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AUQA: Frequently Asked Questions (FAQ)

Some common questions relating to AUQA can be found on this page. If you cannot find what you are looking for, please fill out our enquiries form and a University staff member will get back to you shortly.

When will AUQA visit UM?

The panel of auditors will visit the University from August 14 – August 18 2005 . On Friday August 12 a delegation of the AUQA Panel consisting of Professor Sue Johnston, Deputy Vice-Chancellor (Teaching and Learning), University of Tasmania and Ms. Dorte Kristoffersen , audit director, AUQA, will conduct a visit to the Goulburn Valley campuses .

What is the purpose of the AUQA audit visit?

The purpose of the audit visit is to allow the panel to test the statements and descriptions in the University's Performance Portfolio and acquire further insight into the University's operation through first-hand investigation. Those who meet the panel are invited to explain the University's strengths and discuss any difficulties being faced. In their role as colleagues and peers, audit panel members seek to establish a genuine dialogue with those they meet. The visit allows the panel to make an interpretation and judgment of the evidence it has been given.

Who will be on the University AUQA panel?

AUQA appoints a panel of auditors. Two are from other universities within the Australian Higher Education sector, one from overseas, one from industry or commerce, and the fifth is a member of AUQA staff.

The University of Melbourne Audit Panel:

  • Professor Colin Macleod, Department of Psychology, University of Western Australia (Panel Chair)
  • Professor John Gavin, Executive Director, NZ Cancer Control Trust,
  • Professor Sue Johnston, Pro Vice-Chancellor (Teaching and Learning), University of Tasmania
  • Professor William Massey, President, The Jackson Hole Higher Education Group, Inc. USA
  • Mr Norbert Vogel, Director, The Australian Knowledge Management Group
  • Ms Dorte Kristoffersen, AUQA

Who will AUQA panel want to see?

While recognising that many staff have more than one area of responsibility, the AUQA Panel generally prefers to see people no more than once. The AUQA Panel often specifies the exact people or office holders it wishes to meet. The AUQA Panel recognises that other commitments may make it impossible for everyone it has selected to attend an interview at the nominated time and in such cases alternative interviewees are nominated.

As a general rule, groups will contain no more than eight people, except for the lunch groups, when the Panel will split with each Panel member speaking to a group of approximately seven people.

What is the schedule for the AUQA visit?

The planned schedule for the AQUA Panel visit Sunday 14 – Thursday 18 at the Parkville campuses is available in PDF format. These details are subject to change.

Which staff will meet the AUQA panel?

The University will organise a guided tour of the Parkville Campus following the Master Plan and including the University Square , Centre for Indigenous Studies, the Old Architecture Building , the Melbourne Business School and the Graduate Students Centre. For a listing of staff that the panel will meet, please download the pdf.

Panelmeeting PDF 60kb

Will other staff have the opportunity to meet the AUQA panel?

Panel members will have a Walkaround Session when they will move around the campus separately, introduce themselves to staff members and seek information related to the audit.

There is also an Open Session which provides an opportunity for any member of the University community to speak to the Audit Panel. The Open Session is advertised in advance of the Audit Visit and appointments are arranged. Depending on the number of appointments made, the panel may split. There is a slot of 10 minutes allotted for each session. Due to the short time of appointments in the open session, those attending are permitted to leave with the panel a short written statement (no more than one single A4 page) outlining the matters they wish to raise. AUQAs Freedom of Information Policy is relevant to written submissions.

Any information received at the open session becomes part of the large amount of information analysed and evaluated by the audit panel in reaching its conclusions. As with any other interview session, an open session meeting may lead the panel to request further information or seek meetings with individuals or groups to clarify matters that have been discussed.

Student and staff complaints and appeal procedures come within the scope of the AUQA audits. However, AUQAs objectives give it no mandate for investigating individual cases or hearing appeals, as this would detract from its ability to provide an independent coherent focus on the quality performance of institutions. If you wish to arrange an Open Session appointment, please contact Dr Mary Emison

Email: mre@unimelb.edu.au                   Telephone: 03 834 49667

What sort of questions will the panel ask?

AUQA will want to know how the University's objectives have been decided. What factors were taken into account and which stakeholders were consulted?

AUQA will analyse the University's document trail from our mission, vision and values through to more specific goals and objectives. The sorts of questions they will ask include:

  • What is the University of Melbourne about?
  • What are we trying to achieve?
  • How do we know our objectives are appropriate?
  • Are our objectives set against appropriate benchmarks?
  • How will we achieve our objectives?
  • Is the approach aligned and communicated through our organisation and externally?

AUQA is also interested in how we will implement these objectives. Some of the questions they will be interested in are:

How effective is our approach?

  • Is our approach being implemented in the broadest possible manner?
  • According to whom?
  • How do we know this is the case?
  • If the objectives are not implemented effectively, why not and how is this managed?
  • Are staff appropriately trained and are resources appropriately deployed to fulfil the planned approach?

AUQA will also assess outcomes as a means of determining how well we are achieving our objectives. They will be interested in determining the results for our stated objectives and whether we fully understand how and why we achieved those results.

Finally, AUQA will look at the concept of continuous improvement .

Are we actively and continuously engaged in understanding and improving our performance?

The AUQA Audit Manual provides a great deal of information about what to expect from an AQUA visit.

What happens after the AUQA visit?

AUQA prepares an audit report on each university it visits. The reports are publicised on the AQUA website.

The AUQA Report will include:


  1. COMMENDATIONS – identifying commendable practices;
  2. RECOMMENDATIONS – areas the AUQA panel believe require improvement; and
  3. AFFIRMATIONS – areas the panel believe require improvement but which have already been identified by the University as being in need of improvement.

What are the implications of AUQA for the University?

The University's approach to the forthcoming AUQA audit is based on ensuring that our existing internal quality assurance processes are both thorough and are working effectively rather than simply on developing a process for preparing a submission.

The University uses its accountability structures to adhere to proper processes for the governance and management of its affairs, to meet its compliance obligations and to discharge its responsibilities to those to whom it is accountable.

The University identifies Objectives, Implementation, Outcomes and Improvement as the key elements of the quality assessment cycle. The use of this assessment cycle enables us to verify that closure of the quality assurance ‘loop' occurs for all university operations. Our goal is to ensure that our performance in all areas is evaluated regularly, with a view to identifying areas for improvement and the ways to do so.

How are we preparing for AUQA?

Professor Peter McPhee (Chair of the Quality Assurance and Accountability Committee) will coordinate preparation of the AUQA portfolio. He will be supported by Dr Pat McLean and Dr Mary Emison.

The University's Quality Assurance and Accountability Committee (QAAC) will monitor progress of the portfolio's preparation and approve the final draft through Planning and Budget Committee prior to approval by Council for submission to AUQA in April. A working group of QAAC (the AUQA working group) is providing advice and feedback on the University's portfolio.

Professor McPhee will be the primary contact for AUQA in negotiating arrangements for the audit visit in July.

The primary foundations for the University of Melbourne submission to AUQA are:

•  The Ensuring Accountability document

•  Annual reports of performance against plans (at all levels of the University)

•  Outcomes of 2003 and 2004 Quality Self-Assessments

•  Outcomes of Academic Department Audits and Administrative Divisional reviews.

What will the University of Melbourne AUQA portfolio contain?

The University's Quality Assurance and Accountability Committee (QAAC) has approved the following structure for the University's AUQA portfolio:

Section A:

Part l: A brief description of the University's organisational and governance structures and an outline of the key components of Ensuring Accountability.

Part 2: A brief outline of the quality assurance processes and outcomes for each major goal of the University's Strategic Plan. This will include identification of areas of best practice and areas where improvement is required for each of these goals.

Part 3: Summary of areas for improvement and future action plans to address those areas identified in the self-assessment.

Section B Table of documentation mirroring processes outlined in Section A Part 2 and providing AUQA auditors with annotated web addresses and links to hard copy documentation

Section C Clearly referenced hard copy documentation

Will there be an opportunity for consulation?

The University's Quality Assurance and Accountability Committee (QAAC) monitored progress of the University's Performance Portfolio's preparation and approval of the final draft through Planning and Budget Committee prior to approval by Council for submission to AUQA in April.

A copy of the University's Performance Portfolio was distributed to all Heads of Department in April, and a copy is also available on the University's website at http://www.unimelb.edu.au/quality/auqa/portfolio.html . The document is confidential and accessible only by University of Melbourne staff.

How should I prepare for AUQA?

The AUQA panel will be looking at the adequacy of the University's quality processes. All staff should be aware of the University's Quality framework and its implications for them as individuals as well as for their work in their departments.

All staff should be aware of the University's quality framework. The University's Accountability homepage provides detailed information for staff.

A document which is particularly useful is Ensuring Accountability . The annual cycle of planning, reporting and quality assurance is a PDF document including this information.

If you are selected to meet the audit panel you will be invited to participate in briefings about the audit visit process and to discuss the portfolio ahead of the visit.

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