Audit Process and Audit Visit

16 March 2006Title of Presentation, Author

Department

Audit Process & Audit visit

Office of the Pro Vice-Chancellor (Quality Enhancement)

Audit Process and Audit Visit

Dr Julie Jackson

Pro Vice-Chancellor (Quality Enhancement)

Materials in this slide show are drawn from AUQA resources

8 October, 2007

Department

Audit Process & Audit Visit


Steps in the Audit Process

Selecting themes

Appointing Panel

Portfolio Submission

Portfolio Meeting

Preparatory Visit

Audit Visit

Audit Report

Progress Report

8 October, 2007

Department



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.

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Department



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

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Department



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

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Department



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

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Department



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

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Department



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

Audit Visit (2)

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Department



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.

Audit Process and Audit Visit

Documents

Transcript of Audit Process and Audit Visit