AUQA Audit Manual v3

Please read the cover note from AUQA’s Executive Director, available online.

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Introduction

PART 1: CONTEXT

1: Introduction to AUQA

  • 1.1 Context for AUQA
  • 1.2 AUQA’s Objectives
  • 1.3 AUQA Mission, Values and Vision
    • 1.3.1 Mission
    • 1.3.2 Values
    • 1.3.3 Vision
  • 1.4 AUQA Structure
    • 1.4.1 Members
    • 1.4.2 Directors
    • 1.4.3 Staff
    • 1.4.4 Register of Auditors
  • 1.5 Relations with Other Organisations
  • 1.6 Quality Improvement

2. Introduction to Quality Audit

  • 2.1 Quality Audit and AUQA’s Investigations
  • 2.2 Internally and Externally Derived Objectives
  • 2.3 National Protocols for Higher Education Approval Processes
  • 2.4 Self-Review
    • 2.4.1 Value of Self-Review
    • 2.4.2 Nature of Self-Review
  • 2.5 Other Internal and External Reviews
  • 2.6 Approach to Audit


PART 2: PROCEDURES

3. Stages in an AUQA Audit

4. Before the Audit Visit

  • 4.1 The Audit Process
  • 4.2 Initiating the Process
  • 4.3 Panel Selection
  • 4.4 Self-Review
  • 4.5 The Audit Panel’s Investigations (see also sections 3, 5 and 6)
    • 4.5.1 The Performance Portfolio
    • 4.5.2 Portfolio Meeting
    • 4.5.3 Preparatory Visit
    • 4.5.4 Following the Preparatory Visit

5. The Audit Visit

  • 5.1 Parameters of the Audit Visit
  • 5.2 Typical Visit Format
    • 5.2.1 Panel Preparations
    • 5.2.2 Auditee Preparations
    • 5.2.3 Interview Sessions
    • 5.2.4 Open Session
    • 5.2.5 In-situ Interviews
    • 5.2.6 Flexibility
    • 5.2.7 Panel-only Meetings
    • 5.2.8 Exit Meeting

6. The Audit Report

  • 6.1 General Parameters
  • 6.2 Audit Report Format and Writing Process
    • 6.2.1 Format
    • 6.2.2 Commendations, Recommendations and Affirmations
    • 6.2.3 Writing the Audit Report
  • 6.3 Approval of the Audit Report
    • 6.3.1 The Definitive Draft
    • 6.3.2 Responsibilities of AUQA Board with Respect to Audit Reports
  • 6.4 The Final Report
    • 6.4.1 The Public Release
    • 6.4.2 Review of Audit Reports

7. After the Audit Visit

  • 7.1 Feedback
  • 7.2 Sharing Good Practices Identified Through Audit
  • 7.3 Audit Report Implementation
    • 7.3.1 Approach to Monitoring
    • 7.3.2 Progress Report
    • 7.3.3 Subsequent Audit


PART 3: INFORMATION FOR AUDITEES

8. Notes for Institutions

  • 8.1 Institutional Audit Scope
  • 8.2 Institutional Audit Panel Composition
  • 8.3 Performance Portfolio
    • 8.3.1 Scope
    • 8.3.2 Overall Structure and Format
    • 8.3.3 Core Document
    • 8.3.4 Appendices
    • 8.3.5 Supporting Material
    • 8.3.6 Additional Material
  • 8.4 Prior to the Audit Visit
  • 8.5 Institutional Audit Visit Program
    • 8.5.1 Outline
    • 8.5.2 Scope
    • 8.5.3 Indicative Program for an Institution Audit Visit
  • 8.6 The Audit Report

9. Notes for Accrediting Agencies

  • 9.1 Agency Audit Scope
  • 9.2 MCEETYA National Protocols and Relationship to AUQA Audits
    • 9.2.1 Implementation of the National Protocols Through Legislation
    • 9.2.2 Protocol 1
    • 9.2.3 Protocol 2
    • 9.2.4 Protocol 3
    • 9.2.5 Protocol 4
    • 9.2.6 Protocol 5
  • 9.3 Agency Panel Composition
  • 9.4 Performance Portfolio
    • 9.4.1 Scope
    • 9.4.2 Overall Structure and Format
    • 9.4.3 Core Document
    • 9.4.4 Appendices
    • 9.4.5 Supporting Material
    • 9.4.6 Additional Material
  • 9.5 Prior to the Audit Visit
  • 9.6 Agency Audit Visit Program
    • 9.6.1 Scope
    • 9.6.2 Indicative Program for an Agency Audit Visit
  • 9.7 The Audit Report

10. Audit Fees


PART 4: INFORMATION FOR AUDITORS

11. Audit Panels – Composition, Characteristics and Actions

  • 11.1 Extended Peer Review
  • 11.2 Auditor Characteristics
  • 11.3 AUQA Honorary Auditors – Training
  • 11.4 Roles and Responsibilities of Panel Members
  • 11.5 Additional Roles and Responsibilities of the Panel Chair
  • 11.6 Additional Roles and Responsibilities of the AUQA Staff Member
  • 11.7 Summary Timeline
  • 11.8 Observers on Audit Panels
    • 11.8.1 Purpose
    • 11.8.2 Policy
    • 11.8.3 Guiding principles
    • 11.8.4 Procedures
    • 11.8.5 References
    • 11.8.6 Approvals
  • 11.9 Information-Gathering Techniques
    • 11.9.1 The Need for Evidence
    • 11.9.2 Sampling
    • 11.9.3 Tracking or Trailing
    • 11.9.4 Triangulation
    • 11.9.5 Styles of Questioning at Audit Visits

12. Conflicts of Interest

  • 12.1 Purpose
  • 12.2 Policy
  • 12.3 Guidelines
  • 12.4 Approvals

13. Privacy of Information and Freedom of Information

  • 13.1 Privacy of Information Policy
    • 13.1.1 Background
    • 13.1.2 Policy
  • 13.2 Freedom of Information Policy
    • 13.2.1 Purpose
    • 13.2.2 Background
    • 13.2.3 Policy

14. Auditing Overseas Activities

  • 14.1 Purpose
  • 14.2 Policy
  • 14.3 Guidelines
    • 14.3.1 Audit Principles
    • 14.3.2 Seven Factors to Consider
    • 14.3.3 Implementation
  • 14.4 Approvals

15. Administrative Arrangements for Honorary Auditors

  • 15.1 Purpose
  • 15.2 Policy
  • 15.3 Guidelines
    • 15.3.1 Travel Arrangements: Australian-based Auditors
    • 15.3.2 Travel Arrangements: International Auditors
    • 15.3.3 Other Expenses
    • 15.3.4 Alternative Travel Arrangements
    • 15.3.5 Travel and Medical Insurance and Travel Safety
    • 15.3.6 Accommodation and Expenses
    • 15.3.7 Honoraria
  • 15.4 References
  • 15.5 Approvals
  • 15.6 Car Rates Policy 004
    • 15.6.1 Purpose
    • 15.6.2 Policy
    • 15.6.3 Guidelines
    • 15.6.4 Approvals


PART 5: ANCILLARY MATERIALS

ABBREVIATIONS

BIBLIOGRAPHY

 

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