Chapter 30. Quality Assurance Framework

Supporting Documents for this Chapter:

• Quality Assurance Framework Audits Process document for Providerssign-in required (sign-in required)

30.1. Chapter OverviewCopy citation · §30.1

The Quality Assurance Framework (QAF) sets out the minimum standards of quality for Workforce Australia Employment Services Providers, ensuring their policies and processes support continuous improvement and quality service delivery.

This Chapter contains detailed information on the requirements for Providers to achieve and maintain QAF Certification.

30.2. QAF CertificationCopy citation · §30.2

To obtain QAF Certification, Providers must:

• achieve certification against one of the 2 approved Quality Standards

• demonstrate adherence to the Department’s Quality Principles, and

• achieve certification against Right Fit For Risk.

QAF Certification is valid for 3 years, or as approved by the Department, and ongoing Certification is subject to the Department being satisfied that the Provider continues to be certified against the Quality Standards, Quality Principles and has met the required Right Fit For Risk milestone.

Providers must obtain a QAF Certificate no later than 9 months after any Head Licence Start Date, unless otherwise Notified by the Department, and maintain the currency of the Certificate for the duration of the Head Licence Term.

(Deed Reference(s): Clause 7.1, 7.4, 95.1, 95.5)

30.2.1. Group Respondents (including change of membership)Copy citation · §30.2.1

Where the Provider is a Group Respondent, the lead member must achieve and maintain Certification against the QAF. All Sites listed in the Provider's Head Licence are within scope for audit Site sample. When conducting Quality Principles audits, the head office must be included.

If there is a change in Group membership, the new Group Respondent must gain or maintain QAF Certification.

(Deed Reference(s): Clause 54.1)

30.2.2. NovationsCopy citation · §30.2.2

Following execution of a Deed of Novation, the Provider must achieve or demonstrate adherence to QAF Certification as specified in the Deed of Novation, and in line with QAF Certification requirements in this Guideline.

(Deed Reference(s): Clause 60.3)

30.3. The Quality StandardsCopy citation · §30.3

The Quality Standards approved by the Department under the QAF are:

• ISO 9001

• the National Standards for Disability Services (NSDS).

For QAF purposes, the scope of all Quality Standard audits must include a Provider’s Workforce Australia business.

The Provider must choose one of these Quality Standards to be certified against as part of its QAF Certification. If the Provider changes to a different approved Quality Standard during the term of its Head Licence, it must achieve Certification against the new Quality Standard prior to the expiry date of its previous certification.

The Provider must be delivering Inclusive Employment Australia if using NSDS for QAF Certification. Providers who have previously used NSDS to meet their Quality Standards requirements that do not deliver Inclusive Employment Australia must transition to ISO 9001 before the expiry of their NSDS Quality Standard Certification.

30.3.1. Quality Standards AuditsCopy citation · §30.3.1

The Provider must engage a Conformity Assessment Body (CAB) that has been accredited by the Joint Accreditation Scheme of Australia and New Zealand (JAS-ANZ) to undertake ISO 9001 or NSDS audits.

Quality Standards Audit Plan

• Documentary evidence — The Provider must send a completed Quality Standards Audit Declaration form and submit it with the associated Quality Standards Audit Plan to the Department for approval 40 Business Days before the commencement of the audit.

These documents are required for all Quality Standards Audits (Certification, Surveillance and Recertification) to ensure the sample included in the audit is representative of Workforce Australia Services business.

The Department will approve or request changes to the Audit Plan documentation within 25 Business Days of receipt.

Where approved Quality Standards Audit Plan documentation changes prior to the audit start date, the Provider must send updated Audit Plan documentation to the Department for reapproval before the Quality Standards Audit commences.

Quality Standards Audit Report

• Documentary evidence — Within 30 Business Days of a Quality Standards Audit closing meeting, the Provider must submit the Quality Standards Audit Report to the Department, along with copies of any new or updated Certificates as evidence of Quality Standard Certification.

• Documentary evidence — The Department will respond to the outcomes of the Quality Standards Audit Report within 1****5 Business Days of Audit Report receipt.

A Provider must notify the Department immediately if its Quality Standards Certification lapses or is suspended.

(Deed Reference(s): Clauses 95.2, 95.3 and 95.4)

Quality Standard Non-conformances

Providers must close any non-conformance identified in a Quality Standards Audit within the timeframe provided by the Quality Auditor.

Any non-conformance raised against a Quality Standard that results in the suspension of certification against that Quality Standard may result in QAF Certification being suspended and remedial action being taken against the Provider.

(Deed Reference(s): Clause 95.4)

30.4. Quality PrinciplesCopy citation · §30.4

Quality Principles are underpinned by Practice Requirements that the Provider must meet to ensure their policies and processes support continuous improvement and quality service delivery. The Quality Principles are:

1. Participants and Personnel

2. Labour Market, Employers and Community, and

3. Operations and Work Health and Safety.

The Practice Requirements and associated Evidence Requirements to support the Quality Principles are outlined at Attachment 30A.

30.4.1. Quality Principles CertificationCopy citation · §30.4.1

A Provider must achieve, and maintain, certification against the Quality Principles by fulfilling all the requirements of the Quality Principles, including following the audit schedule.

For the purposes of Quality Principles Certification, Providers must refer to the Quality Assurance Framework Audit Process document for Providerssign-in required (sign-in required) in relation to how the Department manages the QAF Certification process.

30.4.2. Quality Principles AuditsCopy citation · §30.4.2

Initial Certification audit

Required to gain initial QAF Certification. Providers must engage a Conformity Assessment Body (CAB) that has been approved and included on the Department Approved Quality Audit Listsign-in required (sign-in required) to complete this audit.

Surveillance audit

Conducted annually in-between Initial and Recertification audits through a Self-Assessment Report completed by the Provider. Providers have the option of completing the Self-Assessment Report themselves or engaging a CAB to assist them complete the report.

Recertification audit

Conducted every 3 years. Providers must engage a Conformity Assessment Body (CAB) that has been approved and included on the Department Approved Quality Audit Listsign-in required (sign-in required) to complete this audit.

Extraordinary audit

The Department may conduct, or may request that a Quality Auditor conducts, an Extraordinary audit. The Provider is required to cover the audit costs.

The scope of an Extraordinary audit is determined by the Department on a case-by-case basis and will be targeted to a specific aspect, or aspects, of the Quality Principles.

Audit Schedule

Providers must engage a Department approved CAB to undertake Quality Principles Initial and Recertification audits. Quality Auditors nominated by approved CABs must complete the Department’s required training before conducting a Quality Principles audit. The list of approved Quality Principles CABs is on the Provider Portalsign-in required (sign-in required).

The Provider is responsible for the costs associated with external audits.

Surveillance audits are conducted annually in between the Initial Certification and Recertification audits. Providers have the option of completing the Self-Assessment Report themselves or engaging a CAB to assist them complete the report.

30.5. Quality Principles Initial Certification and Recertification AuditsCopy citation · §30.5

The Provider must achieve and maintain certification against the Quality Principles by fulfilling all the requirements of the Quality Principles, including following the audit schedule.

30.5.1. Quality Principles Audit PlansCopy citation · §30.5.1

• Documentary evidence — A Provider must send a completed Quality Principles Audit Plan to the Department for approval for its Quality Principles Initial or Recertification audit no less than 40 Business Days before the commencement of the audit.

  Documentary evidence — Providers must use the Quality Principles Audit Plan template which is available on the Provider Portal.sign-in required (sign-in required) Providers must refer to the 'QAF Audit Process document for Providerssign-in required (sign-in required)' in relation to sampling requirements.

• Documentary evidence — The Department will advise approval or request changes to the Audit Plan within 25 Business Days of Audit Plan receipt.

• Documentary evidence — A Quality Principles Audit Plan is required for Initial and Recertification Quality Principles audits only.

Where an approved Quality Principles Audit Plan requires changes, the Provider must send this to the Department for reapproval before the Quality Principles audit commences.

30.5.2. Initial and Recertification Audit ReportsCopy citation · §30.5.2

• Documentary evidence — Providers must send a copy of the Quality Principles Audit Report to the Department within 30 Business Days of the audit closing meeting.

• Documentary evidence — Providers must use the Quality Principles Audit Report template which is available on the Provider Portal.

(Deed Reference(s): Clauses 95.3, 95.4)

30.6. Initial and Recertification Audit Non-conformancesCopy citation · §30.6

Any non-conformance identified during a Quality Principles Initial or Recertification audit must be listed in a Corrective Action Plan and closed in accordance with the requirements outlined below.

30.6.1. Quality Principles Non-conformancesCopy citation · §30.6.1

Major non-conformance

A Major non-conformance is:

• a failure to have any process, or an effective process, in place for a Practice Requirement

• an identified Minor non-conformance that is the same as identified in the preceding audit (Certification or Recertification).

Major non-conformances must be closed or downgraded within 3 months of the audit closing meeting.

A Major non-conformance identified by the Department following a review of an Audit Report must be closed within 3 months of the date the Provider is advised of the non‑conformance.

Quality Principles and QAF Certifications will not be granted or renewed until all Major non-conformances are downgraded to a Minor non-conformance or closed.

Failure to address a Major non-conformance within the required timeframes may result in an existing QAF Certification being suspended, and remedial action taken against the Provider.

(Deed Reference(s): Clauses 63.2, 67.1, 95.5)

Minor non-conformance

A Minor non-conformance is issued where the process in place for a Practice Requirement is only partially effective.

QAF Certification may be granted if Minor non-conformances are identified.

Minor non-conformances must be closed within 6 months of the audit closing meeting.

In the case of a Department-identified Minor non-conformance, the Minor non-conformance must be closed within 6 months from the date the Provider is advised of the Minor non-conformance.

If a Major non-conformance has been downgraded to a Minor non-conformance, the Provider must completely close the Minor non-conformance within 6 months of the audit closing meeting date. That is:

• the non-conformance should be closed in a maximum timeframe of 6 months from the audit closing meeting date or,

• for non-conformances identified by the Department following a review of an Audit Report a maximum timeframe of 6 months from the date the Department advised the Provider of the additional non-conformance/s.

Failure to address a Minor non-conformance within the required timeframes may result in the QAF Certification being suspended and remedial action being taken against the Provider.

(Deed Reference(s): Clauses 63.2, 67.1, 95.5)

30.6.2. Non-conformances identified by the DepartmentCopy citation · §30.6.2

The Department may issue a non-conformance for a Quality Principles audit where it is not satisfied that the evidence included in the Audit Report addresses the requirements or where it considers that the evidence in the audit report indicates a non-conformance.

The Department reserves the right to raise non-conformances where it has received information contrary to the Audit Report.

30.6.3. Quality Principles Corrective Action PlanCopy citation · §30.6.3

A Corrective Action Plan (CAP) must be submitted to the Department where non-conformances have been identified in a Quality Principles audit.

All CAPs must use the Department’s CAP template, available on the Provider Portalsign-in required (sign-in required).

Corrective Action Plan

• Documentary evidence — A CAP must be submitted to the Department no later than 30 Business Days after the audit closing meeting or the Provider being notified of Department-identified non-conformances.

• Documentary evidence — Where there is already a CAP in place relating to the Quality Principles audit, Department-identified non-conformances must be added to the existing CAP and submitted to the Department within the outlined timeframe.

Closing a CAP

• Documentary evidence — When a non-conformance is closed, an updated CAP must be submitted to the Department by the Provider. The updated CAP must include verification by the Quality Auditor to close the relevant non-conformance.

• Documentary evidence — Non-conformances identified by the Department following a review of an audit must be closed by a Quality Auditor.

30.7. Surveillance AuditsCopy citation · §30.7

Surveillance audits occur annually between Initial and Recertification audits. Providers have the option of completing the Self-Assessment Report themselves or engaging a CAB to assist them complete the Self-Assessment Report.

30.7.1. Self-Assessment Report – 'Developing' RatingCopy citation · §30.7.1

Where a Provider, or the Department, has identified that a Practice Requirement has a rating of ‘Developing’, a Quality Improvement Plan (QIP) will be required. The Department will develop the initial draft of the QIP and send to the Provider for acceptance, action and closure.

A ‘Developing’ rating is applied where the process in place for a Practice Requirement does not fully meet requirements or is only partially effective and requires the Provider to implement agreed mitigations or strategies within 3 - 6 months (as advised by the Department).

Once the mitigations or strategies have been finalised, the Provider must submit the closed QIP to the Department for acceptance.

Quality Improvement Plan

• Documentary evidence — An agreed and signed (open) QIP must be submitted to the Department no later than 30 Business Days after the Department has notified the Provider of the Self-Assessment Report review outcome and provided the draft QIP.

Closing a QIP

• Documentary evidence — Once the QIP have been finalised (closed), the Provider must submit the QIP to the Department by the agreed closed date. The Provider will be notified when the Department has accepted the closed QIP.

30.8. Failure to obtain QAF Initial CertificationCopy citation · §30.8

If a Provider fails to comply with Deed clause 95 – Quality Assurance Framework conformance, the Department may exercise remedies under the Deed, including terminating the Deed.

Workforce Australia Employment Services Providers who do not achieve certification against the QAF within 9 months of the issuance and commencement of their first Workforce Australia Services (Generalist or Specialist) Licence may have their Head Licence revoked.

30.9. Suspension of QAF CertificationCopy citation · §30.9

The Department may suspend a Provider’s QAF certification where (but not limited to):

• a Major non-conformance identified in a Quality Standards and/or Quality Principles Audit has been identified that poses a risk to the safety or wellbeing of Participants and/or Personnel

• a Minor or Major non-conformance identified in a Quality Standards and/or Quality Principles audit is not closed within the required timeframes, and the delay is not due to circumstances outside the control of the Provider

• the Provider does not submit its Quality Standards and/or Quality Principles Audit Report in time for the Certification to be renewed before the Certification expiry date.

If the Department suspends the Provider’s QAF Certification or the Provider fails to comply with Deed clause 95 – Quality Assurance Framework conformance, the Department may exercise remedies under the Deed, including terminating the Deed.

(Deed Reference(s): Clauses 7.1, 7.4, 63.2, 95.5)

Attachment 30A. Quality Principles