Policy 030:
Progress Reports: Audits from 2008
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
- 12 months after AUQA has published an audit report on a self-accrediting institution or government accreditation authority, that body is required to provide AUQA with a Progress Report outlining actions it has taken in response to the Audit Report.
- The Progress Report should spell out actions already taken, in train or planned. The auditee should state if it considers that a recommendation or affirmation (R/A) has now been fully dealt with. 'Fully dealt with' does not necessarily mean 'finished': it might mean that the necessary actions have now been incorporated into the auditee's continuing processes. Where a R/A has not yet been completed, an anticipated completion date should be given. Specifically, the organisation is expected to report either demonstrable progress against each R/A, or established plans for addressing the R/A, or sound reasons why the R/A will not be pursued.
- The institution or agency may also wish to report benefits it has been able to derive from commendations.
- The Progress Report is (if possible) considered by the panel chair and by an AUQA staff member (if possible, the one on the original panel).
- The AUQA staff member visits the organisation to discuss and clarify the Progress Report, paying most attention to the urgent Recommendations and Affirmations.
- 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 after the visit to the auditee AUQA is still not satisfied that the (possibly revised) response is clear in this respect, the Executive Director writes to the CEO of the auditee advising:
- report unsatisfactory
- reasons
- date for rectification
- willingness to discuss further
- 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 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.
- 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. Note
NSAI HEP audits are currently carried out by AUQA on behalf of DEEWR. The processes for action plans and progress reports are therefore determined and implemented by DEEWR, which seeks AUQA's advice on the auditee's plan or report.
4. Approval
This policy was originally approved on 24 November 2009
Note: This policy applies to SAI and agency audits for which the audit visit took place from the beginning of 2008 onwards.
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