PILOT PROJECT:External audit of quality

assurance system on HEIs

Agency for Science and Higher Education

Zagreb, October 2007

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On the proposal of leader of CARDS project to implement a pilot project of the independent external audits of QAS at 2-3 Croatian HEIs as part of CARDS project 2003 “Furtherance of the Agency for Science and Higher Education in its Quality Assurance Role and the Development of a Supporting Information System” and adoption of this proposal by management board of the Agency and assent from the Ministry of Science, Education and Sport the Agency started intensive

preparations and planning for audits.

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The first joint activities ware to hold two seminars for future experts in independent external audit of QAS which have been successfully implemented. The next activity was to select higher HEIs where the pilot project will be carried out..

Universities proposal are:1.Faculty of civil engineering of the University of

Osijek2.Faculty of organization and informatics,

Varaždin, University of Zagreb3.Technical faculty, University of Rijeka

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THE MODEL OF AUDIT PROCESS

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Mission of the Agency

- to synchronize the Quality Assurance Systems of the HEIs in Croatia on account of their faster integration into the European Higher Education Area

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Different goals of the HE

• to maximize the potential of individuals • to reinforce social, cultural and economic

development of our societies • to develop and maintain democratic

culture• to increase economic growth• to enhance the quality of higher education • to increase mobility of students teachers,

researchers and administrative staff

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The Quality Assurance System elements1. Quality document (strategy, SWOT/ mapping)• Quality goals (What?) PLAN• Mechanisms, procedures (How?) All major activities!• Role and responsibilities (Who?) Involvement of

students!

2. Implementation DO

3. Feedback and monitoring CHECK• Internal (e.g. surveys, self evaluation)• External

4. Acting on findings, enhancement measures ACT

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External audit of the HEI’s quality assurance system shall be based on the peer review carried out in order to identify developmental level of the QA system operated within the HEI concerned.

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External Audit team (AZVO)

Audit team consists of six members

- 3 representatives of HEIs,

- 1 representative of industry or institute

- 1 student’s representative

- 1 representative of the Agency

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Audit objectives

Independent evaluation of quality assurance system in accordance with the QA handbook and related documents includes the following:

• Evaluation of the HEI’s QA system procedures and implementation of the HEI’s standards

• Evaluation of internal audit’s report (objective, exact, precise, concise, etc.)

• Evaluation of the efficiency of the internal audit results application

• Determination of the level of achievement of the internal audit’s goals

• Follow-up process

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Audit process

The Audit process consist of four phases:

I. Phase: Planning

II. Phase: Execution of Audit

III. Phase. Preparing Report

IV. Phase: Follow up process

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I. Planning• Annual audit agreement with the institutions • 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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Institutional’s documentation for audit• a chart, a table or other brief description of the organisation of

the institution and the number of students and staff (one page)• a brief description of the implementation of quality assurance

system (max. three pages)• the HEI’s quality manual or other quality documentation in full• a short history of the quality assurance system (one page)• a brief description of how the quality assurance system is

linked to the management system (one page)• the HEI’s SWOT analysis of its quality assurance system (one

page)• the HEI’s summary of major development targets indicated by

the quality assurance system, and projected measures (one page)

• report on the internal audit of the QA system – summary (4 pages

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Basic audit materials

• schedule of the audit team activities during the audit process;

• method of implementing the audit plan;

• expected audit results;

• analysis of the pre-planned objectives and their achievement thought the audit process – results of the analysis.

• objectives of the audit team;

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II. Execution of Audit

Execution of Audit includes such areas as:• Tools and techniques of carrying out internal audit • Self-evaluation and internal audit reports• Analysis of the use of HEI’s internal information• Proper interpretation of the results of various surveys• Proper use and maintenance of working papers• Use of experts for internal and other audit processes

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III. Reporting

Each report normally include the following elements:

• Summary of the environment within the activity subject to audit,

• Objectives of the audit,

• Summary of audit methodologies used for collecting and analyzing data indication of sources of data,

• Explanation of criteria, such as benchmarks, used to interpret findings,

• Conclusions relating to audit objectives,

• Recommendations

The audit team draws up the draft report which is, upon its approval by the audit director, sent to the management of the audited Institution.

Management of the audited institution is given the opportunity to comment on the draft report within 15 days and have its comments included.

The final report is published on the Agency’s web site.

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IV phase - Follow-up process

Upon receipt of the final report and plan of activities, the HEI shall develop a detailed plan of corrective activities to be taken by the responsible persons, as well as the detailed plan of implementation of those activities. A minutes should be kept to record each completed action and its efficiency. The representative of the audit team, who works closely with the HEI during the follow-up process, should receive a report (on weekly, monthly or/quarterly basis).

The final report and all relevant events will be made by audit team and sent to the all stakeholders.

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Thank you for your attention!

Višnja Petrovićwww. azvo. hr