CONTENTS: pROCEDURES
1.
MANAGEMENT REVIEW 4
2.
QUALITY OBJECTIVES 8
3.
QUALITY PLANNING 10
4.
CONTROL OF DOCUMENTS AND DATA 11
5.
PURCHASING 14
6.
RISK MANAGEMENT 16
7.
IMPROVEMENTS 17
8.
CONTROL OF RECORDS 19
9.
INTERNAL AUDITING 22
10.
HUMAN RESOURCES 24
11.
MEETINGS AND SURVEYS 41
12.
COURSE ADMISSIONS AND ENROLMENT 43
13.
TRAINING COURSE DELIVERY 45
14.
ASSESSMENT 50
15.
EVALUATION 60
16.
FACILITIES 61
17.
COMPLAINTS AND APPEALS 63
18.
WORKPLACE HEALTH AND SAFETY 65
19.
FEES AND REFUNDS / CANCELLATIONS 70
20.
STUDENT INFORMATION 72
21.
RECOGNITION OF PRIOR LEARNING 76
22.
NATIONAL RECOGNITION 79
23.
ISSUING OF QUALIFICATIONS 80
24.
ADMINISTRATION OF ISSUING QUALIFICATIONS 82
25.
ADVERTISING AND MARKETING 84
26.
FINANCIAL MANAGEMENT 85
27.
PARTNERSHIP AGREEMENTS 87
28.
MAINTAINING RTO STATUS & SCOPE OF REGISTRATION 91
PROCEDURE 1. MANAGEMENT
REVIEW
1. AIM
1.1 To
review the suitability and effectiveness of the quality management system.
2. PROCESS
2.1 MANAGEMENT
REVIEW MEETING
2.1.1 Management Review Meetings are held every six months
unless otherwise stated in the minutes of previous meetings.
The
main purpose of the review meetings is to review all items on the agenda and
also to ensure a full internal audit and review has been conducted across all
AQTF Standards. Members of the Management Review must ensure the audits have
been conducted across all standards at least once per year.
The
meeting must address the AQTF to ensure all standards are being addressed and
the organisation is compliant. Management must ensure internal audits and
reviews are carried out as per the procedure for internal audits and the schedule
for internal audits Form: 001A
Responsible
officer
2.1.2 Personnel attending Management Review Meetings include:
§
the Director of First Aid International,
§
a representative(s) from another RTO,
§
a client(s) serviced by First Aid International, and
§
other personnel as required.
2.1.3 Management Review Minutes are recorded and maintained
by the Director or delegate. Management Review Minutes include notes of the
discussions/review activities, including references to documents that are
tabled for review purposes.
2.1.4 The Director enters details of any action arising from
the meeting onto an Improvement Request. The focus of such actions should be
improvement in relation to services to customers, satisfaction of external
requirements, the quality management system and processes.
2.1.5 The
Management Reviews meeting may address the following Agenda items:
a)
Outstanding actions from the last Management Review
Meeting.
b)
Setting of Quality objectives and reviewing progress of
action plans.
c)
Results of audits, internal and/or external and
frequency of future internal audits
d)
Complaints/feedback
e)
Improvement Logs and Requests
f)
Frequency of Management Review Meetings
g)
Training
Requirements – for staff professional development
h)
Capabilities
and resources
i)
Trainee
Fee Management
j)
Assessment
k)
Human
Resource Management
l)
Physical
Resource Management
m)
Records
Management
n)
Training
Outcomes and Issue of Certification
o)
Program
Implementation
p)
Legislative
requirements
q)
New
technologies/products impacting on services
r)
Market
changes / new business
s)
General
business
t)
The
organisation meeting all AQTF Standards and remaining compliant with all
requirements.
2.1.6 The Director or nominee ensures the preparation of
information relating to the agenda items for Management Review.
Where applicable the review includes review of data
that indicates a trend. Typically this may include summaries of Course
Evaluations, Destination Surveys, Complaints, Refund Requests, Reports, etc.,
which would indicate improvement or deterioration of the system.
2.1.7 At the last Management Review meeting for each year, First
Aid International identifies, negotiates, plans and implements appropriate
learning and assessment strategies to meet the needs of its clients including
each of the following:
a First Aid International must develop and implement
strategies for training delivery and assessment for each Training Package
qualification and accredited course within our scope of registration.
b The assessment strategies must be developed
in consultation with enterprises/industry.
c The delivery and assessment strategies
should identify proposed target groups, delivery and assessment modes and
strategies, assessment validation processes and pathways.
d First Aid International must document the
strategies on application for registration and on extension of scope.
First Aid
International must validate its assessment strategies by:
i reviewing, comparing and evaluating the
assessment processes, tools and evidence contributing to judgements made by a
range of assessors against the same competency standards, at least annually;
and
ii documenting
any action taken to improve the quality and consistency of assessment.
First
Aid International must ensure that in developing, adapting or delivering
training and/or assessment products and services:
i methods used to identify learning needs,
and methods for designing training and assessment, are documented;
ii the requirements of the Training Package
or accredited course are met;
iii core
and elective units, as appropriate, are identified;
iv customisation meets the requirements
specified in the relevant Training Package or, for accredited courses, meets
the NTQC customisation policy;
v language, literacy and numeracy
requirements develop the learning capacity of the individual and are consistent
with the essential
requirements
for workplace performance specified in the relevant units of competency or
outcomes of accredited courses;
vi delivery modes and training and assessment
materials which meet the needs of a diverse range of clients are identified;
vii where assessment or training is conducted
in the workplace, First Aid International negotiates the delivery and
assessment strategy with the employer and learners; works with the employer to
integrate any on-the-job training and assessment; and schedules workplace
visits to monitor/review the training and assessment;
viii where an Apprenticeship/Traineeship
Training Contract is in place or being negotiated, individual Training Plans
are developed, documented, implemented and monitored for each apprentice or
trainee, encompassing all relevant off-the-job training and structured
workplace training; and
ix where assessment or training is conducted
on-line or by distance, First Aid International has effective strategies for
learner support, monitoring and assessment.
2.1.8 The Director maintains a file of the Management Review
Minutes within a Management Review Meeting file. Management Review Minutes are
circulated to attendees and any other staff, as necessary.
2.2 FOLLOW
UP
2.2.1 Improvement
Requests are processed as described in the Improvement Reporting Procedure.
2.3 COMMUNICATIONS
2.3.1 Following
each Management Review the Director will communicate with all staff regarding:
§
customers
needs and expectations and how well First Aid International is satisfying these
§
the
effectiveness of the quality management system in meeting these objectives
This communication will be written and/or verbal.
If written it will generally be communicated electronically and a ‘read
receipt’ will be generated and recorded by the administration manager.
2.3.2
Communication of general day-to-day business information
shall be carried out to ensure all relevant personnel are kept up to date with
any changes, updates or requirements etc that may impact on the daily functions
carried out for First
Aid International. The Director shall communicate any relevant information and
the communication will be written and/or
verbal. If written it will generally be communicated electronically and a
‘read receipt’ will be generated and recorded by the administration manager.
3. REFERENCES
Form: 004A Improvement
Logs
Form: 002A Improvement
Request
Form: 017A Course
Evaluation
Form: 018A Destination
Survey
PROCEDURE 2. QUALITY
OBJECTIVES
1. AIM
1.1 To
describe how quality objectives are determined and how action is planned and
taken to meet these objectives.
2. PROCESS
2.1 SETTING
OBJECTIVES
2.1.1
During the last quarter of a financial year First Aid
International management will arrange for a quality objectives planning
session.
Note:
This meeting will be held in conjunction with a Management Review Meeting.
2.1.2 Improvement
objectives will be determined for the following financial year and will arise
from consideration of:
§
Customers comments,
§
Staff comments,
§
Market place activities,
§
Improvement Logs & Requests,
§
Audit results (Internal and External),
§
Information gathered regarding conformance levels,
§
Perceptions of where improvements are necessary or
desired.
2.1.3 Improvement objectives will be set for various parts
of the management system and can apply to any level within the organisation.
2.1.4 Improvement objectives can be set in relation to First
Aid International Registered Training Organisation compliance, efficiency of
operations, process improvement, system improvement etc.
2.1.5 Improvement objectives are set in terms that can be
measured and each objective is recorded onto an Objectives Action Plan (Form:
005).
2.2 ACTION PLANS
2.2.1 Each
objective recorded on an Objective Action Plan and has a responsible person
nominated.
The
Plan is updated by the nominated person to reflect progress of the work.
The
nominated person completes the form as required, and reports progress to the Director.
2.2.2 The Plan is subject to reviews, where changes to Objective
Action Plans or Objectives are required the change is documented and discussed
at Management Review Meetings.
Change
decisions made at Management Review meetings are added to the Plan.
After satisfactory
completion and implementation of all the tasks identified in the Plan the Director signs off the Plan as
evidence of such completion.
2.2.3 All
completed Action plans shall be filed as evidence that improvement objectives
have been planned and carried out.
Each
objective recorded on an Objective Action Plan has a responsible person
nominated. The nominated person completes the form as required, and reports
progress to the Director and to Management Reviews.
Where
changes to Objective Action Plans or Objectives are required the change is
discussed at Management Reviews.
3. REFERENCES
Form: 003A Management Review Agenda
Form:
005A Objective Action Plan
PROCEDURE 3. QUALITY PLANNING
1. AIM
1.1 To establish and maintain a system to plan for
quality where services and processes offered are being added, deleted or
modified.
2. PROCESS
2.1 QUALITY PLANNING - IDENTIFYING A
NEED
2.1.1 For those services offered by First Aid International at the time of implementation of the management
system, the Procedures Manual and reference documents fully describe the
process undertaken in order to satisfy the requirements of the 2005
Australian Quality Training Framework Standards for Registered Training
Organisations.
2.1.2 Where the current scope of services offered by First Aid International increases, decreases, or changes then the management
system requires to be similarly modified.
2.1.3 Where a change is required the Director implements the
Document and Data Control procedure. Refer to Procedure 4.
3.1 QUALITY PLANS
3.1.1 Where
the change is not minor the Director prepares a Quality Objective Action Plan. The
Quality Objective Action Plan addresses what will be required.
4.1 USE OF QUALITY PLAN
4.1.1 The Quality Objective Action Plan is updated by the Director to reflect progress of the work.
The
Quality Plan is subject to reviews by the Director and
decisions made are added to the Plan.
After
satisfactory completion and implementation of all the tasks identified in the
Quality Objective Action Plan the Director signs
off the Quality Plan as evidence of such completion.
All completed Action plans shall be filed as evidence that
improvement objectives have been planned and carried out.
PPROCEDURE 4. CONTROL OF
DOCUMENT & DATA
1. AIM
1.1 To control information (documents and data) that
affects quality within First
Aid International.
2. PROCESS
2.1 CONTROL OF DOCUMENTS
2.1.1 The following documents require some level of control:
·
Policy Manual
·
Procedure Manuals
·
Documents / Forms
·
Standards, Codes and regulations
2.1.2 The Policy Manual, Procedures Manuals, Documents and
Forms and their revisions are reviewed and approved by the Director.
2.2 DOCUMENT DISTRIBUTION AND REVISION
2.2.1 There is one controlled copy of this manual and it is
normally kept in the Director’s office. A master (electronic) copy of this
manual is kept on the Administration Manager’s computer.
All
Quality System documents and forms will contain details of the following:
Issue:
Revision details and date of issue
(e.g.
Issue: A Revision:0 August 2006).
2.2.2 Revisions to the hard copy Manual are put into the
folder by the Administration Manager. For each revision an email is sent to
relevant personnel indicating what changes have been made.
2.3 CONTROL OF TRAINING PACKAGES, REGULATIONS
& STANDARDS
Responsible
officer
2.3.1 A listing of Registered Training Organisation
regulatory requirements and other standards is entered onto the Document Register
(Form: 006A). First
Aid International accesses the latest
updates to legislation, regulations, standards and requirements upon issue.
2.3.2 Details of re-issued regulations or their amendments
are entered as per 2.3.1 above.
2.3.3 The Director arranges for a review of the changes to
the requirements and standards to determine the nature and extent of any
changes required in the management system, Policy and Procedures and Manuals.
Where necessary the Director arranges for the changes to documents to be
implemented.
2.3.4 All
Training Packages and or units of competence purchased will be marked as
controlled. A list
is entered onto the Document Register
(Form: 006A). A listing of qualifications First Aid International is
registered to deliver is entered onto the
Document Register (Form: 006A). First Aid International access the latest updates to reflect the latest
version of a training package qualification or unit of competence.
2.3.5 All superseded issues are marked
"SUPERSEDED" by the Director or nominee, however they may, if
required, be retained as a reference by the Administration Manager.
2.4 CONTROL OF FORMS
Responsible
officer
2.4.1 The Administration Manager enters details regarding
the issue status of all the quality management system related forms on the
Forms Register.
2.4.2 Approval of the form and their revisions is indicated
by the signature of the Administration Manager and a date appearing on the
reverse of the master version of the form. The Director retains master versions
of Forms.
2.4.3 Revision status of forms is indicated by a letter
after the form number (i.e. FORM: 012A).
2.4.4 The Administration Manager issues the new form and
advises all holders to withdraw superseded versions of forms from use.
2.5 DOCUMENT CHANGES
2.5.1 No changes will be made to any Quality Management
System document or form without raising an Improvement Request as required in
the Improvements procedure. Any staff member can request changes to the QMS by
using an Improvement Request.
2.5.2 All superseded issues are marked
"SUPERSEDED" by the Director or nominee,
however, one superseded copy should be retained as a reference by the Administration
Manager.
2.5.3 Any staff member can request changes to the QMS by
using an Improvement Request.
3. REFERENCES
Form:
006A Document Register
Form:
007A Forms Register
Form:
002A Improvement Request
PROCEDURE 5. PURCHASING
1. AIM
1.1 To establish and maintain a system for procuring
products, materials and services, to comply with First Aid International requirements.
2. DETAILS
2.1 SUPPLIER SELECTION
2.1.1 For all suppliers, subcontractors, current at the time
of implementation of the management system, approval may be based on past
performance having previously been fulfilled without quality problems.
2.1.2 There are a limited number of products and services,
the purchase of which significantly impact on the services provided to clients.
New suppliers are put on a trial for one job and then used again if performance
is satisfactory.
2.1.3 For proposed new suppliers the Director approves the
proposed supplier or subcontractor by one or more of the following:
a)
knowledge about the supplier by First Aid International staff
b)
trial for one or more orders
c)
recommended by another registered training provider
d)
certificates of qualification
e)
known as a reliable supplier in the industry
Responsible
officer
2.1.5 Records of supplier performance, where they can be
attributed to a supplier, are kept by the Director, such as Improvement Logs,
complaints etc.
2.2 SUPPLIER REVIEWS
2.2.1 At Management Review the Improvement Logs, etc are
reviewed to determine whether the supplier’s performance has been acceptable.
2.3 APPROVAL TO PURCHASE
2.3.1
Purchase of products or services are based on the
requirements of First
Aid International. The Director is
responsible for approval.
2.3.2
Upon receipt of the product or service the Delivery
Docket/Invoice or equivalent is kept as evidence of satisfactory receipt.
2.3.3
Where payment for goods and/or services is made by
cheque from First
Aid International, the Chief Financial
Officer or delegate must sign the cheque.
3. REFERENCES
Procedure 26 Financial Management
Form: 008A Supplier/Sub Contractor
Evaluation
PROCEDURE 6. RISK MANAGEMENT
1. AIM
1.1 To
identify and control the risk associated with the 2005 Australian Quality
Training Framework (AQTF) Standards for the operation of a Registered Training
Organisation.
2. PROCESS
2.1.1 A
risk identification and assessment of compliance with each of the twelve (12)
AQTF Standards will be completed once per year.
2.1.2 Using
the Risk Management Worksheet and Risk Priority Chart (Form: 009A), each of the
12 AQTF standards shall be assessed to identify:
§
the
associated risk,
§
the procedure
in place to manage the associated risk, and
§
to
estimate the likelihood of an incident occurring due to non-conformance with
procedures within First Aid International.
2.1.3 Follow steps 1 – 8
1. Using
the AQTF Standards identify the associated risk and list any compliance
threats (Cause of risk eg. poor assessment records).
2. Identify
the main risk for the threat that you have listed (possible consequences
of the threat if not controlled, e.g. a student will receive an incorrect
qualification).
3. Use
the Risk Priority Chart to score the likelihood of this happening.
4. Use the Risk Priority
Chart to score the consequences.
5. Use the Risk
Priority Chart to determine the total score.
6. Identify
(tick) which risk should be dealt with first. (First Priority)
7. Identify the most
appropriate control method.
8. Transfer
the implementation of risk onto an Improvement Request (Form: 002A) for
tracking and close out.
2.1.4 Improvement
requests will be dealt with in accordance with the following Improvement
Procedure
3. REFERENCES
Form:
009A Risk Management Worksheet
PROCEDURE 7. IMPROVEMENTS
1. AIM
1.1 To make sure that any problems are promptly detected,
identified, segregated, documented and fixed in a controlled manner.
