Academic audit in a higher education institution in India are carried out to assess its Organization and management,Human resources management, Financial management and Role of non-teaching staff.

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 for Quality 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
►is a 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 forEducation is 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
►Higher level 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. Conceptual modelConceptual model
Input
Elements
Output
Elements
Process
Elements
Quality Quality
Quality

7. Input ElementsInput Elements
►Students profile ( 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
►Faculty Profile
►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
►Are made 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 must haveAny 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
►Is it 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- CurriculumAcademic audit- 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- TeachingAcademic audit- 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- LearningAcademic audit- 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: EvaluationAcademic audit: 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: ResearchAcademic Audit: 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: ConsultancyAcademic Audit: 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: ExtensionAcademic audit: 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: servicesAcademic audit: services
►Counseling services
►Placement services
►Health services
►Information services
►Extension services
►Employment services
►Coaching and guidance services

24. Academic audit: InfrastructureAcademic audit: 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=function of (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
►To be 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’ progressionAuditing students’ progression
►Results and marks
►Ranks
►Drop out rates
►Going for higher education
►Alumni statistics
►PG admission statistics
►PG examination statistics

29. Administrative AuditAdministrative Audit
►Organization and management
►Human resources management
►Financial management
►Role of non-teaching staff

30. Governance and LeadershipGovernance and Leadership
►Management
►Decentralization of power
►Principal – leadership
►Group dynamics
►Committees
►Cells, forums
►Grievance redressal mechanisms
►Court cases

31. Human Resource managementHuman Resource 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
►Systems structure, functions, quality
►Value addition in education
►Inclusive practices
►Sensitivity
►Stakeholders relationship
►Evidence for student satisfaction

34. AccreditationAccreditation
Process of NAACProcess of NAAC

35. Four step Process:Four step 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 of Assessment: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 of assessment:Core values of assessment:

38. 1. Contributing to National1. 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 Global Competencies2. 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 Value system 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 the use 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 for Excellence5. 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:Focus of re-assessment:
►Three aspects of assessment
►1. Quality Sustenance
►2. Quality Enhancement
►3. Acting on the Audit and
other Reports

44. NAAC aims to find 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 provide details 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:Sources of 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 ofValidity period 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
►Take stock 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
becoming an international
service.
►There is a growing concern
all over the world about
quality, standards and
recognition

53. ►Benchmarking is an increasingly
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 performing better 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 BenchmarkingTypes of Benchmarking
►Experts have identified
different types of
benchmarking.
►These are internal,
functional, competitive,
and generic
benchmarking.

56. ►Internal benchmarking is done
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 focuses on 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
►In the 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 were usually 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 is good? 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 of it 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 best practices 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:Let us 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 TeachersRole of 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. Thank you