Feature Article: Six steps for mastering compliance mapping for RTOs

Easy ways to determine if a trainer or assessor is vocationally competent

Compliance mapping is the process of identifying and mapping regulatory requirements to internal policies and procedures and other risk controls. This can help RTOs ensure that they are meeting all necessary compliance requirements. Compliance mapping is a systematic approach to ensure alignment between position descriptions, work practices, and regulatory requirements.

This is an important process because it enables RTOs to:

Ensure all responsibilities are clearly defined and communicated to staff
Identify gaps in controls that need to be addressed
Improve transparency, leading to greater accountability and performance.

Compliance mapping enables a visual representation of comfort (assurance) activities as they apply to a specific set of risks or compliance requirements. It can also identify new risks and their potential impact on your business. The mapping process helps RTOs identify areas where they need to improve their compliance practices. However, it can be daunting, given the multitude of standards, regulations, and guidelines that need to be considered. Here’s how to approach it:

Create mapping matrix:

Finally, integrate all of the above information into a ‘mapping matrix.’ This matrix is a visual representation of your compliance mappiUnderstanding the requirements:

Start by conducting a comprehensive review of all relevant compliance requirements. This will involve detailed scrutiny of the Standards for RTOs (SRTOs) ASQA’s guidelines, among other regulatory frameworks and contractual obligations. Be sure to keep abreast of any changes or updates to these requirements. Create a documented summary of all the compliance obligations relevant to your RTO. It should be categorised by operational areas to make it easier to refer back to when you begin the mapping process.

Analyse position descriptions and work practices:

Conduct a thorough evaluation of each role within your organisation, as defined by their position descriptions. Take note of all the tasks, responsibilities, and skills associated with each role. It’s also crucial to understand the work practices in place. Speak with employees to get a clear understanding of their daily operations, beyond what’s written on paper. Collecting this information will help you create a detailed and accurate picture of how work is carried out in your RTO.

Identify points of alignment:

The next step is to compare your operational practices with the compliance requirements. Identify where tasks and responsibilities listed in the position descriptions align with specific regulatory obligations. For instance, a standard might stipulate that RTOs must conduct annual internal audits. If this responsibility is already assigned to a role in your organisation, mark this as a point of alignment in your mapping process. Make sure you document all these instances of alignment comprehensively.

Pinpoint gaps:

The information you’ve gathered and compared should enable you to perform a gap analysis. This involves identifying where your RTO’s current work practices and roles do not meet or address certain compliance requirements. These gaps can exist in several forms: it might be a task that no one is currently responsible for, a skill that’s missing from a role that requires it, or a compliance requirement that hasn’t been adequately addressed in your RTOs controls. Thoroughly document these gaps, as they’ll need to be referred to in your mapping matrix.

ng efforts. It outlines the regulatory requirements, links them to relevant controls, and indicates areas where gaps exist. The matrix should have columns for each operational area, rows for each regulatory requirement, and cells filled with corresponding controls. This format allows for an at-a-glance understanding of your RTO’s compliance status and offers a clear path for rectifying non-compliance issues.

Mapping tools:

Several IT platforms and software solutions have been developed to aid organisations in compliance mapping offering their own unique features. These tools simplify the process and help maintain accurate and up-to-date compliance records.

References:

https://www.asqa.gov.au/working-together/consultation-self-assurance

https://www.asqa.gov.au/resources/presentations/webinar-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/resources/other/consultation-paper-working-together-towards-effective-self-assurance

June 9, 2023

Feature Article: A guide to business continuity and resilience for RTOs

Five key ways to evidence industry currency for trainers and assessors

It’s essential to have a plan in place for any unexpected events, especially for those RTOs with lean governance structures or no immediate successors for owners or directors. Having a strategy for managing business continuity is a critical part of your RTOs governance framework and can help ensure your RTO remains compliant with ASQA’s self-assurance model, even in the face of unexpected changes or crises. This planning and preparation contributes to building a more resilient and sustainable business. Here is some specific advice and actionable strategies to help RTOs address business continuity planning:

Develop a business continuity plan (BCP):

This should outline the procedures and steps that need to be taken in the event of an unplanned absence of the CEO or owner. The plan should include details about who will assume leadership roles, how to communicate the situation to staff and stakeholders, and the necessary steps to ensure the continuity of operations.

Designate an acting CEO/owner:

Identify a person within the organisation who can assume the CEO’s or owner’s duties in their absence. This individual should be familiar with all aspects of the business, including the details of the ASQA’s self-assurance model.

Crisis management procedure:

Develop a comprehensive crisis management procedure that includes clear guidelines on how to manage different types of crises, including an unplanned absence of the CEO or owner. It should cover communication strategies, roles and responsibilities, and steps to ensure the continuation of operations.

Cross-training:

Cross-train your staff in different roles. This will help ensure that there are multiple people within the organisation who are capable of stepping into different roles if necessary.

Implement robust documentation practices:

Ensure all processes and procedures are well-documented and easily accessible. Your RTOs businesses vital records should be locatable by successors or caretakers in the absence of the CEO or owner. This will make it easier for someone to step in and understand what needs to be done and prevent any risks to your licence to operate.

Regularly review and update plans:

Business continuity and crisis management plans should not be static. Regularly review and update these plans to reflect any changes in your organisation or the broader regulatory environment.

Invest in a succession plan:

Although this may not be immediately actionable, it’s a good long-term strategy. Identify potential successors and invest in their development. This not only ensures leadership continuity but also builds a strong leadership pipeline for the future.

Engage with a consultant or advisor:

If you’re uncertain about how to prepare for an unplanned absence, consider engaging with a consultant or advisor who specialises in business continuity and crisis management. They can provide expert advice and guidance tailored to your specific circumstances.

References:

https://www.asqa.gov.au/working-together/consultation-self-assurance

https://www.asqa.gov.au/resources/presentations/webinar-working-together-towards-effective-self-assurance

https://www.asqa.gov.au/resources/other/consultation-paper-working-together-towards-effective-self-assurance

May 5, 2023

Feature Article: Five ways collaborating with industry experts that ensures trainers maintain current industry skills

China's vocational training system is starting to crumble

RTOs are challenged with ensuring trainers and assessors possess up-to-date industry skills and knowledge due to fast-paced advancements, particularly with technology. RTO management should be well aware that maintaining current expertise is vital for delivering high-quality, relevant VET courses that prepare students for the workforce. One effective approach to achieving this is by collaborating with industry experts, who can provide invaluable insights and guidance in a rapidly evolving landscape. The following information suggests five ways in which RTOs can collaborate with industry experts to ensure that trainers and assessors stay ahead of the curve, keeping pace with industry changes and maintaining the quality of the VET courses they deliver.

Inviting guest lecturers and speakers:

By inviting industry experts to deliver guest lectures or participate in panel discussions at RTO events, you can expose your trainers and assessors to current trends, technologies, and best practices in their respective fields. These guest sessions not only enrich the learning experience but also foster networking opportunities and open the door to future collaborations with industry professionals.

Participating in industry-sponsored workshops and seminars:

Encourage your trainers and assessors to attend industry-sponsored workshops and seminars, which provide targeted, hands-on learning experiences focused on specific skills and techniques. These events allow your staff to gain practical insights into the latest developments in their industry sectors, ensuring they remain well-versed in the most recent advancements and industry standards.

Facilitating industry secondments and job shadowing:

Arrange for trainers and assessors to undertake short-term secondments or job-shadowing opportunities within industry partner organisations. This hands-on experience enables them to gain a deeper understanding of current industry practices and challenges, which they can then incorporate into their training and assessment strategies and practices.

Collaborating on industry projects and research initiatives:

Partner with industry experts to develop joint research projects or initiatives that address current industry challenges or explore emerging trends. Involving trainers and assessors in these projects provides them with firsthand knowledge of the latest developments in their industry sectors and helps them stay current with the evolving needs of the industries they serve.

Establishing professional development programs with industry input:

Develop tailored professional development programs for your trainers and assessors with input from industry experts. By consulting with these professionals, you can ensure that your professional development offerings are relevant, timely, and aligned with industry needs, ultimately benefiting your staff and the students they teach. This commitment to continuous professional development not only enhances the quality of the VET courses your RTO provides but also boosts your reputation as a training provider that is dedicated to delivering innovative, industry-relevant training programs.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

https://www.asqa.gov.au/rtos/users-guide-standards-rtos-2015/chapter-4-training-and-assessment

April 21, 2023

Feature Article: How using industry advisory committees can benefit RTOs

In the ever-changing landscape of the VET sector, training providers face the ongoing challenge of ensuring that their VET courses remain relevant, engaging, and compliant with regulatory obligations. Leaders of both public and private RTOs know that maintaining strong connections with industry partners is crucial to success. However, many RTOs struggle to fully harness the potential of these connections, leading to a disconnect between the VET courses they offer and the skills needed in the workforce. By forming and leveraging Industry Advisory Committees (IACs), RTOs can bridge this gap, ensuring the delivery of industry-aligned, future-proof education that prepares students for work and strengthens the reputation of your organisation. Here are some potential benefits RTOs can realise by using IACs to gather industry feedback on their VET courses.

Ensuring Industry-Relevant VET Courses:

One of the most significant benefits of IACs is their ability to guide RTOs in the development of their VET courses. Comprising experts and representatives from various sectors, these committees provide invaluable insights into the latest trends, technologies, and skill requirements. By actively engaging with IACs, RTOs can continually refine their courses to reflect the current and future needs of the industries they serve, thereby ensuring compliance with relevant standards and equipping students with the practical knowledge and skills needed for work.

Strengthening Industry Partnerships and Collaboration

IACs not only provide RTOs with valuable insights into industry needs but also serve as a platform for building strong, lasting partnerships with key stakeholders. Through ongoing collaboration with IAC members, RTOs can forge strategic alliances with businesses, industry associations, and other organisations, which can lead to the development of mutually beneficial initiatives such as work-integrated learning opportunities, joint projects, and even customised training programs tailored to the specific needs of industry partners.

Enhancing RTO Reputation and Credibility:

The active involvement of industry experts and representatives in the decision-making processes of RTOs sends a strong message to students, employers, and community about your commitment to delivering industry-relevant VET courses. This not only enhances your RTO’s reputation but also increases your credibility in the eyes of potential students and industry partners, as they can trust that your training programs are informed by real-world insights and designed to meet the evolving needs of the workforce. By embracing the use of IACs, RTOs can unlock numerous benefits, including industry-relevant VET courses, strengthened partnerships, and enhanced credibility. In an increasingly competitive VET sector, RTOs should harness the full potential of industry advisory committees to deliver education that results in quality outcomes for students and industry.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

https://www.asqa.gov.au/rtos/users-guide-standards-rtos-2015/chapter-4-training-and-assessment

April 14, 2023

Feature Article: Three key strategies for RTOs to enhance collaboration with industry

RTOs face a critical challenge addressing the ever-widening gap between the skills demanded by industry and relevance of their VET courses. Senior leaders of RTOs are well aware of the constant struggle to ensure that their organisations programs meet not only the regulatory requirements set by ASQA but also the ever-evolving expectations of industry stakeholders. RTOs need to deliver practical, relevant, and future-proof education that gives students a competitive edge in the job market. The following suggestions explore three key strategies RTOs can implement to forge stronger connections with industry partners, ensuring their VET courses remain relevant, engaging, and aligned with the changing needs of employers and businesses.

Establish industry advisory committees:

Creating Industry Advisory Committees (IAC) is a crucial step in fostering collaboration with industry partners. By including representatives from various sectors and occupations, RTOs can gain valuable insights into the latest trends and skill requirements, which can be used to inform training and assessment strategies and resource development. Engaging in ongoing dialogue with IAC’s will ensure that your VET courses are up-to-date and compliant with standards while preparing your students for the workplace.

Offer tailored work-integrated learning experiences:

Work-integrated learning experiences such as vocational placement, work experience, and industry projects can provide students with the practical skills and knowledge they need to be employable. Collaborate with industry partners to develop tailored work-integrated learning programs that are aligned with your training and assessment strategies and industry needs. This not only gives students a competitive advantage but also builds trust and credibility with industry partners, solidifying your reputation as an RTO that delivers job-ready graduates.

Facilitate ongoing professional development opportunities for trainers and assessors:

To ensure that your VET courses are industry-relevant, it’s crucial that your trainers and assessors stay up to date with the latest industry changes and trends. Encourage your staff to participate in professional development opportunities such as industry conferences, workshops, and seminars, and establish partnerships with industry experts for guest lectures and training sessions. By investing in the professional growth of your trainers and assessors, you can ensure that the training you provide is informed by real-world experiences, making it more valuable to both students and employers alike.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

https://www.asqa.gov.au/rtos/users-guide-standards-rtos-2015/chapter-4-training-and-assessment

March 31, 2023April 1, 2023

Feature Article: Why academic planning doesn’t mean perfection in your RTO

One major problem faced by many RTOs is the challenge of achieving perfection in academic planning due to the constant pressure to deliver high-quality, industry-relevant VET courses.

In VET in Australia it is important to have well-structured and effective training programs that align with industry standards and regulations and meet the needs and expectations of learners. However, striving for perfection in academic planning can have negative impacts on student outcomes and your RTOs efficiency and profitability. Instead, RTO managers should focus on striking the optimal balance between excellence, flexibility, and efficiency.

In this article, we share some insights and best practices for RTO managers to consider that aims to achieve a balanced approach to academic planning focusing on strategic decision-making, embracing agile programming, and adopting a holistic perspective on quality in training and assessment.

Decision making:

Academic planning involves making decisions and trade-offs based on available resources, time constraints, and compliance with regulatory requirements. This means that it is not always possible to include every aspect or feature that may be desirable or ideal. By striving for perfection, RTO managers may end up overloading their programs with too much content or spending too much time and resources on unnecessary features, which can detract from the overall effectiveness of the training. RTOs should employ strategic prioritisation, concentrating on key learning outcomes and the most impactful program features. A pragmatic approach will enable your RTO to design and deliver VET courses that effectively address students’ needs while maintaining operational efficiency.

Inflexible programming:

Another impact of striving for perfection in academic planning is that it can lead to a lack of flexibility and adaptability. As the needs and goals of students and the industry landscape change over time, delivery plans may need to be modified or updated in order to remain relevant and effective. By focusing too much on achieving perfection, RTOs may be less willing to make necessary changes and adapt to new circumstances, which can negatively impact student outcomes and business efficiency. Regularly reviewing and updating course materials, incorporating industry feedback, and adapting to changing student demographics are essential for ensuring that your VET courses remain relevant, engaging, and effective. An agile approach to academic planning ensures that RTOs meet customer expectations and maintain a competitive edge.

Quality considerations:

It is important to remember that academic planning is only one part of the equation when it comes to delivering high quality VET courses. Other factors, such as the capability of trainers, quality of learning and assessment materials, the effectiveness of assessment and feedback processes, and the overall student experience, can also have a significant impact on the success of your RTOs training and assessment. By striving for perfection in academic planning at the expense of these other important factors, RTOs risk undermining the overall quality and effectiveness of their training programs.

To enhance the quality of your RTOs VET courses, managers should:

Invest in ongoing professional development for trainers and assessors, ensuring their currency remains aligned with industry trends and best practices
Implement a robust assessment system that drives continuous improvement and facilitates student-centric outcomes
Cultivate an inclusive and supportive learning environment that caters to diverse learning needs and fosters student engagement

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

https://www.asqa.gov.au/rtos/users-guide-standards-rtos-2015/chapter-4-training-and-assessment

March 17, 2023

Feature Article: An RTO compliance managers guide to leadership

One major problem faced by many RTO compliance managers is the challenge of effectively leading their team and managing compliance within the organisation. Barriers that are often faced by managers include balancing multiple priorities, resistance to change and scarce resources. In order to successfully navigate this role, it is important to focus on a range of key areas. Here are six key focus areas for RTO compliance managers to consider in using a holistic approach to compliance management:

Managing a compliance team:

As a compliance manager, you are responsible for leading and supporting a team of quality professionals. This includes setting clear expectations and goals, providing training and development opportunities, and promoting a culture of continuous learning and improvement. The most critical strategies to employ with your team include clear communication, training and development, empowerment and authority, goal setting and performance measurement, collaboration and teamwork, recognition and reward, adaptability and flexibility, supportive leadership, continuous improvement and work-life balance.

Managing up with senior management:

It is important to effectively communicate with and report to senior management in order to ensure that compliance and quality efforts are aligned with the overall goals and priorities your RTO. This may require compliance staff to present data and reports, make recommendations, and seek support and resources as needed.

Ensuring compliance with legislation and standards:

A key focus area for compliance managers is ensuring that the RTO is compliant with all relevant industry regulations and standards. This may involve staying up to date on changes and updates, implementing policies and procedures, and conducting audits and reviews. Engage all employees in continuous improvement efforts and encourage a culture of continuous learning and improvement

Leading continuous improvement efforts:

As a compliance manager, you should be proactive in identifying areas for improvement and implementing changes to enhance quality and compliance in your VET courses. This may involve collecting and analysing feedback from stakeholders, implementing new policies and procedures, and engaging all employees in continuous improvement efforts.

Building and maintaining relationships:

Effective leadership in an RTO also involves building and maintaining relationships with internal and external stakeholders, including employees, students, industry partners, and community. This may involve collaborating with other teams and departments, seeking feedback and input, and building trust and credibility.

Leading by example:

As a compliance manager, it is important to model good quality practices and behaviours, and to hold yourself and others accountable for meeting quality. Overall, leading as a compliance manager in an RTO can be a complex and demanding role, requiring you to balance a range of responsibilities and priorities in order to effective.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

March 3, 2023

Feature Article: Who is responsible for quality and compliance in your RTO?

RTOs who leave compliance and quality functions up to a single employee or team can put the organization at risk of non-compliances and breaches, lead to a lack of engagement and buy-in from other employees, and undermine transparency and accountability. Rather, it is the responsibility of all employees to adhere to required standards, legislation and regulations and to follow your RTOs policies and procedures so all contribute to a culture of quality and compliance. In any organisation, ensuring quality and compliance is a shared responsibility of all employees, from the CEO to front-line staff. However, it is the role of senior leaders, including the CEO, to create and maintain a strong quality culture within the business and RTOs are no exception. Here are some suggestions how setting a positive example, communicating expectations and the importance of quality, and allocating necessary resources can ensure senior leaders create a strong quality culture that is supported by all employees.

Continuous improvement:

A strong quality culture is one in which all employees are committed to continuous improvement and the delivery of high-quality products or services. This requires the active engagement and support of senior leaders, who must communicate the importance of quality and compliance to all employees and establish clear expectations and policies. A well-developed continuous improvement culture can help RTOs identify and address areas for improvement before they become major issues. By regularly collecting and analysing data on student outcomes, staff performance, and other key metrics, RTOs can identify trends and areas for improvement early on. This can help them take proactive steps to address these issues before they become a larger problem, ultimately improving the quality of their training programs and the outcomes for students.

Modelling the way:

One key way in which senior leaders can create a strong quality culture is by setting a positive example. This means modelling good quality practices and behaviours and holding themselves and others accountable for meeting quality standards. Senior leaders can model the way by being open to feedback, investing in their own professional development, and taking calculated risks. By demonstrating these behaviours, they can create a culture of continuous improvement that inspires their staff to strive for excellence in everything they do. Senior leaders in RTOs can also benefit greatly from actively engaging and supporting a culture of continuous improvement. By fostering a culture of excellence, staying ahead of industry standards, empowering staff members, and proactively addressing areas for improvement, RTOs can improve their performance, increase their competitiveness, and ultimately achieve greater success in the marketplace.

Clear communication:

Another important aspect of creating a strong quality culture is communication. Senior leaders must clearly communicate their expectations and the importance of quality and compliance to all employees and ensure that there are channels in place for employees to report any concerns or issues. Clear communication of expectations and the importance of quality and compliance is crucial for senior leaders in RTOs to ensure that their organisation operates effectively and efficiently. When senior leaders clearly communicate their expectations, staff members have a better understanding of what is expected of them and are more likely to work towards those goals. Additionally, communicating the importance of quality and compliance helps staff members understand the role they play in ensuring the organization operates within regulatory requirements. Clear communication of expectations and the importance of quality and compliance can also help senior leaders mitigate risks and non-compliance. When staff members understand the importance of compliance and the potential consequences of non-compliance, they are more likely to take the necessary steps to ensure that the organization operates within regulatory requirements.

Provide resources and support:

In addition to setting a positive example and effective communication, senior leaders must also allocate the necessary resources and support to ensure quality and compliance within the organization. This may include providing training and development opportunities for employees, as well as investing in technology and other tools to support quality practices. By allocating resources and support senior leaders can help ensure that the organization operates within regulatory requirements. This can involve investing in professional development programs, hiring additional staff members to support compliance efforts, or partnering with external organisations to ensure that staff are up to date with regulatory requirements and industry developments. This can help prevent non-compliances and breaches, legal issues, and reputational damage.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

February 10, 2023

Feature Article: Why compliance does not equal quality in your RTO’s training and assessment

Compliance does not equal quality and is the minimum benchmark as far as your RTO achieving quality outcomes for students. Compliance is what RTOs have to do for legal and ethical reasons, it does not guarantee that the training and assessment you provide is of high quality. Quality refers to the degree to which your VET courses meet or exceed the expectations of students and meet the requirements of the relevant industry or communities. As an RTO it is important to ensure that you are providing high-quality training and assessment to your students. While compliance with regulatory requirements, legislative obligations and standards is mandatory and a business requirement, it is not a substitute for quality. RTOs can still provide poor-quality training and assessment due to a lack of capable trainers and assessors and outdated or inadequate resources. The following examples suggest ways RTOs can ensure quality outcomes for students and industry in delivery of VET courses.

Employ current trainers and assessors with appropriate credentials and experience:

RTO trainers and assessors are dual professionals in both VET and their specific industry sector. Ensuring that your VET practitioners are knowledgeable and skilled in their field is crucial for delivering high-quality training and assessment. Make sure to recruit educators who have relevant industry experience and qualifications and can provide the records to evidence competency and currency the meet the requirements of the SRTOs 2015.

Use current and relevant resources:

To ensure that students are receiving training and assessment that is up-to-date and relevant to their industry or occupation, it is important to use learning and assessment materials that are current, and your RTOs simulated environments reflect realistic workplaces and industry settings. Your RTO should obtain industry feedback from employers and other stakeholders that confirms your resources are sufficient and relevant. This feedback should inform your training and assessment strategies and practices as well as your academic planning processes.

Monitor and evaluate student progress:

To deliver high-quality training and assessment, it is important to provide students with the support they need to succeed. This includes things like access to technology, learning materials, and support services. RTOs should have mechanisms in place to effectively monitor and evaluate student progress. By regularly monitoring and evaluating student progress you can help identify areas where students may be struggling and allow your trainers to adjust their teaching approach or provide additional support as needed.

References:

https://www.asqa.gov.au/how-we-regulate/self-assurance/building-shared-understanding-self-assurance

https://www.dewr.gov.au/skills-reform/skills-reform-overview/quality-reforms

https://www.asqa.gov.au/rtos/focus-compliance

https://www.asqa.gov.au/rto/responsibilities

October 21, 2022

Feature Article: What is a Quality Management System and why it is important for your RTOs self-assurance framework

A good Quality Management System (QMS) provides a centralised mechanism for managing an organisations policies and procedures and is an example of a self-assurance system that sits within your quality framework. Your quality documents are a collection of processes that outline how you do business and meet your customers’ expectations. A core function of a QMS is to manage its document control functions. ASQA expects RTOs to have self-assurance systems and processes in place to systematically monitor, evaluate and continually improve performance and compliance with the SRTOS 2015. The following information offers guidance for RTOs in establishing and updating policies and procedures and the overarching framework they are part of.

Quality Management System Framework:

The most commonly known framework used is ISO 9001 but unless your RTO is ISO accredited there is no need to create a QMS that reflects the requirements of these standards. At a minimum your QMS should meet what is required of the VET Quality Framework and any other legislative requirements or regulatory obligations you must adhere to. The main components of your system should incorporate your quality manual or policies and procedures; your organisational structure; your document control processes and your internal audit / continuous improvement processes.

Quality Documents:

In addition to policies and procedures your quality documents can consist of but are not limited to work instructions; guidelines; templates; plans and forms. Quality documents such as policies and procedures are usually approved by document owners who are typically in RTO management positions. Other staff can contribute to the development of the documents and provide feedback on the content as it is important to ensure buy in by staff who are going to have to adhere to processes or use the tools.

Document Control Procedure:

Your RTO should have a procedure that sets out the processes for managing your quality documents or your policy and procedure library. This includes how you categorise the documents; the naming conventions used and numbering systems assigned to documents. It should also provide instruction on version control and also detail how often the documents are reviewed and updated to ensure they are fit for purpose. Controlled documents are needed for regulatory compliance purposes and are critical in ensuring your RTOs meets all legislative requirements or regulatory obligations.

Setting up your QMS:

EDministrate can help your organisation design, create and implement a QMS and create an efficient and effective documentation system or help you update your existing QMS to ensure it is fit for purpose therefore ensuring your RTO delivers quality products /services to your customers. Our Compliance Plan and Compliance Plan Matrix Template provides a reference to critical quality documents in your business that you can use to map how your policies and procedures ensure you meet all RTO compliance obligations.

Get expertise:

Retain a Compliance Advisor from EDministrate on a monthly basis to support your RTOs re-registration and other quality projects (think fractional Compliance Manager)
Contract an Internal Auditor to review your self-assurance systems. EDministrate can provide you with an independent, unbiased perspective and valuable data on your RTOs compliance status that will tell you if you are meeting your regulatory obligations and contractual requirements
Book a 1:1 Strategy Session with EDministrate to work through your quality and compliance problems and challenges so we can develop solutions and actionable strategies for you.

References:

https://quality.eqms.co.uk/blog/types-of-quality-management-systems

https://en.wikipedia.org/wiki/Quality_management_system

https://www.cognidox.com/blog/why-not-just-use-google-drive-as-a-document-management-system

https://asq.org/quality-resources/quality-management-system

https://www.asqa.gov.au/standards/training-assessment/clauses-1.1-to-1.4-2.2

https://www.asqa.gov.au/how-we-regulate/self-assurance

Create mapping matrix:

Analyse position descriptions and work practices:

Identify points of alignment:

Pinpoint gaps:

Mapping tools:

Other feature articles:

References:

Develop a business continuity plan (BCP):

Designate an acting CEO/owner:

Crisis management procedure:

Cross-training:

Implement robust documentation practices:

Regularly review and update plans:

Invest in a succession plan:

Engage with a consultant or advisor:

Other feature articles:

References:

Inviting guest lecturers and speakers:

Participating in industry-sponsored workshops and seminars:

Facilitating industry secondments and job shadowing:

Collaborating on industry projects and research initiatives:

Establishing professional development programs with industry input:

Other feature articles:

References:

Ensuring Industry-Relevant VET Courses:

Strengthening Industry Partnerships and Collaboration

Enhancing RTO Reputation and Credibility:

Other feature articles:

References:

Establish industry advisory committees:

Offer tailored work-integrated learning experiences:

Facilitate ongoing professional development opportunities for trainers and assessors:

Other feature articles:

References:

Decision making:

Inflexible programming:

Quality considerations:

Other feature articles:

References:

Managing a compliance team:

Managing up with senior management:

Ensuring compliance with legislation and standards:

Leading continuous improvement efforts:

Building and maintaining relationships:

Leading by example:

Other feature articles:

References:

Continuous improvement:

Modelling the way:

Clear communication:

Provide resources and support:

Other feature articles:

References:

Employ current trainers and assessors with appropriate credentials and experience:

Use current and relevant resources:

Monitor and evaluate student progress:

Other feature articles:

References:

Quality Management System Framework:

Quality Documents:

Document Control Procedure:

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