Audit Process and Audit Visit

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.