audits of quality assurance system in higher

8/14/2019 Audits of Quality Assurance System in Higher

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AUDITS OF QUALITY ASSURANCEAUDITS OF QUALITY ASSURANCE

SYSTEMSYSTEM IN HIGHER EDUCATIONIN HIGHER EDUCATION

INSTITUTIONSINSTITUTIONS (HEIs)(HEIs)

Agency for Science andAgency for Science and

Higher EducationHigher EducationZagreb, July 2006Zagreb, July 2006


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Development of the Quality AssuranceDevelopment of the Quality Assurance

System in HEIsSystem in HEIs

National Councilfor Higher

Education(NCHE)Agency

NationalCouncil for

Science (NCS)

Center for

quality

assurance

UniZg

Units for Quality

AssuranceFaculties

Centerfor

qualityassuranc

eUniSt

Centerfor

qualityassuranc

eUniOs

Centerfor

qualityassuranc

eUniZd

Centerfor

qualityassuranc

eUniDu

Centerfor

qualityassuranc

ePolytechni

cs

Centerfor

qualityassuranc

eScientific

institutes

Centerfor

qualityassuranc

eUniRi

Units for QualityAssurance

Departments/Units

Network for quality improvement of the universities

National network for quality assurance in HEI


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Framework of National network forFramework of National network for

Quality Assurance in HEIQuality Assurance in HEI

Agency for Science

and Higher Education

Centrefor qualityassurance

at theuniversities

Units for quality assuranceat the

universitys structural units

Centre forquality

assuranceat the

polytechnics

Centre forquality

assuranceat the

scientific institutes


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Tasks of the Agency for Science and HigherTasks of the Agency for Science and Higher

EducationEducationEvaluationEvaluation- Evaluation of HEIs (self-analysis and audit visits)Evaluation of HEIs (self-analysis and audit visits)- Development of indicators for assessing quality of HEIsDevelopment of indicators for assessing quality of HEIs

- Evaluation of study programmesEvaluation of study programmes- Evaluation of the fields of study at the university coursesEvaluation of the fields of study at the university courses(thematic evaluations)(thematic evaluations)- Organizing consultations on development of theOrganizing consultations on development of theevaluation procedureevaluation procedure

National Council forHigher Education(NCHE):

- Using ENQA standards andguidelines for quality

assurance

- Plan of audit visits

- Proposal for accreditation

Setting up of a national network for quality assurance and

continuous improvement- Training of staff employed within the centres for quality assurance

- Training of staff involved into the quality assurance system

- Development of evaluation and self-evaluation procedures for looking intovarious aspects of quality in education

- Transfer of good practice to the HEIs, the government and civil service

Internationalization

- Joining the ENQA network- Establishing internationalrelations with reference toevaluation- Translation andpublishing of a number ofreports in English and

other foreign languages

- Distribution of the manual Quality

Assurance in Higher Education, developed

within the project CARDS 2002, to all HEIs


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Collection of basic information

Interviews with the representatives of

the HEIs

Prepared Audit plan

(Audit control program Checklists)

Risk/control audit

Documenting all audit workingmaterial (in electronic format and

hard copy version)

Merging all audit documents into an

Audit File

Meeting with representatives of HEI

and audit team

Preparing the audit report proposal

Issuing the audit report proposal

Approval by the chair of theaudit team

- Completing the risk assessment

- Implementation process

Reporting

Checking

Correspondence

PlanningEvaluation

-Preliminary

review

-Audit

implementation

Mission Statements

Information about the HEI

Previous audit

Processes/Procedures


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AUDIT FOLLOW-UP PROCESSAUDIT FOLLOW-UP PROCESSUp-date of audit findings and

recommendations with the purpose of

completing audit/assessment

Feedback from the auditees management on

the conclusions and recommendations of the

audit group contained in the audit report (at

the end of each quarter)

Status of the follow-up data updates

Confirm Implementation of the

recommendations

Managements report on implementation of

recommendations contained in the proposal

of the audit report

Meeting between auditee and an audit

team; discussion of the actions taken

Final audit report

Quarterly reports on

the actions taken

Semi-annual reports

on the actions taken


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Quality Assurance System shouldQuality Assurance System should

include the following:include the following:

Responsibilities defined for all stakeholders in theResponsibilities defined for all stakeholders in the

Quality Assurance System;Quality Assurance System;

Evaluation of the study programmes and HEIsEvaluation of the study programmes and HEIs

including internal and external audit which includesincluding internal and external audit which includes

students participation and publishing of the results;students participation and publishing of the results; Accreditation, certification or comparison ofAccreditation, certification or comparison of

procedures system;procedures system;

International relations with the ENQA network, CEEInternational relations with the ENQA network, CEE

networknetwork


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Indicators of the quality assuranceIndicators of the quality assurance

systemsystem

Legal framework of the QA system;Legal framework of the QA system; Transparent structure of the QA system organization;Transparent structure of the QA system organization; The relationship between the management /stateThe relationship between the management /state

bodies/operational managers;bodies/operational managers; Involvement of all institution's activities into the QA system;Involvement of all institution's activities into the QA system; Mechanisms/measurement of the QA system (internal self-Mechanisms/measurement of the QA system (internal self-

analysis, self-evaluation, research policy, teaching policy,analysis, self-evaluation, research policy, teaching policy,

recruitment of teaching staff and professional development,recruitment of teaching staff and professional development,international activities, resources and results);international activities, resources and results);

Involvement of students and managers at all levels inInvolvement of students and managers at all levels indevelopment and implementation of the QA system process;development and implementation of the QA system process;

Information on the QA system/results;Information on the QA system/results; Method of publishing results of the QA system review;Method of publishing results of the QA system review;

Efficiency of the QA system mechanisms (quality criteria forEfficiency of the QA system mechanisms (quality criteria forthe institution's units/departments) the QA system shouldthe institution's units/departments) the QA system shouldset mechanisms for pinpointing pure quality as well as giveset mechanisms for pinpointing pure quality as well as givean initiative for programme innovation.an initiative for programme innovation.


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The objectives of the audits of qualityThe objectives of the audits of quality

assurance systemsassurance systems

to evaluate how well the quality assurance system worksto evaluate how well the quality assurance system worksas a tool for quality management and enhancementas a tool for quality management and enhancement whether the HEIs quality assurance system promoteswhether the HEIs quality assurance system promotes

the athe achievmentchievment of national higher education policyof national higher education policyobjectives, as well as those set by the HEI itselfobjectives, as well as those set by the HEI itself

whether the HEIs quality assurance system produceswhether the HEIs quality assurance system producesuseful information for the improvement of itsuseful information for the improvement of itsoperations and improvement measuresoperations and improvement measures

to evaluate the quality assurance system in terms of theto evaluate the quality assurance system in terms of theaudit criteria, to highlight strengths and best practices, toaudit criteria, to highlight strengths and best practices, toput forward recommendations for the development ofput forward recommendations for the development of

quality assurance and to determine whether the HEIquality assurance and to determine whether the HEIpasses the audit or needs to undergo a re-audit at a laterpasses the audit or needs to undergo a re-audit at a laterdate.date.

Q lit dit tt t t


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Quality audit systemua ty au t systemincludesincludes MissionMission

VisionVision ObjectivesObjectives Quality policyQuality policy Definition of the role of participants in the system and their responsibilities forDefinition of the role of participants in the system and their responsibilities for

implementation of the system (organizational chart)implementation of the system (organizational chart) Plan of system development and improvementPlan of system development and improvement Institutional self-evaluation based on SWOT analysisInstitutional self-evaluation based on SWOT analysis Description of the academic awardsDescription of the academic awards R&DR&D Analysis of the social impact and contribution to the regional developmentAnalysis of the social impact and contribution to the regional development -- environmentenvironment

Analysis of student support and other types of services available to studentsAnalysis of student support and other types of services available to students Plan of training and continuous improvement of staffPlan of training and continuous improvement of staff Participation of staff, students and other stakeholders in the QA systemParticipation of staff, students and other stakeholders in the QA system Introduction of QA system into the managerial and other HEIs activitiesIntroduction of QA system into the managerial and other HEIs activities Definition, approach and information of the QA system within the HEIDefinition, approach and information of the QA system within the HEI Definition, approach and information of the QA system for the external partnersDefinition, approach and information of the QA system for the external partners Implementation of the QA system and its efficiency for the development of activities withinImplementation of the QA system and its efficiency for the development of activities within

the HEIthe HEI

Application of QA system information in the HEIs management and quality improvementApplication of QA system information in the HEIs management and quality improvement Monitoring, evaluation and continuous development of the QA systemMonitoring, evaluation and continuous development of the QA system


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Audit processAudit process

I phase:I phase: PlanningPlanning

II phase:II phase: Execution of auditExecution of audit III phase:III phase: Preparation of thePreparation of the auditaudit

report.report.

IV phase:IV phase: Follow-up processFollow-up process


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I phase -I phase -PlanningPlanning

Annual audit agreement with theinstitutions

Appointment of the Audit team

Auditor training Audit method

Basic audit materials

Collecting audit materials

Review of materials and audit procedure

Meeting to prepare the audit visit

Audit visit


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II Phase -II Phase - Execution ofExecution of

auditauditIn order to successfullyIn order to successfully executionexecution ofofthe audit, the auditthe audit, the audit teamteam shall:shall:

1. Develop the audit plan along with the detailed plan of activities in1. Develop the audit plan along with the detailed plan of activities inrelation to the following elements:relation to the following elements:

audit objectivesaudit objectives audit criteriaaudit criteria audit proceduresaudit procedures collection of supporting evidencecollection of supporting evidence

2. Take necessary actions to review all the activities including:2. Take necessary actions to review all the activities including: looking for evidence in order to evaluate implementation of the QAlooking for evidence in order to evaluate implementation of the QA

inin according toaccording to criteriacriteria;; define the problemsdefine the problems

3. Analyse the audit results including:3. Analyse the audit results including: evaluation of the HEI management efficiency in providing QA;evaluation of the HEI management efficiency in providing QA; propose the optimal solution for resolving the problemspropose the optimal solution for resolving the problems

4. Develop and implement the recommendations to improve the QA in4. Develop and implement the recommendations to improve the QA inthe HEIthe HEI

5. Prepare the working documents5. Prepare the working documents


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III phaseIII phase - Audit report- Audit report

1.1. Previous reportPrevious report2.2. Final reportFinal report Each report includes:Each report includes:

Description of audit processDescription of audit process

Description of the institution and QADescription of the institution and QAsystemsystem

Audit resultAudit result ApprovalsApprovals

Recommendation for improvementsRecommendation for improvements Assessment of quality assurance systemAssessment of quality assurance system Date of the next audit.Date of the next audit.

IV hIV h F llF ll


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IV phase -IV phase - Follow-upFollow-up

processprocessUpon receipt of the last reports and plan of activities, the HEI shallUpon receipt of the last reports and plan of activities, the HEI shall

develop a detailed plan of corrective activities to be taken by thedevelop a detailed plan of corrective activities to be taken by theresponsible persons (state who and the scope of responsibility), asresponsible persons (state who and the scope of responsibility), aswell as the detailed plan of implementation of those activities. Awell as the detailed plan of implementation of those activities. Aminutes should be kept to record each completed action and itsminutes should be kept to record each completed action and itsefficiency. The representative of the audit team, who worksefficiency. The representative of the audit team, who worksclosely with the HEI during the follow-up process, should receive aclosely with the HEI during the follow-up process, should receive areport (on weekly, monthly or/quarterly basis).report (on weekly, monthly or/quarterly basis).

Responsibilities of the audit team representative are:Responsibilities of the audit team representative are:evaluation and measuring efficiency of the actions taken by theevaluation and measuring efficiency of the actions taken by theHEI;HEI;assessment of results achieved by corrective activities;assessment of results achieved by corrective activities;discussion of findings with the HEI staff;discussion of findings with the HEI staff;

collection of all reports on actions taken, and on such basis,collection of all reports on actions taken, and on such basis,develop a report on satisfactory implementation of the follow-updevelop a report on satisfactory implementation of the follow-upactions and submit such report to the audit team for approvalactions and submit such report to the audit team for approval


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InstitutionalInstitutionalss


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InstitutionalInstitutionalssdocumentation for auditdocumentation for audit

AllAll auditaudit materials are collected by the HEI and are as follows:materials are collected by the HEI and are as follows:

a chart, a table or other brief description of the organisation of the institution anda chart, a table or other brief description of the organisation of the institution andthe number of students and staff (the number of students and staff (one pageone page))

a brief description of the quality assurance system (a brief description of the quality assurance system (max. three pagesmax. three pages))

A Manual of Quality Assurance in HEIsA Manual of Quality Assurance in HEIs or other quality documentationor other quality documentation

a short history of the quality assurance system (a short history of the quality assurance system (one pageone page))

a brief descriptiona brief description aboutabout linklink betweenbetween quality assurance systemquality assurance system andand thethe

management system (management system (one pageone page)) the HEIs SWOT analysis of its quality assurance system (the HEIs SWOT analysis of its quality assurance system (one pageone page))

the HEIs summary of major development targets indicated by the qualitythe HEIs summary of major development targets indicated by the quality

assurance system, and projected measures (assurance system, and projected measures (one pageone page))

report on the internal audit of the QA system summary (report on the internal audit of the QA system summary (4 pages4 pages).).


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Review of audit materialsReview of audit materials

includes:includes:

Assessment of all proceduresAssessment of all procedures andand monitoring ofmonitoring ofacademicacademic awardsawards and other activities;and other activities;

Assessment of the way of using evaluation resultsAssessment of the way of using evaluation results

in the process development;in the process development;

Assessment of the present development of theAssessment of the present development of the

QA system (progress) and acceptance of theQA system (progress) and acceptance of theaudit results by the institutions and otheraudit results by the institutions and other

partners;partners;

Assessment of the impact of the QA system onAssessment of the impact of the QA system on

the development of education systemthe development of education system


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