Audit Process, Planning,Field work,Audit report,Audit follow up,Audit programt,Final report
Audit Process and Audit Visit
description
Transcript of 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
Office of the Pro Vice-Chancellor (Quality Enhancement)
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
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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.
8 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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
8 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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
8 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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
8 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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)
8 October, 2007
Department
Audit Process & Audit Visit
Office of the Pro Vice-Chancellor (Quality Enhancement)
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.