This slide is about academic and administrative audit for the quality control in the educational institutes. it also deals with various management techniques including Kaizen, 5S, etc. This slideshow is useful for the NAAC purpose.

1. • Dr. Anil Dusane
S.P. College, Pune
anildusane@gmail.com
Careerguru.co.com
Academic
and
Administrative Audit
(AAA)

2. What is audit?
Audit is the examination or inspection done
by certain body or agency
It is about physical checking of various related
documents and facilities by an auditor/s
It ascertains the accuracy and efficiency of
department or institution
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3. Types of audits desirable for NAAC
Academic and Administrative audit (A&A)
Financial audit (Internal and external)
Green audit
Biodiversity audit
Fire safety audit
Safety and Security audit
Gender audit
Water audit
Cyber security audit
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4. Stages of Audit
Pre-Audit
• Plan the audit
• Select audit team
• Visit the site/On-site
During Audit Process on Site
• Understand the scope of audit
• Analyze strengths and weaknesses
• Conduct the audit
• Evaluate the observations
Report Preparation :
• Produce a draft report of the data collected
• Produce a final report of the observations and the inference with accuracy
• Prepare an action plan to overcome the flaws 4

5. Academic audit and administrative audit
Academic Audit: A scientific and systematic method of
reviewing the quality of academic process in the institution.
Administrative Audit: A process of evaluating the efficiency
and effectiveness of the administrative procedure.
Administrative audit is the assessment of policies, strategies
& functions of the overall administrative system.
A strong administrative background is essential for a quality
oriented academics.
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6. Benefits of Academic and Administrative Audit (AAA)
It creates culture of ‘Excellence’
It allows quality assurance
It enhances the quality of academic activities and
administrative efficiency of educational institute
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7. Major objectives of AAA
To understand existing system and assess the strengths and
weaknesses of Departments and Administrative Units.
To suggest the methods for improvement
To overcome the weaknesses
To identify the bottlenecks in existing administrative
mechanisms

8. Major objectives of AAA
To identify the opportunities for academic reforms,
administrative reforms and examination reforms.
To evaluate the optimum utilization of financial and
other resources
To suggest the methods for continuous improvement
of quality keeping and quality assurance.
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9. Types of AAA
Internal audit: It should be done by
IQAC
External audit: It should be done by
University (for Colleges)/other
peers/reputed agencies
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10. Methodology of AAA
NAAC has not prescribed any specific methodology/guidelines for conducting AAA.
Each college may evolve its own guidelines and methodology
Practices can be adapted to suit specific context and requirement of college
Criteria-wise or departmental wise
Internal AAA for every year and external in 3-5 years
Peer review is backbone of AAA. The peers should have academic distinctions and
experience as reviewer on NAAC or similar bodies
Develop own process including self-evaluation by faculty and administrative units, schedule
of onsite visit, format of report and outcomes.
NAAC’s process and formats with some changes can be used
AAA is placed before IQAC, CDC and Governing Body (GB)
Plan of action is to be prepared to implement the suggestions
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11. Stages of AAA process
Preparing the “Self-study Report” with evidence-based documentation
Internal peer review and evaluation of the self-study report
Modifying the self-study report based on the internal peer-review
Implementing the suggestions
External Peer review/ audit by the external audit team
Implementing the suggestions and recommendations of the external peer audit
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12. Documentation
It should be in Physical form and or Digital form (is becoming popular)
It should be teachers and students friendly
Data should be easily retrieved
Documents should be authenticated
Standard formats should be created wherever possible
Avoid repetitiveness
Documents should be arranged as per criterion-wise
Document collection should be done priority-wise
Gist of data should be created for each file
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13. Some Important Documents for AAA
Annual academic plan
Annual administrative plan
Teaching plan along with innovations implemented for T-L-E
Teachers diary
Non-teaching staff work diary
Monthly Performance Report (MPR) along with its analysis
Outcome-Based Learning (OBE) and PO and CO mapping
Remedial coaching
Mentoring and counselling, programmes and activities 13

14. Important Documents for AAA
Result analysis
Research (Major and Minor Research)
Publications
Consultancy
Tie-ups and collaboration
Seminar/ Conference/ Workshops conducted including paper presentation and
chairing the sessions
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15. Important Documents for AAA
Start-ups by students and alumni
Teacher Performance Appraisal
Feedback Analysis of teachers along with ATR
Department Growth Plan
Teachers Personal Growth Plan
Satisfaction Survey and Need-analysis of students
Placement activities/initiatives including Soft-skills, Life-skills, Career Skills, Time Management,
Image Building, Personal Grooming
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16. Important Documents for AAA
Best Practices
Green initiatives
Gender sensitivity
Swatch Barat, Ek Bharath Shrestha Bharath
Facilities for the Differently Abled students
Minutes of the departmental meetings
Staff and students welfare activities
Institutional Extension Activities
College-Industry interactions
Alumni Association programmes, activities and interaction
Resource mobilization through Alumni.
Strengths, weaknesses, Opportunities and Threats/ Challenges of the department
Future plans, and its implementation strategies 16

17. Distinctive feature of college
Student research
Excellence in Sports
Innovative programme
Innovative practices
Unique practice
Extracurricular activity
Consultancy to farmers, industries, etc.
Engagement of Alumni
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18. Important steps towards Quality assurance
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Motivation and appreciation of teaching and non-teaching staff to enhance professional skills
Provision for learning resources and adequate infrastructure
Design of innovative teaching methods
Motivation and ecosystem for research culture
Organization of quality curricular, co-curricular and extracurricular activities
Optimal utilization of resources and infrastructure
Institutional policy for alignment with vision and mission of institute.
Practices for the overall efficiency of academic and administrative processes.

19. Quality assurance initiatives of the institution
Regular meeting of Internal Quality Assurance Cell (IQAC)
Timely submission of Annual Quality Assurance Report (AQAR)
Feedback collected, analyzed and used for improvements.
Academic Administrative Audit (AAA) and initiation of follow up action
Participation in National Institutional Ranking Framework (NIRF)
ISO Certification
Any other quality audit
Ramkrishna Bajaj National Quality Award (RBNQA)
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20. Academic Excellence
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21. Important
Management Techniques
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33. E-governance
E-governance can be termed as the use of ICT tools such as internet
to enhance the efficiency and effectiveness of day to day working of
the institute.
Role of E-governance:
• To enhance efficiency
• To have transparency in operations and day to day working.
Enterprise Resource Planning (ERP)
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34. ERP
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35. Benefits of e-governance
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36. Implementation of e-governance in operation
Virtual classrooms, whiteboards and ICT enabled classrooms.
Google Class room
Process oriented guided inquiry learning (POGIL).
Training programmes on ICT for teachers and students.
Prizes at the university level competition for “Innovative Models for Effective Teaching‘
Programmes of ICT for non-teaching staff to improve efficiency of administration.
Training programmes for administrative procedures, finance awareness, updating of PBAS and API forms.
Simplified procedures for maintenance of campus infrastructure and ICT.
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37. General Schedule for AAA (External)
Day 1:
• 09.30 am-10.30 am: ​Meeting with Principal and IQAC Team
• 10.30 am-04.30 pm: ​Department-wise presentation (10 min) discussion
and interaction.
Day 2:
• 09.30 am-11.45 am: ​NAAC Criteria-wise Presentation (15 min for each
Criteria)
• 11.45 am-12.30 pm: ​Interaction with student, parents and Alumni
• 12.30 pm-01.30 pm: ​Visit to Office, Library & Computer Lab/Centre,
other Facilities and Services
• 02.00 pm-02.30 pm: ​Interaction with office staff
• 03.00 pm-04.00 pm: ​Exit meeting with Principal, Teachers and office
Staff 37

38. Outline of AAA (External) report
1.Introduction
2. About the institution:
3. A brief overview based on presentation of IQAC team and Principal
3.Criterion-wise Observations, Comments and Suggestions (based on the spot visit to
Departments and facilities during audit.)
I. Curricular Aspects
II. Teaching, Learning & Evaluation
III. Research, Consultancy & Extension
IV. Infrastructure & Learning Resources.
V. Student Support & Progression
VI. Governance and Leadership
VII. Innovative Practices
4.SWOC Analysis:
• Strength:
• Weakness:
• Opportunities:
• Challenges:
Suggestions and Recommendations for improvement:
Signature of the Chairman and Members
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39. Important references
• https://ipsrsolutions.com/academix/aaa-academic-and-
administrative-audit
• https://www.researchgate.net/publication/337056436_
CHECKLIST_FOR_ACADEMIC_AND_ADMINISTRATIVE_AU
DIT
• http://www.naac.gov.in/docs/Miscellaneous/NAAC_AAA
_Note.pdf
• https://www.rgu.ac.in/NewsInfo/LatestNewsDetails/145
5
• https://avinuty.ac.in/maincampus/uploads/iqac/forms/F
ormat_for_department_academic_audit.pdf
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40. Thanks
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