Guideline AUN QA

1
AUN-QA Training Course
for
Accomplishing Programme
Assessment
Facilitated by: A/Prof. Tan Kay Chuan
Mr. Johnson Ong
Mr. Zhou Qi
1

Learning Outcomes
At the end of the workshop, participants will learn to:
• Understand the AUN-QA criteria at institutional,
IQA system and programme levels;
• Interpret the AUN-QA criteria for programme level;
• Apply the PDCA approach to Self-assessment at
programme level;
• Understand the requirements of Self-Assessment
Report (SAR);
• Apply the technique for writing SAR; and
• Appreciate the AUN-QA quality assessment
process
2

3
What’s in Your Training Package
• Participant’s handout
• Guide to AUN Actual Quality Assessment at
Programme Level
• AUN-QA Manual for the Implementation of the
Guidelines
• Appendixes (resources, samples and templates)
• CD containing the appendixes

4
Workshop Outline
Day 1 Topic
9.00am – 10.00am • Opening Ceremony
• Group Photo-taking
• Break
10.00am – 12.00pm • Introduction to Quality Assurance in Higher
Education
• Evolution of AUN-QA
• Introduction to AUN-QA Guidelines
• QA at Institutional Level
12.00pm – 1.00pm • Lunch
1.00pm – 3.00pm • QA at Institutional Level
3.00pm – 3.15pm • Break
3.15pm – 5.00pm • QA at IQA System Level

5
Day 2 Topic
9.00am – 10.00am • QA at Programme Level
10.00am – 10.15am • Break
10.15am – 12.00pm • QA at Programme Level
12.00pm – 1.00pm • Lunch
1.00pm – 3.00pm • PDCA Approach to Self-assessment at Programme
Level (Plan)
3.00pm – 3.15pm • Break
Level (Do)
Workshop Outline

6
Day 3 Topic
9.00am – 10.00am • PDCA Approach to Self-assessment at Programme
Level (Check)
10.00am – 10.15am • Break
10.15am – 12.00pm • PDCA Approach to Self-assessment at Programme
Level (Act)
12.00pm – 1.00pm • Lunch
1.00pm – 3.00pm • Change Management
3.00pm – 3.15pm • Break
3.15pm – 5.00pm • AUN Quality Assessment Process
• Conclusion
Workshop Outline

7
Day 4 Topic
9.00am – 11.30am • Study visit to the Office of AUN Secretariat
• Study visit to Central Library, Chulalongkorn
University
11.30am – 1.00pm • Lunch
1.00pm – 3.00pm • Study visit to Faculty of Engineering, Chulalongkorn
University (Implementation of QA Operational
System)
3.00pm – 4.00pm • Certification Ceremony
Workshop Outline

8
Introduction
• Quality Assurance in Higher Education
• Evolution of AUN-QA
Introduction

9
What is Quality?
QA in Higher Education M8

10
Quality in Higher Education
Excellence:
The view of academia
Fitness for purpose:
The view of external
assessors aiming
for improvement
Threshold:
The view of accreditors
Value added:
The view of students
Value for money:
The view taxpayers and
governments
Client
satisfaction: The
view of students
and
employers
Source: Green, D. What is Quality in Higher Education? Concepts, Policy and Practice 1994
M9
QA in Higher Education

11
Quality in Higher Education
Quality in higher education is a multi-dimensional
concept, which should embrace all its functions, and
activities: teaching and academic programmes, research
and scholarship, staffing, students, buildings, facilities,
equipment, services to the community and the academic
environment. Internal self-evaluation and external review,
conducted openly by independent specialists, if possible
with international expertise, are vital for enhancing quality.
Source: The World Declaration on Higher Education for the Twenty First Century: Vision and Action (October
1998), Article 11, Quality Evaluation.
QA in Higher Education P6

12
What is Quality Assurance (QA)?
Quality assurance can be described as the systematic,
structured and continuous attention to quality in terms of
maintaining and improving quality.
Source: The Regional Report of Asia and the Pacific (UNESCO, 2003b)
QA in Higher Education
Quality assurance in higher education can be defined as
systematic management and assessment procedures to
monitor performance of higher education institutions.
Source: AUN-QA Manual for the Implementation of the Guidelines, P20
M20

13
QA Mechanisms
QA in Higher Education M20
QUALITY ASSURANCE SYSTEM
Internal Quality Assurance:
• Monitoring
• Evaluation
• Improvement
Accreditation
External Quality Assurance:
• Benchmarking
• Audit
• Assessment

14
IQA System
QA in Higher Education M22-25
Internal Quality Assurance
Follow up
Student
Progress
Pass Rate
Drop-out Rate
Feedback from the
Labour Market
and Alumni
Research
Performance
Student
Evaluation
Course and
Curriculum
Evaluation
Research
Evaluation
Service
Evaluation
Assurance
Student
Assessments
Assurance
Quality
Staff
Quality
Assurance
Facilities
Quality
Assurance
Student Support
SWOT
Analysis
Inter-Collegial
Audits
Information
System
Quality
Handbook
Monitoring
Instruments
Evaluation
Instruments
Special QA
Processes
Specific QA
Instruments

15
External QA System
Stakeholder Satisfaction
Quality Assurance and (Inter)national Benchmarking
A
C
H
I
E
V
E
M
E
N
T
S
Educational
Activities
Research
Community
Service
Policy
Plan
Management
Human
Resources
Funding
Mission
Goals
Aims

16
Accreditation
Common Framework
for Accreditation
Accreditation
Framework
Quality
Assessment
Model
Qualification
Framework
Subject
Benchmark
Standards
Quality
Concept
Basic
Quality
Accreditation: Granting an institution or programme a quality mark that
indicates certain standards have been met

17
Accreditation Agencies
(within and outside ASEAN)
Country Accreditation Agency
USA Council for Higher Education Accreditation (CHEA) 1996
UK British Accreditation Council (BAC) 1984
Australia Australian Universities Quality Agency (AUQA) 2000
Cambodia Accreditation Committee of Cambodia (ACC) 2003
Indonesia National Accreditation Board for Higher Education (BAN-PT) 1994
Malaysia Malaysian Qualifications Authority (MQA) 2006
Thailand Office of the National Education Standards and Quality Assessment
(ONESQA) 2000
The
Philippines
Accrediting Agency of Chartered Colleges and Universities in the
Philippines (AACCUP) 1989, Philippines Accrediting Association of
Schools, Colleges and Universities (PAASCU) 1957
Vietnam General Department of Education Testing and Accreditation 2003
Source: Adapted from Higher Education in the World 2007

18
Rationale for QA
• Quality graduates
• Labour market expectations
• Internationalisation of profession and globalisation
• Consumer protection
• From elite university to Institute of mass higher education
• Pressure to meet society’s needs
• Increasing importance of quality in higher education
• Student exchange and international cooperation

19
Evolution of AUN-QA
• 1995 - Establishment of ASEAN University Network (AUN)
• 1998 – Establishment of AUN-QA Network
• 1999 – Establishment of AUN-QA Network Task Force
• 2000 – Establishment of the AUN-QA Centre for Chief Quality
Officers (CQOs)
• 2001 – AUN-QA Common Policies, Criteria and Strategic Plan
• 2004 – Endorsement of “AUN-QA Guidelines”
• 2006 – Endorsement of the “Manual for the Implementation of
the Guidelines”
• 2007 – Actual quality assessment at programme level
• 2008 - Training of new AUN-QA assessors
• 2011 - Guide to AUN Actual Quality Assessment at Programme
Level
Guidelines for AUN Quality Assessment & Assessors
• 2011 - DIES Training Course - ASEAN-QA
Evolution of AUN-QA M3-5

20
AUN-QA Guidelines
• Guidelines are benchmark
standards towards quality
and quality assurance
• Strengthen the position of
higher education in ASEAN
• Promote the harmonisation
of quality assurance in
higher education within and
outside ASEAN
M5-7
Evolution of AUN-QA

21
AUN-QA Guidelines
AUN-QA Criteria
• Criteria 1: QA System
• Criteria 2: Teaching and Learning
– Course Curriculum
– Academic Staff
– Student Assessment
– Learning Process
– Environmental Health and Safety Standards
– Learning Resources
• Criteria 3: Research
– Funding and Facilities
– Research Output
• Criteria 4: Services
• Criteria 5: Ethics
• Criteria 6: Human Resource Development (HRD)
G11-12
Evolution of AUN-QA

22
• Improve clarity and interpretation of
quality criteria and standards
• Facilitate implementation of AUN-QA
Guidelines
• Manual for Self-assessment and
Auditing
M5-7
Manual for the Implementation
of the AUN-QA Guidelines
Evolution of AUN-QA

23
Manual for the Implementation
of the AUN-QA Guidelines
This manual aims to support the universities
in the ASEAN region in:
• Implementing the AUN-QA Guidelines
• Applying the AUN-QA Standards and Criteria
• Developing an adequate IQA System that fits the
AUN-QA criteria and international developments
• Discovering their own quality by offering self-
assessment instruments for IQA, the teaching/learning
process and for some institutional aspects
• Applying for the AUN Quality label
M5-7
Evolution of AUN-QA

24
AUN-QA Guidelines and the Manual
M144
AUN-QA Guidelines
AUN-QA Manual
A Journey to Uplift
Quality in Higher
Education in ASEAN
Universities (p. 1-6)
Development of AUN-
QA, Policies and
Criteria (p. 7-11)
Criteria 1: QA
System (p. 13-18)
Criteria 2: teaching and
Learning (p. 19-30)
Criteria 3 & 4: Research
and Services (p. 31-40)
Criteria 5 & 6: Human
Resource Development
and Ethics (p. 41-44)
AUN-QA Assessment
(p. 45-73)
Introduction
(p. 3-7)
Quality Assurance
in Higher Education
(p. 8-29)
Self Assessment to
IQA System and
Programme Level
(p. 30-70)
Self Assessment at
Institutional Level
(p. 71-88)
Inter-Collegial
Assessment
(p. 89-98)
Evolution of AUN-QA

Guide to AUN Actual Quality
Assessment at Programme Level
Evolution of AUN-QA 25

26
• First revision of the AUN-QA Manual
• Criteria and assessment process of
AUN Actual Quality Assessment at
Programme Level
• Associated resources (templates and
samples)
• Effective August 2011
Guide to AUN Actual Quality
Assessment at Programme Level
Evolution of AUN-QA

27
• Operating guidelines for AUN quality
assessment
• Roles, responsibilities and
requirements of various stakeholders
• AUN Certification scheme
• Effective August 2011
Guidelines for AUN Quality
Assessment and Assessors
Evolution of AUN-QA

28
AUN-QA Models
AUN-QA Models P7
Strategic
(QA at
Institutional Level)
Systemic
(Internal QA System)
Tactical
(QA at Programme Level)

Stakeholders Satisfaction
Quality Assurance and (Inter)national benchmarking
Programme
Specification
Programme
Structure &
Content
Student
Assessment
Academic Staff
Quality
Support Staff
Quality
Student
Quality
Facilities &
Infrastructure
Quality Assurance of
Teaching & Learning
Stakeholders
Feedback
Pass
Rates
Drop Out
Rates
Employability
Expected
Learning
Outcomes
A
c
h
i
e
v
e
m
e
n
t
s
Teaching & Learning
Strategy
Student
Advice &
Support
Staff
Development
Activities
Graduation
Time
Research
29
AUN-QA Models
QA at Programme Level (Revised)
P12
AUN-QA Models

30
AUN-QA Models
Follow up
Student
Progress
Pass Rate
Drop-out Rate
Feedback from the
Labour Market
and Alumni
Research
Performance
Student
Evaluation
Course and
Curriculum
Evaluation
Research
Evaluation
Service
Evaluation
Assurance
Student
Assessments
Assurance
Quality
Staff
Quality
Assurance
Facilities
Quality
Assurance
Student Support
SWOT
Analysis
Inter-Collegial
Audits
Information
System
Quality
Handbook
Monitoring
Instruments
Evaluation
Instruments
Special QA
Processes
Specific QA
Instruments
Internal Quality Assurance (IQA) System
M30
AUN-QA Models

31
QA at Institutional Level
Quality Assurance and (Inter)national Benchmarking
A
C
H
I
E
V
E
M
E
N
T
S
Educational
Activities
Research
Community
Service
Policy
Plan
Management
Human
Resources
Funding
Mission
Goals
Aims
AUN-QA Models
M71
AUN-QA Models

32
1. The Mission Statement
QA at Institutional Level M73
Benchmark Criterion:
• The university has a clearly formulated mission statement.
• The mission statement is publicly known.
• The mission statement is in line with the academic and social
context.
Checklist:
1.1 The university has a clearly formulated mission statement
1.2 The mission statement is publicly known
1.3 The mission statement is in line with the academic and social
context

33
M73
Diagnostic questions:
• What is the university's vision for the academic training it gives?
• What is the university's vision for its research activities?
• What is the university's vision for its role in the society?
• Has the vision (= the long-term aims) been translated into a clearly formulated
mission statement (= targets to be met in the short-term)?
• Has the mission statement been translated into achievable and operationalised
goals and objectives?
• What is the specific profile of this university compared with other universities in
the country in question?
Examples:

34
2. The Policy Plan
M74
• The university has a clear policy and strategic plan formulated in
line with its mission statement.
Checklist:
2. The Policy Plan
2.1 The university has a clear policy and strategic plan formulated in
line with the mission statement.

35
2. The Policy Plan
M74
• Does the university have a clear policy in line with its mission and vision?
• Has the policy been adequately translated into the strategic plan?
• Who was involved in formulating the policy and strategic plan?
• Are policy and strategic plan well known to all academic staff and students? Is
there general agreement on this?
• Does the strategic plan reflect:
− The types of programme you are offering?
− The choice of research fields?
− The priorities set?
− The main activities of the university?
Examples:

36
3. The Management
M75
• The university has a clear management structure in which the
decision-making process, competencies and responsibilities have
been clearly fixed.
Checklist:
3. The Management
3.1 The university has a clear management structure in which the
decision-making process, competencies and responsibilities have
been clearly defined.

37
3. The Management
M75
• What kind of management structure does the university have: centralised and
top down or decentralised and bottom up?
• Have the role and functions of the central management, faculty management
and the staff been clearly described?
• Does the academic staff participate in the decision-making process on
teaching and research?
• Do students participate in the decision-making process in relation to their
education?
• Has the management structure of the university been endorsed by the
academic community?
• Is the internal organisation structure fit for purpose?
• What management committees are in place? Are they working adequately?
Examples:

38
4. Human Resources
M76-77
AUN-QA Criterion:
• The university develops and retains high-quality faculty members and supporting
personnel by clearly defining their responsibility, and by evaluating their
performance on a regular basis.
• The university develops the body of knowledge possessed by its faculty members
and supporting personnel to keep paces with changes in each academic discipline.
• The university provides for:
• establishment of a system to consider the ability, potential and need to
enhance the knowledge possessed by its faculty and supporting staff in their
conducting of activities that have a direct influence on the quality of
teaching/learning. This should include the formulation of a concrete personnel
development plan;
• provision of training to develop the potential of faculty members and
supporting personnel in accordance with the plan;
• evaluation of the effectiveness of the provided training such as to ensure that
its faculty members and supporting staff comprehend both the importance of
and the relationship between the duties and activities that fall within their
responsibility. This will affect the way the organization attains its quality goals.
• compilation of records of education, experience, training, and other essential
qualifications required of lecturers and supporting staff.

39
4. Human Resources
M76-77
AUN-QA Criterion:
• The university sets up a system of evaluation by committee to be
conducted according to a set timetable at least twice a year prior to pay
salary increments or promotions, or to the imposition of penalties.
• The university establishes an activity plan and evaluates activities to
encourage students, faculty members and other personnel to be
conscientious in their thought, speech, and behaviour, to be kind,
compassionate and honest, to possess equanimity, to be circumspect,
logically-minded and far-sighted, to be responsible and willing to make
sacrifices for the good of society.
• The university enhances the professional ethics of its students, faculty
members and other personnel

40
4. Human Resources
M76-77
Checklist:
4. Human Resources
4.1. The university develops and retains high-quality academics and support
staff by clearly defining their responsibility, and by evaluating their
performance on a regular basis.
4.2. The university develops the body of knowledge possessed by its
academics and support staff to keep paces with changes in each academic
discipline.

41
4. Human Resources
M76-77
Checklist:
4. Human Resources
4.3. The university:
a) establishes a system to consider the ability, potential and need to
enhance the knowledge possessed by its academics and support staff in
conducting activities that have a direct influence on the quality of teaching-
learning. This should include the formulation of a concrete staff development
plan;
b) provides training to develop the potential of academics and Support staff in
accordance with this plan;
c) evaluates the efficiency of the training provided to ensure that its
academics and support staff comprehend both the importance of and the
relationship between the duties and activities that fall within their
responsibility. This will affect the way the organisation attains its quality goals.
d) Compile records of education, experience, training, and other essential
qualifications required of lecturers (academic staff) and support staff.

42
4. Human Resources
M76-77
Checklist:
4. Human Resources
4.4 The university sets up a system of evaluation by committee to be
conducted according to a set timetable at least twice a year prior to pay
salary increments or promotions, or to the imposition of penalties.
4.5. The university establishes an activity plan and evaluates activities to
encourage students, academics and other staff to be conscientious in
thought, speech, and behaviour, to be kind, compassionate and honest, to
possess equanimity, to be circumspect, logically-minded and far-sighted, to
be responsible and willing to make sacrifices for the good of society.
4.6. The university enhances the professional ethics of its students,
academics and other staff.

43
4. Human Resources
M76-77
1. How does the university select and appoint its academic staff?
2. Is an adequate staff appraisal system in place for use in evaluating
performance and promotion?
3. How is staff performance evaluated?
4. What opportunities are given for staff/HR development and training?
5. How does the university evaluate the efficiency of its staff/HR development
activities?
6. How does the university stimulate the ethics of its students, academics and
other staff?
Examples:

44
5. Funding
M77-78
• The university has adequate funding to achieve its goals and
aims.
Checklist:
5. Funding
5.1 The university has adequate funding to achieve the goals and
aims.

45
5. Funding
M77-78
1. How is the university funded? (What percentage of the budget is
public funding, student contributions, external funding?)
2. The sources of the financial resources and the conditions attached to
the funding are stated transparently and do not restrict the university's
decision-making autonomy in teaching and research?
3. Are the goals and aims realistic and achievable with the provided
funding?
Examples:

46
6. Educational Activities
M78
AUN-QA Criterion:
• Based on AUN-QA criteria on teaching/learning (see self-assessment at
programme level)
Checklist:
6. Educational Activities
6.1 Use the outcomes of the self-assessment at programme level taking into account
the aspects from Appendix 5 – checklist on quality of a programme.
Refer to diagnostic questions in self-assessment at programme level

47
7. Research
M79-80
Research
Policy
Research
Programme
Number of
Publications
Number of
Dissertations
Research
Management
Organisation Research Code of Ethics
Funding Facilities External Funding
Goals
and
Aims
Research
Output
Human
Resource
Research
Training
Support PhD
Students
Awards Staff
Members

48
7.1 Governance and Organisation
M80-81
AUN-QA Criterion:
• The university has established, implemented, and ensured uniform compliance
with university-wide research policies to main the integrity of the university, protect
the safety and welfare of employees and experimental subjects and ensure
compliance with all other regulations governing the research process.
• The university has designed policies and guidelines as guiding principle to conduct
research and development activities.
• The policies and guideline set out the obligations on all researchers to be aware of
good conduct in research and comply with institutional and regulatory
requirements.
• The university support scholarly, research and creative activities, which contribute
to the mission of the university and ultimately provide intellectual, social and
economic benefits to society.
• The university is committed to the highest professional standards of scholarly
research and research ethics.
• The researchers have familiarised themselves with the contents of research
policies and procedures. Misconduct in conducting or reporting research is
considered to be a serious breach of academic responsibilities.

49
7.1 Governance and Organisation
M80-81
• Has a University Research Council been established? How does it
work?
• Has a University Research Management Unit been established? What
are its functions? Is it working?
• How does the university manage the research funding?
Examples:

50
7.2 University Research Policy
M81-82
AUN-QA Criterion:
• The university has a clear research policy, setting the direction of
research and deciding about research profile and research
activities
Does the university's research policy cover the above-mentioned
topics?
Examples:

51
7.3 The University Intellectual
Property Rights Policy
M82-83
AUN-QA Criterion:
• The university has a clear policy, for the protection of creative
efforts and especially for the protection of economic investment in
creative efforts (Intellectual Property Right Policy).
• Has the university formulated a policy to protect intellectual property
rights?
• Does it function adequately or are there any problems?
• How does the university cope with the problems?
Examples:

52
7.4 Code of Conduct for Research/
Code of Ethics for Research
M83-84
AUN-QA Criterion:
• The university has a clear code of conduct for research, including
a code of ethics.
• Has the university formulated a code of conduct and a code of
ethics?
• Does the university have a Research Ethics Committee
• If no such committee is in place, how does the university cope with
ethical questions?
Examples:

53
7. Research
M157
Checklist:
7. Research
7.1 The university establishes, implements and ensures uniform compliance
with university-wide research policies to maintain the integrity of the
university, protect the safety and welfare of staff and experimental
subjects and to ensure compliance with all other regulations governing
the research process.
7.2 The university has designed policies and guidelines as guiding principles
to conduct research and development activities.
7.3 The policies and guidelines set out the obligations on all researchers to
be aware of good conduct in research and to comply with institutional and
regulatory requirements.
7.4 The university supports scholarly research and creative activities that
contribute to the mission of the university and ultimately provide
intellectual, social and economic benefits to society.

54
7. Research
M157
Checklist:
7. Research
7.5 The university is committed to the highest professional standards of
scholarly research and research ethics.
7.6 The researchers have familiarised themselves with the contents of
research policies and procedures. Misconduct in conducting or reporting
research is considered a serious breach of academic responsibilities.
7.7 The university has a clear research policy, setting the direction of
research and deciding on the research profile and research activities.
7.8 The university has a clear code of conduct for research including a code
of ethics.

55
8. The Contribution to
Society and the Community
M84-85
• The university has clear guidelines for consultancy and community
service
Checklist:
8. The Contribution to Society and the Community
8.1 The university has clear guidelines on consultancy and on the
contribution to society and community service

56
8. The Contribution to
Society and the Community
M84-85
• What role does the university play in the local, national and
international community
• What are the key activities, which of these lie outside normal teaching
or research? How do they relate to the mission?
• What are the non-profit activities of the university?
• Is there a clear policy on consultancy and the contribution to society
and the community?
• How is the income from consultancy regulated?
Examples:

57
9. Achievements
M85-86
• A university has the means and opportunity to check whether the
achievements are in line with the expected outcomes.
Checklist:
9. Achievements
9.1 The university has the means and opportunities to check whether
the achievements are in line with the expected outcomes.

58
9. Achievements
M85-86
• Are the achieved outcomes in line with the formulated goals and aims?
• How does the university check that it achieves what it wants to
achieve?
• If the achievement is not satisfactory, what action does the university
take?
Examples:

59
10. Stakeholder Satisfaction
M86
• A university has a structured method for obtaining feedback from
the stakeholders.
Checklist:
10.1 The university has a structural method for obtaining feedback
from stakeholders.

60
M86
• Is regular student evaluation carried out? How is it done? Is it adequate?
• What is done with the results of student evaluations?
• Does the university have an insight into the opinion and feedback of graduates
when they are employed?
• Are the complaints or positive feedback received from alumni used to adapt the
programmes?
• Are there any structured contacts with employers and the labour market for
obtaining feedback?
• How do the employers appreciate graduates?
• Are there any specific complaints?
• Are specific strengths appreciated by employers?
• Does the university have any tools to obtain feedback from society?
Examples:

61
11. Quality Assurance and
(Inter)national Benchmarking
M87, M151
• A university has an efficient internal quality assurance system.
Checklist:
11. Quality Assurance and (Inter)national
Benchmarking
11.1 The university uses the outcomes of the self-assessment of the
IQA system (see Appendix 4).
Refer to diagnostic questions in self-assessment of the
IQA System.

62
QA at IQA System Level
Follow up
Student
Progress
Pass Rate
Drop-out Rate
Feedback from the
Labour Market
and Alumni
Research
Performance
Student
Evaluation
Course and
Curriculum
Evaluation
Research
Evaluation
Service
Evaluation
Assurance
Student
Assessments
Assurance
Quality
Staff
Quality
Assurance
Facilities
Quality
Assurance
Student Support
SWOT
Analysis
Inter-Collegial
Audits
Information
System
Quality
Handbook
Monitoring
Instruments
Evaluation
Instruments
Special QA
Processes
Specific QA
Instruments
Internal Quality Assurance (IQA) System
QA at IQA System Level M30

63
1. Quality Assurance: General Aspects
M31-32
AUN-QA Criterion:
• An institution has a clear policy and associated procedures for the
assurance of the quality and standards of their programmes and
awards. The university commits itself explicitly to the development
of quality culture and quality awareness.
• To achieve this, the university develops and implements a strategy
for the continuous enhancement of quality. The strategy, policy
and procedures should have a formal status and be publicly
available.
• They also include a role for students and other stakeholders.
Checklist:
1. Policy
1.1 The institution has a clear policy on IQA
1.2 There is a clear formal strategy on IQA
1.3 The role of all stakeholders is clearly described

64
1. Quality Assurance: General Aspects
M31-32
• Does the university have a clearly formulated policy on IQA?
• Does the policy statement explicitly contain:
- the relationship between teaching and research at the institution;
- the institution's strategy on quality and standards;
- how the quality assurance system is organised;
- the responsibilities of departments, schools, faculties and other
organisational units and individuals for assuring quality;
- the involvement of students and stakeholders in quality assurance;
- the ways in which the policy is implemented, monitored and
revised
Examples:

65
2. The Monitoring System
M32-33
AUN-QA Criterion:
An institution has a structured monitoring system to collect
information on the quality of its activities. The monitoring system
includes:
- Student evaluation
- A student progress system
- Structural feedback from the labour market
- Structural feedback from alumni
- Number of publications
- Number of grants
Checklist:
2. Monitoring
2.1 Student evaluation
2.2 Student progress system
2.3 Structured feedback from the labour market (employers)
2.4 Structured feedback from the alumni

66
2. The Monitoring System
M32-33
Does the university have an efficient monitoring system
including:
- a system to track student progress
- a system to register pass rates and dropout rates
- structural feedback from the labour market (employers)
- structural feedback from alumni
- records concerning the number of publications
registered by staff
- records on the number of research grants
Examples:

67
3. Evaluation Instruments
M33-34
AUN-QA Criterion:
An institution has formal mechanisms for the periodic
review or evaluation of its:
• core activities
• programmes and degrees
• research activities (if applicable)
• contribution to society and the community
Checklist:
3. Periodic Review of the Core Activities (Education, Research
and the Contribution to Society and the Community)
3.1 Period review of teaching and learning
3.2 Period review of research
3.3 Periodic review of the contribution to society and the community

68
3. Evaluation Instruments
M33-34
Does the university carry out:
• student evaluation
• course evaluation
• curriculum evaluation
• regular review of research outcomes
• regular evaluation of the contribution to society and the
community
Examples:

69
4. Special QA Processes:
Student Assessment
M34-35
AUN-QA Criterion:
• An institution has clear procedures to assure the assessment of
students.
• Students are assessed on the basis of published criteria,
regulations and procedures that are applied consistently.
• There are clear procedures to assure the quality of the
examinations.
• There is an appeals procedure.
Checklist:
4. Quality Assurance of the Student Assessment
4.1 Criteria for assessment
4.2 Assessment procedures
4.3 Regulations to assure the quality of assessment
4.4 Appeal procedures

70
Student Assessment
M34-35
• Does the student assessment meet the principles of adult learning?
Adults prefer to be assessed by criterion-referenced methods and by a
combination of peer, self and teacher assessment.
• Does the assessment method foster open, flexible, reflective and
outcome based assessment?
• Are the criteria made explicit?
• Are the assessment strategies in line with clearly-defined learning
outcomes?
• Do the assessment arrangements correspond with all the aims and
aspects of the curriculum as taught?
• Is a range of assessment methods used in a planned manner to serve
diagnostic, formative, and summative purposes?

71
Student Assessment
M34-35
• Is the scope and weighting of the assessment schemes known to all
concerned?
• Are the standards applied in assessment schemes explicit and
consistent across the curriculum?
• Are procedures regularly applied to ensure that, as far as possible,
assessment schemes are valid, reliable and fairly administered?
• Do students have ready access to reasonable appeals procedures?
• Is the reliability and validity of the assessment methods documented
as required and regularly evaluated?
• Are new assessment methods developed and tested?
Examples:

72
Staff Quality
M35-36
AUN-QA Criterion:
An institution has means to satisfy itself that its staff are qualified
and competent to conduct the core activities of the institution:
education, research and the contribution to society and the
community:
• adequate staff appointment procedures
• adequate staff appraisal system
• staff development activities
Checklist:
5. Quality Assurance of Staff
5.1 Staff appointment procedures
5.2 Staff appraisal system
5.3 Staff development activities

73
Staff Quality
M35-36
• How is the staff recruitment system organised?
• How is the promotion system organised? What criteria are
important for promotion?
• Are staff appraisals carried out? How are these done?
What are the consequences?
• Has a clear HR policy been put in place?
• Are staff development activities carried out?
Examples:

74
Quality of the Facilities
M36-37
AUN-QA Criterion:
An institution has clear procedures to ensure that the quality of its
facilities needed for student learning are adequate and
appropriate for each programme offered:
• adequate checks on the computer facilities
• adequate checks on the library
• adequate checks on the laboratories
Checklist:
6. Quality Assurance of Facilities
6.1 Checking the computer facilities
6.2 Checking the library facilities
6.3 Checking the laboratories

75
Quality of the Facilities
M36-37
What procedures do you have to assure the quality of:
• the lecture halls, tutorial rooms, auditorium, etc?
• the libraries?
• the laboratories?
• the learning resources
• the research resources?
Examples:

76
Quality of Student Support
M37
AUN-QA Criterion:
An institution has clear procedures to assure the quality of the student
support and student advice.
In establishing a learning environment to support the achievement of
quality student learning, teachers must do everything in their power to
provide not only a physical and material environment that is supportive of
learning and is appropriate to the activities involved, but also a social or
psychological environment.
Checklist:
7. Quality Assurance of Student Support/Advice
7.1 Information for students
7.2 Student advice/support
7.3 student welfare
7.4 Student housing
7.5 Sports facilities

77
Quality of Student Support
M37
What procedures to you have to assure the quality of the
student support activities:
• a tutoring system
• student advice and/or counselling
• student housing
• sports facilities
Examples:

78
8. Special QA Instruments:
SWOT Analysis or Self-assessment
M38
AUN-QA Criterion:
An institution regularly conducts, but at least once every 5 years, a
self-assessment of its core activities and of the institution as a
whole to learn about its strengths and weaknesses. This self-
assessment will lead to a quality plan.
Checklist:
8. Self-assessment
8.1 Self-assessment of the IQA system
8.2 Self-assessment of teaching/learning
8.3 Self-assessment of research
8.4 Self-assessment of the contribution to society and the community
8.5 Self-assessment of the university

79
SWOT Analysis or Self-assessment
M38
Does the university already have experience with the instrument of self-
assessment?
• Is there any connection with external assessment/accreditation?
• Are the core activities being assessed?
• If not yet done, are you planning to conduct self-assessment on a
regular basis?
• If you have (not yet) conducted self-assessment, how do you know
what your quality is?
Examples:

80
Inter-collegial Audit
M38-39
AUN-QA Criterion:
A self-assessment might be part of an External Quality
Assessment (EQA) or accreditation process where the self-
assessment report acts as input for the external review team. If
the self-assessment is not connected to the EQA, the institution
will be expected to organise an audit itself based on the self-
assessment report.
Checklist:
9. Internal Audit
9.1 Internal audit of teaching/learning
9.2 Internal audit of research
9.3 Internal audit of the contribution to society and the community
9.4 Internal audit of the university

81
Inter-collegial Audit
M38-39
Does the university have an audit system?
• How often do you use it?
• Do you have trained auditors? Where were they trained?
• What is done with the outcomes of an audit? Give some
examples.
Examples:

82
10a. Special QA Instruments:
Information Systems
M39-40
AUN-QA Criterion:
An institution should ensure that it collects, analyses
and uses relevant information for the effective
management of its core activities.
Checklist:
10a. Information Systems
10a.1 Information management system in general
10a.2 Information management system for teaching/learning
10a.3 Information management system for research

83
10a. Special QA Instruments:
Information Systems
M39-40
• What is done with the information collected by the
monitoring system?
• Does the executive management use the information
collected?
• Are you using the instrument of benchmarking? How are
you using it?
Examples:

84
10b. Special QA Instruments:
Public Information System
M40
AUN-QA Criterion:
An institution should regularly publish up-to-date,
impartial and objective information, both quantitative
and qualitative, about the programmes and awards that
it offers.
Checklist:
10b. Public Information
10b.1 Public information on the university
10b.2 Public information on the educational programmes and
awards/degrees offered
10b.3 Public information on research activities

85
10b. Special QA Instruments:
Public Information System
M40
• What procedures does the university have to assure the
quality of the information?
• How do you ensure that the information is impartial?
Examples:

86
QA Handbook
M40-41
AUN-QA Criterion:
An institution has a QA handbook that documents all regulations,
processes and procedures concerning quality assurance. This
handbook is public and known to all the people concerned.
Checklist:
11. QA Handbook
11.1 Presence of a QA handbook
11.2 Handbook is known to staff and students

87
QA Handbook
M40-41
• Does the university already have a QA handbook?
• What is the content of the QA handbook? Sum up the
chapters.
• What documents, processes and procedures are already
available?
• What documents, processes and practices need to be
developed?
• Who will collect and compile all the information?
Examples:

88
Day 2 Topic
9.00am – 10.00am • QA at Programme Level
10.00am – 10.15am • Break
10.15am – 12.00pm • QA at Programme Level
12.00pm – 1.00pm • Lunch
Level (Plan)
3.00pm – 3.15pm • Break
Level (Do)
Workshop Outline

Stakeholders Satisfaction
Programme
Specification
Programme
Structure &
Content
Student
Assessment
Academic Staff
Quality
Support Staff
Quality
Student
Quality
Facilities &
Infrastructure
Quality Assurance of
Teaching & Learning
Stakeholders
Feedback
Pass
Rates
Drop Out
Rates
Employability
Expected
Learning
Outcomes
A
c
h
i
e
v
e
m
e
n
t
s
Teaching & Learning
Strategy
Student
Advice &
Support
Staff
Development
Activities
Graduation
Time
Research
QA at Programme Level (Revised)
89
QA at Programme Level P 11 -12

Original Criteria Sub-criterion Revised Criteria Sub-criterion
1. Goals and Objectives; Expected
Learning Outcomes
4 1. Expected Learning Outcomes 4
2. Programme Specification 3 2. Programme Specification 3
3. Programme Content 4 3. Programme Structure and Content 7 (-1)
4. Programme Organisation 4
5. Didactic Concept and
Teaching/Learning Strategy
5 4. Teaching and Learning Strategy 4 (-1)
6. Student Assessment 8 5. Student Assessment 7 (-1)
7. Staff Quality 10 6. Academic Staff Quality 10
8. Quality of Support Staff 4 7. Support Staff Quality 4
9. Student Quality 4 8. Student Quality 3 (-1)
10. Student Advice and Support 5 9. Student Advice and Support 4 (-1)
11. Facilities and Infrastructure 5 10. Facilities and Infrastructure 5
12. Quality Assurance of
Teaching/Learning Process
4 11. Quality Assurance of
Teaching/Learning Process
7 (-2)
13. Student Evaluation 2
14. Curriculum Design 3
15. Staff Development Activities 2 12. Staff Development Activities 2
16. Feedback Stakeholders 2 13. Stakeholders Feedback 3 (+1)
17. Output 2 14. Output 4 (+2)
18. Stakeholders Satisfaction 1 15. Stakeholders Satisfaction 1
Total 72 Total 68 (-4)
90
QA at Programme Level P11

91
Past Actual AUN-QA Quality Assessment
No. Period University Programme
1st Dec 2007 University of Malaya  Biomedical Engineering
 Computer-Aided Design
/Manufacture Engineering
2nd Aug 2008 De La Salle University  Chemical Engineering
 Applied Economics
3rd Dec 2008 Universitas Indonesia  Civil Engineering
 Mechanical Engineering
4th Dec 2008 Institut Teknologi Bandung  Physics
 Pharmacy
5th Oct 2009 Universitas Gadjah Mada  Pharmaceutical Sciences
 Chemistry
 Medical Education
QA at Programme Level

92
Past Actual AUN-QA Quality Assessment
No. Period University Programme
6th Dec 2009 Vietnam National
University - Hanoi
 Information Technology
University – Ho Chi Minh
City
 Information Technology
 Computer Science & Engineering
 Electronics & Telecommunications
8th Oct 2010 Universitas Indonesia  Architecture
 Electrical Engineering
 Chemistry
 Metallurgy & Material Engineering
9th Nov 2010 De La Salle University  Chemistry
 Psychology
 Literature
University - Hanoi
 Economics
11th Jun 2011 Universitas Gadjah Mada  Civil Engineering
 Geology Engineering
 Biology

1. Expected Learning Outcomes
1.The curriculum is developed to promote learning, learning how to learn and to instill in
students a commitment of lifelong learning (e.g. commitment to critical inquiry,
development of study and information-processing skills, a willingness to experiment with
new ideas and practices).
2.The curriculum offers to graduates the ability to do advanced studies, to develop their
own personality, to have an academic attitude and to be competent in their field of study.
The graduates should also have transferable skills, leadership skills, and should be
oriented to the job market and be able to develop their careers (1.9).
3.The curriculum has clearly formulated learning outcomes, reflecting the relevant
demands and needs of all stakeholders.(1.2)
1 Expected Learning Outcomes 1 2 3 4 5 6 7
1.1 The expected learning outcomes have been clearly
formulated and translated into the programme (3)
1.2 The programme promotes life-long learning (1)
1.3 The expected learning outcomes cover both generic
and specialised skills and knowledge (2)
1.4 The expected learning outcomes clearly reflect the
requirements of the stakeholders (3)
Overall opinion
93 P 14-15

94
Self-assessment at Programme Level P 14-15
• Why are we educating?
• What is the educational philosophy behind the programme?
• What are the expected learning outcomes?
• How are the programme learning outcomes formulated?
• Do the learning outcomes reflect the department’s goals?
• Does the labour market set any specific requirements for graduates to meet?
• To what extent and how do we try to tune the programme to the labour market?
• Is there a well-defined job profile?
• How are the learning outcomes made known to staff and students?
• To what extent do we think that the learning outcomes have been achieved?
• Do we review the learning outcomes?
• How are the learning outcomes translated into the concrete requirements of
the graduate (i.e. knowledge, skills and attitudes; and professional ethics)?
Examples:

Elements of the
Programme Specification
Process informed by: Questions to ask yourself:
Aims of the programme
What’s the purpose of the
programme?
Learning Outcomes
of the programme
UCE Birmingham Level Descriptors
What should students
know and be able to do
on completion?
QAA Subject Benchmarks
Professional Body Requirements
including:
Knowledge & understanding
Intellectual (thinking) skills
Practical skills (subject-specific)
Key/transferable skills (generic) Outcomes for level
attained through:
Attainment
verified by:
Grades awarded
according to:
Programme learning outcomes
broken down by level to ensure
incremental attainment over
duration of course
Module learning
outcomes
Module
assessment
Assessment
criteria
95
Guide to writing learning outcomes

2. Programme Specification
1. Universities are recommended to publish, for each programme they offer, a
programme specification which identifies potential stopping off points and gives the
intended outcomes of the programme in terms of:
 The knowledge and understanding that the students will have upon
completion
 Key skills: communication, numeracy, the use of information technology and
learning how to learn
 Cognitive skills, such as an understanding of methodologies or ability in
critical analysis
 Subject specific skills, such as laboratory skills, clinical skills, etc.(1.10)
2. Programme specification is a concise description of the intended outcomes of learning
from a higher education programme, and the means by which these outcomes can be
achieved and demonstrated.(1.11)
3. Programme specification makes explicit the intended outcomes in terms of
knowledge, skills and attitudes. They should help students to understand the teaching
and learning method that enables the outcome to be achieved; the assessment
method that enable achievement to be demonstrated; and the relationship of the
programme and its study elements to the qualification frameworks in each member
country and to any subsequent professional qualification or career path.(1.1)
96 P 15-17

2 Programme Specification 1 2 3 4 5 6 7
2.1 The university uses programme specification (1)
2.2 The programme specification shows the expected
learning outcomes and how these can be achieved
(1,2,3)
2.3 The programme specification is informative,
communicated, and made available to the
stakeholders (1,3)
Overall opinion
97 P 15-17

The following information should be included in the programme specification:
• Awarding body/institution
• Teaching institution (if different)
• Details of the accreditation by a professional or statutory body
• Name of the final award
• Programme title
• Learning outcomes of the programme
• Admission criteria or requirements to the programme
• Relevant subject benchmark statements and other external and internal reference
points used to provide information on programme outcomes
• Programme outcomes such as knowledge, skills and attitudes
• Teaching, learning and assessment strategies to enable outcomes to be achieved
and demonstrated
• Programme structure and requirements including levels, modules, credits, etc.
• Date on which the programme specification was written or revised
98 P15-17

99
2. Programme Specifications
• Are the learning outcomes translated into the programme and its courses or
modules?
• Does the university have a programme specification as formulated by the AUN-
QA?
• Is the programme specification published and made available or known to
stakeholders?
• What is the process for reviewing the programme specification?
Examples:
P15-17

3. Programme Structure & Content
1.The curriculum shows a balance between specialised contents, general
knowledge and skills. The curriculum is designed to meet the needs of the
stakeholders. (1.3)
2.The curriculum takes into account and reflects the vision, mission, aims and
objectives of the institution. The vision, mission, aims and objectives are explicit
and are known to staff and students.(1.1)
3.The curriculum shows the expected competences of the graduate. Each
course should clearly be designed to show the expected outcomes of the course
competencies. To obtain this, a curriculum map should be constructed.(1.5)
4.The curriculum is designed so that the subject matter is integrated and
strengthens other courses in the curriculum (1.4)
5.The curriculum is structured to show range, depth, coherence and organisation
of the courses (1.6)
6.The curriculum structure shows clearly the basic courses, the intermediate
courses, the specialised courses and the final project, thesis or dissertation (1.7)
100 P18-19

3 Programme Structure and Content 1 2 3 4 5 6 7
3.1 The programme content shows a good balance
between generic and specialised skills and knowledge
(1)
3.2 The programme reflects the vision and mission of the
university (2)
3.3 The contribution made by each course to achieving the
learning outcomes is clear (3)
3.4 The programme is coherent and all subjects and
courses have been integrated (4)
3.5 The programme shows breadth and depth (5)
3.6 The programme clearly shows the basic courses,
intermediate courses, specialised courses and the final
project, thesis or dissertation (6)
3.7 The programme content is up-to-date (1)
Overall opinion
101 P 18-19

102
• Do the contents reflect the mission and vision of the university?
• Do the contents of the undergraduate programme reflect the expected outcomes and can
they be considered capable of achieving the expected outcomes?
• Are the courses in the programme clearly related? Is the programme coherent?
• Has a proper balance been struck between specific and general courses?
• Is the programme content up-to-date?
• Why was this programme structure chosen?
• Has the educational programme been changed structurally over recent years? If so, why?
• Do the courses demonstrate growing complexity over the years?
• Were any requirements specified on the internal coherence of the courses? Who set these
requirements?
• Does the first year of the programme provide sufficient insight into the remaining parts of
the programme?
• Is the connection between basic programme and specialisation correct?
• Is the organisation of the various specialised courses satisfactory?
• Is the relation between basic courses, intermediate courses and specialised courses in the
compulsory programme and the optional sections satisfactory?
• Are bottlenecks experienced within the programme?
• What organisational form does the university use (term, semester, modular, problem
oriented)? What do those involved think of this?
P 18-19

Skills Matrix or Curriculum Map
103
Examples: Refer to Sample Programme Specification from University of
Leicester and Universiti Teknologi Malaysia

4. Teaching & Learning Strategy
1. Staff are encouraged to employ action learning. Action learning is a continuous process of learning and
reflection, supported by peers, with the intention of achieving quality student learning. Through action
learning, university teachers learn with and from each other by working on real problems and reflecting on
their own experiences. A programme of facilitated action learning is aimed at the improvement of student
learning and the environment in which it occurs. (2.14)
2. Quality learning is understood as involving the active construction of meaning by the student, and not just
something that is imparted by the teacher. It is a deep approach of learning that seeks to make meaning
and achieve understanding. Hence, the conception of teaching is the facilitation of learning. (4.1)
3. It is the students who achieve the aims of higher education. Quality learning is largely dependent on the
approach that the learner takes when learning. This in turn is dependent on the concepts that the learner
holds of learning, what he or she knows about his or her own learning, and the strategies she or he
chooses to use. (4.2)
4. Quality learning embraces the principles of adult learning. Adults learn best in a relaxed, supportive,
cooperative and informal learning environment. Deep learning is likely to take place in environments
which foster collaborative learning. (4.3)
5. In promoting responsibility in learning, teachers should:
a. create a teaching-learning environment that enables individuals to participate responsibly in the learning
process
b. provide curricula that are flexible and enable learners to make meaningful choices in terms of subject
content, programme routes, approaches to assessment and modes and duration of study (4.9)
6. In engaging with feelings and values as well as intellectual development, teachers provide learning
opportunities and encounters which involve the whole person, feelings as well as intellect (4.10)
104 P 20-22

4 Teaching and Learning Strategy 1 2 3 4 5 6 7
4.1 The faculty or department has a clear teaching and
learning strategy (5)
4.2 The teaching and learning strategy enables students to
acquire and use knowledge academically (2, 6)
4.3 The teaching and learning strategy is student oriented
and stimulates quality learning (3, 4)
4.4 The teaching and learning strategy stimulates action
learning and facilitates learning to learn (1)
Overall opinion
Examples:
105 P 20-22

106
• Is there an explicit teaching and learning strategy shared by all staff members?
Is this adequate?
• Is diversity of learning environment promoted including exchange programme?
• Is the instruction/teaching provided by other departments satisfactory?
• Are the instructional methods used (organisation of self-instruction for the
students, size of classes, organisation of seminars, practical
courses/internships, etc.) satisfactory?
• How is technology used in the instruction?
• How is the teaching and learning strategy evaluated? Do the chosen methods
fit into the learning outcomes of the courses? Is there sufficient variety in the
methods?
• Are there any circumstances that prevent these desired instructional methods
from being used (number of students, material infrastructure, lecturer skills)?
P 20-22

107
• If research is a core activity for the university:
• When do students come into contact with research for the first time?
• How is the interrelationship between education and research expressed in the
programme?
• How are the research findings included in the programme?
• The practical training of students (trainees) is a specific aspect in the teaching
and learning strategy. Describe the practical training in the programme:
• Is practical training a compulsory part?
• What is the size of practical training credit points?
• Have any criteria been formulated for the practical training to comply with?
• Preparation of practical training in the programme (concerning content, method
and skills).
• Is the level of the practical training satisfactory?
• Are there any bottlenecks in the practical training? If so, what causes them?
• How are students coached?
• How is the assessment done?
P 20-22

5. Student Assessment
1. Assessment covers:
 New student entrance by means of input competency
 Student’s study progress by means of matrix/map/portfolio of the competency and outcome-
based curriculum
 Final/ Exit test of the graduates by means of Graduate Competency Checklist or comprehensive
and integrated assessment
2. In line with principle of adult learning, adults prefer to be assessed by criterion-referenced methods
and by a combination of peer, self- and teacher assessment.(3.1)
3. In fostering open, flexible, reflective and outcome-based assessment, the teachers should provide a
variety of assessment methods of students’ learning, through self-, peer and teacher assessment
where the criteria are made explicit following negotiation with the course members. The assessment
strategies adopted should be congruent with clearly defined learning outcomes.(3.2)
4. Assessment methods correspond to all the aims and aspects of the curriculum as taught (3.3)
5. A range of assessment methods is used in a planned manner to serve diagnostic, formative, and
summative purposes. (3.4)
6. The scope and weighting of assessment schemes are clear and known to all concerned. (3.5)
7. Standards applied in assessment schemes are explicit and consistent across the curriculum. (3.6)
8. Procedures are regularly applied to ensure that, as far as possible, assessment schemes are valid,
reliable and fairly administered. (3.7)
9. Students have ready access to reasonable appeal procedures.(3.9)
10. The reliability and validity of assessment methods should be documented and regularly evaluated and
new assessment methods are developed and tested.(3.10)
108 P 23-25

5 Student Assessment 1 2 3 4 5 6 7
5.1 Student assessment covers student entrance,
student progress and exit tests (1)
5.2 The assessment is criterion-referenced (2)
5.3 Student assessment uses a variety of methods (3, 5)
5.4 Student assessment reflects the expected learning
outcomes and the content of the programme (3)
5.5 The criteria for assessment are explicit and well-
known (3,6)
5.6 The assessment methods cover the objectives of the
curriculum (4)
5.7 The standards applied in the assessment are explicit
and consistent (7, 8, 9, 10)
Overall opinion
109 P 23-25

110
• Is entry assessment done on new students?
• Is exit assessment done on departing (graduating) students?
• To what extent do the assessment and examinations cover the content of the
courses and programme? To what extent do the assessment and examinations
cover the objectives of the courses and of the programme as a whole?
• Is the assessment criterion-referenced (i.e. a specified set of criteria)?
• Is a variety of assessment methods used? What are they?
• Are the pass/fail criteria clear?
• Are the assessment/examination regulations clear?
• Are the procedures clear? Are they well known? Well followed?
• Are any safeguards in place to ensure objectivity?
• Are the students satisfied with the procedures? What about complaints from
students?
• Do clear rules exist for re-assessment and are students satisfied with these?
P 23-25

111
A special form of student assessment is the final project (essay, thesis or
assignment). This requires students to demonstrate their knowledge and skills
and their ability to manipulate the knowledge in a new situation.
• Do clear regulations exist for the final project?
• Have criteria been formulated that the final project has to comply with?
• What does the preparation for producing the final project in the
programme involve (in terms of content, methods, and skills)?
• Is the level of the final project satisfactory?
• Do any bottlenecks exist for producing final project? If so, why?
• How are students being coached?
Examples:
P 23-25

6. Academic Staff Quality
1. Competent university teaching staff are able to:
 design and deliver a coherent teaching and learning programme
 apply a range of teaching and learning methods and select methods most appropriate to desired
learning outcomes
 develop and use a variety of instructional media
 employ a range of techniques to assess students’ work and match these to intended learning
outcomes
 monitor and evaluate their own teaching performance and evaluate programmes they deliver
 reflect upon their own teaching practices
 identify needs and develop plans for continual development. (2.13)
2. The teaching staff establishment or staffing is sufficient to deliver the curriculum and suitable in terms of
the mix of qualifications, experience, aptitudes, age, etc. (2.1)
3. Recruitment and promotion of academic staff are based on merit system, which includes teaching,
research and service.(2.3)
4. Roles and relationship of staff members are well defined and understood (2.4)
5. Duties allocated are appropriate to qualifications, experience, and aptitude. (2.5)
6. Time management and incentive system are directed to support quality of teaching and learning.(2.6)
7. All staff is accountable to the Owner of the University (e.g. the Government, Board of Trustees, or the
Foundation) through the Rector, President or Vice- Chancellor and to the stakeholders, taking into
account their academic freedom and professional ethics. (2.9)
8. There are provisions for review, consultation, and redeployment.(2.10)
9. Termination, retirement and social benefits are planned and well implemented. (2.11)
10 There is a well-planned staff appraisal based on fair and objective measures in the spirit of enhancement
which are carried out regularly (2.12)
112 P 26-29

6 Academic Staff Quality 1 2 3 4 5 6 7
6.1 The staff are competent for their tasks (1)
6.2 The staff are sufficient to deliver the curriculum
adequately (2)
6.3 Recruitment and promotion are based on academic
merits (3)
6.4 The roles and relationship of staff members are well
defined and understood (4)
6.5 Duties allocated are appropriate to qualifications,
experience and skills (5)
6.6 Staff workload and incentive systems are designed to
support the quality of teaching and learning (6)
6.7 Accountability of the staff members is well regulated
(7)
6.8 There are provisions for review, consultation and
redeployment (8)
6.9 Termination and retirement are planned and well
implemented (9)
6.10 There is an efficient appraisal system (10)
Overall opinion
113 P 26-29

114
Category M F Total Percentage of
PhDs
People FTEs*
Professors
Associate/
Assistant
Professors
Full time
lecturers
Part time
lecturers
Visiting
professors/
lecturers
Total
Size of the staff and their qualifications
* FTE stands for Full-Time Equivalent. This is a unit to calculate the investment of time. 1 FTE is
equal to about 40 hours per week (full-time employment). A staff member with a weekly
appointment of 8 hours is 0.2 FTE.
P 26-29

115
Staff/student ratio and staff/graduate ratio
(please specify the year)
Total FTE
of teaching
staff*
Number
of
students
Number of
graduates
Number of
students
per FTE of
teaching staff
Number of
graduates
per FTE of
teaching staff
* Realistic estimate of the number of FTEs of teaching staff. The number of students
enrolled in the programme at the beginning of the academic year. If this number is not
considered to be representative, please specify what it should be.
P 26-29

116
• Are the staff competent and qualified for their job?
• Are the competencies and expertise of the staff adequate for delivering this
programme?
• Are there any problems with the human resources? Age structure? Vacancies
difficult to fill? How many Master’s and PhD degree holders are there among
the staff? What difficulties are there in attracting qualified staff?
• What policy is pursued with regard to the employment of staff, both in teaching
and research?
• Is conscious effort made to involve professors in mentoring and/or training
junior/new academic staff?
• Is a policy in place with regard to the involvement in seminars, supervision of
final papers, practical courses and/or practical training internships?
• What about teaching loads? The staff/student ratio? The staff/graduate ratio?
• How many contact hours service-instruction are given in other programmes
and departments?
• What is the accountability of staff to their roles, responsibilities and
professional ethics?
P 26-29

117
Staff management
• Does the department have a clearly formulated staff management structure?
• Is staff recruitment based on experience in teaching and research?
• Is there a system of staff appraisal?
• What role do teaching qualifications and teaching activities play in the career of
the staff members?
• How does the department think of its HR policy so far?
• What future developments are there?
• How are teachers prepared for the teaching task?
• Is the teaching delivered by the staff supervised and assessed?
Examples:
P 26-29

Staff
Planning
Recruitment
Promotion /
Re-deployment
Staff
Development
(C12)
Assignment
/Deployment
Performance
Review
Attrition/
Retention
Reward &
Recognition
Accountability
118

7. Support Staff Quality
There is adequate support in term of staffing at the libraries, laboratories,
administration and student services. (2.2)
7 Support Staff Quality 1 2 3 4 5 6 7
7.1 The library staff are competent and adequate in
providing a satisfactory level of service
7.2 The laboratory staff are competent and adequate in
providing a satisfactory level of service
7.3 The computer facility staff are competent and
adequate in providing a satisfactory level of service
7.4 The student services staff are competent and
adequate in providing a satisfactory level of service
Overall opinion
119 P 30-31

120
7. Support Staff Quality
• Are the support staff for the library competent and sufficient?
• Are the support staff for the laboratories competent and sufficient?
• Are the support staff for the computer facilities competent and
sufficient?
• Are the support staff for the administration competent and sufficient?
• What is the ratio of academic staff to support staff? Is the support staff
competent and sufficient in giving services to staff and students?
Examples:
P 30-31

8. Student Quality
There is a clear student intake policy and the admission criteria to the
programme are formulated and reviewed periodically.
8 Student Quality 1 2 3 4 5 6 7
8.1 There is a clear student intake policy
8.2 The student admission process is adequate
8.3 The actual study load is in line with the prescribed
load
Overall opinion
121 P 31-33

122
8. Student Quality
Give a summary of the intake of first year students
Give a summary of the total number of students enrolled in the
programme (last 5 academic years)
P 31-33

123
8. Student Quality
• How do you analyse the development of the student intake: Reasons to worry?
Causes of problems? Prospects for the future?
• Are students selected?
• If so, how are they selected? What are the requirements?
• What policy is pursued with regard to the intake of students? Does it aim to
increase the intake or to stabilise it? Why?
• What measures are taken to affect the quality and the size of the intake?
• What effect do these measures have?
• How does the programme take into account the level of achievement of
entering students? How are the programme and secondary education linked?
P 31-33

124
8. Student Quality
Student study load and performance
• Does the department have a credit points system? How are credits calculated?
• Does the programme’s actual study load correspond with the prescribed study
load?
• Is the study load divided equally over and within the academic years?
• What measures are taken in the field of programme development and/or
student advice when parts of the programme deviate from the prescribed study
load (too difficult/heavy or too easy)? Are these measures effective?
• Can an average student complete the programme in the planned time?
• What are the indicators used to monitor student progress and performance?
P 31-33
Examples:

9. Student Advice and Support
1. Student progress is systematically recorded and monitored, feedback to
students and corrective actions are made where necessary.( 3.8)
2. In establishing a learning environment to support the achievement of quality
student learning, teachers do all in their power to provide not only a physical
and material environment which is supportive of learning and which is
appropriate for the activities involved, but also a social or psychological one
(5.1).
9 Student Advice and Support 1 2 3 4 5 6 7
9.1 There is an adequate student progress
monitoring system (1)
9.2 Students get adequate academic advice,
support and feedback on their performance (1)
9.3 Mentoring for students is adequate (1)
9.4 The physical, social and psychological
environment for the student is satisfactory (2)
Overall opinion
125 P 33-34

126
• Does the department have a monitoring system for:
• recording study progress
• following graduates (for example, tracer surveys)
• How is the data of the monitoring system used?
• What role do staff members play in informing and coaching students?
• What role do they play in integrating students into the department?
• How is the information to potential students organised? Is sufficient attention paid to
requirements of their educational background? Does the future student get a good
impression of the education offered? Is the information evaluated? If so, what happens
with the results?
• How are students informed about study facilities? How is the information provided with
regard to the programme?
• Is student progress recorded? Does the recording lead to problems being pointed out in
time? When is the first contact made with problematic cases? Does this result in remedial
and/or preventive actions being introduced for the individual student or programme
development?
• Is special attention paid to the coaching of first year students? If so, how does it work?
• Is attention paid to study progress?
P 33-34

127
• Are specific facilities available to provide study skills for students with problems? Are
these available within the department, the faculty or centrally? How is information on these
matters organised?
• Is separate attention paid to coaching of advanced students?
• Is assistance given in completing the final project? Where can students who get stuck
with their practical training or final project get help?
• How are students advised on problems concerning course options, change of options,
interruption or termination of studies?
• Is information provided on career prospects? Do students have the opportunity to
familiarise themselves with the labour market by means of practical training, application
courses and the like?
• If students wish to extend their course of study, are the reasons examined? If yes, what
are usually the findings and what measures do they result in?
• To what extent do the structure and organisation of the programme contribute to students
taking on an active study approach?
• To what extent does the programme challenge students to make a satisfactory
investment in their studies/programme?
• Are you satisfied with the tools available to improve study progress?
Examples:
P 33-34

Academic
Financial &
Scholarship
Recreation &
Sports
Medical Care
& Wellness
Mentoring &
Counselling
Housing
Career &
Employment
Student
Services
International
Student
Support
Student
Advice &
Support
128

10. Facilities and Infrastructure
1. The physical resources to deliver the curriculum, including equipment, materials and
information technology are sufficient (6.1)
2. Equipment is up-to-date, readily available and effectively deployed (6.2)
3. Learning resources are selected, filtered, and synchronized with the objectives of the
study programme (6.4)
4. A digital library is set up in keeping with progress in information and communication
technology (6.5)
5. Information technology systems are set up or upgraded (6.7)
6. University computer centres provide continuously a highly accessible computer and
network infrastructure that enables the campus community to fully exploit information
technology for teaching, research and development, services and administration. (6.8)
7. Environmental Health and Safety Standards meet the local requirements in all aspects
(5.2)
129 P 35-36

10 Facilities and Infrastructure 1 2 3 4 5 6 7
10.1 The lecture facilities (lecture halls, small course
rooms) are adequate (1)
10.2 The library is adequate and up-to-date (3, 4)
10.3 The laboratories are adequate and up-to-date
(1, 2)
10.4 The computer facilities are adequate and up-to-
date (1, 5, 6)
10.5 Environmental health and safety standards
meet requirements in all aspects (7)
Overall opinion
130 P 35-36

131
Teaching rooms
• Are enough lecture-halls, seminar rooms, laboratories, reading rooms, and
computer rooms available? Do these meet the relevant requirements?
• Is the library sufficiently equipped for education?
• Is the library within easy reach (location, opening hours)?
• Do you have sufficient laboratory facilities? Including support staff?
• Do the laboratories meet the relevant requirements?
Teaching aids and tools
• Are sufficient audio-visual aids available?
• Are there enough computers? Appropriate and enough computer programmes
(computer-aided education, maths programmes, design programmes, etc)?
• To what extent do the facilities/infrastructure promote or obstruct delivery of the
programme?
• Is the total budget for aids and tools sufficient?
Examples:
P 35-36

Teaching & Learning Process
1. The curriculum is developed as a group to ensure the representation from the faculty
Quality Committee, the faculty Teaching and Learning Committee, the programme
team, students and stakeholders from industry, government and professional
organisations (page 22 Introduction)
2. The curriculum is periodically reviewed and evaluated as to its effectiveness.
Adjustments are made after reasonable time periods.(1.8)
3. A prime condition for constantly improving teaching and learning is a planned and
regular process of evaluation. In this regard, teachers should foster a climate which
values student involvement in the evaluation of teaching and the assessment of
learning outcomes (end of page 30).
132 P 36-39

11 Quality Assurance of Teaching and Learning
Process
1 2 3 4 5 6 7
11.1 The curriculum is developed by all teaching staff
members (1)
11.2 The curriculum development involves students (1)
11.3 The curriculum development involves the labour
market (1)
11.4 The curriculum is regularly evaluated at reasonable
time periods (2)
11.5 Courses and curriculum are subject to structured
student evaluation (3)
11.6 Feedback from various stakeholders is used for
improvement (3)
11.7 The teaching and learning process, assessment
schemes, the assessment methods and the
assessment itself are always subject to quality
assurance and continuous improvement (3)
Overall opinion
133 P 36-39

134
Curriculum design
• Who is responsible for designing of the curriculum?
• How are academic staff and students involved in the curriculum
design?
• What are the roles of the stakeholders in the design and review of the
curriculum?
• How do curriculum innovations come about? Who takes the initiative?
On the basis of what signals?
• Who is responsible for implementation?
• When designing curricula, is there any benchmarking with other
institutions?
• In which international networks does the department participate?
• With which institution abroad does exchange take place?
• Has the programme been recognised abroad?
P 36-39

135
Curriculum design
• Briefly outline how the department tries to guarantee quality. Is a
structured quality assurance in place? If so, please describe it and how
it works?
• Which boards and/or committees are involved in internal quality
assurance?
• Is there a curriculum committee? What is its role?
• Is there an examination committee? What is its role? Does it work?
• Are the functions and responsibilities of the committees and
administrators clear to everyone? Are there any problems with the
division of responsibilities?
P 36-39

136
Course and curriculum evaluation
• How is the programme (curriculum) evaluated? At course level? At curriculum
level?
• Is the evaluation done systematically?
• How are the students involved in evaluating the education and training?
• How and to whom the results are made known?
• Is anything done with the results? How this is made transparent?
Student evaluation
• Does the university use student evaluations in a structured manner?
• Who is responsible for the evaluations?
• What is done with the outcome of the evaluations? Are there any examples of
this contributing to improvements?
• What input do the students give to those who are in the committees involved in
the internal quality assurance process?
P 36-39

Stakeholders
Requirements
Learning
Outcomes
Curriculum
Development
Teaching &
Learning
Strategy
Assessment
Evaluation
Improvement
Quality
Assurance
137
Examples:

12. Staff Development Activities
1. Training and development needs for academic and support staff are
systematically identified, in relation to individual aspirations, the curriculum
and institutional requirements.(2.7)
2. Academic and support staff undertake appropriate staff development
programmes related to the identified needs (2.8)
12 Staff Development Activities 1 2 3 4 5 6 7
12.1 There is a clear plan on the needs for training
and development of both academic and
support staff (1)
12.2 The training and development activities for both
academic and support staff are adequate to the
identified needs (2)
Overall opinion
138 P 39-40

139
• Who is responsible for both academic and support staff training and
development activities?
• What are the training and development process and plan? How are
training needs identified?
• Does the training and development plan reflect the university and
faculty mission and objectives?
• Is there a system to develop strategic and technical competencies of
support staff?
• What are the training hours and number of training places for
academic and support staff per year?
• What percentage of payroll or budget is allocated for training of
academic and support staff?
Examples:
P 39-40

140

13. Feedback Stakeholders
1. Universities are encouraged to have a built-in regular curriculum evaluation
and course appraisal, involving all stakeholders (decision makers,
employers, students, alumni, etc). (1.15)
13 Stakeholders Feedback 1 2 3 4 5 6 7
13.1 There is adequate structured feedback from the
labour market
students and alumni
staff
Overall opinion
141 P 40-41

142
• Does the university have an efficient monitoring system, including:
• structured feedback from the labour market
• structured feedback from staff
• structured feedback from the students
• structured feedback from the alumni
Contact with graduates
• Does the department maintain contact with its graduates after graduation? Is
there an association of graduates/alumni?
• What do graduates think about the programme?
• Is information from graduates used (feedback about their programme,
information about developments in the labour market) to adjust the programme,
if necessary?
Examples:
P 40-41

Define
Survey
Requirements
Design
Questionnaire
Data
Collection
Survey
Findings
Recommend
Improvement
Implement
Improvement
• Stakeholders
• Frequency
• Sample size
• Response rate
• Quantitative and qualitative feedback
• Improvement strategy
• Link to Criterion 15 – Stakeholders Satisfaction
143

14. Output
The quality of the graduates should achieve the expected learning outcomes
and the needs of the stakeholders. Research activities carried out by academic
staff and students should meet the requirements of the stakeholders.
14 Output 1 2 3 4 5 6 7
14.1 The pass rate is satisfactory and dropout rate
is of acceptable level
14.2 Average time to graduate is satisfactory
14.3 Employability of graduates is satisfactory
14.4 The level of research activities by academic
staff and students is satisfactory
Overall opinion
144 P 41-43

145
14. Output
Pass rate and dropout rate
Provide information on the pass rate and dropout rates of the various years (last 8 – 10 cohorts)
Diagnostic questions
• Does the university have an efficient monitoring system including:
• a system to follow student progress?
• a system to register pass rates and dropout rates?
• What does the department think of the pass rate? If not satisfactory, what
measures have been taken to improve the pass rate?
• Have any fluctuations in the success rate been seen over the last five years?
• How high is the dropout rate? Are there explanations for the dropout rate?
• Does the department know where the dropout students are going?
P 41-43

146
14. Output
Achieved outcomes (graduates)
• Is the average standard of the graduate satisfactory?
• Do the achieved standards match the expected standards?
• Do graduates get jobs easily? Are the jobs that the graduates get in
accordance with the level of graduation?
• Have any changes been signalled in the labour market prospects of
graduates over the last few years? What are the prospects?
P 41-43

147
14. Output
Average time to graduation
• Indicate the average number of years a student spends on a programme. If
necessary, categorise the students in groups.
• What does the department think of the average time to graduate?
• What measures have been taken to promote graduation and to shorten the
average time to graduate?
• What effect do these measures have?
Graduate Employability
• What percentage of graduates found a job within six months of graduation over
the past five years? What percentage of graduates found a job within a year?
• What percentage of graduates are still unemployed 2 years after graduation?
P 41-43

148
14. Output
Research
• What types of research activities are carried out by academic staff and
students? Are these activities aligned to the vision and mission of the
university and faculty?
• What is the level of research funding and how it is utilised?
• What is the volume of research papers? Are the research papers
published in local, regional and international journals?
Examples:
P 41-43

14. Output
• Current and past performance indicators
• Performance targets
• Trend (upwards or downwards) and its
reasons
• Comparison with other competitors or
universities
• Benchmark with targeted universities
149

Stakeholders are satisfied with the programme and the quality of
the graduates.
15 Stakeholders Satisfaction 1 2 3 4 5 6 7
15.1 The feedback from stakeholders is satisfactory
Overall opinion
150 P 43-44

151
Students
• Does the department know what students think about the courses, programme,
teaching, examinations, etc?
• How does the department cope with complaints from students?
Alumni (graduates)
• What is the opinion and feedback of the graduates about the competencies
that they acquired?
• Are the complaints or positive feedback of the alumni used to improve the
programme?
Labour market
• Do employers appreciate the graduates?
• Are there any specific complaints about the graduates?
• Are specific strengths of the graduates appreciated by the employers?
P 43-44

Students &
Graduates
Alumni
Members
Staff Employers
Satisfaction
Link to Criterion 13 – Stakeholders Feedback
152

PDCA Approach to
Self-assessment at Programme Level
PDCA Approach 153

PDCA Approach to
Plan
• Communicate
intent
• Organise team
• Develop plan
• Understand AUN-QA
criteria & process
Do
• Self-assessment
•Collect data &
evidences
• Close gaps
• Write SAR
• Review SAR
Check
• Verify SAR
• Gather feedback
Act
• Improve QA
• Finalise SAR
• Communicate SAR
• Get ready
Change Management
Plan 154

Communicate Intent
• Inform stakeholders
• Objective and scope
• Plan
• Stakeholders roles and involvement
• Set expectations and climate
• Start of change management
155
Plan

Organise Team
• Structure and Roles
 System element
 Related Criterion
 Criterion
• Size
 Main and sub-groups
• Ownership
• Subject matter expert including language
• Availability
• Support from sponsor, management and peers
156
Plan

Leader
Requirements
(Criterion 1 to 5)
Input
(Criterion 6 to
10)
Process
(Criterion 11 –
13)
Output
(Criterion 14 –
15)
Facilitator
Structure and Roles
System Element
157
Plan

Leader
Programme
(Criterion 1, 2,
3)
Teaching & Learning
(Criterion 4, 5, 9 ,11)
Resources
(Criterion 6, 7, 10,
12)
Stakeholders
(Criterion 8, 13,
14 15)
Facilitator
Structure and Roles
Related Criterion
158
Plan

Leader
Criterion 1, 2, 3 Criterion 4, 5, 6, 7
Criterion 8, 9,10,
11
Criterion 12, 13,
14, 15
Facilitator
Structure and Roles
Criterion
159
Plan

Key Roles & Responsibilities (example)
Leader Responsibilities
Dean • Link between faculty, QA Office and university administration
Head of Academic
Affair of the Faculty
• Link between department, Dean and QA office
• Link between faculty and data center
Head of Department • Provide leadership
• Link between Dean, Academic Affair and Team
Head of Team • Lead team
• Develop plan
• Assign and review task
• Divide team structure and roles
• Link between members with data center
• Collate and edit SAR
Structure and Roles
160
Plan

Define Key Roles & Responsibilities (example)
Key Role Responsibilities
Facilitator (QA Office) • Provide leadership
• Guide internal assessors
• Guide SAR team
• Train internal assessors
• Train SAR team
• Encourage and motivate SAR team
• Review SAR
• Link between faculty and university
Facilitator (Faculty) • Guide SAR team
• Encourage and motivate SAR team
• Review SAR
Member (Department) • Gather and organize information
• Write SAR
Structure and Roles
161
Plan

Develop Plan
162
Plan
Activity/Week 1 2 3 4 5 6 7 8 9 1
0
1
1
1
2
Deadline Assigned to Status
P
L
A
N
Communicate Intent
Organise Team
Develop Plan
Understand AUN QA criteria and
process
D
O
Self-assessment
Collect data & evidences
Close gaps
Write SAR
Review SAR
Verify SAR
Gather Feedback
A
C
T
Improve QA
Finalise SAR
Communicate SAR
Get Ready
Change Management
C
H
E
C
K

163
Understand AUN QA Criteria and
Process
• Obtain copy of the AUN-QA manual
• Educate stakeholders
• Organise training for relevant stakeholders
• Seek clarifications with internal and external
experts
Plan

Plan
• Communicate
intent
• Organise team
• Develop plan
criteria & process
Do
• Self-assessment
•Collect data &
evidences
• Close gaps
• Write SAR
• Review SAR
Check
• Verify SAR
• Gather feedback
Act
• Improve QA
• Finalise SAR
• Communicate SAR
• Get ready
Change Management
Do
PDCA Approach to
164

Self-Assessment (Gaps Analysis)
Where you are Where you want to be
How to get there?
Gaps Gaps
Do 165

Score Value Interpretation Quality & Improvement Interpretation
1 Nothing (no documents, no plans,
no evidence) present
Absolutely inadequate; immediate
improvements must be made
2 This subject is in the planning
stage
Inadequate, improvements necessary
3 Documents available, but no clear
evidence that they are used
Inadequate, but minor improvements will
make it adequate
4 Documents available and evidence
that they are used
Adequate as expected (meeting the AUN-QA
guidelines and criteria)
5 Clear evidence on the efficiency of
the aspect
Better than adequate (exceeding the AUN-
QA guidelines and criteria)
6 Example of best practices Example of best practices
7 Excellent (world-class or leading
practices)
Excellent (world-class or leading practices)
As weight is not allocated to each criterion, the overall opinion should be based on the
achievement or fulfillment of the criterion as a whole. It should not be computed based on
the average score of the statements under each criterion. The overall score for the 15
criteria has been removed as the focus is on improvement rather than the ratings.
Rating Scale
Do 166

Self-Assessment Exercise
Appendix A - AUN Guide
Evaluate the QA practices
of the programme based
on the SAR using the
rating scale
Do 167

• Identify and interview people within the university
that can provide information and data for each
criterion
• Verify the reliability and accuracy of the information
and data
• Identify the sources of evidence and review
documentation
• Identify information and data gaps and implement
plan to collect new information and data
• Identify and gather information and data for
comparison and benchmarking
Collect Data and Evidences
168
Do

169
AUN-QA Criteria Possible Evidences
1 Expected Learning
Outcomes
Programme & module specifications, course brochure
& prospectus, skills matrix, stakeholders’ inputs,
university & faculty website, communication media &
plans to stakeholders, curriculum review minutes,
accreditation & benchmarking reports
2 Programme Specification
3 Programme Structure &
Content
4 Teaching & Learning
Strategy
Teaching & learning strategy, evidence of action
learning, student feedback, online learning portal,
module specification
5 Student Assessment Assessment criteria, samples of in-course
assessment, project work, final examination, marking
scheme, moderation process, appeal procedure
6 Academic Staff Quality Recruitment criteria, staff qualifications, peer review &
appraisal system, career plan, student feedback,
award & recognition systems, staff workload,
allocation of roles and duties, termination &
retirement schemes
P53-66
Do

170
7 Support Staff Quality Number, type and qualification of support staff, career
plan, training plan, appraisal system, award &
recognition schemes, student/faculty feedback
8 Student Quality Student selection process, trend of student intakes,
credit system, student workload, student performance
reports
9 Student Advice and
Support
Mechanisms to report and feedback on student
progress, coaching, mentoring and counselling
schemes, student feedback
10 Facilities and Infrastructure Number and type of facilities, utilisation rates,
downtime/uptime, maintenance plan, new facilities
and upgrading plans, safety & health policy, facilities
booking system
11 Quality Assurance of
Teaching & Learning
Process
Curriculum design, review & approval process and
minutes, QA of assessments/examinations,
stakeholders’ inputs, external examiners, students
feedback
P 53-66
Do

171
12 Staff Development Activities Education, training and development policy and plan,
training places & hours, scholarships, job rotation &
deployment scheme
13 Stakeholders Feedback Regular & ad-hoc and formal & informal surveys and
feedback, uses of reports
14 Output Pass/drop-out rates, employment statistics, entry-
level salary, employers feedback, average time to
graduate, research
15 Stakeholders Satisfaction Process for measuring stakeholders satisfaction,
stakeholders satisfaction trends, perceptions of
graduates & university
P53-66
Do

• A gap occurs when the current situation does not
meet:
– one or more of the requirements in the criterion
– targeted score of one or more criteria
– targeted performance or results
• Identify short and long term gaps
• Know the reason(s) for the gaps
• Plan and implement solutions to close the short and
long term gaps
Close Gaps
172
Do

Write SAR - Content of the SAR
Part 1: Introduction
• Content page
• Executive summary
• Organisation of the self-assessment
• Brief description of the university, faculty and department
Part 2: AUN-QA Criteria Requirements
• Write-up on how the university, faculty or department addresses the
requirements of the AUN-QA criteria (use checklist as a reference)
Part 3: Strengths and Weaknesses Analysis
• Summary of strengths
• Summary of Weaknesses
• Completed checklist
• Improvement plan
Part 4: Appendices
• Glossary
• Supporting documents and evidences
173
Do

Write SAR
• An account of the programme to be assessed (both descriptive and
analytical)
• Serve as a source for improvement and assessment
• Adopt a standard format and style to address the AUN-QA criteria
• Illustrate clearly what, where, when, who and how the QA mechanisms or
instruments are implemented to fulfill each criterion
• Focus on information and data (objective evidences) that directly address
each criterion
• Make reference or link related criterion in the report (e.g. Criterion 6, 7 and
12)
• Written/translated into a language (for example, English) that is easy for
external assessors to comprehend.
• Provide a glossary of abbreviations and terms used in the report.
174
Do

Criterion 1, 2, 3, 4, 5, 9
What What is it?
Describe the criterion or situation
How How is it done?
How is it aligned to …..?
Who is involved?
When is it done?
Where is it done?
Describe the approach (process) and deployment
Why Why does the gap exist?
Describe the gap and its improvement plan
Write SAR
Qualitative Criterion
175
Do

Criterion 14 and 15
What What is the current result or performance?
What are the past results or performance?
What is the target?
What is the trend?
Describe the result or performance
How How is it performing when compared to past years?
How is it performing when compared or benchmarked with
other competing universities or benchmarking partners?
Describe the comparison of result or performance
Why Why the result or performance is on a downward trend or fall
below expectation?
Describe the gaps and its improvement plan
Write SAR
Quantitative Criterion
176
Do

Criterion 6, 7, 8, 10, 11, 12, 13
What What is it?
Describe the criterion or situation
What is the current result or performance?
What are the past results or performance?
What is the target?
What is the trend?
Describe the result or performance
How How is it done?
How is it aligned to …..?
Who is involved?
When is it done?
Where is it done?
Describe the approach (process) and
deployment
How is it performing when compared to past
years?
How is it performing when compared or
benchmarked with other competing universities
or benchmarking partners?
Describe the comparison of result or
performance
Why Why does the gap exist?
Describe the gap and its improvement
plan
Why the result or performance is on a downward
trend or fall below expectation?
Describe the gap and its improvement plan
Write SAR
Mixed Criterion
177
Do

Review SAR
• Putting them all together – structure and flow
• SAR addresses all the criteria
• Verify the accuracy of the SAR, evidences, information and
data
• Look out for inconsistency in the SAR
• Edit out unneeded or irrelevant information and data
• Ensure linkages are made to related criterion
• Proofread the SAR
• SAR may need several re-write
178
Do

179
Day 3 Topic
9.00am – 10.00am • PDCA Approach to Self-assessment at Programme
Level (Check)
10.00am – 10.15am • Break
10.15am – 12.00pm • PDCA Approach to Self-assessment at Programme
Level (Act)
12.00pm – 1.00pm • Lunch
1.00pm – 3.00pm • Change Management
3.00pm – 3.15pm • Break
3.15pm – 5.00pm • AUN Quality Assessment Process
• Conclusion
Workshop Outline

Plan
• Communicate
intent
• Organise team
• Develop plan
criteria & process
Do
• Self-assessment
•Collect data &
evidences
• Close gaps
• Write SAR
• Review SAR
Check
• Verify SAR
• Gather feedback
Act
• Improve QA
• Finalise SAR
• Communicate SAR
• Get ready
Change Management
PDCA Approach to
180
Check

Verify SAR & Gather Feedback
• An internal self-assessment
• Conducted by an independent party
• Desktop and site assessments
• Verify SAR, evidences and documents
• Interview SAR team and relevant stakeholders
• Identify areas for improvement in SAR and QA practices
• Make recommendations to SAR team and management
• Lesson learnt on assessment process, SAR and QA
practices (a good mock-up leading to actual
assessment)
181
Check

Internal Self-Assessment Team
• Roles of Assessor
• Preparing assessment plan & checklist
• Communicating and clarifying assessment requirements
• Planning & carrying out assigned responsibilities effectively &
efficiently
• Making observations on curriculum, process and quality
improvement
• Clarifying and verifying findings and results
• Reporting and presenting the assessment results
• Retaining & safeguarding documents pertaining to the assessment
182
Check

Interview
• Know the interviewees
 Language
 Education
 Specialisation or area of interests
• Plan the questions
 Focus on the criteria
 Phrase questions as neutrally as possible to avoid bias
 Use open-ended questioning technique (5Ws and 1H) to
probe for information
 Use close-ended questions to confirm information
 Manage time to cover different criteria and interviewees
183
Check

Feedback
• Feedback must be:
 Objective
 Based on evidence
 Encouraging
 Part of a “learning” process
• Feedback must not:
 Ridicule
 Mandate solution
 Be insensitive to the overall effort
 Ignore the achievement made
184
Check

Feedback
• Use clear, simple, grammatically correct and complete
sentences
• Avoid jargons or acronyms
• Be constructive
 Use positive tone
 Be specific
 Fall within the criteria
• Be non-prescriptive – state observations and evaluations
rather than mandating solutions
185
Check

Plan
• Communicate
intent
• Organise team
• Develop plan
criteria & process
Do
• Self-assessment
•Collect data &
evidences
• Close gaps
• Write SAR
• Review SAR
Check
• Verify SAR
• Gather feedback
Act
• Improve QA
• Finalise SAR
• Communicate SAR
• Get ready
Change Management
PDCA Approach to
186
Act

Improve QA
• Assign responsibility to improve QA practices
• Identify immediate and future improvement to QA
practices
• Plan improvement activities
• Develop and implement QA practices to close gaps
• Monitoring progress
187
Act

Finalise SAR
• SAR represents a report card of the university
performance
• A source document for assessor to make preliminary
assessment of the university
• Incorporate findings and recommendations at the Check
stage
• Final review and proofread of the SAR
• Translate the SAR and key documents in English, if
necessary
188
Act

Communicate SAR
• Appoint spokesperson for communicating the SAR
• Develop a communication plan
• Inform staff about the assessment criteria and process
• Brief staff on the content of the SAR, QA practices and
supporting evidences and documents
• Make SAR and related information readily available to
staff
189
Act

Get Ready
• Approve or endorse the final SAR, documents and records for
assessment
• Prepare, label and make available all documents and records
(physical and electronic version) for assessment purpose
• Prepare presentation materials on the university, faculty and
the programme to be assessed
• Prepare stakeholders for the assessment interviews
• Prepare the site(s) for the assessment
• Plan the assessment itinerary
• Send a copy of the SAR to the assessment team at least 1.5
– 2 months in advance
190
Act

SAR Review Exercise
• Identify the gaps in the SAR
• Propose changes to fulfill the AUN-QA criterion
• Present the changes
191

Plan
• Communicate
intent
• Organise team
• Develop plan
criteria & process
Do
• Self-assessment
•Collect data &
evidences
• Close gaps
• Write SAR
• Review SAR
Check
• Verify SAR
• Gather feedback
Act
• Improve QA
• Finalise SAR
• Communicate SAR
• Get ready
Change Management
PDCA Approach to
192
Change Management

What is Change?
5. Implement - Change Management
Change Management
Change Management 193

Change Management
194
Change Management
Give some examples of change?

Are People Resistance to Change?
Change Management

What is Transition?
Change Management

What is Transition?
Ending,
Losing,
Getting Go
The Neutral
Zone
The New
Beginning
Source: Managing Transitions, William Bridges
Change Management
Where are YOU and the others?

Emotional Discomfort in Transition
Time
Emotional
Response
Passive
Active
Tunneling Effect
Commitment
Ending Neutral New Beginning
Change Management

Change Management
Change management is a structured approach
to transitioning individuals, teams, and
organisations from a current state to a desired
future state. It is an organisational process
aimed at empowering employees to accept
and embrace changes in their current
business environment
Source: Wikipedia
199
Change Management

Change Management
Mind
(Beliefs)
Body
(Skills)
Heart
(Emotions)
Why, What,
Who, Where,
When
How
Fear, anxiety,
uncertainty,
personal loss
Effective
Communication
Education &
Training
Empowerment
Recognition & Reward
Emotional
Supports
200
Change Management

Stage of Emotional Discomfort Strategies for Transition
Disbelief & Denial
(Ending)
Anger & Blame
(Ending)
Change Management
201
Change Management

Stage of Emotional Discomfort Strategies for Transition
Confusion & Lost
(Neutral Zone)
Acceptance
(New Beginning)
Change Management
202
Change Management

Stage of Emotional
Discomfort
Strategies for Transition
Depression
(Ending or Neutral)
Commitment
(New Beginning)
Change Management
203
Change Management

204
Quality Assessment Process
Plan
Do
Check
Act
• Type of Assessment
• Assessment Team
• Schedule & Itinerary
• Desktop Assessment
• Site Assessment
• Report Preparation
• Presentation of
Assessment
Findings
• Assessment Report
& Recommendations
• Assessment
Feedback
Quality Assessment Process P 53-66

205
Stage Timeline Key Activity Agent
Plan
6 – 12
months prior
to
assessment
Schedule universities for re-
accreditation for existing accredited
universities
AUN
Secretariat
Confirm schedule for re-accreditation for
existing accredited universities
 Applying
university
 AUN
Secretariat
Apply for accreditation by university for
new applicant or assessment
Applying
university
Process and accept new application
AUN
Secretariat
Confirm schedule for accreditation for
new application
 Applying
university
 AUN
Secretariat

206
Plan
6 months prior
to
assessment
Invite assessors for assessment
AUN
Secretariat
Accept or decline invitation by
assessors. Submit Disclosure of Conflict
of Interest
Assessor
Appoint and confirm assessors and
assessment teams
 AUN
Secretariat
 Assessor

207
Plan
2 - 3 months
prior to
assessment
Confirm assessment itinerary,
accommodation and logistics
arrangements with applying university
 AUN
Secretariat
 Applying
university
 Assessor
Send registration form to assessor
AUN
Secretariat
Submit registration form with flight
information, accommodation and diet
requirements
Assessor
Submit progress report by applying
university
Applying
university
Monitor and track status of accredited
university
AUN
Secretariat

208
Do
11/2 - 2
months prior
to
assessment
Submit self-assessment report (SAR) to
AUN Secretariat and assessors
Applying
university
Conduct desktop assessment and
clarify with applying university, if
necessary
Assessor
1 day prior to
assessment
Arrival of assessors and AUN
Secretariat
 AUN
Secretariat
 Applying
university
 Assessor
Day 1 of
assessment
Opening session and site assessment
 AUN
Secretariat
 Applying
university
 Assessor

209
Do/
Check
Day 2 of
assessment
Site assessment and preparation of
assessment report
 AUN
Secretariat
 Applying
university
 Assessor
Check
Day 3 of
assessment
Closing session and departure of
assessors and AUN Secretariat
 AUN
Secretariat
 Applying
university
 Assessor

210
Act
Within 4
weeks after
assessment
Submit assessment report to AUN
Secretariat and provide feedback to AUN
Secretariat on the assessment, if
necessary. Request payment of
honorarium and submit claims, if any
Assessor
Within 6
weeks after
assessment
Send assessment report and
assessment feedback to applying
university
AUN Secretariat
Within 10
weeks after
assessment
Submit assessment feedback and
appeal, if necessary
 Applying
university
 AUN
Secretariat
Within 9 – 12
months after
assessment
university
Applying
university
university
AUN Secretariat

211
Act
Within 14
weeks after
assessment
Recommend the release of final
assessment reports and accreditation to
the Board of Trustees for approval;
AUN Secretariat
Endorse the release of final assessment
reports and accreditation
AUN-BOT
Within 16
weeks after
assessment
Release of final assessment report and
accreditation award to applying
university and publish accreditation
status in AUN website
AUN Secretariat
Within 30
weeks after
assessment
Release of best practices of applying
university in the AUN-QA Benchmarking
Database
AUN Secretariat

212
Act
Within 9 –
12 months
after
assessment
Request for progress report from
applying university on recommendations
made by assessment teams
AUN Secretariat
university
Applying
university
university
AUN Secretariat

Site Assessment
• Document Review
• Evidence should be collected on all matters related to
the assessment objectives and scope
• Evidence should be collected through:
Interviews
Examination of documents/records
Observation of activities and facilities
Site tour
 Working environment
 Work practices (e.g. safety)
 Condition of facility and equipment
 Verify information and data with staff and students
213

214
Site Assessment
Site Tour
• Lecture halls and tutorial rooms
• Laboratories
• Workshops
• Libraries
• Computer labs
• Student services
• Sports and recreation

215
Day 4 Topic
9.00am – 11.30am • Study visit to the Office of AUN Secretariat
• Study visit to Central Library, Chulalongkorn
University
11.30am – 1.00pm • Lunch
1.00pm – 3.00pm • Study visit to Faculty of Engineering, Chulalongkorn
University (Implementation of QA Operational
System)
3.00pm – 4.00pm • Certification Ceremony
Workshop Outline

216
Study Visit – Faculty of
Engineering
Implementation of QA Operational System:
• What QA system is implemented at
Chulalongkorn University?
• How QA system is implemented and what
are the challenges faced?

Guideline AUN QA

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