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A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

Internal QA in Australia – as seen through external audit. OAQ 2nd Conference on internal QA arrangements at HE institutions. Dorte Kristoffersen Audit Director AUQA. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y. Briefing Outline.

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A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

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  1. Internal QA in Australia – as seen through external audit OAQ 2ndConference on internal QA arrangements at HE institutions Dorte Kristoffersen Audit Director AUQA A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  2. Briefing Outline • The Australian University Sector • Brief Overview of AUQA • Quality Audit • Analysis Dimensions • Internal Quality Assurance Activities • The Audit Visit • The Audit Report • The AUQA Good Practice Database 2 A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  3. 1. The Australian University Sector A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  4. The University Sector • 44 universities (3 of which are private) and self-accrediting institutions • Most are funded by the federal Department of Education, Science and Training • University acts are state legislation • Student fees apply (up to 25% at undergraduate level, full fees at postgraduate level) • 169,400 (2006) international students enrolled in higher education in Australia and 58,000 (2003) offshore 4 A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  5. 2. Brief Overview of AUQA A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  6. Overview of AUQA • The Australian Universities Quality Agency (AUQA) is the national audit body owned by the Commonwealth, State and Territory Ministers for Education. • An independent private company with a board consisting of the main stakeholders • AUQA has a register of app. 100 auditors appointed for 2 year periods. • 13 permanent staff (6 are academic staff) (For further details see written presentation) A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  7. AUQA Mission • By means of quality audits of universities and accrediting agencies, and otherwise, AUQA will provide public assurance of the quality of Australia’s universities and other institutions of higher education, and will assist in improving the academic quality of these institutions. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  8. 3. Quality Audit A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  9. Quality Audit A systematic, independent determination whether: • An organisation’s planned arrangements are suitable to achieve its goals (i.e. check the overall approach). • Actual practice conforms to the planned arrangements (i.e. the deployment). • The arrangements achieve the desired results. • The organisation is learning and improving from its self-evaluation of its approach, deployment and results. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  10. Audit Scope • AUQA is interested in all academic activities carried out in the auditee’s name. • AUQA gives some recognition to other forms of external certification when developing its sample and method (re: breadth and depth). • AUQA does not normally audit non-academic matters unless they are shown to affect academic activities in a manner that warrants attention. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  11. Audit Scope (cont.) Indicative (not prescriptive) scope includes: • Organisational Leadership, Planning etc. • Teaching & Learning (all modes), Courses etc. • Research, Consultancies, Community Service, and relations with stakeholders • Overseas operations • Internationalisation • Staff and Staff Support • Student Support • Academic Support • Admin Support, Facilities, Resources etc. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  12. 4. Analysis Dimensions (ADRI ) A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  13. O (Objective) R (Results) I (Improvement) A (Approach) D (Deployment) 13 A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  14. Approach • What is the organisation about? • What is it trying to achieve? • Does it understand its context and capabilities? • How does it know that its objectives are appropriate? • Are they set against appropriate benchmarks? • How will the objectives be achieved? A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  15. Deployment • Is the approach being implemented in the best possible manner • According to whom? • How does the organisation know this to be the case? • If the approach is not being deployed why not and how is it managed? • Are resources appropriately deployed to fulfil the approach? A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  16. Results • What are the results of the stated objectives • Does the organisation understand why and how it has achieved those particular results? • Are the results supported by clear and comprehensive targets/performance indicators? A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  17. Improvement • Does the organisation know how to improve? • How does it know this? • How is it acting upon this knowledge and what is the impact on its objectives? A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  18. Application of ADRI The ADRI model can be applied at all organisational levels: • Whole of institution • Thematic areas, eg research and HR management • Aspects of operations, eg e-learning • Single small-scale operations, eg professional skills for online courses A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  19. 5. Internal Quality Assurance Activities A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  20. Examples of frameworks • ISO • Business Excellence Frameworks (ABEF, EFQM, SQC) • Balanced Scorecard • Internally developed quality assurance systems • Institutional planning and review processes (from Quality Frameworks – Reflections from Australian Universities. AUQA 2006) A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  21. Melbourne University QA Cycle • VC’s annual Operational Performance Review of faculties and administrative divisions based on their operational plans • Annual academic and administrative department quality self assessments • Academic department audits and administrative division reviews (every 5th year) A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  22. Melbourne University QA Cycle cont’ • Strategic risk assessments • Evaluation cycle surveys of students, graduates, staff and employees • Academic Board teaching and learning course reviews (every 4th year) A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  23. QUT Strategic and Operational Planning Framework • Strategy (The Blueprint) incl. KPIs • Top-level operational plans Faculty and Divisional Plans • School plans (3-year rolling plans) • Individual staff plans • Functional plans • Strategic statements (Internationalisation Strategy and reconciliation) • Corporate reviews A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  24. QUT Strategic and Operational Planning Framework cont’ Commendation: AUQA commends QUT for the development of a comprehensive strategic and operational planning framework through which the priorities of the Blueprint and the objectives of the top-level plans inform the objectives and the planning processes at faculty and school level. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  25. QUT Strategic and Operational Planning Framework cont’ Affirmation: AUQA affirms QUT’s intention to integrate implementation plans and progress reports into the strategic planning and reporting to support the achievement of the Blueprint objectives. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  26. Typical gaps in internal QA • Need for a broader understanding of the quality assurance practices • Need to embed quality management with other institutional processes, eg risk management • Rigorous follow-up actions and closing of feedback loops • Integration of quality management and strategic planning and reporting A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  27. Organisational set-up • PVC or DVC(Quality) • Quality unit staffed with quality and/or planning/compliance officers • Quality committees • Quality networks at various levels • Academic and administrative managers have specified quality responsibilities A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  28. Melbourne University Quality Management Goal in Strategic plan: • To achieve continuous quality improvement in the academic and executive management and administration of the University A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  29. Melbourne University Quality Management Recommendation: AUQA recommends that UoM clarify the responsibilities and the division of labour between the Quality Assurance Accountability Committee and the Teaching and Learning Quality Assurance Committee in order to ensure consistency between the understanding of the roles of the committees and their Terms of Reference. A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  30. 6. The Audit Visit A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  31. Program Outline • Vice-Chancellor/director • Staff (various groups) • Students (institution visits) • Key committees • Range of stakeholders • Panel-only reviews and ‘free for further interviews’ • “Open session” • “In-situ interviews” A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  32. 7. The Audit Report A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  33. Audit Report • Commendations • Affirmations • Recommendations A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  34. 8. The AUQA Good Practice Database A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  35. AUQA GPDB • Practices identified via commendations in audit reports • Can be defined in terms of all aspects of the ADRI • Practices are refereed • Publicly available on the AUQA website • GPDB has been accessed app 34.000 times since 2003 A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  36. Further information about:GPDBhttp://www.auqa.com.au/gp/search/index.php A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  37. Discussion or Questions? http://www.auqa.edu.au A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

  38. Dorte Kristoffersen Audit Director, AUQA 38 A u s t r a l i a n U n i v e r s i t i e s Q u a l i t y A g e n c y

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