Policy 026:
Progress Reports: Cycle 1 Audits to 2007
1. Purpose
AUQA seeks a Progress Report some time after an Audit Report has been published, in order to encourage, ascertain, and report on an auditee's progress in addressing the affirmations and recommendations in the audit report.
2. Policy
Process for submission and consideration of report
- Approximately 18 months to 24 months after AUQA has published an institution or agency's Audit Report, the institution or agency is required to provide AUQA with a Progress Report outlining actions it has taken in response to the Audit Report.
- Specifically, the 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.
- If possible, the report is considered by AUQA staff member on original panel, and panel chair; otherwise, by another AUQA staff member.
- AUQA does not provide public comment on the Progress Reports and does not audit them. AUQA focuses on whether it clearly shows what the auditee has done in response to the recommendations, and may discuss aspects of the draft Progress Report with the institution or agency.
- 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?'
Action on unsatisfactory report
- If AUQA is not satisfied that the response is clear in this respect, the Executive Director writes to CEO of auditee advising
- report unsatisfactory
- reasons
- date for rectification
- willingness to discuss
- If Progress Report not rectified
- Executive Director reports to AUQA Board
- AUQA Chair writes to the CEO, cc the relevant minister
- consultation set up
- Consultation group is two members from the auditee (selected by the auditee), one AUQA staff member, one AUQA auditor (selected by AUQA)
- Result of consultation reported to AUQA Board for final determination
- Determination may be a mutually agreed course of action, that is then publicised with the Progress Report on the website
- Determination may be a lack of agreement and therefore a report to the minister, probably recommending a sanction.
Concluding actions
- Once judged to be satisfactory, the Progress Report is posted on the auditee's website, with a link from the AUQA website.
- The Progress Report is included in the scope for the institution's or agency's next AUQA audit
The link should be directly to the Progress Report, which should remain on the auditee's website for at least 12 months from when the link is placed on the AUQA website.
3. Approval
This policy was originally approved on 24 March 2005
Revisions were approved on 05 June 2006
This version was approved on 24 November 2009
Note: This policy applies to SAI and agency audits for which the audit visit took place by the end of 2007.
|
