Audit Manual Version 5.0

AUSTRALIAN
UNIVERSITIES
QUALITY AGENCY







Audit Manual
Version 5.0








June 2008

























AUQA Audit Manual, Version 5.0

ISBN 978 1 877090 84 4


Copyright © Australian Universities Quality Agency 2008


Level 10, 123 Lonsdale Street
Melbourne, VIC, 3000
Australia
Ph 61 3 9664 1000
Fax 61 3 9639 7377

admin@auqa.edu.au

www.auqa.edu.au


The Australian Universities Quality Agency receives financial support
from the Commonwealth, State and Territory Governments of Australia.


TABLE OF CONTENTS

ABBREVIATIONS ................................................................................................. 1
INTRODUCTION TO VERSION 5.0................................................................... 3
PART 1: GENERAL AUDIT MANUAL .............................................................. 5
1. INTRODUCTION TO AUQA ..............................................................................................................5
1.1 Context for AUQA ..................................................................................................................5
1.2 AUQA’s Objectives.................................................................................................................5
1.3 ADRI .......................................................................................................................................6
1.4 AUQA Audit Stages ................................................................................................................7
2. BEFORE THE AUDIT VISIT...............................................................................................................9
2.1 Initiating the Process......9
2.2 Panel Selection ........................................................................................................................9
2.3 Preparing for Audit................................................................................................................10
2.4 The Audit Panel’s Investigations...........................................................................................11
2.4.1 The Performance Portfolio11
2.4.2 Portfolio Meeting..........................................................................................................11
2.4.3 Preparatory Visit...........................................................................................................12
2.4.4 Following the Preparatory Visit ...................................................................................12
3. THE AUDIT VISIT.............................................................................................................................15
3.1 Parameters of the Audit Visit ................................................................................................15
3.2 Typical Visit Format...15
3.2.1 Panel Preparations ........................................................................................................15
3.2.2 Auditee Preparations ....................................................................................................16
3.2.3 Interview Sessions16
3.2.4 Open Session ................................................................................................................17
3.2.5 In-situ Interviews..........................................................................................................17
3.2.6 Flexibility .....................................................................................................................17
3.2.7 Panel-only Meetings.....................................................................................................17
3.2.8 Exit Meeting .................................................................................................................18
4. THE AUDIT REPORT........................................................................................................................19
4.1 General Parameters................................................................................................................19
4.2 Audit Report Content and Writing Process ...........................................................................19
4.2.1 Content and Format ......................................................................................................19
4.2.2 Commendations, Affirmations and Recommendations ................................................19
4.2.3 Writing the Audit Report..............................................................................................20
4.3 Approval of the Audit Report ................................................................................................20
4.3.1 The Definitive Draft .....................................................................................................20
4.3.2 Responsibilities of the AUQA Board with Respect to Audit Reports..........................20
4.4 The Final Report....................................................................................................................21
4.4.1 The Public Release .......................................................................................................21
4.4.2 Review of Audit Reports ..............................................................................................21
5. AFTER THE AUDIT VISIT ...............................................................................................................23
5.1 Feedback................................................................................................................................23
5.2 Sharing Good Practices Identified Through Audit ................................................................23
5.3 Audit Report Implementation ................................................................................................23
5.3.1 Approach to Monitoring ...............................................................................................23
5.3.2 Progress Report.............................................................................................................24
5.3.3 Subsequent Audit24
6. AUDIT FEES.......................................................................................................................................25
PART 2: MANUAL FOR SELF-ACCREDITING INSTITUTIONS .............. 27
7. CYCLE 2 AUDITS OF SELF-ACCREDITING INSTITUTIONS.....................................................27
7.1 Overview of Cycle 2 Audits ..................................................................................................27
7.2 Similarities and Differences Between Cycle 1 and Cycle 2 Audits.......................................27
7.2.1 Main Similarities Between Cycle 2 Audits ..............................................27
7.2.2 Main Differences Between Cycle 1 and Cy28
7.3 Audit Scope ...........................................................................................................................29
7.3.1 Progress Since Cycle 1 .................................................................................................29
7.3.2 Academic Standards and Outcomes .............................................................................29
7.4 Thematic Areas for Audit ......................................................................................................30
7.4.1 Identification of Themes...............................................................................................30
7.4.2 Definition of Themes....................................................................................................30
7.4.3 Example Themes and Sub-themes................................................................................31
7.5 Institutional Audit Panel Composition ..................................................................................33
7.6 Performance Portfolio............................................................................................................33
7.6.1 Required Content33
7.6.2 Appendices and Supporting Material ...........................................................................35
7.6.3 Size of Portfolio............................................................................................................36
7.6.4 Submission and Availability of Performance Portfolio................................................36
7.7 Prior to the Audit Visit ..........................................................................................................37
7.8 Institutional Audit Visit Program ..........................................................................................37
7.9 The Audit Report ...................................................................................................................38
8. FIRST-TIME AUDITS OF SELF-ACCREDITING INSTITUTIONS...............................................41

8.1 Overview of First-time Audits...............................................................................................41
8.2 Audit Scope .....