Policies and Guidelines – Quality Assurance Guidelines
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U-QA-G-01 Quality Assurance Guidelines
An introduction to Internal Quality Assurance Audit
US University of Technology, Science and Arts is keen and committed to maintain the quality assurance in each of the academic/administrative departments. So, the primary objective of US University of Technology, Science and Arts is to establish a proper system of audit which can effectively and efficiently manage the quality assurance within its partner Institution. US University of Technology, Science and Art’s Quality Assurance Committee will be vigilant and will make sure that quality assurance matters are discussed and audits are conducted regularly and efficiently. US University of Technology, Science and Arts will conduct academic/ administrative audit three times in an academic year.
Internal Audit Objectives
The purpose of audit at a US University of Technology, Science and Arts partner institution can be identified as follows:
To ensure that the quality assurance systems and procedures adopted throughout the Institution are efficient, effective, and sufficient to deliver intended outcomes.
To fulfil an enhancement function through the dissemination of information on good practice throughout the academic department and, where weaknesses are identified, to require and/or recommend appropriate action for improvement
To maintain the US University of Technology, Science and Arts’s Brand as a Quality provider of Global Education.
To maintain consistency of provision across all its partners
Chief Quality Assurance Officer (CQAO)
US University of Technology, Science and Arts will ensure that a senior academic has been appointed to take charge of the obligation of conducting the quality assurance audit for each of the academic/ administrative departments of the Institution
The Principal/Director of Studies of the institution will be the ex-officio CQAO. The CQAO will be in charge of all aspects of academic quality assurance matters. The Audit Final Report (AFR) will be submitted by the CQAA for further action in relation to the academic quality assurance matters of the audited department.
The CQAA will nominate the auditor for each of the academic departments and will notify the relevant department the name of the nominated academic auditor. The CQAA will then hold a meeting with the nominated Academic Quality Assurance Auditor and will decide how to commence the academic audit and any other urgent and relevant matters relating to quality assurance audit for the academic departments.
Academic Quality Assurance Auditor (AQAA)
The Academic Quality Assurance Auditor (AQAA) will be a senior member of staff who will conduct the academic audit. The AQAA will follow the appropriate procedure and any other relevant directions of the CQAO while conducting the academic audit. The AQAA will have the following powers.
To ask to disclose any relevant information relating to the academic/ administrative matters.
To check all academic documents including, sample questions papers, answer scripts, students’ attendance, and academic performance records.
To hold meetings individually with any of the academic personnel.
To hold focus meetings with students of the academic department.
The AQAA will be subjected to confidentiality i.e. will not disclose his or her findings except to the authorised personnel of US University of Technology, Science and Arts
Personnel who must be Present during Audit
The following personnel must be present during the academic quality assurance audit:
Head of Department/Dean/Director of studies
Course Coordinators of the Academic Department
Lecturers
Academic Administrator,
Selection of students
If there is any course committee of the Academic Department, the student member of the academic committee must be present.
Audit Final Report (AFR):
The AQAA will prepare a report after the completion of the audit based on his or her findings. The Audit Final Report of the AQAA will contain the issues stated in Appendix Form 10:
The final audit report is an important document as it contains records of academic/ administrative performance. All findings will be objective in nature and all recommendations must be acted upon.
Academic Audit
Areas of Audit
9.1. Lecturers
The QAA will assess the issues stated in Part-A of the Appendix Form 01, in terms of lecturer’s performance.
9.2. Lectures
The AQAA will assess the issues stated in Part-B of the Appendix Form 01, while auditing the lectures of the Academic Department:
9.3. Handouts
The AQAA will also assess the issues stated in Part-A of the Appendix Form 02, while auditing the handouts provided by the lecturers.
9.4. Revision Lectures
The AQAA will assess the areas of the revision lectures mentioned in Part-B of the Appendix Form 02.
9.5. Mock Examinations
The AQAA will assess the issues stated in Part-A of the Appendix Form 03 while auditing the records of the Mock Examinations.
9.6. Mock Examinations Feedback
The AQAA will assess the issues stated in Part-B of the Appendix Form 03 while auditing the records of the Feedback of Mock Examinations.
9.7. Course Committee
The AQAA will assess the issues stated in Part-B of the Appendix Form 04 while auditing the records of the Course Committee.
9.8. Student Satisfaction
The AQAA will assess the issues stated in Part-B of the Appendix Form 05 while auditing the records of the student satisfaction feedback.
9.9. Student Success Rate
The AQAA will assess the issues stated in Part-A of the Appendix Form 05 while auditing the records of the student success rate.
9.10. Department Meetings
The AQAA will assess the issues stated in Part-A of the Appendix Form 04 while auditing the records of the department meeting.
9.11. Special Performance
The AQAA will assess the issues stated in Part-C of the Appendix Form 05 while auditing the records relating to other special performance and obligation.
Administrative Audit
The QAA will assess the following areas while auditing different administrative departments and issues by using the Appendix Form 7 -10:
Enquires & Application
Admission
Record Keeping
Marketing
Appointment and monitoring of agents
Health & Safety
Complaints Handling
Student Service
Immigration Compliance
Audit Procedure
10.1. Assessing the department’s activities
The AQAA will assess the department’s activities of the Institution in detail. The AQAA will consider the provisions of the Academic Best Practice Guide (ABPG) of US University of Technology, Science and Arts and will check whether the Department, which is under audit, is observing the provisions of the ABPG properly.
The AQAA may have more specific areas of assessment apart from the areas, which are listed above. The Head of the department must comply with the requirements of the AQAA and will provide necessary support to the AQAA.
10.2. Assessing the Department’s Documents and Evidence
The AQAA will also meticulously assess the supporting documents or evidence of the academic activities. The AQAA will not make any comment unless he or she has assessed the relevant documents or evidence relating to the academic/administrative activities. The documents or evidence actually substantiate what the Head of the Department is suggesting. If the suggested activities do not have any documents or evidence to show, it will be assumed that the Department, which is under audit, has failed to perform accordingly. The AQAA will assess the documents or evidence by using the prescribed Form while auditing the Academic Department.
10.3. Recording of Discrepancies (NON-Conformities)
The AQAA will record any discrepancies that he or she may experience and will try to immediately identify the correctional actions which may be required to remedy the discrepancies. The record must identify the issues mentioned in Appendix Form 11:
10.4. Discussing the Discrepancies with the Head of Department
The AQAA will then sit with the Head of the Academic/administrative Department, which is under audit, and will discuss the areas of discrepancies indentified by him or her. The AQAA will use the “Discrepancy Identification Form (DI Form)” and will use the Appendix Form 12 which contains the issues to be discussed with the Head of the Department.
After the discussions the AQAA will obtain signature in DI Form to make sure that the matters have been discussed.
10.5. Discussing Recommendations of Immediate Correctional Actions, if any
The AQAA will then discuss the recommended immediate correctional actions for eliminating the elements of discrepancy. The AQAA will indicate the matters mentioned in Appendix Form 13, while suggesting the recommendations of correctional actions and these are:
10.6. Reaching an Agreement on Points of Discussions
The AQAA must reach an agreement with the Head of the Academic Department on point of discussions. The agreement must be signed by both the AQAA and the Head of the Department, which is under audit. This agreement is very important as it will carry evidence of basic points of discussions and the obligations as agreed by the Head of the Department arising out of the audit discussions.
10.7. Completing the Audit
The AQAA will officially conclude the audit after all the necessary checks, assessments and visits. While concluding the audit the AQAA will reaffirm the points of discussions and agreed actions to be taken by the Head of the Department. The AQAA will also indicate the date of the audit report to the Head of the Department. The AQAA must ensure before finally conclude the audit that the Head of the Academic really understands the points that have been raised during the audit.
10.8. Preparing the Report on the Basis of Audit
The AQAA will then prepare an audit report based on his or her findings by using the Appendix Form 14. The report is a compulsory requirement for the quality assurance.
10.9. Audit Report Submission
The Audit Final Report (AFR) must be communicated to the following personnel and they are:
Chief Quality Assurance Officer
Head of Academic Department (which was audited)
The audit report must be prepared and submitted no later than 14 days from the date of the academic audit.
10.10. Discussing with the CQAA about the Quality Audit Report (AFR)
The CQAA will hold a meeting in order to update the CQAO in relation to the academic/ administrative audit’s findings and steps which will be taken for the correction or remedy. The CQAA will receive instructions, if there are any, and will take the necessary action. The CQAA will also pass the instructions of the CQAO to the relevant Academic Department.
The CQAA will keep records of the discussions and will write a letter to the Head of the Department advising required actions.
Monitoring the Quality Assurance as per QAR
The CQAO and the CQAA will be jointly responsible to make sure that the Head of the Academic Department, which was audited, is complying with the recommendations as mentioned in the Audit Final Report. The progress of the academic department as per the AFR will be constantly monitored by the CQAO and the CQAA.
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