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AS ISO 10015—2006
AS ISO 10015—2006

Australian Standard™

Quality management—Guidelines for

training
(ISO 10015, MOD)
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This Australian Standard was prepared by Committee QR-002, Quality of Service.

It was approved on behalf of the Council of Standards Australia on 6 June 2006.
This Standard was published on 21 June 2006.

The following are represented on Committee QR-002:

Australian Organisation for Quality

Certification Interests (Australia)
Engineers Australia
Independent Chairperson
NSW Department of Housing
Quality in Law
RABQSA International
The Royal Australian Institute of Architects

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This Standard was issued in draft form for comment as DR 06174.

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AS ISO 10015—2006

Australian Standard™

Quality management—Guidelines for

training
(ISO 10015, MOD)

First published as AS ISO 10015—2006.

COPYRIGHT
© Standards Australia
All rights are reserved. No part of this work may be reproduced or copied in any form or by
any means, electronic or mechanical, including photocopying, without the written
permission of the publisher.
Published by Standards Australia, GPO Box 476, Sydney, NSW 2001, Australia
ISBN 0 7337 7525 X
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ii

PREFACE

This Standard was prepared by the Standards Australia Committee QR-002, Quality of Service.
The objective of this Standard is to provide a basis for developing an understanding of
competency needs analysis, design and planning of training, delivery of training and evaluation
and monitoring of learning and development outcomes.
This Standard is an adoption with national modifications and has been reproduced from
ISO 10015:1999, Quality management—Guidelines for training, and has been varied as
indicated to take account of Australian conditions.
Variations to ISO 10015:1999 are indicated at the appropriate places throughout this standard.
Strikethrough (example) identifies ISO text, tables and figures which, for the purposes of this
Australian Standard, are deleted. Where text, tables or figures are added, each is set in its proper
place and identified by shading (example). Added figures are not themselves shaded, but are
identified by a shaded border.
The term ‘informative’ has been used in this Standard to define the application of the annex to
which it applies. An ‘informative’ annex is only for information and guidance.
As this Standard is reproduced from an international standard, the following applies:
(a) Its number appears on the cover and title page while the international standard number
appears only on the cover.
(b) In the source text ‘ISO 10015’ should read ‘AS ISO 10015’.
(c) A full point substitutes for a comma when referring to a decimal marker.
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iii

CONTENTS

Page

Introduction ........................................................................................................................... iv
1 Scope .............................................................................................................................. 1
1.1 Application .............................................................................................................. 1
2 Normative reference......................................................................................................... 1
3 Terms and definitions....................................................................................................... 2
4 Guidelines for training ...................................................................................................... 2
4.1 Training: A four-stage process ................................................................................ 2
4.2 Defining training needs ........................................................................................... 3
4.3 Designing and planning training .............................................................................. 5
4.4 Providing for the training ......................................................................................... 7
4.5 Evaluating training outcomes .................................................................................. 8
5 Monitoring and improving the training process ................................................................. 8
5.1 General................................................................................................................... 8
5.2 Validation of the training process ............................................................................ 9
Annex A (informative) Tables ............................................................................................... 10
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iv

INTRODUCTION

The Quality management principles underlying the ISO 9000 family of standards (of which the
ISO 10000 series form a part) emphasize the importance of human resource management and
the need for appropriate training.

They recognize that customers are likely to both respect and value an organization’s
commitment to its human resources and its ability to demonstrate the strategy used to
improve the competence of its personnel.

Personnel at all levels should be trained to meet the organization's commitment to supply
products of a required quality in a rapidly changing market place where customer
requirements and expectations are increasing continuously.

This International Standard provides guidelines to assist organizations and their personnel
when addressing issues related to training. It may be applied whenever guidance is required
to interpret references to “education” and “training” within the ISO 9000 family of quality
assurance and quality management standards. Any references to “training” in this document
includes all types of education and training.

An organization’s objectives for continual improvement, including the performance of its

personnel, might be affected by a number of internal and external factors including changes
in markets, technology, innovation, and the requirements of customers and other
stakeholders. Such changes may require an organization to analyse its competence-related
needs. Figure 1 illustrates how training could be selected as an effective means of addressing
these needs.

Figure 1 — Improving quality by training

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The role of this International Standard is to provide guidance that help an organization to
identify and analyse training needs, design and plan the training, provide for the training,
evaluate training outcomes, and monitor and improve the training process in order to achieve
its objectives. It emphasizes the contribution of training to continual improvement and is
intended to help organizations make their training a more effective and efficient investment.
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vi

NOTES
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AUSTRALIAN STANDARD

Quality management — Guidelines for training

(ISO 10015, MOD)
Any table, figure or text of the international standard that is struck through is not part of this
standard. Any Australian table, figure or text that is added is part of this standard and is
identified by shading.

1 Scope

These guidelines cover the development, implementation, maintenance, and improvement of

strategies and systems for training, learning and development that affect the quality of the
products supplied by an organization.

This International Standard applies to all types of organizations.

It is not intended to provide guidance, and is not suitable on its own as a basis for use in
contracts, regulations, or for certification.

It does not add to, change, or otherwise modify requirements for the ISO 9000 series.

This International Standard is not intended to be used by training providers delivering

services to other organizations.
NOTE The main source of reference for training providers should be ISO 9004-2:1991, Quality management and
quality system elements — Part 2: Guidelines for services, until superseded by ISO 9004:2000, Quality
management systems—Guidelines for performance improvements.

Training providers may use this International Standard when addressing the training needs of
their own personnel.

1.1 Application

This International Standard is intended to be used by organizations and training providers

when addressing issues related to training, learning and development.

2 Normative reference

The following normative document contains provisions which, through reference in this text,
constitute provisions of this International Standard. For dated references, subsequent
amendments to, or revisions of, any of this publication do not apply. However, parties to
agreements based on this International Standard are encouraged to investigate the possibility
of applying the most recent edition of the normative document indicated below. For undated
references, the latest edition of the normative document referred to applies. Members of ISO
and IEC maintain registers of currently valid International Standards.

References to international Standards that are struck through in this clause are replaced by
references to Australian or Australian/New Zealand Standards that are listed immediately
thereafter and identified by shading. Any Australian or Australian/New Zealand Standard that
is identical to the International Standard it replaces is identified as such.

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ISO 8402, Quality management and quality assurance — Vocabulary1).

AS/NZS ISO 9000, Quality management systems—Fundamentals and vocabulary

3 Terms and definitions

For the purposes of this International Standard, the terms and definitions given in
AS/NZS ISO 8402 9000 and the following apply.

3.1
competence
application of knowledge, skills, and behaviours in performance demonstrated ability to apply
knowledge and skills (AS/NZS ISO 9000, 3.1.6)

3.2
training
process to provide and develop knowledge, skills and behaviours to meet requirements

4 Guidelines for training

4.1 Training: A four-stage process

4.1.1 General

A planned and systematic training process can make an important contribution in helping an
organization to improve its capabilities and to meet its quality objectives.

This training process is illustrated in the training cycle diagram shown in Figure 2.

To increase the readability of this International Standard and to distinguish clearly between
guidance and use of the process model to describe the guidance, the process model appears
in Tables A.1 to A.5 in annex A.

For selecting and implementing training to close the gaps between required and existing
competence, management should monitor the following stages:

a) defining training needs;

b) designing and planning training;
c) providing for the training;
d) evaluating the outcome of training.

As illustrated, the output of one stage will provide the input for the following stage.

1) To be revised as ISO 9000:2000.

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Figure 2 — Training cycle

4.1.2 Purchase of training-related products and services

It should be the responsibility of the management to decide if and when the external or
internal purchasing and resourcing of products and services related to any of the four stages
of the training process, and its monitoring, should occur (see Tables A.1 to A.5).

For example, some organizations might find it beneficial to use external expertise to carry out
an analysis of its training needs.

4.1.3 Involvement of personnel

Appropriate involvement of the personnel whose competence is being developed, as part of

the training process, may result in those personnel feeling a greater sense of ownership of the
process, resulting in their assuming more responsibility for ensuring its success.

4.2 Defining training needs

4.2.1 General

The training process should be initiated after a needs analysis of the organization has been
conducted and competence-related issues have been recorded, as depicted in Figure 1 in the
Introduction.

The organization should define the competence needed for each task that affects the quality
of products, assess the competence of the personnel to perform the task, and develop plans
to close any competence gaps that may exist.

The definition should be based on an analysis of present and expected needs of the
organization compared with the existing competence of its personnel.

The purpose of this stage should be to:

a) define the gaps between the existing and required competence ;

b) define the training needed by employees whose existing competence does not match the
competence required for the tasks; and
c) document specified training needs.

The analysis of the gaps between existing and required competence should be conducted to
determine whether the gaps can be closed by training or whether other actions might be
necessary (see Table A .1).

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4.2.2 Defining the needs of the organization

The organization’s quality and training policies, quality management requirements, resource
management and process design should be considered when initiating training, as an input to
4.2, to ensure that the required training will be directed toward satisfying the organization’s
needs.

4.2.3 Defining and analysing competence requirements

Competence requirements should be documented. This documentation can be periodically

reviewed or as necessary when work assignments are made and performance is assessed.

The definition of an organization’s future needs relative to its strategic goals and quality
objectives, including the required competence of its personnel, may be derived from a variety
of internal and external sources, such as:

— organizational or technological change that affects work processes or impacts on the

nature of products supplied by the organization;
— data recorded from past or current training processes;
— the organization’s appraisal of the competence of the personnel to perform specified
tasks;
— turnover or seasonal fluctuation records involving temporary personnel;
— internal or external certification needed for the performance of specific tasks;
— requests from employees identifying opportunities for personal development which
contribute to the organization’s objectives;
— the result of process reviews and corrective actions due to customer complaints or reports
of nonconformities;
— legislation, regulations, standards and directives affecting the organization, its activities
and resources; and
— market research identifying or anticipating new customer requirements .

4.2.4 Reviewing competence

A regular review should be conducted of documents that indicate the competence required for
every process and the records that list the competence of every employee.

Methods used for reviewing competence might include the following:

— interviews/questionnaire with employees, supervisors, managers;

— observations;
— group discussions; and
— inputs from subject matter experts.

The review is related to task requirements and task performance.

4.2.5 Defining competence gaps

A comparison of the existing competencies with those required should be made to define and record
the competence gaps.

4.2.6 Identifying solutions to close the competence gaps

The solutions to close the competence gaps could be found through training or other actions
of the organization, such as redesigning processes, recruitment of fully trained personnel,
outsourcing, improving other resources, job rotation or modifying work procedures.

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4.2.7 Defining the specification for training needs

When a training solution is selected to close the competence gaps, training needs should be
specified and documented.

The specification for training needs should document the objectives and the expected
outcomes of the training. The input to the specification for training needs should be provided
by the list of competence requirements found in 4.2.3, the results of previous training, and
current competence gaps and requests for corrective action.

This document should become part of the training plan specification and should include a
record of the organization’s objectives which will be considered as inputs for designing and
planning training and for monitoring the training process.

4.3 Designing and planning training

4.3.1 General

The design and plan stage provides the basis for the training plan specification.

This stage includes:

a) design and planning of actions which should be taken to address the competence gaps
identified in 4.2.5; and
b) definition of the criteria for evaluating the training outcomes and monitoring the training
process (see 4.5, clause 5 and Table A .2).

4.3.2 Defining the constraints

Relevant items which constrain the training process should be determined and listed.

These might include:

— regulatory requirements imposed by laws;

— the policy requirements, including those relating to human resources, imposed by the
organization;
— financial considerations;
— timing and scheduling requirements;
— the availability, motivation and ability of the individuals to be trained ;
— factors such as the availability of in-house resources to perform the training, or the
availability of reputable training providers; and
— constraints on any other available resources.

The list of constraints should be used in the selection of training methods (4.3.3) and training
provider (4.3.5) and for the development of a training plan specification (4.3.4).

4.3.3 Training methods and criteria for selection

Potential training methods to meet the training needs should be listed. The appropriate form
of training will depend on the listed resources, constraints and objectives.

Training methods might include:

— courses and workshops on or off site;

— apprenticeships;
— on-the-job coaching and counselling;
— self-training ;and
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— distance learning.

Criteria for selection of the appropriate methods, or combination of methods, should be defined and
documented.

These may include:

— date and location;

— facilities;
— cost;
— training objectives;
— target group of trainees (e.g. current or planned professional position, specific expertise
and/or experience,
— maximum number of participants);
— duration of training and sequence of implementation; and
— forms of assessment, evaluation and certification.

4.3.4 Training plan specification

A training plan specification should be established in order to negotiate with a potential

training provider the provisions of specific training processes, e.g. delivery of specific training
content.

A training plan specification is appropriate in order to establish a clear understanding of the

organization’s needs, the training requirements, and the training objectives that define what
the trainees will be able to achieve as a result of the training.

Training objectives should be based on the expected competence developed in the

specification for training needs in order to ensure the effective delivery of training and to
create clear and open communication.

The specification should consider the following:

a) the organization’s objectives and requirements;

b) specification for training needs;
c) training objectives;
d) trainees n (target groups or target personnel);
e) training methods and outline of content;
f) schedule of requirements, such as duration, dates and significant milestones;
g) resource requirements, such as training materials and staff;
h) financial requirements;
i) criteria and methods developed for the evaluation of training outcomes to measure the
following:
— satisfaction of the trainee,
— trainee’s acquisition of knowledge, skills and behaviours,
— trainee’s on-the-job performance,
— satisfaction of the trainee’s management,
— impact on the trainee’s organization, and
— procedures for monitoring the training process (see clause 5).

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4.3.5 Selecting a training provider

Any potential internal or external training provider should be subject to critical examination
before being selected to provide the training. This examination may include the provider's
written information (e.g. catalogues, leaflets) and evaluation reports. Examination should be
based on the training plan specification and the identified constraints.

The selection should be recorded in an agreement or formal contract establishing ownership,

roles and responsibilities for the training process.

4.4 Providing for the training

4.4.1 General

It is the responsibility of the training provider to carry out all the activities specified for the
delivery of the training in the training plan specification.

However, as well as providing the resources necessary to secure the services of the training
provider, the role of the organization in supporting and facilitating the training might include:

— supporting both the trainer and the trainee; and

— monitoring the quality of the training delivered.
NOTE A trainer is a person who applies a training method.

The organization may support the training provider in monitoring the provision of training (see
clause 5).

The success of these activities is affected by the effectiveness of the interactions between the
organization, the training provider and the trainee.

The purpose of the following subclauses is to provide guidance on how the organization might
carry out these activities (see Table A .3).

4.4.2 Providing support

4.4.2.1 Pretraining support

Pretraining support may include such activities as:

— briefing the training provider with relevant information (see 4.2);

— briefing the trainee on the nature of the training and the competence gaps it is intended to
close; and
— enabling contact to be made between the trainer and trainee.

4.4.2.2 Training support

Training support may include such activities as:

— providing relevant tools, equipment, documentation, software or accommodation to the

trainee and/or trainer;
— providing relevant and adequate opportunities for the trainee to apply the competence
being developed; and
— giving feedback on task performance as requested by the trainer and/or trainee.

4.4.2.3 End-of-training support

End-of-training support may include such activities as:

— receiving feedback information from the trainee;

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— receiving feedback information from the trainer; and

— providing feedback information to managers and to the personnel involved in the training
process.

4.5 Evaluating training outcomes

4.5.1 General

The purpose of the evaluation is to confirm that both organizational and training objectives
have been met, i.e. training has been effective.

The inputs for the evaluation of training outcomes are the specifications for training needs
and for the training plan, and the records from the delivery of training.

The results of training often cannot be fully analysed and validated until the trainee can be
observed and tested on the job.

Within a specified time period after the trainee has completed the training, the management of
the organization should ensure that an evaluation takes place to verify the level of
competence achieved.

Evaluations should be carried out on both a short-term and long-term basis:

— in the short term, trainee feedback information should be obtained on the training
methods, resources used, and knowledge and skills gained as a result of the training; and
— in the long term, trainee job performance and productivity improvement should be
assessed.

The evaluation should be conducted on the basis of established criteria (see 4.3.4).

The evaluation process should include the collection of data and the preparation of an
evaluation report which also provides an input to the monitoring process (see Table A .4).

4.5.2 Collecting data and preparing an evaluation report

An evaluation report might include the following:

— specification for training needs;

— evaluation criteria and description of sources, methods and schedule for evaluation;
— analysis of data collected and interpretation of the results;
— review of training costs; and
— conclusions and recommendations for improvement.

The occurrence of nonconformities may require procedures for corrective action.

The completion of training should be documented in the training records.

5 Monitoring and improving the training process

5.1 General

The main purpose of monitoring is to ensure that the training process, as part of the
organization’s quality system, is being managed and implemented as required so as to
provide objective evidence that the process is effective in meeting the organization’s training
requirements. Monitoring involves reviewing the entire training process at each of the four
stages (see Figure 2).

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Monitoring should be conducted by competent personnel in accordance with the

organization’s documented procedures. Where possible, such personnel should be
independent of the functions in which they are directly involved. Methods for monitoring might
include: consultation, observation, and data collection. Methods should have been decided
during the training plan specification stage (see 4.3.4).

Monitoring is a valuable tool for enhancing the effectiveness of the training process (see
Table A.5).

5.2 Validation of the training process

Inputs for monitoring might include all the records from all stages in the training process.
Based on these records, a review of the different stages can be performed to detect
nonconformity issues for corrective and preventive actions. Such inputs can be collected on
an on-going basis to provide the basis of validating the training process, and for making
recommendations for improvement.

If the procedures are followed and the specified requirements met, then the personnel
competence records should be up-dated to reflect this additional qualification.

If the procedures are not followed and the requirements are met, then the procedures should
be revised and the personnel competence records should be up-dated to reflect this additional
qualification.

If the procedures are followed and the requirements not met, then corrective action may be
needed to improve the training process or develop an appropriate non-training solution.

Overall, the review of the training process should identify any further opportunities for
improving the effectiveness of any stage of the training process.

Appropriate records should be maintained of the various monitoring and evaluation activities
conducted, the results obtained, and the actions planned.

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10

Annex A
(informative)

Tables

Table A.1 — Defining training needs (4.2)

Inputs Process Outputs Record

Defining organization’s needs (4.2.2)
Quality policy Consider all inputs Decision to Decision to initiate
when initiating initiate training training process
Training policy training process
Quality management requirements
Resource management
Process design
Defining and analysing competence requirements (4.2.3)
Organizational or technological change that Document Competence List of competence
affects work processes or impacts on the nature competence requirements requirements
of products supplied by the organization requirements
Data recorded from past or current training
processes
Organization’s appraisal of the competence of
the personnel to perform specified tasks
Turnover or seasonal fluctuation records
involving temporary personnel
Internal or external certification needed for the
performance of specific tasks
Requests from employees identifying
opportunities for personal development
contributes to organization’s objectives
Result of process reviews and corrective actions
due to customer complaints or nonconformities
reports
Legislation, regulations, standards, and
directives affecting the organization, its activities
and resources
Market research identifying or anticipating new
customer requirements
Reviewing competence (4.2.4)
Competence records Reviewing existing Knowledge of List of existing
competence existing competence
Data on task requirements and task performance competence
from:
− interviews/questionnaire with employees,
supervisors, managers
− observations
− group discussion
− input from subject matter experts

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11

Table A.1 (continued)

Inputs Process Outputs Record

Defining competence gaps (4.2.5)
List of required competence and list of existing Define competence Knowledge of List of competence
competence gaps competence gaps gaps
Identifying solutions to close the competence gaps (4.2.6)
List of competence gaps Identify and select Training selected Training selected as
training as a as a solution a solution
solution
Defining the specification fro training needs (4.2.7)
List of competence requirements Document training Training needs Training needs
objectives and specification specification
List of competence gaps expected raining document
Results of previous training outcomes

Requests for corrective action

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12

Table A.2 — Designing and planning the training (4.3)

Inputs Process Outputs Record

Defining the constraints (4.3.2)
Regulatory requirements Identify constraints Knowledge of List of constraints
constraints on
Policy requirements training
Financial considerations
Timing and scheduling requirements; training
resources and availability of reputable
training providers
Availability, motivation and ability of the
individuals to be trained
Other logistical factors
Training methods and criteria for selection (4.3.3)
Training needs specification Identify training Knowledge of List of training
methods training methods methods
List of resources, constraints and objectives
List of optional training methods
Criteria for choosing training methods
Training plan specification (4.3.4)
Organization’s objectives and requirements Define the training Training plan Training plan
plan specification specification specification
Specification training needs document
Training objectives
Target groups f trainees or target personnel
Training methods and content outline
Schedule of requirements
Resource and financial requirements
Criteria for evaluating training outcomes
Monitoring procedures
Selecting a training provider (4.3.5)
Potential training provider’s written Selecting a training Identified training Agreement or formal
information provider provider contract establishing
ownership, roles
Evaluation reports and, responsibilities
Training plan specification for the training
process
Identified constraints

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13

Table A.3 — Providing for the training (4.4)

Inputs Process Outputs Record

Providing support (4.4.2)
Pretraining support (4.4.2.1)
Training needs specification Brief trainer and Briefing reports Pretraining briefing
trainee reports
List of competence gaps
Training plan specification
Training reports (4.4.2.2)
Tools, equipment, documentation, software or Provide training Training support Training support
accommodation support to trainer or reports reports
trainee
Opportunities for applying competence
Opportunities for feedback on task
performance
End of training support (4.4.2.3)
Pre-training briefing reports Obtain feedback Feedback End of training
information from information feedback
Training support reports trainer and trainee reports information reports
Provide feedback
information to
managers and other
employees involved
in the training
process

Table A.4 — Evaluating training outcomes (4.5)

Inputs Process Outputs Record

Collecting data and preparing evaluation report (4.5.2)
Specification for training needs Collect data and Evaluation report Evaluation report
evaluate it on the
Training plan specification basis of established Training needs
Records from the delivery of training criteria
Analyse data and
interpret results,
review of budget,
verify the
achievement of
specified
competence
Recommend
corrective action

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14

Table A.5 — Monitoring and improving the training process (clause 5)

Inputs Process Outputs Record

Validation of training process (5.2)
Decision to initiate training Provide objective Monitoring reports Monitoring reports
evidence that the
List of required and existing competence training process is Requests for
effective in meeting corrective or
List of competence gaps preventive actions
the organization’s
Training needs specification training
requirements by
Training plan specification consultation,
Agreement or formal contract establishing observation and
ownership and responsibilities for the training data collection
process Identify
Records from the delivery of training nonconformity
issues for corrective
Evaluation report and preventive
actions

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