The document outlines the Framework for Academic and Administrative Audit (AAA) in higher education institutions, emphasizing its importance for quality enhancement and sustainability. It details the objectives, methodologies, and expected outcomes of conducting AAA, alongside the role of the Internal Quality Assurance Cell (IQAC) established by NAAC. The AAA process is aimed at continuous improvement by evaluating strengths and weaknesses, promoting accountability, and integrating best practices in educational institutions.

1. Framework for Academic andFramework for Academic and
Administrative Audit Administrative Audit
in Higher Education Institutionsin Higher Education Institutions
Prof. A. Prof. A. BalasubramanianBalasubramanian
University of MysoreUniversity of Mysore
M soreM soreMysoreMysore

2. NAAC releasedNAAC releasedNAAC released NAAC released
• The first Guidelines for the Creation of the
Internal Quality Assurance Cell (IQAC) in y ( )
Accredited Institutions ‐ A Post‐Accreditation
Quality Sustenance Activity in 2007Quality Sustenance Activity in 2007 .
• IQAC will become a part of an institution’s
k l h l fsystem and work towards realising the goals of
quality enhancement and sustenance.

3. NAAC has provided the latestNAAC has provided the latestNAAC has provided the latest NAAC has provided the latest
• Guidelines for the Creation of the Internal
Quality Assurance Cell (IQAC) and Submission of
Annual Quality Assurance Report (AQAR) by
Accredited Institutions (Revised as per Revised ( p
Accreditation Framework in November, 2017).
• To make quality the defining element of higher• To make quality the defining element of higher
education in India through a combination of self
and external quality evaluation promotion andand external quality evaluation, promotion and
sustenance initiatives (Hinting to hit the ball).

4. Academic and Administrative Audit Academic and Administrative Audit
(AAA) (AAA)
b i f d i• A brief advisory note:
• 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).
• This brief note is intended to serve as advisory to y
all accredited HEIs who volunteer to undertake
AAA.

5. About Academic and Administrative About Academic and Administrative
Audit (AAA):Audit (AAA):
• Academic and Administrative Audit (AAA), are
very essential for the excellence in Higher y g
Education.
Th i t l t d t• These are interrelated concepts.
• Thus in order to have a quality oriented q y
academic, there should be a strong
administrative backgroundadministrative background.

6. Major objectives of AAA:Major objectives of AAA:Major objectives of AAA: Major objectives of AAA:
T d t d th i ti t d th t th• 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 academicmechanisms and to identify the opportunities for academic
reforms, administrative reforms and examination reforms
etc.
T l t th ti tili ti f fi i l d th• To evaluate the optimum utilization of financial and other
resources.
• To suggest the methods for continuous improvement ofTo suggest the methods for continuous improvement of
quality keeping in mind criteria and reports by NAAC and
other bodies.

7. Methodology:Methodology:Methodology: Methodology:
• NAAC has not prescribed any specific
methodology or guidelines for conducting gy g g
AAA.
• It is expected that each HEI may evolve its• It is expected that each HEI may evolve its
own guidelines and methodology by learning
f f ll b lfrom good practices followed by leading
institutions within and outside India.

8. Mission of IQACMission of IQACMission of IQACMission of IQAC
• To arrange for periodic assessment and
accreditation of institutions of higheraccreditation of institutions of higher
education or units thereof, or specific
academic programmes or projects
• To encourage self evaluation• To encourage self‐evaluation,
accountability, autonomy and
innovations in higher education

9. The primary aim of IQAC isThe primary aim of IQAC isThe primary aim of IQAC is The primary aim of IQAC is
• To develop a system for conscious,
consistent and catalytic action toconsistent and catalytic action to
improve the academic and p
administrative performance of the
i tit tiinstitution.

10. IQAC shall evolve mechanisms and IQAC shall evolve mechanisms and
procedures for procedures for
• Ensuring timely, efficient and
i f fprogressive performance of
academic administrative andacademic, administrative and
financial tasks

11. Functions of IQACFunctions of IQACFunctions of IQACFunctions of IQAC
t d f th IQAC• expected of the IQAC
• a) Development and application of quality benchmarks
• b) Parameters for various academic and administrativeb) Parameters for various academic and administrative
activities of the institution;
• c) Facilitating the creation of a learner‐centric environment
d i li d iconducive to quality education
• ‐‐‐‐‐‐
• i) Periodical conduct of Academic and Administrative• i) Periodical conduct of Academic and Administrative
Audit and its follow‐up
• j) Preparation and submission of the Annual Quality
Assurance Report (AQAR) as per guidelines and parameters
of NAAC.

12. Academic and Administrative Audit Academic and Administrative Audit
(AAA) (AAA)
i h k d• AAA is a system to check and promote
reasonable standards in the functioning of
HEIs.
• It is expected to play a vital role in the process p p y p
of IQAC related activities.
• Since it is not mandatory it is not done by allSince it is not mandatory, it is not done by all.
• It is considered as a prelude to NAAC process.
• During the process of auditing it gives a 360
degrees feedback.

13. AAA is also a continuous processAAA is also a continuous processAAA is also a continuous processAAA is also a continuous process
It t ib t t th ti th• It contributes to the continuous growth
• It is nothing but self‐introspection to correct the
deficiencies in the administrationdeficiencies in the administration.
• Assessment of policies, strategies, fee collection,
scholarship distribution departmentalscholarship distribution, departmental
functioning like preparation of time table,
competency mapping, and syllabus distribution,competency mapping, and syllabus distribution,
student support systems, activities,
• the involvement of IQACs in the functioning of Q g
the system for quality enhancement and
institutionalization of best practices.

14. Institutional academic audit:Institutional academic audit:Institutional academic audit:Institutional academic audit:
• The experiences of New Zealand’s universities
• All the New Zealand universities accepted the p
value of scrutiny of their academic processes
and acknowledge the value of examiningand acknowledge the value of examining
practice within a quality assurance framework.
U i it ’ li i d t hi it• University’s policies and processes to achieve its
stated objectives.
• AUSTRALIAN UNIVERSITIES QUALITY AGENCY

15. In overseas institutionsIn overseas institutionsIn overseas institutions In overseas institutions
• A self‐examination is compiled into a Quality
Portfolio (QP) ‐ is submitted to the AAU Panel ( )
three months before its scheduled audit visit.
• The visit then revolves around verification• The visit then revolves around verification,
clarification and further exploration of the
hissues in the QP.

16. Conducting AAA in IndiaConducting AAA in IndiaConducting AAA in IndiaConducting AAA in India
i d bli h h i• HEIs are motivated to establish their own
internal mechanism for sustenance, assurance
d h t f th lit d ti ithiand enhancement of the quality education within
the institution.
• To make appropriate recommendations for
continuous improvement of the processes and
d d f li dprocedures used for quality assurance and
enhancement.
• The assessment components normally include
the 7 criteria of NAAC assessment.

17. AAAAAAAAA AAA
• It is a Challenging task to conduct AAA
• People feel that it is a MOCK visit to NAACPeople feel that it is a MOCK visit to NAAC
process PT visit
I i l i il di f PT i i• It involves similar expenditure of a PT visit
• Availability of Funds for IQAC & AAAy Q
• Scheduling of AAA‐ End of a cycle before
b itti SSR t NAACsubmitting SSR to NAAC

18. AAA Should focus onAAA Should focus onAAA Should focus on AAA Should focus on
• 1. Quality culture of the institution in terms of
Quality Initiatives, Quality Sustenance and y y
Quality Enhancement.
• 2 Taking stock of what are the scope• 2. Taking stock of what are the scope,
processes, products & deliverables, problems
addressed, pending issues, prominence &
outstanding achievements, SWOC, suggestions
for improvement.

19. Terms of Reference for AAA in HEIsTerms of Reference for AAA in HEIsTerms of Reference for AAA in HEIsTerms of Reference for AAA in HEIs
Q li A (QA) b d b h h• Quality Assessment (QA) can be done better through
self‐evaluation and external AAA
Sh ld i l th ti i ti f ll th t k h ld• Should involve the participation of all the stakeholders
– management, faculty members, administrative staff,
students parents employers community and alumnistudents, parents, employers, community and alumni.
• Should lead to newer initiatives, interaction with the
external stakeholders facilitate the developmentexternal stakeholders facilitate the development
process of the institution and their educational
services.
• Should also verify the trend of growth & failures, if any.
• Propose corrective measures as per need.p p

20. Quality Assessment canQuality Assessment canQuality Assessment canQuality Assessment can
l f i i i l lf• Serve as a catalyst for institutional self‐
improvement.
• Promote innovation and strengthen the urge
to excel in HEIs.
• Accelerate the process but also bring in
greater objectivity into the processgreater objectivity into the process.
• Help to focus on the developments an
I tit ti h tt t d ft th iInstitution has attempted after the previous
A&A cycle.

21. AAA committeeAAA committeeAAA committeeAAA committee
• Composition ? Size
• Capabilities of members = Invariably good (Capabilities of members Invariably good (
Reason is NAAC PT experiences)
M l if l i i i i i lli d• Multifaculty institutions ‐ expertise in allied
fields
• Known or unknown members
A th f I di ’ T 100 i tit ti• Are they from India’s Top 100 institutions
• Availability for four days

22. NAAC process v/s AAA processNAAC process v/s AAA processNAAC process v/s AAA processNAAC process v/s AAA process
F t• Formats are same
• Data may come or may be seen within a short
notice in AAAnotice in AAA
• NAAC process will decide a grade‐ hence
seriousness is also for itseriousness is also for it
• AAA will help to improve the system (Solace),
corrective measures= seriousnesscorrective measures= seriousness
• NAAC PT recommendations can be done slowly
• AAAC recommendations should be done• AAAC recommendations should be done
immediately

23. ISO CertificationISO CertificationISO Certification ISO Certification
• Quality practices= Documented
• annual improvement,annual improvement,
• incremental growth,
• settling the non‐cornformities on the same
day.y

24. BenchmarkingBenchmarkingBenchmarking Benchmarking
►Benchmarking is an increasingly popular tool
in industry and is used extensively by both y y y
manufacturing and service organizations.
►Benchmarking is an ongoing systematic►Benchmarking is an ongoing systematic
means for measuring and comparing the work
fprocesses of an organization.

25. Checks and balancesChecks and balancesChecks and balancesChecks and balances
► f i b h h h►Are we performing better than what we have
performed earlier?
►Are there any other organizations that are
performing well and from whom we can learn?
►Are there any practices that will improve our
performance?
►Some institutions have done this analysis and
improved without AAA alsop
►In AAA, is there any set goal?

26. Types of BenchmarkingTypes of BenchmarkingTypes of Benchmarking Types of Benchmarking
►E h id ifi d diff f►Experts have identified different types of
benchmarking.
►Th i t l f ti l titi d►These are internal, functional, competitive, and
generic benchmarking.
►Internal benchmarking is done within an organization►Internal benchmarking is done within an organization
and typically between closely related units, using
common or shared performance parameters as acommon or shared performance parameters as a
basis for comparison.
►Functional benchmarking is a comparison of g p
performance and procedures between similar
functions, across different organizations.

27. ►Competitive benchmarking generally focuses►Competitive benchmarking generally focuses
on direct competitors and with specific
bl icomparable operations.
►Generic benchmarking is undertaken with g
external institutions which represent the
‘best‐in‐class’ for particular aspects of thebest‐in‐class for particular aspects of the
selected operations.
►Best Practices Benchmarking

28. Situation todaySituation todaySituation todaySituation today
• Ranking Frameworks have brought some
benchmarks
• Quantitative or qualitative data
O i i l il b d• Opinion pool, email‐based surveys
• Too many players for grading HEIs ( within y p y g g (
and Outside)
C AAA h l t hi f th ?• Can AAA helps to achieve any of these?

29. Early Days of BenchmarkingEarly Days of BenchmarkingEarly Days of BenchmarkingEarly Days of Benchmarking
Th h i i il tThe emphasis was primarily on measurement
per se, and on relatively straightforward
comparisons of suitable performancecomparisons of suitable performance
parameters within and between companies.
►Such parameters were usually simple►Such parameters were usually simple
productivity and efficiency measures.
►This was followed by a gradual shift in►This was followed by a gradual shift in
attention to processes within a more
diverse range of functions which influenceddiverse range of functions which influenced
overall performance.

30. AAAAAAAAAAAA
• Is within IQAC bucket ( budget too)
• Should it help to submit AQAR( annually)
• At the end of 4 th year, few months before going to
submit SSR to NAAC, how much impact is expectedsubmit SSR to NAAC, how much impact is expected
to improve the system, if an institution slept earlier.
• An institution which has done excellently well in all• An institution which has done excellently well in all
criteria for all the past 5 years has gone for NAAC
process and might have got the best grade withoutprocess and might have got the best grade without
AAA also.

31. Some equationsSome equationsSome equations Some equations
C i d d i d b• NAAC is mandatory, so do it, do not worry about
the grade
• NAAC grade determines national funding, so do it
for that purpose
• My institution should be among the top, come
what may, spend and create avenues, employ
people and strive for excellence(do not sleep)
• Mine is an Aided institution, funds are limited, , ,
appointments of vacant positions are remote, but
our aim is to get the highest grade(?)g g g

32. AAACAAACAAACAAAC
• Has its own limitations, due to terms of Ref.
• Some of the recommendations coming out ofSome of the recommendations coming out of
AAA are found to be facts and correct also
Whi h k h ld ( h h l f ff i ) h• Which stakeholder( at the helm of affairs) has
to see and help the institution in an aided
system, may not be knowing or bothering.
• But NAAC PT looks into it• But NAAC PT looks into it.

33. NBA v/s NAAC v/s AAANBA v/s NAAC v/s AAANBA v/s NAAC v/s AAANBA v/s NAAC v/s AAA
ifi li i• Specific or Holistic
• Statutory bodies have specific criteria for y p
every programme ( One can not run a
programme without fulfilling them)p g g )
• If NAAC assessment is holistic, AAA may be a
Holy holistic processHoly holistic process
• What type of hierarchy in assessment and
dit ti d dit b i i t baccreditation and audit , we can bring, is to be
decided.

34. A typical structureA typical structure
NAACNAAC
AAAAAA
IQAC IQAC

35. Document verification & InspectionDocument verification & InspectionDocument verification & InspectionDocument verification & Inspection
• Some institutions have understood the
process, so they skip AAAp y p
• Some institutions have put forth everything to
AAA and submitted AQARs and SSRsAAA and submitted AQARs and SSRs
• Some institutions have done everything but
the grade is low (Why we did all these)‐what
needs to be improved have not been done.needs to be improved have not been done.

36. AuditingAuditingAuditing Auditing
f d i h b i h h ill b h• If we do inch by inch, what will be the
outcome?
• May bring more weaknesses? (seen inside the
system), some outstanding things, best & y ), g g ,
worst practices. Shall we throw this into public
domain(?) through AAA (Why should we?)( ) g ( y )
• Other than verifying students feedback, can
AAA do student satisfaction survey and comeAAA do student satisfaction survey and come
for AAA? This is not a part of AAA.

37. AuditingAuditing definitelydefinitelyAuditingAuditing definitelydefinitely
C h l i f• Can help to improve performance
• Can help reforming processes, if there are flaws
( weaknesses, missing links, etc)
• Can put forth the issues of concern to be addressed
• Can lead to do better preparations before going for
NAAC
• Can push the level of the institution‐ one step up
always (AAA will never let an institution to go down).
• Since NAAC’s 7 criteria are invariably used by AAA, it is
not deviating from the primary focus.

38. Audit sequence is to be debatedAudit sequence is to be debatedAudit sequence is to be debatedAudit sequence is to be debated
Sh ld b d dSh ld b d d•• Should AAA be conductedShould AAA be conducted
• Every year(annual)
• Mid time Review between two sequential NAAC
Peer Team Visits
• OR Once in 5 Years (as seen in many HEIs)
• It is sometimes done as a formal requirement• It is sometimes done as a formal requirement.
• Audit with fully External members
C i b i i i i l i l i i i hi 2• Can it be in one visit or in multiple visits within 2
months

39. AAAC reportsAAAC reportsAAAC reportsAAAC reports
• Are not uniform
• Line by line of NAAC ‐ QIF is not followedLine by line of NAAC QIF is not followed
( shall somebody say that you do AAA wrf to
line by line QIF of NAAC)line by line QIF of NAAC)
• Some committees elaborate things and others
not ( shall we fix the checklist?)
• Normal Structure = preamble /features• Normal Structure = preamble /features,
observations, recommendations, SWOC

40. The seven Criteria to serve as the The seven Criteria to serve as the
basis for assessment of HEIs are: basis for assessment of HEIs are:
1. Curricular Aspects
2. Teaching‐Learning and Evaluation2. Teaching Learning and Evaluation
3. Research, Innovations and Extension
4. Infrastructure and Learning Resources
5 Student Support and Progression5. Student Support and Progression
6. Governance, Leadership and Management
7. Institutional Values and Best Practices

41. Checklist contains 470 Checklist contains 470 itemsitems
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