UNIT-8.

16

CONTROLLING: INSTITUTIONAL EVALUATION

Content Page no.

Broad Objective 3

Learning Outcomes 3

Introduction 3

8.16.1 Institutional Evaluation: Concept and Importance 4

Various definitions of Evaluation

Purposes of Evaluations (Plausibility, Probability, Adequacy)
Substantial obstacles confronting these endeavours
Criteria of evaluation
Parameters of Institutional Evaluation
Components of Institutional Assessment Mukhopadhyay (2005)
Classification of MIAS (Mukhopadhyay Institutional Assessment Scale)
Components to be included in Programme Evaluation

Practice Task 10

Feedback 11

8.16.2 Academic Audit: Concept 12

Features of Academic Audit

Scope of Academic Audit
What an academic audit is not?

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 Importance of Academic Audit
Benefits of Academic Auditing
Principles of the Academic Audit

Practice Task 16

Feedback 16

8.16.3 Academic Audit : Focal Areas 18

First Approach
Second Approach

Practice Task 21

Feedback 21

8.16.8.16.4 Academic Audit: Process 22

Process of Academic Audit

Responsibility of Institutional Management and Audit team

Practice Task 23

Feedback 23

Conclusion 25

Bibliography 25

UNIT-8.16

CONTROLLING: INSTITUTIONAL EVALUATION

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 Author Dr. Rakesh K Wats
NITTTR, Chandigarh
Broad Objective
The broad objective of this unit is to make the
learners appreciate the importance of institutional
evaluation for analysing the effectiveness of the
performance of an institute. The inputs in the unit
shall also make them aware about the application
of academic audit as a tool for institutional
evaluation.

Learning Outcomes
After going through this unit the learner will be able to :

 Appreciate the need and importance of institutional evaluation for monitoring the
performance of an institution in today’s scenario.
 Understand the criteria of institutional evaluation.
 Identify the parameters of institutional evaluation and their criteria of measurement.
 Understand the role of Academic Audit as a tool for institutional evaluation.
 Identify focal areas of academic audit.
 Understand the process of academic audit and implement the same in his institution.

Introduction

Every educational institute makes concentrated efforts for the achievement of the goals and objectives
established by the institutional leaders. To keep themselves aware about the level of performance
attained by it at a particular juncture, it is important for the institutional players to formally analyze
and assess in whole or in part the accomplishment of the educational mission of their institution or
sector of activity so as to adapt continuously to the constantly changing environment. It provides the
institute a basis for decision making and to ensure accountability to society. For this, many a time
institutes use academic audit as a tool for the above purpose.

The present unit on institute evaluation has been designed to make the learners aware about the
concept, importance, components and the criteria for institutional evaluation. The inputs in the unit
shall also be very useful for them to know about an important tool of institutional evaluation, the
academic audit. This unit shall also provide them inputs about the focal areas and the process of an
academic audit.

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8.16.1 Institutional Evaluation: Concept and Importance

Evaluation has a broad meaning which goes beyond measurement of any single aspect. Evaluation of
an institution is based on assessing, testing and measuring the levels of its qualitative improvement. It
is a process of making value judgements over a level of performance or achievement. Evaluation can
also imply a critical assessment of educative process and its outcome in the light of the objectives.
Evaluation is the process of determining the extent to which the objectives are achieved and is a
continuous and dynamic process leading to continuous improvement in an institution. It should be an
integral part of the teaching and learning process of any educational institution.

According to C.E. Beeby (1977), evaluation is "the systematic collection and interpretation of
evidence, leading, as part of the process, to a judgement of value with a view to action". Similarly
Patton (1987) defined, “Evaluation as a process that critically examines a program. It involves
collecting and analysing information about a program’s activities, characteristics, and outcomes. Its
purpose is to make judgments about a program, to improve its effectiveness, and/or to inform
programming decisions”. The definitions have four main components:
Systematic collection of evidence-
● Value judgement should be evidence based
● Planned and conscious efforts should be invested purposefully to gather the evidences
● The information required must be defined with some degree of precision
● The information should be gathered from multiple sources by applying varied tools
like tests, observations, questionnaires, interviews etc.
Interpretation of evidence-
● Gathered evidence should facilitate the judgement process
● Gathered evidence should be associated with indicators of evaluation
● Gathered evidence should be interpreted from all kinds of perspectives
● Interpretations must be carried out very carefully
Judgement of value-
● Should not be treated as only describing the evidence to understand the status of a
phenomenon.
● It must help to judge how well a system or a process or a product matches with the
expected goals or outcomes.
Action orientation-

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 ● The evaluation for the sake of making judgement or giving grades or certification
does not serve the purpose.
● It must lead to decision making so that it can serve the purpose of framing better
policies and adopting efficient and effective practices in education.
Hence, it can be finalised that evaluation is an evidence based judgement, which is interpreted
systematically, leading to policy orientation, decision-making and actions related to
improvement of the system.
.
Various other interpretations of the term Evaluation-

The term is used and understood in diverse ways, like-

 A way to measure and understand the data of an institute to formalised instruments
and standardised scales involved in getting the comparable and replicable results.
 It is a professional judgement where in visitation teams and peer review provides the
means of judgement
 It can also be taken as a comparison of actual and intended outcomes or objectives.
 Sometimes evaluation can be taken as a "goal-free" or responsive evaluation which
looks at all outcomes including the unintended effects
 Evaluation may also be treated as a political process aimed at resolving existing
conflict by using negotiation tools.
 It can be used as an ongoing process to reduce complacency or achieving changes.
 It can be treated as a process fabricated to produce useful information for decision-
making to improve the system or programme.
 Evaluation sometimes treated merely as a ritual to provide a picture of rationality and
accountability to promote a feeling of security.

Purposes of Evaluations (Plausibility, Probability, Adequacy)

The motive behind the institutional evaluation is to assist endeavours to enhance the
institute’s performance from the current status. Generally for three reasons, evaluations are
conducted, those are: to determine adequacy, plausibility, and probability.

Adequacy
● To check whether the goals or targets set by an institution were met or not
● Such an evaluation process does not require a control group, hence it is cost, time and
effort effective

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 ● As the assessments indicate progress toward pre-determined targets, hence may
become basis for increased or continued funding.
Plausibility
● It determines if an institution has attained expected goals
● It needs an experimental control group to compare the target indicators
Probability
● It is the most robust designed study to determine the true effect of an intervention
on the indicators of interests
● It looks to determine the success of a program’s activities and outcomes.
● It involves more data collection and more emphasis is placed on compliance of
results

Substantial obstacles confronting these endeavours-

The most common hindrances which come on the way to achieve the real objective of
evaluation are-

 Lack of understanding of the functioning of an institution

 Lack of understanding of the institute’s performance and management
 Lack of understanding of the purpose of evaluation
 Lack of understanding of the adequate techniques of measurement and procedures of
judgement
 Lack of clarity between desirable and achievable goal of the institute
 Lack of understanding between thought process of evaluation team policy makers of
institute
 Presentation of results and implementation strategies mismatch

Criteria of evaluation -

The criteria of evaluation differs from one to another institute or programme, but mainly
revolves around following important parameters:

 The mission and objectives of the concerned institute will help the evaluators clear about,
what does the institution seek to achieve?
 Procedure and approach of evaluators is dependent upon the governance process and the
activities of the institute to attain its mission and objectives.
 Institutional processes of self evaluation and quality assurance to attain its mission and
objectives.

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  Institutional activities for its continuous improvement to enhance its performance in times
to come to have competitive edge in the ever changing education system at the tertiary
level.

Parameters of Institutional Evaluation-

According to Cheng and Tam's (1997) there are main seven goals/indicators/dimensions of an
educational institution which need to be gauged for quality evaluation in the context of its
different components viz., inputs, process, product and mechanism of evaluation

Indicators Areas Criteria

Goals/Objectives (time-bound School objectives- Clarity-

specific and observable)
standards and specialisations listed in whether resources are sufficient to
institute programmes and plans e.g. achieve the goals, whether goals are
academic rate, dropout rate etc achievable

Resources Quality of student intake, facilities, Clear relationship between input

financial Support etc. (resources) and output, whether
resources are of needed quality

Process Leadership (Teachers Principals) Clear relationship between process

participation social interactions, and output. Smooth internal process
classroom climate, learning activities leading to expected outcome.
and experiences.

Satisfaction of all Satisfaction of educational authorities, Satisfaction of all powerful

stakeholders management board administrators, institutional constituents or
teachers, parents students, employers stakeholders
etc

Institution's legitimacy and Public relations, marketing, public Accountability of institute to

reputation image, reputation, status in the community, social reputation,
community, evidence of accountability, meeting social needs, demands and
etc requirements etc.

Absence of problems and Absence of conflicts, dysfunctions, Strategies adopted for minimising
troubles in the institution difficulties, defects, weaknesses, problems and troubles
troubles etc.

Adaptation to environmental Awareness of essential needs and Openness and flexibility in internal
changes and internal barriers changes, internal process monitoring, organisation towards environmental

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 programme evaluation, development changes and its strategies continuous
planning, staff development etc. for planning and improvement.

Source: Cheng and Tam (1997)

Components of Institutional Assessment Mukhopadhyay (2005) –

He developed a comprehensive institutional assessment system particularly in the Indian context

of institutional evaluation (Figure 16.1)

Figure 16.1- Institutional Assessment System

Classification of MIAS (Mukhopadhyay Institutional Assessment Scale) –

The classification is based on the qualitative factors mentioned below and all the stakeholders like

teachers, principals, students, parents and supervisors rate the status of an institution accordingly.
 Leadership
 Teacher quality - preparation, competence and commitment
 Linkage and interface - communication with the environment
 Academic and non-academic quality of students
 Non-scholastic areas or co-curricular activities
 Quality of instruction incorporated in teaching
 Quality of support services or office management
 Relationship - corporate life in the institution
 Instructional support or material resources

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  Methodology and purposefulness of examination
 Job satisfaction - staff morale
 Reputation of the institution.
 Enrolment of girls and boys, with break-up
 Inter-class transition rate
 Performance in academic and non-academic areas
 Physical infrastructure

Mukhopadhyay's Model incorporates both trend data and perception based data needed for an
institution.

PERCEPTION BASED DATA

TREND DATA
(cover satisfaction level/ appropriateness)

● Enrolment ● Principal's perception

● Retention
● Academic performance (examination
results)
● Non-academic performance and
● Physical infrastructure
● Teacher's perception
● Parent's perception
● Student's perception and
● Supervisor's perception

Components to be included in Programme Evaluation

Programme Goals ● subject to scrutiny

● acts as evaluation criteria
● leads to evaluation of products

Resources (human and non-human) ● exploring requirements

● adequacy
● means to generate resources
● fulfilment of essential criteria

Process ● Efficiency

(strategies, methods, procedures, technology, ● Economy

processes) ● Stakeholders

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 ● Satisfaction

Programme management

(decision making, developing strategies,

organisation, implementation, monitoring)

Ensuring effective use of inputs and processes in

the attainment of programme goals

Finally the evaluation, in general, or institutional evaluation in specific, is based on three main criteria
which fulfil all objectives, goals and attainment of the desired results for the judgement of current
status and scope along with possibilities of further improvement.

Practice Task
Q1. Fill in the blanks

a) The motive behind __________ is to assist endeavours to enhance the institute’s performance
from the current status.

b) Evaluations are conducted to determine ________ , _______ & _______.

c) Mukhopadhyay's Model incorporates both_________ and _______needed for an institution.

Q2. Short questions

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 a) What is evaluation?
b) State the obstacles in evaluation
c) Name any five parameters of evaluation.

Feedback
1. a) Institutional evaluation

b) adequacy, plausibility, and probability trend data

c) trend data, perception based data

2. a) Evaluation is the way to measure and understand the data of an institute to formalised
instruments and standardised scales involved in getting the comparable and replicable results.

b) Obstacles in evaluation are:

● Lack of understanding of the functioning of an institution

● Lack of understanding of the institute’s performance and management

● Lack of understanding of the purpose of evaluation

● Lack of understanding of the adequate techniques of measurement and procedures of

judgement.

● Lack of clarity between desirable and achievable goal of the institute

c) Parameters of evaluation

● Goals/Objectives

● Resources

● Process

● Satisfaction of all stakeholders

● Institution's legitimacy and reputation

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8.16.2 Academic Audit: Concept
Educational institutions require some framework for evaluating their performance in a manner which
may be seen as credible and valid from the stake-holders point of view. It will help them in refuting
an ill founded criticism from different quarters especially industry, users of their services, statutory
and regulatory authorities etc. Academic audit is an approach in that direction.

Academic audit or Educational Audit is a tool for institutional evaluation, where by adequacy of
academic inputs in an education institution are measured. It is a practical approach to professional
accountability within the educational service provided by the institution. It is a systematic
investigation, analysis and subsequent reporting of the performance, systems and resources of an
educational unit. It provides opportunity for the regular strategic overview of teaching learning
process in an institution. It is a means by which an institution’s authorities assure themselves of the
quality of student learning. It facilitates in indentifying and actively pursing areas of potential
improvement.

Features of Academic Audit:

Any academic audit has a few essential features, which are as follows:

 It is institution based and carried out periodically

 It recognises the uniqueness of each authority, institute or unit
 It involves process of self evaluation
 It uses external evaluators to enhance objectivity
 It covers full range of institutional activities including design and delivery of services by
the institute
 It is built by negotiation and commitment on the active involvement of all those having
interest in education authority of institute.
 Audit encourages the identification, analysis, recording and reporting of qualitative
aspects of performance.
 It facilitates the ability of all covered staff/faculty/management to take charge of their
own self evaluation and self management.
 It is a forward looking process and seeks enhancement and improvement.
 It stimulates internally generated institutional development.

Scope of Academic Audit

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 An academic audit broadly covers the following:
 Whether the programmes undertaken by the institute have been approved by appropriate
authorities like State Government, Universities, regulatory agencies like AICTE/UGC etc.
 Whether the activities and programmes are being undertaken in a manner leading to
fulfilment of intended objectives
 Whether the activities and the programmes are serving the intended purpose of authorities
efficiently and effectively
 Whether the resources especially funds being utilised for the conduct of programmes and
activities in compliance with applicable laws
 Whether operating rules, regulations, norms and practices adequate and transparent
 Are the needs of various stakeholders like students, parents, potential employers, society,
governing body and statutory authorities being satisfied

These questions broadly define the scope and boundaries of an academic audit. Thus, an academic
audit covers all aspects of the activities of the authority, institution or unit under its review. Due
consideration is given both to the effectiveness ( i.e. quality and the relationship between expectations
and outcomes) and efficiency (covering relevant consideration of economy and the relationship
between inputs and outcomes) of the education institution/system. The diverse purpose of the audit
may range from a subject or departmental monitoring to full educational institute, however, the
character and approach of conduct will vary in these cases because of the diversity of purpose. The
output of an educational audit provides the institute authorities a framework to take strategic decisions
regarding the future course of actions for the overall growth and development of an institution.

What an academic audit is not?

 Framework for finding fault with a system or with individual faculty and staff;
 Externally directed surprise spot checks
 A device for constraining professional autonomy of the technical institute or an
individual;
 The application of a single, rigid, blue print to all situations in all institutions regardless
of their purpose, nature, location and size;
 An arid collection of awkward questions which lack a philosophy and coherence with the
context / propose of the institute.

Importance of Academic Audit

In today’s scenario, rapid and far reaching changes are taking place in the purpose and range of

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educational institutions. In addition government has increased scrutiny of an insistence on value in
and for money in all the activities performed by any educational institution, thus, the need for a
systematic and comprehensive approach to educational management is essential. An academic audit
provides a mechanism to educational administrators to systematically evaluate their own performance.
It provides them opportunities for making valid judgements about both the qualitative and quantitative
aspects of the services they provide through these institutions.

The importance of the academic audit from other stake-holders perspective is as follows:
 For students: An academic audit helps in eliminating unnecessary work load and mainly
emphasize on the essentially required inputs for their success
 For teachers: It helps in clearly outlining their roles and responsibilities and thus
avoiding unnecessary conflicts
 For society: It ensures the effective use of public resources especially public money.
 For employers: It ensures the availability of relevant and well rounded students who may
be able to contribute from the day one itself.

Benefits of Academic Auditing

Academic audit of an education institution has manifold benefits, which are as follows:
 Academic audit leads to deeper acknowledgment to all internal processes, systems and
arrangements.
 It enhances involvement of individuals in identifying key performance indicators.
 Audit provides yardsticks for performance judgment
 It enhances personal involvement & professional development of participating staff.
 It allows for reconciliation of bottom up and top down planning.
 It helps in identifying the thrust areas for future growth and development of the
educational institution.

Principles of the Academic Audit:

An academic audit works on the following principles which act as the foundations of good
practices in an educational institution:

Define quality in terms of outcomes

 Learning should be outcome based and should pertain to what is essentially
needed ( knowledge, skills and attitude) by the students in their career and life.
 Learning, not teaching, is what matters for students in the long run

Focus on process

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 Institutions should analyse how teaching learning process is undertaken and how
learning should be assessed.
 Departments should study their programme’s literature and analyse approaches
which worked and which did not and accordingly plan for future
 Active learning approaches should be encouraged.
 Faculty should be motivated to adopt/adapt innovative teaching practices

Work collaboratively
 Teamwork and collaborative working helps in enhancing the faculty ownership
towards common goals and their responsibility and accountability for the success
of students.
 Dialogue and collaboration rather than territory and “lone wolf” approach should be
encouraged.

Base decisions on evidence

 Departments should collect data regarding the needs and interests, and performance
of students
 Data collected should be analysed and findings used for the betterment of curricula,
teaching learning process, assessment methods etc.
 Results should also be used to foster continuous improvement.

Strive for coherence

 Programme courses should be built upon one another to provide necessary breadth
and depth in student learning.
 There should be alignment between learning outcomes and assessment

Learn from best practices

 Faculty should bench mark effective practices (ones that optimise student
learning), both inside and outside, adapt and implement them to the best of their
circumstances
 For enhancing the effectiveness and quality of the programme faculty/staff should be
encouraged to share their best practices.

Make continuous improvement a priority

 Faculty should consciously and continually make efforts to improve
teaching for enhancing the student learning outcomes.
 The departments should strive for the continuous improvement in teaching and
learning process including mechanisms to assess student’s learning. Ways and

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 means must also be used in identifying effective and ineffective teaching
pedagogies.
 Programs and the departments should demonstrate ways and means through which
results of effective teaching resulting in enhanced levels of student achievement are
facilitated and sustained.

Following these principles in letter and spirit can make the educational processes of any
academic institution highly efficient, effective and responsive to the needs and demands of
various stake holders.

Practice Task
Q1. Short questions

a) Define academic audit

b) What are the features of academic audit

c) What is the scope of academic audit

d) State any two benefits of academic audit.

Feedback
1. Short answers

a) Academic audit or Educational Audit is a tool for institutional evaluation, where by

adequacy of academic inputs in an education institution are measured. It is a practical
approach to professional accountability within the educational service provided by the
institution

b) Features of academic audit

● It is institution based and carried out periodically

● It recognises the uniqueness of each authority, institute or unit

● It involves process of self evaluation

c) Scope of academic audit covers the following

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 ● Whether the programmes undertaken by the institute have been approved by
appropriate authorities like State Government, Universities, regulatory agencies like
AICTE/UGC etc.

● Whether the activities and programmes are being undertaken in a manner leading to
fulfilment of intended objectives

● Whether the activities and the programmes are serving the intended purpose of
authorities efficiently and effectively

● Whether the resources especially funds being utilised for the conduct of programmes
and activities in compliance with applicable laws

● Whether operating rules, regulations, norms and practices adequate and transparent

● Are the needs of various stakeholders like students, parents, potential employers,
society, governing body and statutory authorities being satisfied

d) Benefits of academic audit are:

● Academic audit leads to deeper acknowledgment to all internal processes, systems

and arrangements.

● It enhances involvement of individuals in identifying key performance indicators.

● Audit provides yardsticks for performance judgment

● It enhances personal involvement & professional development of participating staff.

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8.16.3 Academic Audit: Focal Areas

Any institution is established with a purpose and evaluated on the basis of its specific outcome. In
order to achieve the outcome, resources are provided and required management system is
established.
Two approaches of assessing the performance of an educational institution are outlined in the
following text:

First Approach
Under this approach, an institution is evaluated in terms of system’s approach of institutional
design, i.e. Input – Process – Output. The broad areas of evaluation and their essential
considerations are as follows:

 First Area: Purpose (What for the institution has been established ?)
Essential considerations
● Statement of purpose or
mission/statement/objective
● Institutional strategies
● Infrastructural Organisation

 Second Area: Management

Essential considerations :
 External relations
● Organisational structure
● Marketing of services
● Income generating activities
● Decision taking and information
system
● Management control

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 ● Academic leadership
● Academic quality assurance
● Communication
● Administrative support

Third Area: Resources

Essential considerations

● Human resources
● Accommodation resources
● Equipment and materials
● Financial resources(Maint. &
Development)

Fourth Area: Outcomes

Essential considerations

 General outcome
 Students outcome
 Staff outcome
 Course review & evaluation outcome

During evaluation quantitative and qualitative descriptive measurement of some considerations of

these four areas and their value judgement is done

Second Approach
This approach of academic audit is based on the evaluation of institutional processes applied for

transmitting the raw input into effective outcome. The broad focal areas under this approach are

as follows:

Focal Area 1: Learning Outcomes

● Has the institution explicitly defined what it wants its students to know and be able to
do after the completion their programme of study (e.g., as employees, as graduate
students, as citizens)? – i.e. Programme Outcomes

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● Does every faculty member involved in defining program learning outcomes,
or only a few has been delegated this task?
● Does the institute consult sources beyond its own faculty while defining program
learning outcomes? (e.g., students, alumni, employers, professional associations ,
comparable programs in other institutions, etc.)
● Does program learning outcomes communicated by the institute to students,
employers or other stakeholders?
● Does the institute periodically review its program learning outcomes to
improve them as per the changing requirements?

Focal Area 2: Curriculum and Co-curriculum

● Does the institute consciously design the curriculum and co-curriculum experiences to
achieve program learning outcomes?
● Does the institute/departmental faculty work collaboratively to design the curricula
and co-curricula, or are based on individual experiences, preferences and decisions?
● Does the institute consider the integration of out-of-classroom activities
(co-curricular activities) to complement the curriculum?
● Does the institute consult sources beyond its own faculty while designing the
curriculum and co- curriculum? (e.g., students, alumni, employers, professional
associations, comparable programs in other institutions, etc.)
● Does the institute communicate clearly curricular and co-curricular requirements and the
reasoning behind these to its students?
● Does periodic review of the curriculum and co-curriculum undertaken by the institute
to see how these might be improved?

Focal Area 3: Teaching and Learning Methods

● Does the institute consciously consider program and course outcomes while
deciding the teaching methods to be used in courses?
● Does the faculty collaborately discuss innovative teaching practices to improve
teaching and learning?
● Does the institute consult sources beyond its own faculty while selecting teaching
practices? (e.g., students, alumni, employers, professional associations,
comparable programs in other institutions, etc.)
● Does the institute faculty identify best practices in teaching and use the
information to improve teaching?

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 ● Does the institute use e learning /instructional materials and ICT based teaching tools to
enrich student learning experiences and thus improve learning outcomes?
● Does periodic review of the teaching methods to improve them undertaken by the
institute faculty?

Focal Area 4: Student Learning Assessment

 Does the institute measure the degree of alignment of student learning assessments
with program and course outcomes?
 Does the institute faculty collaboratively work to design and implement student
learning assessments, or these tasks have been delegated to a few individuals?
 Does the institute consult sources beyond its own faculty while designing student
learning assessments? (e.g., students, alumni, employers, professional
associations, comparable programs in other institutions, etc.)
 Does the faculty analyse the data and information collected based on learning
assessments and use the findings to improve the quality of curriculum, co-
curriculum and teaching practices?
 Does the institute identify best practices in program and course assessments and use
them in future assessments of learning outcomes?

Focal Area 5: Support of Quality Education

● Does the institute analyse the role of ancillary functions and student support facilities
like learning centres, libraries, laboratories etc. in supporting the achievement of
program outcomes and continuous quality improvement?
● Does the institute analyse the adequacy and utilisation of budget in promoting
or restricting its ability to implement improvement initiatives?
● How does the institute engage with student populations (past, present and prospective)
and other stakeholders to support a high-quality, sustainable program?

Practice Task
Q.1Fill ups the followings:
Under the first approach, an institution is evaluated in terms of system’s approach of
institutional------- i.e., ------, ----, ----
Q.2 How many approaches are there of assessing the performance of an educational institution?
Q.3 What is the basis of the second approach of assessing the performance of an educational
institution?

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Q.4 What does SAR stands for?

Feedback
Ans. 1. design, Input , Process, Output
Ans.2 Two approaches (first and second)
Ans. 3 The second approach of academic audit is based on the evaluation of institutional processes
applied for transmitting the raw input into effective outcome

Ans.4 SAR- Self Appraisal Report

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8.16.4 Academic Audit: Process

The purpose, scope and approach of academic audit may vary from one educational institution to
other depending on the size of institution, nature of its services, diversity of education purpose and the
requirements and interests of the parties involved. Mass of the data utilized in the investigation is
historical and related to the inputs of the system, however, the orientation of the audit should be
forward looking to improve the nature and management of future educational & training provision.
Auditors need to focus on the policies, procedures, internal mechanisms and outputs of the system, as
well as its costs, facilities and resources. Both hard, quantifiable data and relevant, subjective
comments are acceptable evidence on which the audit team base its judgment.

Some of the major sources of data are:

• Financial & numerical statistics

• Information from source records
• Internally & externally produced reports
• Published policies and procedures
• Curriculum documents
• Teacher diaries
• Assessment and evaluation records
• Physical inspection
• Questionnaires
• Decision meeting and in certain instances, the media

Process of Academic Audit

The process of academic audit in an institution involves following main steps:

 Establishment of objectives and scope of educational audit

 Establishment of terms of reference and the terms in which the outcomes will be
announced.
 Finalisation of the self appraisal report (SAR) and its submission to the auditing team
 Finalisation of audit team ( i.e. the persons to involved in the audit process)
 Drawing up of the audit instrument to collect data
 Establishment of the mechanism for collecting data from different sources
 Determination of criteria/ indicators for using data to make evaluative judgements

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  Confirmation of the availability of resources required
 Information dissemination about academic audit to all those who need to be involved
 Authorisation to the audit exercise to proceed
 Collection of data
 Recording of data on audit instruments
 Making essential judgements, by applying the agreed criteria/ indicators to data collected
 Drawing up of findings and action plan for improvement
 Making of essential management decisions
 Reviewing the format in which outcomes will be made public
 Announcing results and execution of action plan

Responsibility of Institutional Management and Audit team

● Top Management (State ● Activity (i), (ii), (iv), (ix), (x)
Education Department/ Authority and (xv) to (xvii)
seeking evaluation
● Institute internal audit team ● Activity (iii)
● External audit team ● Activity (v) to (viii) and (xi) to
(xiv)

Hence, effective academic auditing needs collaboration between auditing team selected to
represent a range of legitimate interests (DTE, BTE, Industry, Principal/Director etc.) and the
involvement of faculty and staff of the auditing institute. Dedicated leadership and commitment of the
top management is also a must for this type of exercise to succeed for the overall improvement of any
educational institution.

Practice Task
Q1.Short questions

a) What are the considerations of focus in curriculum and co curricular activities/

b) What are the steps of academic audit

Feedback
1. Answer

a) Considerations of focus in curriculum and co curricular activities are

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 ● Does the institute consciously design the curriculum and co-curriculum experiences to
achieve program learning outcomes?
● Does the institute/departmental faculty work collaboratively to design the curricula
and co-curricula, or are based on individual experiences, preferences and decisions?
● Does the institute consider the integration of out-of-classroom activities (co-curricular
activities) to complement the curriculum?
● Does the institute consult sources beyond its own faculty while designing the
curriculum and co- curriculum

b) Steps of academic audit are

● Establishment of objectives and scope of educational audit
● Establishment of terms of reference and the terms in which the outcomes will be
announced.
● Finalisation of the self appraisal report (SAR) and its submission to the auditing team
● Finalisation of audit team( i.e. the persons to involved in the audit process)
● Drawing up of the audit instrument to collect data
● Establishment of the mechanism for collecting data from different sources
● Determination of criteria/ indicators for using data to make evaluative judgements
● Confirmation of the availability of resources required
● Information dissemination about academic audit to all those who need to be involved
● Authorisation to the audit exercise to proceed
● Collection of data
● Recording of data on audit instruments
● Making essential judgements, by applying the agreed criteria/ indicators to data
collected
● Drawing up of findings and action plan for improvement
● Making of essential management decisions
● Reviewing the format in which outcomes will be made public
● Announcing results and execution of action plan

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Conclusion
Institutional evaluation provides a means to know the degree of the achievement at a particular instant.

It helps an institution to plan appropriate actions and take necessary decisions for their implementation

keeping in view the ultimate goals of the institute. Academic audit as a tool for institutional evaluation

has a broad scope which varies from the assessment of a project, a department, a function or the
institute as a whole. The inputs from the results of the academic audit can provide a path to an institute
to move on in future.

Bibliography:
1. Secolsky, C. and Denison, D.B. eds., 2012. Handbook on measurement, assessment, and
evaluation in higher education. Routledge.
2. Bresciani, M.J., 2006. Outcomes-based academic and co-curricular program review: A
compilation of institutional good practices. Stylus Publishing, LLC..
3. Green, A.S., 2008. Outcomes-Based Academic and Co-curricular Program Review. The Journal
of General Education, 57(1), pp.65-66.
4. Palomba, C.A. and Banta, T.W., 1999. Assessment Essentials: Planning, Implementing, and
Improving Assessment in Higher Education. Higher and Adult Education Series. Jossey-Bass,
Inc., Publishers, 350 Sansome Street, San Francisco, CA 94104.
5. Banta, T.W. and Palomba, C.A., 2014. Assessment essentials: Planning, implementing, and
improving assessment in higher education. John Wiley & Sons.
6. Arora, M., 2003. Credit Rating in India: Institutions, Methods And Evaluation. New Century
Publications.
7. Mishra, S., 2007. Quality assurance in higher education: An introduction. National Assessment
and Accreditation Council, India;.

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 8. Gandhi, M.M., 2013. International initiatives in assessment of quality and accreditation in
higher education. International Journal of Educational Planning & Administration, 3(2),
pp.121-138.
9. Sinha, V. and Subramanian, K.S., 2013. Accreditation in India: path of achieving educational
excellence. Business education & accreditation, 5(2), pp.107-116.
10. Schindler, L., Puls-Elvidge, S., Welzant, H. and Crawford, L., 2015. Definitions of quality in
higher education: A synthesis of the literature. Higher Learning Research
Communications, 5(3), pp.3-13.
11. Sinha, V. and Subramanian, K.S., 2013. Accreditation in India: path of achieving educational
excellence. Business education & accreditation, 5(2), pp.107-116.
12. https://www.thehindu.com/features/education/careers/academic-audit-the-need-of-the-
hour/article6969479.ece
13. https://www.tbr.edu/academics/academic-audit
14.

https://www.roanestate.edu/webfolders/SMITHCC/academicAudit/AcademicAuditOverview2
005.pdf

Supportive learning material: by Dr. Rakesh K Wats

Videos on:

● Institutional Evaluation- Concept and Importance

● Academic Auditing- Concept
● Academic Auditing- Focal Areas
● Academic Auditing Process

Web resources:

● Institutional Effectiveness: Assessment and Evaluation

https://www.youtube.com/watch?v=xtXnli_e0GY
● Welcome Video for EDUC837 Institutional Assessment in Higher Education
https://www.youtube.com/watch?v=camQJSDOYvQ
● Institutional Head (Evaluation) https://www.youtube.com/watch?v=PCL64PeCMfw
● What is Academic Audit? What does Academic Audit mean? Academic Audit meaning &
explanation https://www.youtube.com/watch?v=jZmhUw8DVmo
● Audit of Educational Institutions ll Special Audits ll CA Kanika Khetan

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● https://www.youtube.com/watch?v=ZM-HkGbhd1s
*****

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