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Academic & administrative audit
The document outlines the importance of academic and administrative audits in enhancing the quality of higher education in India, emphasizing the need for a structured approach to management, curriculum, teaching, and learning processes. It discusses the roles of various stakeholders, including faculty and students, in maintaining quality standards and the use of benchmarking to measure performance and practices in educational institutions. The document also highlights the necessity for comprehensive evaluations, including accreditation processes and innovative practices, to improve educational outcomes and prepare students for global competencies.
In this document
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Introduction to academic and administrative audit by Prof. A. Balasubramanian from the University of Mysore.
Discussion on India as a destination for quality human resources in higher education, with emphasis on standards, vision, and systematization.
Higher education as a catalyst for societal and economic change, emphasizing institutional management and educational improvement.
Education aimed at empowerment and employment, focusing on quality-oriented rather than person-oriented management.
Exploration of criteria and yardsticks for assessing higher education quality and the importance of such assessments.
Conceptual model of education quality with input, process, and output elements, addressing various quality attributes.
The need for educational institutions to follow standards, adopt methodologies, and ensure quality and accountability.
Evaluation of organizational structures in educational institutions, decision-making processes, and channels of communication.
Essentials for courses including standards, lesson plans, and the need for effective preparation and execution.
The interdependent relationship between teachers and students, emphasizing collaboration and mutual respect.
Assessment practices for curriculum design, standards, and the importance of up-to-date and relevant curriculum.
Examination of pedagogical methods, instructional designs, and tools for enhancing teaching effectiveness.
Methods for evaluating student learning, resources, progression, and strategies to accommodate diverse learners.
Establishing a robust evaluation system focusing on transparency, innovative practices, and measures against malpractices.
Importance of research support within institutions, examining facilities, resources, and student involvement.
The role of consultancy originating from knowledge and research, enhancing institution reputation and utility.
Development of community outreach through collective activities and partnerships with local organizations.
Provision of diverse services such as counseling, placements, and health services within educational institutions.
Evaluating educational infrastructure, class spaces, laboratories, and overall resources and maintenance.
Assessment of library facilities, collections and faculty-student engagement with library resources.
Advocacy for mandatory physical education and facilities, engaging students in health-promoting activities.
Monitoring student performance metrics such as dropout rates, higher education transitions, and alumni outcomes.
Audit aspects concerning organizational management, human resources, and the role of administrative staff.
Focus on leadership dynamics, management frameworks, and mechanisms for addressing grievances in institutions.
Exploration of human resource management, including compliance and staff appraisals within educational frameworks.
Strategies for managing finances, budgeting, and resource mobilization in educational institutions.
Implementation of innovative systems and practices aimed at quality improvement in higher education.
Steps involved in the accreditation process through NAAC, including evaluation report preparation.
Identifying seven key criteria used in assessing higher education institutions during accreditation.
Encouraging the integration of technology and ICT tools in educational administration and learning.
Strategies for sustaining and enhancing quality in educational assessment and institutional performance.
Reporting on the improvements achieved in educational quality between accreditation assessments.
Identifying inputs necessary for accreditation assessment from various institutional sections and stakeholders.
Exploration of stakeholder roles at different levels in supporting and enhancing educational quality.
Overview of essential educational management processes from admissions to progression tracking.
Clarification on the 5-year validity period for accredited status with transparency in reporting.
Recommendations for institutions to evaluate their growth, SWOT analysis, and future planning.
Discussion on the international concerns regarding quality and standards in higher education.
Introduction to benchmarking types and practices as tools for performance improvement in education.
Focus on determining and adopting best practices as benchmarks for enhancing educational quality.
Highlighting the role of teachers in ensuring quality education and the need for student-centric initiatives.
Closing remarks and gratitude at the conclusion of the presentation.
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Academic & administrative audit
- 1. ACADEMIC &ACADEMIC & ADMINISTRATIVEADMINISTRATIVE AUDITAUDIT ACADEMIC&ACADEMIC & ADMINISTRATIVEADMINISTRATIVE AUDITAUDIT By Prof.A. Balasubramanian Centre for Advanced Studies in Earth Science University of Mysore, India
- 2. India is forQuality Human ResourceIndia is for Quality Human Resource ( Higher Education)( Higher Education) ►Global Destination, Cheap / good ►Human Resource- Human Capital ►Students are intelligent, some are intellectuals ►Institutions= standard units- some adopt global stds/ local stds ►Vision-mission-short term/long term goals, ►Categories= local/state/ national/ international ►Systematization of higher education
- 3. Higher educationHigher education ►isa powerful agent of change in society and for economy ►Follows better models ►Institutional Management -kinds ►Structured Approach ►Educational improvement ◦ in curriculum, teaching, learning, exam, life style – ISO stds/ NAAC
- 4. Education is forEducationis for ►Empowerment/ employment ►Well-planned education system ►Well-managed educational system ►Not person- oriented management ►But quality -oriented management ►Good system should be in place Ex. Massive service/ quality service
- 5. Higher EducationHigher Education ►Higherlevel of education ? ►To what level? Who has to decide? ►What are the yardsticks/ benchmarks? ►What are the parameters which can be used for assessing the higher education system? ►Why do we need it? ►Who has to do the quality assessment? ►How can an assessment help us?
- 6.
- 7. Input ElementsInput Elements ►Studentsprofile ( poor / average/ good) ►Standards in lower level education (?) ►Mental makeup of students / parents (aims?) ►Language proficiency ( Grade them) ►Communication skill ►Personality & character building ►General and subject knowledge ►Physical fitness ►Socio-economic factors ►Ambition & motivation
- 8. Process elementsProcess elements ►FacultyProfile ►Standard curriculum- higher level ►Mental makeup of faculty/ authorities ►Language proficiency ►Communication skills/ pedagogy/ instructional design ►Teachers’ personality, competence ►Teachers capability- research/consultancy ►Physical fitness/ family support ►Interest for extension ►Ambition & motivation
- 9. Output elementsOutput elements ►Graduates’profile- bio-data ►Subjects learned, capabilities matrix ►Mental makeup, nation building, citizenship ►Proficiency in communication/ language ►Overall Personality, character ►Inquisitiveness to do new works ►Aptitude to accept challenges ►Improvement in maturity levels ►Social commitment ►Earning capabilities
- 10. Educational InstitutionsEducational Institutions ►Aremade responsible ►Should follow some standard approaches ►Should maintain quality ►Should adopt a structured methodology ►Should have accountability / responsibility ►Should promote brand names (college) ►Facilitate learning, extension, collaboration ►Should plan for competency building
- 11. Any Institution musthaveAny Institution must have ►Minimum standards / physical facilities ►Minimum number of staff (teaching and NT) ►Minimum funds to meet the expenditure ►Minimum Learning resources/ labs/ avenues ►Minimum Co-ordination among all people ►Minimum brand name ►Minimum visibility
- 12. Organizational structureOrganizational structure ►Isit structured? Poor/fair/good/best ►Who should be the members? What are their roles? Are they aware of it? ►Provisions for execution/ functions/powers ►Joint management action plan ►Responsibility matrix ►Powerhouse? Student centric/ principal centric/ teacher centric ? ( who controls)
- 13. Management + Principal+ staffManagement + Principal + staff ►Channels of functions and powers ►Channels of communication ►Decision making methods – autocratic/ democratic / objectives ►Councils / committees/ actions/ output/ feedback/ review/ reaction/ set trend ►Facilitate quality education ►Facilitate staff welfare ►Facilitate student amenities ►Show and prove quality in all
- 14. Courses- requirements- resourcesCourses-requirements- resources ►Affiliation standards- satisfied? In real terms ►Home work by dept faculty – preparatory ►Lesson plans? Schedule of class works/tests ►Time table/ assignments/ fieldworks ►Learning modules -outside syllabus ►Packaging the subject knowledge ►Skills/ talents/ knowledge/ clarity
- 15. Teachers – studentsTeachers– students ►Highly dependent relationship ►Co-ordination and collaborative ►Mutually available/ respectable ►Meet beyond class rooms ( is it possible?) ►Teaching is not for satisfying the syllabus ►Learning is not to get job only ►Discipline / democracy/ decency
- 16. Academic audit- CurriculumAcademicaudit- Curriculum ►Evaluate curriculum design & review mechanisms ►Standards of curriculum ? Who said that it is of high standard? Have you sent it for review? ►Unitization/ uniformity/ local/national ►Advanced / very simple ►Up to date or old?
- 17. Academic audit- TeachingAcademicaudit- Teaching ►Pedagogy of teaching-methodology ►Instructional design - methodologies ►Instruments and tools of learning ►ICT or audio-visual aids ►Kits and properties, labs, models ►Schedule of completion ►Teaching or making them to learn ►Guidance/ supervision/ progress review
- 18. Academic audit- LearningAcademicaudit- Learning ►Methods for learning/ counseling ►Learning resources- books, notes, kits, sims ►Progression in learning curves ►Fast/ slow learners –identify/ adjust / counsel / drill ►Group dynamics ►Participatory learning/ field visits ►Testing the knowledge levels ►Testing their writing skills/ oratory skills
- 19. Academic audit: EvaluationAcademicaudit: Evaluation ►Good system of evaluation ►Transparency / confidentiality ? ►Question banks ►Surprise tests ►Seminar evaluation ►Subject quiz, drawing tests, objective tests ►Confidence building in examinations ►Innovative practices/ reforms ►Malpractices
- 20. Academic Audit: ResearchAcademicAudit: Research ►Provision, promotion, people to do research ►Facilities, motivation, resources ►Incentives/ expenditure/ encouragement ►Output quantity/ quality ►Ultimate use for institution/ society ►Students participation in little works of research ►Think tanks; no ego ; stand alone or with others
- 21. Academic Audit: ConsultancyAcademicAudit: Consultancy ►Consultancy comes out of perfect knowledge ►Suitable for others/ ideas/ tools/ techniques ►Comes out of research findings/ facility ►Comes out of competency to advise people ►Needs visibility- publicity – participation ►Helps society ►Helps to build brand name to the college
- 22. Academic audit: ExtensionAcademicaudit: Extension ►Collective activity with teachers & students ►Useful to small or large group of people ►Awards and recognitions ►Impact on community ►Partnership with local units/ industries ►Partnership with other colleges ►Joint ventures- NGOs/ Govt.
- 23. Academic audit: servicesAcademicaudit: services ►Counseling services ►Placement services ►Health services ►Information services ►Extension services ►Employment services ►Coaching and guidance services
- 24. Academic audit: InfrastructureAcademicaudit: Infrastructure ►Adequacy of class rooms, furniture, space ►Staff room facilities ►Office space- structure - plan ►Principal room ►Office equipment, consumables ►Labs , equipment, charts, models, kits
- 25. InfrastructureInfrastructure ►Equipment , aids,tools, Computers ►Internet, telephone, subsidy in usage ►Bus facility, hostels, TV, STD, Newspapers, reference books, tutors ►Website and its contents ►IVRS, Plasma screens, display boards ►Vehicle parking, guest house, canteen, landscape, green parks, botanical gardens, medicinal plants, aquariums, rest rooms, toilets, water supply, dust bins, lights, fans ►Maintenance of all these? Who? How?
- 26. LibraryLibrary ►Number of books=functionof (number of years , number of students, distribution system) ►Services , awareness, tests, visibility ►Special collections, needed collections ►Who selects books? Have you verified? ►How many hours faculty spends time with students in library? Use it in time table
- 27. Physical EducationPhysical Education ►Tobe made compulsory ►Sports facilities for students and staff– indoor/ outdoor ►Check whether students use it or not?- make them compulsory ►How many teachers are involved? ►Who said that there should be only one sports day in a college? Departmental ? ►Audit on prizes/awards
- 28. Auditing students’ progressionAuditingstudents’ progression ►Results and marks ►Ranks ►Drop out rates ►Going for higher education ►Alumni statistics ►PG admission statistics ►PG examination statistics
- 29. Administrative AuditAdministrative Audit ►Organizationand management ►Human resources management ►Financial management ►Role of non-teaching staff
- 30. Governance and LeadershipGovernanceand Leadership ►Management ►Decentralization of power ►Principal – leadership ►Group dynamics ►Committees ►Cells, forums ►Grievance redressal mechanisms ►Court cases
- 31. Human Resource managementHumanResource management ►Teaching and non-teaching ►Vacancies ►Compliances with govt. norms/ policies ►Self-appraisal of staff ►Performance appraisal- best teachers? ►Efforts to show improvements ►Professional development of staff
- 32. Financial managementFinancial management ►Budget, bills, ►Internal audit/ external audit ►Mobilization of resources ►Stock verifications ►Looking for new sources of receipts ►Optimum utilization of resources
- 33. Innovative PracticesInnovative Practices ►IQAC ►Systemsstructure, functions, quality ►Value addition in education ►Inclusive practices ►Sensitivity ►Stakeholders relationship ►Evidence for student satisfaction
- 34.
- 35. Four step Process:Fourstep Process: ►Collection of information from constituent units ►Preparation of Re-Accreditation Report and an Evaluation Report ►send RAR in e-format & Eval. Rep to NAAC ►IQAC has to do the home work ►Site Visit of the Peer Team for validation ►Final Decision on assessment by NAAC
- 36. Seven Criteria ofAssessment:Seven Criteria of Assessment: ►Curricular Aspects ►Teaching-Learning and Evaluation(TLE) ►Research, Consultancy and Extension(RCE) ►Infrastructure and Learning Resources(ILR) ►Student Support and Progression(SSP) ►Organisation and Management(O&M) ►Healthy Practices(HP)
- 37. Core values ofassessment:Core values of assessment:
- 38. 1. Contributing toNational1. Contributing to National DevelopmentDevelopment:: ►Re-accreditation will examine the role of HEIs in preparing students with global competencies to face the changing global scenario. ►Ensuring equity and access in education
- 39. 2. Fostering GlobalCompetencies2. Fostering Global Competencies among students:among students: ►Development of skill and knowledge on par with their counterparts abroad ►Need to develop High caliber HR and internationally acceptable standard of education ►For this HEIs should be innovative, creative and entrepreneurial
- 40. 3. Inculcating Valuesystem in3. Inculcating Value system in students:students: ►Skill are of no value in the absence of an appropriate value system. Hence, the HEIs should carry out some steps in this process. ►Re-accreditation will examine How essential and desirable values are being inculcated in students.
- 41. 4. Promoting theuse of technology4. Promoting the use of technology ►Use of modern tools in day-to-day life ►Use of technology in learning and administering. Use of ICT ►Providing IT literacy ►use of ICT for resource sharing & networking ►Electronic data management system ►Electronic resources
- 42. 5. Quest forExcellence5. Quest for Excellence ►HEIs are expected to demonstrate their drive to develop themselves into centers of excellence ►The quest for excellence starts with the estbnt. Of IQAC ►Then SWOT ►IQAC is a promoter for attaining such a level
- 43. Focus of re-assessment:Focusof re-assessment: ►Three aspects of assessment ►1. Quality Sustenance ►2. Quality Enhancement ►3. Acting on the Audit and other Reports
- 44. NAAC aims tofind out theNAAC aims to find out the improvements shown in theimprovements shown in the quality of education givenquality of education given between the first , second orbetween the first , second or subsequent assessmentssubsequent assessments
- 45. RAR should providedetails of:RAR should provide details of: ►Evidence of contributing to the core values ►Evidence of building on the strengths identified during the first/2nd assessment ►Action taken to rectify the deficiencies ►Substantive changes made during these years towards quality enhancement ►future plans for quality enhancement
- 46. Sources of Inputs:Sourcesof Inputs: ►Departments/ Institutes/ PG centres ►Administration (all sections) ►NSS/NCC ►Library ►Other units ►Services: ED/ GH/Health Cs./Sports/Qtrs
- 47. Stakeholders- level-1:Stakeholders- level-1: ►Govt./ Society/Administrators/ authorities/ functional bodies / affiliated units ►Teachers/ students/ Secretarial and support staff/ Parents/ Alumni / advisers/ sponsors Stakeholders-Level-2:Stakeholders-Level-2: ► Employees/ HEIs/ Global Organizations/Employees/ HEIs/ Global Organizations/ Industries/ NGOs/ SMEs/ collaboratorsIndustries/ NGOs/ SMEs/ collaborators ► Philanthropists/ supporters/ Financial andPhilanthropists/ supporters/ Financial and Municipal admnMunicipal admn
- 48. Processes:Processes: ►Admission to convocation/Recruitment to retirement/ Facilitation(Students)/IT usage ►Curriculum design/ reviews/ checks/FeedBk ►Teaching-learning- Learning Resources/ Lib. ►Evaluation (Teachers/Students)-Exam. Reforms ►Research/Publishing/Dissemination +C-extn ►Linkages/Infrastructure & maintenance/SUs ►Student progression+supporting
- 49. Processes Contd..:Processes Contd..: ►Organization/leadership/ Decision- making ►Perspective planning/Performance appraisal ►Resource mobilization and Management of Finance ►SWOC analysis/ TQM/ Innovation ►Overall Development
- 50. Validity period ofValidityperiod of accredited status will be 5accredited status will be 5 years.years. All details will be made publicAll details will be made public
- 51. Institutions shouldInstitutions should ►Takestock of -haves & have-nots / ►what do we have done so far/ seen/ shown/ invented/ reformed. ►SWOT analysis, remedies/ recommendation. ►Perspective plans/new dimensions of growth. ►Confidence building among stakeholders. ►Projection for assessment ( system overhauling/ repairs/ face-lifting/ modernization/ unification) ►Good Presentation ( during assessment )
- 52. ►Higher education is becomingan international service. ►There is a growing concern all over the world about quality, standards and recognition
- 53. ►Benchmarking is anincreasingly popular tool in industry and is used extensively by both manufacturing and service organisations. ►Benchmarking is an ongoing systematic means for measuring and comparing the work processes of an organization.
- 54. ►Are we performingbetter than what we have performed earlier? ►Are there any other organisations that are performing well and from whom we can learn? ►Are there any practices that will improve our performance?
- 55. Types of BenchmarkingTypesof Benchmarking ►Experts have identified different types of benchmarking. ►These are internal, functional, competitive, and generic benchmarking.
- 56. ►Internal benchmarking isdone within an organization and typically between closely related units, using common or shared performance parameters as a basis for comparison. ►Functional benchmarking is a comparison of performance and procedures between similar functions, across different organizations
- 57. ►Competitive benchmarking generally focuseson direct competitors and with specific comparable operations. ►Generic benchmarking is undertaken with external institutions which represent the ‘best-in-class’ for particular aspects of the selected operations.
- 58. ►Best Practices Benchmarking ►Inthe early days of benchmarking, the emphasis was primarily on measurement per se, and on relatively straightforward comparisons of suitable performance parameters within and between companies.
- 59. ►Such parameters wereusually simple productivity and efficiency measures. ►This was followed by a gradual shift in attention to processes within a more diverse range of functions which influenced overall performance. ►Today, the main focus of benchmarking activity is based on best practices,
- 60. ►How good isgood? and Compared to what? ►If we look at the ‘decision making’ process in higher education, it is evident that higher education has all along used benchmarks. ►But, it has traditionally been awash in non- operational data on aspects like finance, staffing, academics and students. ► Generally, it has been used to justify budgets, or for obtaining more funding.
- 61. ►Obviously, little ofit has been used to improve the quality of higher education. ►The traditional data such as ►annual endowment growth, ►educational and general operational expenditures per student, ►research income generated, ►class size, student/faculty ratio, ►library holdings, ►student success rate and rate of employment of students do not address the issue of quality enhancement directly and explicitly, although they are tangentially relevant.
- 62. ►Determining the bestpractices of the best-in-class institutions, and using the information as basis for goals, strategies and implementation. ► More simply best practices benchmarking for quality enhancement would be ‘finding and implementing the best practices which would lead to significant improvement in the quality of educational provisions’.
- 63. ►The name “best practices”needs a little explanation. “Best” implies the unique or the “topmost”, the term “best” being in the “superlative degree” of comparison.
- 64. Let us remember:Letus remember: ►Every old institution performs, but only a few excels. ►Assessment results are stamps ►A collective effort will give 99% success ►The time is always a crucial factor for growth and show even in the development of higher education.
- 65. Role of TeachersRoleof Teachers ►Teachers have to play the lead role in providing good quality education to the students. ►The institutions should carry-out all student centric activities in any college in India. ►AAA will certainly improve the education system for achieving excellence.
- 66.