GUIDE TO AUN-QA ASSESSMENT
AT PROGRAMME LEVEL
vERSION 3.0

Guideto
AUN-QA
Assessment
at
Programme Level
Version 3.0

Guide to AUN-QA Assessment at Programme Level is published by:

ASEAN University Network (AUN)
17th Floor, Jamjuree 10 Building
Chulalongkorn University
Phayathai Road, Bangkok
10330 Thailand© ASEAN University Network
All rights reserved. No part of this publication may be reproduced, stored in a
retrieval system, or transmitted, in any form or by any means, electronic, mechanical,
photocopying, recording and/or otherwise without the prior written permission of the
Executive Director, ASEAN University Network.
Version No. 3.0
Date of Publication: October 2015

1|PageContents
SectionPage

Acknowledgements

3

Foreword

4

Preface

5

1.
1.1
1.2

Introduction to AUN-QA Models
Quality Assurance (QA) in Higher Education
AUN-QA Models

6
6
6

2.
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11

AUN-QA Model for Programme Level
Expected Learning Outcomes
Programme Specification
Programme Structure and Content
Teaching and Learning Approach
Student Assessment
Academic Staff Quality
Support Staff Quality
Student Quality and Support
Facilities and Infrastructure
Quality Enhancement
Output

13
16
17
20
22
25
28
34
36
39
41
44

3.
3.1
3.2
3.3
3.4
3.5
3.6

Quality Assessment
Introduction to Quality Assessment
Function and Principles of Quality Assessment
Preparation of Self-Assessment Report (SAR)
Self-Assessment Report (SAR)
Preparation of Quality Assessment
Quality Assessment Process

47
47
47
48
50
51
54

4.

Appendices67

Appendix A – Checklist for AUN-QA Assessment at Programme Level
Appendix B – AUN-QA Assessment Planning for Programme Level Template
Appendix C – Sample of AUN-QA Assessment Planning
Appendix D – AUN-QA Assessment Report for Programme Level Template
Appendix E – Sample of AUN-QA Assessment Report
Appendix F – AUN-QA Assessment Feedback Report

2|PageAcknowledgements

The guidebook is prepared and edited by Mr. Johnson Ong Chee Bin, AUN-QA
Expert with inputs from the members of AUN-QA Council and documentation review
team as listed below.



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







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

Assoc. Prof. Dr. Nantana Gajaseni, Executive Director, ASEAN University
Network (Chairperson)
Dr. Choltis Dhirathiti, Deputy Executive Director, ASEAN University Network
Assoc. Prof. Dr. Titi Savitri Prihatiningsih, MA, MMedEd, PhD, Universitas
Gadjah Mada, Indonesia
Prof. Dr. Wan Ahmad Kamil Mahmood, Universiti Sains Malaysia, Malaysia
Prof. Dr. Shahrir Abdullah, Universiti Kebangsaan Malaysia, Malaysia
Prof. Dr. Riza Atiq Abdullah bin O.K. Rahmat, Universiti Kebangsaan
Malaysia, Malaysia
Dr. Wyona C. Patalinghug, De La Salle University, Philippines
Prof. Arnulfo P. Azcarraga, De La Salle University, Philippines
Prof. Dr. Marilou G. Nicolas, University of the Philippines, Philippines
Assoc. Prof. Dr. Tan Kay Chuan, National University of Singapore, Singapore
Assoc. Prof. Dr. Damrong Thawesaengskulthai, Chulalongkorn University,
Thailand
Assoc. Prof. Dr. Parames Chutima, Chulalongkorn University, Thailand
Dr. Chailerd Pichitpornchai, Sukhothai Thammathirat Open University,
Thailand
Assoc.Prof. Chavalit Wongse-ek, Mahidol University, Thailand
Assoc. Prof. Dr. Nguyen Quy Thanh, Vietnam National University-Hanoi, VietNam.

3|PageForeword

AUN-QA Network is established as the ASEAN quality assurance network in higher
education with the responsibility to promote quality assurance in higher education
institutions, raise the quality of higher education, and collaborate with both regional
and international bodies for the benefit of the ASEAN community.
Since the inception of the AUN-QA assessment at the programme level in 2007,
more than 160 study programmes have been assessed by AUN-QA Network and
AUN-QA members and associate members have benefited from the assessment.
In rising to the challenges of the ASEAN community, AUN-QA Network has to bebold and forward looking in advocating a harmonised framework for quality
assurance in higher education within and outside ASEAN. To this end, AUN-QA
Network has to ensure that its quality assurance framework and documentation
remain relevant and current. This third version of the guidebook is the fruit of the
documentation review by a team of experts from AUN-QA Network.
Lastly, I would like to acknowledge and express my sincere gratitude to Mr. Johnson
Ong Chee Bin, AUN-QA Expert, for editing the guidebook, and to the members of
the AUN-QA Council and the documentation review team for their contributions to
the revision of the manual.

Assoc. Prof. Nantana Gajaseni, Ph.D.
Executive Director
ASEAN University Network

4|PagePreface

This guidebook is the third version of the Guide to AUN-QA Assessment at
Programme Level. It documents the revised criteria and the process of AUN-QA
assessment at programme level and provides associated resources including
templates and samples in the appendices.
The guidebook is divided into four main sections:
1. Introduction to AUN-QA Models. This section gives an overview of the AUNQA models.
2. AUN-QA Model for Programme Level. This section describes the AUN-QA
model and associated criteria for programme level.
3. Quality Assessment. This section provides a step-by-step guide for conducting
the AUN-QA assessment at programme level.
4. Appendices. This section contains the additional resources including checklist,
templates and sample reports.

5|Page1.

Introduction to AUN-QA Models

1.1

Quality Assurance (QA) in Higher Education

Quality in higher education is not a simple one-dimensional notion about academic
quality. In view of the varied needs and expectations of stakeholders, quality inhigher education can be said to be a multi-dimensional concept.
The World Declaration on Higher Education for the Twenty First Century: Vision andAction (October 1998), Article 11, Qualitative Evaluation considers quality in higher
education as “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 theacademic environment. Internal self-evaluation and external review, conducted
openly by independent specialists, if possible with international expertise, are vital forenhancing quality.”
To develop, implement, sustain and improve the level of quality in higher education,
an institution needs to install a quality assurance system. The Regional Report ofAsia and the Pacific (UNESCO, 2003b) defines quality assurance in higher
education as “systematic management and assessment procedures to monitor
performance of higher education institutions”.

1.2

AUN-QA Models

ASEAN University Network (AUN) recognises the importance of quality in higher
education, and the need to develop a holistic quality assurance system to raise
academic standards and enhance education, research and service among its
member universities. In 1998, it mooted the AUN-QA Network which led to thedevelopment of AUN-QA models. Since then, the network has been promoting,developing, and implementing quality assurance practices based on an empiricalapproach where quality assurance practices are tested, evaluated, improved andshared. The evolution of AUN-QA Network and its development in quality assurance
are depicted in Figure 1.1.

6|PageFigure 1.1 – Evolution of AUN-QA Network

The AUN-QA Models for higher education comprise strategic, systemic and tacticaldimensions (see Figure 1.2) and are subjected to both internal and external QA
assessment.

Figure 1.2 – AUN-QA Models for Higher Educatio

7|PageInternal QA ensures that an institution, system or programme has policies andmechanisms in place to make sure that it is meeting its own objectives andstandards.
External QA is performed by an organisation or individuals outside the institution.
The assessors evaluate the operation of the institution, system or programme inorder to determine whether it meets the agreed upon or predetermined standards.
The AUN-QA models are applicable to the diverse universities in ASEAN which arealso aligned to both regional and international quality assurance frameworks.

1.2.1 AUN-QA Model for Institutional Level
The strategic QA at institutional level encompasses 11 criteria as illustrated in Figure
1.3.

Figure 1.3 – AUN-QA Model for Institutional Level

Strategic QA at institutional level starts with the needs of the stakeholders which aretranslated into the university’s vision, mission, goals and aims or objectives. Thismeans that quality assurance and quality assessment will always start with themission and goals (Column 1) and end with the achievements (column 4) to satisfy
stakeholders’ needs.
The second column shows how the university is planning to achieve the goals:translation of the goals into a policy document and policy strategy;
management structure and management style of the university;
human resource management: input of staff to achieve the goals; andfunding to achieve the intended goals

8|Page

The third column shows the core activities of a university:

educational activities of teaching and learning
research activities
contribution to society and to the support and development of the community.

For continuous improvement, institutions should implement an effective QA systemand benchmark their practices to achieve educational excellence.

1.2.2 AUN-QA Model for Internal Quality Assurance (IQA) System
The AUN-QA model for an IQA system (see Figure 1.4) consists of the following
areas:
internal quality assurance framework;
monitoring instruments;
evaluation instruments;
special QA-processes to safeguard specific activities;
specific QA-instruments; andfollow-up activities for making improvements

Figure 1.4 – AUN-QA Model for IQA System

An IQA system is the totality of systems, resources and information devoted tosetting up, maintaining and improving the quality and standards of teaching, student
learning experience, research, and service to the community. It is a system where
the QA mechanisms are working to maintain and enhance the level of quality inhigher education.
9|Page1.2.3 AUN-QA Model for Programme Level
The AUN-QA Model for programme level focuses on quality of educational activities
with regard to the following dimensions:quality of input
quality of process
quality of output

The progression of the AUN-QA model for programme level from the first to the third
version is documented in Figures 1.5, 1.6 and 1.7.

Figure 1.5 – AUN-QA Model for Programme Level (1st Version)

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Figure 1.6 – AUN-QA Model for Programme Level (2nd Version)

Figure 1.7 – AUN-QA Model for Programme Level (3rd Version)

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The changes to AUN-QA criteria at programme level for 1st version, 2nd version and3rd version are tabulated in Figure 1.8.
1st Version

2nd Version

3rd Version

1. Goals and Objectives;
Expected Learning
Outcomes
2. ProgrammeSpecification
3. Programme Content
4. Programme
Organisation
5. Didactic Concept andTeaching/
Learning Strategy
6. Student Assessment
7. Staff Quality

1. Expected Learning
Outcomes

1. Expected Learning
Outcomes

2. ProgrammeSpecification
3. Programme Structure
and Content

2. ProgrammeSpecification
3. Programme
Structure andContent
4. Teaching and
Learning Approach

8. Quality of Support
Staff

7. Support Staff Quality

4. Teaching and Learning
Strategy
5. Student Assessment
6. Academic Staff Quality

9. Student Quality
8. Student Quality
10. Student Advice and9. Student Advice andSupportSupport11. Facilities and Infrastructure10. Facilities andInfrastructure
12. Quality Assurance of
11. Quality Assurance ofTeaching/Learning
Teaching and Learning
Process
Process
13. Student Evaluation
14. Curriculum Design
15. Staff Development
12. Staff Development
Activities
Activities
16. Feedback Stakeholders

13. Stakeholders Feedback

17. Output
18. Stakeholders
Satisfaction

14. Output
15. Stakeholders
Satisfaction

5. Student Assessment
6. Academic Staff
Quality
7. Support Staff Quality
8. Student Quality andSupport
9. Facilities andInfrastructure
10. Quality
Enhancement

6. Academic Staff
Quality
7. Support Staff Quality
10. Quality
Enhancement
11. Output

Figure 1.8 – Changes to AUN-QA Criteria at Programme Level

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2.

AUN-QA Model for Programme Level

The 3rd version of the AUN-QA model for programme level (see Figure 2.1) starts
with stakeholders needs. These needs are formulated into the expected learning
outcomes which drive the programme (1st Column). There are four rows in the
middle of the model and the first row addresses the question of how the expected
learning outcomes are translated into the programme; and how they can be achieved
via teaching and learning approach and student assessment.
The second row considers the "input" into the process including academic andsupport staff; student quality and support; and facilities and infrastructure.
The third row addresses the quality enhancement of the programme covering
curriculum design and development, teaching and learning, student assessment,
quality of support services and facilities, and stakeholders’ feedback.
The fourth row focuses on the output of the programme including pass rates anddropout rates, the average time to graduate, employability of the graduates, research
activities and stakeholders’ satisfaction.
The final column addresses the achievements of the expected learning outcomes
and the programme.
The model ends with the fulfilment of stakeholders’ needs and the continuous
improvement of the quality assurance system and benchmarking to seek bestpractices.

Figure 2.1 – AUN-QA Model for Programme Level (3rd Version)

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The 3rd version of the AUN-QA model for programme level encompasses thefollowing 11 criteria:
1. Expected Learning Outcomes
2. Programme Specification
3. Programme Structure and Content
4. Teaching and Learning Approach
5. Student Assessment
6. Academic Staff Quality
7. Support Staff Quality
8. Student Quality and Support
9. Facilities and Infrastructure
10. Quality Enhancement
11. Output
The requirements of each AUN-QA criterion are given in a box. To facilitate
implementation and assessment of each criterion, the list of statements of eachcriterion is translated into sub-criterion listed in the checklist. The number in brackets[ ] in the sub-criterion indicates the corresponding statement(s) in the box.
Explanation of key concepts in the criterion is given, where applicable. Diagnostic
questions and sources of evidence are listed to help practitioners to discover their
QA practices. The complete checklist for AUN-QA Assessment at programme levelis documented in Appendix A.

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The relationship of the 11 AUN-QA criteria is tabulated in Figure 2.2 below.
AUNQA
Criterion

1

2

3

4

5

6

1

1.1
1.2
1.3

2.1
2.2

3.1
3.2

4.2
4.3

5.1
5.3

6.4

2

1.1
1.2

3

1.1
1.2

2.1
2.2
2.3
2.1
2.2
2.3

3.1
3.2
3.3
3.1
3.2
3.3

4

1.1
1.2

2.1
2.2

3.1
3.2

1.1
1.2

2.1
2.2
2.3

5

6

1.1
1.2
1.3

2.3

3.1
3.2

3.1
3.2
3.3

4.2
4.2
4.3

5.1
5.2
5.3
5.1
5.2
5.3

6.4

5.1

6.4

8.5

4.1
4.2

5.1
5.2
5.3
5.4
5.5

6.4

8.3
8.4
8.5

5.1
5.2
5.3
5.4

6.1
6.2
6.3
6.4
6.5
6.6
6.7

8.3
8.4

4.1
4.2
4.3

4.2
4.3

9

10

11

5.2
5.3
5.4
5.5

3.1
3.2
3.3

1.3

1.3

2.3

3.3

4.1
4.2
4.3

4.2
4.3

9

7.1
7.2
7.3
7.4
7.5

8.5

6.4

7.3
7.5

8.1
8.2
8.3
8.4
8.5

6.7

7.1
7.2
7.3
7.4
7.5

8.5

11

10.1
10.3

11.5

11.5

9.1
9.2
9.3
9.4

9.1
9.2
9.3
9.4
9.1
9.2
9.3
9.4
9.5
9.1
9.2
9.3
9.4
9.5
9.1
9.2
9.3
9.4
9.5

5.1
5.2
5.3
5.4
5.5

6.7

7.3

8.3
8.4
8.5

9.1
9.2
9.3
9.4
9.5

5.2
5.4
5.5

6.1
6.2
6.3
6.4
6.5
6.6

7.2
7.3
7.4
7.5

8.3
8.4
8.5

9.1
9.2
9.3
9.4
9.5

Figure 2.2 - Relationship of AUN-QA Criteria

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10

8.4

4.1
4.2
4.3

4.1
4.2
4.3

2.3

8

6.4

7

8

7

10.2
10.3

11.5

10.3

11.5

10.3

11.5

10.1
10.3
10.4
10.6

11.4
11.5

10.1
10.5
10.6

11.5

10.1
10.3
10.4
10.5
10.6

11.4
11.6

10.5
10.6

11.4
11.5

10.1
10.2
10.3
10.4
10.5
10.6

11.5

10.5
10.6

11.1
11.2
11.3
11.4
11.5

2.1

Expected Learning Outcomes

AUN-QA Criterion 1

1. The formulation of the expected learning outcomes takes into account andreflects the vision and mission of the institution. The vision and mission are
explicit and known to staff and students.
2. The programme shows the expected learning outcomes of the graduate. Eachcourse and lesson should clearly be designed to achieve its expected learning
outcomes which should be aligned to the programme expected learning
outcomes.
3. The programme is designed to cover both subject specific outcomes that relate
to the knowledge and skills of the subject discipline; and generic (sometimes
called transferable skills) outcomes that relate to any and all disciplines e.g.
written and oral communication, problem-solving, information technology,
teambuilding skills, etc.
4. The programme has clearly formulated the expected learning outcomes whichreflect the relevant demands and needs of the stakeholders.

AUN-QA Criterion 1 – Checklist
1
Expected Learning Outcomes
1.1 The expected learning outcomes have beenclearly formulated and aligned with the vision andmission of the university [1,2]
1.2 The expected learning outcomes cover bothsubject specific and generic (i.e. transferable)
learning outcomes [3]
1.3 The expected learning outcomes clearly reflect therequirements of the stakeholders [4]Overall opinion

1

2

3

4

5

6

7

Explanation
Outcomes-based education (OBE) can be described as a way in which curriculum isdefined, organised and directed based on all the things that learners would learn anddemonstrate successfully when they complete the study programme. The focus of
OBE is on the results of learning, where the knowledge, skills and attitudes including
habits of mind, the learners are expected to learn are clearly identified andexpressed as expected learning outcomes.
The expected learning outcomes, which are formulated from the needs of the
stakeholders, form the starting point of the programme design. Learning outcomesare concerned with the achievements of the learner rather than the intentions of theteacher, which are often written as aims, goals or objectives of the programme.

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Learning outcomes should be written in a way where learning is translated into
observable and measurable results which can be demonstrated and assessed.

Diagnostic Questions
−
−
−
−
−
−
−
−
−
−
−
−

What is the purpose of the study programme?
What are the expected learning outcomes?
How are the expected learning outcomes formulated?
Do the learning outcomes reflect the vision and mission of the university,
faculty or department?
Does the labour market set any specific requirements for graduates to meet?
To what extent is the content of the programme tuned to the labour market?
Is there a well-defined job profile?
How are the learning outcomes made known to staff and students?
Are the learning outcomes measurable and achievable? How?
To what extent have the learning outcomes been achieved?
Are learning outcomes being reviewed periodically?
How are the learning outcomes translated into concrete requirements of thegraduate (i.e. knowledge, skills and attitudes including habits of mind)?

Sources of Evidence
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2.2

Programme and course specifications
Course brochure and prospectus or bulletin
Skills matrix
Stakeholders’ input
University and faculty websites
Curriculum review minutes and documents
Accreditation and benchmarking reports

Programme Specification

AUN-QA Criterion 2

1. The Institution is recommended to publish and communicate the programmeand course specifications for each programme it offers, and give detailed
information about the programme to help stakeholders make an informed choice
about the programme.
2. Programme specification including course specifications describes the expected
learning outcomes in terms of knowledge, skills and attitudes. They help
students to understand the teaching and learning methods that enable theoutcome to be achieved; the assessment methods that enable achievement tobe demonstrated; and the relationship of the programme and its study elements.

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AUN-QA Criterion 2 – Checklist
2
Programme Specification
2.1 The information in the programme specification iscomprehensive and up-to-date [1, 2]
2.2 The information in the course specification iscomprehensive and up-to-date [1, 2]
2.3 The programme and course specifications arecommunicated and made available to thestakeholders [1, 2]
Overall opinion

1

2

3

4

5

6

7

Explanation
Programme specification is a set of documents that describes the study programme
offered by the university. The programme specification usually encompasses thefollowing items:• a summary of programme aims and intended outcomes;• an outline of the course structure;• a matrix showing how the programme learning outcomes are achieved
through the courses; and• a set of course specifications
The programme specification serves:









as a source of information for students and potential students seeking tounderstand a programme;
as a source of information for employers, particularly on the knowledge andtransferable skills developed by the programme;
professional and statutory regulatory bodies that accredit higher education
programmes which can lead to entry into a profession or other regulated
occupations. Programme specification should identify those aspects of the
programme that are designed to meet the requirements of the relevant bodies;
institutional and teaching teams to promote discussion and reflection on new andexisting programmes and to ensure that there is common understanding on the
expected learning outcomes of the programme. Programme specification should
enable institutions to satisfy themselves that the designers of the programme areclear about their expected learning outcomes and that these outcomes can beachieved and demonstrated. Programme specification can serve as a reference
point for internal review and monitoring of a programme’s performance;
as a source of information for academic reviewers and external examiners whoneed to understand the aim and intended outcomes of a programme; andas a basis for gaining feedback from students or recent graduates on the extent
to which they perceived the opportunities for learning to be successful inpromoting the intended outcomes.

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The information to be included in the programme specification is listed below.

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




Awarding body/institution
Teaching institution (if different)
Details of the accreditation by a professional or statutory body
Name of the final award
Programme title
Expected Learning outcomes of the programme
Admission criteria or requirements to the programme
Relevant subject benchmark statements and other external and internalreference points used to provide information on programme outcomes Programme structure and requirements including levels, courses, credits, etc.
 Date on which the programme specification was written or revised
The information to be included in the course specification is listed below.








Course title
Course requirements such as pre-requisite to register for the course, credits, etc.
Expected learning outcomes of the course in terms of knowledge, skills andattitudes
Teaching, learning and assessment methods to enable outcomes to be achieved
and demonstrated
Course description and outline or syllabus
Details of student assessment
Date on which the course specification was written or revised.

Diagnostic Questions− Are the expected learning outcomes translated into the programme and its
courses?
− What information is documented in the programme and course specifications?
− Is the course specification standardised across the programme?
− Is the programme specification published and made available or known to
stakeholders?
− What is the process for reviewing the programme and course specifications?

Sources of Evidence








Programme and course specifications
Course brochure and prospectus or bulletin
Skills matrix
Stakeholders’ input
University and faculty websites
Curriculum review minutes and documents
Accreditation and benchmarking reports

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2.3.

Programme Structure and Content

AUN-QA Criterion 3

1. The curriculum, teaching and learning methods and student assessment are
constructively aligned to achieve the expected learning outcomes.
2. The curriculum is designed to meet the expected learning outcomes where thecontribution made by each course in achieving the programme’s expected
learning outcomes is clear.
3. The curriculum is designed so that the subject matter is logically structured,
sequenced, and integrated.
4. The curriculum structure shows clearly the relationship and progression of basic
courses, the intermediate courses, and the specialised courses.
5. The curriculum is structured so that it is flexible enough to allow students topursue an area of specialisation and incorporate more recent changes anddevelopments in the field.
6. The curriculum is reviewed periodically to ensure that it remains relevant andup-to-date.

AUN-QA Criterion 3 – Checklist
3
Programme Structure and Content
3.1 The curriculum is designed based on constructivealignment with the expected learning outcomes [1]3.2 The contribution made by each course to achieve
the expected learning outcomes is clear [2]3.3 The curriculum is logically structured, sequenced,
integrated and up-to-date [3, 4, 5, 6]
Overall opinion

1

2

3

4

5

6

7

Explanation
The curriculum should be designed so that the teaching and learning methods andstudent assessment support the achievement of the expected learning outcomes.
Biggs (2003) refers to this process as “constructive alignment”. “Constructive” refers
to the concept that students construct meaning through relevant learning activities;
and “alignment” refers to the situation when teaching and learning activities andstudent assessment are aligned to achieve the expected learning outcomes.
Constructive alignment of any course involves: defining expected learning outcomes that are measurable; selecting teaching and learning methods that are likely to ensure that the
expected learning outcomes are achieved; and assessing how well the students have achieved the expected learning
outcomes as intended.
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Diagnostic Questions− Do the contents of the programme reflect the expected learning outcomes?
− How are the courses in the programme structured so that there is coherence
and a seamless relationship of the basic and specialised courses such thatthe curriculum can be viewed as a whole?
− Has a proper balance been struck between specific and general courses?
− How is the content of the programme kept up-to-date?
− Why was this programme structure chosen?
− Has the educational programme been changed structurally over recent years?
If so, why?
− Does the programme promote diversity, student mobility and/or cross-bordereducation?
− Is the relation between basic courses, intermediate courses and specialised
courses in the compulsory section and the optional section logical?
− What is the duration of the programme?
− What is the duration and sequence of each course? Is it logical?
− What benchmarks are used in designing the programme and its courses?
− How are teaching and learning methods and student assessment selected toalign with the expected learning outcomes?

Sources of Evidence









Programme and course specifications
Brochure, prospectus or bulletin
Curriculum map
Skills matrix
Stakeholders’ input and feedback
University and faculty websites
Curriculum review minutes and documents
Accreditation and benchmarking reports

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2.4.

Teaching and Learning Approach

AUN-QA Criterion 4

1. The teaching and learning approach is often dictated by the educational
philosophy of the university. Educational philosophy can be defined as a set of
related beliefs that influences what and how students should be taught. It
defines the purpose of education, the roles of teachers and students, and whatshould be taught and by what methods.
2. Quality learning is understood as involving the active construction of meaningby 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.
3. Quality learning is also largely dependent on the approach that the learnertakes when learning. This in turn is dependent on the concepts that the learnerholds of learning, what he or she knows about his or her own learning, and thestrategies she or he chooses to use.
4. Quality learning embraces the principles of learning. Students learn best in arelaxed, supportive, and cooperative learning environment.
5. In promoting responsibility in learning, teachers should:
a. create a teaching-learning environment that enables individuals to participate
responsibly in the learning process; andb. provide curricula that are flexible and enable learners to make meaningful
choices in terms of subject content, programme routes, approaches toassessment and modes and duration of study.
6. The teaching and learning approach should promote learning, learning how tolearn and instil in students a commitment of lifelong learning (e.g. commitment
to critical inquiry, information-processing skills, a willingness to experiment withnew ideas and practices, etc.).

AUN-QA Criterion 4 – Checklist
4
Teaching and Learning Approach
4.1 The educational philosophy is well articulated andcommunicated to all stakeholders [1]4.2 Teaching and learning activities are constructivelyaligned to the achievement of the expected
learning outcomes [2, 3, 4, 5]
4.3 Teaching and learning activities enhance life-longlearning [6]Overall opinion

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1

2

3

4

5

6

7

Explanation
In line with the overarching purpose of higher education in fostering holistic
education of students, quality learning results in students acquiring the following
skills:− The ability to discover knowledge for oneself. Learners have research skills
and the ability to analyse and synthesise the material they gather. Learners
understand various learning strategies and can choose the most appropriate
for the task at hand.
− The ability to retain knowledge long term. An approach to learning thatemphasizes construction of meanings rather than memorising facts for greater
retention.
− The ability to perceive relations between old knowledge and new. Quality
learning is always trying to bring information from various resources together.
− The ability to create new knowledge. Quality learners discover what others
have learnt and documented, perceiving the relations between that knowledge
and their own experiences and previous learning to develop new insights.
− The ability to apply one’s knowledge to solve problems.
− The ability to communicate one’s knowledge to others. Quality learners formand substantiate independent thought and action in a coherent and articulated
fashion.
− An eagerness to know more. Quality learners are lifelong learners.
Conditions necessary for quality learning are:− Quality learning occurs when learners are ready – in cognitive and emotionalterms – to meet the demands of the learning task
− Quality learning occurs when learners have a reason for learning− Quality learning occurs when learners explicitly relate previous knowledge tonew− Quality learning occurs when learners are active in the learning process− Quality learning occurs when the learning environment offers adequate
support for learners.
There is no single teaching and learning method that is valid for all situations.
Thought must be given to the teaching and learning approach behind the curriculum.

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Diagnostic Questions− Is there an explicit educational philosophy shared by all staff members?
− Is diversity of learning environment promoted including exchange
programme?
− Is teaching provided by other departments satisfactory?
− Are the teaching and learning methods used aligned with the expected
learning outcomes?
− How is technology used in teaching and learning?
− How is the teaching and learning approach evaluated? Do the chosen
methods fit into the learning outcomes of the courses? Is there sufficientvariety in the methods?
− Are there any circumstances that prevent these desired teaching and learning
methods from being used (number of students, infrastructure, teaching skills,etc.)?
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 research findings applied in the programme?
If practical training and/or community service is a specific aspect of the teaching andlearning approach:
−
−
−
−
−
−
−
−

Is practical training a compulsory or optional part of the programme?
How many credits are allocated to these activities?
Is the level of the practical training and/or community service satisfactory?
What benefits do communities gain from the service provided by the
programme?
What benefits do employers and students gain from the practical training?
Are there any bottlenecks in the practical training? If so, what causes them?
How are students being coached?
How is the assessment done?

Sources of Evidence









Educational philosophy
Evidence of action learning such as project, practical training, assignment,
industrial attachment, etc.
Student feedback
Online learning portal
Programme and course specifications
Internship reports
Community involvement
Memorandum of Understanding (MOU)

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2.5

Student Assessment

AUN-QA Criterion 5
1. Assessment covers:
 New student admission
 Continuous assessment during the course of study Final/exit test before graduation
2. In fostering constructive alignment, a variety of assessment methods should be
adopted and be congruent with the expected learning outcomes. They shouldmeasure the achievement of all the expected learning outcomes of the
programme and its courses.
3. A range of assessment methods is used in a planned manner to serve
diagnostic, formative, and summative purposes.
4. The student assessments including timelines, methods, regulations, weight
distribution, rubrics and grading should be explicit and communicated to allconcerned.
5. Standards applied in assessment schemes are explicit and consistent acrossthe programme.
6. Procedures and methods are applied to ensure that student assessment is valid,reliable and fairly administered.
7. The reliability and validity of assessment methods should be documented andregularly evaluated and new assessment methods are developed and tested.
8. Students have ready access to reasonable appeal procedures.

AUN-QA Criterion 5 – Checklist
5
5.1

5.2

5.3

5.4
5.5

Student Assessment
The student assessment is constructively aligned
to the achievement of the expected learning
outcomes [1, 2]
The student assessments including timelines,
methods, regulations, weight distribution, rubrics
and grading are explicit and communicated to
students [4, 5]
Methods including assessment rubrics andmarking schemes are used to ensure validity,
reliability and fairness of student assessment [6,7]
Feedback of student assessment is timely andhelps to improve learning [3]Students have ready access to appeal procedure[8]
Overall opinion

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1

2

3

4

5

6

7

Explanation
Student assessment is one of the most important elements of higher education.
The outcomes of such assessment have a profound effect on students' future
careers. It is therefore important that assessment is carried out professionally at
all times and takes into account the extensive knowledge that exists on testingand examination processes. Assessment also provides valuable information for
institutions about the efficiency of teaching and learner support. Student
assessment is expected to:










be designed to measure the achievement of the expected learning
outcomes;
be fit for purpose, whether diagnostic, formative or summative; have clear
and published grading and marking criteria;
be undertaken by people who understand the role of assessment in thestudents’ progression towards achieving the knowledge and skills
associated with their intended qualification; where possible, not relying on
the evaluation of one single examiner;
take account of all the possible consequences of examination
regulations;have clear regulations covering student absence, illness and othermitigating circumstances;
ensure that assessment is conducted securely in accordance with theinstitution's stated procedures;
be subjected to administrative verification in ensuring the effectiveness ofthe procedures.
inform students about the assessment being used for their programme,
what examinations or other assessment methods they will be subjected
to, what will be expected of them, and the criteria that will be applied tothe assessment of their performance.

Diagnostic Questions− 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 thecourses and programme? To what extent do the assessment andexaminations cover the objectives of the courses and of the programme as awhole?
− Is the assessment criterion-referenced?
− Is a variety of assessment methods used? What are they?
− Are the pass/fail criteria clear?
− Are the assessment/examination regulations clear?
− Are any safeguards in place to ensure objectivity?
− Are the students satisfied with the procedures? What about complaints fromstudents?
− Do clear rules exist for re-assessment and are students satisfied with these?

26 | P a g e

A special form of student assessment is the final project (dissertation, thesis or
project). This requires students to demonstrate their knowledge and skills and theirability to manipulate the knowledge in a new situation.
− Do clear regulations exist for the final project?
− What criteria have been formulated to assess the final project?
− What does the preparation for producing the final project involve (in terms ofcontent, 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?

Sources of Evidence








Samples of in-course assessment, project work, thesis, final examination, etc.
Rubrics
Marking scheme
Moderation process
Appeal procedure
Programme and course specifications
Examination regulations

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2.6

Academic Staff Quality

AUN-QA Criterion 6

1. Both short-term and long-term planning of academic staff establishment orneeds (including succession, promotion, re-deployment, termination, andretirement plans) are carried out to ensure that the quality and quantity ofacademic staff fulfil the needs for education, research and service.
2. Staff-to-student ratio and workload are measured and monitored to improve thequality of education, research and service.
3. Competences of academic staff are identified and evaluated. A competentacademic staff will be able to: design and deliver a coherent teaching and learning curriculum;
 apply a range of teaching and learning methods and select most appropriate
assessment methods to achieve the expected learning outcomes;
 develop and use a variety of instructional media;
 monitor and evaluate their own teaching performance and evaluate courses
they deliver; reflect upon their own teaching practices; and conduct research and provide services to benefit stakeholders
4. Recruitment and promotion of academic staff are based on merit system, which
includes teaching, research and service.
5. Roles and relationship of academic staff members are well defined andunderstood.
6. Duties allocated to academic staff are appropriate to qualifications, experience,
and aptitude.
7. All academic staff members are accountable to the university and its
stakeholders, taking into account their academic freedom and professional
ethics.
8. Training and development needs for academic staff are systematically identified,and appropriate training and development activities are implemented to fulfil theidentified needs.
9. Performance management including rewards and recognition is implemented tomotivate and support education, research and service.
10. The types and quantity of research activities by academic staff are established,monitored and benchmarked for improvement.

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AUN-QA Criterion 6 – Checklist
6
6.1

6.2

6.3

6.4
6.5

6.6

6.7

Academic Staff Quality
Academic staff planning (considering succession,
promotion, re-deployment, termination, andretirement) is carried out to fulfil the needs foreducation, research and service [1]Staff-to-student ratio and workload are measured
and monitored to improve the quality ofeducation, research and service [2]Recruitment and selection criteria including ethics
and academic freedom for appointment,
deployment and promotion are determined andcommunicated [4, 5, 6, 7]
Competences of academic staff are identified andevaluated [3]Training and developmental needs of academic
staff are identified and activities are implemented
to fulfil them [8]Performance management including rewards andrecognition is implemented to motivate andsupport education, research and service [9]The types and quantity of research activities by
academic staff are established, monitored andbenchmarked for improvement [10]Overall opinion

1

2

3

4

5

6

7

Explanation
Academic staff is the single most important learning resource available to most
students. It is important that those who teach have a full knowledge andunderstanding of the subject they are teaching, have the necessary skills andexperience to communicate their knowledge and understanding effectively to
students in a range of teaching contexts, and can access feedback on their own
performance.
The quality of an institution not only depends on the quality of the programmes but
also the quality of the academic staff. The quality of academic staff encompasses
qualification, subject matter expertise, experience, teaching skills and professional
ethics. The academic staffing covers full-time and part-time professors, lecturers,
and visiting teaching staff. Besides the quality of academic staff, the institution has todetermine the quantity of academic staff required to meet the demands and needs ofthe students and the institution. Often full-time equivalent (FTE) and staff-to-student
ratio are used to determine the size of the academic staff.

29 | P a g eFull-Time Equivalent (FTE)
In calculating the FTEs of academic staff, institutions should define what constitutes
full-time student loads and faculty teaching loads including part-time students andfaculty at their percentage of full time loads.
There are different ways in calculating FTEs and institutions should state themethod, parameters and assumptions used. One of the methods to calculate FTEs isbased on the investment of time. For example, if 1 FTE is equal to 40 hours per
week (full-time employment), then the FTE of an academic staff member with ateaching load of 8 hours per week will be 0.2 (i.e. 8/40). The investment of time
method can also be used for calculating FTEs of student. For example, if 1 FTE
student has to attend 20 hours of lesson a week, then the FTE of a part-time studentwith 10 hours of lesson a week will be 0.5 (i.e. 10/20).
Another method to calculate FTEs is based on teaching load. For example, if theofficial full-time teaching load of an academic staff is 4 courses per semester, theneach course accounts for 0.25 FTE. If an academic staff member is assigned 2
courses per semester, then the FTE will be 0.5 (i.e. 2 x 0.25 FTE). Similarly, student
study load can be used to calculate the FTEs of student. For example, if 1 FTE
student has to take 24 credits load per semester, then the FTE of a student with 18
credits load per semester will be 0.75 (i.e. 18/24).
Use Figure 2.3 to specify the number of academic staff and their FTEs in the last 5
academic years.
Category

M

F

Total
Headcounts
FTEs

Percentage of
PhDs

Professors
Associate/
Assistant
Professors
Full-time
Lecturers
Part-time
Lecturers
Visiting
Professors/
Lecturers
Total
Figure 2.3 - Number of Academic Staff (specify reference date and method of calculation
used for FTE of academic staff)

30 | P a g e

Staff-to-student Ratio
This indicator is the ratio 1 FTE academic staff member employed to the number of
FTE students enrolled. The aim is to give an idea of how much contact time andacademic support students at the institution may expect to receive. Specify the staffto-student ratio in the last 5 academic years as per Figure 2.4.
Academic Year

Total FTEsof Academic Staff

Total FTEs ofstudents

Staff-to-student
Ratio

Figure 2.4 – Staff-to-student Ratio (specify the method of calculation used for FTE ofstudents)

Research Activities
Research is an important output from academic staff. The types of research activities(such as publications, consulting work, projects, grants, etc.) carried out by academic
staff should meet the requirements of the stakeholders. Provide data on the types
and number of research publications in the last 5 academic years as in Figure 2.5.

AcademicYear

In-house/
Institutional

Types of Publication
National Regional International
Total

Figure 2.5 - Types and Number of Research Publications

31 | P a g e

No. ofPublications
Per
Academic
Staff

Diagnostic Questions
Academic Staff:− Are academic staff members competent and qualified for their jobs?
− Are the competencies and expertise of the academic staff adequate fordelivering the programme?
− What are the challenges institutions meet or encounter with regards to humanresources, such as age distribution, difficulties in filling vacancies or in
attracting qualified academic staff? How do institutions handle thesechallenges?
− How many Master’s and PhD degree holders are there among the academic
staff?
− What policy is pursued with regard to the employment of academic staff, bothin 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 training or internship?
− Are academic staff members satisfied with the teaching loads?
− Is the staff-to-student ratio satisfactory?
− What is the accountability of academic staff in terms of roles, responsibilities,
academic freedom, and professional ethics?
− What types of research activities are carried out by academic staff? Are these
activities aligned to the vision and mission of the university and faculty?
− What is the level of research grants and how is it utilised?
− What is the number of research papers published? Are the research papers
published in national, regional and international journals?

Staff Management :
−
−
−
−
−
−
−
−
−
−

How is manpower planning of academic staff carried out?
Does the department have a clearly formulated staff management structure?
Are recruitment and promotion criteria of academic staff established?
Is there a performance management system?
What is the succession plan for key appointment holders?
What is the career development plan for academic staff?
Are academic staff members satisfied with the HR policy?
What is the future development of HR policy for academic staff?
How academic staff members are prepared for the teaching task?
Is the teaching delivered by the academic staff supervised and assessed?

Training and Development:− Who is responsible for academic staff training and development activities?
− What are the training and development process and plan? How are training
needs identified?

32 | P a g e

− Does the training and development plan reflect the university and faculty
mission and objectives?
− Is there a system to develop strategic and technical competencies ofacademic staff?
− What are the training hours and number of training places for academic staff
per year?
− What percentage of payroll or budget is allocated for training of academic
staff?

Sources of Evidence



















Manpower plan
Faculty distribution in terms of age, gender, expertise, etc.
Career and succession plans
Recruitment criteria
Staff qualifications
Training needs analysis
Training and development plan and budget
Peer review and appraisal systemStudent feedbackAward and recognition schemes
Staff workload
Organisation chart
HR policies
Staff handbook
Job description
Employment contract
Research and publication data
National and/or professional licence/certificate

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2.7

Support Staff Quality

AUN-QA Criterion 7

1. Both short-term and long-term planning of support staff establishment or needsof the library, laboratory, IT facility and student services are carried out toensure that the quality and quantity of support staff fulfil the needs for education,
research and service.
2. Recruitment and selection criteria for appointment, deployment and promotionof support staff are determined and communicated. Roles of support staff are
well defined and duties are allocated based on merits, qualifications andexperiences.
3. Competences of support staff are identified and evaluated to ensure that theircompetencies remain relevant and the services provided by them satisfy the
stakeholders’ needs.
4. Training and development needs for support staff are systematically identified,and appropriate training and development activities are implemented to fulfil theidentified needs.
5. Performance management including rewards and recognition is implemented tomotivate and support education, research and service.

AUN-QA Criterion 7 – Checklist
7
7.1

7.2

7.3
7.4

7.5

Support Staff Quality
Support staff planning (at the library, laboratory, IT
facility and student services) is carried out to fulfil
the needs for education, research and service [1]Recruitment and selection criteria for
appointment, deployment and promotion aredetermined and communicated [2]Competences of support staff are identified andevaluated [3]Training and developmental needs of support staff
are identified and activities are implemented tofulfil them [4]Performance management including rewards andrecognition is implemented to motivate andsupport education, research and service [5]Overall opinion

34 | P a g e

1

2

3

4

5

6

7

Explanation
Programme quality depends mostly on interaction between staff and students.
However, academic staff cannot perform their roles well without the quality ofservices provided by the support staff. These are the support staff members who
manage the libraries, laboratories, computer facilities and student services.
Use Figure 2.6 to specify the number of support staff available in the last 5 academic
years.
Highest Educational AttainmentHigh
SchoolSupport Staff

Bachelor’s

Master’s

Total
Doctoral

Library Personnel
Laboratory
Personnel
IT Personnel
Administrative
Personnel
Student Services
Personnel(enumerate theservices)
Total
Figure 2.6 - Number of Support Staff (specify reference date)Diagnostic Questions
Support Staff:
−
−
−
−
−

Are the support staff members competent and qualified for their jobs?
Are the competencies and expertise of the support staff adequate?
What difficulties are there in attracting qualified support staff?
What policy is pursued with regard to the employment of support staff?
Are support staff members satisfied with their roles?

Staff Management:−−−−

How manpower planning of support staff is carried out?
Are recruitment and promotion criteria of support staff established?
Is there a performance management system?
What is the career development plan for support staff?

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Training and Development:− Who is responsible for support staff training and development activities?
− What are the training and development process and plan? How are training
needs identified?
− Is there a system to develop technical competencies of support staff?
− What are the training hours and number of training places for support staff peryear?
− What percentage of payroll or budget is allocated for training of support staff?

Sources of Evidence














2.8

Manpower plan
Career plans
Recruitment criteria
Staff qualifications
Training needs analysis
Training and development plan and budget
Performance appraisal systemStudent feedbackAward and recognition schemes
Organisation chart
HR policies
Staff handbook
Job description
Employment contract
Student Quality and Support

AUN-QA Criterion 8

1. The student intake policy and the admission criteria to the programme areclearly defined, communicated, published, and up-to-date.
2. The methods and criteria for the selection of students are determined andevaluated.
3. There is an adequate monitoring system for student progress, academic
performance, and workload. Student progress, academic performance andworkload are systematically recorded and monitored, feedback to students andcorrective actions are made where necessary.
4. Academic advice, co-curricular activities, student competition, and other student
support services are available to improve learning and employability.
5. In establishing a learning environment to support the achievement of quality
student learning, the institution should provide a physical, social andpsychological environment that is conducive for education and research as wellas personal well-being.

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AUN-QA Criterion 8 – Checklist
8
8.1

8.2
8.3

8.4

8.5

Student Quality and Support
The student intake policy and admission criteria
are defined, communicated, published, and up-todate [1]The methods and criteria for the selection of
students are determined and evaluated [2]There is an adequate monitoring system forstudent progress, academic performance, andworkload [3]Academic advice, co-curricular activities, student
competition, and other student support services
are available to improve learning andemployability [4]The physical, social and psychologicalenvironment is conducive for education andresearch as well as personal well-being [5]Overall opinion

1

2

3

4

5

6

7

Explanation
The quality of the output depends a lot on the quality of the input. This means thatthe quality of the entering students is important.
Student intakes:- Give a summary of the intake of first year students using Figure 2.7.
- Give a summary of the total number of students enrolled in the programme using
Figure 2.8.
Academic Year

Applicants
No. Applied

No. Offered

No. Admitted/Enrolled

Figure 2.7 - Intake of First-Year Students (last 5 academic years)

Academic Year
1st

2nd

3rd

Year

Year

Year

Students
4th
Year>4th Year

Figure 2.8 - Total Number of Students (last 5 academic years)

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Total

Diagnostic Questions
Student Quality:− How are student intakes monitored and analysed?
− How are students selected?
− What policy is pursued with regard to the intake of students? Does it aim toincrease the intake or to stabilise it? Why?
− What measures are taken to influence 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 ofentering students?
Student Study Load and Performance:− Does the department have a credit points system? How are credits
calculated?
− Is the study load divided equally over and within the academic years?
− Can an average student complete the programme in the planned time?
− What are the indicators used to monitor student progress and performance?
Student Support:− Does the department have a monitoring system for recording study progress
and following graduates (for example, tracer surveys)?
− How is the data of the monitoring system used?
− What role do academic staff members play in informing and coaching
students and integrating them into the programme?
− How are students informed about their study plans?
− Is special attention paid to coaching of first year students and underperformed
students? If so, how does it work?
− Is specific support given to provide study skills for students with problems?
− 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 ofoptions, interruption or termination of studies?
− How is information provided to students on career prospects?
− Are the reasons examined for students who take longer than expected tocomplete the programme?
− Are students satisfied with the support services available?

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Sources of Evidence











2.9

Student selection process and criteria
Trend of student intakes
Credit systemStudent workload
Student performance reports
Participation in academic and non-academic activities, extracurricular activities,
competition, etc.
Mechanisms to report and feedback on student progress
Provision of student support services at university and faculty level
Coaching, mentoring and counselling schemes
Student feedback and course evaluation

Facilities and Infrastructure

AUN-QA Criterion 9

1. The physical resources to deliver the curriculum, including equipment, materials
and information technology are sufficient.
2. Equipment is up-to-date, readily available and effectively deployed.
3. Learning resources are selected, filtered, and synchronised with the objectivesof the study programme.
4. A digital library is set up in keeping with progress in information andcommunication technology.
5. Information technology systems are set up to meet the needs of staff andstudents.
6. The institution provides a highly accessible computer and network infrastructurethat enables the campus community to fully exploit information technology forteaching, research, services and administration.
7. Environmental, health and safety standards and access for people with special
needs are defined and implemented.

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AUN-QA Criterion 9 – Checklist
9
9.1

9.2
9.3

9.4

9.5

Facilities and Infrastructure
The teaching and learning facilities andequipment (lecture halls, classrooms, projectrooms, etc.) are adequate and updated to support
education and research [1]The library and its resources are adequate andupdated to support education and research [3, 4]
The laboratories and equipment are adequate
and updated to support education and research[1, 2]The IT facilities including e-learning infrastructure
are adequate and updated to support education
and research [1, 5, 6]
The standards for environment, health and safety;
and access for people with special needs aredefined and implemented [7]Overall opinion

1

2

3

4

5

6

7

Explanation
The provision of facilities and infrastructure should be in line with the objectives ofthe programme. Facilities are also connected to the teaching and learning approach.
For example, if the approach is to teach in small working groups, then flexible
classroom arrangement should be made available. Learning resources such as
computers, e-learning portals, library resources, etc. should be adequately provided
to meet the needs of students and staff.

Diagnostic Questions− Are there enough lecture-halls, seminar rooms, laboratories, reading rooms,
and computer rooms available? Do they meet the needs of students andstaff?
− Is the library sufficiently equipped for education and research?
− Is the library accessible and within easy reach (location, opening hours)?
− Are there sufficient laboratory facilities including support staff?
− Do the laboratories meet the relevant requirements?
− Are sufficient teaching aids and tools available to students and staff?
− What hardware and software are made available to meet the needs ofeducation and research?
− To what extent do the facilities and infrastructure promote or obstruct thedelivery of the programme?
− Is the total budget for teaching aids and tools sufficient?
− How are the facilities and infrastructure being maintained?

40 | P a g e

Sources of Evidence









List of facilities, equipment, computer hardware and software, etc.
Facilities booking, utilisation rates, downtime/uptime, operating hours
Maintenance plan
New facilities and upgrading plans
Safety, health and environmental policy
Emergency plan
Student and staff feedback
Budgets for facilities and infrastructure

2.10

Quality Enhancement

AUN-QA Criterion 10

1. The curriculum is developed with inputs and feedback from academic staff,
students, alumni and stakeholders from industry, government and professionalorganisations.
2. The curriculum design and development process is established and it isperiodically reviewed and evaluated. Enhancements are made to improve its
efficiency and effectiveness.
3. The teaching and learning processes and student assessment are continuously
reviewed and evaluated to ensure their relevance and alignment to the expected
learning outcomes.
4. Research output is used to enhance teaching and learning.
5. Quality of support services and facilities (at the library, laboratory, IT facility andstudent services) is subject to evaluation and enhancement.
6. Feedback mechanisms to gather inputs and feedback from staff, students,
alumni and employers are systematic and subjected to evaluation andenhancement.

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AUN-QA Criterion 10 – Checklist
10
Quality Enhancement
10.1 Stakeholders’ needs and feedback serve as input
to curriculum design and development [1]10.2 The curriculum design and development process
is established and subjected to evaluation andenhancement [2]10.3 The teaching and learning processes and student
assessment are continuously reviewed andevaluated to ensure their relevance andalignment [3]10.4 Research output is used to enhance teaching andlearning [4]10.5 Quality of support services and facilities (at thelibrary, laboratory, IT facility and student services)
is subjected to evaluation and enhancement [5]10.6 The stakeholder’s feedback mechanisms are
systematic and subjected to evaluation andenhancement [6]Overall opinion

1

2

3

4

5

6

7

Explanation
Quality enhancement in higher education refers to the improvement of:

students’ knowledge, skills and attitudes or competencies;students’ learning environment and opportunities; andquality of an institution or a programme.

Quality enhancement is a planned initiative that is implemented for the purpose ofquality assurance and improvement. It is the continuous search for improvement andbest practices.
The confidence and trust of students and other stakeholders in higher education are
established and maintained through effective and efficient quality assurance andenhancement activities which ensure that programmes are well-designed, regularly
monitored and periodically reviewed, thereby securing their continuing relevance andcurrency.
The quality assurance and enhancement of programmes are expected to include:







formulation of expected learning outcomes;
curriculum design and development process;teaching and learning approach and student assessment;
support resources, facilities and services;
research application; andstakeholders’ feedback mechanisms

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Diagnostic Questions
Curriculum Design and Evaluation:− Who is responsible for designing 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 thecurriculum?
− How do curriculum innovations come about? Who takes the initiative? On thebasis of what signals?
− Who is responsible for implementing the curriculum?
− When designing curriculum, is benchmarking with other institutions done?
− In which international networks does the department participate?
− With which institutions abroad do student exchanges take place?
− Has the programme been recognised abroad?
− Is a structured quality assurance in place?
− Who are involved in internal and external quality assurance?
− Is there a curriculum committee? What is its role?
− Is there an examination committee? What is its role?
− How are the programme and its courses evaluated?
− Is the evaluation done systematically?
− How is research output applied to teaching and learning?
− How are students involved in evaluating the curriculum and courses?
− How and to whom are the evaluation results made known?
− What actions are taken to improve the curriculum and its design process?

Feedback Mechanisms:
Mechanisms such as surveys, questionnaires, tracer study, focus group
discussions, dialogues, etc. are often used to gather inputs and feedback fromstakeholders.
− What feedback mechanisms are used to gather inputs and feedback fromstaff, students, alumni and employers?
− Is the way to gather feedback from stakeholders structured and formal?
− How is the quality of support services and facilities evaluated?
− How is feedback analysed and used for improvement?

Sources of Evidence










Curriculum design, review and approval process and minutes
Stakeholders input
QA of assessment and examination
External examiners
Local and international benchmarking
Programme and course feedback
Uses of feedback for improvement
Sample of feedback questionnaire
Reports from surveys, focus group, dialogue, tracer study, etc.
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2.11

Output

AUN-QA Criterion 11

1. The quality of the graduates (such as pass rates, dropout rates, average timeto graduate, employability, etc.) is established, monitored and benchmarked;
and the programme should achieve the expected learning outcomes andsatisfy the needs of the stakeholders.
2. Research activities carried out by students are established, monitored andbenchmarked; and they should meet the needs of the stakeholders.
3. Satisfaction levels of staff, students, alumni, employers, etc. are established,monitored and benchmarked; and that they are satisfied with the quality ofthe programme and its graduates.
AUN-QA Criterion 11 – Checklist
11
Output11.1 The pass rates and dropout rates are established,monitored and benchmarked for improvement [1]11.2 The average time to graduate is established,monitored and benchmarked for improvement [1]11.3 Employability of graduates is established,monitored and benchmarked for improvement [1]11.4 The types and quantity of research activities by
students are established, monitored andbenchmarked for improvement [2]11.5 The satisfaction levels of stakeholders are
established, monitored and benchmarked for
improvement [3]Overall opinion

1

2

3

4

5

6

7

Explanation
In assessing the quality assurance system, institutions not only have to evaluate thequality of the process, but also the quality of output and its graduates. In evaluating
the quality of the graduates, institutions have to monitor the achievement of the
expected learning outcomes, pass rates and dropout rates, the average time tograduation and the employability of graduates. Research is another important output
from the process. The types of research activities carried by students should meetthe requirements of the stakeholders.
After analysing the input, process and output, institutions have to analyse thesatisfaction of its stakeholders. There should be a system to collect and measurestakeholders’ satisfaction. The information collected should be analysed andbenchmarked for making improvements to the programme, quality practices andquality assurance system.

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Pass Rate and Dropout Rate
Provide information on the pass rates and dropout rates of the last 5 cohorts in
Figure 2.9.
Academic Cohort% completed first% dropout during
Year
Size
degree in
3
4
>4
1st
2nd
3rd
4th Years &Years Years Years Year Year Year
BeyondFigure 2.9 - Pass Rates and Dropout Rates (last 5 cohorts)

Diagnostic Questions
Pass Rates and Dropout Rates:− Does the institution have an efficient system to monitor pass rates anddropout rates of students?
− What does the department think of the pass rates? If not satisfactory, what
measures have been taken to improve the pass rates?
− How high is the dropout rate? Are there explanations for the dropout rate?
− Does the department know where the dropout students are going?
Average Time to Graduation:− 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?
Quality of Graduates:− Is the quality of the graduate satisfactory?
− Do the achieved standards match the expected standards?
− Do graduates get jobs easily? What are the career prospects of graduates
over the last few years?
Employability of Graduates:− 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 ayear?
− What percentage of graduates is still unemployed 1 year after graduation?

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Research:− What types of research activities are carried out by students? Are these
activities aligned to the expected learning outcomes and the vision andmission of the university and faculty?
Stakeholders’ Satisfaction:
Staff:− What mechanisms are available to staff to express their satisfaction ordissatisfaction about the programme, resources, facilities, processes, policies,etc.?
− What indicators are used to measure and monitor the satisfaction level ofstaff?
− What initiatives are carried out to raise the satisfaction level of staff? Are theyeffective?
Students:− Does the department know what students think about the courses,
programme, teaching, examinations, etc.?
− How does the department cope with the feedback and complaints fromstudents?

Alumni (Graduates):− What is the opinion and feedback of the graduates about the competencies
that they acquired?
− How is the feedback from the alumni used to improve the programme?

Labour market:− Are employers satisfied with the quality of the graduates?
− Are there any specific complaints about the graduates?
− Are specific strengths of the graduates appreciated by the employers?

Sources of Evidence








Process and indicators for measuring stakeholders’ satisfaction
Stakeholders’ satisfaction trends
Graduates, alumni and employers surveys
Press reports
Employment surveys
Employment statistics
Employers feedback

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3.

Quality Assessment

3.1

Introduction to Quality Assessment

Assessment can be defined as a general term that embraces all methods used tojudge the performance of an individual, group or organisation. Self-assessment is theprocess of critically reviewing the quality of one’s own performance at institutional,
system or programme level.
Quality assessment in higher education, therefore, can be defined as a diagnostic
review and evaluation of teaching, learning, and outcomes based on a detailed
examination of curricula, structure, resources and effectiveness of the institution,system or programme. It aims to determine if the institution, system or programme
meets generally accepted quality standards.

3.2

Function and Principles of Quality Assessment

Self-assessment is introduced in higher education together with external
assessment, accreditation or quality audits. In many cases, self-assessment serves
as preparation for a site visit by external experts and the self-assessment report(SAR) provides the external experts with the basic information about the institution,
programme and quality assurance system. It also provides an opportunity for the
institution and its staff to discover the quality of its quality assurance system.
An effective self-assessment is time-consuming as it requires effort and time fromstaff. However, the gains from a good self-assessment are valuable. It gives
information and facts about the quality assurance system and provides a platform forstakeholders to discuss issues on the quality of education.
The fundamental principles describe in the ISO 19011 standard are relevant to selfassessment and AUN-QA assessment: Three of the principles that relate to the
conduct of the assessors are:
 Ethical conduct – the foundation of professionalism; Fair presentation – the obligation to report truthfully and accurately; and Due professional care – the application of diligence and judgment to assessment.
Two other principles that relate to the assessment process are:

Independence – the basis for the impartiality and objectivity of the assessment
conclusions; andEvidence – the rational basis for reaching reliable and reproducible assessment
conclusions in a systematic assessment process. Evidences are based onrecords and statements of fact or information which are relevant to theassessment criteria and are verifiable.

Adherence to these fundamental principles is a prerequisite for providing a reliable
and relevant assessment process and outcome.

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The following considerations should be made before carrying out a self-assessment:










3.3

Management must fully support the self-assessment and provide access torelevant information that is needed for an effective quality assurance system. The
self-assessment serves to acquire structural insight into the operation andperformance of the institution;
Gaining management support to carry out a self- assessment is not enough. The
whole organisation has to prepare itself for the self-assessment. Assessing
quality is more than evaluating the performance of a programme; it is also aboutdeveloping and shaping the institution. Staff members should be maderesponsible for the quality and all staff should be involved in the self-assessment.
Writing a critical self-evaluation of the quality assurance system demands goodorganisation and coordination. Primarily, someone has to lead and coordinate theself-assessment process. The chosen leader should have good contacts within
the institution including key management staff, faculty and support staff; haveaccess to obtain the required information at all levels; and have the authority tomake appointments with stakeholders.
It is desirable to install a working group in charge of the self-assessment. It is
important that the group is structured in such a way that the involvement of all
sections is assured. The working group should be in charge of the selfassessment, gathering and analysing data and drawing conclusions.
As it is assumed that the self-assessment is supported by the institution, it isimportant that all staff members should be acquainted with the contents of the
SAR. The working group might organise a workshop or seminar to discuss orcommunicate the SAR.

Preparation of Self-Assessment Report (SAR)

Figure 3.1 illustrates the approach for preparing SAR which encompasses Plan-DoCheck-Act (PDCA).

Figure 3.1 – PDCA Approach to SAR Development

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The “Plan” phase starts with the communication of intent for quality assessment.
Appoint a group responsible for writing the SAR. The group should consist of key
people representing various departments and led by someone appointed by thefaculty or university. As part of the change management process, early engagementwith the stakeholders is crucial to get their buy-in and commitment before the start ofthe project. A clear timetable should be set up to develop the SAR (see Figure 3.2).
Each member in the group should be made responsible for collecting and analysing
data and information, and writing the SAR. Each member must have a goodunderstanding of the AUN-QA criteria before proceeding to the next phase.

Figure 3.2 - Typical Project Timeline for SAR Development.

The “Do” phase involves identifying the gaps in the quality assurance system inmeeting the AUN-QA criteria. Data collection is a critical step in this phase as it helps
to quantify the existing quality assurance practices as well as to identify what theinstitution needs to do to meet the AUN-QA criteria. Solutions to close the gaps
should be implemented before proceeding to write and review the SAR.
The “Check” phase involves verifying the SAR as well as the quality assurance
practices; and giving feedback to improve them. An independent team should be
appointed to assess the SAR and the existing quality assurance practices against
the AUN-QA criteria. Recommendations to improve the SAR and close the gaps in
the existing quality assurance practices should be made.
The “Act” phase involves implementing the recommendations raised in the “Check”
phase and finalising the SAR before communicating the SAR to the relevant
stakeholders and getting ready for external assessment.

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3.4

Self-Assessment Report (SAR)

A typical self-assessment project would take about 9 months to a year to prepare.
However, the duration depends on the stage of development, availability of data andinformation and the maturity of the university, faculty or school. At the start of the
project, it is important that the sponsor, project team and staff have a common
comprehension and understanding of the AUN-QA guidelines and criteria. Training
and communications should be set up to ensure this. The SAR is the product of theself-assessment exercise and it should be written in an objective, factual andcomplete manner and follow the AUN-QA criteria self-assessment checklist (SeeAppendix A).
The self-assessment must be finalised with a SAR. Writing an effective SAR requires
skills and time. Some guidelines for writing an effective SAR are:










The report is the account of the self-assessment. That is to say, the SAR is notjust descriptive but it is also analytical. It includes an evaluation of the problems.
At the same time, it provides an indication of how the problems identified will be
dealt with. Use the diagnostic questions provided in each of the AUN-QA criteria
to do this.
Since it is a self-assessment, which is of the utmost importance for an external
assessment team, it is important for the SAR to follow a specific format based on
the AUN-QA criteria and checklist.
Illustrate clearly what, where, when, who and how the QA mechanisms or
instruments are implemented and managed to fulfil the criteria. This will help you
to piece all related information together.
Focus on information and data (objective evidences) that directly address thecriteria. The report has to be concise and factual. Provide trends and statistics toshow achievements and performance. The quantitative data requires special
attention. The manner in which data is presented is important for the rightinterpretation of the data. There is a clear need for standardisation of data suchas student numbers, appointment of teaching staff, staff-to-student ratio, passrates, etc.
Self-assessment forms the starting point for improvement between the review
committee and the faculty as well as a document for inter-collegial assessment.
When conducting a self-assessment, it is important to draw up an institution’s
own standards and criteria, but it is also essential to take account of the criteria
formulated by outsiders, such as an accrediting body. When analysing an
institution's own quality, it is important to look for evidence on how far the criteria
have been met. If there are no formally formulated standards in the country or
region, the standards as formulated in this manual may be used and taken as
benchmarks.
The SAR should be written or translated into a language (i.e. English) that is easy
for external assessors to comprehend. Provide a glossary of abbreviations andterminologies used in the report.

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The SAR is the final document that will play a role in formulating a quality plan for theyears to come. It might also provide the input for accreditation or for inter-collegial
assessment
The content of the SAR should consist of:Part 1: Introduction• Executive summary of the SAR• Organisation of the self-assessment – how the self-assessment was carried out
and who were involved?
• Brief description of the university, faculty and department – outline the history of
quality assurance, mission, vision, objectives and quality policy of the university
followed by a brief description of the faculty and department.
Part 2: AUN-QA Criteria
This section contains the write-up on how the university, faculty or department
addresses the requirements of the AUN-QA criteria. Follow the criteria listed in the
self-assessment checklist.

Part 3: Strengths and Weaknesses Analysis• Summary of strengths - summarise the points that the department considers to
be its strengths and mark the points that the institution is proud of.
• Summary of Weaknesses - indicate which points the department considers to be
weak and in need of improvement.
• Completed self-assessment checklist as in Appendix A• Improvement plan – recommendations to close the gaps identified in the selfassessment and the action plan to implement them.
Part 4: Appendices
Glossary and supporting documents and evidences

3.5

Preparation of Quality Assessment

Conducting a quality assessment requires good preparation. It is important that theuniversity considers its resources and prepares its people before proceeding with theassessment. The preparation includes communicating the SAR and otherdocumentation, host team, interviewees, assessment team, logistics and otheradministrative arrangements, etc.
Before requesting for the quality assessment, it is important that management or
project initiator communicates the intent to all stakeholders concerned. This is toensure that those involved understand the reasons and objectives behind theassessment and at the same time to get commitment and approval for theassessment project. Sufficient time should be given for criteria owners to prepare thequality assessment.

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The purpose of the assessment is not about the assessment ratings but rather on
the continuous improvement of the quality assurance system implemented. As theassessment will be based mostly on objective evidences, it is important that theuniversity has prepared a well written SAR and get ready all key documents andrecords for assessment. Information about the university and programme should be
prepared and presented to the assessment team. This would allow them to have an
overview of the university history, policies, vision and mission and programmes. SAR
and key documents should be translated to a language that is understood by theassessment team. An interpreter may be present during the site assessment, if
necessary. The translated copy of the SAR should be sent to the assessment teamin advance – at least 11/2 to 2 months before the site assessment.
The university should assemble key management representatives, SAR team andguides or interpreter to host the assessment. The key management representatives
could give the commitment and support for the assessment and giving thepresentation of the university, faculty or programme. The SAR team should bepresent for clarification of the SAR and serve as contact person(s) for the exercise.
Guides should be available to bring the assessors to the site as well as making
documents and records available; and serve as a liaison between the assessors andthe staff of the faculty or university. Interpreter may be engaged to translate
documents, interview questions or responses.
Prepare and notify the interviewees in advance about the assessment. It is important
to share with them the intent and purpose of the assessment. Key office holders andfair representation from staff and students should be invited for the assessment
exercise. External parties such as alumni, employers and other stakeholders should
also be invited for the interview.
For internal assessment, experts from adjacent faculties may be considered.
However, there are some conditions that members have to meet:

they should act independently
there should be no conflicts of interest. Members should have no advantage
through their verdict
they must be accepted by the faculty to be assessed.

It is also possible to invite retired staff on the grounds that they are more
independent (and have more time available). However, it is also important to havemembers still working in the field and with a knowledge of recent developments.
Depending on the types of quality assessment, an assessment team appointed tocarry out the quality assessment may consist of 2 to 5 members. The members of
the team may include:a chairperson, totally independent and unconnected with the institution to beassessed. The chair does not need to be an expert in the field, but should havethe experience with management of higher education institutions and thedevelopment of quality assurance in higher education.

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




two experts on the subject area or discipline being assessed
an expert from the labour market and/or from the professional association
an expert from abroad (but because the visit will be done in the local language,
this member must be proficient in the language)
an expert on education and learning processes.

In selecting the assessor, consideration should be given to the assessor’s
competence and personal attributes in addition to education and work experience.
Knowledge and skills specific to quality management system are those related to:quality and quality assurance in general
AUN-QA guidelines and criteriaother QA education models and frameworks

As far as assessment team leaders are concerned, they should have the knowledge
and leadership skills necessary to enable the team to conduct the assessment
efficiently and effectively. In addition to the above, the assessor should posses anumber of personal attributes that contribute to the successful performance ofassessment. An assessor should be ethical, open minded, diplomatic, observant,perceptive, versatile, tenacious, decisive and self reliant. The necessary knowledge
and skills and the personal attributes to apply them effectively can be acquired by anappropriate combination of education, work experience, assessor training andassessment experience. These “building blocks” are quantified by, for example,
specifying the minimum level of education, the necessary number of years’ work
experience and the minimum amount of audit or assessment experience.
The appointed assessors should have the required knowledge and skills on quality,
quality assurance, AUN-QA guidelines and criteria and assessment techniques andskills. If not, training should be conducted for them.
The training should include:








Quality and quality assurance in higher education
The AUN-QA criteria and guidelines
Organisation of self-assessment project
Writing and reviewing of SAR
Quality assessment process
Stakeholders’ interviews
Writing feedback reports

Staff organising the assessment should take care of the following logistics and otheradministrative arrangements:Meeting and interviewing rooms:
 Opening/closing meeting which normally would require a bigger room in
consideration of the number of people involved.
 Interview room for the conduct of the assessment with the interviewees Assessors would need room for discussion and report writing.

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







3.6

Observers who wish to learn about the conduct of the assessment
Site tour – arrangement for the assessors to visit places such as library, lab,lecture halls, etc as part of the assessment
Computer equipment/facilities for presentation on opening and closing meetings
Photocopying/printing services
Refreshments/meals
Transport arrangements/airport transfers
Accommodation

Quality Assessment Process

The Plan-Do-Check-Act (PDCA) or Deming Cycle illustrated in Figure 3.3 is adopted
for quality assessment at the programme level, as well as for both institutional level
and IQA system.

Figure 3.3 – PDCA Approach to AUN-QA Assessment

3.6.1 Plan Phase
The “Plan” phase consists of:Types of Assessment
Assessment Team
Schedule & Itinerary

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At the start of the planning, the institution has to decide which quality assessmentthat they want to conduct as each serves a different purpose and requires a different
level of expertise. The 3 types of quality assessment in AUN-QA are institutional,
IQA system and programme level.
The assessment team(s) will be appointed by the AUN Secretariat in advance basedon assessor’s background, experience and language ability. Each team should
comprise at least 2 members from different universities. The assessors in each teamshould decide on their roles and assignment before, during and after theassessment.
The chairperson or the lead assessor will provide leadership to the assessment
team, setup preliminary meetings/discussions, assigning of roles and assessment
areas/criteria and moderating the final assessment results. In general, an assessor
should perform the following roles:







Preparing assessment plan and checklist
Communicating and clarifying assessment requirements
Planning & carrying out assigned responsibilities effectively and efficiently
Making observations on curricula, processes, facilities and quality improvements
Reporting the assessment results
Retaining & safeguarding documents pertaining to the assessment

Before the site assessment, assessors need to check the date, time, location andvenue of the assessment to be carried out for each programme. For venue, it isnormally held at the university which facilitates the access to documents, site tour,
faculty members and supporting staff. Interviews are best held in conference-likearrangement and avoid using a room that is too large or in a lecture-style. Wheninterviewing staff, it is preferably that the room also holds the relevant documents tofacilitate easy verification.
Assessors should also obtain the details of the contact person(s) of the university
and AUN Secretariat so that prior communication can be established, if necessary.
Know who is in the assessment team and agree on the roles. Make sure that theSAR is submitted at least 11/2 to 2 months before the site assessment to allow for the
preparation of desktop assessment.
A typical Itinerary will spread over 3 days and it will normally consist of:







Opening meeting Presentation on the overview of the unit to be assessedInterviews (Dean, Department Head, Programme Chair, faculty members,
supporting staff, students, alumni and employers)
Site tour (teaching facilities, laboratories, workshops, libraries, general facilities)
Assessment and report preparation
Breaks, lunches and dinners
Closing meeting Presentation of preliminary assessment findings

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A typical itinerary is shown in Figure 3.4.
Date/ Time

Activities

Day 0
Arrival and Pick-up of Assessors and Staff from AUN Secretariat
Day 1
09.00 – 09.30

Opening Session

09.30 - 09.45
09.45 – 10.00

13.00 – 14.00
14.00 – 15.30

Coffee BreakBriefing by Dean
Meeting Key Faculty Members: Head of Department, Programme
Chair and SAR Team
Site Visit to Campus and Faculty - Laboratories, Lecture Facilities,
Libraries, Computer Facilities, etc.
Lunch
Meeting with Faculty Members

15.30 – 15.45

Coffee Break

15.45 – 17.00

Meeting with Support Staff

17.00 onwards

Dinner

10.00 – 11.30
11.30 – 13.00

08.30 – 10.00
10.00 – 10.15
10.15 – 11.30
11.30 – 13.00

Day 2
Meeting with Students
Coffee BreakMeeting with Alumni
Meeting with Employers

13.00 – 14.00

Lunch

14.00 – 17.00
17.00 onwards

Clarification and/or Preparation of Assessment Findings

09.00 - 11.00
11.00 – 11.30
11.30 – 13.00

Dinner (Free & Easy)
Day 3
Presentation of Preliminary Assessment Findings
Closing Session
Lunch and Departure of Assessors
Figure 3.4 – Typical AUN-QA Assessment Itinerary

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3.6.2 Do Phase
The “Do” phase involves desktop and site assessment.

Desktop Assessment
Desktop assessment is the first initial step before the site assessment. It is adocument review exercise which involves a preliminary assessment of the quality
assurance system based on the SAR and available documents. The desktop
assessment facilitates the development of an assessment plan. The AUN-QA
Assessment Planning Template (see Appendix B) is used for this purpose. The
desktop assessment allows the following preparatory work to be done:







Clarifying SAR and quality assurance practices
Identifying strengths and weaknesses of the quality assurance practices
Identifying gaps in meeting the AUN-QA criteria
Identifying possible areas for improvement
Crafting questions for stakeholders’ interviews
Identifying sources of evidence for verification

The purpose of assessment planning is to gather evidence of practices that meet
AUN-QA guidelines and criteria. The plan should include:

Sources of information and evidence
Strategy employed to gather the evidence as well as identifying documents andrecords for review. Strategy may include interview, site visit, document review,
website access, etc.
Identify individuals to be interviewed and plan schedule of interviews and site tour
Prepare questions needed to gather the evidence

The SAR is the most critical document for desktop assessment and it should begiven to the assessors in advance before the actual assessment. It should give an
overview of the university, faculty, department and programme being assessed. The
SAR should cover all the criteria listed in the checklist. If any of the criteria are notdocumented, the assessors should clarify with the contact person of the university.
Assessors should identify information and documents mentioned in the report andverify them against the physical documents during the site assessment.

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The PDCA approach is a good tool to apply in assessment planning. Questions canbe formulated at each stage of the PDCA (see Figure 3.5).

Figure 3.5 – PDCA Approach in Formulating Questions
For example at the “Plan” stage, questions on what, when and why can be used toestablish objectives and processes that deliver results based on AUN-QA guidelines
and criteria and organisation policies. At the “Do” stage, questions can revolvearound implementation and who are involved. At the “Check” stage, questions onmonitoring and measuring performance and processes can be formulated. Lastly, atthe “Act” stage, assessors can plan questions on actions to continually improve
performance. Adopt the 5Ws (why, what, where, who and when) and 1H (How)questioning technique during the interview.
To facilitate the desktop assessment and planning, a template for desktop
assessment at programme level is documented in Appendix B. A sample on how the
template is being used for desktop planning is documented in Appendix C.

Site Assessment
Site assessment or site visit consists of an opening meeting with key management
representatives of the university. The opening meeting is normally followed by apresentation of the university and programme. After which, interviews would be heldwith the various stakeholders. Site tour may be arranged before or between theinterviews. The assessment will conclude with a closing meeting.

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An opening meeting with the host university management representatives should beheld at the start of the site assessment. The purpose of the brief opening meeting isto: Introduce the members of the assessment team to the host university’s
management representatives
 Establish official communication links between the assessment team and the host
university
 Review scope and objectives of the assessment
 Clarify details of the assessment plan and schedule Allow the host university to introduce the university and its programme normallydone through a presentation
Typical opening statements by the chairperson of the assessment team are as
follows:“Good morning ladies and gentlemen. My name is XXX and my colleague is YYY.
We are the assessment team from ASEAN University Network (AUN).
At the request of your university, we are glad to make a quality assessment at the
programme level under the AUN-QA guidelines and criteria. The scope of theassessment will cover the XXX programme at the faculty of ABC. We will be looking
at the activities that are relevant to these areas. We will be following a schedule asagreed earlier and do let us know if there are any changes. The assessment will takeabout 3 days.
A closing ceremony will be held on the final day of the assessment where we will bepresenting the preliminary assessment findings.
Before we proceed, is there anything that you would like to ask? (Pause for asecond).
Thank you and you may now introduce the members in your team.”Interviews
Interviews with various stakeholders are normally pre-arranged by the host university
prior to the site assessment. The interviews may start with a discussion involving thewriters of the SAR at the start and during the site assessment. In this interview, theteam can ask for clarification of any obscurities and explanation of any topics thatare not clear.
The interviews with the students provide a very rich source of information, but the
information needs to be checked and tested against the ideas of the staff members.
Student interviews are important to get an insight into the study load, quality of theacademic staff, the curriculum of the programme, the quality of the facilities, etc.

59 | P a g e

The student interview should be held in the absence of staff members, so that they
can speak freely. The size of the student groups is ideally about 5 students in eachcohort. It's best to talk to about 5 students from the first year, 5 from say the second
and third years, and 5 who are nearly at the end of their studies. It is important thatthe students are a fair representation of the population. The selection of students
should follow the requirements stated in the “Guidelines for AUN-QA Assessment
and Assessors”. The assessors should have a list of the students and their details
such as name, year of study, etc.
Interviews with staff members will be used for discussion on the content of the
programme, learning outcomes, teaching and learning methods, student
assessment, etc. It is advisable to interview with group of not more than 25 staff
members. Other interviews may be held with members of a curriculum committee
and with members of the committee responsible for examinations. During theinterview with the curriculum committee, the question of how the curriculum is kept
up to date will be discussed as will the question of how innovations are planned andrealised. The interview with the examination committee must clearly show how thequality of the examinations and degree is assured.
Interviews with employers and alumni provide a good indication of the quality ofgraduates and curriculum. They can provide a good source for the university to
improve its processes, systems, facilities, curriculum, etc.
In each interview, the assessor will usually go through several steps including
informing the interviewees about the purpose of the interview, gather backgroundinformation about the interviewees and conducting the actual interview.
Objectives of Interview are to:Gather information and evidences
Clarify and verify SAR and practices
Give interviewees opportunity to present the full picture

It is important for the assessors to talk less and listen more as the purpose of theinterview is to ensure a fair and objective view of the assessment. In preparing theinterview, the assessor should consider the following: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

60 | P a g e

An interviewing process consists of 3 phases as follows: Introduction
 Questioning Conclusion
At the introduction phase, the following items should be carried out:Introduce the assessment team
Explain purpose of the interview
Put interviewees at ease
Get to know the background of interviewees (e.g. years of service or study,
current position, scope of work, etc.), if necessary

During questioning, do take note of the following factors:







Use reassuring tones and approach in a respectful manner
Assure interviewees that the session is strictly confidential and no information will
be attributed to any one individual
Lead the discussion
Take note
Keep to the agenda
Watch your time

Use effective questioning techniques:






Ask one question at a time. Give interviewees ample time to respond before
moving to the next question.
Use open-ended questions to probe for information.
Use close-ended questions to confirm information.
Avoid leading questions
Try to use neutral language. Avoid words like never, bad, good, always, weak,etc.

Before concluding the interview, do the following:

Ask if interviewees have anything else to add. This gives them some control overthe interview and a chance to tell you something important that might not be on
the list.
 Thank the interviewees for their time

61 | P a g eFour basic techniques in active listening are:
1. Mirroring. Restating what the interviewee says using different words. Restatein such a way as to encourage the interviewee to go on.
2. Using silences. Silence may make people feel uncomfortable in aconversation. However, not every gap in a conversation needs to be filled.
Distinguish between positive and negative silences where the interviewee isthinking. During a negative silence where the interviewee is not able torespond, provide help.
3. Acknowledging. Remind the interviewee periodically that you are listening withwords like “Yes”, “I see”, “Um..m”. Use body language like nodding and eye
contact without interrupting the interviewee unnecessarily.
4. Open-ended questioning. Use questions that encourage the interviewees tothink further rather than give a straight “Yes” or “No” answer. Close ended
questions often cut the natural flow of the interviewee’s thoughts, make themfeel interrogated and put them on the defensive.

Objective Evidence
Evidence should be collected on all matters related to the assessment objectives
and scope. Checklist can be used to aid the collection of evidence. Evidence should
be collected through: Interviews
 Examination of documents/records (physical and electronic)
 Observation of activities and facilities Site tour
 Use of statistical methods such as sampling can be used to increase efficiency
during assessment. However, the sample should be a fair representation of thearea under examination.
Site tour can be planned before or between interviews. The site tour normally
includes visit to lecture halls, tutorial rooms, laboratories, workshops or practicalrooms, libraries and computer labs. Special attention should be paid to theenvironment in the facilities, condition of the equipment and tools, cleanliness andmaintenance of the facilities. Site tour also provides the assessors an opportunity toclarify the findings or SAR with the support staff.

3.6.3 Check Phase
The “Check” phase involves report preparation and presentation of the assessment
findings.
At the end of the assessment, prior to preparing the final report, the assessment
team may hold a clarification meeting with the host university’s management
representatives and those responsible for the programme.

62 | P a g e

The purpose of the meeting is to:

present the preliminary results of the assessment
ensure that the results of the assessment are clearly understoodprovide an opportunity for clarification
conclude the assessment

The meeting is part of the “Check” phase and it helps the assessors to prepare an
objective and factual report. It gives the assessors and assessees an opportunity toclarify doubts and to seek a better understanding of the QA processes and how the
AUN-QA criteria are being fulfilled. It helps to identify and agree on the areas for
improvement and provides the motivational force for the university to improve its QA
system. The 2-way communication in the “Check” phase would make the university
more receptive to the findings and help to build a closer and enduring relationshipbetween the assessors and the university.

Assessment Report
The objectives of assessment report are:

Level of performance based on AUN-QA guidelines and criteria
Key strengths of university/faculty/programme
Areas for improvement

The steps to prepare assessment report are illustrated in Figure 3.6.

Figure 3.6 – Steps in Preparing Assessment Report63 | P a g e

To prepare a creditable and objective report, the assessment team has to verify theevidences gathered and agree on the strengths and weaknesses of the QA practices
adopted by the university. Next is to establish the gaps against the AUN-QA criteria
and suggest areas for improvement. Based on the findings, the assessment teamhas to establish and agree on the level of performance or rating. Any differences
should be resolved through factual and objective evidences against the best known
practices. Reconciliation of ratings of common criteria across programmes should be
carried out to ensure consistency of results.
A 7-point rating scale is used for AUN-QA assessment. It provides universities andassessors an instrument for scaling their verdicts and to see how far they haveprogressed in their AUN-QA journey. The 7-point rating scale is described below.
RatingDescription

1

Absolutely Inadequate
The QA practice to fulfil the criterion is not implemented. There are no plans,
documents, evidences or results available. Immediate improvement must be
made.

2

Inadequate and Improvement is Necessary
The QA practice to fulfil the criterion is still at its planning stage or is inadequate
where improvement is necessary. There is little document or evidence available.
Performance of the QA practice shows little or poor results.

3

Inadequate but Minor Improvement Will Make It Adequate
The QA practice to fulfil the criterion is defined and implemented but minor
improvement is needed to fully meet them. Documents are available but no clear
evidence to support that they have been fully used. Performance of the QA
practice shows inconsistent or some results.

4

Adequate as Expected
The QA practice to fulfil the criterion is adequate and evidences support that it has
been fully implemented. Performance of the QA practice shows consistent results
as expected.

5Better Than Adequate
The QA practice to fulfil the criterion is better than adequate. Evidences support
that it has been efficiently implemented. Performance of the QA practice shows
good results and positive improvement trend.

6

Example of Best Practices
The QA practice to fulfil the criterion is considered to be example of best practices
in the field. Evidences support that it has been effectively implemented.
Performance of QA practice shows very good results and positive improvement
trend.

7

Excellent (Example of World-class or Leading Practices)
The QA practice to fulfil the criterion is considered to be excellent or example ofworld-class practices in the field. Evidences support that it has been innovatively
implemented. Performance of the QA practice shows excellent results andoutstanding improvement trends.

In assigning rating to criterion and sub-criterion, only whole number should be used.
The overall verdict of the assessment should be computed based on the arithmetic
average of the 11 criteria with only one decimal place.
64 | P a g e

Before making the final presentation to the university management, the assessment
team should clarify any doubts and agree on the areas for improvement with the key
staff of the faculty or department. The report should not be judgemental such as
using the word “frequently”. Instead state the comment factually and indicate theimportance of having the practice or process. The final report should be preparedusing the AUN-QA Assessment Report Template in Appendix D.
In writing feedback report, do adhere to the following guidelines: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 madeGood feedback is fundamental to an effective assessment. It would help theuniversity to determine its readiness in meeting AUN-QA guidelines and criteria. It
also provides the basis for feedback on areas that the university needs to improve.
Good feedback should:Use clear, simple, grammatically correct and complete sentences. They help toreduce the time needed to clarify points.
Avoid jargons or acronyms
Be constructive – use positive tone, be specific to guide improvement andcomment only on areas contained in the criteria.
Be non-prescriptive – state observations and evaluation

A closing meeting is usually done by the chairperson of the assessment team.
Typical closing meeting statements include:“Good morning ladies and gentlemen. On behalf of the assessment team, I would
like to thank you and your staff for the hospitality and assistance which you havegiven us throughout the assessment. We have enjoyed the friendly atmosphere
during the assessment.
First, I would like to reiterate the purpose and scope of this assessment under the
AUN-QA guidelines and criteria at programme level. The assessment has been
carried out on the basis of a prepared plan which involved examining a
representative sample of the activities relevant to the AUN-QA framework. With yourkind consent, I will present the preliminary results and findings from the team.
A final report will be sent to your university by the AUN secretariat at a later date.”

65 | P a g e

3.6.4 Act Phase
The “Act” phase involves preparing the final report and the assessment feedback.
The final report consists of a summary and the detailed assessment results (seeAppendix D). A sample of the report is documented in Appendix E. A typicalsummary in the report is reproduced below.
This report is based on the information provided in the self-assessment report (SAR),
evidences, site tour and interviews with selected stakeholders including academic
and support staff, students, alumni and employers. It should be read together withthe preliminary findings presented at the closing ceremony where the key strengths
and areas for improvement were highlighted.
The AUN-QA assessment at programme level covers 11 criteria and each criterion isassessed based on a 7-point scale. The summary of the assessment results is asfollows:
Criteria
1. Expected Learning Outcomes
2. Programme Specification
3. Programme Structure and Content
4. Teaching and Learning Approach
5. Student Assessment
6. Academic Staff Quality
7. Support Staff Quality
8. Student Quality and Support
9. Facilities and Infrastructure
10. Quality Enhancement
11. Output
Overall Verdict

Score
4
5
4
5
5
5
4
5
4
4
5
4.5

Based on the assessment results, the Bachelor of XXX Programme fulfilled the AUNQA requirements. Overall the quality assurance implemented for the programme isbetween “Adequate as Expected” and “Better than Adequate”.

After the assessment team has completed and sent a copy of the report to AUN
Secretariat, they will forward it together with a copy of the feedback report (Appendix
F) to the university being assessed. The purpose of the feedback report is to help in
improving the assessment process.

66 | P a g e

4.

Appendices

Appendix A – Checklist for AUN-QA Assessment at Programme Level
Appendix B – AUN-QA Assessment Planning for Programme Level Template
Appendix C – Sample of AUN-QA Assessment Planning
Appendix D – AUN-QA Assessment Report for Programme Level Template
Appendix E – Sample of AUN-QA Assessment Report
Appendix F – AUN-QA Assessment Feedback Report67 | P a g e

Appendix A
Checklist for AUN-QA Assessment at Programme Level
1
Expected Learning Outcomes
1.1 The expected learning outcomes have beenclearly formulated and aligned with the vision andmission of the university [1,2]
1.2 The expected learning outcomes cover bothsubject specific and generic (i.e. transferable)
learning outcomes [3]
1.3 The expected learning outcomes clearly reflect therequirements of the stakeholders [4]Overall opinion
2
Programme Specification
2.1 The information in the programme specification iscomprehensive and up-to-date [1, 2]
2.2 The information in the course specification iscomprehensive and up-to-date [1, 2]
2.3 The programme and course specifications arecommunicated and made available to thestakeholders [1, 2]
Overall opinion
3
Programme Structure and Content
3.1 The curriculum is designed based on constructivealignment with the expected learning outcomes [1]3.2 The contribution made by each course to achieve
the expected learning outcomes is clear [2]3.3 The curriculum is logically structured, sequenced,
integrated and up-to-date [3, 4, 5, 6]
Overall opinion
4
Teaching and Learning Approach
4.1 The educational philosophy is well articulated andcommunicated to all stakeholders [1]4.2 Teaching and learning activities are constructivelyaligned to the achievement of the expected
learning outcomes [2, 3, 4, 5]
4.3 Teaching and learning activities enhance life-longlearning [6]Overall opinion

68 | P a g e

1

2

3

4

5

6

7

5
5.1

5.2

5.3

5.4
5.5

6
6.1

6.2

6.3

6.4
6.5

6.6

6.7

Student Assessment
The student assessment is constructively aligned
to the achievement of the expected learning
outcomes [1, 2]
The student assessments including timelines,
methods, regulations, weight distribution, rubrics
and grading are explicit and communicated to
students [4, 5]
Methods including assessment rubrics andmarking schemes are used to ensure validity,
reliability and fairness of student assessment [6,7]
Feedback of student assessment is timely andhelps to improve learning [3]Students have ready access to appeal procedure[8]
Overall opinion
Academic Staff Quality
Academic staff planning (considering succession,
promotion, re-deployment, termination, andretirement) is carried out to fulfil the needs foreducation, research and service [1]Staff-to-student ratio and workload are measured
and monitored to improve the quality of education,
research and service [2]Recruitment and selection criteria including ethics
and academic freedom for appointment,
deployment and promotion are determined andcommunicated [4, 5, 6, 7]
Competences of academic staff are identified andevaluated [3]Training and developmental needs of academic
staff are identified and activities are implemented
to fulfil them [8]Performance management including rewards andrecognition is implemented to motivate andsupport education, research and service [9]The types and quantity of research activities by
academic staff are established, monitored andbenchmarked for improvement [10]Overall opinion

69 | P a g e

1

2

3

4

5

6

7

7
7.1

7.2

7.3
7.4

7.5

Support Staff Quality
Support staff planning (at the library, laboratory,
IT facility and student services) is carried out tofulfil the needs for education, research andservice [1]Recruitment and selection criteria for
appointment, deployment and promotion aredetermined and communicated [2]Competences of support staff are identified andevaluated [3]Training and developmental needs of support
staff are identified and activities are implemented
to fulfil them [4]Performance management including rewards andrecognition is implemented to motivate andsupport education, research and service [5]Overall opinion

8
8.1

8.2
8.3

8.4

8.5

Student Quality and Support
The student intake policy and admission criteria
are defined, communicated, published, and up-todate [1]The methods and criteria for the selection of
students are determined and evaluated [2]There is an adequate monitoring system forstudent progress, academic performance, andworkload [3]Academic advice, co-curricular activities, student
competition, and other student support services
are available to improve learning andemployability [4]The physical, social and psychologicalenvironment is conducive for education andresearch as well as personal well-being [5]Overall opinion

70 | P a g e

1

2

3

4

5

6

7

9
9.1

9.2
9.3

9.4

9.5

Facilities and Infrastructure
The teaching and learning facilities andequipment (lecture halls, classrooms, projectrooms, etc.) are adequate and updated to support
education and research [1]The library and its resources are adequate andupdated to support education and research [3, 4]
The laboratories and equipment are adequate
and updated to support education and research[1, 2]The IT facilities including e-learning infrastructure
are adequate and updated to support education
and research [1, 5, 6]
The standards for environment, health and safety;
and access for people with special needs aredefined and implemented [7]Overall opinion

10
Quality Enhancement
10.1 Stakeholders’ needs and feedback serve as input
to curriculum design and development [1]10.2 The curriculum design and development process
is established and subjected to evaluation andenhancement [2]10.3 The teaching and learning processes and student
assessment are continuously reviewed andevaluated to ensure their relevance andalignment [3]10.4 Research output is used to enhance teaching andlearning [4]10.5 Quality of support services and facilities (at thelibrary, laboratory, IT facility and student services)
is subjected to evaluation and enhancement [5]10.6 The stakeholder’s feedback mechanisms are
systematic and subjected to evaluation andenhancement [6]Overall opinion

71 | P a g e

1

2

3

4

5

6

7

11
Output11.1 The pass rates and dropout rates are established,monitored and benchmarked for improvement [1]11.2 The average time to graduate is established,monitored and benchmarked for improvement [1]11.3 Employability of graduates is established,monitored and benchmarked for improvement [1]11.4 The types and quantity of research activities by
students are established, monitored andbenchmarked for improvement [2]11.5 The satisfaction levels of stakeholders are
established, monitored and benchmarked for
improvement [3]

1

2

3

4

5

6

7

Overall opinion
Overall verdict

In assigning rating to criterion and sub-criterion, only whole number should be used.
The overall verdict of the assessment should be computed based on the arithmetic
average of the 11 criteria with only one decimal place.

72 | P a g e

Appendix B

AUN-QA ASSESSMENT PLANNING (PROGRAMME LEVEL)
AUN-QA Assessment No.:

Date of Assessment:

Name of Programme Assessed:

Name of University:

Name of Faculty/School:

Name of Management Representative/Designation:

Name of Assessors:

Email:

Criteria
1. Expected
Learning
Outcomes

1.1 Theexpectedlearning
outcomes havebeen clearly
formulated andaligned with thevision andmission of theuniversity [1,2]

1. Expected
Learning
Outcomes

1.2 Theexpectedlearning
outcomes
cover bothsubject specificand generic(i.e.
transferable)
learning
outcomes [3]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
1. Expected
Learning
Outcomes

1.3 Theexpectedlearning
outcomes
clearly reflecttherequirements ofthestakeholders[4]

2. ProgrammeSpecification

2.1 Theinformation in
the programme
specification iscomprehensive
and up-to-date[1, 2]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
2. ProgrammeSpecification

2.2 Theinformation in
the course
specification iscomprehensive
and up-to-date[1, 2]

2. ProgrammeSpecification

2.3 Theprogramme
and course
specificationsarecommunicatedand madeavailable to thestakeholders[1, 2]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
3. Programme
Structure andContent

3.1 Thecurriculum isdesigned
based onconstructivealignment withthe expected
learning
outcomes [1]3. Programme
Structure andContent

3.2 Thecontribution
made by eachcourse toachieve theexpectedlearning
outcomes isclear [2]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
3. Programme
Structure andContent

3.3 Thecurriculum islogically
structured,
sequenced,
integrated andup-to-date [3,4, 5, 6]

4. Teaching and
Learning
Approach

4.1 Theeducational
philosophy iswell articulatedandcommunicatedto allstakeholders[1]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
4. Teaching and
Learning
Approach

4.2 Teaching
and learning
activities areconstructivelyaligned to theachievement of
the expected
learning
outcomes [2, 3,
4, 5]

4. Teaching and
Learning
Approach

4.3 Teaching
and learning
activities
enhance lifelong learning[6]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
5. Student
Assessment

5.1 The student
assessment isconstructivelyaligned to theachievement of
the expected
learning
outcomes [1, 2]

5. Student
Assessment

5.2 The student
assessments
includingtimelines,
methods,
regulations,weightdistribution,
rubrics andgrading are
explicit andcommunicatedto students [4,5]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
5. Student
Assessment

5.3 Methods
includingassessment
rubrics andmarking
schemes areused to ensure
validity,
reliability andfairness ofstudent
assessment [6,7]5. Student
Assessment

5.4 Feedbackof student
assessment istimely andhelps toimprovelearning [3]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
5. Student
Assessment

5.5 Students
have readyaccess toappealprocedure [8]6. Academic Staff
Quality

6.1 Academic
staff planning(considering
succession,
promotion, redeployment,termination,and retirement)is carried out tofulfil the needs
for education,
research andservice [1]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
6. Academic Staff
Quality

6.2 Staff-tostudent ratio
and workload
are measured
and monitored
to improve thequality ofeducation,
research andservice [2]6. Academic Staff
Quality

6.3
Recruitment
and selection
criteria
including ethics
and academic
freedom forappointment,
deployment
and promotion
are determinedandcommunicated[4, 5, 6, 7]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
6. Academic Staff
Quality

6.4
Competencesof academic
staff areidentified andevaluated [3]6. Academic Staff
Quality

6.5 Training
anddevelopmental
needs ofacademic staff
are identified
and activities
areimplemented tofulfil them [8]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
6. Academic Staff
Quality

6.6
Performance
management
includingrewards andrecognition is
implemented tomotivate andsupporteducation,
research andservice [9]6. Academic Staff
Quality

6.7 The types
and quantity of
research
activities by
academic staff
areestablished,monitored andbenchmarkedfor
improvement[10]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
7. Support Staff
Quality

7.1 Support
staff planning(at the library,laboratory, IT
facility andstudent
services) is
carried out tofulfil the needs
for education,
research andservice [1]7. Support Staff
Quality

7.2
Recruitment
and selection
criteria for
appointment,
deployment
and promotion
are determinedandcommunicated[2]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
7. Support Staff
Quality

7.3
Competencesof support staff
are identified
and evaluated[3]

7. Support Staff
Quality

7.4 Training
anddevelopmental
needs ofsupport staff
are identified
and activities
areimplemented tofulfil them [4]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
7. Support Staff
Quality

7.5
Performance
management
includingrewards andrecognition is
implemented tomotivate andsupporteducation,
research andservice [5]8.Student Quality
and Support

8.1 The student
intake policy
and admission
criteria aredefined,communicated,published, andup-to-date [1]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
8.Student Quality
and Support

8.2 Themethods andcriteria for theselection of
students are
determined andevaluated [2]8.Student Quality
and Support

8.3 There is anadequatemonitoring
system forstudent
progress,
academic
performance,
and workload[3]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
8.Student Quality
and Support

8.4 Academic
advice, cocurricular
activities,
student
competition,and otherstudent support
services areavailable toimprovelearning andemployability[4]

8.Student Quality
and Support

8.5 Thephysical, socialandpsychologicalenvironment isconducive foreducation andresearch aswell aspersonal wellbeing [5]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
9. Facilities andInfrastructure

9.1Theteaching andlearning
facilities andequipment(lecture halls,
classrooms,
project rooms,etc.) areadequate andupdated tosupporteducation andresearch [1]9. Facilities andInfrastructure

9.2 The libraryand itsresources areadequate andupdated tosupporteducation andresearch [3, 4]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
9. Facilities andInfrastructure

9.3 Thelaboratories
and equipment
are adequate
and updated tosupporteducation andresearch [1, 2]

9. Facilities andInfrastructure

9.4 The IT
facilities
including elearning
infrastructure
are adequate
and updated tosupporteducation andresearch [1, 5,
6]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
9. Facilities andInfrastructure

9.5 Thestandards forenvironment,
health andsafety; andaccess forpeople withspecial needs
are defined andimplemented[7]

10. Quality
Enhancement

10.1
Stakeholders’needs andfeedback serve
as input tocurriculum
design anddevelopment[1]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
10. Quality
Enhancement

10.2 The
curriculum
design anddevelopment
process isestablished andsubjected toevaluation andenhancement[2]

10. Quality
Enhancement

10.3 The
teaching andlearning
processes andstudent
assessment
arecontinuously
reviewed andevaluated toensure theirrelevance andalignment [3]Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
10. Quality
Enhancement

10.4 Research
output is used
to enhanceteaching andlearning [4]10. Quality
Enhancement

10.5 Quality of
supportservices andfacilities (at thelibrary,laboratory, IT
facility andstudent
services) is
subjected toevaluation andenhancement[5]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
10. Quality
Enhancement

10.6 The
stakeholder’s
feedback
mechanisms
are systematicand subjected
to evaluation
andenhancement[6]

11. Output

11.1 The passrates anddropout rates
areestablished,monitored andbenchmarkedfor
improvement[1]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
11. Output

11.2 The
average time tograduate isestablished,monitored andbenchmarkedfor
improvement[1]

11. Output

11.3
Employability ofgraduates isestablished,monitored andbenchmarkedfor
improvement[1]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criteria
11. Output

11.4 The types
and quantity of
research
activities by
students are
established,monitored andbenchmarkedfor
improvement[2]

11. Output

11.5 Thesatisfactionlevels ofstakeholders
areestablished,monitored andbenchmarkedfor
improvement[3]

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Appendix C

SAMPLE of AUN-QA ASSESSMENT PLANNING (PROGRAMME LEVEL)
AUN-QA Assessment No.:

Date of Assessment:

99th AUN-QA Assessment at AUN University

1 – 3 August 2015

Name of Programme Assessed:

Bachelor Degree in Manufacturing Engineering
Name of University:
AUN University
Name of Faculty/School:
Faculty of Engineering
Name of Management Representative/Designation:

Email:

Dr. Ali Ahmad/Head of Department

ahmad@aun.com

Name of Assessors:
Dr. Tommy Lee, University of SEA
Dr. Amir Hamzeh, University of Northeast

Criteria
1. Expected
Learning
Outcomes

1. Expected
Learning
Outcomes

1.1 Theexpectedlearning
outcomes havebeen clearly
formulated andaligned with thevision andmission of theuniversity [1,2]

1.2 Theexpectedlearning
outcomes
cover bothsubject specificand generic(i.e.
transferable)
learning
outcomes [3]Strengths
The established learning
outcomes are aligned to
the requirements of the
National Accreditation
Board as well as
reference to ABET andprominent university in
USA, UK, Australia andSingapore. The expected
learning outcomes arerevised every 4 years
with the latest revision in
2014. These areformulated with theconsideration of theregional and national
needs and global trend of
scientific progress, which
are part of the university,
faculty and department
mission statements.
The expected learning
outcomes are
established andintegrated for both
specific and generic skills
and knowledge using
matrix of competencies
as documented in the
new curriculum 2014.

Interview Questions
What educationaltaxonomy is used inwriting the expected
learning outcomes?

Sources of Evidence
Programme specification
University and faculty
websites
Curriculum review
minutes and documents

How do the genericlearning outcomes meetthe needs of theemployers?

Programme specification
University and faculty
websites
Curriculum review
minutes and documents

Areas for Improvement

Criteria
1. Expected
Learning
Outcomes

2. ProgrammeSpecification

1.3 Theexpectedlearning
outcomes
clearly reflecttherequirements ofthestakeholders[4]

2.1 Theinformation in
the programme
specification iscomprehensive
and up-to-date[1, 2]

Strengths
Stakeholder’s inputs(meeting withstakeholders on 28
August 2013) aregathered and reflected in
the expected learning
outcome documented in
the new curriculum 2014.

Interview Questions
How the needs of the
stakeholders aregathered?

Sources of Evidence
Surveys and tracer
reports
Curriculum review
minutes and documents

Areas for Improvement

Appendix D

AUN-QA ASSESSMENT REPORT (PROGRAMME LEVEL)
AUN-QA Assessment No.:

Date of Assessment:

Name of Programme Assessed:

Name of University:

Name of Faculty/School:

Name of Management Representative/Designation:

Name of Assessors:

Email:

Report Summary
This report is based on the information provided in the self-assessment report (SAR), evidences, site tour and interviews withselected stakeholders including academic and support staff, students, alumni and employers. It should be read together with thepreliminary findings presented at the closing ceremony where the key strengths and areas for improvement were highlighted.
The AUN-QA assessment at programme level covers 11 criteria and each criterion is assessed based on a 7-point scale. The
summary of the assessment results is as follows:
Criteria

Score

1. Expected Learning Outcomes
2. Programme Specification
3. Programme Structure and Content
4. Teaching and Learning Approach
5. Student Assessment
6. Academic Staff Quality
7. Support Staff Quality
8. Student Quality and Support
9. Facilities and Infrastructure
10. Quality Enhancement
11. Output
Overall Verdict
Based on the assessment results, the Bachelor of XXX Programme fulfilled the AUN-QA requirements. Overall the quality
assurance implemented for the programme is “__________________________________________”.

Criteria
1. Expected
Learning
Outcomes

1.1 The expected
learning outcomes
have been clearly
formulated andaligned with thevision and missionof the university [1,2]

1. Expected
Learning
Outcomes

1.2 The expected
learning outcomescover both subject
specific and generic(i.e. transferable)
learning outcomes[3]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
1. Expected
Learning
Outcomes

1.3 The expected
learning outcomes
clearly reflect therequirements of the
stakeholders [4]2. ProgrammeSpecification

2.1 The informationin the programme
specification iscomprehensive andup-to-date [1, 2]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
2. ProgrammeSpecification

2.2 The informationin the course
specification iscomprehensive andup-to-date [1, 2]

2. ProgrammeSpecification

2.3 The programmeand course
specifications arecommunicated andmade available tothe stakeholders [1,2]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
3. Programme
Structure andContent

3.1 The curriculum
is designed basedon constructivealignment with the
expected learning
outcomes [1]3. Programme
Structure andContent

3.2 The contribution
made by eachcourse to achieve
the expected
learning outcomes isclear [2]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
3. Programme
Structure andContent

3.3 The curriculum
is logicallystructured,
sequenced,
integrated and upto-date [3, 4, 5, 6]

4. Teaching and
Learning Approach

4.1 The educational
philosophy is wellarticulated andcommunicated to all
stakeholders [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
4. Teaching and
Learning Approach

4.2 Teaching andlearning activities
are constructivelyaligned to theachievement of the
expected learning
outcomes [2, 3, 4, 5]

4. Teaching and
Learning Approach

4.3 Teaching andlearning activities
enhance life-longlearning [6]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
5. Student
Assessment

5.1 The student
assessment isconstructivelyaligned to theachievement of the
expected learning
outcomes [1, 2]

5. Student
Assessment

5.2 The student
assessments
including timelines,
methods,
regulations, weight
distribution, rubrics
and grading are
explicit andcommunicated to
students [4, 5]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
5. Student
Assessment

5.3 Methods
includingassessment rubrics
and marking
schemes are used
to ensure validity,
reliability andfairness of student
assessment [6, 7]

5. Student
Assessment

5.4 Feedback ofstudent assessment
is timely and helps
to improve learning[3]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
5. Student
Assessment

5.5 Students haveready access toappeal procedure [8]6. Academic Staff
Quality

6.1 Academic staff
planning(considering
succession,
promotion, redeployment,termination, andretirement) is carriedout to fulfil the needs
for education,
research andservice [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
6. Academic Staff
Quality

6.2 Staff-to-student
ratio and workload
are measured andmonitored to
improve the qualityof education,
research andservice [2]6. Academic Staff
Quality

6.3 Recruitment andselection criteria
including ethics andacademic freedom
for appointment,
deployment andpromotion aredetermined andcommunicated [4, 5,
6, 7]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
6. Academic Staff
Quality

6.4 Competences ofacademic staff are
identified andevaluated [3]6. Academic Staff
Quality

6.5 Training anddevelopmental
needs of academic
staff are identified
and activities are
implemented to fulfil
them [8]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
6. Academic Staff
Quality

6.6 Performance
management
including rewards
and recognition is
implemented tomotivate andsupport education,
research andservice [9]6. Academic Staff
Quality

6.7 The types andquantity of research
activities by
academic staff areestablished,monitored andbenchmarked for
improvement [10]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
7. Support Staff
Quality

7.1 Support staff
planning (at thelibrary, laboratory, IT
facility and student
services) is carriedout to fulfil the needs
for education,
research andservice [1]7. Support Staff
Quality

7.2 Recruitment andselection criteria for
appointment,
deployment andpromotion aredetermined andcommunicated [2]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
7. Support Staff
Quality

7.3 Competences of
support staff are
identified andevaluated [3]7. Support Staff
Quality

7.4 Training anddevelopmental
needs of support
staff are identified
and activities are
implemented to fulfil
them [4]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
7. Support Staff
Quality

7.5 Performance
management
including rewards
and recognition is
implemented tomotivate andsupport education,
research andservice [5]8.Student Quality
and Support

8.1 The student
intake policy andadmission criteria
are defined,
communicated,published, and upto-date [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
8.Student Quality
and Support

8.2 The methods
and criteria for theselection of students
are determined andevaluated [2]8.Student Quality
and Support

8.3 There is anadequate monitoring
system for student
progress, academic
performance, andworkload [3]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
8.Student Quality
and Support

8.4 Academic
advice, co-curricular
activities, student
competition, andother student
support services areavailable to improvelearning andemployability [4]8.Student Quality
and Support

8.5 The physical,
social andpsychologicalenvironment isconducive foreducation andresearch as well as
personal well-being[5]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
9. Facilities andInfrastructure

9.1The teaching andlearning facilities
and equipment(lecture halls,
classrooms, projectrooms, etc.) are
adequate andupdated to support
education andresearch [1]9. Facilities andInfrastructure

9.2 The library andits resources areadequate andupdated to support
education andresearch [3, 4]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
9. Facilities andInfrastructure

9.3 The laboratories
and equipment are
adequate andupdated to support
education andresearch [1, 2]

9. Facilities andInfrastructure

9.4 The IT facilities
including e-learning
infrastructure are
adequate andupdated to support
education andresearch [1, 5, 6]

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
9. Facilities andInfrastructure

9.5 The standards
for environment,
health and safety;
and access forpeople with special
needs are definedand implemented [7]10. Quality
Enhancement

10.1 Stakeholders’needs and feedback
serve as input tocurriculum designand development [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
10. Quality
Enhancement

10.2 The curriculum
design anddevelopment
process isestablished andsubjected toevaluation andenhancement [2]10. Quality
Enhancement

10.3 The teaching
and learning
processes andstudent assessment
are continuously
reviewed andevaluated to ensure
their relevance andalignment [3]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
10. Quality
Enhancement

10.4 Research
output is used toenhance teaching
and learning [4]10. Quality
Enhancement

10.5 Quality of
support services andfacilities (at thelibrary, laboratory, IT
facility and student
services) is
subjected toevaluation andenhancement [5]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
10. Quality
Enhancement

10.6 The
stakeholder’s
feedback
mechanisms are
systematic andsubjected toevaluation andenhancement [6]11. Output

11.1 The pass rates
and dropout rates
are established,monitored andbenchmarked for
improvement [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
11. Output

11.2 The averagetime to graduate isestablished,monitored andbenchmarked for
improvement [1]11. Output

11.3 Employability ofgraduates isestablished,monitored andbenchmarked for
improvement [1]Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Criteria
11. Output

11.4 The types andquantity of research
activities by students
are established,monitored andbenchmarked for
improvement [2]12. Output

11.5 The satisfactionlevels ofstakeholders are
established,monitored andbenchmarked for
improvement [3]Overall Verdict

Strengths

Areas for Improvement

Score(1 – 7)Overall
Score

Appendix E

SAMPLE of AUN-QA ASSESSMENT REPORT (PROGRAMME LEVEL)
AUN-QA Assessment No.:

Date of Assessment:

99th AUN-QA Assessment at AUN University

1 – 3 August 2015

Name of Programme Assessed:

Bachelor Degree in Manufacturing Engineering
Name of University:
AUN University
Name of Faculty/School:
Faculty of Engineering
Name of Management Representative/Designation:

Email:

Dr. Ali Ahmad/Head of Department

ahmad@aun.com

Name of Assessors:
Dr. Tommy Lee, University of SEA
Dr. Amir Hamzeh, University of NortheastReport Summary
This report is based on the information provided in the self-assessment report (SAR), evidences, site tour and interviews withselected stakeholders including academic and support staff, students, alumni and employers. It should be read together with thepreliminary findings presented at the closing ceremony where the key strengths and areas for improvement were highlighted.
The AUN-QA assessment at programme level covers 11 criteria and each criterion is assessed based on a 7-point scale. The
summary of the assessment results is as follows:
Criteria
1. Expected Learning Outcomes
2. Programme Specification
3. Programme Structure and Content
4. Teaching and Learning Approach
5. Student Assessment
6. Academic Staff Quality
7. Support Staff Quality
8. Student Quality and Support
9. Facilities and Infrastructure
10. Quality Enhancement
11. Output
Overall Verdict

Score
4
5
4
5
5
5
4
5
4
4
5
4.5

Based on the assessment results, the Bachelor of XXX Programme fulfilled the AUN-QA requirements. Overall the quality
assurance implemented for the programme is between “Adequate as Expected” and “Better than Adequate”.

CriteriaStrengths

Areas for Improvement

Score(1 – 7)OverallScore
4

1. Expected
Learning
Outcomes

1.1 The expected
learning outcomes
have been clearly
formulated andaligned with thevision and missionof the university [1,2]The established learning outcomes arealigned to the requirements of the
National Accreditation Board as well as
reference to ABET and prominent
university in USA, UK, Australia andSingapore. The expected learning
outcomes are revised every 4 years
with the latest revision in 2014. These
are formulated with the considerationof the regional and national needs andglobal trend of scientific progress,
which are part of the university, faculty
and department mission statements.

The formulation of expected
learning outcomes should be basedon an educational taxonomy andthe basic rules in writing the
expected learning outcomes should
be observed.

4

1. Expected
Learning
Outcomes

1.2 The expected
learning outcomescover both subject
specific and generic(i.e. transferable)
learning outcomes[3]

The expected learning outcomes are
established and integrated for both
specific and generic skills andknowledge using matrix ofcompetencies as documented in the
new curriculum 2014.

There is a lack of core courses andelectives contributing to theprogramme generic expected
learning outcomes 6, 7, 8 and 9 as
documented in the curriculum map.

4

Criteria
1. Expected
Learning
Outcomes

1.3 The expected
learning outcomes
clearly reflect therequirements of the
stakeholders [4]2. ProgrammeSpecification

2.1 The informationin the programme
specification iscomprehensive andup-to-date [1, 2]

Strengths

Areas for Improvement

Score(1 – 7)

Stakeholder’s inputs (meeting withstakeholders on 28 August 2013) aregathered and reflected in the expected
learning outcome documented in the
new curriculum 2014.

The relationship between thestakeholders’ needs and theprogramme expected learning
outcomes should be mapped sothat the rationale and impact ofchange can be well established andcommunicated.

4

Overall
Score

Appendix F

AUN-QA ASSESSMENT FEEDBACK REPORT (PROGRAMME LEVEL)
AUN-QA Assessment No.:

Date of Assessment:

Name of University

Name of Faculty/School

Name Management Representative/Designation:

Email:Name of Programme Assessed:

Name of Assessors:

Feedback on SAR Preparation (interpretation of criteria, writing of SAR, gathering of evidences
and other problems faced in preparing the SAR)

Feedback on Assessment Process (Process: pre-assessment preparation, site assessment andfinal assessment results and presentation; Assessment: objectivity, independence, evidencebased, Programme: itinerary, activities and duration)

Feedback on Usefulness of Assessment Report (improvement, planning, benchmarking
purposes)

Other comments and suggestions to improve the AUN-QA Assessment

asean university network
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