Post AUQA Quality Assurance Audit Action Plan

AUQA Policy Change

Until June 2004 Section 7.3 of the AUQA Audit Manual (version 2, 2004) set out the AUQA process for monitoring progress on the recommendations (and affirmations) in audit reports. In brief, the process involved two public reports: an Action Plan after a few months, and a Progress Report about two years later. The reasons for the policy change outlined are described by AUQA in a letter to Universities on June 4, 2004 and summarised below. Changes are as follows:

1. The Action Plan will no longer be required.

2. Within 18 months of the publication of the audit report, auditees are required to provide a Progress Report to AUQA against the recommendations and affirmations, and then publish the Report on their own website. AUQA will not attempt to ‘audit’ the report, but will focus on whether it clearly shows what the auditee has done in response to the recommendations. This gives an explicit basis for AUQA’s comments to the auditee, namely ‘could an intelligent person, reading the recommendation and response, understand what had been done and whether it addressed the issue?’ If AUQA is not satisfied that the response is clear in this respect, it will request the auditee to improve the public response as necessary.

3. The Progress Report should be produced within 18 months after the publication of the audit report[1]. When it has been mounted on the auditee’s website, the auditee will inform AUQA of the URL and AUQA will provide a link to this from its website, and include mention of this on the ‘what’s new?’ information message.

The AUQA view is that, in contrast to the current system, this is not simply a two-way interchange between the auditee and AUQA, but instead the third-party public is brought in explicitly. AUQA avoids being seen as playing an enforcing role, and instead stresses the autonomy and responsibility of the institution or agency. AUQA is in effect saying ‘we reported publicly on what matters you should address, and now you need to report publicly that you have addressed them’. In other words, the onus is on the auditee to convince the public not AUQA.

The action plan outlined below is therefore not a public document, but will guide changes in the University. Progress on the response to the Quality Audit will be reported in the public domain 18 months after the Audit Report, March 2006. The action plan will also lead to influential documentation in the preparation for the 2009 Quality Audit. It is expected that the Quality Assurance Work Teams (Portfolio pp. 106-107) will be called upon where relevant by the 'persons responsible' identified.

AUQA Statement	Action required	Persons responsible (first named to coordinate and report on response)	Completion date
Commendations
1) AUQA commends JCU for demonstrating that it is clearly aware of what is required to effectively manage risk for the preservation and enhancement of the University's reputation, particularly in relation to its core functions of teaching, learning, and research.	Regularly review at Senior Management Group the Risk Management Plans in all areas identified in the 2004 Planning Conference.	Deputy Vice-Chancellor, DVC Executive Officer, Senior Management Group	2005 Senior Management Group Work Plan
2) AUQA commends JCU for the processes used to develop and implement a clear strategic direction for the University as set out in the Millennium Document, which has been endorsed by the JCU Council and is effectively embedded in the JCU culture as a means to focus on key priorities, monitor risks and resolve internal tensions re distribution of scarce resources.	Continue to use and publicise the Millennium document as the peak reference for all strategic planning cascading below it.	Senior Management Group, Heads of Schools, Directors	Ongoing
3) AUQA commends the JCU Council for developing effective Quality Assurance processes as part of its governance responsibility, including the use of 360 degree feedback processes to monitor the performance of the Vice-Chancellor.	Council to continue to review current QA practices through its annual Council Workshop.	Chancellor, Vice-Chancellor, Registrar	Ongoing
4) AUQA commends the Academic Board of JCU for sustaining an appropriate balance between consistency and flexibility in the processes used to accredit and review course proposals which enables staff to customise courses and course materials to meet regional, international, and Indigenous needs.	Academic Board to continue to improve current QA practices in accord with In the Third Millennium priorities.	Chair Academic Board Senior Management Group	Ongoing
5) AUQA commends JCU for nurturing a student-centred teaching and learning culture and environment.	Academic Board to clarify, articulate and promote the principles of student centred learning and teaching and monitor the implementation practices of Faculties and Divisions from this perspective. Monitoring to occur as follows: · Course and subject approval (presage) · SFS, SFT, GDS, CEQ, retention, success as monitored by Senior Management Group and Academic Board (process) · Course Review (product)	Chair Academic Board	Definitions June 2005, then ongoing 2005 Senior Management Group Work Plan

6) AUQA commends the JCU Mentoring Program for first-year students and the Induction to Teaching and Learning program offered to new academic staff by the Teaching and Learning Development group.	Extend, organise and integrate more explicitly in Schools the student mentor system on both campuses. Improve attendances at induction programs.	Pro-Vice-Chancellor Staff Development and Student Affairs, Executive Deans, Director Teaching and Learning Development, Heads of Schools	End 2005 Ongoing
7) AUQA commends JCU for having put an appropriate Quality Assurance framework in place in the form of the Management of Off-Campus Academic Programs Policy.	Revise the management and implementation of the Off-Campus Programs Policy to ensure continuing policy compliance and undertake annual Senior Management Group checks of all programs.	Pro-Vice-Chancellor Research and International, Director External Relations and International, Senior Management Group	Ongoing 2005 Senior Management Group Work Plan
8) AUQA commends JCU for establishing a research profile that meets the needs of the northern Queensland region and for making substantial progress towards achieving its vision as a world-class tropical research university.	Maintain research profile.	Pro-Vice-Chancellor Research and International, Executive Deans, Heads of Schools, Research Committee	Ongoing 2005 Senior Management Group Work Plan
9) AUQA commends JCU for the process it has developed to establish Areas of Research Strength and specialisation, and which are managed well.	Systematic Review of Areas of Research Strength to be included in the Consolidated Action Plan Chapter 3 Performance Portfolio.	Pro-Vice-Chancellor Research and International, Senior Management Group, Research C0mmittee	Annual review 2005 Senior Management Group Work Plan
10) AUQA commends JCU for the establishment of the innovative and inter-disciplinary Area of Research Strength — 'People, Identity and Place', which is in line with the strategic goals of the University.	As for Commendation 9.		Annual review 2005 Senior Management Group Work Plan
11) AUQA commends JCU for its engagement with CRCs and for having a focus on collaborative research which also positively contributes to community engagement in northern Queensland.	Maintain and develop CRC involvement. Include research links in Strategic Plan for Community Engagement.	Pro-Vice-Chancellor Research and International Director External Relations and Marketing	Ongoing Strategic Plan for Community Engagement end 2005
12) AUQA commends JCU for success in providing effective research training opportunities for Indigenous HDR students.	Maintain and improve HDR completions by Indigenous students.	Pro-Vice-Chancellor Research and International, Dean of Graduate School, Head of School of Indigenous Australian Studies	Ongoing 2005 Senior Management Group Work Plan
13) AUQA commends JCU for systematically surveying its International Students on arrival as a proactive strategy to help reduce attrition in the commencing year of their studies.	Continue survey at main campuses and all domestic off-campus teaching sites. Monitor retention and refine survey.	Director External Relations and International, Executive Deans, Heads of Schools	Ongoing

14) AUQA commends JCU for the relationship that it has established with the northern Queensland region and its various communities; and especially for successful examples of the Millennium strategies being enacted in respect of its priority objectives for Participation and Engagement.	See Recommendation 12
15) AUQA commends JCU for achieving recovery from the mid 1990s financial difficulties, through adoption of an effective, transparent and University wide budget process that is performance-based.	Continue to revise and improve budget planning and management to satisfy government requirements and to support the goals of the Millennium document.	Deputy Vice-Chancellor	Ongoing
16) AUQA commends JCU for the thoroughness of the Campus Development and Management Plan 2003, especially with respect to its linkage to academic planning, and for the University-wide process of consultation in its development.	Implement and update Campus Development and Management Plan.	Pro-Vice-Chancellor Corporate and Commercial	Ongoing
17) AUQA commends JCU for its Indigenous Employment Strategy, which has been implemented across disciplines, for both academic and general staff.	Improve and monitor employment of Indigenous people	Head of SIAS, Senior Management Group, Heads of Schools and Directors. Human Resources to monitor statistics for Senior Management Group	Annual
Affirmations
1) That JCU implement the Consolidated Action Plan in relation to SFS / SFT and CEQ / GDS; to increase student participation, use data systematically, and to be able to properly monitor and improve outcomes in relation to Teaching and Learning.	First round of reports to Academic Board and Senior Management Group as specified in the 2004 Performance Portfolio. Faculty feedback to Academic Board to be included.	Deputy Vice-Chancellor, Pro-Vice-Chancellor Staff Development and Student Affairs, Chair Academic Board and Executive Deans	2005, ongoing
2) That in line with the University's stated commitment to introduce systematic course reviews, the JCU Academic Board put in place appropriate mechanisms to ensure that the formal review of all JCU courses is completed within the first five-year cycle.	Program adopted by Academic Board to be followed.	Pro-Vice-Chancellor Staff Development and Student Affairs, Chair Academic Board and Executive Deans	Annual to 2009
3) That JCU in resolving the issue of the long term off-shore provider for its Bachelor of Business and MBA programs put in place appropriate transition arrangements for students to protect the quality of the programs and the reputation of JCU in Singapore.	Arrangements completed in 2004.		No further action required
4) That JCU consolidate plans to externally benchmark the standards of JCU honours theses against standards at other Australian and international universities, as appropriate.	Policy already adopted. Board of Coursework Studies to monitor compliance through Course Reviews and Annual Reports compiled by Executive Deans.		2005 and then annual
5) That JCU implement its decision to more systematically evaluate the first-year undergraduate program as a matter of priority, so that baseline data collected from 2005 can be used to develop strategies to continue to improve student retention.	Suitable survey to be selected (preferably to allow ready benchmarking). Retention strategies to be developed by Faculties and Divisions and coordinated through the Student Retention Working Group.	Pro-Vice-Chancellor Staff Development and Student Affairs, Executive Deans, Director Student Affairs, Director Teaching and Learning Development	Report End 2005

6) That JCU's commitment to undertake benchmarking of student services is an important aspect of the Quality Assurance System, and that the initiative of the JCU Counselling Service demonstrates a possible model for the other student service providers across the University to use.	Benchmarking to be conducted on the following organisational units and functions: Careers and Employment Service Scholarship Administration Support for international NESB students Learning and Study Skills Support Appropriate comparator for Student Administration to be identified before July 2006.	Pro-Vice-Chancellor Staff Development and Student Affairs, Director Student Affairs, Director Teaching and Learning Development	Report End 2005
7) That JCU continue to consolidate and integrate academic planning considerations into its approach to campus planning and development.	Develop Academic Plan (and improve focus of Teaching and Learning Plan)	Deputy Vice-Chancellor, Pro-Vice-Chancellor Cairns and Academic Planning and Development, Pro-Vice-Chancellor Corporate and Commercial, Senior Management Group	Report End 2005
8) That JCU strengthen its approach to strategic workforce planning by including provision for succession planning.	Develop principles and plan for leadership succession in Faculties and Divisions.	Pro-Vice-Chancellor Corporate and Commercial, Director Human Resources, Senior Management Group	Report End 2005
9) AUQA acknowledges the progress achieved at JCU towards building a performance-based culture through the introduction of a Performance Management Program, but affirms that to be effective it needs to be rolled-out systematically across the University and its impact reviewed after full implementation, including the way that it is linked to other HR strategies designed to improve or reward performance.	Implement the Performance Management Program across the University. Make scheduling more explicit. Provide training so that all staff link their development to the university mission, and to other HR strategies designed to improve and reward performance. Review implementation annually, externally reviewer appointed in 2006.	Pro-Vice-Chancellor Corporate and Commercial, Director Human Resources: all staff with PMP responsibility.	Ongoing Annual report to Vice Chancellor Planning Conference
Recommendations
1) That all actions identified in the Consolidated Action Plans resulting from the University's self-review and trial audit be integrated into the JCU Operational Plan 2004-2006, with specific performance targets identified in future operational plans.	Incorporate Consolidated Action Plan actions into the relevant operational plans, particularly the JCU Operational Plan as required.	Deputy Vice Chancellor, Pro-Vice-Chancellor Corporate and Commercial	July 2005
2) That in line with its objective for 'Equity, Access and Participation' in the Millennium Document, JCU be more systematic with respect to the planning for equity and the monitoring of performance of equity outcomes against clear targets.	Develop Strategic Plans for (i) student equity and (ii) Equal Opportunity.	(i) Pro-Vice-Chancellor Staff Development and Student Affairs (Student Equity) (ii) Pro-Vice-Chancellor Corporate and Commercial (Equal Opportunity)	July 2005 2005 Senior Management Group Work Plan

3) That JCU introduce a systematic cyclical program to review the performance of schools, faculties, and divisions; and introduce a system for the regular review of important University-wide functions and processes.	Conduct Administrative Review Develop rolling timetable for key areas and functions not covered by Course Review including · research and research training · human resources · marketing · staff development · administration.	Deputy Vice-Chancellor, Pro-Vice-Chancellor Corporate and Commercial, Pro-Vice-Chancellor Research and International	April 2005
4) That JCU and JCU Singapore liaise closely to ensure that the quality management systems being developed at each location are harmonised in order to work effectively, both separately and together.	Report to JCUS Liaison Committee	Deputy Vice Chancellor, Vice-President JCU Singapore, Chair Academic Board, Executive Deans Heads of Schools	July 2005
5) That JCU ensure in areas not covered by external course accreditation or approval processes that 'School Liaison' advisory or review committees are established so there is external input across all areas of the curriculum.	All undergraduate and postgraduate (not HDR) courses to identify composition and terms of reference for a Course Advisory Committee. (A School Advisory Committee with Terms of Reference covering course development and approval is an acceptable alternative, for example).	Chair Academic Board (new Course Approvals), Executive Deans	December 2005 Executive Deans Report to SMG
6) That JCU use the set of key Teaching and Learning quality indicators, which together constitute the minimum standards for Teaching and Learning at JCU, to internally benchmark the nature of the student learning experience across the University, and in particular between the Cairns and Townsville campuses and in respect of all off-shore locations.	Report Townsville and Cairns data separately where this is possible, especially SFS which is required for international and other off-campus teaching locations. All other university-wide monitoring of services to students (for example Course Review, Information Services feedback surveys) should also be conducted to allow cross-campus comparisons	Pro-Vice-Chancellor Staff Development and Student Affairs, Director of Teaching and Learning Development, Executive Deans for subjects offered off-shore.	2005 Senior Management Group Work Plan
7) That JCU audit Schools for compliance with the Policy on Minimum Standards for HDR Students, make greater use of HDR student survey data, and take action in a timely manner where it is clear that minimum standards for HDR students have not been met.	Compliance audit and action on findings: report to Academic Board and Senior Management Group.	Pro-Vice-Chancellor Research and International, Dean of Postgraduate Studies, Executive Deans	June 2005
8) That JCU provide timely feedback to postgraduate students on the results of the Annual Surveys of HDR Students, details of any subsequent improvements put in place and also foreshadow any likely future action to further improve the research training environment.	Improve feedback process design and implement: report to Academic Board and Senior Management Group.	Dean of Postgraduate Studies	May annually (Performance Portfolio Table 8, p. 18)
9) That JCU implement the strategies identified to address the acknowledged decline in the rate of publications, and strengthen existing mechanisms to provide more performance-based incentives to individual researchers, as part of a strategic university-wide approach to improving research productivity.	Plan for performance based incentives (and sanctions) to improve publication and reporting rates,	Pro-Vice-Chancellor Research and International, Executive Deans, Heads of Schools	March 2005

10) That in expanding access to library resources (particularly for HDR students at both the Townsville and Cairns campuses), JCU establish improvement priorities annually, considering feedback from data from student surveys.	Review current practices of the Information Resources Working Group.	Pro-Vice-Chancellor Research and International, Pro-Vice-Chancellor Information Services and Technology	July 2005
11) That JCU assign responsibility at a senior level for the review of all existing and proposed mechanisms for student feedback and that these be streamlined, made comprehensive across campuses and locations, and be timed so as to regularly seek information from students on their levels of satisfaction with all aspects of their experience at JCU, including academic matters.	Survey all students on matters not covered by SFS and SFT on biennial basis. Review use of SFS and SFT.	Pro-Vice-Chancellor Staff Development and Student Affairs, Directors Student Affairs, Teaching and Learning Development	December 2005 April 2008
12) That JCU be more systematic in the consolidation of its Participation, Engagement, and Consolidation Priority Objectives, by developing a coherent policy framework, with allocated responsibilities, reporting on these regularly, and linking them more explicitly to the criteria for promotion.	Develop strategic plan for 'Service to the Region and Community'	Deputy Vice-Chancellor, Pro-Vice-Chancellor Cairns and Academic Planning and Development, Director External Relations and Marketing, Pro-Vice-Chancellor Staff Development and Student Affairs	December 2005
13) That JCU review its current timetable and priorities for the IT Infrastructure Upgrade and Replacement Program so that any improvements deemed necessary are effected prior to the 2005 academic year.	Review IT Infrastructure and Upgrade Program beginning with analysis of student complaints about access. Report to Senior Management Group.	Pro-Vice-Chancellor Information Services and Technology, Director Information Technology Resources, Deputy Vice Chancellor, Director of Resources	Dec 2005
14) That JCU build on the success of tailored staff development programs such as the ESLP, by adopting a more systematic approach to staff development for all levels and categories of staff.	Staff Development Plan to precede 2005-6 Strategic Initiative Round.	Pro-Vice-Chancellor Corporate and Commercial, Pro-Vice-Chancellor Staff Development and Student Affairs	April 2005
15) That JCU introduce formal induction programs for all JCU staff teaching off-shore, including cross-cultural training, and that some tailored staff development opportunities be provided for locally recruited staff so there is a sense of 'integration' with JCU Australia staff and knowledge of JCU systems and expectations.	Expand existing Induction Program: 2005-6 Strategic Initiative Round.	Pro-Vice-Chancellor Staff Development and Student Affairs	April 2005
16) That JCU, in line with its 'Integration' Priority Objective, regularly undertake and review results from staff surveys, including a focus on the quality of services provided within the University, and on organisational climate, as part of the University's Quality Assurance.	Two different tasks: 1. General Survey of organisational climate eg Rodski 2. Assessment of quality of services: best done through organisational unit or functional review. See Recommendation 3.	Task 1: Pro-Vice-Chancellor Corporate and Commercial, Director of Human Resources	December 2005

APPENDIX A

JCU Performance Portfolio 2004

Chapter 2 Teaching and Learning: Consolidated Action Plan

The Self-Review of JCU structures and processes, the examination of documentation and visits to Faculties, Schools and Divisions pointed to various ways in which JCU could improve quality processes and outcomes relating to teaching and learning. Due to the dynamic nature of quality practices many of these are already in place.

Action	Responsibility	Timetable
Review timetable and followup procedures of Course Reviews	Standing Committee Academic Board	February 2004
Develop Review of Postgraduate Courses	Dean of Postgraduate Studies	Drafted December 2003
Improve feedback structure for CEQ	SMG	Proposed
Improve feedback structure for SFS	Executive Deans Heads of School	July 2004
Encourage students to complete SFS	Heads of School	July 2004
Schools to develop formal approaches to telling students what has happened as a result of their feedback	Heads of School	July 2004
Teaching staff share SFS feedback with each other	Heads of School	July 2004

Chapter 3 Research and Research Training: Consolidated Action Plan

The Research and Research Management Training Plan creates a tight framework for monitoring performance and the status of research in the University. The development of the Research and International Division Strategic Plan, 2003-05[2] further increases the link between the University’s objectives and those of the Research and International Division.

Action	Responsibility	Timeframe
Increase success rates in national competitive grants	Research Services	Ongoing with annual KPIs
Establish Clinical Research Committee	PVC R&I	2004
Incorporate research planning into School strategic planning	HoS	Ongoing, to be reviewed annually
Benchmarking of research performance against selected Australian universities	PVC R&I	Annual
Develop policy framework for commercialisation	Research Services and Research Committee	June 2004

Chapter 4 Consolidated Action Plan

All organisational units delivering support services to students have reviewed or are in the process of reviewing their strategic or operational plans to improve outcomes.

Action	Responsibility	Timeframe
Concept Plan Student Centre at JCU Townsville	Director, Student Affairs PVC SDSA	2004
Comprehensive evaluation of first year experience utilising a range of survey techniques	Director, Teaching and Learning Development & Director, Student Affairs	2005
Develop formal mechanisms for benchmarking standards in Counselling, Careers and Employment	Director, Student Affairs	2004
Review grievance procedures	Director, Student Affairs	July 2004

Chapter 5 Consolidated Action Plan

Action	Responsibility	Timeframe
External reviews of professionally accredited programs to be forwarded to Academic Board	Executive Deans	From 2004
Distribution and use of community relations template developed by TESAG	HoS	2004
JCU Community Engagement Policy	PVC C&C (Note: now External Relations and Marketing)	2004-05
Develop first stage of JCU Alumni Database – high profile alumni.	Director, External Affairs	2004
Email for Life	Academic Support Division	Complete

Chapter 6 Consolidated Action Plan

Action	Responsibility	Timetable
Development of a rolling 5 year capital development plan, tied to academic development plans.	Central Services and Resources Office	2004
Development of Campus Master plans for Cairns and Townsville, such plans to include landscape, utilities, traffic, parking, cycle and pedestrian linkages and so on.	Central Services, in consultation with the University community	Commencing 2004
Physical audits of space usage.	Central Services	2004
An upgraded space database, possibly as an element of a wider Geographic Information System over each campus and linked to timetabling software.	Central Services	2005, dependent on funding.
Development of design standards to create a uniform JCU standard for the built environment.	Central Services	Commencing 2004
Review of Academic promotions policy and procedures	Academic Promotions Committee	2003-04
Risk Management Workshop, Senior Management Group, Directors, FEO, DEO	External consultant	November 2003
Risk Management Workshop, Heads of School	External consultant	2004
Development of new EBA	Human Resources	May 2004
Online induction package for all staff	Human Resources	January 2004
Changes to the Performance Management Program	Human Resources	Ongoing
Induction program for Heads of School	Human Resources	February 2004
Executive Strategic Leadership Program	Human Resources	February-May 2004

Content by McTaggart, Robin. Updated 2005-05-18 by jc126663
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[1] April 2006 for JCU

[2] Supplementary Materials 5