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

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Introduction to version 4.1

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
• 2.2 External Reference Points
  • 2.2.1 National Protocols for Higher Education Approval Processes
  • 2.2.2 Benchmarking and Comparative Data
  • 2.2.3 Audits under the ESOS National Code
• 2.3 Self-Review
  • 2.3.1 Value of Self-Review
  • 2.3.2 Nature of Self-Review
• 2.4 Approach to Audit

PART 2: STAGES IN AN AUQA AUDIT

3. Before the Audit Visit

• 3.1 Initiating the Process
• 3.2 Panel Selection
• 3.3 Preparing for Audit
• 3.4 The Audit Panel’s Investigations
  • 3.4.1 The Performance Portfolio
  • 3 4.2 Portfolio Meeting
  • 3.4.3 Preparatory Visit
  • 3.4.4 Following the Preparatory Visit

4. The Audit Visit

• 4.1 Parameters of the Audit Visit
• 4.2 Typical Visit Format
• 4.2.1 Panel Preparations
• 4.2.2 Auditee Preparations
• 4.2.3 Interview Sessions
• 4.2.4 Open Session
• 4.2.5 In-situ Interviews
• 4.2.6 Flexibility
• 4.2.7 Panel-only Meetings
• 4.2.8 Exit Meeting

5. The Audit Report

• 5.1 General Parameters
• 5.2 Audit Report Format and Writing Process
  • 5.2.1 Content and Format
  • 5.2.2 Commendations, Affirmations and Recommendations
  • 5.2.3 Writing the Audit Report
• 5.3 Approval of the Audit Report
  • 5.3.1 The Definitive Draft
  • 5.3.2 Responsibilities of AUQA Board with Respect to Audit Reports
• 5.4 The Final Report
  • 5.4.1 The Public Release
  • 5.4.2 Review of Audit Reports

6. After the Audit Visit

• 6.1 Feedback
• 6.2 Sharing Good Practices Identified Through Audit
• 6.3 Audit Report Implementation
• 6.3.1 Approach to Monitoring
• 6.3.2 Progress Report
• 6.3.3 Subsequent Audit

7. Audit Fees

PART 3: INFORMATION FOR AUDITEES

8. Cycle 2 Audits of Self-Accrediting Institutions

• 8.1 Overview of Cycle 2 Audits
• 8.2 Similarities and Differences Between Cycle 1 and Cycle 2 Audits
  • 8.2.1 Main Similarities Between Cycle 1 and Cycle 2 Audits
  • 8.2.2 Main Differences Between Cycle 1 and Cycle 2 Audits
• 8.3 Audit Scope
  • 8.3.1 Progress Since Cycle 1
  • 8.3.2 Academic Standards and Outcomes
• 8.4 Thematic Areas for Audit
  • 8.4.1 Identification of Themes
  • 8.4.2 Definition of Themes
  • 8.4.3 Example Themes and Sub-themes
• 8.5 Institutional Audit Panel Composition
• 8.6 Performance Portfolio
  • 8.6.1 Required Content
  • 8.6.2 Appendices and Supporting Material
  • 8.6.3 Size of Portfolio
  • 8.6.4 Submission and Availability of Performance Portfolio
• 8.7 Prior to the Audit Visit
• 8.8 Institutional Audit Visit Program
  • 8.8.1 Outline
• 8.9 The Audit Report

9. First-Time Audits of Self-Accrediting Institutions

• 9.1 Overview of First-time Audits
• 9.2 Audit Scope
• 9.3 Institutional Audit Panel Composition
• 9.4 Performance Portfolio
  • 9.4.1 Content
  • 9.4.2 Appendices
  • 9.4.3 Supporting Material
  • 9.4.4 Size of Portfolio
  • 9.4.5 Submission and Availability of Performance Portfolio
• 9.5 Prior to the Audit Visit
• 9.6 Institutional Audit Visit Program
  • 9.6.1 Outline
  • 9.6.2 Indicative Program for a First-time Audit Visit
  • 9.6.3 Typical timeline for an AUQA audit of an SAI

10. Non Self-Accrediting Institutions

• 10.1 Preparing for AUQA Audits of HEPs under HESA
• 10.2 Stages in an AUQA Audit of a HEP
• 10.3 NSAI Audit Visit Program
  • 10.3.1 Small to Medium-sized Institutions
  • 10.3.2 Large to Medium-sized and Complex Institutions

11. Cycle 2 Audits of Accrediting Agencies

PART 4: INFORMATION FOR AUDITORS

12. Audit Panels — Composition, Characteristics and Actions

• 12.1 Extended Peer Review
• 12.2 Auditor Characteristics
• 12.3 AUQA Honorary Auditors – Training
• 12.4 Roles and Responsibilities of Panel Members
• 12.5 Additional Roles and Responsibilities of the Panel Chair
• 12.6 Additional Roles and Responsibilities of the AUQA Staff Member
• 12.7 Summary Timeline
• 12.8 Observers on Audit Panels
  • 12.8.1 Purpose
  • 12.8.2 Policy
  • 12.8.3 Guiding principles
  • 12.8.4 Procedures
  • 12.8.5 References
  • 12.8.6 Approvals
• 12.9 Information-Gathering Techniques
  • 12.9.1 Gathering Evidence Through Interviews
  • 12.9.2 Sampling
  • 12.9.3 Tracking or Trailing
  • 12.9.4 Triangulation
  • 12.9.5 Styles of Questioning at Audit Visits

13. Conflicts of Interest

• 13.1 Purpose
• 13.2 Policy
• 13.3 Guidelines
• 13.4 Approvals

14. Privacy of Information and Freedom of Information

• 14.1 Privacy of Information Policy
  • 14.1.1 Background
  • 14.1.2 Policy
• 14.2 Freedom of Information Policy
  • 13.2.1 Purpose
  • 14.2.2 Background
  • 14.2.3 Policy

15. Auditing Overseas Activities

• 15.1 Purpose
• 15.2 Policy
• 15.3 Guidelines
  • 15.3.1 Audit Principles
  • 15.3.2 Seven Factors to Consider
  • 15.3.3 Implementation
• 15.4 Approvals

16. Administrative Arrangements for Honorary Auditors

• 16.1 Purpose
• 16.2 Policy
• 16.3 Guidelines
  • 16.3.1 Travel Arrangements: Australian-based Auditors
  • 16.3.2 Travel Arrangements: International Auditors
  • 16.3.3 Other Expenses
  • 16.3.4 Alternative Travel Arrangements
  • 16.3.5 Travel and Medical Insurance and Travel Safety
  • 16.3.6 Accommodation and Expenses
  • 16.3.7 Honoraria
• 16.4 References
• 16.5 Approvals
• 16.6 Car Rates Policy 004
  • 16.6.1 Purpose
  • 16.6.2 Policy
  • 16.6.3 Guidelines
  • 16.6.4 Approvals

PART 5: APPENDICES

Appendix A: Abbreviations

Appendix B: Other References

Appendix C: External References Points

Appendix D: Framework for Risk Assessment

Appendix E: Framework for Standards, Evidence and Outcomes