ASEAN UNIVERSITY NETWORKQUALITY ASSURANCEGUIDE TO AUN-QA ASSESSMENT
AT PROGRAMME LEVEL
VERSION 4.0

Guideto
AUN-QA
Assessment
at
Programme Level
Version 4.0

The Guide to AUN-QA Assessment at Programme Level is published by the:ASEAN University Network
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 4.0
Date of Publication: August 2020

1|PageContent
SectionPage

Acknowledgement3

Foreword

4

Preface

5

1.
1.1
1.2

Introduction to AUN-QA Assessment Models
Quality Assurance in Higher Education
AUN-QA Assessment Models

6
6
6

2.
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8

AUN-QA Assessment at Programme Level
Expected Learning Outcomes
Programme Structure and Content
Teaching and Learning Approach
Student Assessment
Academic Staff
Student Support Services
Facilities and Infrastructure
Output and Outcomes

16
16
19
23
26
28
32
35
37

3.
3.1
3.2
3.3
3.4
3.5
3.6

Quality Assessment
Introduction to Quality Assessment
Functions and Principles of Quality Assessment
Preparation of Self-Assessment Report
Self-Assessment Report
Preparation of Quality Assessment
Quality Assessment Process

40
40
40
41
43
44
47

4.

References

61

5.

Appendices62

Appendix A – Self-rating for AUN-QA Assessment at Programme Level
Appendix B – Template for AUN-QA Assessment Planning at Programme Level
Appendix C – Sample of AUN-QA Assessment Planning at Programme Level
Appendix D – Template for AUN-QA Assessment Report at Programme Level
Appendix E – Sample of AUN-QA Assessment Report at Programme Level
Appendix F – Feedback Report for AUN-QA Assessment at Programme Level
ADDENDUM: Supplementary Notes for the Assessment of Postgraduate
Programmes with Dominant Research Component

2|PageAcknowledgement
This Guide to AUN-QA Assessment at Programme Level (Version 4.0) is preparedand edited by Associate Professor Dr Tan Kay Chuan, Chief Quality Officer from the
National University of Singapore to the AUN-QA, with input from members of the AUNQA Council and the Manual Version 4.0 Revision Committee as listed below.
•

•
•
•
•
•
•
•
•
•
•
•

Professor Dr Satria Bijaksana, Institut Teknologi Bandung, Indonesia
Professor Dr Shahrir Abdullah, Universiti Kebangsaan Malaysia, Malaysia
Professor Dr Suzeini Binti Abd Halim, University of Malaya, Malaysia
Professor Dr Arnel Onesimo O. Uy, De La Salle University, the Philippines
Associate Professor Dr Gerardo Largoza, De La Salle University, thePhilippines
Professor Dr Wyona Patalinghug, De La Salle University, the Philippines
Mr Johnson Ong Chee Bin, Education Quality International, Singapore
Associate Professor Chavalit Wongse-ek, Mahidol University, Thailand
Associate Professor Dr Kamolwan Lueprasert, King Mongkut’s University ofTechnology North Bangkok, Thailand
Associate Professor Dr Sompop Prathanturarug, Mahidol University, Thailand
Associate Professor Dr Ngo Van Thuyen, Ho Chi Minh City University ofTechnology and Education, Viet Nam
Dr Choltis Dhirathiti, AUN Executive Director

3|PageForeword
Over the past year, hundreds of programmes have been assessed, beginning with alarge-scale survey of multiple stakeholders including assessors, administrators, andfaculty members. The Revision Committee collated the responses and revised the
Guide to AUN-QA Assessment at Programme Level (version 4.0). The new Guide isa simplified version of its predecessor and includes eight criteria and 53 requirements(rather than the previous 11 criteria and 62 requirements). There is now a tighter focus
on matters under the control of the programme administrator and the factors
contributing to graduate outcomes. There is also a clearer separation between therequirements for an AUN-QA Institutional Assessment and those for an AUN-QA
Programme Assessment.
Successive versions of the Guide have reflected developments in higher education.
Specifically, in the new version, outcome-based education features prominently.
Instilling innovation concepts and the need to develop an entrepreneurial mindset instudents are new requirements. Overall, there is a greater emphasis on the need toobtain feedback and make improvements for embarking on the next cycle of planningand carrying out educational quality assurance activities.
The Guide also outlines procedures for conducting an assessment and the writing ofan assessment report. These have been streamlined and simplified and should beeasier to implement or use. The requirements for document submission have been
reduced.
On behalf of the entire ASEAN University Network including the Network of AUN-QA,
I wish to acknowledge and express my sincere gratitude to Associate Professor Dr
Tan Kay Chuan, an AUN-QA Technical Team Member and AUN-QA expert from the
National University of Singapore (NUS) for leading the revision of the Guide to AUNQA Assessment at Programme Level. Special thanks also go to the AUN-QA Council
and members of the Revision Committee for their contributions.

Choltis Dhirathiti, Ph.D.
Executive Director
ASEAN University Network

4|PagePreface
This book is the fourth version of the Guide to AUN-QA Assessment at Programme
Level. It documents the revised criteria and the processes of the AUN-QA assessment
at the programme level. The guidebook provides also associated resources including
templates and sample reports. It is divided into five chapters.
1. Introduction to AUN-QA Assessment Models. This section gives an overview
of the AUN-QA assessment models.
2. AUN-QA Assessment at Programme Level. This section describes the AUN-QA
model and its criteria for assessment at the programme level.
3. Quality Assessment. This section provides a step-by-step guide for conducting
an AUN-QA assessment at the programme level.
4. References. This section lists the references.
5. Appendices. This section contains additional resources including checklists,
templates, and sample reports.

5|Page1.

Introduction to AUN-QA Assessment Models

1.1

Quality Assurance in Higher Education

Quality assurance (QA) in higher education is not a simple one-dimensional notion
about academic quality. In view of the varied needs and expectations of a wide rangeof stakeholders, quality in higher education can be said to be multi-dimensional.
The World Declaration on Higher Education for the Twenty First Century: Vision andAction (October 1998), Article 11, Qualitative Evaluation considers quality in higher
education to be:“A multi-dimensional concept, which should embrace all its functions andactivities, teaching and academic programmes, research and scholarship,
staffing, students, buildings, facilities, equipment, services to thecommunity, and the academic environment. Internal self-evaluation andexternal review, conducted openly by independent specialists, if possible
with international expertise, are vital for enhancing quality.”
To develop, implement, sustain, and improve the level of quality in higher education,
an institution needs to install a rigorous quality assurance system. The Regional
Report of Asia and the Pacific (UNESCO, 2003) defines quality assurance in higher
education as “the systematic management and assessment procedures to monitor
performance of higher educational institutions.”
1.2

AUN-QA Assessment Models

The 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 the AUN-QA assessment models. Since then, the Network has beenpromoting, developing, and implementing quality assurance practices based on an
empirical approach where quality assurance practices are tested, evaluated,
improved, and shared. The evolution of the AUN-QA Network and its development inquality assurance is depicted in Figure 1.1.
The AUN-QA assessment models for higher education comprises of the strategic,
systemic, and functional dimensions (see Figure 1.2). These dimensions are
subjected to internal and external assessment.
Internal quality assurance ensures that an institution, system, or programme has
policies and mechanisms in place to ensure that its objectives and standards are met.
External quality assurance is performed by an organisation or individuals outside theinstitution. Assessors evaluate the operation of an institution, system, or programme
in order to determine whether it meets agreed upon, predetermined standards.

6|PageFigure 1.1. Evolution of the AUN-QA Network

Figure 1.2. AUN-QA Assessment Models for Higher Education

The AUN-QA assessment models are applicable to the diverse universities in ASEAN
countries, and are also aligned to both regional and international quality assurance
frameworks.

7|Page1.2.1 AUN-QA Assessment Model at the Institutional Level
The AUN-QA assessment model at the institutional level (version 2.0) comprises 25
criteria as illustrated in Figure 1.3.

Figure 1.3. The AUN-QA Assessment Model at the Institutional Level (Version 2.0)

Strategic quality assurance begins with knowing the needs of one’s stakeholders.
These are translated into the university’s vision, mission, goals, and aims or
objectives. This means that quality assurance and quality assessment always begins
with the mission and goals (column 1 of Figure 1.3) and end with the achievements or
results that satisfy stakeholder needs (column 4 of Figure 1.3).
Column 2 of Figure 1.3 defines the quality assurance systems and policies that need
to be put in place. These include:-

Having a good internal quality assurance system
Having internal and external quality assurance assessments
Having a strong internal quality assurance information management system
Having the ability to enhance one’s own quality assurance system.

The third column of Figure 1.3 lists the core activities of a university in:-

Education (curriculum design, teaching and learning, student services, etc)
Research (publication, intellectual property management, etc)
Service (community engagement).

8|PageFor continuous improvement, universities implement effective QA systems and alsobenchmark their practices to achieve educational excellence.
1.2.2 AUN-QA Model for an Internal Quality Assurance System
The AUN-QA model for an Internal Quality Assurance (IQA) system consists of thefollowing components (see Figure 1.4):-

Internal quality assurance framework
Monitoring instruments
Evaluation instruments
Special QA processes to safeguard specific activities
Specific QA instruments
Follow-up activities for making improvements.

Figure 1.4. AUN-QA Model for an Internal Quality Assurance System

An IQA system is the totality of the resources and information devoted to setting up,
maintaining, and improving the quality and standards of teaching, student learning
experiences, research, and service to the community. It is a system where the QA
mechanisms work to maintain and enhance the level of quality in higher education.
1.2.3 AUN-QA Assessment Model at the Programme Level
The AUN-QA assessment model at the programme level focuses on the quality ofeducational programmes based on the following dimensions:-

Quality of input
Quality of processes
Quality of output.

9|Page

The progression of the AUN-QA assessment model at the programme level fromversion 1.0 to version 3.0, is documented in Figures 1.5, 1.6, and 1.7, respectively.

Figure 1.5. AUN-QA Assessment Model at the Programme Level (Version 1.0)

Figure 1.6. AUN-QA Assessment Model at the Programme Level (Version 2.0)

10 | P a g e

Figure 1.7. AUN-QA Assessment Model at the Programme Level (Version 3.0)

11 | P a g e

1.2.4 AUN-QA Assessment Model at the Programme Level (Version 4.0)
Version 4.0 of the AUN-QA model for programme level assessment encompasses thefollowing eight criteria (see Figure 1.8):
1. Expected Learning Outcomes
2. Programme Structure and Content
3. Teaching and Learning Approach
4. Student Assessment
5. Academic Staff
6. Student Support Services
7. Facilities and Infrastructure
8. Output and Outcomes.

Figure 1.8. AUN-QA Assessment Model at the Programme Level (Version 4.0)

The model begins with understanding the needs of an academic programme’s internaland external stakeholders. These needs are formulated into the expected learning
outcomes which drive everything that the programme wishes to achieve (the left-mostcolumn of Figure 1.8).
There are three rows in the middle of the model (Figure 1.8). The first row addresses
the issues of programme structure and content (hierarchy of courses throughout thedegree programme), the teaching and learning approach used, and how students areassessed.
The second row considers the resources needed to run the programme. These are
academic staffing (promotion, performance management, research management,

12 | P a g eetc), student support services (support staff, library, clinic, social spaces, etc), andhardware (classrooms, IT facilities, recreational facilities, etc).
The third row concerns the output of the programme. These are the quality of thegraduates, employment information, research output, stakeholder satisfaction, etc.
The right-most column addresses the achievements of the expected learning
outcomes and the programme.
The model encompasses also the fulfillment of stakeholder needs and a focus oncontinuous improvement of the quality assurance system.
Furthermore,
benchmarking is employed to seek best-in-class practices, as supported by Gyll andRagland (2018).
Unlike the previous versions, version 4.0 embeds the quality enhancement
requirements into the criteria themselves. For example, the quality enhancement
requirement for criterion 1, the Expected Learning Outcomes, would be to see thatstudents are able to achieve them by the time of graduation. Similarly, the quality
enhancement requirements for criterion 2, Programme Structure and Content, would
be to ensure that the curriculum is reviewed periodically, remains up-to-date, and isrelevant to the needs of industry.
Quality enhancement requirements are a way of getting feedback to measure
improvement, or a cycle of planning, doing, checking the output against pre-definedrequirements, then acting or adjusting the requirements for the next iteration of
improvement. Thus, the PDCA concept is built into all eight criteria.
The eight criteria of the model are grouped as shown in Table 1.1.
Programme
1.0 Expected Learning
Outcomes
2.0 Programme Structure andContent
3.0 Teaching and Learning
Approach
4.0 Student Assessment

Resources
5.0 Academic Staff
6.0 Student Support
Services
7.0 Facilities andInfrastructure

Results
8.0 Output andOutcomes

Table 1.1. AUN-QA Assessment at Programme Level Version 4.0 Criteria Grouping

13 | P a g e

The changes from version 1.0 to version 4.0 are documented in Table 1.2 below.
Version 1.0
1. Goals andObjectives;
Expected Learning
Outcomes
2. ProgrammeSpecification
3. ProgrammeContent
4. Programme
Organisation
5. Didactic Concept
and Teaching/
Learning Strategy
6. Student
Assessment
7. Staff Quality

Version 2.0

Version 3.0

Version 4.0

1. Expected
Learning
Outcomes

1. Expected
Learning
Outcomes

1. Expected
Learning
Outcomes

2. ProgrammeSpecification
3. Programme
Structure andContent

2. ProgrammeSpecification
3. Programme
Structure andContent

2. Programme
Structure andContent

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

4. Teaching and
Learning
Approach
5. Student
Assessment
6. Academic Staff
Quality
7. Support Staff
Quality

9. Student Quality
8. Student Quality
10. Student Advice and 9. Student Advice
Supportand Support
11. Facilities and10. Facilities andInfrastructure
Infrastructure
12. Quality Assurance 11. Qualityof Teaching/
Assurance ofLearning Process
Teaching and
Learning
13. Student Evaluation
Process
14. Curriculum Design
15. Staff Development 12. Staff
Activities
Development
Activities

8. Student Quality
and Support

3. Teaching and
Learning
Approach
4. Student
Assessment
5. Academic
Staff
6. Student
SupportServices

8. Quality of Support
Staff

16. Feedback
Stakeholders

13. Stakeholders
Feedback

17. Output
18. Stakeholders
Satisfaction

14. Output
15. Stakeholders
Satisfaction

9. Facilities andInfrastructure
10. Quality
Enhancement

7. Facilities andInfrastructure<merged into theother criteria>

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

5. Academic Staff

11. Output<merged into theother criteria>
8. Output andOutcomes

Table 1.2. Changes to AUN-QA Assessment Criteria at Programme Level

14 | P a g e

The relationship among the eight criteria of version 4.0 is shown in Table 1.3 below.
AUN-QA
Criterion

1

2

3

4

5

6

1

1.1
1.2
1.3
1.4
1.5

2.1
2.2
2.3
2.4

3.2
3.3
3.4

4.1
4.4
4.5

5.3

6.3
6.4

8.4
8.5

2

1.1
1.2
1.3

2.1
2.2
2.3
2.4
2.5
2.6
2.7

3.2
3.3
3.4
3.6

4.1
4.2
4.3
4.4

5.3

6.3
6.4

8.4
8.5

3

1.1
1.2
1.3

2.1
2.2
2.4

4

5

3.1
3.2
3.3
3.6

1.1
1.2
1.3
1.4

2.1
2.2
2.3
2.4
2.5
2.6
2.7

3.1
3.2
3.3
3.4
3.5
3.6

4.1
4.2
4.3
4.4
4.5
4.6

8

2.1

7.7

8.5

5.1
5.2
5.3
5.4
5.5
5.6
5.7
5.8

6.3
6.4

7.1
7.2
7.3
7.4
7.5

8.3
8.4
8.5

5.3

6.1
6.2
6.3
6.4
6.5
6.6

4.1
4.2
4.3

3.2
3.3
3.4

1.4

1.4
1.5

6.3
6.4

5.3

2.1
2.2
2.4
2.5

3.1
3.2
3.3
3.4

8.5

5.3

1.1
1.2
1.3

2.1
2.5
2.6

3.2
3.3
3.4

6.2
6.5
6.6

4.2
4.3
4.6

5.2
5.3
5.7

6.3
6.4

7.1
7.2
7.3
7.4
7.5
7.6
7.7
7.8
7.9
7.1
7.2
7.3
7.4
7.5
7.6
7.7
7.8
7.9
7.1
7.2
7.3
7.4
7.5

Table 1.3. Relationship among the eight AUN-QA Criteria of Version 4.0

15 | P a g e

8

7.1
7.2
7.3
7.4
7.5
7.7

4.1

4.1
4.2
4.3
4.4
4.5
4.6
4.7

6

7

3.1
3.2
3.3
3.4
3.5
3.6

7

8.3
8.4
8.5

8.3

8.1
8.2
8.3
8.4
8.5

2.

AUN-QA Assessment at Programme Level

2.1

AUN-QA Criterion 1 – Expected Learning Outcomes

Requirements
1.1. The programme to show that the expected learning outcomes areappropriately formulated in accordance with an established learning
taxonomy, are aligned to the vision and mission of the university, and are
known to all stakeholders.
1.2. The programme to show that the expected learning outcomes for all courses
are appropriately formulated and are aligned to the expected learning
outcomes of the programme.
1.3. The programme to show that the expected learning outcomes consist of bothgeneric outcomes (related to written and oral communication, problemsolving, information technology, teambuilding skills, etc) and subject specificoutcomes (related to knowledge and skills of the study discipline).
1.4. The programme to show that the requirements of the stakeholders, especiallythe external stakeholders, are gathered, and that these are reflected in the
expected learning outcomes.
1.5. The programme to show that the expected learning outcomes are achievedby the students by the time they graduate.
Explanation
An outcome-based education (OBE) can be described as a way in which a curriculum
is defined, organised, and directed based on all the things that learners would learn
and demonstrate successfully when they complete a study programme. The focus of
OBE is on the results of learning, where the knowledge, skills, and attitudes thatlearners are expected to master, are clearly identified and expressed as expected
learning outcomes.
Expected learning outcomes, which are formulated from the needs of stakeholders,form the starting point in the design of an academic programme. They are concernedwith the achievement of the learner rather than the intention of the teacher, which areoften written as aims, goals, or objectives of the programme. Learning outcomesshould be written in a way where learning is translated into observable andmeasurable results which can be demonstrated and assessed.
Table 2.1 shows measurement of the extent to which programme learning outcomes(PLOs) have been achieved by students at the time of graduation. It is important thatthe data for the table are provided by the students. This gives a more reliable measureof PLO achievement. It makes less sense for the data to be provided by the
programme administrators or the academic staff since these stakeholders would havea vested interest in seeing good achievement of the learning outcomes. Alternatively,
the data can be provided by alumni and employers within 6-24 months after
graduation.

16 | P a g e

As shown in Table 2.1, the use of an “X” and a percentage is one means of denoting
the achievement. Other schemes can be used also. For example, use “I” to denotean Introductory achievement of a particular LO; “M” to denote Moderate achievement;
and “F” to denote Full achievement.

Achievement of LO
Programme Learning
Outcome

25%

PLO1

50%

75%

X

X
X

PLO2
PLO3

100%

X

X

X
X

PLO4
X

PLO5

X

X

…
…
Table 2.1. Extent of Achievement of Programme Learning Outcomes by the Timethat Students Graduate
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 expected learning outcomes reflect the vision and mission of theuniversity, the faculty, and the department?
Does the labour market set specific requirements for the graduates to meet?
To what extent is the content of the programme tuned to the needs of the labour
market?
Are there well-defined job profiles?
How are the expected learning outcomes made known to staff and students?
Are the expected learning outcomes measurable? If Yes, how are theymeasured?
To what extent have the expected learning outcomes been achieved?
Are the expected learning outcomes reviewed periodically?
How are the expected learning outcomes translated into concrete requirements(i.e., the knowledge, skills, and attitude requirements) of the graduates?

17 | P a g e

Sources of Evidence-

Programme and course specifications
Course brochure, prospectus, bulletin
Skills matrix
Stakeholder input
University and faculty websites
Curriculum review minutes and documents
Accreditation and benchmarking reports.

18 | P a g e

2.2

AUN-QA Criterion 2 – Programme Structure and Content

Requirements
2.1. The specifications of the programme and all its courses are shown to becomprehensive, up-to-date, and made available and communicated to all
stakeholders.
2.2. The design of the curriculum is shown to be constructively aligned withachieving the expected learning outcomes.
2.3. The design of the curriculum is shown to include feedback from stakeholders,
especially external stakeholders.
2.4. The contribution made by each course in achieving the expected learning
outcomes is shown to be clear.
2.5. The curriculum to show that all its courses are logically structured, properly
sequenced (progression from basic to intermediate to specialised courses), andare integrated.
2.6. The curriculum to have option(s) for students to pursue major and/or minor
specialisations.
2.7. The programme to show that its curriculum is reviewed periodically following
an established procedure and that it remains up-to-date and relevant toindustry.
Explanation
The specifications of an academic programme, which include the courses
specifications, describe the expected learning outcomes in terms of knowledge, skills,
and attitudes. They help students to understand the teaching and learning methods
that enable the outcomes to be achieved. Also explained are the assessment
methods.
The programme specifications is a set of documents that describes the study
programme. It usually includes the following items:-

A summary of the programme aims and intended learning outcomesAn outline of the course structure
A matrix that shows how the programme learning outcomes are achieved
through the courses
A set of course specifications.

The programme specifications serve the following purposes:-

As a source of information for potential and current students seeking tounderstand the programme or in deciding whether to enroll in it.
As a source of information for employers, particularly on the knowledge andtransferable skills developed by the programme.
As a source of information for professional and statutory bodies that accredit
higher education programmes, which can lead to a profession or regulated

19 | P a g e--occupation. Programme specifications should identify those aspects of aprogramme that are designed to meet the requirements of relevant bodies.
As a source of information for institutional and teaching teams to promote
discussion and reflection on new and existing programmes, and to ensure that
there is common understanding of the expected learning outcomes. The
programme specifications should enable the programme to satisfy themselvesthat the expected learning outcomes can be achieved and demonstrated. The
programme specifications can serve as a reference point for internal review andmonitoring of its performance.
As a source of information for academic reviewers and external examiners whoneed to understand the aims and intended outcomes of the programme.
As a basis for gaining feedback from students or recent graduates on the extent
to which the expected learning outcomes of the programme have beenachieved.

The information in the programme specifications include the below:-

Awarding body/institution
Teaching institution (if different)
Details of accreditation by professional or statutory bodies
Name of the final award
Programme title
Expected learning outcomes of the programme
Admission criteria or requirements
Relevant benchmark reports, external and internal reference points, that may
be used to provide information on programme learning outcomes
Programme structure and requirements including levels, courses, credits, etc
The date of writing the programme specifications.

The information to be included in the courses specifications include the below:-

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

The curriculum should be designed so that the teaching and learning methods andstudent assessment, support the achievement of the expected learning outcomes(Lam and Tsui, 2013). Important is the concept of constructive alignment (Biggs,
2003). Constructive refers to the concept that students construct meaning throughrelevant learning activities. Alignment refers to the situation when teaching andlearning activities and student assessment are aligned to achieve the expected
learning outcomes.
Constructive alignment in any course of study involves:

20 | P a g e-Defining expected learning outcomes that are measurable
Selecting teaching and learning methods that are likely to ensure that the
expected learning outcomes are achieved
Assessing how well the students have achieved the expected learning
outcomes as intended.

Diagnostic Questions (Programme Information)− Are the expected learning outcomes translated into the programme and its
courses?
− What information is documented in the programme and course specifications?
− Are the courses specifications standardised throughout the entire
programme?
− Are the programme specifications published and made available tostakeholders?
− Are the programme and courses specifications published online?
− What is the process for reviewing the programme and courses specifications?
− Does the content 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 from the basic to the specialised courses?
− Is there is a proper balance between the specific and the general courses?
− Is the content of the programme up-to-date?
− What is the explanation for the programme structure?
− Has the programme changed structurally over the last five to ten years? If so,why?
− Does the programme promote diversity, student mobility, and/or cross-bordereducation?
− Is there a logical relationship among the basic courses, intermediate courses,
and specialised courses?
− What is the duration of the programme?
− What is the duration and sequence of each course? Is it sequencing logical?
− What benchmarks are used in designing the programme and its courses?
− How are the teaching and learning methods and student assessment selected
to align with the expected learning outcomes?
Diagnostic Questions (Curriculum Design and Evaluation)− Who is responsible for designing the curriculum?
− How are the academic staff and students involved in the curriculum design?
− What are the roles of the stakeholders in the design and review of thecurriculum?
− How does curriculum innovation come about? Who takes the initiative? On thebasis of what signals?
− Who is responsible for implementing the curriculum?
− When designing the curriculum, is benchmarking with other institutions done?
− In which international networks does the programme participate?
− With which institutions abroad do student exchanges take place?
− Is the programme recognised abroad?

21 | P a g e

−
−
−
−
−
−
−
−
−
−

Is a structured quality assurance procedure in place?
Who are involved in the internal and external quality assurance activities?
Is there a curriculum committee? What is its role?
Is there an examination committee? What is its role?
How is the programme and its courses evaluated?
Is the evaluation done systematically?
How is research used to improve teaching and learning?
How are students involved in evaluating the curriculum and its courses?
How and to whom are the evaluation results made known?
What actions are taken to improve the curriculum and its design process?

Sources of Evidence-

Programme and courses specifications
Course brochure, prospectus, bulletin
Skills matrix
Stakeholder input and feedback
University and faculty websites
Curriculum review minutes and documents
Accreditation and benchmarking reports
Curriculum map
Curriculum review minutes and documents

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2.3.

AUN-QA Criterion 3 – Teaching and Learning Approach

Requirements
3.1. The educational philosophy is shown to be articulated and communicated toall stakeholders. It is also shown to be reflected in the teaching and learning
activities.
3.2. The teaching and learning activities are shown to allow students to participate
responsibly in the learning process.
3.3. The teaching and learning activities are shown to involve active learning by
the students.
3.4. The teaching and learning activities are shown to promote learning, learning
how to learn, and instilling in students a commitment for life-long learning (e.g.,commitment to critical inquiry, information-processing skills, and a willingness
to experiment with new ideas and practices).
3.5. The teaching and learning activities are shown to inculcate in students, newideas, creative thought, innovation, and an entrepreneurial mindset.
3.6. The teaching and learning processes are shown to be continuously improved
to ensure their relevance to the needs of industry and are aligned to the
expected learning outcomes.
Explanation
The approach to teaching and learning is often dictated by the educational
philosophy of the university. Educational philosophy can be defined as a set of
related beliefs that influence what and how students are taught. It defines the
purpose of education, the role of teachers and students, what should be taught, andusing what methods.
Quality learning is understood as involving the active construction of meaning by
students, and not just something that is imparted by the teacher. It is a deep
approach to learning that seeks to make meaning and to achieve understanding.
Quality learning is also dependent on the approach that learners take when learning.
This in turn is dependent on the concepts that learners hold of learning, what theyknow about their own learning, and the learning strategies that they use.
Quality learning embraces the principles of learning. Students learn best in arelaxed, supportive, and cooperative learning environment. In promoting
responsibility in learning, teachers should:-

Create a teaching-learning environment that enables individuals to participate
responsibly in the learning process.
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.

The teaching and learning approach should promote learning, learning how to learn,
and instill in students a commitment to lifelong learning (e.g., commitment to critical
23 | P a g e

inquiry, information processing skills, a willingness to experiment with new ideas andpractices, etc).
In line with the overarching purpose of higher education in fostering holistic education,
quality learning results when students acquire the following skills:− The ability to discover knowledge for oneself. Learners have research skills
and the ability to analyse and synthesize the material that they gather. Learners
understand various learning strategies and can choose the most appropriate
strategy for the task at hand.
− The ability to retain knowledge long term. An approach to learning thatemphasizes the construction of meaning rather than memorising facts forretention.
− The ability to perceive relations between old and new knowledge. 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. They connect that knowledge and their own
experiences in order to develop new insights.
− The ability to apply one’s knowledge to solve problems. Quality learning isalways about figuring out how to apply knowledge gained to solve real-world
problems.
− The ability to communicate one’s knowledge to others. Quality learners formand substantiate independent thought and action in a coherent and articulate
manner.
− An eagerness to know more. Quality learners are life-long learners.
The 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 to
new knowledge.
− Quality learning occurs when learners are active participants in the learning
process.
− Quality learning occurs when the learning environment offers good support.
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.
Diagnostic Questions (Teaching)− Is there an explicit educational philosophy shared by all the teaching staff?
− Is diversity of the learning environment promoted, including student
exchanges?
− Is the teaching provided by other departments (e.g., for general courses)
satisfactory?
− Are the teaching and learning methods used aligned with the expected learning
outcomes?

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− How is technology used in the teaching and learning activities?
− How is the teaching and learning approach evaluated? Do the chosen methods
fit into the learning outcomes of the courses? Is there sufficient variety in themethods?
− Are there any circumstances that prevent the desired teaching and learning
methods from being used (number of students, infrastructure, teaching skills,etc.)?
− Do the teaching and learning activities enhance life-long learning and help
develop an entrepreneurial mindset?
Diagnostic Questions (Research)− When do students come into contact with research for the first time?
− How are research methodologies introduced to students?
− How is the relationship between education and research expressed in the
programme?
− How are research findings applied in the programme?
− How do students/ staff collaborate with industry for research?
Diagnostic Questions (Practical Training)
−
−
−
−
−
−
−
−

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 are the causes?
How are students coached to do well in their practical training?
How is the assessment for practical training 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 courses specifications
Internship reports
Community involvement
Memorandum of Understanding (MOU).

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2.4

AUN-QA Criterion 4 – Student Assessment

Requirements
4.1. A variety of assessment methods are shown to be used and are shown to beconstructively aligned to achieving the expected learning outcomes and theteaching and learning objectives.
4.2. The assessment and assessment-appeal policies are shown to be explicit,
communicated to students, and applied consistently.
4.3. The assessment standards and procedures for student progression anddegree completion, are shown to be explicit, communicated to students, andapplied consistently.
4.4. The assessments methods are shown to include rubrics, marking schemes,
timelines, and regulations, and these are shown to ensure validity, reliability,and fairness in assessment.
4.5. The assessment methods are shown to measure the achievement of the
expected learning outcomes of the programme and its courses.
4.6. Feedback of student assessment is shown to be provided in a timely manner.
4.7. The student assessment and its processes are shown to be continuously
reviewed and improved to ensure their relevance to the needs of industry andalignment to the expected learning outcomes.
Explanation
Student assessment is one of the most important element in higher education. The
outcome has a profound effect on student career. It is, therefore, important thatassessment be carried out professionally at all times and take into account theextensive knowledge that exists on testing and examination processes.
Assessment also provides valuable information for universities about the efficiencyof 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 just one 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 theuniversity’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
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will be expected of them, and the criteria that will be applied to assess theirperformance.
Diagnostic Questions− Is entry assessment carried out on new and transfer students?
− Is exit assessment carried out on departing (graduating) students?
− To what extent do the assessments and examinations cover the content of thecourses and the programme (content validity)?
− To what extent do the assessments and examinations cover the objectives of
the courses and of the programme as a whole (construct validity)?
− Is the assessment criterion-referenced?
− Are a variety of assessment methods used? What are they?
− Are the pass/fail criteria clear?
− Are the assessment/examination regulations clear?
− Are there safeguards in place to ensure objectivity?
− Are the students satisfied with the assessment procedures? What aboutcomplaints from students?
− Do clear rules exist for re-assessment and are students satisfied with these?
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. The following considerations
are important:− 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 the final projects? If so, why?
− How are students coached to do well in their final projects?
Sources of Evidence-

Sample of in-course assessment, project work, thesis, final examination, etc
Assessment/Marking rubrics
Moderation process
Appeal procedure
Programme and courses specifications
Examination regulations.

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2.5

AUN-QA Criterion 5 – Academic Staff

Requirements
5.1. The programme to show that academic staff planning (including succession,
promotion, re-deployment, termination, and retirement plans) is carried out toensure that the quality and quantity of the academic staff fulfil the needs foreducation, research, and service.
5.2. The programme to show that staff workload is measured and monitored to
improve the quality of education, research, and service.
5.3. The programme to show that the competences of the academic staff aredetermined, evaluated, and communicated.
5.4. The programme to show that the duties allocated to the academic staff areappropriate to qualifications, experience, and aptitude.
5.5. The programme to show that promotion of the academic staff is based on a
merit system which accounts for teaching, research, and service.
5.6. The programme to show that the rights and privileges, benefits, roles andrelationships, and accountability of the academic staff, taking into accountprofessional ethics and their academic freedom, are well defined andunderstood.
5.7. The programme to show that the training and developmental needs of theacademic staff are systematically identified, and that appropriate training anddevelopment activities are implemented to fulfil the identified needs.
5.8. The programme to show that performance management including reward andrecognition is implemented to assess academic staff teaching and research
quality.
Explanation
A competent academic staff is able to:-

Design and deliver a coherent teaching and learning curriculum.
Apply a range of teaching and learning methods and select the mostappropriate 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 coursesthat they deliver.
Reflect upon their own teaching practices.
Conduct research and provide services to benefit stakeholders.

The academic staff is the single most important learning resource available to most
students. It is crucial that those who teach have full knowledge and understandingof the subject that they are teaching, have the necessary skills and experience tocommunicate their knowledge and understanding effectively to students in a rangeof teaching contexts, and can access feedback on their own performance.
The quality of a university depends not only on the quality of its programmes but also
on the quality of its academic staff. The quality of the academic staff encompass
28 | P a g e

qualification, subject matter expertise, experience, teaching skills, and professional
ethics. Academic staffing covers full-time and part-time professors, lecturers, andvisiting teaching staff. Besides the quality of the academic staff, the university has toalso determine the quantity of the academic staff required to meet the demands andneeds of the students. Oftentimes full-time equivalent (FTE) and staff-to-student ratio
are used to determine the needed number of academic staff.
Full-Time Equivalent
In calculating the FTE of an academic staff, universities 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 of calculating FTE and universities should state the method,parameters, and assumptions used. One of the methods is based on the investmentof time. For example, if 1.0 FTE is equal to 40 hours per week (full-time
employment), then the FTE of an academic staff member with a teaching load of 8hours per week would be 0.2 (i.e., 8/40). The investment of time method can also be
used for calculating FTE for students. For example, if 1.0 FTE student has to attend
20 hours of lesson a week, then the FTE of a part-time student with 10 hours oflesson a week would be 0.5 (i.e., 10/20).
Another method to calculate FTE is based on teaching load. For example, if the official
full-time teaching load of an academic staff is 4 courses per semester, then eachcourse accounts for 0.25 FTE. If an academic staff member is assigned 2 courses persemester, then the FTE will be 0.5 (i.e., 2 x 0.25 FTE).
Similarly, student study load can be used to calculate the FTE of students. For
example, if 1.0 FTE student has to take 24 credits load per semester, then the FTE ofa student with 18 credits load per semester would be 0.75 (i.e., 18/24). Table 2.2.
below is used to specify the number of academic staff and their FTEs in the last 5
academic years for a programme.
Category
Professors
Associate/
Assistant
Professors
Full-time
Lecturers
Part-time
Lecturers
Visiting
Professors/
Lecturers
Total

M

F

Total
Headcount

FTE

Percentage of
PhD

Table 2.2. Number of Academic Staff (specify reference date and method of
calculation used for FTE of academic staff)
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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 that the university meet or encounter with regards tohuman resource, such as age distribution, difficulties in filling vacancies or in
attracting qualified academic staff? How does the university 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 thejunior or new academic staff?
− Is a policy in place with regard to involvement in seminars, supervision of final
papers, practical training, or internship?
− Are academic staff members satisfied with the teaching load?
− Is the staff-to-student ratio satisfactory?
− What is the accountability of the 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?
Diagnostic Questions (Staff Management)
−
−
−
−
−
−
−
−
−
−

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

Diagnostic Questions (Training and Development)− Who is responsible for the academic staff training and development activities?
− What are the training and development processes and plans? How are thetraining needs identified?
− Do the training and development plans reflect the university and faculty mission
and objectives?
− Is there a system to develop strategic and technical competencies of theacademic staff?
− What are the training hours and number of training places for the academic staff
per year?

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− What percentage of payroll or budget is allocated for training the 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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2.6

AUN-QA Criterion 6 – Student Support Services

Requirements
6.1. The student intake policy, admission criteria, and admission procedures to theprogramme are shown to be clearly defined, communicated, published, andup-to-date.
6.2. Both short-term and long-term planning of academic and non-academic
support services are shown to be carried out to ensure sufficiency and qualityof support services for teaching, research, and community service.
6.3. An adequate system is shown to exist for student progress, academic
performance, and workload monitoring.
Student progress, academic
performance, and workload are shown to be systematically recorded andmonitored. Feedback to students and corrective actions are made where
necessary.
6.4. Co-curricular activities, student competition, and other student support
services are shown to be available to improve learning experience andemployability.
6.5. The competences of the support staff rendering student services are shown tobe identified for recruitment and deployment. These competences are shown
to be evaluated to ensure their continued relevance to stakeholders needs.
Roles and relationships are shown to be well-defined to ensure smoothdelivery of the services.
6.6. Student support services are shown to be subjected to evaluation,
benchmarking, and enhancement.
Explanation
The quality of an academic programme depends very much on the interaction between
staff and students. However, academic staff cannot perform their roles well without
good quality services provided by the support staff. These are the persons who
manage the libraries, laboratories, computer facilities, and other student services.
Table 2.3. below is used to specify the number of support staff available in the last 5
academic years.
Support Staff

Highest Educational AttainmentHigh
SchoolBachelor

MasterDoctoralStudent Services
Personnel(enumerate theservices)
Total
Table 2.3. Number of Support Staff (specify reference date)32 | P a g e

Total

Quality of output depends very much quality of input. This means that the quality ofthe entering students is important.
Student intake:-

Give a summary of the intake of first year students using Table 2.4.
Give a summary of the total number of students enrolled in the programme using
Table 2.5.
Academic Year

Applicants
No. Applied

No. Offered

No. Admitted/Enrolled

Table 2.4. Intake of First-year Students (last five academic years)

Academic Year

1
Year
st

2
Year
nd

3
Year
rd

Students
4th
Year

>4th
Year

Total

Table 2.5. Total Number of Students (last five academic years)
Diagnostic Questions (Student Quality)− How is student intake 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 does these measures have?
− How does the programme take into account the level of achievement of entering
students?
Diagnostic Questions (Student Study Load and Performance)− Does the department have a credit-point system? How are the credit points
calculated?
− Is the study load divided equally across and within each academic year?
− Can an average student complete the programme in the planned duration?
− What are the indicators used to monitor student progress and performance?
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Diagnostic Questions (Student Support)− Does the department have a monitoring system for recording study progress
and following graduates (for example, tracer study)?
− How is the data of the monitoring system used?
− What role do the academic staff play in informing and coaching students andintegrating them into the programme?
− How are students informed about their study plan?
− Is special attention paid to coaching first year students and underperforming
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 year 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 study?
− How is information provided to students on career prospects?
− Are the reasons examined regarding students who take longer than expected
to complete the programme?
− Are students satisfied with the support services provided?
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?
How is manpower planning of the support staff carried out?
Are recruitment and promotion criteria for the support staff established?
Is there a performance management system?
What are the career development plans for the support staff?

Sources of Evidence-Student selection process and criteria
Trend of student intake
Credit systemStudent workload
Student performance report
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.

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2.7

AUN-QA Criterion 7 – Facilities and Infrastructure

Requirements
7.1. The physical resources to deliver the curriculum, including equipment,material, and information technology, are shown to be sufficient.
7.2. The laboratories and equipment are shown to be up-to-date, readily available,
and effectively deployed.
7.3. A digital library is shown to be set-up, in keeping with progress in informationand communication technology.
7.4. The information technology systems are shown to be set up to meet the needsof staff and students.
7.5. The university is shown to provide a highly accessible computer and network
infrastructure that enables the campus community to fully exploit information
technology for teaching, research, service, and administration.
7.6. The environmental, health, and safety standards and access for people withspecial needs are shown to be defined and implemented.
7.7. The university is shown to provide a physical, social, and psychologicalenvironment that is conducive for education, research, and personal wellbeing.
7.8. The competences of the support staff rendering services related to facilities
are shown to be identified and evaluated to ensure that their skills remain
relevant to stakeholder needs.
7.9. The quality of the facilities (library, laboratory, IT, and student services) are
shown to be subjected to evaluation and enhancement.
Explanation
The provision of facilities and infrastructure should be in line with the objectives of the
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
arrangements should be made available. Learning resources such as computers, elearning portals, library resources, etc, should be adequately provided to meet theneeds of students and staff.
Diagnostic Questions− Are there sufficient lecture-halls, seminar rooms, laboratories, reading rooms,
and computer rooms? Do these facilities meet the needs of students and staff?
− 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?
− Do the laboratories meet the relevant requirements?
− Are sufficient teaching aids and tools available to staff and students?
− 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?
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− Is the total budget for teaching aids and tools sufficient?
− How are the facilities and infrastructure maintained?
Sources of Evidence-

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

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2.8

AUN-QA Criterion 8 – Output and Outcomes

Requirements
8.1. The pass rate, dropout rate, and average time to graduate are shown to beestablished, monitored, and benchmarked for improvement.
8.2. Employability as well as self-employment, entrepreneurship, andadvancement to further studies, are shown to be established, monitored, andbenchmarked for improvement.
8.3. Research and creative work output and activities carried out by the academic
staff and students, are shown to be established, monitored, and benchmarked
for improvement.
8.4. Data are provided to show directly the achievement of the programmeoutcomes, which are established and monitored.
8.5. Satisfaction level of the various stakeholders are shown to be established,monitored, and benchmarked for improvement.
Explanation
In assessing the quality assurance of an academic programme, output and outcomesmeasures are important. These include measuring the extent to which the expected
learning outcomes have been achieved, pass rate, dropout rate, average time tograduate, and employment rate. Research is another important output from theprocess. The types of research activities carried by staff and students should meetthe requirements of the stakeholders.
In addition to analysing input, process, and output, universities have to analyse also
the level of satisfaction of its stakeholders. There should be a system to collect andmeasure stakeholder satisfaction. The information collected should be analysed andbenchmarked for improvement.
Pass Rate and Dropout Rate
Table 2.6. shows information on pass rate and dropout rate of the last five cohorts tobe provided.
AcademicYear

CohortSize% Completed First
Degree in34>4Years Years Years% Dropout During
1st
Year

2nd
Year

3rd
Year

Table 2.6. Pass Rates and Dropout Rate (last five cohorts)

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4th Years &BeyondResearch Activities
Research is an important output from the academic staff. The types of research output(e.g., publications, consulting work, projects, grants, etc) carried out by the academic
staff should meet the requirements of the stakeholders. Programmes are to provide
data on the types and number of research publications in the last five academic years
as shown in Table 2.7. below.
In-house/
Academic
InstitutionalYear

Types of Publication
National Regional International

Total

No. ofPublicationsper
Academic
Staff

Table 2.7. Types and Number of Research Publication
Diagnostic Questions (Pass Rate, Dropout Rate)− Does the programme have an efficient system to monitor the pass rates anddropout rates of students?
− What does the programme think of the pass rates? If not satisfactory, what
measures are taken to improve the pass rates?
− What is the dropout rate? Are there explanations for the dropout rate?
− Does the department know where the dropout students go to?
Diagnostic Questions (Average Time to Graduate)− 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 effects do these measures have?
Diagnostic Questions (Quality of Graduates)− Is the quality of the graduates satisfactory?
− Do the achieved standards match the expected standards?
− Do the graduates get jobs easily? What are the career prospects of thegraduates over the last five years?
Diagnostic Questions (Employability of Graduates)− What percentage of graduates find a job within six months of graduation overthe past five years? What percentage of graduates found a job within one yearof graduation?
38 | P a g e

− What percentage of graduates are still unemployed one year after graduation?
Diagnostic Questions (Research)− What types of research activities are carried out by the students? Are these
activities aligned to the expected learning outcomes and the vision and missionof the university and faculty?
− 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/or international journals?
Diagnostic Questions (Stakeholder Satisfaction)− What mechanisms are available for 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 of staff?
− What initiatives are carried out to raise the satisfaction level of staff? Are theyeffective?
− 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?
− What is the opinion and feedback of the graduates about the competencies thatthey have acquired?
− How is feedback from the alumni used to improve the programme?
− 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 stakeholder satisfaction
Stakeholder satisfaction trend
Graduates, alumni, and employer surveys
Press reports
Employment surveys
Employment statistics
Employer 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 the 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, structures, resources, and effectiveness of the institution,system, or programme. It aims to determine if an institution, system, or programme
meets generally accepted quality standards.
3.2

Functions 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 theexternal experts with the basic information about the institution, programme, andquality 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.
However, the gains from a good self-assessment are valuable. It gives informationand facts about the quality assurance system and provides a platform for stakeholders
to discuss issues on the quality of education.
The fundamental principles described 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
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
Evidence – the rational basis for reaching reliable and reproducible assessment
conclusions in a systematic assessment process. Evidences are based on records
and statements of fact or information which are relevant to the assessment criteria
and are verifiable.

Adherence to these fundamental principles is a prerequisite for providing a reliable
and relevant assessment process and outcome. The following considerations should
be made before carrying out a self-assessment:

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•

•

•

•

•

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 made responsible
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

Figure 3.1 illustrates the approach for preparing a self-assessment which
encompasses the Plan-Do-Check-Act (PDCA) cycle of improvement.

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 the facultyor university. As part of the change management process, early engagement with thestakeholders is crucial to get their buy-in and commitment before the start of the
project. A clear timetable should be set up to develop the SAR (see Figure 3.2). Eachmember in the group should be made responsible for collecting and analysing dataand information, and writing the SAR. Each member must have a good understandingof 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 shouldbe 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 theexisting quality assurance practices should be made.
The “Act” phase involves implementing the recommendations raised in the “Check”
phase. The SAR is finalised before communicating it to relevant stakeholders andgetting ready for the external assessment.

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3.4

Self-Assessment Report

A typical self-assessment project would take about nine 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 members involved havea 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 productof the self-assessment exercise and it should be written in an objective, factual, andcomplete manner and follow the AUN-QA self-rating form (See Appendix A).
The self-assessment must be finalised with a SAR. Writing an effective SAR requires
skill 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. 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 topiece 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 achievement and performance. The quantitative data require 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.

The SAR is the final document that will play a role in formulating a quality plan foryears to come. It might also provide input for accreditation or for inter-collegial
assessment.

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The contents of a SAR 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-ratings 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.
Before requesting for the quality assessment, it is important that management or the
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 the assessment
project. Sufficient time should be given for criteria owners to prepare the quality
assessment.
The purpose of the assessment is not about the assessment ratings but rather on thecontinuous 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

44 | P a g e

overview of the university history, policies, vision, mission, and programme. The 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 two 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 be present
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 conflict 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 have members stillworking 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 theteam 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 have theexperience with management of higher education institutions and the developmentof quality assurance in higher education.
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.

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In selecting the assessors, consideration should be given to their competence andpersonal attributes in addition to education and work experience. Knowledge andskills specific to quality management system are those related to:•••

Quality and quality assurance in general
AUN-QA guidelines and criteria
Other 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 possess 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
Observers who wish to learn about the conduct of the assessment
Site tour – arrangement for the assessors to visit places such as library, lab, lecturehalls, 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
46 | P a g e•
3.6

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
assessment and IQA assessment.

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.

At the start of the planning, the institution has to decide which quality assessment thatthey want to conduct as each serves a different purpose and requires a different levelof expertise. The three types of quality assessment in AUN-QA are institutional, IQA
system, and programme level.

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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 the assessment.
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 and 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 the SAR is
submitted at least 1.5 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 Table 3.1.
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
Table 3.1. 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 a document
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 AUNQA 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 be given
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 3.4).

Figure 3.4. 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 revolve around
implementation and who are involved. At the “Check” stage, questions on monitoringand measuring performance and processes can be formulated. Lastly, at the “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.

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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.
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 is
to:
•
•
•
•
•

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 a second).
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 that are
not clear.
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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.
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 that thestudents are a fair representation of the population. The selection of students should
follow the requirements stated in the “Guidelines for AUN-QA Assessment andAssessors”. 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 the interview with the curriculum
committee, the question of how the curriculum is kept up to date will be discussed aswill the question of how innovations are planned and realised. The interview with theexamination committee must clearly show how the quality of the examinations anddegree 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

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− 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.
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 thelist.
Thank the interviewees for their time

Four basic techniques in active listening are:54 | P a g e

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 a conversation.
However, not every gap in a conversation needs to be filled. Distinguishbetween positive and negative silences where the interviewee is thinking.
During a negative silence where the interviewee is not able to respond, 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 andscope. Checklist can be used to aid the collection of evidence. Evidence should becollected 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 practical rooms,
libraries and computer labs. Special attention should be paid to the environment in thefacilities, condition of the equipment and tools, cleanliness and maintenance of the
facilities. Site tour also provides the assessors an opportunity to clarify 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.
The purpose of the meeting is to:•

Present the preliminary results of the assessment
55 | P a g e•••Ensure that the results of the assessment are clearly understood
Provide 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 3.5.

Figure 3.5. Steps in Preparing Assessment Report
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

56 | P a g e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 team has
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 seven-point rating scale is used for AUN-QA assessment. It provides universities
and assessors an instrument for scaling their verdicts and to see how far they haveprogressed in their AUN-QA journey. The seven-point rating scale is described below.
RatingDescription

1

Absolutely Inadequate
The QA practice to fulfil the criterion is not implemented. There are noplans, 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 isinadequate where improvement is necessary. There is little document orevidence 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 areavailable but no clear evidence to support that they have been fully
used. Performance of the QA practice shows inconsistent or someresults.

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 practiceshows 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 bestpractices in the field. Evidences support that it has been effectively
implemented. Performance of QA practice shows very good results andpositive 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 of world-class practices in the field. Evidences support that it
has been innovatively implemented. Performance of the QA practiceshows excellent results and outstanding improvement trends.

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In assigning a rating to each criterion, only whole numbers are used (e.g., 3.0, 4.0,
5.0, 6.0). The overall verdict for a study programme assessment will be based on aholistic assessment rather than the arithmetic average. The descriptive term of theseven-point scale for the overall verdict will be stated. The arithmetic average is not
used. The scoring for each criterion is provided at the summary page of the report.
Before making the presentation to the university management, the assessment teamshould clarify any doubts and agree on the areas for improvement with the key staff ofthe faculty or department. The report should not be judgmental such as using theword “frequently”. Instead state the comment factually and indicate the importance of
having the practice or process. The final report should be prepared using the AUNQA 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 made.

Good feedback is fundamental to an effective assessment. It would help the university
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. Typicalclosing meeting statements include:“Good morning ladies and gentlemen. On behalf of the assessment team, I would liketo thank you and your staff for the hospitality and assistance which you have given us
throughout the assessment. We have enjoyed the friendly atmosphere during theassessment.

58 | P a g e

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 carriedout on the basis of a prepared plan which involved examining a representative sampleof the activities relevant to the AUN-QA framework. With your kind 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.”

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 (see Appendix
D). A sample of the report is documented in Appendix E. A typical summary in thereport is reproduced below.
This report is based on information provided in the self-assessment report (SAR),
evidences, site tours, 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 eight criteria. Each criterion isassessed based on a seven-point scale. The summary of the assessment results is
as follows:
Criterion
1. Expected Learning Outcomes
2. Programme Structure and Content
3. Teaching and Learning Approach
4. Student Assessment
5. Academic Staff
6. Student Support Services
7. Facilities and Infrastructure
8. Output and Outcomes
Overall Verdict

Score
4
5
4
5
5
5
4
5
Adequate as Expected

Based on the assessment results, the Bachelor of XXX Programme fulfills the AUNQA requirements. Overall the quality assurance implemented for the programme is
Adequate as Expected.
The overall verdict for study programme assessment will be based on a holistic
assessment rather than an arithmetic average. The descriptive term of the sevenpoint scale for the overall verdict will be stated. The arithmetic average is not used.
Thus, the overall verdict would be one of the below:•

Absolutely Inadequate, or
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•
•
•
•
•
•

Inadequate and Improvement is Necessary, or
Inadequate but Minor Improvement Will Make It Adequate, or
Adequate as Expected, orBetter Than Adequate, orExample of Best Practices, orExcellent (Example of World-class or Leading Practices).

The scoring for each sub-criterion will no longer be reported in the final reportsubmission (Appendix D). The scoring for each criterion will be provided at thesummary page of the report.
After the assessment team has completed its report, it sends the report to the AUN
Secretariat. This is forwarded to the university programme assessed. The university
programme in turn provides its feedback to the AUN of the performance of theassessors. This is done using Appendix F. The purpose of Appendix F is to help the
AUN Secretariat to improve the assessment process.

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4.

References

Article 11. Qualitative Evaluation. (UNESCO, 1998). World Declaration on Higher
Education for the Twenty-first Century: Vision and Action. Published in the World
Conference on Higher Education, Paris, 1998. UNESCO. Director-General, 19871999 (Mayor F.).
Biggs, J. (2003). Aligning Teaching and Assessment to Curriculum Objectives.
Imaginative Curriculum Project, LTSN Generic Centre.
Regional Report of Asia and the Pacific (UNESCO, 2003). Higher Education in Asiaand the Pacific, 1998-2003. Published in the Meeting of Higher Education Partners,
Paris, 2003. UNESCO Office Bangkok and Regional Bureau for Education in Asiaand the Pacific.
Lam, B. and Tsui, K. (2013). Examining the Alignment of Subject Learning
Outcomes and Course Curricula through Curriculum Mapping. Australian Journal of
Teacher Education, 38(12).
Gyll, S. and Ragland, S. (2018). Improving the Validity of Objective Assessment in
Higher Education: Steps for Building a Best-in-class Competency-based Assessment
Program. The Journal of Competency-Based Education. Retrieved fromhttps://onlinelibrary.wiley.com/doi/full/10.1002/cbe2.1058

61 | P a g e

5.

Appendices

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

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Appendix A
Self-rating for AUN-QA Assessment at Programme Level
Criterion

1

1

Expected Learning Outcomes

1.1

The programme to show that the expected
learning outcomes are appropriately formulated
in accordance with an established learning
taxonomy, are aligned to the vision and missionof the university, and are known to all
stakeholders.
The programme to show that the expected
learning outcomes for all courses areappropriately formulated and are aligned to the
expected learning outcomes of the programme.
The programme to show that the expected
learning outcomes consist of both genericoutcomes (related to written and oral
communication, problem-solving, information
technology, teambuilding skills, etc) and subject
specific outcomes (related to knowledge andskills of the study discipline).
The programme to show that the requirements ofthe stakeholders, especially the external
stakeholders, are gathered, and that these arereflected in the expected learning outcomes.
The programme to show that the expected
learning outcomes are achieved by the students
by the time they graduate.

1.2

1.3

1.4

1.5

Overall opinion

2

Programme Structure and Content

2.1

The specifications of the programme and all its
courses are shown to be comprehensive, up-todate, and made available and communicated toall stakeholders.
The design of the curriculum is shown to beconstructively aligned with achieving the
expected learning outcomes.
The design of the curriculum is shown to include
feedback from stakeholders, especially external
stakeholders.
The contribution made by each course inachieving the expected learning outcomes isshown to be clear.
The curriculum to show that all its courses are
logically structured, properly sequenced

2.2
2.3
2.4
2.5

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2

3

4

5

6

7

2.6
2.7

(progression from basic to intermediate tospecialised courses), and are integrated.
The curriculum to have option(s) for students topursue major and/or minor specialisations.
The programme to show that its curriculum isreviewed periodically following an establishedprocedure and that it remains up-to-date andrelevant to industry.

Overall opinion

3
3.1

3.2
3.3
3.4

3.5
3.6

Teaching and Learning Approach
The educational philosophy is shown to bearticulated and communicated to all stakeholders.
It is also shown to be reflected in the teaching andlearning activities.
The teaching and learning activities are shown toallow students to participate responsibly in thelearning process.
The teaching and learning activities are shown to
involve active learning by the students.
The teaching and learning activities are shown topromote learning, learning how to learn, andinstilling in students a commitment for life-longlearning (e.g., commitment to critical inquiry,
information-processing skills, and a willingness toexperiment with new ideas and practices).
The teaching and learning activities are shown to
inculcate in students, new ideas, creative thought,
innovation, and an entrepreneurial mindset.
The teaching and learning processes are shown
to be continuously improved to ensure theirrelevance to the needs of industry and are aligned
to the expected learning outcomes.
Overall opinion

4
4.1

4.2
4.3

4.4

Student Assessment
A variety of assessment methods are shown to be
used and are shown to be constructively aligned
to achieving the expected learning outcomes andthe teaching and learning objectives.
The assessment and assessment-appeal policies
are shown to be explicit, communicated to
students, and applied consistently.
The assessment standards and procedures forstudent progression and degree completion, areshown to be explicit, communicated to students,
and applied consistently.
The assessments methods are shown to include
rubrics, marking schemes, timelines, and

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4.5
4.6
4.7

regulations, and these are shown to ensure
validity, reliability, and fairness in assessment.
The assessment methods are shown to measure
the achievement of the expected learning
outcomes of the programme and its courses.
Feedback of student assessment is shown to beprovided in a timely manner.
The student assessment and its processes areshown to be continuously reviewed and improved
to ensure their relevance to the needs of industry
and alignment to the expected learning outcomes.
Overall opinion

5
5.1

5.2
5.3

Academic Staff
The programme to show that academic staff
planning (including succession, promotion, redeployment, termination, and retirement plans) is
carried out to ensure that the quality and quantityof the academic staff fulfil the needs for education,
research, and service.
The programme to show that staff workload ismeasured and monitored to improve the quality ofeducation, research, and service.
The programme to show that the competences of
the academic staff are determined, evaluated, andcommunicated.

5.4

The programme to show that the duties allocatedto the academic staff are appropriate toqualifications, experience, and aptitude.

5.5

The programme to show that promotion of theacademic staff is based on a merit system which
accounts for teaching, research, and service.

5.6

The programme to show that the rights andprivileges, benefits, roles and relationships, andaccountability of the academic staff, taking into
account professional ethics and their academic
freedom, are well defined and understood.
The programme to show that the training anddevelopmental needs of the academic staff aresystematically identified, and that appropriate
training and development activities are
implemented to fulfil the identified needs.
The programme to show that performance
management including reward and recognition is
implemented to assess academic staff teaching
and research quality.

5.7

5.8

Overall opinion

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6Student Support Services

6.1

The student intake policy, admission criteria, andadmission procedures to the programme areshown to be clearly defined, communicated,published, and up-to-date.
Both short-term and long-term planning ofacademic and non-academic support services areshown to be carried out to ensure sufficiency andquality of support services for teaching, research,and community service.
An adequate system is shown to exist for student
progress, academic performance, and workload
monitoring.
Student
progress,
academic
performance, and workload are shown to besystematicallyrecordedandmonitored.
Feedback to students and corrective actions are
made where necessary.
Co-curricular activities, student competition, andother student support services are shown to beavailable to improve learning experience andemployability.
The competences of the support staff rendering
student services are shown to be identified forrecruitment and deployment. These competences
are shown to be evaluated to ensure theircontinued relevance to stakeholders needs.
Roles and relationships are shown to be welldefined to ensure smooth delivery of the services.
Student support services are shown to be
subjected to evaluation, benchmarking, andenhancement.

6.2

6.3

6.4

6.5

6.6

Overall opinion

7
7.1
7.2
7.3
7.4
7.5

Facilities and Infrastructure
The physical resources to deliver the curriculum,
including equipment, material, and information
technology, are shown to be sufficient.
The laboratories and equipment are shown to be
up-to-date, readily available, and effectively
deployed.
A digital library is shown to be set-up, in keepingwith progress in information and communication
technology.
The information technology systems are shown tobe set up to meet the needs of staff and students.
The university is shown to provide a highly
accessible computer and network infrastructurethat enables the campus community to fully

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exploit information technology for teaching,research, service, and administration.
7.6
7.7

7.8

7.9

The environmental, health, and safety standards
and access for people with special needs areshown to be defined and implemented.
The university is shown to provide a physical,
social, and psychological environment that is
conducive for education, research, and personal
well-being.
The competences of the support staff rendering
services related to facilities are shown to be
identified and evaluated to ensure that their skills
remain relevant to stakeholder needs.
The quality of the facilities (library, laboratory, IT,
and student services) are shown to be subjected
to evaluation and enhancement.
Overall opinion

8

Output and Outcomes

8.1

The pass rate, dropout rate, and average time tograduate are shown to be established, monitored,
and benchmarked for improvement.
Employability as well as self-employment,
entrepreneurship, and advancement to further
studies, are shown to be established, monitored,
and benchmarked for improvement.
Research and creative work output and activities
carried out by the academic staff and students,
are shown to be established, monitored, andbenchmarked for improvement.
Data are provided to show directly theachievement of the programme outcomes, which
are established and monitored.
Satisfaction level of the various stakeholders areshown to be established, monitored, andbenchmarked for improvement.

8.2

8.3

8.4
8.5

Overall opinion

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Appendix B

AUN-QA ASSESSMENT PLANNING AT PROGRAMME LEVEL
AUN-QA Assessment No.:

Date of Assessment:

Name of Programme Assessed:
Name of University:
Name of Faculty/School:
Name and Designation of Management Representative:
Name of Assessors:

e-mail:Criterion
1. Expected Learning Outcomes
1.1. The programme to show that the expected
learning outcomes are appropriately
formulated in accordance with an establishedlearning taxonomy, are aligned to the visionand mission of the university, and are known to
all stakeholders.
1.2. The programme to show that the expected
learning outcomes for all courses areappropriately formulated and are aligned to the
expected learning outcomes of the
programme.
1.3. The programme to show that the expected
learning outcomes consist of both genericoutcomes (related to written and oral
communication, problem-solving, information
technology, teambuilding skills, etc) andsubject specific outcomes (related toknowledge and skills of the study discipline).
1.4. The programme to show that therequirements of the stakeholders, especiallythe external stakeholders, are gathered, andthat these are reflected in the expected
learning outcomes.
1.5. The programme to show that the expected
learning outcomes are achieved by thestudents by the time they graduate.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
2. Programme Structure and Content
2.1. The specifications of the programme andall its courses are shown to be comprehensive,
up-to-date, and made available andcommunicated to all stakeholders.

2.2. The design of the curriculum is shown tobe constructively aligned with achieving the
expected learning outcomes.

2.3. The design of the curriculum is shown to
include feedback from stakeholders, especiallyexternal stakeholders.

2.4. The contribution made by each course inachieving the expected learning outcomes isshown to be clear.

2.5. The curriculum to show that all its courses
are logically structured, properly sequenced(progression from basic to intermediate tospecialised courses), and are integrated.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
2.6. The curriculum to have option(s) for
students to pursue major and/or minor
specialisations.

2.7. The programme to show that its
curriculum is reviewed periodically following anestablished procedure and that it remains upto-date and relevant to industry.

3. Teaching and Learning Approach
3.1. The educational philosophy is shown to bearticulated and communicated to all
stakeholders. It is also shown to be reflected in
the teaching and learning activities.

3.2. The teaching and learning activities areshown to allow students to participate
responsibly in the learning process.

3.3. The teaching and learning activities areshown to involve active learning by thestudents.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
3.4. The teaching and learning activities areshown to promote learning, learning how tolearn, and instilling in students a commitment
for life-long learning (e.g., commitment tocritical inquiry, information-processing skills,
and a willingness to experiment with new ideas
and practices).
3.5. The teaching and learning activities areshown to inculcate in students, new ideas,
creative thought, innovation, and an
entrepreneurial mindset.

3.6. The teaching and learning processes areshown to be continuously improved to ensure
their relevance to the needs of industry andare aligned to the expected learning outcomes.

4. Student Assessment
4.1. A variety of assessment methods areshown to be used and are shown to beconstructively aligned to achieving the
expected learning outcomes and the teaching
and learning objectives.
4.2. The assessment and assessment-appeal
policies are shown to be explicit,
communicated to students, and appliedconsistently.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
4.3. The assessment standards andprocedures for student progression and degreecompletion, are shown to be explicit,
communicated to students, and appliedconsistently.
4.4. The assessments methods are shown to
include rubrics, marking schemes, timelines,
and regulations, and these are shown toensure validity, reliability, and fairness inassessment.
4.5. The assessment methods are shown tomeasure the achievement of the expected
learning outcomes of the programme and its
courses.

4.6. Feedback of student assessment is shown
to be provided in a timely manner.

4.7. The student assessment and its
processes are shown to be continuously
reviewed and improved to ensure theirrelevance to the needs of industry andalignment to the expected learning outcomes.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
5. Academic Staff
5.1. The programme to show that academic
staff planning (including succession,
promotion, re-deployment, termination, andretirement plans) is carried out to ensure thatthe quality and quantity of the academic staff
fulfil the needs for education, research, andservice.
5.2. The programme to show that staff
workload is measured and monitored to
improve the quality of education, research, andservice.

5.3. The programme to show that thecompetences of the academic staff aredetermined, evaluated, and communicated.

5.4. The programme to show that the duties
allocated to the academic staff are appropriate
to qualifications, experience, and aptitude.

5.5. The programme to show that promotion of
the academic staff is based on a merit system
which accounts for teaching, research, andservice.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
5.6. The programme to show that the rights
and privileges, benefits, roles andrelationships, and accountability of theacademic staff, taking into accountprofessional ethics and their academic
freedom, are well defined and understood.
5.7. The programme to show that the training
and developmental needs of the academic
staff are systematically identified, and thatappropriate training and development activities
are implemented to fulfil the identified needs.
5.8. The programme to show that performance
management including reward and recognition
is implemented to assess academic staff
teaching and research quality.

6. Student Support Services
6.1. The student intake policy, admission
criteria, and admission procedures to theprogramme are shown to be clearly defined,
communicated, published, and up-to-date.

6.2. Both short-term and long-term planning ofacademic and non-academic support services
are shown to be carried out to ensuresufficiency and quality of support services forteaching, research, and community service.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
6.3. An adequate system is shown to exist for
student progress, academic performance, andworkload monitoring. Student progress,
academic performance, and workload areshown to be systematically recorded andmonitored. Feedback to students andcorrective actions are made where necessary.
6.4. Co-curricular activities, student
competition, and other student support
services are shown to be available to improvelearning experience and employability.

6.5. The competences of the support staff
rendering student services are shown to be
identified for recruitment and deployment.
These competences are shown to beevaluated to ensure their continued relevanceto stakeholders needs. Roles and relationships
are shown to be well-defined to ensure smoothdelivery of the services.
6.6. Student support services are shown to be
subjected to evaluation, benchmarking, andenhancement.

7. Facilities and Infrastructure
7.1. The physical resources to deliver the
curriculum, including equipment, material, andinformation technology, are shown to be
sufficient.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
7.2. The laboratories and equipment are
shown to be up-to-date, readily available, andeffectively deployed.

7.3. A digital library is shown to be set-up, in
keeping with progress in information andcommunication technology.

7.4. The information technology systems areshown to be set up to meet the needs of staff
and students.

7.5. The university is shown to provide a highly
accessible computer and network
infrastructure that enables the campus
community to fully exploit information
technology for teaching, research, service, andadministration.
7.6. The environmental, health, and safety
standards and access for people with special
needs are shown to be defined andimplemented.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
7.7. The university is shown to provide aphysical, social, and psychologicalenvironment that is conducive for education,
research, and personal well-being.

7.8. The competences of the support staff
rendering services related to facilities areshown to be identified and evaluated to ensurethat their skills remain relevant to stakeholder
needs.
7.9. The quality of the facilities (library,laboratory, IT, and student services) are shown
to be subjected to evaluation andenhancement.

8. Output and Outcomes
8.1. The pass rate, dropout rate, and averagetime to graduate are shown to be established,monitored, and benchmarked for improvement.

8.2. Employability as well as self-employment,
entrepreneurship, and advancement to further
studies, are shown to be established,monitored, and benchmarked for improvement.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Criterion
8.3. Research and creative work output andactivities carried out by the academic staff andstudents, are shown to be established,monitored, and benchmarked for improvement.

8.4. Data are provided to show directly theachievement of the programme outcomes,
which are established and monitored.

8.5. Satisfaction level of the various
stakeholders are shown to be established,monitored, and benchmarked for improvement.

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Appendix C

AUN-QA ASSESSMENT PLANNING AT PROGRAMME LEVEL
AUN-QA Assessment No.: 99th AUN-QA Assessment at AUN University

Date of Assessment: 1 – 3 August 2019

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: Dr Ali Ahmad/Head of Department
Name of Assessors:

Dr. Tommy Lee, University of SEA
Dr. Amir Hamzeh, University of Northeaste-mail: ahmad@aun.com

Criterion

Strengths

Interview Questions

Sources of Evidence

Areas for Improvement

Programme
specification

Consider to place greater
emphasis on the higher
levels of a learning
taxonomy (e.g., on
knowledge analysis andconstruction).

1. Expected Learning Outcomes
1.1. The programme to show that the expected
learning outcomes are appropriately formulated
in accordance with an established learning
taxonomy, are aligned to the vision and missionof the university, and are known to all
stakeholders.

The establishedlearning outcomesare aligned to therequirements of the
National
Accreditation Board
as well as referenced
to ABET andprominent university
in USA, UK, Australia
and Singapore. The
expected learning
outcomes are revised
every 4 years withthe latest revision in2018.

1.2. The programme to show that the expected
learning outcomes for all courses areappropriately formulated and are aligned to the
expected learning outcomes of the programme.

Course learning
outcomes areformulated and areclearly mapped to theprogramme learning
outcomes.
The expected
learning outcomesare established andintegrated for both
specific and genericskills and knowledge
using matrix ofcompetencies as
documented in the
new curriculum 2018.

1.3. The programme to show that the expected
learning outcomes consist of both genericoutcomes (related to written and oral
communication, problem-solving,
information technology, teambuilding skills, etc)
and subject specific outcomes(related to knowledge and skills of the study
discipline).

What educationaltaxonomy is used inwriting the expected
learning outcomes?

University and faculty
websites
Curriculum review
minutes anddocuments

Programme
specification

How do the genericlearning outcomes meetthe needs of theemployers?

Curriculum review
minutes anddocuments
Programme
specification

Need there be more
specific (3rd and 4th year)
courses that the
programme can offer?

Criterion

Strengths

1.4. The programme to show that therequirements of the stakeholders, especiallythe external stakeholders, are gathered, and thatthese are reflected in the expected learning
outcomes.

Stakeholder’s inputs(meeting withstakeholders on 28
August 2017) aregathered andreflected in the
expected learning
outcome documented
in the new curriculum2018.

1.5. The programme to show that the expected
learning outcomes are achieved by
the students by the time they graduate.

Interview Questions
How the needs of the
stakeholders aregathered?

Sources of Evidence

Areas for Improvement

Surveys and tracer
reports

Perhaps feedback fromexternal stakeholders
and potential employers
can be boosted.

Appendix D

AUN-QA ASSESSMENT REPORT AT PROGRAMME LEVEL
AUN-QA Assessment No.:

Date of Assessment:

Name of Programme Assessed:
Name of University:
Name of Faculty/School:
Name and Designation of Management Representative:
Name of Assessors:

e-mail:Report Summary
This report is based on information provided in the self-assessment report (SAR), evidences, site tours, and interviews with selectedstakeholders including academic staff, support staff, students, alumni, and employers. It should be read together with the preliminary
findings presented at the closing ceremony where key strengths and areas for improvement were highlighted.
The AUN-QA assessment at programme level covers eight criteria. Each criterion is assessed based on a seven-point scale. A
summary of the assessment results for the xxx programme at xxx university, is as follows:
Criterion

Score

1. Expected Learning Outcomes
2. Programme Structure and Content
3. Teaching and Learning Approach
4. Student Assessment
5. Academic Staff
6. Student Support Services
7. Facilities and Infrastructure
8. Output and Outcomes
Overall Verdict
Based on the assessment results, the XXX programme at xxx university fulfills/ does not fulfill the AUN-QA requirements to beawarded the AUN-QA certificate. The overall quality assurance implemented by the programme is Absolutely Inadequate/
Inadequate and Improvement is Necessary/ Inadequate but Minor Improvement Will Make It Adequate/ Adequate as Expected/
Better Than Adequate/ Example of Best Practices/ Excellent (Example of World-class or Leading Practices).

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

1. Expected Learning Outcomes
1.1. The programme to show that the expected
learning outcomes are appropriately formulated inaccordance with an established learning taxonomy,
are aligned to the vision and mission of the university,and are known to all stakeholders.
1.2. The programme to show that the expected
learning outcomes for all courses are appropriately
formulated and are aligned to the expected learning
outcomes of the programme.

1.3. The programme to show that the expected
learning outcomes consist of both generic outcomes(related to written and oral communication, problemsolving, information technology, teambuilding skills,etc) and subject specific outcomes (related toknowledge and skills of the study discipline).
1.4. The programme to show that the requirements ofthe stakeholders, especially the external
stakeholders, are gathered, and that these arereflected in the expected learning outcomes.

1.5. The programme to show that the expected
learning outcomes are achieved by the students by
the time they graduate.

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

2. Programme Structure and Content
2.1. The specifications of the programme and all its
courses are shown to be comprehensive, up-to-date,and made available and communicated to all
stakeholders.

2.2. The design of the curriculum is shown to beconstructively aligned with achieving the expected
learning outcomes.

2.3. The design of the curriculum is shown to include
feedback from stakeholders, especially external
stakeholders.

2.4. The contribution made by each course inachieving the expected learning outcomes is shown
to be clear.

2.5. The curriculum to show that all its courses are
logically structured, properly sequenced (progression
from basic to intermediate to specialised courses),
and are integrated.

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

2.6. The curriculum to have option(s) for students topursue major and/or minor
specialisations.

2.7. The programme to show that its curriculum isreviewed periodically following an establishedprocedure and that it remains up-to-date and relevant
to industry.

3. Teaching and Learning Approach
3.1. The educational philosophy is shown to bearticulated and communicated to all stakeholders. It
is also shown to be reflected in the teaching andlearning activities.

3.2. The teaching and learning activities are shown toallow students to participate responsibly in thelearning process.

3.3. The teaching and learning activities are shown to
involve active learning by the students.

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

3.4. The teaching and learning activities are shown topromote learning, learning how to learn, and instillingin students a commitment for life-long learning (e.g.,commitment to critical inquiry, information-processing
skills, and a willingness to experiment with new ideas
and practices).
3.5. The teaching and learning activities are shown to
inculcate in students, new ideas, creative thought,
innovation, and an entrepreneurial mindset.

3.6. The teaching and learning processes are shown
to be continuously improved to ensure their relevanceto the needs of industry and are aligned to the
expected learning outcomes.

4. Student Assessment
4.1. A variety of assessment methods are shown to
be used and are shown to be constructively aligned
to achieving the expected learning outcomes and theteaching and learning objectives.

4.2. The assessment and assessment-appeal
policies are shown to be explicit, communicated to
students, and applied consistently.

Criterion
4.3. The assessment standards and procedures forstudent progression and degree completion, areshown to be explicit, communicated to students, andapplied consistently.

4.4. The assessments methods are shown to include
rubrics, marking schemes, timelines, and regulations,and these are shown to ensure validity, reliability, andfairness in assessment.

4.5. The assessment methods are shown to measure
the achievement of the expected learning outcomesof the programme and its courses.

4.6. Feedback of student assessment is shown to beprovided in a timely manner.

4.7. The student assessment and its processes areshown to be continuously reviewed and improved toensure their relevance to the needs of industry andalignment to the expected learning outcomes.

Strengths

Areas for Improvement

Criterion

Strengths

Areas for Improvement

5.1. The programme to show that academic staff
planning (including succession, promotion, redeployment, termination, and retirement plans) is
carried out to ensure that the quality and quantity of
the academic staff fulfil the needs for education,
research, and service.

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

5. Academic Staff

5.2. The programme to show that staff workload ismeasured and monitored to improve the quality ofeducation, research, and service.

5.3. The programme to show that the competences of
the academic staff are determined, evaluated, andcommunicated.

5.4. The programme to show that the duties allocatedto the academic staff are appropriate to qualifications,experience, and aptitude.

5.5. The programme to show that promotion of theacademic staff is based on a merit system which
accounts for teaching, research, and service.

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

5.6. The programme to show that the rights andprivileges, benefits, roles and relationships, andaccountability of the academic staff, taking into
account professional ethics and their academic
freedom, are well defined and understood.
5.7. The programme to show that the training anddevelopmental needs of the academic staff aresystematically identified, and that appropriate training
and development activities are implemented to fulfil
the identified needs.
5.8. The programme to show that performance
management including reward and recognition is
implemented to assess academic staff teaching andresearch quality.

6. Student Support Services
6.1. The student intake policy, admission criteria, andadmission procedures to the programme are shown
to be clearly defined, communicated, published, andup-to-date.

6.2. Both short-term and long-term planning ofacademic and non-academic support services areshown to be carried out to ensure sufficiency andquality of support services for teaching, research, andcommunity service.

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

6.3. An adequate system is shown to exist for student
progress, academic performance, and workload
monitoring. Student progress, academic
performance, and workload are shown to besystematically recorded and monitored. Feedback tostudents and corrective actions are made where
necessary.
6.4. Co-curricular activities, student competition, andother student support services are shown to beavailable to improve learning experience andemployability.

6.5. The competences of the support staff rendering
student services are shown to be identified forrecruitment and deployment. These competences areshown to be evaluated to ensure their continued
relevance to stakeholders needs. Roles andrelationships are shown to be well-defined to ensuresmooth delivery of the services.
6.6. Student support services are shown to be
subjected to evaluation, benchmarking, andenhancement.

7. Facilities and Infrastructure
7.1. The physical resources to deliver the curriculum,
including equipment, material, and information
technology, are shown to be sufficient.

Criterion
7.2. The laboratories and equipment are shown to be
up-to-date, readily available, and effectively
deployed.

7.3. A digital library is shown to be set-up, in keepingwith progress in information and communication
technology.

7.4. The information technology systems are shown
to be set up to meet the needs of staff and students.

7.5. The university is shown to provide a highly
accessible computer and network infrastructure thatenables the campus community to fully exploit
information technology for teaching, research,
service, and administration.
7.6. The environmental, health, and safety standards
and access for people with special needs are shown
to be defined and implemented.

Strengths

Areas for Improvement

Criterion

Strengths

Areas for Improvement

Assessors to provide comments on the
programme’s strengths for the criterion as awhole or for each requirement separately.

Assessors to provide suggestions for areas
for improvement for the criterion as a whole orfor each requirement separately.

7.7. The university is shown to provide a physical,
social, and psychological environment that is
conducive for education, research, and personal wellbeing.

7.8. The competences of the support staff rendering
services related to facilities are shown to be identified
and evaluated to ensure that their skills remain
relevant to stakeholder needs.

7.9. The quality of the facilities (library, laboratory, IT,
and student services) are shown to be subjected toevaluation and enhancement.

8. Output and Outcomes
8.1. The pass rate, dropout rate, and average time tograduate are shown to be established, monitored,
and benchmarked for improvement.

8.2. Employability as well as self-employment,
entrepreneurship, and advancement to further
studies, are shown to be established, monitored, andbenchmarked for improvement.

Criterion
8.3. Research and creative work output and activities
carried out by the academic staff and students, areshown to be established, monitored, andbenchmarked for improvement.

8.4. Data are provided to show directly theachievement of the programme outcomes, which areestablished and monitored.

8.5. Satisfaction level of the various stakeholders areshown to be established, monitored, andbenchmarked for improvement.

Strengths

Areas for Improvement

Appendix E

AUN-QA ASSESSMENT REPORT AT PROGRAMME LEVEL
AUN-QA Assessment No.: 99th AUN-QA Assessment at AUN University

Date of Assessment: 1 – 3 August 2019

Name of Programme Assessed: Bachelor Degree in Manufacturing Engineering

Name of University: AUN University
Name of Faculty/School: Faculty of Engineering
Name and Designation of Management Representative: Dr. Ali Ahmad, Head of Department
Name of Assessors:

Dr Shri Kishen, University of Singapore (lead assessor)
Dr Amir Hamzeh, University of Northeast (co-assessor)

e-mail: aliamhad@aun.com

Report Summary
This report is based on the information provided in the self-assessment report (SAR), evidences, site tours, and interviews withselected stakeholders including academic staff, 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 eight criteria. Each criterion is assessed based on a seven-point scale. The
summary of the assessment results for the xxx programme at xxx university is as follows:
Criterion
1. Expected Learning Outcomes
2. Programme Structure and Content
3. Teaching and Learning Approach
4. Student Assessment
5. Academic Staff
6. Student Support Services
7. Facilities and Infrastructure
8. Output and Outcomes
Overall Verdict

Score
4
5
4
5
5
5
4
5
Adequate as Expected

Based on the assessment results, the xxx programme at xxx university fulfilled the AUN-QA requirements to be awarded the AUNQA certificate for a successful programme-level assessment. The overall quality assurance implemented for the programme is
Adequate as Expected.

Criterion

Strengths

Areas for Improvement

1.1. The programme to show that the expected
learning outcomes are appropriately formulated
in accordance with an established learning
taxonomy, are aligned to the vision and missionof the university, and are known to all
stakeholders.

The expected learning outcomes (ELOs) arealigned to the requirements of the National
Accreditation Board. They also reference to
ABET requirements, and are benchmarked
against prominent universities in the USA, UK,
and Australia. The ELOs are revised every four
years with the latest revision being in 2018.

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

1.2. The programme to show that the expected
learning outcomes for all courses areappropriately formulated and are aligned to the
expected learning outcomes of the programme.

The course learning outcomes of the
programmes are formulated and aligned to theprogramme learning outcomes and mapped asshown in Table 1.4

The alignment between the course learning
outcomes and programme learning outcomesmay need to be reviewed in regular intervals.

1.3. The programme to show that the expected
learning outcomes consist of both genericoutcomes (related to written and oral
communication, problem-solving, information
technology, teambuilding skills, etc) and subject
specific outcomes (related to knowledge andskills of the study discipline).

The expected learning outcomes are establishedand integrated for both specific and generic skills
and knowledge using matrix of competencies as
documented in the new curriculum 2018.

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

1.4. The programme to show that therequirements of the stakeholders, especially theexternal stakeholders, are gathered, and thatthese are reflected in the expected learning
outcomes.

Stakeholder’s inputs (meeting with stakeholders
on 23 August 2017) are gathered and reflected in
the expected learning outcome documented in
the new curriculum 2018.

The relationship between the stakeholders’ needs
and the programme expected learning outcomesshould be mapped so that the rationale andimpact of change can be well established andcommunicated.

1.5. The programme to show that the expected
learning outcomes are achieved by the students
by the time they graduate.

Achievement of expected learning outcomes areevident in students at the time of graduation. Thisis validated by the final year capstone project thatinvolves students with an industrial partner.

The programme may also undertake surveys ofstudents a few years after graduation to reassurethat expected learning outcomes have beenachieved.

1. Expected Learning OutcomesAppendix F

AUN-QA ASSESSMENT FEEDBACK REPORT AT PROGRAMME LEVEL
AUN-QA Programme Assessment No.:

Date of Assessment:

Name of University/Faculty/School:
Name of Programme Assessed:
Name and Designation of Management Representative:

e-mail:Name of Assessors:
Feedback on SAR preparation (interpretation of criteria, writing of SAR, gathering of evidences,
problems faced in preparing the SAR, etc):

Feedback on assessment process (process: pre-assessment preparation, site assessment, final
assessment results, presentation; assessment: objectivity, independence, evidence-based;
programme: itinerary, activities, duration):

Feedback on usefulness of assessment report (for self-improvement, planning, andbenchmarking purposes):Please consider to provide suggestions for the AUN-QA to improve its assessment process.

ADDENDUM:
Supplementary Notes for the Assessment of Postgraduate Programmes with
Dominant Research Component
This addendum is prepared to serve as a supplement to the “Guide to AUN-QA
Assessment at Programme Level Version 4.0” that provides additional notes andinterpretations for assessment of the research component for the postgraduate
programmes. In addition, it may also be used for assessment of programmes where
the research component is dominant or is not given any credit rating or credit hour torepresent its learning loads. Similar to the requirements for all criteria in this guide, thisaddendum can also be referred to and read together when writing the self-assessment
report of such programmes.
Introduction
In general, postgraduate programmes are programmes that require an undergraduate
degree or equivalent to be considered for entry which leads to qualifications such as
a postgraduate diploma, a master’s degree or a doctoral degree. Postgraduate
degrees are taken for a number of reasons, such as to move into academia andresearch, to have certain in-depth specialisation or to change track entirely.
A doctoral degree refers to a degree that incorporates significant research component
which qualifies the holder to teach at university level in the degree's field, or to work ina specific profession. In most countries, the duration of study is typically 3-4 years,
even though some may take a longer period to complete their study. There are mainly
two types of doctoral degrees, which are as follows:
1. Doctor of Philosophy (Ph.D.) Degree
It refers to an academic degree focused on original research, data analysis, andthe evaluation of theory. The programme structure ranges from a full research
to research as main and compulsory graduation component coupled with a setof courses as requisites, typically used as one of the criteria for confirmation of
Ph.D. candidature.
This type of programme seeks to evaluate the relevance of seminal,
current, and emerging theories within the field, to analyse theories andconcepts within the field, to assess identified gaps in the current research
literature and advance the body of knowledge in the field through original
research. Eventually, the research outcomes are communicated to an
academic audience and general stakeholders.
2. Professional Doctorates
This type of degrees focuses on applying research to practical problems,
formulating solutions to complex issues, and designing effective professionalpractices within the field of study. Examples are programmes awarding Doctorof Business Administration (DBA) degree, Doctor Engineering (D.Eng.) degree
and Doctor of Education (Ed.D.) degree. The common programme structure
would be a combined set of courses rated in credit units or credit hours coupledwith the main project as a compulsory programme component. Typically, theprogramme structure comprises a significant percentage of credit units or credit
hours for courses that serve as the eligibility criteria to complement the main
project and to complete the study.
Hence, the aim of the programme is to evaluate the relevance of current andemerging theories and practices within the field, to formulate effective solutions
to complex, real-world problems common to the field and to design rigorous
research that expands the professional body of knowledge in the field. Then,the outcomes of the research are applied to the practical problems in the field
which could bring about effective and innovative solution to the problem.
Similar to doctoral programmes, a master’s programme can take a number of forms
ranging from a curriculum structure with taught courses and projects to a full research
programme leading to a thesis or dissertation. A master’s programme could be
differentiated from a doctoral programme based on the respective expected learning
outcomes or graduate attributes or qualification’s descriptors, which are of lower levelwith smaller number of credit hours or credit units or requiring shorter period tocomplete. A master’s degree could also be used to enter a doctoral programme.
Many countries regulate and harmonise these programmes using their national
qualifications frameworks and standards, which require the programme to conform tocertain criteria and mapped to certain qualification levels. As such, Ph.D. andprofessional doctorate programmes are typically mapped to a same qualification level,
which is commonly the highest qualification level in the country’s national qualifications
framework. Similarly, a master’s programme with dominant research component canalso be mapped to a designated qualification level in the country’s national
qualifications framework. Globally, the learning outcomes and/or graduate profiles forboth types of programmes may be benchmarked with, among others:
•

•

•
•

ASEAN Qualifications Reference Framework (AQRF, 2015) — Level 8
descriptors for doctorate programmes or Level 7 descriptors for master’s
programmes;
UNESCO’s International Standard Classification of Education (ISCED, 2011)— Level 8 for doctoral programmes or equivalent, or Level 7 for master’s
programmes or equivalent;
European Qualifications Framework (EQF) — Level 8 for doctoral
programmes or Level 7 for master’s programmes;
Dublin Descriptors (2004) — Third cycle qualification for doctoral programmes
or second cycle qualification for master’s programmes.

Approach to Assessment Extension to a Postgraduate Programme with ResearchComponent
In principle, the criteria and outline specified by the “Guide to AUN-QA Assessment at
Programme Level, version 4.0” are still applicable and should be referred to in writing
the programme SAR and in performing the programme assessment of a master’s ordoctorate programme where its research component is dominant. As such, manyrequirements and sub-criteria are still be applicable for assessment of a postgraduate
programme, with exception of several sub-criteria which require different contextualinterpretation, particularly for the research component or the doctorate project of the
programme.
The interpretation for assessing such master’s or doctorate programme are presented
in the form of this addendum, with appropriate diagnostic questions and/or sources ofevidence. These diagnostic questions and sources of evidence are listed in addition
to the similar questions and sources of evidence listed in the main section of this guidefor all criteria, thus should be read together with this addendum. Hence, this document
provides specific interpretations for a number of sub-criteria for the purpose of
assessing the research component of the programme.
The AUN-QA Criteria which contain explanatory notes for the terms that require
specific interpretations for the purpose of assessment of research component in the
programme are given in the following sections.
AUN-QA Criterion 1 – Expected Learning Outcomes
Related Requirements for AUN-QA Criterion 1
1.1. The programme to show that the expected learning outcomesa areappropriately formulated in accordance with an established learning
taxonomy, are aligned to the vision and mission of the university, and are
known to all stakeholders.
1.3. The programme to show that the expected learning outcomesa consist ofboth generic outcomes (related to written and oral communication, problemsolving, information technology, teambuilding skills, etc) and subject specificoutcomes (related to knowledge and skills of the study discipline).
1.5. The programme to show that the expected learning outcomes are achievedby the students by the time they graduateb.
Additional Notes for Assessment of Programme Research Component
Formulation of the “expected learning outcomes” shall consider the national,
regional and global points of reference of a postgraduate programme. As such,elements related to original research, novelty, emerging theories and practice insolving real-world problems, etc., in the graduate profile should be assessed andbenchmarked.

aThe phrase “achieved by the students by the time they graduate” may include
student’s contribution after graduation in applying their doctorate-level and other
employability skills, that may be triangulated with the referred qualification
descriptors and/or the requirements of stakeholders for the degree.
b

Diagnostic Questions
What is the source(s) of reference in the formulation of the expected learning
outcomes?
- How to ensure that the formulated statements of the expected learning
outcomes are of higher level than those of the lower degree programme, suchas a bachelor programme offered by the same department or institution?
- Does the labour market or stakeholders set specific requirements for thegraduates of higher degree programmes as compared to the lower degree
graduates, such as from a bachelor programme of the same department or
institution?
Sources of Evidence--

Benchmarking report for the process of formulating the expected learning
outcomes
Stakeholders’ input and survey questionnaire
Student’s publication, citations and h-index

AUN-QA Criterion 2 – Programme Structure and Content
Related Requirements for AUN-QA Criterion 2
2.1. The specifications of the programme and all its coursesc are shown to becomprehensive, up-to-date, and made available and communicated to all
stakeholders.
2.2. The design of the curriculum is shown to be constructively alignedd withachieving the expected learning outcomes.
2.4. The contribution made by each coursec in achieving the expected learning
outcomes is shown to be clear.
2.5. The curriculum to show that all its coursesc are logically structured, properly
sequenced (progression from basic to intermediate to specialised courses),
and are integrated.
Additional Notes for Assessment of Programme Research Component
In the context of planning and delivering the programme research component thatis aligned to the expected learning outcomes, the term “course” or “courses”
should be referred to programme activities or/and assessment tasks related tomonitoring progression and reviewing academic performance of a postgraduate
student.
c

onsequently, the term “constructive alignment” for the programme researchcomponent could be shown or demonstrated by mapping between the expectedclearning outcomes of the programme with activities or/and assessment tasks
related to progress and performance reviews of a doctorate candidate/student.
Diagnostic Questions
How are the expected learning outcomes translated into the programme
activities or/and assessment tasks?
- What are the mechanisms and platforms provided for students to present andshare their research proposals, findings and outcomes as well as to improvetheir research and other required skills?
- How to monitor progression and review academic performance of a doctorate
candidate or student?
- How to review and continually improve the programme activities andassessment tasks to ensure constructive alignment with expected learning
outcomes?
Sources of Evidence--

Programme map, and delivery and assessment plans for the programme
research component
Student assessment records and reports
Programme activity reports
Programme review and quality improvement reports

AUN-QA Criterion 3 – Teaching and Learning Approach
Related Requirements for AUN-QA Criterion 3
3.1. The educational philosophy is shown to be articulated and communicated toall stakeholders. It is also shown to be reflected in the teaching and learning
activitiese.
3.2. The teaching and learning activitiese are shown to allow students toparticipate responsibly in the learning process.
3.3. The teaching and learning activitiese are shown to involve active learning by
the students.
3.4. The teaching and learning activitiese are shown to promote learning, learning
how to learn, and instilling in students a commitment for life-long learning(e.g., commitment to critical inquiry, information-processing skills, and awillingness to experiment with new ideas and practices).
3.5. The teaching and learning activitiese are shown to inculcate in students, newideas, creative thought, innovation, and an entrepreneurial mindset.
Additional Notes for Assessment of Programme Research Component
The term “teaching and learning activities” for the programme researchcomponent may include discussion and consultation with the supervisors as wellas programme activities and assessment tasks that are related to progress
monitoring and performance reviews of a postgraduate student.
eDiagnostic Questions
How does the educational philosophy influence and is reflected in theplanning and delivery of the programme research component?
- How is research or project supervision carried out by the research or project
supervisor(s) and how to monitor its effectiveness?
- How do the teaching and learning activities enhance independent andautonomous learning and help inculcate research skills?
- How is student’s feedback on the teaching and learning activities for
programme research component gathered and analysed for improvement?
Sources of Evidence--

Programme delivery plan for the programme research component
Students’ feedback on programme activities and quality of supervision
Progress monitoring reports of a doctorate candidature or student.
Programme activity reports and quality improvement reports

AUN-QA Criterion 4 – Student Assessment
Related Requirements for AUN-QA Criterion 44.1. A variety of assessment methodsf are shown to be used and are shown to beconstructively aligned to achieving the expected learning outcomes and theteaching and learning objectives.
4.4. The assessment methodsf are shown to include rubrics, marking schemes,
timelines, and regulations, and these are shown to ensure validity, reliability,and fairness in assessment.
4.5. The assessment methodsf are shown to measure the achievement of the
expected learning outcomes of the programme and its courses.
Additional Notes for Assessment of Programme Research Component
The term “assessment methods” for the programme research component may
include semester-based and/or annual progress monitoring and reviews ofstudent’s academic performance, as well as the final assessment of the thesis ordissertation leading to award of the postgraduate degree. The final assessment of
the thesis or dissertation may also be referred to as viva-voce orthesis/dissertation defence.
fDiagnostic Questions-

What are the pre-requisite courses and criteria and other requisites needed to
be fulfilled by the students before they can graduate from the programme?
How are the academic progress of the students monitored and reviewed andhow frequent are the students being monitored and reviewed?
What are the criteria for appointment of internal/external examiners for thethesis or dissertation?

-

How is student’s feedback on the assessment methods for programme
research component gathered and analysed for improvement?

Sources of Evidence--

Programme assessment plan for the programme research component
Student progress and assessment reports
Students’ feedback on assessment and evaluation processes of their study
Examiner’s (internal/external) reports on candidate’s/student’s thesis ordissertation
Reports of student’s fulfilment of the graduation criteria leading to the awardof the degree, such as passing the compulsory courses and the research
proposal defence, and fulfilling the requisites and criteria for journal article
publication
Student’s thesis or dissertation
Programme assessment reports and quality improvement reports on student’s
assessment

AUN-QA Criterion 5 – Academic Staff
Related Requirements for AUN-QA Criterion 55.3. The programme to show that the competencesg of the academic staff aredetermined, evaluated, and communicated.
5.7. The programme to show that the training and developmental needsh of theacademic staff are systematically identified, and that appropriate training anddevelopment activities are implemented to fulfil the identified needs.
Additional Notes for Assessment of Programme Research Component
The term “competences” of academic staff appointed to be a supervisor for amaster’s or doctorate candidate or student should include competence to provide
an effective supervision for a master’s or doctorate level project. This may include
skills in providing guidance for the students to carry out their research works basedon their study plan and monitor the student’s progression as according to the planin order to ensure that they can finish their project as planned.

g

As such, the phrase “training and developmental needs” of the academic staff
may include training on how to be an effective supervisor for a master’s ordoctorate candidate or student.

hDiagnostic Questions-

Are there plans to equip the academic staff with adequate research andsupervisory skills?
How are the research and supervisory skill of the academic staff being
assessed and evaluated?

Sources of Evidence-

Training programme for academic staff on research and supervisory skills.
Stakeholders’ input and survey questionnaire

AUN-QA Criterion 6 – Student Support Services
Additional Notes for Assessment of Programme Research Component
As the academic and non-academic requirements of postgraduate students may
be different from other students, the AUN-QA Criterion 6, namely Requirements
6.1, 6.3 and 6.4, may be customised and contextualised accordingly. Due todifferent nature of their study and social life in the campus, postgraduate students
may require different kind of systems for monitoring their academic progression
and services in providing support and guidance to them. As such, special
consideration may be given to certain types of requirement or to specific support
systems and services that are more relevant to the postgraduate programmes
and/or frequently used by the postgraduate students.
AUN-QA Criterion 7 – Facilities and Infrastructure
Additional Notes for Assessment of Programme Research Component
Due to different nature of postgraduate programmes, the postgraduate students
may require different kind of learning environment and educational eco-systemthat are more conducive to their needs, which may be different from other typesof programme. Hence, the AUN-QA Criterion 7, namely Requirements 7.1 – 7.7,
may be customised and contextualised accordingly. As such, special
consideration may be given to certain types of equipment, infrastructure andfacilities, that are more relevant to the postgraduate programmes and for the
postgraduate students.
AUN-QA Criterion 8 – Output and Outcomes
Related Requirements for AUN-QA Criterion 88.1. The pass rate, dropout rate, and average time to graduatei are shown to beestablished, monitored, and benchmarked for improvement.
8.2. Employabilityj as well as self-employment, entrepreneurship, andadvancement to further studies, are shown to be established, monitored, andbenchmarked for improvement.
8.3. Research and creative work outputk and activities carried out by theacademic staff and students, are shown to be established, monitored, andbenchmarked for improvement.

Additional Notes for Assessment of Programme Research Component
The component “average time to graduate” may be or may not be consideredbased on contexts of the discipline and the country. While average time tograduate could indicate programme efficiency and may still be monitored, if
average time to graduate for a postgraduate programme is not considered
important in the country’s higher education eco-system of the assessed institution,
this component may be omitted in the evaluation process for this requirement.
However, the consideration of this component is subject to the judgement by thelead assessor, upon consultation with the chief assessor.
i

The component “employability” for master’s or doctorate graduates may be or may
not be considered in the assessment process based on the country’s contexts.
Even though it may be monitored periodically as one of the programme metrics,
there may be circumstances that the graduate employability of the programme
may not be a norm in the country of the assessed institution or viable indicator formeasurement of the programme achievement. In this case, this component or thewhole statement in the Requirement 8.2 may be omitted in the evaluation process.
Alternatively, other “appropriate measures” may be used to monitor the successof the postgraduate programme. As such, similar to the Requirement 8.1, theconsideration of this component or the whole Requirement 8.2 is subject to thejudgement by the lead assessor, upon consultation with the chief assessor.
j

The term “research and creative work output” may include any kind of output ordeliverables produced by the academic staff and students in conjunction with theresearch and creative work activities carried out and performed by the academic
staff and students involved in the programme. The outputs or deliverables may bein form of publication materials such as journal articles, articles or chapters inbooks, technical reports, monographs, artefacts, etc.
kDiagnostic Questions-

Based on the type and context of programme assessed, what are theappropriate data or output that could represent students’ performance inresearch?
What is the relationship between the students’ performance data, such as on
publication, with attainment of the expected learning outcomes by thestudents and by the programme?

Sources of Evidence-Student enrolment and graduation data by year, including average time tograduate
Benchmarking report for research funding, projects and publications
Stakeholders’ satisfaction survey questionnaire and data on research quality
and output
Student’s publication, citations and h-index

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