Australian Universities Quality Agency (AUQA)

AUQA Audits - Cycle 1

Conduct of Audits

AUQA Cycle 1 audits were conducted in accordance with its audit manual, which was updated on a regular basis.

Indicative Scope of AUQA Audits

In its audit manual, AUQA specified the indicative scope of its audits as including:

organisational leadership and governance, planning;
teaching and learning (all modes); processes for program approval and monitoring; comparability of academic standards in on-shore and off-shore programs;
research activities and outputs, including commercialisation;
community service activities;
internationalisation, including contracts with overseas partners;
support mechanisms for staff and students;
communication with internal and external stakeholders;
systematic internally-initiated reviews (e.g. of departments, themes), including the rigour and effectiveness of the review mechanisms employed; and
administrative support and infrastructure.

AUQA Audit Timetable

(per AUQA's audit manual)

Timeline	Activity	Agent
At least 9 months prior to Portfolio submission	Auditees are selected for audit	AUQA Board
	Auditees are notified of their selection for audit and are invited to provide a short written statement of any particular distinguishing features or contextual issues that should be taken into account by AUQA in its selection of possible audit panel members (see section 4.2)	AUQA/Auditee
	Preliminary negotiation of preferred Audit Visit timing begins	AUQA/Auditee
At least 3 months prior to Portfolio submission	Auditee asked to review names of potential panel members for possible conflicts of interest (see section 4.3)	Auditee
At least 3 months prior to Portfolio submission	Preliminary negotiation of preferred Audit Visit timing begins. Audit Panel appointed and dates finalised. Details confirmed to auditee.	AUQA
Week 1	Performance Portfolio submitted to AUQA	Auditee
	Performance Portfolio distributed to panel members	AUQA
	Hotel and travel bookings made for panel members to attend Portfolio Meeting	AUQA
Week 3	Panel members provide initial brief written comments on the Portfolio	Panel
Week 3	Comments circulated to all panel members	AD
Week 4/5	Portfolio Meeting of panel to discuss approach to be adopted for the audit (including whether visits to off-shore sites will be necessary) and identify any further information required. This meeting typically occupies a full day.	Panel
Week 4/5	Panel informed of administrative/travel arrangements for the Audit Visit	AD/AUQA
Week 5	Notes from Portfolio Meeting prepared and preliminary Audit Visit program drafted. Documentation sent to other panel members for rapid comment and response	AD/Panel
Week 6	Draft Audit Visit program, requests for further information required, details of off-shore sites to be visited (if any) & parameters for Preparatory Visit sent to auditee	AD
	For Agency Audit Only: AUQA surveys a selection of the institutions within the agency’s jurisdiction. Some panel members may visit some of these institutions	Some panel members
	Finalise program for Preparatory Visit	AD/Auditee
Week 6/7	Preparatory Visit: Panel Chair and AD visit auditee to discuss draft Audit Visit program, requests for further information, logistics for Audit Visit & any other related matters	AD/ Panel Chair/ Auditee
Week 8	Auditee invoiced	AUQA
Week 9	Auditee sends AUQA the further information requested	Auditee
	Final Audit Visit program sent to auditee	AD
	Final Audit Visit program and further information requested sent to the panel	AD
Week 10	Auditee send provisional list of names and positions of interviewees, for each Audit Visit session, to AUQA for comment	Auditee
Week 10/11	For Institution Audit Only: Visits to selected off-shore operations (if any)	Some panel members
Week 10/11	For Agency Audit Only: of surveys are collated. Follow-up for further information (if necessary)	AD
Week 11/12	Further brief written comments and full interviewee list for Audit Visit circulated around panel members	AD
	Panel members send AD comments on further documentation received	Panel
	AD and Panel Chair review process	AD/ Panel Chair
Week 12/13	For Institution Audit Only: Report of any visit(s) to on- or off-shore partners circulated to all panel members	AD
Week 14/15	Audit Visit (varies in length from 2 to 5 days; see chapter 10)	Auditee/Panel
Week 16	Panel may comment on style and format of Portfolio and logistics of Audit Visit for information of the auditee	AD
Week 16/17	Audit Report drafted and circulated to other panel members	AD
Week 18/19	Panel members return comments on draft report to AD	Panel
Week 20/21	Report revised and circulated to other panel members	AD
Week 22/23	Panel members return comments on draft report to ADPanel members return comments on draft report to AD	Panel
Week 22/23	Audit Report revised and sent to: i. auditee (for comment on fact and emphasis; see section 6.3) ii. AUQA Board (for information) iii. other panel members (for comment if desired)	AD
Week 25	Auditee responds to definitive draft of Audit Report	Auditee
Week 27	Audit Report finalised	AD/Panel Chair
Week 27	Report sent to AUQA Board for approval of release	AD
Week 28/29	Report approved if no objections	AUQA Board
Week 28/29	Report printed	AUQA
Week 29	Report sent to auditee and panel (embargoed for up to two weeks, as agreed with auditee)	AD
Week 31	Audit Report publicly released Placed on AUQA website and distributed to interested persons/bodies	AUQA
Week 32+	Feedback on audit process sought by AUQA from auditee and panel members	Auditee/ Panel
Week 32+	AUQA Board Chair telephones Vice-Chancellor or Head of Agency to invite any brief oral comments to supplement written feedback	AUQA Chair
Week 32+	Good practices noted for inclusion in the AUQA Good Practice Database	AD
	Recommendations recorded in a form to facilitate monitoring	AD
	Short report on the audit prepared for presentation to the next AUQA Board meeting	AD
Within 3-4 months of Audit Report release	AUQA requests auditee to provide ‘action plan’ showing intentions for addressing the findings of the Audit Report	AD/ Auditee
	Feedback to auditee on Action Plan, as appropriate	AD
	Note on AUQA website that the Action Plan has been received	AUQA
Approximately 1-2.5 years after Audit Report release	AUQA requests auditee to provide a ‘progress report’ indicating actions taken in response to the Audit Report and their effect	AD/ Auditee
Approximately 1-2.5 years after Audit Report release	AUQA publishes a short report on the auditee’s progress in addressing the Audit Report	AD
Approximately 5 years after the Audit Visit	AUQA reviews auditee responses to Audit Report in the context of the next audit	AD

Audit Reports

Audit reports and any associated progress reports to implement the report recommendations and affirmations are publicly available on AUQA’s web site.

The University’s Quality Manager has prepared a summary of commendations, recommendations and affirmations for universities already audited by AUQA.