NEW ZEALAND UNIVERSITIES ACADEMIC AUDIT UNIT
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NEW ZEALAND UNIVERSITIES ACADEMIC AUDIT UNITTE WAHANGA TATARI KAUTE TOHUNGATANGAO NGA WHARE WANANGA O AOTEAROAAUCKLAND UNIVERSITY OF TECHNOLOGYTE WANANGA ARONUI O TAMAKI MAKAU RAUACADEMIC AUDIT REPORT——————OCTOBER 2001——————Auckland University of Technology Audit ReportTable of ContentsPageOverview of the Audit iiiBackground iiiProcedures iiiSummary of Findings ivList of Recommendations viiAbbreviations ix1 Institutional Context: Structure and Planning 11.1 Transition to Formal University Status 11.2 Structure 21.3 Planning 22 Institutional Context: The Quality Management System 42.1 Preparation for Audit 42.2 Communication 43 Treaty of Waitangi 63.1 Objectives 63.2 Deputy Vice-Chancellor (Maori Advancement) 63.3 Te Ara Poutama 73.4 Recruitment of Maori Staff 83.5 Maori Students 83.6 Staff Awareness of the Treaty of Waitangi 104 Staff Matters 114.1 Equal Employment Opportunity 114.2 Staff Induction 124.3 Staff Development 124.3.1 The Individual Development Plan 134.3.2 Professional Development Leave 134.3.3 Training for Heads of Departments/Schools 144.4 Academic Promotions Policy 145 Modules and Programmes 155.1 Programme Approval Processes 155.1.1 Programme Approval and Review Committee 155.1.2 Treaty of Waitangi Standards Committee 155.2 Programme Advisory Committees 16© 2001 Academic Audit Unit iAuckland University of Technology Audit Report6. Teaching, Learning and Assessment 186.1 Teaching and Learning Development Plan ...
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| Publié par | Octe |
| Nombre de lectures | 14 |
| Langue | English |
Extrait
NEW ZEALAND UNIVERSITIES ACADEMIC AUDIT UNIT
TE WAHANGA TATARI KAUTE TOHUNGATANGA O NGA WHARE WANANGA O AOTEAROA
AUCKLAND UNIVERSITY OF TECHNOLOGY TE WANANGA ARONUI O TAM AKI M AKAU RAU
ACADEMIC AUDIT REPORT
OCTOBER 2001
Auckland University of Technology
Table of Contents
Overview of the Audit Background Procedures Summary of Findings List of Recommendations Abbreviations 1 Institutional Context: Structure and Planning 1.1 Transition to Formal University Status 1.2 Structure 1.3 Planning 2 Institutional Context: The Quality Management System 2.1 Preparation for Audit 2.2Communication 3 Treaty of Waitangi 3.1 Objectives 3.2 Deputy Vice-Chancellor (Maori Advancement) 3.3 Te Ara Poutama 3.4 Recruitment of Maori Staff 3.5 Maori Students 3.6 Staff Awareness of the Treaty of Waitangi 4 Staff Matters 4.1 Equal Employment Opportunity 4.2 Staff Induction 4.3 Staff Development 4.3.1 The Individual Development Plan 4.3.2 Professional Development Leave 4.3.3 Training for Heads of Departments/Schools 4.4 Academic Promotions Policy 5 Modules and Programmes 5.1 Programme Approval Processes 5.1.1 Programme Approval and Review Committee 5.1.2 Treaty of W aitangi Standards Committee 5.2 Programme Advisory Committees
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Audit Report
Page iii iii iii iv vii ix 1 1 2 2 4 4 4 6 6 6 7 8 8 10 11 11 12 12 13 13 14 14 15 15 15 15 16
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Auckland University of Technology 6. Teaching, Learning and Assessment 6.1 Teaching and Learning Development Plan 6.2 Evaluation of Teaching 6.3 Technology-Mediated Learning 7 Research and Teaching 7.1 Research Objectives 7.2 Research Management 7.3 Research Centres 7.3.1 AUT Technology Park 7.4 Postgraduate Programmes 7.4.1 Postgraduate Supervision Agreements 7.4.2 Supervision 7.4.3 Monitoring student progress 7.4.4 Staff as students 7.5 Teaching/Research Nexus 8 Reviews 8.1 Programme-related Reviews 9. Feedback Processes 9.1 Student Evaluations of Modules and Teaching 10 Joint, Franchised and External Programmes 11 Support for Students 11.1 Student Involvement in Decision-Making 11.2 Support for International Students 11.3 Te Tari Awhina 12 Facilities and Resources 12.1 Library 12.2 Information Technology
Appendices Appendix A Auckland University of Technology Appendix B Terms of Reference of the Academic Audit Unit Appendix C The Audit Panel
ISBN: 0-9582183-8-2
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Background
Overview of the Audit
Audit Report
In 2000, the New Zealand Universities Academic Audit Unit (AAU) Board appointed a panel to carry out on its behalf an audit of the academic quality assurance procedures of the Auckland University of Technology (AUT). The audit was conducted over the period April to October 2001.
The Terms of Reference of the AAU are shown in Appendix B. For details of the membership of the Audit Panel, refer to Appendix C.
Procedures
The AAU bases its audits on each universitys own objectives, together with the characteristics required of a New Zealand university by the Education Amendment Act 1990. The major aims of the audit are to consider and review the universitys mechanisms for monitoring and enhancing the academic quality and standards which are necessary for achievingitsstatedaimsandobjectives;tocommentontheextenttowhichproceduresin place in the university are applied effectively; and to comment on the extent to which procedures in place reflect good practice in maintaining quality.
As part of a self-review process, AUT prepared an Audit Portfolio, describing the nature and effectiveness of its activities in relation to the audit themes outlined above.
In May 2001 the Panel met for a day to consider documentation then available, to request further elaboration in a few areas, and to plan the format of the Visit. Some weeks later, the Panel Chair and two staff members of the AAU visited AUT to discuss arrangements for the Audit.
On arrival in Auckland for the Audit Visit, the Panel held an initial meeting to review its approach and further documentation available, before beginning three days of meetings with a range of students, staff and representatives of the external community it had selected.
During the Audit, the Panel spoke to approximately 250 people, including senior and middle managers, academic and general staff, and undergraduate and postgraduate students, and representatives of the external community. In accordance with the AAUs usualpractice,asessionwasreservedinthePanelsinterviewprogrammetoallowan opportunity for anyone who wished to meet the Panel.
This document is an AAU report which records the conclusions reached by the Panel from its reading, interviews and discussions. W hile every attempt has been made to ascertain a complete understanding of AUTs activities with regard to the audit themes, the report
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should not be relied upon to identify every instance where quality assurance procedures may be inadequate or ineffective.
In relation to many of the matters investigated, the AAU has made recommendations for action or endorsed actions currently under way. These recommendations are numbered through the body of the text and are also listed in the following summary. Good practices are also mentioned and particularly noteworthy ones are highlighted in bold in the text.
As this was the AAUs first audit of AUT, it was agreed that it would be most appropriate to conduct a comprehensive audit, akin to the scope of audits conducted in Cycle 1. The AAUsformatforAuditReportshasalteredsincethistime,andthisreportispresentedin the AAUs current format.
It is acknowledged that many recommendations in AAU audit reports have resource implications, and that this can pose difficulties for universities in the current environment where financial and other resources are constrained.
Summary of Findings
Institutional Context: Structure and Planning: was granted formal status as a AUT University on 1 January 2000. Staff, students and external stakeholders consider AUTs accessibility and high level of commitment to serving the community, its strong teaching and student-focus and its emphasis on vocational education to be highly distinctive elements of the University that should be preserved. The Panel shares this view and considers that the University makes a substantial, distinct and important contribution to tertiary education in New Zealand. The Panel encourages AUT not to compromise its vision or lose its distinctive features.
Flexibility in the means used to achieve strategic goals is to be expected across the faculties, but there is nonetheless a need for the University as a whole to ensure that progress towards its objectives is being made. The Panel became aware of a number of instances where AUT policies are not being implemented effectively across the University and there is increased scope for the Deputy Vice-Chancellors to work closely with faculties in monitoring the implementation of AUT policy.
Quality Management System: The Panel found there to be openness amongst staff to the audit process and a general willingness to respond. The process of gaining formal University status, which necessitated a continuous commitment over almost a decade to processes of self-review, planning and reporting, has contributed to a general understanding amongst staff of the desirability of seeking and responding to feedback from various sources.
Treaty of Waitangi:The Panel commends the establishment of the position of Deputy Vice-Chancellor (Maori Advancement) as a significant step toward the achievement of AUTs Treaty of W aitangi objectives. There is a need for Maori staff to become more fully
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involved in the decision-making processes of the University. It is recommended that a comprehensive plan for the achievement of AUTs Treaty objectives be developed and adopted by the University as a matter of priority. Te Ara Poutama, the Faculty of Maori Development, is a powerful nucleus of development of a Maori profile for the whole of AUT and is commended for its achievements to date.
Staff Matters: Both University management and the members of staff unions are commended on establishing effective collegial working relationships based on trust and mutual respect. AUT has recognised that there is a need to devise a strategy to formalise and consistently apply performance appraisal for academic and allied staff, and this is endorsed by the Panel. Induction processes for new staff and new Heads of Department/School are variable and need to be strengthened. The academic promotions policy is currently under review. It is important that this policy contributes to the creation of a cohesive faculty and AUT must be wary of unintentionally creating a division in its academic staff between those who use their research ability in their promotion applications and those who do not.
Modules and Programmes: Procedures in place for the approval of new programmes and review of existing programmes are robust and effective. AUT is commended for the establishment of the Treaty of W aitangi Academic Standards Committee. Programme Advisory Committees, which comprise AUT staff and representatives of industry and the professions, assist AUT in fulfilling its objective of identifying and meeting the needs of its key stakeholder groups.
Teaching, Learning and Assessment: AUT makes a strong commitment to teaching and learning. The Teaching and Learning Development Plan needs to be finalised and implemented without further delay. The Centre for Professional Development assists AUT in meeting its teaching and learning objectives, but the Centres ability to assist individual lecturers is constrained by its exclusion from the feedback loop for student surveys of teaching. The Library does not currently have the infrastructure or resources to support distance student demand for access to print resources and the Panel urges that an early resolution to the matter be found.
Research and Teaching: A major characteristic of AUT is its strong emphasis on teaching, with relatively less emphasis having been placed historically on research. AUTs major focus with respect to research in recent years has been developing a research culture and building research capacity, and progress is evident. The Associate Deans (Research) are commended for the important contribution they are making to the development of AUTs research culture. The initiative shown in the establishment of the Technology Park is commended, but objectives need to be specified for this venture, with clear indicators developed for measuring progress towards these objectives. AUT has made a relatively rapidexpansionintopostgraduateteachingandsomegoodsupportmechanismsarein place for postgraduate research students.
Reviews:has a comprehensive system of periodic reviews of programmes. Annual AUT programme reports and cyclic programme reviews provide an effective means of
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monitoring programmes. Reviews of schools/departments, faculties and service divisions are commissioned from time to time.
Feedback Processes:An array of surveys are routinely undertaken at AUT. With respect to the student evaluations of modules and teaching, there is further scope to improve the co-ordination of feedback.
Joint, Franchised and External Programmes: There is a lack of co-ordinated monitoring of the effectiveness of AUT joint, franchised and inter-institutional activities. The need to establish a process to ensure consistent monitoring of, and cohesive strategies for, AUTs activities in this area is acknowledged by AUT.
Support for Students:greerenntdewesdesatiwyllaelpervices,hmostsgnhaetlicnulidhSut and counselling, International Students Centre, the helpfulness and responsiveness of Library staff, orientation and the role played by the student association, Auckland Student Movement at AUT (AuSM). The formal relationship between the University and AuSM is an open and effective one.
Facilities and Resources:Panel received consistently good reports from students and The staff about the service provided by Library staff and the Library is commended for identifying and meeting the needs of its various client groups. Although the Librarys budget for monographs and serials has increased dramatically over recent years, the collection is currently still insufficient to adequately support research and postgraduate students across all disciplines. However, in recognition of the need for better library access for staff and postgraduate students, AUT has an agreement with the University of Auckland to allow these groups access to the University of Auckland library.
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List of Recommendations
Audit Report
Recommendation 1 That, as identified in its self-review, AUT undertake a study of the extent to which students staircase into higher AUT programmes, so as to document and assess the value of staircasing to students.
Recommendation 2 That the Deputy Vice-Chancellors work more closely with faculties in monitoring the implementation of University policy.
Recommendation 3 That, as a matter of priority, the Deputy Vice-Chancellor (Maori Advancement) develop, and have adopted, a comprehensive plan for the achievement of AUTs strategic objectives in relation to the Treaty of W aitangi. The development of this plan should involve widespread consultation with staff, particularly Maori staff and the plan itself should address processes through which Maori staff can fully participate in University decision-making.
Recommendation 4 That, in devising the targeted plan for the recruitment of Maori staff, the expertise and networks of current AUT Maori staff and external Maori communities be incorporated while ensuring that the principles of Equal Employment Opportunity are maintained.
Recommendation 5 That the setting of Maori student recruitment targets and the means of achieving them be incorporated into the comprehensive plan to be prepared by the Deputy Vice-Chancellor (Maori Advancement) (see Recommendation 3).
Recommendation 6 That a workshop programme be developed on the Treaty of Waitangi as a means for staff todiscusstheUniversitysTreatyobjectivesandexplorestrategiesthroughwhichstaffcan make them manifest. Attendance at this programme should be made mandatory for all new staff at AUT and all staff in academic and administrative management positions.
Recommendation 7 That Heads of Departments/Schools ensure all new staff attend the induction programme.
Recommendation 8 That: AsAUTs self-review, a strategy be developed to formalise and recognised by consistently apply the Individual Development Plan and performance appraisal process for all academic and allied staff. The Individual Development Plan process, by which the expectations of staff are set and monitored, be discussed as part of the induction programme for new staff.
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Recommendation 9 That AUT develop a mandatory induction programme for all Heads of Department and Heads of School.
Recommendation 10 That AUT ensure that the Teaching and Learning Development Plan is implemented without further delay across all faculties.
Recommendation 11 That the Centre for Professional Development be included in the feedback loop for the results of student evaluations of teaching.
Recommendation 12 That all teaching staff be required to carry out student evaluations of their teaching annually as part of the Individual Development Plan process.
Recommendation 13 That greater information be made available to staff regarding alternative options of employment contracts.
Recommendation 14 That objectives for the Technology Park and clear indicators for measuring progress towards these objectives be devised and communicated to staff.
Recommendation 15 That changes be made to the six-monthly reporting forms for postgraduate students to ensure that the student is the final person to sign the form and that co-supervisor(s) and programme leaders have been appropriately consulted with respect to the report.
Recommendation 16 That a process to ensure monitoring of AUTs joint, franchised and inter-institutional activities be established.
Recommendation 17 That the Library consider investing in defined areas in more depth so as to bring these collections up to international standard.
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Abbreviations
Audit Report
The following abbreviations are used in this Report. They are explained in context.
AAU AuSM CPD DSB IDP IRU PAC PARC SEM TLDP TML TWASC
New Zealand Universities Academic Audit Unit Auckland Student Movement at AUT Centre for Professional Development Doctoral Studies Board Individual Development Plan Institutional Research Unit Programme Advisory Committee Programme Approval and Review Committee Student Evaluation of Module Teaching and Learning Development Plan Technology-mediated Learning Treaty of W aitangi Academic Standards Committee
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