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Title Learning and Teaching Quality: Enhancement and Assurance Framework Purpose This document describes elements of the University’s processes to support learning and teaching quality enhancement and assurance under a framework of planning, implementation, monitoring and enhancement, and identifies key responsibilities and accountabilities within the University for these processes.

Principles The University of Auckland Strategic Plan 2013-2020 specifies excellence in research-led teaching for all academic staff as part of the University’s mission, and commits to developing and maintaining: a high quality learning environment that maximises the opportunity for all our students to succeed and provides them with an inclusive, intellectually challenging and transformative educational experience. The University’s Graduate Profiles express a set of attributes which are considered attainable by graduates of a research-led comprehensive university.

Planning

Implementation

Monitoring and evaluation

Enhancement

Learning and Teaching Quality:

Enhancement and Assurance Framework

Teaching and Learning Quality Enhancement

and Assurance

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Responsibilities Role responsibilities Responsibility for the assurance and enhancement of learning and teaching quality rests with every member of staff involved in teaching delivery. Students, in partnership with teaching staff, are responsible for their learning and for providing constructive feedback on teaching and courses. Responsibility for the oversight of learning and teaching quality is distributed throughout the University, through Course Directors and coordinators, Heads of Department, Faculty Deans and Associate Deans with responsibility for learning and teaching, the Dean of Graduate Studies and ultimately the Deputy Vice-Chancellor (Academic), reporting to the Vice-Chancellor and the University Council. The Deputy Vice-Chancellor (Academic) is responsible for strategic direction and leadership of learning and teaching across the University. The Director of Learning and Teaching, reporting to the Deputy Vice-Chancellor (Academic); the Office of Planning and Quality; the Centre for Learning and Research in Higher Education; and central service divisions also play a key role. Appendix One: Role responsibilities for learning and teaching quality assurance and enhancement Committee structures Committees have a key role in the planning, implementation, monitoring and enhancement of the quality of learning and teaching. Senate is the main decision-making body for academic matters in the University. The standing committees of Senate include key committees with a remit for academic matters:

• the role of Education Committee is to advise and recommend to Senate on academic policy developments and regulations and to oversee quality assurance and enhancement processes. Teaching and Learning Quality Committee (TLQC) is a sub-committee of Education Committee and is responsible for decisions about the quality assurance and enhancement of learning and teaching

• Academic Programmes Committee (APC) is responsible for the design and monitoring of academic qualifications, including new qualifications

• the Board of Graduate Studies (BoGS) is chaired by the Dean of Graduate Studies and is the central committee for the development of policy and for administrative matters related to research students.

The Senior Management Team, the Vice-Chancellor, Deans and Directors group and the Student Consultative Group are key Advisory Committees to the Vice-Chancellor.

Faculties and teaching units maintain committees that contribute to quality assurance and enhancement at the local level and often include staff represented on academic committees at University level. Appendix Two: Committees and central services with responsibility for learning and teaching decision-making and quality assurance and enhancement The University maintains a list of delegations for critical decisions that impact learning and teaching and quality assurance and enhancement. Appendix Three: Academic delegations

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LEARNING AND TEACHING QUALITY: ENHANCEMENT AND ASSURANCE FRAMEWORK

PLANNING

University planning for learning and teaching objectives and activities informs quality assurance and enhancement processes. Planning is informed by outcomes from monitoring, review and evaluation activities. a. Strategic planning The University of Auckland Strategic Plan 2013-2020 sets out objectives for the University, including those for learning and teaching. Faculty and service division Strategic Plans are aligned with the University’s Strategic Plan. b. Annual plans and reports Faculty and service divisions are required to produce Annual Plans with Key Performance Indicators (KPIs) aligned with those in the University Strategic Plan, including KPIs for learning and teaching. These Annual Plans inform the production of the University’s Annual Report. c. Learning and teaching planning and reporting The Office of the Deputy Vice-Chancellor (Academic) maintains a three-year operational Learning and Teaching Plan, aligned with the Strategic Plan, which is approved by Senate and Council. Faculties are required to submit a Faculty Annual Plan on their key teaching and learning priorities to the Director of Planning and Quality, and to follow up with a mid-year and final report demonstrating how progress towards the Strategic Plan targets will be achieved. Capital planning processes govern capital expenditure for the physical environment for learning and teaching. The Capital Plan is supported by faculty and service-division accommodation plans. A Campus Development Strategy and set of principles underpins planning for refurbishment and new development. d. Student participation Students participate in the University’s planning cycle for learning and teaching through student representation on Council, Senate, Education Committee, and Teaching and Learning Quality Committee. Students also provide feedback through the class representative system in each department or school, and this feedback is reported to faculty-level Staff-Student Consultative Committees. Student class representatives are supported by training provided by the Auckland University Students’ Association (AUSA). Representatives from the AUSA, other University students’ associations, and key University committees provide comment on learning and teaching issues through the Vice-Chancellor’s Student Consultative Group. Students provide feedback through course and teaching evaluations and the Teaching and Learning Survey. Results are reported by the Office of Planning and Quality to the DVCA (A), faculties, and TLQC. Departments, schools, faculties, and service divisions may also administer surveys in consultation with the Office of Planning and Quality. e. Stakeholders

The University engages with stakeholders concerning curriculum, including:

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• faculty-level and programme-level advisory boards with representation from employers, industry and professional groups. These boards often hold Terms of Reference that evaluate relevance of curricula

• accreditation reviews by professional and industry groups • stakeholder input into University reviews of academic units, and programme reviews. • stakeholder input into the internal process supporting Graduating Year Reviews. • links through Schools Partnership Office with teachers and principals • employer involvement with internship opportunities in different programmes • stakeholder input into reviews of curricula initiated by faculties.

Implementation University and faculty-level planning guides the implementation of quality enhancement and assurance processes and policies for learning and teaching. a. Learning and teaching policies The implementation of University strategic goals for learning and teaching is carried out through the development, enactment and review of key policies and processes. University academic committees play a major role in policy formation and review. University policies for learning and teaching are developed using a template and must be accompanied by an implementation and communication plan. Student input into policy development occurs through student representation on these key committees and through feedback from University-wide Teaching and Learning Surveys. Faculty representatives on the appropriate committees disseminate new or revised policies at their local level. All University policies and related guidelines are available on a centralised Policy Register and the University’s Teaching and Learning website. Most University-level policies governing learning and teaching activities are approved by Education Committee, Senate and Council. Appendix Four: Learning and teaching policies and guidelines

b. Programme and course design Processes for programme design and approval are managed by the Calendar and Regulations Office. The annually reviewed document, Academic Programmes: Amendment Guidelines sets out a rigorous two-stage approval process, which is monitored through Academic Programmes Committee. This process ensures that the University’s academic programmes are high-quality, relevant and aligned with strategic priorities. Departmental and programme committees ensure the currency of subject offerings and specialisations. Course development is undertaken at the department or school level, and approved at the faculty level. Course Directors have responsibility for oversight of course assessment, design and review. The Centre for Learning and Research in Higher Education (CLeaR) provides courses on course design and assessment to support high-quality curriculum design. c. Assessment The design and use of assessment is governed by Examination Regulations, the Assessment of Student Learning Policy and the annually reviewed Instructions to Examiners and Assessors. All faculties prepare and disseminate grade descriptors. Course Directors are responsible for course oversight. Examiners (who may be internal or external) are responsible for course

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assessment, and assessors (who also may be internal or external) are appointed to maintain standards in the examining process. d. Postgraduate supervision Academic staff must be accredited to supervise masters or doctoral candidates; this accreditation process is managed by the School of Graduate Studies. The Postgraduate Supervision Limits and Teaching Workload Allowance policy stipulates limits for supervision per academic staff member. e. Learning and teaching spaces Space provision is managed through the Property Services division. Much of the day-to-day management of learning and teaching spaces is coordinated by the relevant faculty or service division in conjunction with Property Services. The Learning Environment Support Unit is responsible for supporting pool teaching spaces and provides guidance and assistance for academic staff in using teaching technologies. f. E-Learning

The University has a commitment to the promotion and support of research-informed innovation and the use of new technologies that enhance student achievement. The e-Learning division in the Centre for Learning and Research in Higher Education provides resources and practical support for the development of e-learning projects and the use of ee-Learning teaching technologies across the University. The University’s web-based learning management system, CECIL, allows online course management, including administration and assessment. CECIL is a major source of course information for students.

Monitoring and evaluation

Monitoring and evaluation processes provide information on the effectiveness of the University’s activities, and whether they are meeting the University’s strategic objectives. The information provided by monitoring processes informs planning cycles. a. Learning and teaching policies Review is undertaken by the committee responsible for the development of a given policy, or on occasion by a specially constituted working group, supported by the Planning and Quality Office. Policy reviews are prompted by review dates, or by developments in the learning and teaching environment. University learning and teaching policies are monitored for currency by the Office of the Deputy-Vice Chancellor (Academic). Policies governing postgraduate research and supervision are reviewed by the Board of Graduate Studies.

b. Programme and course review

Reviews of academic units and academic programmes, determined by the DVC (A) and faculty Deans, ensure that systematic quality assurance and enhancement processes are embedded in faculty practice. Local monitoring is conducted by a faculty-wide review on a five to seven-year cycle by a senior academic external to the faculty with reports for consideration by the faculty. An Implementation Plan is produced after the report to be reviewed by Education Committee, and a status report is provided one year later.

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External reviews of academic units evaluate teaching and research performance against international benchmarks on a seven to ten-year cycle. The DVC (A) maintains a three-year rolling plan for reviews to facilitate review planning. The report will consider performance in the context of international standards and New Zealand conditions. Implementation of key action areas will be monitored by Education Committee and Research Committee through a series of progress reports. The University has an internal process for review of new programmes, which is used to produce Graduating Year Reviews for the Committee on University Academic Programmes. In some areas a monitoring role for programmes is taken by a Board of Studies or cross-faculty Board. A number of professional programmes across the University have periodic reviews undertaken by external bodies. Summary reports on Accreditation Reviews are received by Education Committee. Academic Programmes Committee is responsible for monitoring academic programme regulations. APC also receives reports on the quality of programmes delivered in partnership with other institutions, or off-shore. Course deletions are monitored and processed by APC.

Regular end-of-course student summative course and teaching evaluations are required for quality assurance and enhancement purposes. The requirements and responsibilities for these evaluations are described in the University’s Policy on Enhancement and Evaluation of Teaching and Courses. The quality of courses is also reviewed through formative, informal feedback and discussion between teaching staff and students during delivery of a course, and through formal and informal peer review and observation processes. External moderators may undertake, for all or some postgraduate courses, a review of the content and grading of examination papers and reports to the Academic Head as to the appropriateness of the examination and grading given course content and recognised academic standards. Moderation should take place on a one or two year cycle. c. Assessment Assessment quality is monitored through course reviews and moderation processes at department and faculty level. Pass rate reports are considered by Education Committee and Associate Deans. Teaching and Learning Surveys provide for student comments on the quality and appropriateness of assessment.

d. Postgraduate supervision

The quality of postgraduate supervision is monitored through provisional and annual doctoral reports and mid-year Masters progress reports. Students also comment on the quality of supervision in the annual Doctoral Exit Survey. Data on postgraduate and doctoral students produced by the Planning and Quality Office are evaluated by the Board of Graduate Studies. e. Learning and teaching spaces Appropriate space requirements for teaching and research facilities, student facilities and service divisions are included in the Long Term Capital Plan. The Plan also considers the development of informal spaces for student activities, externally and internally, within new and refurbished buildings. The quality of teaching and learning spaces is monitored through KPIs reported to Council and through the Teaching and Learning Survey. All teaching technologies in teaching rooms align with Association of Educational Technology Managers (AETM) standards for tertiary teaching spaces which cover areas such as sightlines, acoustics and

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audio-visual fit-out. To ensure the University’s technologies remain current they are updated on a five year maintenance plan cycle. f. E-Learning

The Centre for Learning and Research in Higher Education provides a centralised service to the University community by offering consultation and assisting with the design and development of digital learning resources. Services include:

• e-Learning contacts, projects, learning design and multimedia development • professional development in lecture recording and e-Learning research • software resources such as CourseBuilder and other e-Learning software • web resources including scholarly journals, blogs and wikis, and e-Learning information

g. Teaching quality Teaching quality is monitored in a number of ways:

• self-reflection and review of teaching practice • departmental course review processes conducted by Course Directors • summative Course and Teaching Evaluations with reporting to the DVC (A) and faculty

Deans; follow up actions are required when the overall satisfaction rate of for a course falls below 70%

• peer review processes • University Teaching and Learning Surveys with reporting to the DVC (A) and faculty

Deans • induction processes and training programmes for staff new to university-level teaching

or supervision • Annual Performance Review processes where academic staff reflect upon teaching skills

and set objectives for teaching development • faculties report on pass rates to Education Committee, identifying actions to address

any issues raised. h. Graduate outcomes The University and its staff support and monitor student achievement of the Graduate Profiles through:

• informing students of the profiles and their importance, beginning with recruitment and promotional material

• developing and implementing graduate profiles at programme level, using feedback from other stakeholders including employers

• organising curricula, teaching practices and assessment methods to ensure that students are provided the opportunity to work towards the attributes of their respective profile

• monitoring student progress through related items of University teaching and learning surveys

i. Other internal monitoring and evaluation University-wide surveys are governed by the University’s Student Survey Policy, which mandates a three-year rolling Student Survey Plan. Teaching and Learning surveys are a key source of information to inform the University’s quality assurance and enhancement processes. Results of the University Teaching and Learning Survey are reviewed by the Senior Management Team, the TLQC and Education Committee. The Planning and Quality Office is responsible for:

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• the analysis of course and teaching evaluations and the Teaching and Learning Survey • provision of data to monitor student demand, achievement and outcomes such as

enrolment trends; student retention, progression and pass rates; student completions; and student withdrawals and failures

j. External monitoring and evaluation The University undergoes external academic audit on a five-year cycle. Academic Audit reports are public documents and the University is required to address audit recommendations and report on implementation.

Enhancement and feedback Enhancement and feedback activities comprise the crucial final stage in the planning, implementation, and monitoring cycle. On-going enhancement comes from careful monitoring and evaluation of learning and teaching activities. Feedback to staff, students and other stakeholders forms an important part of this stage. a. Enhancement of learning and teaching Faculties and departments support teaching performance and innovation. The Academic Head reviews staff performance management processes and goals, provides feedback, and oversees the induction of new staff and the identification of a mentor. Faculties and departments also play a role in recognition of best practice through local teaching awards.. The DVC (A) holds annual meetings with Deans to discuss faculty-specific issues arising from Teaching and Learning Surveys and results of student course and teaching evaluations. Faculties are responsible for developing action plans to address any issues that are identified. Academic audit requires the University to undertake a self-review of its teaching and learning activities and quality assurance processes. Enhancements identified in the course of the self-review and the recommendations made in the audit report inform improvements. b. Teaching development

CLeaR supports workshop-based training for teaching staff to develop their academic practice. The Centre also provides advice and assistance for teaching development methods such as peer observation and review, teaching portfolios, electronic portfolios, peer mentoring and formative feedback. Peer reviews and teaching portfolios may contribute to a staff member’s Annual Performance Review, and may also form part of a submission for continuation and promotion or for an award for excellence in teaching. CLeaR hosts the Postgraduate Certificate in Academic Practice, a professional qualification for academic staff, and supports CLeaR Fellowships. CLeaR Fellows are academic staff nominated by their Dean to research and disseminate new teaching strategies. Learning Enhancement Grants provide a source of contestable funding to support the development of innovative projects to enhance teaching practice. The University’s Teaching Excellence Awards recognise and celebrate excellence in teaching and postgraduate research supervision. As a condition of the award, winners are asked to share their practice in teaching development forums. The Vice-Chancellor’s Strategic Development Fund seeds new, innovative, strategically-aligned projects for activities such as the enhancement of Māori and Pacific participation and performance; enhancement of learning and teaching, to include the overall student experience; and enhancement of international students’ experience. c. Student learning support

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Libraries and Student Learning Services provide library, academic and language literacy services to enhance the teaching, learning, research, scholarship and creative work of students and staff. Students have access to enquiry and consultation services, generic workshops, and targeted and embedded learning opportunities to develop the skills required for academic success at the University. d. Student participation Students participate in feedback on learning and teaching in a number of ways. These include:

• Staff-Student Consultative Committees at department and faculty level • student representation on committees with a mandate for teaching and learning • the Vice-Chancellor’s Student Consultative Committee which includes representatives

from student associations across the University, and holds regular meetings with the Vice-Chancellor and other senior staff.

• course and teaching evaluations • the University Teaching and Learning Survey, governed by a three-year rolling plan • other surveys in which the University participates, such as the International Student

Barometer and the Australasian Survey of Student Engagement • the interaction of the executive of the Auckland University Students’ Association with

central service divisions and University senior management • the Doctoral Exit Survey • the Library Client Survey • student input into Department and Programme Reviews • student participation on faculty and University working groups, taskforces or focus

groups formed to consider specific initiatives or policies. Through these mechanisms student feedback is considered and reflected in decisions made about learning and teaching policies and initiatives.

e. Other feedback loops and communication

• faculty representatives serving on university committees are expected to transmit information back to their respective faculty, and senior academic staff have responsibility to disseminate information, including the sharing of good practice

• new academic policies are accompanied by a communication plan for relevant and interested parties

• projects and initiatives impacting teaching and learning quality are reported to committees, with dissemination of that information back to faculties by committee representatives

• key central service divisions, such as Libraries and Learning Services, CECIL and CLeaR, report regularly to committees such as TLQC

• dedicated webpages on the University website provide feedback to students on major initiatives undertaken

• academic staff provide feedback to students on changes made to courses as a result of information reflected in Course and Teaching Evaluations

• feedback from the Teaching and Learning Survey is reported to the DVC (A) and faculties by the Office of Planning and Quality, and results are summarized on the University’s Teaching and Learning web site

• the University’s Policy Register is a resource for all interested parties to consult policies, documents and guidelines

• CLeaR’s three day University Teaching and Learning programme, mandatory for University staff new to teaching, includes information about University teaching policies and guidelines

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Appendix Five: Undergraduate and postgraduate student participation in quality assurance and enhancement

Appendices Appendix One Role responsibilities for learning and teaching quality assurance and

enhancement Appendix Two Committees and central services with responsibility for learning and

teaching decision-making and quality assurance and enhancement Appendix Three List of academic delegations Appendix Four Learning and teaching policies and guidelines Appendix Five Undergraduate and postgraduate student participation in quality

assurance and enhancement Audience All staff, all students and the Council of the University. Key relevant legislation, including the following: Education Act 1989 Consumer Guarantees Act 1993 Privacy Act 2013 Copyright Act 1994 Fair Trading Act 1986 Directly Related Policies and Documents Strategic Plan 2013-2020

Graduate Profiles Policy on the Enhancement and Evaluation of Teaching and Courses Student Survey Policy Instructions to Examiners and Assessors Academic Programmes: Amendment Guidelines Assessment of Student Learning

Managers and Academic Heads Guide for Inducting New Staff

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APPENDIX ONE: Role responsibilities for learning and teaching quality assurance and enhancement Role Responsibilities Academic Heads Monitoring teaching quality and initiating and overseeing regular reviews of the

quality of the curriculum and teaching Academic staff Course outlines; learning outcomes; assessment design; course review; course

delivery Associate Deans (Academic)

Providing leadership on academic programming and planning, reviewing processes and ensuring delivery of student resources and services

Associate Deans (Postgraduate) Overseeing academic policy and quality standards for postgraduate programmes and supporting student development

Centre for Learning and Research in Higher Education Providing resources and services to support teaching and learning, e-learning innovation and research on teaching

Course directors Course outlines; learning outcomes; assessment design; course review; course delivery

Dean of Graduate Studies Development and oversight of policies and procedures for graduate programmes, and for the promotion and advocacy and oversight of postgraduate students and postgraduate study and research

Deans

Providing effective strategic, academic and managerial leadership and overseeing the quality delivery of courses and teaching within their faculty

Deputy Vice-Chancellor (Academic) University-wide academic policies and processes; strategies for academic staff development and student learning support; quality assurance through departmental and programme reviews and external academic audit

Director of Teaching and Learning Ensuring resources and projects are aligned with the university’s strategic direction and its Learning and Teaching Plan

Faculty or School Postgraduate Directors Providing students with programme and supervisory information and overseeing degree progression

Planning and Quality Office

Providing evaluation analysis and reports for faculties and Teaching and Learning Quality Committee and quality- assuring the evaluations process; providing data to monitor student demand, retention, progression, pass rates and completions

Students Partnering with teaching staff in the learning and teaching process and providing constructive feedback on teaching the learning process and its outcomes

Supervisors

Assisting students to achieve the best research result by providing expertise and support to help bring the research to a successful completion

University Library Delivering resources and services to support learning and teaching, as well as advice and training for researchers

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APPENDIX TWO: Committees and central services with responsibility for learning and teaching decision-making and quality

assurance and enhancement. Teaching and learning responsibilities Reports to Student representation and

input

FACULTIES Academic Committee/ Board of Studies /Teaching and Learning Committee

Oversees curriculum and quality delivery of courses Faculty Committees

Senate

Students may be represented

UNIVERSITY Council Ensures that the University attains the highest standards of excellence in education, training and research

- Two members elected by students

Senate Advises Council on matters relating to courses of study or training, awards, and other academic matters

Council Five student members nominated by Auckland University Students Association (four undergraduate and one postgraduate)

Education Committee

A standing committee of Senate that: • advises and recommends to Senate on

academic policy developments • advises and recommends on policy and

regulations relating to: • University entrance • Recruitment, admission and enrolment • limitations and selection criteria • discipline • other matters of an academic nature

• recommends on and oversees Departmental and Programme Reviews

• advises and recommends on academic matters relating to distance education

Senate

President, AUSA (or nominee)

Academic Programmes Committee

A standing committee of Senate that: • reviews and makes recommendations to Senate

on all proposals for new academic programmes, new academic qualifications and major changes to existing programmes and qualifications

• monitors the manner in which faculties exercise

Senate One student representative

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Teaching and learning responsibilities Reports to Student representation and input

their delegated authority over minor changes to academic programmes and courses and the introduction of new courses

• oversees and monitors the review and evaluation of new academic programmes and qualifications

Board of Graduate Studies

A standing committee of Senate that: • advises on and develops policy on postgraduate

study • promotes postgraduate study and research • acts on all administrative matters relating to all

doctorates and higher degrees • appoints examiners and moderators • oversees the conduct of examinations of

doctoral and higher degrees • advises on the management and activities of

the School of Graduate Studies • collects and reports on statistics relevant to

graduate studies • acts on matters relating to the establishment

and award of graduate Scholarships, Prizes and Awards as required by Scholarships Sub-Committee

Senate Two postgraduate representatives nominated by the PGSA

Teaching and Learning Quality Committee

A sub-committee of Education Committee that: • makes recommendations on policies and

activities that will improve the quality of teaching and learning

• monitors the quality of teaching and learning • advises and recommends on policies and

procedures for the evaluation of teaching and learning

• advises on priorities in higher education research, academic staff development and student learning support activities and monitors these activities

• advises, recommends on and administers annual University of Auckland Learning Enhancement Grants, Teaching Excellence Awards and national Tertiary Teaching Excellence Awards

Senate, through Education Committee

Two student representatives

Library Committee Advises on policy relating to the library Senate AUSA representative.

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Senior Management Team (SMT)

An advisory committee to the Vice-Chancellor Vice-Chancellor -

Vice-Chancellor, Deans and Directors (VCDD)

An advisory committee to the Vice-Chancellor Vice-Chancellor -

Student Consultative Group

An advisory committee to the Vice-Chancellor that: • shares information about key strategic issues facing

the University and their impact on students • shares information and updates on key University

developments • consults on University-wide policy where these have

not or cannot be discussed by any other University committee that includes student representatives

• hears concerns raised by students where these cannot be addressed by other committees, departments, faculties or service divisions

• provides a forum for consultation with students on the student services levy. Student members of SCG shall be briefed on the levy at the June meeting and shall respond with a recommendation at the August meeting

• provides an opportunity for regular contact between senior University staff and student representatives

Vice-Chancellor 17-31 student representatives, including members of the AUSA and PGSA Executive, the Nga Tauira Maori President, the Auckland University Pacific Island Students’ Associaton President, a representative of international students, the Tamaki Student Association President, faculty representatives, student representatives of Council, APC, BoGS, Education Committee, Equity Committee, International Committee, Library Committee, Research Committee, Runanga, and IT Strategy and Policy Committee; representatives of each of the Grafton and Epsom campuses.

CENTRAL SERVICE DIVISIONS

Office of the DVC (A)

The Office of the DVC (A) is responsible for: • University-wide academic policies and processes • working with Education Committee, Academic

Programmes Committee, Teaching and Learning Quality Committee and their subcommittees, the General Education Board of Studies and the Board of Foundation Studies

• academic outreach and continuing education • University strategies for academic staff development

and student learning support and eLearning • academic quality assurance through departmental

and programme reviews and external audit

Vice-Chancellor

Planning and The Planning and Quality Office is responsible for the DVC (A) -

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Quality Office monitoring and enhancement of academic quality standards in partnership with the Office of the DVC (A), ensures compliance with educational regulations, and administers and reports on the Teaching and Learning Survey and Course and Teaching Evaluations

Academic Services Academic Services supports: • delivery and governance of academic administration

services • student life-cycle from application, admission and

enrolment to examinations and graduation and has responsibility for: • student records and fees, managing scholarships

and calendar and regulation activities, academic timetabling, room bookings and reporting on space utilisation

Director of Administration

School of Graduate Studies

Board of Graduate Studies advises on and develops policy on postgraduate study and promotes postgraduate research

Dean of Graduate Studies

Libraries and Learning Services

Libraries and Learning Services support: • the teaching, learning, research, creative work and

administration of the University • Student Learning and English Language Enrichment

team • the Māori and Pasifika Services team working with

staff and students to help support the principles of the Treaty of Waitangi and Māori and Pasifika development within the University

DVC (A) A student representative serves on the Library Committee

Centre for Learning and Research in Higher Education

CLeaR helps new and current teaching staff and postgraduate students succeed in their academic careers, offering professional development and programmes such as: • student learning support, the Doctoral Academic

Career Module, and workshops for tutors and graduate teaching assistants

• teaching development, the Postgraduate Certificate in Academic Practice,, research development the CLeaR Fellowship Programme

Higher Education Research and Development Board chaired by

the DVC (A); Dean of Education; TLQC

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• Māori academic development, including Tuākana tutor and mentor training, workshops and huis, Māori language development and writing retreats

• E-Learning resources for innovation in technology-enhanced teaching and learning

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APPENDIX THREE: Academic delegations

1 DELEGATIONS FROM UNIVERSITY REGULATIONS / STATUTES

University Regulation or Statute

Section Academic Function Approving Authority Delegated authority

ADMISSION

Admission Regulations

Prerequisites and conditions

Decline admission and enrolment (for insufficiency of accommodation or teachers or for other causes)

Council Calendar and Regulations

Office

Prerequisites and Conditions

Approval of admission for students under the age of 16, and in the category of Special Admission where the age requirement has not been met.

Senate Discretionary Entrance

Dean

Special Admission Waive the age requirement for Special Admission


Dean

Admission ad eundem statum

Approve the enrolment of a student at a NZ secondary school in up to 15 points per semester


Dean

English Language Competence

Set standards for competence in English in an approved English Language Test

Senate Applications and

Admissions Office

ENROLMENT

Enrolment and Programme Regulations

Points Determination of a limit on points in a Master’s degree, PhD or other doctorate where another programme is included in the enrolment

Dean Associate Dean

General Programme Provisions

Approve an enrolment which varies from programme regulations

Senate Dean; Deputy or Associate

Dean; Head of

Department; Deputy or Associate Head of

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Department

General Education Programme Provisions

Approve a General Education enrolment that varies from the General Education regulations for that programme

DVC (A) Associate Dean

Restrictions Approve, for a Certificate of Proficiency,

enrolment in a course the content of which is the same as, or substantially similar to, a course for which credit has been received

Senate Associate Dean

Approve, in exceptional circumstances, enrolment of a student in a course where that student has twice failed to be credited with a pass


Approve admittance to a programme for a

qualification for which the requirements have been completed or which has already been conferred or awarded

Senate Associate Dean/Dean of

Graduate Studies/ DVC

(A)

Approve admittance to a postgraduate

qualification for which a student has previously failed to meet the requirements, or where the content of the programme is the same as, or substantially similar to, any qualification for which the student has previously failed to meet the requirements

Senate Dean of Graduate Studies

ACADEMIC PROGRAMME

Enrolment and Programme Regulations

Approve variation to an academic programme to avoid lecture clashes

Senate Dean; Deputy or Associate

Dean;

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Head of Department;

Deputy or Associate Head of

Department

Approval or rejection of a proposed programme of study where that programme has been declined by a representative of Senate

Senate DVC (A)

Determination of electives available for an academic programme in any semester

Senate Academic Head

Granting of a concession to continue with a programme enrolment where a prerequisite or co-requisite has been failed

Dean Associate or Assistant

Dean

Cancellation of a course where there are insufficient enrolments or insufficient staff to teach it no later than one week after the beginning of semester

Academic Head (with approval of the Dean)

Manager, Timetabling

Services

Discontinuation Authority to discontinue enrolment for a

programme where a student has twice enrolled in, but has failed to be credited with a pass in a course which is required for completion or continued enrolment; or where specified conditions for continued enrolment have not been met


Authority to impose specified conditions for

continuation where a student has been re-admitted to a programme after discontinuation

Dean Associate Dean

Consideration of an application for reconsideration of discontinuation on the grounds of medical or other exceptional circumstances

Dean Associate Dean

Late Enrolment Determination of the choice of courses for students who enrol after the closing date for enrolment

Senate Associate Dean or by

recommend-

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ation of Academic

Head

Not for credit courses Approval of enrolment in not-for-credit courses


Changes to current enrolment

Approval of exemption from additional fees for late additions or deletions, where special circumstances apply

Academic Services Director Manager, Records

Enrolment and Fees

Changes to current enrolment

Consideration of late applications to delete a course in exceptional circumstances

Academic Services Director Manager, Records

Enrolment and Fees

Substitutions Approval of a course substitution for another in the same subject, where directed by the Department.

Dean Associate Dean

Withdrawals Approval of an application to withdraw, for exceptional circumstances, submitted after the permitted dates and before the end of the semester or quarter

Academic Services Director

Manager, Records

Enrolment and Fees

Academic Restriction Academic Standing

Reconsideration of academic standing status in exceptional circumstances and consideration of appeals

Council Associate Dean

Enrolment Terminated

Authority to decline admission or readmit a student under specific conditions, where that student has reapplied for admission to a programme after one year of exclusion; authority to reconsider a decision to decline admission or readmit a student, to take special circumstances into account


Vice-Chancellor’s Special Powers

Authority to give direction or make provision for the relief of undue hardship including: enforcement of requirements for admission to the University or to a programme, alteration or amendment to statutes or regulations, change in programme or examination requirements

Vice-Chancellor DVC (A)

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or occasions where official advice has been given in writing and acted upon, and it is later found that the courses the student has taken do not accord with the programme regulations and that hardship would be caused if the student were to be compelled to comply with the full requirements of the regulations

Authority to reconsider a decision of the Vice-Chancellor made under Regulation 32 (Vice-Chancellor’s Special Powers)

Council

CREDIT

Credit Regulations

Granting credit towards an approved programme


Approval of credit for concurrent enrolment at another tertiary institution

Dean Associate Dean

Designation of courses as cross-credits and apportionment of cross-credited points to the components of conjoint degrees

Dean Associate Dean

Consideration of complaints under credit regulations

Senate Applications and

Admissions Office or Records,

Enrolment and Fees

Office

Examination Regulations

Time of Examinations Approval of a different time or different examination centre for an examination because of special circumstances

Manager, Examinations

Office

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Special Examination Conditions

Approval of examination conditions to take into account a particular impairment

Senate (on recommendation from Student Health, Student Counselling, or Student

Learning Services)

Senate Represen-tative for Aegrotat,

Compassion-ate and

Special Passes or small group of University staff given

formal delegate

authority by Council

Direction of Examinations

Where degree regulations or prescriptions permit, or Senate, upon such conditions as it thinks fit, approves, the examiners may in respect of any examination release to the candidates the whole or part of the examination paper in advance of the sitting of the examination

Dean (on the recommendation by the

Academic Head)

Associate Dean

Direction of Examinations

Appointment or approval of examination supervisors

Manager, Examinations Office Dean

Missed Examinations Approval for a special pass in the case of a missed examination where a student has reported for the examination at the wrong time

Senate Senate Represent-ative for Aegrotat, Compassion-ate and Special Passes

Aegrotat and Compassionate Consideration

Consideration of application for aegrotat or compassionate consideration (on the advice of the medical or counselling adviser and Academic Head or department)

Senate Senate Represent-ative for Aegrotat, Compassion-ate and Special Passes

23



Granting of an aegrotat or compassionate

grade (on the recommendation of the Head of Department or Dean) or (in exceptional circumstances and on the recommendation of the Head of Department) grant permission to take another examination in the course.

Reconsideration of aegrotat or compassionate grades (where further evidence is supplied).

Senate

Academic Head

Written Tests

A version of examination procedure for aegrotat and compassionate considerations for written tests which count toward final course result


Conceded Passes Authority to grant conceded pass Dean (on recommendation of a meeting of examiners for

the faculty)

Embargoing of Theses

Authority to approve embargoing of theses Dean of Graduate Studies

Embargoing of Theses

Right to make and supply copies of theses and dissertations unless the author has imposed conditions restricting the reproduction of their work for a stipulated period.

University Librarian Or delegate

Masters Degrees Regulations

Approval of short extensions for submission of thesis or research portfolio

Academic Head

Approval of limited extensions for submission of dissertations, theses or research portfolios


Enrolment for one further semester to complete taught Master’s degree


Student eligibility for honours if not completed in regulation time


Nomination of examiners Dean Academic Head

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Appointment of examiners Dean (on recommendation by Academic Head)

Associate Dean

Submission of theses and research portfolios to examiners (from Faculty Student Centres)

Associate Dean (Postgraduate)

Forwarding hard-bound copy of completed theses to the University Library and confirming that the digital copy has been deposited in ResearchSpace.

Faculty Student Centre

Granting of a period of suspension of enrolment


Approval of a personal programme which does not conform to the regulations for a Master’s degree.


Approval of a personal programme which

does not conform to the regulations for a Master’s degree.

Council Associate Dean

PhD Statute Determine all matters regarding the

supervision of candidates for doctoral and higher degrees

Board of Graduate Studies (on recommendation of the

Associate Dean (Postgraduate))


Determine all matters regarding the

supervision of candidates for doctoral and higher degrees

Board of Graduate Studies Dean of Graduate Studies

Registration of candidates for PhD (including

approval of part-time and non-resident registration.


Appointment of Supervisors (main

supervisors and co-supervisors)


Authority to require a PhD candidate to

undertake coursework as part of provisional year

Departmental Postgraduate Committee


Approval of a candidate presenting and

defending a thesis in Te Reo Maori

Board of Graduate Studies (on recommendation of the

PVC Maori)


25



Approval of a PhD thesis proposal

Board of Graduate Studies (on recommendation of HoD

and supervisor)


Confirmation of registration at the conclusion

of the provisional year


Annual Review of Registration

Board of Graduate Studies (on the recommendation of

the HoD)


Approval of a candidates’ absence from the

University for longer than 2 months


Responsibility for changes in supervision

(where a supervisor is on leave, resigns, or retires)


Extension of time for submission


Suspension or termination of registration


Nomination of examiners


Appointment of examiners


Appointment of PhD Examination Committee

PhD Examination Committee Dean of Graduate Studies

Award of PhD (and decision regarding further

revisions)


Consideration of Examiners Reports where

recommendations are in conflict

Chair, Board of Graduate Studies


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Appointment of oral examiner and independent chair of oral examination

Board of Graduate Studies Examination Committee

Consideration of appeals against a decision of

the BoGS

Council Dean of Graduate Studies

Resolution of Student Academic Complaints and Disputes Statute

Appointment of an independent investigator into a formal dispute

Dean Academic Head

Deciding appeal of decision to dismiss a dispute

Dean

Review of Dean’s decision DVC (A)

Limitation of Entry Statute

Limitation of entry due to lack of space, teaching staff or accommodation; maximum number of students in a programme achieved; prescription of academic standards to be met as a prerequisite for enrolment, or other criteria for selection of students to be permitted enrolment

Council (on recommendation by Senate)

2 RESPONSIBILITIES / AUTHORITY FOR DECISION MAKING FROM UNIVERSITY POLICY OR GUIDELINES University Policy or Guideline Academic Function Responsibility Delegated

responsibility or decision making process

ASSESSMENT

Instructions to Examiners and Assessors

• Oversight of assessment processes • Leading examiners meetings • Leading the process of course review.

Dean Course Director

Approval for changes to examination details Dean

The designation for the Restricted, Open and Supplied Book Examinations

Academic Head

Moderation of Assessment Dean (on recommendation

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University Policy or Guideline Academic Function Responsibility Delegated responsibility or decision making process

by Academic Head) COURSEWORK Instructions to Examiners and Assessors

Oversight of course design, including the sequencing and prioritisation of content

Course Director

Approval for Changes to Coursework Dean

Ensuring that the course outline is signed off and sent to the Academic Head

Course Director

COURSE AND PROGRAMME APPROVAL Academic Programmes: Amendment Guidelines

Introduce a new Qualification / subject / major / specialisation

Senate, Council

Change a name of a qualification Senate, Council

Change EFTS value or duration of a programme Senate, Council

Make a programme change that has resource implications Senate, Council

Change entry/admission requirements; qualification structure and content, change a name or title of subject or major; significant modifications to regulations; mode of delivery


Modifications to Academic Statutes and Regulations and/or General Statues and Regulations in the Calendar

Education Committee

Minor programme modifications, introduction of a new minor or subject


Delete, suspend or defer a subject major or specialisations


Delete, suspend or defer a degree, diploma or certificate Academic Programmes Committee

Change a title of a course; course prescription; prerequisites or co-requisites; change restrictions

Faculty

Introduce a new course Faculty Academic Services

Introduce , amend or delete a General Education Course Faculty, then Gen Ed Board of Studies

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University Policy or Guideline Academic Function Responsibility Delegated responsibility or decision making process

Department Review Guidelines Approve Department Review Report Council (on the recommendation of Senate and Education Committee)

Approve plan for implementation of recommendations Council (on the recommendation from

Education Committee and Senate)

Approve 1-year on report on implementation, or request further implementation reports

Council (on the recommendation from


Programme Review Guidelines Approve Programme Review Report Council

Approve plan for implementation of recommendations Council (on the recommendation from


Approve 1-year on report on implementation, or request further implementation reports.

Council (on the recommendation from


Instructions to Examiners and Assessors

Responsibility for course review DVC (A)

Policy on Enhancement and Evaluation of Teaching and Courses

Responsibility for maintaining a 3-year rolling Faculty Evaluation Policy for student evaluations

Dean Nominee

Policy on Enhancement and Evaluation of Teaching and Courses

Responsibility for conducting course evaluations Course Directors

Offshore Delivery: Quality Assurance Report

Approve Quality Assurance Report Academic Programmes Committee

STUDENT DISCIPLINE

Statute for Student Discipline

Decisions on breaches of student discipline statute Council, Senate Discipline Committee

Student Academic Conduct Statute Determination of academic misconduct for major offenses DVC (A) Discipline Committee

29

APPENDIX FOUR Learning and teaching policies and guidelines

a. University policies

Title Owner Assessment of Student Learning Policy DVC (A) Policy on enhancement and Evaluation of Teaching and Courses DVC (A) Te Reo Māori in Teaching, Learning and Assessment Policy DVC (A) Student Survey Policy DVC (A) Student Academic Conduct Statute DVC (A)

b. University guidelines and other documents Title Owner Academic Staff Professional Development Policy HR Code of Conduct for Research Board of Graduate Studies Guidelines for Departmental Reviews DVC (A) Guidelines for Doctoral Oral Examinations Board of Graduate Studies Guidelines for Effective Teaching DVC (A) Guidelines for Programme Reviews DVC (A) Guidelines for the Appointment of Examiners of Doctoral Theses and Masters Research Theses/Portfolios

Board of Graduate Studies

Guidelines for the Preparation of Proposals and Amendments Calendar and Regulations Guidelines on Resources and Support for Doctoral Research Board of Graduate Studies Guidelines on the Accreditation of Supervisors Board of Graduate Studies Guidelines to the Policy on Course and Teaching Evaluations Planning and Quality Information Literacy: Guidelines and Principles DVC (A) Instructions to Examiners (revised annually) Calendar and Regulations Learning Enhancement Grants: Procedures and Guidelines DVC (A) Postgraduate Research Student Support Accounts (PReSS) Board of Graduate Studies Postgraduate Supervision Limits and Teaching Workload Allowance Board of Graduate Studies Register of Deliberate Academic Misconduct: briefing note for staff Planning and Quality Resolution of Student Academic Complaints and Disputes Statute DVC (A) Senate Guidelines on Thesis Supervision Senate Staff-Student Consultative Committees and the Class Representative System AUSA / TLQC Staff-Student Consultative Committees and the Class Representative System AUSA / TLQC The Inclusive Teaching and Learning of Students with Impairments DVC (A) The Use of Third Party Assistance in Undergraduate and Postgraduate Coursework: Guidelines for Students

DVC (A)

The Use of Third Party Assistance in Undergraduate and Postgraduate Coursework: Guidelines for Students

DVC (A)

Third Party Editing and Proof-Reading of Theses and Dissertations Board of Graduate Studies University Teaching and Learning Policies, Guidelines and Procedures: An Introductory Guide for Visiting, Temporary and Casual Teaching Staff

UoA Teaching Excellence Awards, Procedures and Guidelines TLQC

30

c. Policy formation and review procedures

Title Owner Implementation, communications and monitoring plans for new and/or significantly revised teaching and learning policies and guidelines

TLQC

Establishment of a policy within the University of Auckland procedure document Registrar

31

•Policies developed and reviewed accompanied by a communication plan for dissemination

•Improving the Student Experience website summarizing student feedback and actions taken in response

•Teaching staff feedback to students concerning formative and summative evaluations

•Faculty websites •Student representatives to University committees reporting

back to students through faculty and departmental Staff-Student Consultative Committees

•Teaching and Learning website and faculty websites

•Teaching and Learning policies revised and amended at Committee level, taking into account feedback from student representatives

•Issues highlighted by Faculty SSCCs are reported to Faculty meetings, and actions undertaken

•Recommendations of programme and department reviews implemented and reported on to Senate and Council

•Changes/improvements to central service activities to improve student experience

•Course reviews undertaken, changes made to courses taking student feedback into account

•Action plans developed at faculty and service division level in response to issues identified in the University-wide Teaching and Learning Surveys.

•Discussion at University Committees •Prioritisation of issues through Department SSCCs reporting

to Faculty SSCCs •Analysis and reporting of Teaching and Learning Survey and

Course and Teaching Evaluations to the Senior Management Team and Teaching and Learning Quality Committee

•Analyses of student feedback collected through focus groups and other surveys in central service divisions

•Analysis of course and teaching evaluations discussed with faculty deans

•Interviews with students during Programme Reviews

•Feedback sought from student groups on significant University developments related to teaching and learning

•Student representation on University-level teaching and learning committees

•University-wide surveys, including the Doctoral Student Exit Survey and the International Student Barometer

•Faculty and Department Staff-Student Consultative Committees

•Formative feedback, focus groups and social media •Student Associations such as the Auckland University

Student Association and the Postgraduate Student Association

•Vice-Chancellor's Student Consultative Committee • Course and Teaching Evaluations •Teaching and Learning Survey •Programme and Department Reviews

How do students provide

feedback?

How is feedback is considered?

How are results

reported back to students?

How are changes

made as a result of

feedback?

STUDENT VOICE