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Audit Process and Audit Visit

Audit Process and Audit Visit

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Audit Process and Audit Visit

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  1. Audit Process and Audit Visit Dr Julie Jackson Pro Vice-Chancellor (Quality Enhancement) Materials in this slide show are drawn from AUQA resources

  2. Steps in the Audit Process • Selecting themes • Appointing Panel • Portfolio Submission • Portfolio Meeting • Preparatory Visit • Audit Visit • Audit Report • Progress Report

  3. Selecting Themes Notification and selection of themes 15 months prior to submission of Portfolio. LTU will need to have identified themes by February – March 2008 for submission to AUQA for consideration. For the 2008 audit round one theme will be ‘internationalisation’. It is not yet certain that this will be a compulsory theme in 2009.

  4. Appointing Panel • As in cycle 1 • Typically a panel of five members • If one of the themes is a discipline area, one panel member from the Auditor Register with an appropriate disciplinary background or a ‘standing advisor’ to the panel with disciplinary expertise

  5. Portfolio Meeting • Held at AUQA to be attended by the audit panel • More briefing to the panel on cycle 2 • The panel will • Consider the portfolio in the light of the cycle 2 focus • Consult the framework for standards, evidence and outcomes • Identify the additional information required (reduced documentation) • Identify the sampling and offshore audit, that are relevant to the themes • Finalise the overall structure of the audit program

  6. Preparatory Visit • As in cycle 1 • Chair of the Panel and Audit Director • To discuss the additional information required and the audit visit preparations with the institution

  7. Audit Visit (1) • 3 to 4 days would be required • The panel will need 3 days to hear about progress report / contextual matters as well as the two themes • AUQA will continue the half-day for the panel to consider conclusions before the exit meeting • The panel will speak to a similar range of groups related to the issues covered

  8. Audit Visit (2) • May be fewer sessions compared to cycle 1 • The panel may run group interviews with fewer attendees • There would be open sessions but for matters relevant to the themes and in-situ interviews • If the theme is a discipline area, the panel would expect to speak to (or seek written input from) relevant discipline experts and groups of the institution

  9. Audit Visit outline Cycle 2 Audit Visits are also expected to commence with an interview with the Vice-Chancellor. An indicative program is as follows: • Day 1: Follow-up to Cycle 1 Audit Report and Quality Management System • Day 2: Theme 1 • Day 3: Theme 2 • Day 4: Callbacks, panel meeting to consider findings and exit meeting.