The document discusses academic and administrative audits in higher education institutions. It notes that academic and administrative audits (AAA) help maintain quality standards and ensure continuous self-improvement of institutions. Some key points include: AAA involves evaluating academic and administrative processes; it is now mandatory in some Indian states like Gujarat; the National Assessment and Accreditation Council oversees AAA and quality assurance; AAA aims to assess teaching/learning quality, research, infrastructure, student support and governance; it follows criteria like NAAC and involves self and external reviews.

1. ACADEMIC AND
ADMINISTRATIVE
AUDIT
V. JOSEPH XAVIER SJ

2. INTRODUCTION
• Academic and Administrative Audit (AAA) is a system to control and
maintain high standards in the field of Higher Education. It is
playing a vital role in providing quality education to the learners all
over the world. In addition to the developed countries, the
developing countries, are now-a-days coming forward to opt for the
AAA. It is a continuous process of self-introspection for the better
growth of the institution.

3. MADE MANDATORY
• In India along with central government some states like Gujrat have not only
volunteered but made Academic and Administrative Audit a mandatory measure
for the institutions of Higher Education. Centre has assigned the responsibility to
National Assessment and Accreditation Council (NNAC) where as State
Government of Gujrat has established Knowledge Consortium of Gujarat (KCG).

4. CONTEXT
• The National Assessment and Accreditation Council (NAAC) has evolved
tools and guidelines for improving quality for different levels of Higher
Education Institutions (HEIs) and for its sustenance. By establishing
Internal Quality Assurance Cell (IQAC) and undergoing External Quality
Assurance process it’s possible to continuously strive for excellence.
• The monitoring and evaluation of the institutional processes require a
carefully structured system of internal and external review. The NAAC
expects the Institutions to undertake continuous Academic and
Administrative Audits (AAA).

5. ACADEMIC AND ADMINISTRATIVE AUDIT (AAA)
• Academic and Administrative Audit (AAA), are very essential for the
excellence in Higher Education. These are interrelated concepts.
Thus in order to have a quality oriented academic, there should be a
strong administrative background.

6. ACADEMIC AUDIT
• Academic audit can be understood as a scientific and systematic method
of reviewing the quality of academic process in the institution. It is related
with the quality assurance and enhancing the quality of academic
activities in HEIs.
• Academic Audit is a mechanism to examine and enhance the quality of
academic aspects of institutes of Higher Education. Defining Academic
Audit B. L. Gupta states that, “it is a systematic and scientific process of
designing, implementing, monitoring and reviewing the quality of
academic systems, i. e. inputs, processes and outputs. ... It emphasizes on
reviewing the performance of the academic inputs with respect to quality
assurance. ”

7. ADMINISTRATIVE AUDIT
• It can be defined as a process of evaluating the efficiency and effectiveness of the
administrative procedure. It includes assessment of policies, strategies and functions
of the various administrative departments, control of the overall administrative system
etc.
• M. Rajendran defines Administrative Audit as “A method of assessing the efficiency
and effectiveness of the operating system of the administrative procedures, policies,
decision- making authorities and functionaries, strategies, process, feedback, control
mechanism and so on.
• The AA would make the functionaries to ascertain the strength and weakness of the
operating system in general and pin point areas in particular, where the function is
stagnated and affected, and where special attention is required along with man and
material resources.”

8. AIMS AND OBJECTIVES
• The setting and maintenance of academic standards.
• The quality of students’ learning opportunities.
• Developments in quality enhancement.
• The need for greater integration between academic planning, research
assessment and quality assurance.
• The recognition and use of the outcomes from professional association
activities.
• The recognition of the importance of quality enhancement.

9. MAJOR OBJECTIVES OF AAA
• To understand the existing system and assess the strengths and weaknesses of
the Departments and Administrative Units and to suggest the methods for
improvement and for overcoming the weaknesses.
• To identify the bottlenecks in the existing administrative mechanisms and to
identify the opportunities for academic reforms, administrative reforms and
examination reforms etc.
• To evaluate the optimum utilization of financial and other resources.
• To suggest the methods for continuous improvement of quality keeping in mind
criteria and reports by NAAC and other bodies.

10. NEED FOR AAA
• To confirm that the arrangements for quality assurance are fit for purpose and conform to the
institution’s role and mission.
• To provide assurance that the standards of higher education (at degree level and above) align with
expectations.
• To ensure that students have access to appropriate learning opportunities through taught provision,
private study and supported learning.
• To promote and enhance high quality teaching and learning.
• To confirm that students are fully supported in their academic and personal development.
• To advance the highest possible levels of student achievement.
• To encourage strategic developments that enriches the curriculum and enhances students’
opportunities for employment and career development.

11. APPROACH TOWARDS AAA
• Institutions of eminence cannot be built overnight or legislated into
existence. For that strict and continuous Audit of Academic and
Administrative process should be adopted. Both the AAA can be done
internally and externally. Internally it should be done by the IQAC of the
institutions, while externally it can be done by the University (for Colleges)
or by other peers. In some states it is organised by state level agencies.
Knowledge Consortium of Gujarat (KCG) has developed a very good
model of AAA in state of Gujarat. It is also learnt that many of the HEIs
volunteering for third and fourth cycles of accreditation have done AAA.

12. METHODOLOGY
• NAAC has not prescribed any specific methodology or guidelines
for conducting AAA. It is expected that each HEI may evolve its own
guidelines and methodology by learning from good practices
followed by leading institutions within and outside India. The
successful practices can be adapted to suit specific context and
requirement of HEI on various aspects.

13. CRITERIA
• IQAC of HEIs can decide set of criteria to be used for AAA. Some
HEIs follow NAAC criteria as it compliments periodic assessment
and accreditation by NAAC. Some HEIs have developed slightly
different set of criteria. It is also learnt that some HEIs have taken
NAAC departmental evaluation format and have done department-
wise also.

14. PERIODICITY
• Some HEIs undertake the AAA exercise on annual basis. However
many HEIs prefer to do this exercise once in three years or five
years. An internal exercise every year and involvement of external
peers once in a three or five years could be a good option.

15. SELECTION OF PEERS/EXPERTS
• Since peer review is backbone of AAA, similar to accreditation by
NAAC, it is important to select good experts as peers for AAA. Even
though no specific qualifications can be prescribed for good peers,
it is vital that peers should be able to command respect from faculty
on the basis of their credentials such as academic distinctions,
experience as reviewer on NAAC or similar bodies and
professionalism.

16. PROCESS
• HEIs can device its own process including self-evaluation by faculty
and administrative units, schedule of onsite visit, format of report
and outcome etc... Many HEIs try to follow NAAC’s process and
formats with some changes.

17. OUTCOME
• The outcome of AAA may be placed before Internal Quality
Assurance Cell (IQAC) and Governing Bodies (GB) of the HEIs. Plan
of action can be prepared to implement the suggestions accepted
by IQAC and GB.

18. CONCLUSION
• It is important that HEIs should formally prepare the guidelines /
statues / ordinances for AAA, so that it becomes an institutionalised
practice. As the facilitator of quality culture in higher education, the
NAAC will be taking efforts to promote any good practices of AAA
brought to its attention.

19. CONCLUSION
• Academic and Administrative Audit gives a standard system based on parameters for
Quality education. Quality enhancement is defined in terms of institutional policies,
procedures and activities that are designed to promote the learning experience and
learning outcomes of students and also contribute to the enrichment of the curriculum. The
approach to enhancement will involve an institutional assessment of the strengths and
weaknesses of current academic practice and the identification of potential areas for
improvement. It may also reflect the particular mission and strategic priorities of
institutions, where enhancement is seen in terms of a strategy for driving change and
promoting student achievement and capabilities. Hence it is concluded that there is a dire
need to pay proper attention to institutional strategies and policies for global
engagements, extending the experience and aspirations of students to participate in an
increasingly global community.

20. AREAS THAT ARE
CONSIDERED FOR AAA

21. INTRODUCTION • There are different agencies use different
parameters for AAA. Some have fixed formats
and others do not have. As NAAC has not
specified any one format every agency use
different methods. The most common format
used is the NAAC format as it is a preparation for
preparing the NAAC Accreditation report in
course of time.

22. AREAS COVERED
IN AAA
• Curricular Aspects
• Teaching ,Learning and Evaluation
• Research ,Consultancy and extension
• Infrastructure and Learning resources
• Student Support and Progression
• Governance and Leadership
• Innovative Practices

23. ABOUT THE
DEPARTMENT
• Department History
• Sanctioned posts
• Student intake and present strength
• Types of courses offered
• Skill related courses, COP, Vocative courses, Bridge
courses offered
• Exam result of the subject Vs University
• Extra achievement of the students
• Achievement of the faculty

24. INNOVATIVE
METHODS IN
TEACHING
• A/V Aids
• Interactive teaching
• Computer and internet use
• PPTs
• Film shows
• Field tours and trips

25. INNOVATIVE
METHODS IN
TEACHING
• Self learning
• Peer teaching
• Advanced learners –remedial teaching
• Forums and associations
• Student competitions
• Seminars and Presentations
• Newsletters and publication by the students
• Fests for students by students

26. CONSULTANCY
• Using the expertise of the faculty
• Using the infra structural facilities of the college
by the faculty
• Using the committees like NSS for the society
• Using the testing units

27. EXTERNAL
ACTIVITIES
• Guest lecture
• Invited speakers to other colleges
• Train the trainers
• Soft skill trainers
• Resource persons in academic meets,
RC/OC/STC

28. RESEARCH
• Publications
• Research Projects ,
• Editorial boards,
• Books

29. OTHER
SERVICES
• Monetary ,academic and psychological
counselling
• Provide books
• Mentoring students
• Data base of the students
• Alumni records
• On line student record.

30. ADMINISTRATIVE
AUDIT

31. AREAS
COVERED
• Background of the Institution
• Recognition
• Land Area
• Strategic Planning
• Governance and Management –
Committees
• Other Academic Bodies

32. AREAS
COVERED
• Staff Profile
• Student Admission and Discipline
• Finance Aspects
• Infrastructure
• Institution Automation

33. AREAS
COVERED
• Welfare Schemes in the Institution
• Concern for Women Students
• Amenities in the Institution – Drinking
water, canteen, medical center, transport,
incinerator and ramp
• Institutional Safety and Security
• Sports and Health Center

34. AREAS
COVERED
• Hostel
• Support Services and the Environment
• Student Placement Cell
• Alumni/ae and Stakeholders
• IQAC