GUIDE TO AUN-QA ASSESSMENT AT PROGRAMME LEVEL vERSION 3.0 GGGuuuiiidddeee tttooo AAAUUUNNN---QQQAAA AAAsssssseeessssssmmmeeennnttt aaattt PPPrrrooogggrrraaammmmmmeee LLLeeevvveeelll Version 3.0 Guide to AUN-QA Assessment at Programme Level is published by: ASEAN University Network (AUN) 17th Floor, Jamjuree 10 Building Chulalongkorn University Phayathai Road, Bangkok 10330 Thailand © ASEAN University Network All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording and/or otherwise without the prior written permission of the Executive Director, ASEAN University Network. Version No. 3.0 Date of Publication: October 2015 1 | Pa ge Contents Section Page Acknowledgements 3 Foreword 4 Preface 5 1. Introduction to AUN-QA Models 6 1.1 Quality Assurance (QA) in Higher Education 6 1.2 AUN-QA Models 6 2. AUN-QA Model for Programme Level 13 2.1 Expected Learning Outcomes 16 2.2 Programme Specification 17 2.3 Programme Structure and Content 20 2.4 Teaching and Learning Approach 22 2.5 Student Assessment 25 2.6 Academic Staff Quality 28 2.7 Support Staff Quality 34 2.8 Student Quality and Support 36 2.9 Facilities and Infrastructure 39 2.10 Quality Enhancement 41 2.11 Output 44 3. Quality Assessment 47 3.1 Introduction to Quality Assessment 47 3.2 Function and Principles of Quality Assessment 47 3.3 Preparation of Self-Assessment Report (SAR) 48 3.4 Self-Assessment Report (SAR) 50 3.5 Preparation of Quality Assessment 51 3.6 Quality Assessment Process 54 4. Appendices 67 Appendix A – Checklist for AUN-QA Assessment at Programme Level Appendix B – AUN-QA Assessment Planning for Programme Level Template Appendix C – Sample of AUN-QA Assessment Planning Appendix D – AUN-QA Assessment Report for Programme Level Template Appendix E – Sample of AUN-QA Assessment Report Appendix F – AUN-QA Assessment Feedback Report 2 | Pa ge Acknowledgements The guidebook is prepared and edited by Mr. Johnson Ong Chee Bin, AUN-QA Expert with inputs from the members of AUN-QA Council and documentation review team as listed below.  Assoc. Prof. Dr. Nantana Gajaseni, Executive Director, ASEAN University Network (Chairperson)  Dr. Choltis Dhirathiti, Deputy Executive Director, ASEAN University Network  Assoc. Prof. Dr. Titi Savitri Prihatiningsih, MA, MMedEd, PhD, Universitas Gadjah Mada, Indonesia  Prof. Dr. Wan Ahmad Kamil Mahmood, Universiti Sains Malaysia, Malaysia  Prof. Dr. Shahrir Abdullah, Universiti Kebangsaan Malaysia, Malaysia  Prof. Dr. Riza Atiq Abdullah bin O.K. Rahmat, Universiti Kebangsaan Malaysia, Malaysia  Dr. Wyona C. Patalinghug, De La Salle University, Philippines  Prof. Arnulfo P. Azcarraga, De La Salle University, Philippines  Prof. Dr. Marilou G. Nicolas, University of the Philippines, Philippines  Assoc. Prof. Dr. Tan Kay Chuan, National University of Singapore, Singapore  Assoc. Prof. Dr. Damrong Thawesaengskulthai, Chulalongkorn University, Thailand  Assoc. Prof. Dr. Parames Chutima, Chulalongkorn University, Thailand  Dr. Chailerd Pichitpornchai, Sukhothai Thammathirat Open University, Thailand  Assoc.Prof. Chavalit Wongse-ek, Mahidol University, Thailand  Assoc. Prof. Dr. Nguyen Quy Thanh, Vietnam National University-Hanoi, Viet Nam. 3 | Pa ge Foreword AUN-QA Network is established as the ASEAN quality assurance network in higher education with the responsibility to promote quality assurance in higher education institutions, raise the quality of higher education, and collaborate with both regional and international bodies for the benefit of the ASEAN community. Since the inception of the AUN-QA assessment at the programme level in 2007, more than 160 study programmes have been assessed by AUN-QA Network and AUN-QA members and associate members have benefited from the assessment. In rising to the challenges of the ASEAN community, AUN-QA Network has to be bold and forward looking in advocating a harmonised framework for quality assurance in higher education within and outside ASEAN. To this end, AUN-QA Network has to ensure that its quality assurance framework and documentation remain relevant and current. This third version of the guidebook is the fruit of the documentation review by a team of experts from AUN-QA Network. Lastly, I would like to acknowledge and express my sincere gratitude to Mr. Johnson Ong Chee Bin, AUN-QA Expert, for editing the guidebook, and to the members of the AUN-QA Council and the documentation review team for their contributions to the revision of the manual. Assoc. Prof. Nantana Gajaseni, Ph.D. Executive Director ASEAN University Network 4 | Pa ge Preface This guidebook is the third version of the Guide to AUN-QA Assessment at Programme Level. It documents the revised criteria and the process of AUN-QA assessment at programme level and provides associated resources including templates and samples in the appendices. The guidebook is divided into four main sections: 1. Introduction to AUN-QA Models. This section gives an overview of the AUN- QA models. 2. AUN-QA Model for Programme Level. This section describes the AUN-QA model and associated criteria for programme level. 3. Quality Assessment. This section provides a step-by-step guide for conducting the AUN-QA assessment at programme level. 4. Appendices. This section contains the additional resources including checklist, templates and sample reports. 5 | Pa ge 1. Introduction to AUN-QA Models 1.1 Quality Assurance (QA) in Higher Education Quality in higher education is not a simple one-dimensional notion about academic quality. In view of the varied needs and expectations of stakeholders, quality in higher education can be said to be a multi-dimensional concept. The World Declaration on Higher Education for the Twenty First Century: Vision and Action (October 1998), Article 11, Qualitative Evaluation considers quality in higher education as “a multi-dimensional concept, which should embrace all its functions, and activities; teaching and academic programmes, research and scholarship, staffing, students, buildings, facilities, equipment, services to the community and the academic environment. Internal self-evaluation and external 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 quality assurance system. The Regional Report of Asia and the Pacific (UNESCO, 2003b) defines quality assurance in higher education as “systematic management and assessment procedures to monitor performance of higher education institutions”. 1.2 AUN-QA Models ASEAN University Network (AUN) recognises the importance of quality in higher education, and the need to develop a holistic quality assurance system to raise academic standards and enhance education, research and service among its member universities. In 1998, it mooted the AUN-QA Network which led to the development of AUN-QA models. Since then, the network has been promoting, developing, and implementing quality assurance practices based on an empirical approach where quality assurance practices are tested, evaluated, improved and shared. The evolution of AUN-QA Network and its development in quality assurance are depicted in Figure 1.1. 6 | Pa ge Figure 1.1 – Evolution of AUN-QA Network The AUN-QA Models for higher education comprise strategic, systemic and tactical dimensions (see Figure 1.2) and are subjected to both internal and external QA assessment. Figure 1.2 – AUN-QA Models for Higher Educatio 7 | Pa ge Internal QA ensures that an institution, system or programme has policies and mechanisms in place to make sure that it is meeting its own objectives and standards. External QA is performed by an organisation or individuals outside the institution. The assessors evaluate the operation of the institution, system or programme in order to determine whether it meets the agreed upon or predetermined standards. The AUN-QA models are applicable to the diverse universities in ASEAN which are also aligned to both regional and international quality assurance frameworks. 1.2.1 AUN-QA Model for Institutional Level The strategic QA at institutional level encompasses 11 criteria as illustrated in Figure 1.3. Figure 1.3 – AUN-QA Model for Institutional Level Strategic QA at institutional level starts with the needs of the stakeholders which are translated into the university’s vision, mission, goals and aims or objectives. This means that quality assurance and quality assessment will always start with the mission and goals (Column 1) and end with the achievements (column 4) to satisfy stakeholders’ needs. The second column shows how the university is planning to achieve the goals:  translation of the goals into a policy document and policy strategy;  management structure and management style of the university;  human resource management: input of staff to achieve the goals; and  funding to achieve the intended goals 8 | Pa ge