Frequently asked questions about the AUQA audit
General FAQs
The Audit visit
- What is the purpose of the AUQA audit visit?
- Who will be on the University AUQA panel?
- Who will the AUQA panel want to meet?
- How should I prepare for AUQA
- What happens after the AUQA visit?
The Portfolio - Staff only area. Login Required.
- Who is responsible for preparing the University's Audit Portfolio?
- What is the focus of the University's 2010 Portfolio?
- What will the University of Melbourne AUQA portfolio contain?
General FAQs
What is AUQA?
(This text is sourced from AUQA?s website)
AUQA is the principal national quality assurance agency in higher education with the responsibility of providing public assurance of the quality of Australia?s universities and other institutions of higher education, and assisting in enhancing the academic quality of these institutions.
AUQA was formally established by the Ministerial Council on Education, Training and Youth Affairs (MCEETYA) in March 2000.
It operates independently of governments and the higher education sector under the direction of a Board of Directors. AUQA is owned by and receives core, operational funding from the Commonwealth, State and Territory Ministers for higher education who are members of MCEETYA.
The objectives of AUQA are to:
- Arrange and manage a system of periodic audits of:
- the quality of the academic activities, including attainment of standards of performance and outcomes of Australian universities and other higher education institutions
- the quality assurance arrangements intended to maintain and elevate that quality
- compliance with criteria set out in the National Protocols for Higher Education Approval Processes
- Arrange and manage a system of periodic audits of the quality assurance processes, procedures, and outcomes of State, Territory and Commonwealth higher education accreditation authorities including their impact on the quality of higher education programs; and monitor, review, analyse and report on the outcomes of those audits.
- Publicly report periodically on matters relating to quality assurance, including the relative standards and outcomes of the Australian higher education system and its institutions, its processes and its international standing, and the impact of the National Protocols for Higher Education Approval Processes on Australian Higher Education, using information available to AUQA from its audits and other activities carried out under these Objectives, and from other sources.
- Develop partnerships with other quality agencies in relation to matters directly relating to quality assurance and audit, to facilitate efficient cross-border quality assurance processes and the international transfer of knowledge about those processes.
and monitor, review, analyse and provide public reports on the quality of outcomes in Australian universities and higher education institutions.
Additional information about AUQA is available on the AUQA website.
Focus of 2010 Audit
In its second five year audit cycle (Cycle 2) AUQA intends to focus on two thematic areas in greater depth (rather than all aspects of institutional performance as was the focus of the first cycle of audits). In response to sector and Government feedback, the audits are also focussed on standards and outcomes rather than processes. In contrast, Cycle 1 audits were 'whole of institution' audits of QA arrangements.
The main differences with the Cycle 1 Audits are:
- Inclusion of an Update to 'close the loop' on recommendations and affirmations from Cycle 1 audits
- identification of two themes for detailed attention informed by an assessment of academic risk
- an approach which will explicitly encompass standards, performance and outcomes, guided by consideration of academic risk and its management
- a greater emphasis on institutional standards and performance outcomes, with attention to benchmarking activities and their effect on standards and outcomes
- an investigation of how academic standards are determined, applied, maintained, monitored and met
- greater emphasis on external reference points, including whether the institution satisfies the relevant National Protocols for Higher Education Approval Processes
- clearer evidence of the relation between processes and outcomes.
The new emphases on standards, outcomes, and benchmarks mean that we will need the assistance of departments, schools and faculties for evidence.
The Performance Portfolio
The Performance Portfolio must show evidence of being a genuine self-review, making use of appropriate standards and benchmarks and with all data validated. The Portfolio should clearly identify strengths and weaknesses proposing actions on any weaknesses identified. A word limit of 20,000 is specified for the core document.
What happens to the AUQA reports?
Audit reports are released publicly by AUQA and made available on the AUQA website.
The Audit report will provide a series of affirmations (areas of improvement already identified by the university), recommendations (areas noted for improvement) and commendations (areas of good practice). A review of progress against the Cycle 1 Audits is included in the report.
The Audit visit
What is the purpose of the AUQA audit visit?
The purpose of the audit visit is to allow the panel to test the statements and descriptions in the University's Performance Portfolio and acquire further insight into the University's operation through first-hand investigation. Those who meet the panel are invited to explain the University's strengths and discuss any difficulties being faced. In their role as colleagues and peers, audit panel members seek to establish a genuine dialogue with those they meet. The visit allows the panel to make an interpretation and judgment of the evidence it has been given.
Who will be on the Audit panel?
AUQA appoints a panel of auditors. Two are from other universities within the Australian Higher Education sector, one from overseas, one from industry or commerce, and the fifth is a member of AUQA staff.
The panel for the 2010 visit will be appointed later in the year.
Who will the AUQA panel want to meet?
While recognising that many staff have more than one area of responsibility, the AUQA Panel generally prefers to see people no more than once. The AUQA Panel often specifies the exact people or office holders it wishes to meet. The AUQA Panel recognises that other commitments may make it impossible for everyone it has selected to attend an interview at the nominated time and in such cases alternative interviewees are nominated.
As a general rule, groups will contain no more than eight people, except for the lunch groups, when the panel will split with each panel member speaking to a group of approximately seven people.
How should I prepare for AUQA
The AUQA panel will be looking at the adequacy of the University's quality processes. All staff should be aware of the University's Quality framework and its implications for them as individuals as well as for their work in their departments.
The annual cycles of planning, performance monitoring, quality assurance and reporting which operate in the University of Melbourne are set out in the document Ensuring Accountability.
If you are selected to meet the audit panel you will be invited to participate in briefings about the audit visit process and to discuss the portfolio ahead of the visit.
What happens after the AUQA visit?
AUQA prepares an audit report on each university it visits. The reports are publicised on the AQUA website.
The AUQA Report, which is released about three months after the Audit visit, will include:
The AUQA Report, which is released about three months after the Audit visit, will include commendations identifying commendable practices, and recommendations identifying areas the AUQA panel believe require improvement. The Report will also include a list of affirmations, which are those areas the panel believe require improvement but which have already been identified as such by the University with action taken to redress concerns.
The University is required to respond to the report, and to publish periodic reports on progress toward meeting recommended improvements.