Audit Manual Version 7.1

Australian Universities Quality Agency

Informations

• Publié par: Kivim
• Nombre de lectures: 77
• Langue: English

Extrait

AUSTRALIAN
UNIVERSITIES
QUALITY AGENCY







Audit Manual
Version 7.1








July 2010

























AUQA Audit Manual, Version 7.1

ISBN 978 1 921561 38 2


Copyright © Australian Universities Quality Agency 2010


Level 10, 123 Lonsdale Street
Melbourne, VIC, 3000
Australia
Ph 61 3 9664 1000
Fax [phone]

[e-mail]

www.auqa.edu.au


The Australian Universities Quality Agency receives financial support
from the Commonwealth, state and territory governments of Australia.


TABLE OF CONTENTS

ABBREVIATIONS ................................................................................................. 1 ..
INTRODUCTION TO VERSION 7.1................................................................... 3
PART 1: GENERAL AUDIT MMA ANUAL.............................................................. 5
1. IINNTRROODUCCTTIIOON TO AUQA ................................................................................................................5
1.1 Context for AUQA ..................................................................................................................5
1.2 AUQA’s Objectives.................................................................................................................5
1.3 ADRI .......................................................................................................................................6
1.4 AUQA Audit Stages ................................................................................................................7
2. BEFORE THE AUDIT VISIT...............................................................................................................9 2. BEFORE THE AUDIT VISIT...............................................................................................................9
2.1 Initiating the Process ...............................................................................................................9
2.2 Panel Selection ........................................................................................................................9
2.3 Preparing for Audit................................................................................................................10
2.4 The Audit Panel’s Investigations...........................................................................................10
2.4.1 The Performance Portfolio10
2.4.2 Portfolio Meeting..........................................................................................................11
2.4.3 Preparatory Visit12
2.4.4 Following the Preparatory Visit...................................................................................12
3. THE AUDIT VISIT.............................................................................................................................13 3. THE AUDIT VISIT.............................................................................................................................13
3.1 Parameters of the Audit Visit ................................................................................................13
3.2 Typical Visit Format..............................................................................................................13
3.2.1 Panel Preparations.......................................................................................................13
3.2.2 Auditee Preparations....................................................................................................14
3.2.3 Interview Sessions ........................................................................................................14
3.2.4 Open Session ................................................................................................................15
3.2.5 In-situ Interviews..........................................................................................................15
3.2.6 Flexibility......................................................................................................................15
3.2.7 Panel-only Meetings.....................................................................................................16
3.2.8 Exit Meeting..................................................................................................................16
4. THE AUDIITT RREEPORRTT..........................................................................................................................17
4.1 General Parameters................................................................................................................17
4.2 Audit Report Content and Writing Process ...........................................................................17
4.2.1 Content and Format .....................................................................................................17
4.2.2 Commendations, Affirmations and Recommendations .................................................17
4.2.3 Writing the Audit Report...............................................................................................18
4.3 Approval of the Audit Report ................................................................................................18
4.3.1 The Definitive Draft......................................................................................................18
4.3.2 Responsibilities of the AUQA Board with Respect to Audit Reports............................18
4.4 The Final Report....................................................................................................................19
4.4.1 The Public Release .......................................................................................................19
4.4.2 Review of Audit Reports................................................................................................19
5. AFTERR THE AUDIITT VIISSIITT .................................................................................................................21
5.1 Feedback................................................................................................................................21
5.2 Sharing Good Practices Identified Through Audit ................................................................21
5.3 Audit Report Implementation ................................................................................................21
5.3.1 Approach to Monitoring ...............................................................................................21
5.3.2 Progress Report............................................................................................................22
5.3.3 Subsequent Audit ..........................................................................................................22
6. AUDIT FEES.......................................................................................................................................23 6. AUDIT FEES.......................................................................................................................................23
PART 2: MANUAL FOR SELF-ACCREDITING INSTITUTIONS .............. 25 MA
7. CCYYCCLLE 2 AUDIITTS OF SELF--AACCCRECREDIITTIINNG IINNSTIITTUTIIOONS.....................................................25
7.1 Overview of Cycle 2 Audits ..................................................................................................25
7.2 Similarities and Differences Between Cycle 1 and Cycle 2 Audits.......................................26
7.2.1 Main Similarities Between Cycle 1 and Cycle 2 Audits................................................26
7.2.2 Main Differences Between Cycle 1 and Cycle 2 Audits26
7.3 Audit Scope ...........................................................................................................................27
7.3.1 Progress Since Cycle 1 .................................................................................................27
7.3.2 Academic Standards and Outcomes .............................................................................27
7.4 Thematic Areas for Audit ......................................................................................................28
7.4.1 Identification of Themes ...............................................................................................28
7.4.2 Definition of Themes.....................................................................................................29
7.4.3 Example Themes and Sub-themes.................................................................................29
7.5 Institutional Audit Panel Composition ..................................................................................31
7.6 Performance Portfolio............................................................................................................31
7.6.1 Required Content32
7.6.2 Appendices....................................................................................................................33
7.6.3 Supporting Material34
7.6.4 Size of Portfolio ...................................................