputs Outcomes Version 8 VQF: Page 5 of 29

6 ORGANISATION AS A SYSTEM Principle 1: An organisation is a system Improvements An organisation cannot directly control the outcomes it delivers it can only influence them by what it does. It can achieve better outputs, and subsequently better outcomes, by controlling the quality of both the inputs and the Business process. Therefore, emphasis should be on continually improving the inputs and Business process, which are under the control of the organisation. This is done by improving the management systems that support the Business process. Organisation as a System (Systems Theory) People Capital Equipment Materials Time Processes Procedures Direct tasks Indirect tasks Inputs Business process Management systems support the Business process Version 8 VQF: Page 6 of 29

7 Improve Deploy CONTINUOUS IMPROVEMENT Principle 2: Continuous improvement is a cycle Quality improvement Part of quality management focused on increasing the ability to fulfil requirements Continuous improvement Recurring activity to increase the ability to fulfil requirements Effectiveness Extent to which planned activities are realised and planned results achieved Efficiency Relationship between the result achieved and the resources used Defining continuous improvement AS/NZ ISO 9000:2005: Quality management systems - Fundamentals and Vocabulary is globally recognised as containing the accepted definitions of quality terms. It defines continual improvement as recurring activity to increase the ability to fulfil requirements. The intention of a quality approach is to implement a way of operating that will help the organisation achieve its goals effectively and efficiently. The guiding principle is that it is possible to increase quality by practicing continual improvement, which is an ongoing effort to improve products, services and processes. A process for continually improving This ongoing effort to improve is embedded in the CPQMS: RTO Quality Framework using the Approach- Deployment-Results-Improvement [ADRI] Cycle. It focuses on the quality of both inputs and the Business process. The ADRI cycle is used to drive improvements within the organisation. It is also the focus of Step 8 of the Business process. ADRI cycle and the organisation as a System Approach People Capital Equipment Materials Time Processes Procedures Direct tasks Indirect tasks Products & services Intellectual property Waste Customer satisfaction Stakeholder satisfaction Profit Inputs Business process Outputs Outcomes Results Feedback Version 8 VQF: Page 7 of 29

8 RTO BUSINESS PROCESS Principle 3: An RTO has a unique Business process RTO Business process Plan business direction.engage clients.provide client services.deliver training.conduct assessment.manage records.ensure compliance.embed quality processes A Business process is a collection of interrelated tasks that deliver a specific outcome. The Business process outlined here applies to any Registered Training Organisation, regardless of size or scope. These steps are the starting point for a systematic approach to the RTO s core business of delivery training and assessment services. Quality objectives A systematic approach to operations requires that the organisation have objectives such that goals can be set in key areas. These are the four key areas in the CPQMS: RTO Quality Framework and the quality objectives for each area. Effective and efficient operation of the related management systems helps achieve these objectives. Key areas: Quality objectives 1. Business direction Clear expectations and results related to purpose and performance as an organisation. Related Business process steps 1. Plan Business direction 7. Ensure compliance 2. Training and assessment High level of customer satisfaction with products and services. 4. Deliver training 5. Conduct assessment 3. Client relationships Productive and mutually beneficial relationships with clients and stakeholders. 2. Engage clients 3. Provide client services 4. Management systems The Quality approach is underpinned by a culture of continuous improvement. 6. Manage records 8. Embed, review & improve quality processes Version 8 VQF: Page 8 of 29

9 MANAGEMENT SYSTEMS Principle 4: Management systems provide support for the Business process RTO Management system RTO Business process Plan business direction.engage clients.provide client services.deliver training.conduct assessment.manage records.ensure compliance.embed quality processes Business system.client engagement system.client services system.training system.assessment system.records system.compliance system.quality system There are eight management systems that provide operational support for the Business process. They align with the Business process steps and underpin and enable them. Therefore, effective management systems mean an effective Business process. The eight management systems are: 1. Business system 2. Client engagement system 3. Client services system 4. Training system 5. Assessment system 6. Records system 7. Compliance system 8. Quality system Management system tools Each management system has a set of tools, which are procedures and forms. 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 documents that support the procedures and allow personnel to act as required by the procedures. Most documents will be forms. Management system monitoring Personnel interpret the procedures and, through their actions, create work practices. Therefore, work practices are included when a system is monitored. Each management system must be monitored at least once a year, using an appropriate monitoring checklist. Version 8 VQF: Page 9 of 29

10 MANAGEMENT SYSTEMS AND ADRI CYCLE Approach: Thinking and planning [A] How this is embedded into organisational processes: A documented approach A Business process Eight management systems Strategic Plan Deployment: Implementing and monitoring [D] How this is embedded into organisational processes: Calendar of key dates Key procedures Key documents Monitoring checklists Quality system induction Staff compliance check Results: Reviewing and evaluating [R] How this is embedded into organisational processes: Performance Summary Competency completion data Employer surveys Learner surveys Quality review meetings Staff feedback Improvements: Learning and adapting [I] How this is embedded into organisational processes: Quality Group Self assessment Comments log Improvements register Version 8 VQF: Page 10 of 29

11 SYSTEMATIC APPROACH VQF SNR 17.2 requires that an RTO has a systematic and continuous improvement approach to the management of operations. This is a visual representation of how the CPQMS: RTO Quality Framework embeds a systematic approach in the RTO s operations. Each of the items on the diagram is explained on the following pages. Evidence presented at audit to support this timeline for each year: Completed Strategic Plan Management review report Eight completed monitoring checklists Minutes of Quality Group meetings Quality Indicator results Self Assessment Instrument results Completed Performance Summary Improvements register entries Version 8 VQF: Page 11 of 29

12 PLANNING & EVALUATION Planning: Strategic Plan The Strategic Plan is a forward projection outlining how activities for the year will focus on improving the effectiveness and efficiency of operations. It is a critical quality control mechanism as it documents the organisation s preferred direction for the year. In some instances it may be appropriate for this to be a sub-set of a wider organisational plan. A Strategic Plan helps by: Establishing a roadmap for the year Setting targets that can be reported against in the Performance Summary Articulating preferred practices Management must hold a strategic planning meeting once a year to decide on quality goals for the coming year. The audience for the Strategic Plan is RTO personnel. The completed document is filed in Quality documents: completed. Evaluation: Performance Summary The Performance Summary reports on how effective the organisation was at achieving annual goals as set out in the Strategic Plan. It completes the quality cycle for the year. The Performance Summary for a current year is completed in time to inform quality planning for the coming year. The completed document is filed in Quality documents: completed. Structure Both the Strategic Plan and the Performance Summary are structured around the four key areas and their quality objectives: 1. Business direction Clear expectations and results related to purpose and performance as an organisation. 2. Training and assessment High level of customer satisfaction with products and services. 3. Client relationships Productive and mutually beneficial relationships with clients and stakeholders. 4. Management systems The Quality approach is underpinned by a culture of continuous improvement. Efficiency is doing things right; effectiveness is doing the right things. Peter F. Drucker Version 8 VQF: Page 12 of 29

13 MONITORING 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 variation from procedure. Monitoring checklists are needed for each of the systems. Three things are checked: Procedures: checking these are still suitable for purpose Practices: checking that what is stated is what is actually happening Documents: checking these are still suitable and are being used Quality calendar Monitoring and review dates, and several other dates important to the quality system, are set out in an annual calendar for publication to personnel. Monitoring and review schedule (sample) Month Monitoring schedule Planning and review schedule January February March Business system Risk management check Compliance system Management review (Managing body) Release Strategic Plan Quality Group meeting April Training system Assessment system May June Client engagement system Client services system Quality Group meeting July Managing body meeting August September October Quality system Records system Self assessment Quality Group meeting November December Partnership agreements (if any) Collate completion data Complete Performance Summary Strategic planning session A bad system is better than a good person every time. W. Edwards Deming Version 8 VQF: Page 13 of 29

14 IMPROVEMENTS Quality Group Membership of the Quality Group should reflect the size of the RTO and members are most appropriately people with an interest in the wellbeing of the RTO. The focus of the group is: Act as a reference group for the RTO Manager Review results of quality assurance and improvement processes Recommend policy decisions to Managing body with regard to continuous improvement and resourcing Meetings of the Quality Group are held three times a year and these dates are added to the annual quality calendar. Minutes of the meetings are filed in Quality documents: completed. Improvements register A significant change that improves the operation of a management system is recorded in the Improvements register against the name of the relevant system. There should be a follow-up check done, at an appropriate interval after implementation, to see that the improvement has been effective. These changes are likely to be in response to: Monitoring activity results Management review Self assessment results Quality Indicator results Audit recommendations The principle of self assessment A basic assumption of a continuous improvement cycle is that self assessment at appropriate points will provide data to improve operations. Self assessment is outlined overleaf. Review Operations should be formally reviewed once a year when the Managing body considers results from monitoring activity, learner & employer questionnaires and completion data. 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. Quality Indicators The RTO is required to collect, analyse and act on relevant data for continuous improvement of training and assessment and also client services (SNRs 15.1, 16.2). The data that is collected for the mandatory Quality Indicators is to be used to monitor and improve the quality of operations. Quality means doing it right when no one is looking. Henry Ford Version 8 VQF: Page 14 of 29

15 EVIDENCE: CONTINUOUS IMPROVEMENT Two examples of how the cycle of continuous improvement is embedded in the organisation. Managing the business Decide approach Annual Strategic Plan Make improvements Improvements register Implement plan Management systems Review outcomes Managing body meeting Monitor progress 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 Procedure followed Client services system Review outcome Quality Group minutes 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 Evidence that it has been used to improve quality system Version 8 VQF: Page 15 of 29

16 SELF ASSESSMENT 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 systemwide 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 based on the management systems. Criteria that align with VQF SNRs are matched to the systems. 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 CPQMS: RTO Quality Framework. If they do not, it would be important for them to read the Quality Approach document before commencement. Evidence Evaluators need to see evidence to enable them to make a professional judgement. Documents are best presented in bundles that match the management systems as this is the format of the Self Assessment Instrument. The rating scale A numbered scale from 0-10 provides a performance continuum for rating progress against the criteria. This allows room for improvement over time. Self-rating for each of the eight systems can be totaled as a number to provide quantitative data. Verbal descriptors There is a written descriptor at three points on the continuum so that evaluators know what they are looking for in relation to the specific criterion. 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. SAI Action plan If there is a need for a significant number of improvements after a Self assessment, an SAI Action Plan can be drawn up to record planned changes and timeframe. Therefore, it becomes a schedule for improvements. Version 8 VQF: Page 16 of 29

17 QUALITY CRITERIA BY VQF STANDARD Principle 5: VQF 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 Guide to compliance that is listed for each standard as originally published in the AQTF Users Guide to the Essential Standards for Continuing Registration upon which the VET Quality Framework is based. Example: Extract from Users Guide [SNR 16.3] 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. Guide to compliance Information provided to clients is clear, accurate and sufficient to assist them to make an informed choice. The agreement between the RTO and the client is clearly defined and accurate. In the CPQMS: RTO Quality Framework the evidence required in the above Guide to compliance becomes the three quality criteria. These are observable and can be measured Client Information - Quality Criteria System Agreement with client is clearly defined and accurate 2 Clear and sufficient information is provided to clients prior to enrolment/contract 2 Improvements made in client information 2 All three quality criteria in this example apply to the step before someone actually signs up for training or assessment engaging clients. Therefore they are used to measure effectiveness in the Client engagement system. The complete set of quality criteria is provided on the following pages. Version 8 VQF: Page 17 of 29

18 QUALITY CRITERIA BY VQF STANDARD SNR 15 The Registered Training Organisation provides quality training and assessment across all of its operations, as follows: 15.1 Training and assessment The RTO collects, analyses, and acts on relevant data for continuous improvement of training and assessment Training and assessment - Quality Criteria System Data collected is relevant and sufficient to make judgements with regard to the quality of training and assessment across all RTO operations 8 Data is collected on the quality of training and assessment services 8 Results of data analysis lead to demonstrated improvements in training and assessment 8 The RTO has a systematic continuous improvement approach Training and assessment strategies (TAS) Strategies for training and assessment meet the requirements of the relevant Training Package or VET accredited course and have been developed through effective consultation with industry. For each qualification/unit/course on Scope of Registration: 15.2 TAS - Quality Criteria System All TAS are clearly articulated and meet Training Package or VET accredited course requirements 1 All TAS contain a learner profile of the target market learner 1 All TAS record evidence of consultation with industry/enterprise during development 1 All TAS specify human and physical resources 1 All TAS, including training program structure, are reviewed and improved 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 VET accredited course and the RTO s own training and assessment strategies and are developed through effective consultation with industry. For each qualification/unit/course on Scope of Registration: 15.3 Training and assessment resources - Quality Criteria System Resources specified in TAS are used by learners 4 Resources specified in TAS are used by staff 4 The currency, sufficiency and effectiveness of the staff, facilities, equipment and training and assessment materials are systematically reviewed and improvements are demonstrated Training and assessment personnel Training and assessment is delivered by trainers and assessors who: a) have the necessary training and assessment competencies as determined by the National Quality Council or its successors; and b) have the relevant vocational competencies at least to the level being delivered or assessed; and c) can demonstrate current industry skills directly relevant to the training/assessment being undertaken; and d) continue to develop their vocational education and training (VET) knowledge and skills as well as their industry currency and trainer/assessor competence Training and assessment personnel - Quality Criteria System Assessor competence is established, verified and monitored 5 Assessors continuously develop their knowledge and skills, industry currency and assessor competencies 5 Trainer competence is established, verified and monitored 4 Trainer supervision arrangements are effective 4/5 Trainers continuously develop their knowledge and skills, industry currency and trainer competencies 4 Version 8 VQF: Page 18 of 29

19 15.5 Assessment including RPL: Assessment including Recognition of Prior Learning (RPL): a) meets the requirements of the relevant Training Package or VET accredited course; and b) is conducted in accordance with the principles of assessment and the rules of evidence; and c) meets workplace and, where relevant, regulatory requirements; and d) is systematically validated and moderated Assessment including RPL - Quality Criteria System Assessment is to workplace performance standard 5 Assessment meets Training Package or VET accredited course requirements 5 Assessment that is actually conducted is consistent with what is listed in the TAS 5 Assessment tools are systematically validated and moderated 5 Assessment tools are validated against principles of assessment and rules of evidence 5 Judgements against same competency standards are consistent 5 Judgements are made on the basis of sufficient, valid, authentic and current evidence 5 Version 8 VQF: Page 19 of 29

20 QUALITY CRITERIA BY VQF STANDARD SNR 16 The Registered Training Organisation adheres to principles of access and equity and maximises outcome for its clients, as follows: 16.1 Client needs The RTO establishes the needs of clients, and delivers services to meet these needs Client needs - Quality Criteria System Processes for addressing client needs are implemented 2 Processes for establishing client needs are implemented 2 Service provision is monitored Client services The RTO continuously improves client services by collecting, analysing and acting on relevant data Client services - Quality Criteria System Data related to client services is collected and analysed systematically 2 Improvements made to client services 8 Results of data analysis lead to demonstrated improvements in client services Client information Before clients enrol or enter into an agreement, the RTO informs them about the training, assessment and support services to be provided, and about their rights and obligations Client information - Quality Criteria System Agreement with client is clearly defined and accurate 2 Clear and sufficient information is provided to clients prior to enrolment/contract 2 Improvements made in client information 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 Engagement in training and assessment - Quality Criteria System Leaner progress is monitored 2 Workplace personnel are aware of their training and assessment roles and responsibilities 2 Workplace personnel are consulted as part of the review of workplace training and assessment 4 Workplace personnel are consulted in development of workplace training and assessment processes 2 Workplace personnel support for each learner is monitored Individual needs of learners Learners receive training, assessment and support services that meet their individual needs Individual needs of learners - Quality Criteria System Learner needs are systematically assessed 3 Learners have access to relevant learning support services 3 Learning, assessment and learning support services are monitored and improved 8 Support services are consistent with TAS Learner access to records Learners have timely access to current and accurate records of their participation and progress Learner access to records - Quality Criteria System Learner records are collected, recorded and stored systematically 6 Learners are informed about how to access their records 3 Records management processes are monitored and improved 8 Version 8 VQF: Page 20 of 29

21 16.7 Complaints and appeals The RTO provides appropriate mechanisms and services for learners to have complaints and appeals addressed efficiently and effectively Complaints and appeals - Quality Criteria System Complaints and appeals are effectively managed and resolved satisfactorily 2 Complaints and appeals are monitored and reviewed to improve RTO operations 8 Complaints and appeals processes are published and staff are aware of them 2 Version 8 VQF: Page 21 of 29

22 QUALITY CRITERIA BY VQF STANDARD SNR 17 Management systems are responsive to the needs of clients, staff and stakeholders, and the environment in which the RTO operates, as follows: 17.1 Consumer rights The RTO s management of its operations ensures clients receive the services detailed in their agreement with the RTO Consumer rights - Quality Criteria System Agreements are in place with each client 2 Service provision is monitored, reviewed and improved 8 The RTO ensures that it protects the rights of clients as consumers 2 The RTO s systems are sufficient to support provision of quality training, assessment and client services Management of operations The RTO uses a systematic and continuous improvement approach to the management of operations Management of operations - Quality Criteria System Management systems are appropriate for size and scope of operations 8 Management systems are consistently implemented across all RTO operations 8 Management systems are focused on providing quality services 8 Management systems are monitored systematically and continuously improved 8 There is a systematic and continuous improvement approach to management of operations Partnership arrangements The RTO monitors training and/or assessment services provided on its behalf to ensure that it complies with all aspects of the VET Quality Framework Partnership arrangements - Quality Criteria System An agreement about training and assessment services is in place with each partner organisation 1 Partner organisation s training and assessment services are monitored and improved Accuracy and integrity of records The RTO manages records to ensure their accuracy and integrity Accuracy and integrity of records - Quality Criteria System A systematic approach to managing records is implemented 6 Improvements made in records management system 8 Records management system is monitored and reviewed 8 Staff meet their responsibilities for records management 6 VQF compliance records and materials are current 6 VQF compliance records and materials are managed with integrity 6 Version 8 VQF: Page 22 of 29

23 QUALITY PROCESSES BY VQF COMPONENT Principle 6: Additional VQF standards and components define the requirements that are addressed by quality processes RTOs must be outcomes focused, having Inputs and Business processes that allow for systematic outcomes to occur. An RTO s QMS must provide quality processes and procedures underpinning all aspects of its daily RTO operations, aligned to management systems. Several of these may already be in place to address the quality criteria pertaining to clients, training, assessment and records. The quality processes specifically related to adhering to the requirements of additional VQF standards (formerly referred to as conditions) and components have been influenced by the AQTF Users Guide to the Essential Conditions for Continuing Registration upon which the VET Quality Framework is based. Example: Extract from Users Guide [SNR 21] - Insurance The RTO must hold insurance for public liability throughout its registration period. Evidence of adherence to the [SNR/Component] Evidence could include: Certificates of currency for public liability insurance for each year that the RTO operates Correspondence with insurers recording the determinations made to ensure that insurance was at an appropriate level and that this level of insurance was reviewed at renewal and when the size and scope of the RTO s operations changed. In the CPQMS: RTO Quality Framework the evidence suggested in the above example influences the quality processes listed below. 21 Insurance - Quality processes System Financial: Insurances purpose and procedure 1 Records: Financial storage, access and retention of financial records 6 Both quality processes in this example have been created or amended to incorporate the requirements of the component. The complete set of quality processes related to the requirements of the additional VQF standards and components are listed on the following pages. Version 8 VQF: Page 23 of 29

24 QUALITY PROCESSES BY VQF COMPONENT SNR 18 The National VET Regulator RTO has governance arrangements in place as follows: 18.1 Chief Executive The RTO s Chief Executive must ensure that the RTO complies with the VET Quality Framework and any national guidelines approved by the National Quality Council or its successor. This applies to all of the operations within the RTO s scope of registration, as listed on the National Register Governance: Chief Executive - Quality Processes System Governance: Fit and proper purpose, identification, evidence and procedure 1 Governance: RTO Manager purpose and responsibilities 1 Quality Group purpose, process and meetings 8 Staff: Communication requirements, purpose and methods 1 TAS: Development purpose and procedure 1 VQF: Audit - purpose, procedure, outcomes and rectification Managing body The RTO must also explicitly demonstrate how it ensures the decision making of senior management is informed by the experiences of its trainers and assessors Governance: Managing body - Quality Processes System Governance: Managing body purpose, description, responsibilities and meetings 1 SNR 19 Interactions with the National VET Regulator 19.1 Interactions with the National VET Regulator The RTO must co-operate with the National VET Regulator: a) in the conduct of audits and the monitoring of its operations; b) by providing accurate and timely data relevant to measures of its performance; c) by providing information about significant changes to its operations; d) by providing information about significant changes to its ownership; e) in the retention, archiving, retrieval and transfer of records consistent with the National VET Regulator s requirements; and f) by providing a statement demonstrating its financial viability and/or financial projections and/or financial statements and/or a business plan on request of the National VET Regulator Interactions with the National VET Regulator - Quality Criteria System Financial Viability purpose and procedure 1 Quality Indicators: Questionnaires & Competency completion data definition, purpose, procedure and 7 data analysis Records: Archive and Retrieval storage, access and retention 6 Records: Financial - storage, access and retention of financial records 6 Records: Retention record types, description and retention 6 Registering body description, information types and procedure 7 RTO documentation identification of RTO official records 7 VQF: Audit - purpose, procedure, outcomes and rectification 7 Version 8 VQF: Page 24 of 29

25 QUALITY PROCESSES BY VQF COMPONENT SNR 20 Compliance with Legislation 20.1 RTO management s requirements The RTO must comply with relevant Commonwealth, State or Territory legislation and regulatory requirements relevant to its operations and its scope of registration Staff and clients requirements The RTO must ensure that its staff and clients are fully informed of these requirements that effect their duties or participation in vocational education and training. 20 Compliance with Legislation Quality Processes System Legislation - description, categories, obligations, links and updates procedure 1 Staff: Communication requirements, purpose and communication methods 1 Staff: Development purpose and procedure 1 TAS: Risk management purpose, identification, assessment, minimisation and procedure 1 Technology: Website legislative requirements for website content, and monitoring procedure 1 SNR 21 Insurance 21.1 Insurance requirements The RTO must hold public liability insurance throughout its registration period Insurance Quality Processes System Financial: Insurances purpose and procedure 1 Records: Financial storage, access and retention of financial records 6 Version 8 VQF: Page 25 of 29

26 QUALITY PROCESSES BY VQF COMPONENT SNR 22 Financial Management 22.1 Financial viability The RTO must be able to demonstrate to the National VET Regulator, on request, that it is financially viable at all times during the period of its registration Client information The RTO must provide the following fee information to each client: a) the total amount of all fees including course fees, administration fees, materials fees and any other charges b) payment terms, including the timing and amount of fees to be paid and any non-refundable deposit/administration fee c) the nature of the guarantee given by the RTO to complete the training and/or assessment once the student has commenced study in their chosen qualification or course d) the fees and charges for additional services, including such items as issuance of a replacement qualification testamur and the options available to students who are deemed not yet competent on completion of training and assessment, and e) the organisation s refund policy Tuition fees Where the RTO collects student fees in advance it must ensure it complies with one of the following acceptable options: a) Option 1 - the RTO is administered by a state, territory or commonwealth government agency, or b) Option 2 - the RTO holds current membership of an approved Tuition Assurance Scheme, or c) Option 3 - the RTO may accept payment of no more than $1,000 from each individual student prior to the commencement of the course. Following course commencement, the RTO may require payment of additional fees in advance from the student but only such that at any given time, the total amount required to be paid which is attributable to tuition or other services yet to be delivered to the student does not exceed $1,500, or d) Option 4 - the RTO holds an unconditional financial guarantee from a bank operating in Australia for no less than the full amount of funds held by the RTO which are prepayments from students (or future students) for tuition to be provided by the RTO to those students, or e) Option 5 - the RTO has alternative fee protection measures of equal rigour approved by the National VET Regulator 22 Financial Management - Quality Processes System Client information lists what information must be included in a document available to prospective clients 2 Course information lists what information must be included, for every qualification/course, and is made available to the learner before they enrol 2 Financial Viability purpose and procedure 1 Financial: Tuition fees purpose and procedure 1 Records: Financial storage, access and retention of financial records 6 Refund policy purpose, procedure, rights and obligations 2 Version 8 VQF: Page 26 of 29

27 QUALITY PROCESSES BY VQF COMPONENT SNR 23 Certification, Issuing and Recognition of Qualifications & Statements of Attainment 23.1 Certification documentation The RTO must issue to persons whom it has assessed as competent in accordance with the requirements of the Training Package or VET accredited course, a VET qualification or VET statement of attainment (as appropriate) that: a) meets the Australian Qualifications Framework (AQF) requirements; b) identifies the RTO by its national provider number from the National Register and c) includes the Nationally Recognised Training (NRT) logo in accordance with the current conditions of use Recognition of Prior Learning (RPL) The RTO must recognise AQF and VET qualifications and VET statements of attainment issued by any other RTO Record retention The RTO must retain client records of attainment of units of competency and qualifications for a period of 30 years Clients records The RTO must provide returns of its client records of attainment of units of competency and VET qualifications to the National VET Regulator on a regular basis, as determined by the National VET Regulator Student identifier The RTO must meet the requirements for implementation of national unique student identifier. 23 Certification, Issuing & Recognition of Qualifications etc - Quality Processes System Assessment: Recognition of Prior Learning definition, purpose and procedure 5 Credit transfer and National recognition definition, purpose and procedure 3 Quality Indicators: Competency completion data definition, purpose, procedure and data analysis 7 Records: Certification documentation purpose, description, issuance policy, replacements and exemplars 6 Records: Certification register purpose, procedure and retention 6 Records: Retention record types, description and retention terms 6 Version 8 VQF: Page 27 of 29

28 QUALITY PROCESSES BY VQF COMPONENT SNR 24 Accuracy and Integrity of Marketing 24.1 Marketing and advertising The RTO must ensure its marketing and advertising of AQF and VET qualifications to prospective clients is ethical accurate and consistent with its scope of registration NRT logo The RTO must use the NRT logo and AQF logo only in accordance with their conditions of use. 24 Accuracy and integrity of marketing - Quality Processes System Marketing purpose, procedure, permissions and retention 2 SNR 25 Transition to Training Packages/Expiry of VET accredited Courses 25.1 Training packages The RTO must manage the transition from superseded Training Packages within 12 months of their publication on the National Register so that it delivers only currently endorsed Training Packages VET accredited courses The RTO must manage the transition from superseded VET accredited courses so that it delivers only currently endorsed Training Packages or currently VET accredited courses. 25 Transition to Training Packages/Expiry of VET Accredited Courses - Quality Processes System Continuous improvement policy statement, procedure, evidence and data sources 7 Training packages definition, packaging rules, contents and procedure 4 Version 8 VQF: Page 28 of 29

29 QUALITY PROCESSES BY VQF COMPONENT DPR Data Provision Requirements (DPR 1-3 specify naming, arrangements on commencement and definitions) DPR 4 Student records management system The RTO must have a student records management system that has the capacity to provide the National VET Regulator with AVETMISS compliant data. DPR 5 Information required upon request (explanatory) The RTO must provide information to the National VET Regulator, for the purposes of renewal of registration or audits. DPR 6 Collection of data against the quality indicators The NVR registered training organisation must collect data on the quality indicators agreed upon by the Ministerial Council, or its delegate. DPR 7 Annual reports An NVR RTO must provide an annual summary report to the National VET Regulator against the quality indicators. The annual summary report will be due on 30 June each year and will relate to the previous calendar year s activities. DPR Data Provision Requirements - Quality Processes System Quality Indicators: Competency completion data - definition, purpose, procedure and data analysis 7 Quality Indicators: Questionnaires definition, purpose, procedure and data analysis 7 National VET Regulator function, interactions and procedure 7 Student records management system purpose and procedure 3 FPPR Fit and Proper Person Requirements (FPPR 1-3 specify naming, arrangements on commencement and definitions) FPPR 4 Criteria for suitability for registration (explanatory) FPPR4 sets out the considerations that the National VET Regulator must have regard to when making a decision about whether a person meets the Fit and Proper Person Requirements for registration. FPPR 5 Persons subject to a Fit and Proper Person Requirement (explanatory) FPPR 5 identifies the people that the National VET Regulator must consider when making a decision about whether an applicant under the NVETR ACT meets the fit and proper person requirements. FPPR Fit and Proper Person Requirements - Quality Processes Governance: Fit and proper purpose, identification, evidence and procedure 1 System FVRAR Financial Viability Risk Assessment Requirements FVRAR (explanatory) The RTO has an obligation to submit to assessment at any time. The NVR may waive requirement where risk is considered low. Assessment is to be in required form against common indicators. Reviews must have regard to certain audit standards. Information to be assessed can include most anything. Assessment is to consider size and scope of operations. DPR Data Provision Requirements - Quality Processes System Financial: Asset management purpose, procedure, identification and asset register 1 Financial viability purpose and procedure 1 Records: Financial storage, access and retention of financial records 6 Version 8 VQF: Page 29 of 29