• Section 1 - Overview and Scope
• Part A - Principles
• General
• Part C - Academic Governance and Academic Management in PDCA
• Relationship of academic governance and academic management in PDCA
• Accountabilities
• Part D - Academic Quality and Academic Risk Management
• Table 1: Role of PDCA Quality Assurance in Risk Management
• Section 2 - Authority and Compliance
• Authority
• Compliance
• Section 3 - Quality Assurance

Section 1 - Overview and Scope

(1) This Policy provides a framework for how academic quality assurance (AQA) is designed and implemented at the University of New England (UNE). The UNE Governance Framework Rule explains that the purpose of academic quality assurance is to ensure that “the academic quality definition and standard setting, monitoring and review functions provide guidance and assurance that our academic activities meet internal and external standards and serve the public good”.

(2) The Principles below assist UNE to take a consistent approach to designing and assuring quality in all its academic activities, supporting the integration of quality assurance and academic risk management across all academic activities.

(3) This Policy applies to all academic activities of UNE, in all locations and online, including: courses; student performance and outcomes; learning and teaching; student support; and research and research learning.

(4) Within this Policy:

1. Part A defines the guiding principles of academic quality at UNE and its approach to assurance;
2. Part B explains the Plan-Do-Check-Act (PDCA) model and its use in academic quality assurance, including the Academic Quality Reporting Framework;
3. Part C explains the relationship between academic governance and academic management in the PDCA cycle and accountabilities; and
4. Part D explains the relationship between PDCA and academic risk management.

Part A - Principles

(5) Academic quality assurance at UNE encompasses all the planned and systematic mechanisms implemented by the University to provide confidence that its academic activities will meet stakeholder expectations and institutional benchmarks for academic quality and outcomes. These mechanisms include a commitment to student feedback and self-assurance processes as appropriate.

(6) Academic quality assurance is recognised as a key function of University governance, as stated in the UNE Governance Framework Rule. Responsibilities under this Rule include internal review and monitoring.

(7) Self-assurance in the UNE context refers to a systematic program of activities to effectively monitor, assess, and enhance its own quality standards, policy and practices, ensuring that its educational offerings, research activities, and overall operations meet or exceed established benchmarks and regulatory requirements.

(8) UNE recognises that academic activities occur at all levels of the University, from those of a single academic or professional staff member to the UNE Council.

(9) Academic quality assurance at UNE aims for ‘right first time’, so that quality requirements are ‘designed in’ to academic activities, to preempt issues of non-compliance and inefficiency, rather than addressing them post-occurrence.

(10) Academic quality assurance enables UNE to identify and respond to episodic and routine risks and provides mechanisms to control the risks of undesired outcomes in the University’s academic activities.

(11) UNE’s self-assurance processes continually identify, inform and address new academic risks, especially those emerging from evolving educational landscapes and technological advancements.

(12) UNE uses a Plan-Do-Check-Act (PDCA) cycle as the foundation of its academic quality assurance. This cycle aims to promote continuous quality improvement. It is applied at all levels, from individuals to schools or centres or management units, to faculties and to the University as a whole.

(13) To inform the PDCA cycle, UNE sets and utilises a set of institutional benchmarks for academic quality and outcomes that:

1. comply with the Higher Education Standards Framework (Threshold Standards) 2021 (HESF) and other external academic obligations including the Australian Qualifications Framework (AQF), professional accreditation requirements and ethical review guidelines;
2. meet defined minimum requirements for academic quality in UNE policies and plans: e.g. required qualifications of employees, entry requirements for courses, academic integrity and conduct, course design parameters, student support, ethical review;
3. meet institutional KPIs and targets for academic outcomes, e.g. targets for student progress, attrition and completion; targets for student and graduate satisfaction; targets for research output and performance (such as number and quality of publications, and competitive grant income); and
4. allow comparison against comparable universities in Australia, and where data is available, internationally.

(14) Strategies for continuous improvement and quality assurance of academic activities are developed within the context of its regulatory and statutory obligations, professional accreditation requirements, and compliance with UNE’s policies and procedures.

(15) Academic courses and student services are implemented in a consistent manner and undergo continuous improvement though regular application of internal performance reviews and external benchmarking activities (the ‘Check’ and ‘Act’ part of PDCA) and review of risks to academic quality.

(16) UNE acknowledges that specified academic activities and processes require collective peer review, oversight or decision-making through its academic governance committees, in addition to academic management actions, as an additional layer of assurance and continuous improvement.

(17) UNE ensures all stakeholders, including students, are informed about academic self-assurance process and outcomes.

(18) UNE’s principles and procedures for professional accreditation are consistent with the 2016 Universities Australia and Professions Australia Joint Statement of Principles for Professional Accreditation (see Professional Accreditation Procedure).

(19) UNE maintains comprehensive and accessible records of self-assurance activities, decisions and rationales for future reference and regulatory assessments.

Part B - PDCA and Academic Quality Reporting Framework

General

(20) This part outlines the PDCA model, detailing how UNE integrates the PDCA model into academic self-assurance activity, providing a comprehensive framework for maintaining and enhancing the quality of education, research, and other academic initiatives at UNE.

(21) Academic quality assurance at UNE involves all four elements of PDCA:

1. ‘Plan’ refers to institutional planning and the setting of rules to ensure coordination and consistency in institutional activities. A plan sets the goal and direction, the rules (policies) provide the guardrails for how the goal will be pursued or what ‘should’ happen in order to achieve quality outcomes. The strategic plan, approved by the UNE Council, outlines the overarching goals and direction, with cascading plans and policies acting as guidelines to achieve quality outcomes. Staff members also contribute by planning their individual or collective teaching, research, and support activities.
2. ‘Do’ refers to the execution of plans and the carrying out of organisational activities to transform inputs into outputs or outcomes, or what ‘does’ happen in real life. This includes the execution of various tasks, from teaching and research to administrative functions, and incorporates necessary approvals, such as for assessment tasks or student grades.
3. ‘Check’ refers to monitoring and evaluating outputs or outcomes to see if institutional benchmarks or standards for quality have been met. Checking can involve additional diagnostic activities to explore reasons why these benchmarks have or have not been met and to identify options for improvement. These activities include positional and peer oversight, internal or external reviews, and the scrutiny of data on matters such as progress rates, student feedback, and course performance. Individual research outputs are often evaluated through external peer review processes, while aggregated research performance is monitored internally.
4. ‘Act’ refers to actions taken to improve institutional and other outcomes, such as changes to plans or rules, new activities or inputs, new risk controls, or changed oversight or monitoring. These actions include adjustments to courses, revisions to research outputs in response to feedback, or systemic changes to enhance student learning and support.

(22) Self-assurance activities and reporting vary depending on the function being assured. Standard PDCA activities undertaken by UNE include but are not limited to:

1. compliance and quality monitoring and review;
2. quality and performance benchmarking;
3. internal audit;
4. participation in external accreditation and validation activities;
5. process validation;
6. thematic academic review (see Thematic Academic Review Procedure); and
7. informal review of academic activities.

(23) For the ‘Check’ and ‘Act’ elements, UNE carries out a series of regular quality assurance monitoring activities, where ‘monitoring’ refers to frequent checks on status or performance through data and feedback. These checks are comparative, so data is reviewed in the light of institutional targets, time series, and internal or external comparators. Examples of UNE’s academic monitoring and evaluation activities are included in the Academic Quality Assurance Policy – Monitoring and Evaluation Activities.

(24) The ‘Check’ and ‘Act’ elements of PDCA are guided by the Academic Quality Reporting Framework. This Framework provides self-assurance through both monitoring and evaluation of academic outputs and outcomes, and codifies the reports on academic activities that are to be provided through the University’s academic governance structures (both management and committee structures).

(25) Responsibility for the preparation and submission of academic quality reports, within broad parameters for their content, rests with the responsible units as stated in the Academic Quality Reporting Framework and as stated in relevant UNE policies.

Part C - Academic Governance and Academic Management in PDCA

Relationship of academic governance and academic management in PDCA

(26) The UNE Governance Framework Rule states: “Governance is the framework by which the University is controlled and operates, and held to account. It provides the structure through which the objectives are set, and activity and performance monitored”.

(27) UNE academic governance structures include academic management positional structures and academic committees, the latter of which include governance oversight functions and operational approval functions.

(28) While many academic decisions and approvals at UNE are made by individuals in academic management positions, some decisions or approvals need to be considered through a process of collective academic deliberation in an academic committee. These processes include either deciding or recommending approval to a higher-level committee.

(29) The University’s Register of Delegations under the UNE Delegations Framework Rule shows which positions or committees can make specific academic decisions.

(30) At the highest level, Academic Board as a committee of Council, provides assurance to Council on the effectiveness of academic quality assurance at UNE.

Accountabilities

(31) The Terms of Reference of UNE’s academic committees provide the authoritative version of their functions and accountabilities. Academic committees with accountability for academic quality assurance include:

1. Council;
2. Academic Board and sub-committees;
3. University-Wide Ethics Committees – Human Research Ethics Committee and Animal Ethics Committees;
4. School and Faculty Level Committees - School Education Committees and Faculty Research Committees; and
5. Operational Governance Committees – including Executive Team and Graduate Research Committee.

(32) Academic management positions with accountability for Academic Quality Assurance include:

1. Vice-Chancellor and Chief Executive Officer (VC&CEO): Principal Academic Officer of the University, accountable for performance and quality of academic programs, right of veto on academic program matters with organisational resources implications;
2. Deputy Vice-Chancellor: accountable for academic staffing resources, academic quality for coursework programs and for the organisation of faculties to deliver quality teaching and learning and research. Vice-Chancellor and Chief Executive Officer's Delegate for coordinating key higher educational compliance;
3. Deputy Vice-Chancellor Research: accountable for research quality and integrity, Higher Degree by Research (HDR) programs and research partnerships, collaborations and insitutions at UNE. Vice-Chancellor and Chief Executive Officer's Delegate for coordinating key research-related compliance;
4. Executive Principal Education Futures: accountable for the quality of student academic support, teaching and learning, and operational management of compliance with standards associated with the Australian Qualifications Framework;
5. Executive Principal Student Experience: accountable for the quality of student support, participation and engagement;
6. Chief Operating Officer: accountable for the quality of the learning facilities and infrastructure, ensuring that they are sufficient and appropriate to provide a quality learning experience;
7. Executive Principal Brand Partnerships and Business Development: accountable for international student recruitment and compliance with standards associated with the Education Services for Overseas Students Act 2000;
8. Director, Education Quality: accountable for the implementation of and reporting on this AQA Policy including pertinent sections of the Academic Quality Reporting Framework, oversight of course reviews, ensuring professional accreditation requirements are met, the conduct and follow-up of thematic academic reviews, and other ad hoc academic reviews, such as third party education provider reviews; and
9. Executive Deans: accountable for ensuring compliance with the Academic Quality Assurance Policy across the Faculty. This includes completion of course reviews within the mandated review cycle, ensuring professional accreditation requirements are met, conducting and following up on thematic academic, and overseeing other ad hoc academic reviews, such as those of third-party education providers.

Part D - Academic Quality and Academic Risk Management

(33) Quality assurance and risk management are inter-related at each stage of a PDCA cycle, especially when considering negative consequences for the University.

(34) The main academic risks for UNE lie in not meeting one or more of the University’s institutional benchmarks for academic quality and outcomes, stated in Part A.

(35) The Risk Management Policy explains the steps in identifying, assessing and treating risks while quality assurance measures are examples of risk controls for the ‘Plan’ element. Quality assurance reviews in the ‘Check’ element can help in the identification of new and unforeseen risks, as shown in Table 1.

Table 1: Role of PDCA Quality Assurance in Risk Management

Section 2 - Authority and Compliance

Authority

(36) The Vice-Chancellor and Chief Executive Officer, pursuant to Section 29 of the University of New England Act 1993 (NSW), makes this University Policy.

(37) The Deputy Vice-Chancellor is authorised to make procedures and processes for the effective implementation and operation of this Policy, and to publish as associated documents any tool that will assist with compliance.

(38) The Rule/Policy Administrator for this Policy is the Director Governance and University Secretary who is authorised to make minor administrative updates to this Policy.

Compliance

(39) UNE Representatives must observe this Policy.

(40) This Policy operates as and from the Effective Date.

(41) Previous policies on academic quality assurance are replaced and have no further operation from the Effective Date of this Policy.

(42) This Policy confirms the UNE’s commitment to academic quality and describes the approach for monitoring statutory obligations under the the Tertiary Education Quality and Standards Agency Act, the Higher Education Standards Framework (Thresholds Standards) 2021, the Australian Qualifications Framework (AQF), the Higher Education Support Act 2003, the Education Services for Overseas Students Act 2000 and the National Code of Practice for Providers of Education and Training to Overseas Students 2018, the National Statement on Ethical Conduct in Human Research (2023), the Australian Code for the Care and Use of Animals for Scientific Purposes 2013, the Australian Code for the Responsible Conduct of Research, the University of New England Act 1993 (NSW), and professional accreditation requirements.

(43) Notwithstanding other provisions of this Policy, the VC&CEO may approve an exception to this Policy where the VC&CEO determines the application of this Policy would otherwise lead to an unfair, unreasonable or absurd outcome. Approvals by the VC&CEO under this clause must:

1. be documented in writing;
2. state the reason for the exception; and
3. be registered in the approved UNE electronic Records Management System (RMS) in accordance with the Records Management Rule.

Section 3 - Quality Assurance

(44) Quality Assurance regarding the effective implementation of the UNE Academic Quality Assurance Policy will be supported by:

1. annual assurance by the Chair of Academic Board to Council that that each of the functions of academic committees in respect of academic quality assurance are working effectively and that issues or areas for continuous improvement are being followed up; and
2. annual assurance by the Executive Principal Education Futures to the Deputy Vice-Chancellor on compliance with the Academic Quality Reporting Framework.