Framework Master 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 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
Management system and ADRI cycle 13

Planning and evaluation 14
Monitoring and review 15
Evidence: Systematic approach 16
Evidence: Continuous improvement 17
Self assessment 18
Principle 5: AQTF standards provide performance indicators for measuring quality
Quality criteria by AQTF standard 19

Conditions of registration 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
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RTO Quality Framework™: Quality Approach

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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.

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THE FRAMEWORK
Quality approach [A]

QUALITY APPROACH 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
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
Self Assessment Instrument

SELF ASSESSMENT The SAI is based on the quality criteria drawn from the AQTF standards. This instrument is
INSTRUMENT 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
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.
Improvements 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

Systems theory views an organisation as a system which always works in a pre-determined
way.
An organisation takes the inputs and adds value to them by means of its business process,
which transforms them into outputs.
The effectiveness of this business process is measured by the outcomes.
Improvements
An organisation can get better outputs, and better outcomes, by controlling the quality of both
inputs and the business process - the first two columns in the diagram.
Therefore, emphasis should be on continually improving the inputs and business 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 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 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
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 key documents that support the procedures. Most documents
will be forms.
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 the appropriate
Monitoring checklist.

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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 Practices to be monitored
Procedures Documents
AQTF standards AQTF Audit handbook AQTF standards
AQTF audit AQTF Guidelines for non compliance AQTF audit
AQTF action plan AQTF Essential standards for registration AQTF action plan
Assets management AQTF Guidelines responding to complaints Assets management
Certified accounts AQTF Users guide to standards Certified accounts
Change management AQTF Guidelines risk management for RTOs Change management
Conditions of registration AQTF action plan Conditions of registration
Contracts: government Change management plan template Contracts: government
Contracts: User choice Change management core ides Contracts: User choice
Ethical issues: Technology Conditions of registration risk check Ethical issues: Technology
Financial processes template Financial processes
Insurances Employability Skills for trainers/assessors Insurances
Intellectual property booklet Intellectual property
Knowledge management Employability Skills framework diagram Knowledge management
Learning technology Knowledge management core ideas Learning technology
Legislation Monitoring checklist: partnership Legislation
Partnerships agreement Partnerships
Performance review Partnership agreement template Performance review
Policy development Performance review template Policy development
Recruitment and induction Strategic plan template Recruitment and induction
Staff communication TAS: Training and assessment strategy Staff communication
Staff development template Staff development
Strategic planning TAS: Review template Strategic planning
TAS: Development 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

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2. CLIENT ENGAGEMENT SYSTEM
Business process step 2: Engage clients
Objective
Products and services are tailored to client requirements.
Client information Client information flier Client information
Course information Course information sample Course information
Employer communication Employer TAS consultation record template Employer communication
Enrolment Enrolment form template Enrolment
Industry communication NRT logo specification for use Industry communication
Marketing Personal details release template Marketing
Refunds Refund request form Refunds
Workplace training Workplace training
3. CLIENT SERVICES SYSTEM

Business process step 3: Provide client services
Objective
Learner clients receive appropriate support at all times.
Access to records Culturally inclusive training & assessment Access to records
Complaints and appeals Culturally inclusive general information Complaints and appeals
Credit transfer Credit transfer application template Credit transfer
Discipline Disability and e-learning Infosheet Discipline
Literacy: LLN Inclusive good practice booklet Literacy: LLN
Reasonable adjustment Inclusive good practice: Assessment Reasonable adjustment
Support for learners Inclusive good practice: Info access Support for learners
Support for online learners Inclusive good practice: Training Support for online learners
Indigenous learners and e-learning
Indigenous learners literacy support
LLN Indicator AQF Diploma template
LLN Indicator AQF ll & lll template
LLN Indicator AQF lV template
LLN Trainer guidelines
Reasonable adjustment InfoSheet

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4. TRAINING SYSTEM
Business process step 4: Deliver training
Objective
Qualified personnel engage learners in industry focused training.
Employability skills Professional development record template Employability skills
Trainer competencies Trainer assessor observation template Trainer competencies
Trainer development Unit/session plan template Trainer development
Trainer performance Vocational competencies template Trainer performance
Training facilities Training facilities
Training materials Training materials
Training Packages Training Packages
Unit plans Unit plans
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.
Assessment materials Assessment moderation template Assessment materials
Assessment methods Assessment tool development template Assessment methods
Assessor competence Assessment validation template Assessor competence
Assessor development Assessor guidelines Assessor development
Assessor induction Performance criteria exemplar Assessor induction
Assessor performance Performance criteria template Assessor performance
Developing assessment Professional development record template Developing assessment
Exemplars RPL application template Exemplars
Marking guides Trainer assessor observation template Marking guides
Moderation Vocational competencies template Moderation
RPL RPL
Validating assessment Validating assessment

6. RECORDS SYSTEM
Business process step 6: Record participation, progress and results
Objective
System wide records management processes are transparent, efficient and effective.
Archive and retrieval AQF handbook 2007 extract Archive and retrieval
Attendance records Training record template Attendance records
Certification register Certification register
Communications management Communications
Completion procedure management
Electronic mail Completion procedure
Enrolment forms Electronic mail
Financial records Enrolment forms
Learner records Financial records
Records security Learner records
Retention of records Records security
RTO documentation Retention of records
Staff records RTO documentation
T&A documents: completed Staff records
Testamurs T&A documents: completed
Training records Testamurs
Version control Training records
Version control
7. QUALITY SYSTEM
Business process step 7: Review and improve quality processes
Objective
Products, services, processes and organisational performance are systematically reviewed and improved.
Agenda – Managing body meeting template Calendar dates
Completion data Agenda – Quality group meeting template Completion data
Continuous improvement Annual schedule template Continuous improvement
Governance: Managing body Competency completion chart template Governance
Improvements and comments Feedback survey employer template Improvements and
Meetings: Quality system Feedback survey learner template comments
Monitoring Feedback survey workplace personnel Meetings: Quality system
Organisational capability template Monitoring
Performance summary Framework Deployment Strategy Organisational capability
Quality docs: completed Framework Quality Approach Performance summary
Quality group Framework Self Assess Inst. SAI Quality docs: completed
Quality indicators Minutes template Quality group
RTO Quality Framework Performance summary template Quality indicators
RTO Online Risk instrument generic template RTO Quality Framework
Reviews RTO Online
Risk management Reviews
Satisfaction surveys Risk management
Satisfaction surveys

MANAGEMENT SYSTEMS AND ADRI CYCLE
Approach: Thinking and planning [A]

How this is embedded into organisational processes:
• A documented approach
• A Business process
• Seven management systems
• Quality Group
• Strategic plan
Deployment: Implementing and monitoring [D]

• Calendar of key dates

• Key procedures
• Key documents
• Monitoring checklists
• Quality system induction
• Staff compliance check
Results: Reviewing and evaluating [R]

• Performance summary
• Competency completion data
• Employer surveys
• Learner surveys
• Quality review meetings
• Staff feedback
Improvements: Learning and adapting [I]

• Self assessment
• Comments log
• Improvements register

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: Leadership

 Strategic plan and Performance summary from previous year
 RTO management meeting minutes
 Quality Group meeting minutes
 RTO Quality Framework Self Assessment results
 Alliances, partnerships and networks information
 Examples of innovative approach to a business priority
Result Area 2: Learning and assessment

 Analysis of attendance records
 Analysis of learner anecdotal notes
 Annual competency completion data
 Assessment validation
 Employer questionnaire
 Learner questionnaire
 Training program reviews
 Workplace personnel feedback
 Participation in industry consultation processes
Result Area 3: People development

 Annual staff survey
 Analysis of staff performance reviews
 Analysis of staff professional development registers
 Analysis of Trainer and Assessor observation reports
 An organisation wide professional development strategy
Result Area 4: Relationship management

 Analysis of complaints and appeals
 Analysis of learner anecdotal notes
 Employer questionnaire
 Learner questionnaire
 Workplace personnel feedback
Result Area 5: Integrated information systems

 Annual budget
 Annual financial results
 Quality checks on management systems
 Risk management results
 Improvements register

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 produce 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 Competency completion data

Annual Performance summary
Strategic plan
Managing Body meeting
February Business system Quality Group meeting

Conditions of Registration risk check
March
April Training system

Assessment system
May
Quality Group meeting
June Client engagement system
Client services system
July Managing Body meeting
August
Quality system
September Records system
Self assessment
October Quality Group meeting
November
Collate Completion data
December Complete Performance summary
Complete Strategic plan

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.
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

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 Procedure followed

Improvements register Client services system
Review outcome Complaint recorded

Quality group minutes 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

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. Therefore, 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 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 Business process steps 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 seven steps
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 quality criterion.
Non compliant Compliant Excellent practice
0 1-4 5 6-9 10 Rating

No evidence of advance Clients are provided with
Increasing
Well articulated marketing

evidence Some
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.

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 2

Accurate information on services is provided to clients 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: 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.

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 7
There are demonstrated improvements in training and assessment 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 1

Learner profile is clearly articulated as part of TAS 1
Human and physical resources are specified in TAS 1
TAS is clearly articulated and meets Training Package requirements 1
TAS is monitored and improved 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 4

Resources specified in T&A strategy are used by learners 4
Improvements made in staff, facilities, equipment and training and assessment materials 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 4

Trainer supervision arrangements are effective 4
Trainers continuously develop their competencies 4
Assessor competence is established and verified 5
Assessors continuously develop their competencies 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 5

Assessment is consistent with T&A strategy 5
Assessment is valid, reliable, flexible and fair 5
Assessment is to workplace performance standard 5
Judgements against same competency standards are consistent 5
Judgement is made on basis of sufficient, valid, authentic and current evidence 5
Improvements made in assessment systems, processes, tools and practices 5

STANDARD 2
The Registered Training Organisation adheres to principles of access and equity and
maximises outcomes for its clients
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 7
There are demonstrated improvements in client services 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 2

Accurate information on services is provided to clients 2
Improvements made in client information 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 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
2.4 Individual needs of learners

Learners receive training, assessment and support services that meet their individual needs.
Learner needs are systematically assessed 3

Learners have access to relevant learning support services 3
Support services are consistent with T&A strategies 3
Training, assessment and support services are monitored 3
Improvements made in training, assessment and support services 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 3

Participation data is systematically collected, recorded and stored 6
Progress data is systematically collected, recorded and stored 6
Records management practices are monitored 6
Improvements made in records management practices 6
2.6 Complaints and appeals

Complaints and appeals are addressed efficiently and effectively.
Complaints and appeals are managed effectively 3

Complaints and appeals are resolved satisfactorily 3
Complaints and appeals are monitored 3
Improvements made on basis of complaints and appeals 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
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 7

Management systems are focused on providing quality services 1
Management systems are appropriate for size and scope of operations 1
Management systems are consistently implemented across operations 1
Management systems are monitored systematically 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 1

Partner organisation’s T&A services are monitored and improved 1
3.3 Accuracy and integrity of records

The RTO manages records to ensure their accuracy and integrity.
Records management system is in place 6

AQTF compliance records are maintained 6
Staff meet their responsibilities for records management 6
Records management system is monitored 6
Improvements made in records management system 6

CONDITIONS OF REGISTRATION
System monitoring
that covers this Condition
1. Governance Quality system

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.
2. Interactions with the registering body Quality system

The RTO’s chief executive must ensure that the RTO cooperates with its registering
body:
• 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 Business system

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.
4. Insurance Business system

The RTO must hold insurance for public liability throughout its registration period.
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.
6. Certification and issuing of qualifications and Statements of Attainment Records system

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:
• 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 Client services system

The RTO must recognise the AQF qualifications and statements of attainment issued
by any other RTO.
8. Accuracy and integrity of marketing Client engagement system

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.
9. Transition to Training Packages / expiry of accredited courses Training system

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.


Framework Master Quality Approach

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Framework Master Quality Approach

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QUALITY APPROACH

A quality system incorporating

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 system and ADRI cycle 13

Principle 5: AQTF standards provide performance indicators for measuring quality

Quality criteria by AQTF standard 19

©ChalkPort Pty Ltd 2007

RTO Quality Framework™: Quality Approach

continuously improve operations to achieve quality outcomes

It can be applied to the operations of any RTO regardless of size or scope.

Defining a quality system

RTO Quality Framework: The philosophy

RTO Quality Framework: The framework

RTO Quality Framework: The methodology

RTO Quality Framework: The set of tools

RTO Quality Framework™: Quality Approach

Quality approach [A]

Self Assessment Instrument

Improvements Improvements [I]

RTO Quality Framework™: Quality Approach

Principle 1: An organisation is a system

Systems theory fundamentals

The effectiveness of this business process is measured by the outcomes.

• Human capital: people skills and knowledge

RTO Quality Framework™: Quality Approach

Principle 2: Continuous improvement is a cycle

Defining continuous improvement

A process for continually improving

RTO Quality Framework™: Quality Approach

Principle 3: An RTO has a unique Business process

1. Plan business direction and systems

3. Provide client services

6. Record participation, progress and results

7. Review and improve quality processes

RTO Quality Framework™: Quality Approach

Principle 4: Management systems provide support for the Business process

Management system tools

RTO Quality Framework™: Quality Approach

Contents Practices to be monitored

RTO Quality Framework™: Quality Approach

Contents Practices to be monitored

3. CLIENT SERVICES SYSTEM

Contents Practices to be monitored

RTO Quality Framework™: Quality Approach

Contents Practices to be monitored

Contents Practices to be monitored

RTO Quality Framework™: Quality Approach

Contents Practices to be monitored

Contents Practices to be monitored

RTO Quality Framework™: Quality Approach

Approach: Thinking and planning [A]

Deployment: Implementing and monitoring [D]

• Calendar of key dates

Results: Reviewing and evaluating [R]

Improvements: Learning and adapting [I]

RTO Quality Framework™: Quality Approach

Planning: Strategic plan

Management must hold a strategic planning meeting once a year, preferably