Policy 026:
Progress Reports
1. Purpose
Approximately 18 months to 24 months after the publication of the Audit Report, AUQA writes to the auditees to request a Progress Report against the recommendations and affirmations. The Progress Report must be made publicly available on the auditee’s own website. AUQA will not attempt to ‘audit’ the report, but will focus on whether it clearly shows what the auditee has done in response to the recommendations and affirmations. If AUQA is not satisfied that the response is clear in this respect, it will request the auditee to improve the public response as necessary. When the Progress Report has been mounted on the auditee’s website, the auditee will inform AUQA of the URL and AUQA will provide a link to the Progress Report from the AUQA website.
The following statement is the AUQA policy on Progress Reports (Policy Number 026).
2. Policy
Approximately 18 months to 24 months after AUQA has published an institution or agency’s Audit Report, that institution or agency is required to publish a Progress Report outlining actions it has taken in response to the Audit Report.
Specifically, an institution or agency is expected to report either demonstrable progress against each recommendation/affirmation, or established plans for addressing the recommendation/affirmation, or sound reasons why the recommendation/affirmation will not be pursued. The institution or agency may also wish to report benefits it has been able to derive from commendations.
AUQA’s expectation is that Progress Reports will be sufficiently detailed that an informed person reading the Audit Report recommendations and the Progress Report would be able to understand what had been done and whether it had addressed the issue raised by AUQA.
AUQA does not provide public comment on the Progress Reports and does not audit them. However, it may discuss aspects of the draft Progress Report with the institution or agency prior to publishing a link to the final Progress Report on the official AUQA website.
In each case, the Progress Report is included in the scope for that institution’s or agency’s next AUQA audit.
Guidelines
- The auditee’s Progress Report is received by AUQA
- If possible, the Report is considered by the AUQA staff member on the original panel, and by the Panel Chair.
- AUQA does not attempt to ‘audit’ the Report, but focuses on whether it clearly shows what the auditee has done in response to the recommendations.
- AUQA applies the test: ‘Could an informed person, reading the recommendation or affirmation and the response, understand what had been done and whether it addressed the issue?’
- If AUQA is not satisfied that the response is clear in this respect, the Executive Director writes to CEO of auditee advising that the Report is unsatisfactory, the reasons, a date for rectification, and a willingness to discuss the issues.
- If the Progress Report is not rectified, the AUQA Executive Director reports to the AUQA Board, the Chair of the AUQA Board will write to the CEO of the auditee (with a copy to the relevant minister) and a consultation process will be set up, using a consultation group.
- The consultation group consists of two members from the auditee (selected by the auditee), one AUQA staff member, and one AUQA auditor (selected by AUQA).
- Results of the consultation are reported to the AUQA Board for final determination.
- The determination may be a mutually agreed course of action, that is then publicised with the Progress Report on the website.
- The determination may be a lack of agreement and therefore a report to the minister, possibly recommending a sanction.
- Satisfactory Progress Reports are posted on the auditee’s website, with a link from the AUQA website.
Approval
This policy was approved on 24 March 2005.
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