Policy Directory

FACULTY AND ACADEMIC UNIT REVIEW PROCEDURES

Date first approved:
5 November 2008

Date of effect:
1 January 2009

Date last amended
(refer Version Control Table):
4 December 2015

Date of Next Review: Currently under review

First Approved by:

Academic Senate

Custodian title & e-mail address:

Director, Academic Quality and Standards Unit
quality@uow.edu.au

Author:

Executive Officer, Strategic Planning & Quality Office

Responsible
Division & Unit:

Academic Quality and Standards Unit
Deputy Vice-Chancellor (Academic) Portfolio

Supporting documents, procedures & forms of this procedure:

UOW Academic Review Policy
Curriculum Review Procedures

Relevant Legislation &

External Documents:

UOW Performance Monitoring Framework
Risk Management Policy

Audience:

Public

Submit your feedback on this policy document using the Policy Feedback Facility.

1 Introduction / Background

  • 1. These procedures operate under the UOW Academic Review Policy and take effect from the initiation of a faculty or academic unit review. Unless indicated otherwise, they may be varied only with approval by the DVC(E).

2 Scope / Purpose

  • 1. These procedures apply to:
      • A faculty-administered review of an academic unit, under section 7.12 of the Policy
      • A centrally-administered review of a faculty or an academic unit, under section 7.16 of the Policy
      • The process for developing triennial faculty performance review reports, under section 7.2 of the Policy.

3 Definitions

  • 1. Definitions in this procedure are the same as those in the UOW Academic Review Policy.
  • 2. In this Procedure, ‘Policy’ refers to “UOW Academic Review Policy” unless otherwise indicated.

4 Flowchart & Timeframe

  • 1. The faculty or unit review shall be conducted within the timeframes in the Flowchart below except where a variation is approved by:
      • the DVC(E) in the case of a centrally-administered review
      • the Dean in the case of a faculty-administered review

Max intervals* from initiation of review (in working days)

Academic Unit & Faculty Reviews Flowchart and Timeframe

5 days ▼

* Review Secretariat Appointed (Cl.5)
* Notification (Cl.6)
* Appointment of Review Committee (Cl.7)

30 days ▼

* Self Assessment Process (Cl.9) (max 3 weeks preparation)
* Reference Package
* Self Assessment Template
* Initiation of Review Process (Cl.9)
* Review Committee Package
* Invitations – Submissions and Interviews
* Meeting Schedule Finalised
* Self assessment Report Received

40 days ▼

* Review Committee meeting (Cl.11)
* Self Assessment Report to Committee

50 days ▼

* Review Report and Outcomes Submitted (Cl.12 Faculty, Cl. 13 Central)

70 days (or by next meeting date)

* Outcomes (Centrally Administered Review Only) to University Council and Academic Senate for nothing and approval (Cl13.7).
* Approval Recommendations reported to Committee and Participants (Cl.14).

12 months ▼

* Implementation of recommendations – monitor and reported on annual Faculty and Review Report (Cl.14)

* Cumulative from date of initiation of review.

5 Appointment of Review Secretariat

  • 1. For faculty-administered reviews, a faculty staff member shall be appointed by the Dean.
  • 2. For centrally-administered reviews, a staff member shall be appointed by the DVC(E).
  • 3. The review secretary shall organise the review process in accordance with these Procedures and in consultation with the Review Committee Chair.
  • 4. The review secretary’s responsibilities shall include document and communications management, record-keeping and the compilation of the review report after input from Committee members.

6 Notification

  • 1. For centrally-administered reviews, the Vice-Chancellor shall notify Dean of the initiation and reasons for the review.
  • 2. For faculty-administered reviews, the Dean shall notify the Head of Unit of the initiation and reasons for the review.
  • 3. The Dean or Head of Unit shall inform all faculty or unit members about the review.

7 Appointment of Review Committee

  • 1. For faculty-administered reviews, the Dean shall:
        • a. consult with the SDVC, in accordance with section 7.13 of the Policy;
        • b. invite the selected nominees and provide advice on the review terms of reference and proposed timetable; and
        • c. appoint the Committee members.
  • 2. For centrally-administered reviews, the Vice-Chancellor, in accordance with section 7.17 of the Policy, shall:
        • a. invite the selected nominees and provide advice on the review terms of reference and proposed timetable; and
        • b. appoint the Committee members.
  • 3. The Committee Chair shall notify the faculty or unit of the Review Committee membership.

8 Data Package

  • 1. The Chair shall request the Planning Services Unit to provide a data package aligned to KPIs listed in self-assessment Template (Attachment 1) within two weeks.

9 Self-Assessment Process

  • 1. A Self-Assessment Report shall be prepared by the faculty or unit, on the approved template (Attachment 1), as a key reference document for the review committee’s evaluations in both faculty- and centrally-administered reviews.
  • 2. The Chair, in consultation with the DVC(E), may adapt the Self-Assessment Report template to amend or add specific indicators, as identified for the particular review.
  • 3. The Chair shall formally initiate the self-assessment process by advising the Dean or Head of Unit and forwarding a set of reference materials, including:
        • a. the self-assessment template (or electronic access details), as adapted if required under clause 9.2 above
        • b. the composition of the Review Committee
        • c. the Academic Review Policy and Procedures
        • d. the UOW Strategic Plan and Performance Monitoring Framework
        • e. the Data Package
        • f. Preliminary Review timetable
        • g. Contact details for Review Secretariat
  • 1. The Dean or Head of Unit shall complete the Self-Assessment Report template:
        • a. with reference to the data package, and
        • b. after consultation with unit/faculty members and key committees and with any external input considered appropriate

          and submit it to the Review Secretary within three working weeks of notification under clause 9.3 above.

10 Initiation of Review Committee Process

  • 1. The Chair shall formally initiate the Review Committee process by forwarding Committee members a review package consisting of:
        • a. the Preliminary Review timetable
        • b. the Summary of Reasons for initiation of the review
        • c. the Academic Review Policy and Procedures
        • d. the UOW Strategic Plan and Performance Monitoring Framework
        • e. the relevant Faculty Plan
        • f. the Data Package
  • 2. The Chair shall invite feedback from members on the terms of reference, timetable/interview schedule and review material package and finalise them in consultation with members.
  • 3. The Chair shall forward copies of review terms of reference, committee composition and deadlines to relevant stakeholders, including:
        • a. members of the participating Unit and Faculty (including student representatives)
        • b. other faculties and professional units
        • c. community partners

          and invite individual/group submissions and requests for interview.

  • 4. On receipt of the Self-Assessment Report, as required under clause 9 above, the Review Secretary shall:
        • a. reserve interview times with the Dean and/or Head
        • b. after consultation with the Chair and Committee members, confirm other interview times and advise interviewees
        • c. confirm the review timetable and interview schedule in advice to the faculty/unit and committee

11 Review Committee Meetings

  • 1. The Review Secretary shall forward the completed Self-Assessment Report to committee members for consideration at least seven working days before the first meeting.
  • 2. The Review Committee shall meet no later than 40 working days after initiation of review and normally over a three -day period.
  • 3. The Committee shall:
        • a. address the reasons for initiating the review
        • b. consider the Self-Assessment Report and supporting data
        • c. conduct interviews as appropriate
        • d. follow-up issues as required via, e.g., additional data and interviews
        • e. draft and finalise review report, including recommendations

12 Review Reporting and Outcomes - Faculty-Administered Reviews

  • 1. The Chair, with input from the Committee, shall prepare the review report on the attached Review Report Template (Attachment 2), adapted if required for the particular focus of the review.
  • 2. The Chair shall submit the final draft of the review report to the SDVC, DVC(E) and Vice-Chancellor for comment.
  • 3. The Chair shall finalise recommendations in light of comment and with reference to Review Committee, as required, and forward the review outcomes to the Head of Unit for preparation of a response and an action plan in consultation with unit members.
  • 4. The Head of Unit shall submit the response and action plan to the Dean for endorsement in consultation with Faculty Executive Committee.
  • 5. The Dean shall advise:
        • a. the Review Committee members of the outcomes of the approval process
        • b. participants (from outside faculty or unit) of public outcomes where confidential issues are not involved
  • 1. The Dean shall report the review outcomes to the Faculty Advisory Committee at its next meeting.

13 Review Reporting and Outcomes - Centrally-Administered Reviews

  • 1. The Chair, with input from the Committee, shall prepare the review report on the Review Report Template (Attachment 2), adapted if required for the particular focus of the review.
  • 2. The Chair shall forward the review report to the Vice-Chancellor, for consideration and determination of the content for public release (in some cases, sections may need to be withheld on privacy or confidentiality grounds).
  • 3. The Vice-Chancellor shall refer the review outcomes, as appropriate, to the faculty/unit for response.
  • 4. For an academic unit review, the Head of Unit shall develop the response and action plan, in consultation with unit members and the Dean, for submission to the Vice-Chancellor within two working weeks of receipt.
  • 5. For a faculty review, the Dean shall prepare the response and action plan, in consultation with Faculty Executive Committee and other faculty members/groups as appropriate, for submission to the Vice-Chancellor within two weeks of receipt.
  • 6. After considering the review report and the response, the Vice-Chancellor shall prepare a commentary, where necessary, and forward it to the Dean and Head of Unit.
  • 7. The Vice-Chancellor shall refer the report on the review outcomes as appropriate, the commentary and the response from unit/faculty to the Academic Senate and University Council for noting and approval, as appropriate, of recommendations and action plan.
  • 8. The Dean shall report the review outcomes, approved recommendations and response strategies to members of faculty/unit and to the Faculty Advisory Committee for noting.
  • 9. The Chair shall advise:
        • a. the Review Committee members of the outcomes of the approval process
        • b. participants (from outside faculty or unit) of public outcomes where confidential issues are not involved

14 Implementation of Approved Recommendations

  • 1. The faculty or unit shall implement the approved review recommendations in accordance with the endorsed action plan.
  • 2. For faculty-administered reviews, the Dean and Faculty Executive Committee shall monitor the implementation of approved recommendations and submit an implementation report to the DVC(E) as part of annual Faculty Plan and Review Report until outstanding action is completed.
  • 3. For centrally-administered reviews:
        • a. the SDVC (via regular meetings with Deans) shall monitor the implementation of recommendations
        • b. an implementation report shall be submitted to the DVC(E) as part of the annual Faculty Plan and Review Report until outstanding action is completed

15 Triennial Review and Reporting

  • 1. The Dean, in consultation with the faculty, shall prepare a triennial review of performance against the University Goals and aligned Faculty Planning strategies, as required under section 7.2 of the Policy, and submit it to the Faculty Advisory Committee and to the DVC(E) and SDVC for advice and feedback, as necessary.
  • 2. The triennial report shall be based on the Self-Assessment template attached to these Procedures (Attachment 1) and make reference to relevant performance and outcomes data.

16 Roles and Responsibilities

  • 1. Roles and responsibilities are as detailed under the UOW Academic Review Policy.

17 Version Control Table

Version Control

Date Effective

Approved By

Amendment

1

1 January 2009

Academic Senate

First Version

2

30 April 2009

Senior Manager, Policy and Governance

Migrated to the UOW Procedure Template as per the Policy Directory Refresh

3

16 Jan 2013

Vice-Principal (Administration)

Updated to reflect title change from DVC(A) to DVC(E).

4

4 December 2015

University Council

Consequential Amendment to remove reference to Graduate Qualities following rescission of Graduate Qualities Policy.

Update of DVC(A) title and latest Procedure Template.

Attachment 1: Self Assessment Report Template

Self-Assessment Report - Template

Introductory Notes:

      • Under section 7.11 on the UOW Academic Review Policy, a Faculty or Academic Unit Review shall assess performance against the UOW Goal areas, with reference to specific faculty objectives and strategies.
      • The self assessments under each Goal area should be linked to the UOW Goal KPIs, as adapted for the template, the current Faculty Plan and specific indicators identified for the review.
      • The Self-Assessment Report should be concise and evaluative with evidence-based conclusions (including ‘good practice’ examples referenced to data).
      • The Report must be completed and submitted to the Review Secretary within three working weeks of receipt of template.
      • A Central Data Package will be made available to the faculty/unit and the review committee.

EXECUTIVE SUMMARY

Faculty/Unit profile as aligned with current Faculty Plan:

Strengths:

Key risks:

Opportunities for Improvement:

Future priorities:

Specific Issues Identified For Review

        • ---------
        • ---------
        • Faculty/Unit Response:

---------

REPORT AGAINST GOAL AREAS

Learning and Teaching

UOW KPIs:

        • Quality and impact of teaching programs
        • Student satisfaction with their learning experience and the quality of teaching
        • Graduate readiness for employment

Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

Research

UOW KPIs:

        • Recognition of quality and diversity of research activity
        • Quality of HDR enrolments
        • Impact of strategic external research partnerships (as applicable - Status in health and medical research and innovation)
        • Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

Community Engagement

UOW KPIs:

        • Level of visibility and accessibility in local region
        • Strength of partnerships and contribution to community development
        • Community engagement embedded in core unit/faculty activities
        • Initiatives to boost HE participation from regional schools

Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

Students

UOW KPIs:

        • Student satisfaction (attrition and retention)
        • Student engagement
        • Communication with students
        • Prospective student perception
        • Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

International Focus

UOW KPIs:

        • Student engagement with an international experience
        • Staff engagement with international activities or experience
        • International student engagement with UOW experience
        • Active relationships with strategic institutions and international alumni networks
        • Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

Staff

UOW Indicators:

        • Attraction and retention of staff aligned to strategic directions
        • Quality of staff and staff development
        • Staff well-being
        • Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

 

Business/Planning

UOW Indicators:

        • Evidence of a quality culture (incl. risk analysis, planning, communication and review processes)
        • Student recruitment and marketing strategies
        • Financial management
        • Management of resources( incl. environmental initiatives)
        • Self Assessment (refer to/attach supporting data)

Achievements/Strengths - Areas for Improvement

---------

Attachment 2: Review Report Template

Review Report Template

PREAMBLE

Statement of Reasons for Initiation

Approved Variations to Procedures (if applicable)

Review Committee Membership

Schedule of Review Meetings

(Dates, times and where necessary, locations)

Consultation Process

REVIEW ASSESSMENT (with reference to Self-Assessment Report)

Summary of Committee Conclusions & Recommendations

Conclusions and Recommendations under Self-Assessment areas:

Faculty/Unit Profile

Specific issues identified for review

Goal Areas & Indicators:

  • 1. Learning & Teaching
  • 2. Research
  • 3. Community Engagement
  • 4. Students
  • 5. International Outlook and environment
  • 6. Staff
  • 7. Business/Planning (with reference to relevant faculty objectives and strategies)

Additional Commentary or Conclusions as required

ATTACHMENTS

Consultation Schedule*

Interview Schedule*

List of Submissions Received*

Data References

*Persons consulted, interviewed and/or making submissions may be recorded by category or number where they have requested that their names be withheld for reasons of confidentiality.

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