RJS FGC, Koramangala, Bangalore, Karnataka

ACADEMIC AND ADMINISTRATIVE AUDIT – A CASE STUDY

Prof. H S Balakrishna
Department of Physics
Prof. D J Vani
Prof. Krupasindhu MD
Department of Commerce & Management

Organized by
RJS FGC, Koramangala, Bangalore, Karnataka
National Level Conference held in July 2016

ABSTRACT
The purpose of the Academic and Administrative Audit is to evaluate the performance of the
faculty, students and departments as well as to appreciate their achievements and give
suggestions for further improvement of the quality of teaching, research, administration, and
curricular and extra-curricular activities. An attempt is made to show how the results of the audit
could be and its utility for quality enhancement. Higher education has provided forum to enable
the policies of the institution to be well achieved. Universities have been striving to be
recognized for their work accordingly as suggested by UGC Act.

Keywords: Academic and Administrative Audit, CPE, Significance of A³, Quality, Benchmark

1. Introduction
Academic audit is a systematic and scientific process of designing, implementing, monitoring
and reviewing the quality of academic systems i.e., inputs, processes, outputs with respect to
quality assurance. The academic audit provides a strategic framework for the teaching – learning
activity in the college. It is the primary means of establishing and ensuring effective and robust
quality management procedures and of continued enhancement of quality in the institution.
Universities have set up policies in accordance with UGC Act requirement and have succeeded
in being awarded best grades for maintaining a sound internal control system by NAAC
2. Objectives

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• To learn about the policy factors of three private university in Karnataka

• To learn of the degree of implementation of such policy

3. Scope

Our study is restricted to the extent of three private universities which provides higher
education. It is selected to compensate time limitations

4. Methodology

Descriptive methods are adopted of which the NAAC report of each university is taken
up for review literature. A secondary source (internet) is depended on for information

5. Sampling Design

Considering 677 universities by 2014 as population, samples are selected based on

convenience method. They locate themselves in Karnataka university. Mainly A³ reports by
Alliance University, Azim Premji’s University Jain University were focused

6. Findings

University of Alliance bridges the gap between the learning process at college level and
on job work procedures by providing a number of opportunities to student fraternity in meeting
the current and future requirements of the organizations. In associations with CISCO and
WIPRO, Alliance University has its own journal ALLIANCE JOURNAL OF BUSINESS
RESEARCH - that is published bi-annually in collaboration with Oakland University, USA. The
Journal is an international refereed publication and is listed in the prestigious CABELL'S
Directory under four categories – Management, Marketing, Accounting & Finance, and
Economics. The Journal has the distinction of being among the top 1/6th of Journals based on
acceptance rates.

Azim Premji University follows a different grading system where the criterions are
term papers, class projects, presentations, book reviews, exams are all part of the overall
assessment scheme that contribute to student learning and understanding in multiple dimensions.

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The panel member suggested that the higher education has a number of shortcomings and also
that the faculties should be sent for FDPs in IIMs and need to have a good placement officer for
meaningful employment of students Publications not in print

7. Conclusion

For any higher education institute overall exposure apart from syllabus is important and
Alliance and Azim Premji’s Universities of Karnataka have proved themselves

References

1. Sharma. T.R., (2016) Academic and Administrative Audit, Raja Rajeswari Journal of
Psychology and Education, vol (1), 8-11
2. Planning Commission : Approach paper to 12th Five Year plan – Faster, Sustainable and
More Inclusive Growth , GOI, Planning Commission, October 2011
3. Inclusive and Qualitative Expansion of Higher Education, UGC Nov 2011
4. Towards a knowledge society, National Knowledge Commission, Oct 2008
5. Report of the Task Force on Higher Education, Govt. of Karnataka, Sept. 2004
6. NAAC Manual for Self Study Report, NAAC, Bangalore

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APPENDIX

Academic and Administrative Audit (AAA) is a system to ensure quality in every aspect of
Higher Education. AAA is being adopted not only by developed countries but also by developing
and under developed countries to enhance quality in higher education. It is a continuous process
of self-introspection for the better growth of the institution.

Vijaya College is a reputed institution of Bangalore South which has carved a niche for itself in
the society. Having been started in the Pre – independence era, it has completed 70 years of
fruitful existence serving the purpose of higher education with a faculty strength of nearly 130
and student strength of 2726. The college has been identified by UGC as a College with
Potential for Excellence (CPE). The college has a firm commitment to reach greater academic
heights in the globalized world with the strength of highly dedicated, competent and qualified
faculty on its rolls.

A set of assessment components have been designed to ensure the appropriate functioning of
teaching – learning activity in the institution and to quantify the efforts put forth by the teaching
faculty and the students. Academic audit which involves the student experience review is based
on a 4 letter grade scale pertaining to teaching dimensions like regularity of conducting classes,
subject knowledge, planning and delivery of course content, accountability, communication
skills, ability to control the class, concern for students, role as a mentor, etc. The outcome of
such assessment is used in implementing appropriate corrective measures and thus enhance
quality in academics are incorporated.

Administrative audit is the method of assessing the efficiency and effectiveness of the
administrative procedures, policies, decision-making authorities and functionaries, strategies,
process, feedback, control mechanism and so on. The administrative audit makes the authorities
to ascertain the strengths and weaknesses of the system as well explore the opportunities and
challenges faced by the system. AAA would enable the authorities to choose the right man power
for right purposes and enhance the required infrastructure for creating academic ambience.

Academic audit
• To ensure academic accountability
• Define quality for each functional component
• Enhance the quality of teaching – learning process

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• Enhance teacher quality

• Encourage faculty development programmes through conduct and participation in
various workshops and conferences
• Introduction of student counselling and mentoring system through trained
counsellors. Floating remedial classes for weak learners
• Ensure maximum productivity from both the teaching faculty and students
• Make a SWOC analysis of each department and evolve future short term and long
term plans

Administrative Audit

• To provide tranquil and ambient atmosphere for teaching – learning activity

• Ensure quality in every process of the system
• To ensure transparency in governance
• Provide adequate infrastructure commensurate to learning through modern
pedagogic techniques including ICT
• Enhance the ICT infrastructure by creating e – library and independent computer
center
• Identify sources for fund generation and optimum utilization
• Ensure accountability in administration

Necessity and Significance

Academic audit is designed to scrutinize the strategic management and quality enhancement of
the different academic and administrative processes for the undergraduate and postgraduate
courses taught in the institution.
The National Assessment and Accreditation Council (NAAC) have been established under the
Ministry of HRD as an autonomous body of UGC and have been vested with the responsibility
of assessing and accrediting higher education institutes in the country. UGC has made
accreditation mandatory for all the HEIs in India. NAAC has developed its own parameters for
assessing quality of institutions. The parameters are divided into following seven criteria.
• Curricular Aspects
• Teaching – Learning – Evaluation Aspects

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• Research, Consultancy and Extension

• Infrastructure and Learning Resources
• Student Support system and Progression
• Governance and Leadership
• Innovative Practices

The National Assessment and Accreditation Council (NAAC) have evolved certain benchmarks
for ascertaining and ensuring the quality at different levels of Higher Education. Internal Quality
Assurance Cells (IQACs) are to be established mandatorily in all Higher Educational Institutions
(HEI) to identify the benchmarks required for achieving the quality. Thus, IQAC is expected to
play an important role in improving the quality of academic and administrative activities of the
Institution. The academic, administrative, curricular and extra-curricular activities carried out by
the faculty needs to be assessed by internal and external academicians as well as peers so that the
appreciations and valuable suggestions boost the confidence of the faculty. Administrative audit
from external players like DCE, UGC and AGS office are conducted to ensure accountability
and justification for the fund utilization.

Present Scenario of Higher Education on AAA

India's higher education system is the world's third largest in terms of students, next to China and
the United States. India has the advantage of English being the primary language of higher
education and research. India educates approximately 14 per cent of its youth in higher education
as compared to 20 per cent in China. The main governing body at the tertiary level is the
University Grants Commission (UGC), which enforces its standards, advises the government,
and helps coordinate between the centre and the state. Some institutions of India, such as the
Indian Institutes of technology (IITs) and Indian Institutes of Managements (IIMs), have been
globally acclaimed for their standard of education. India has failed to produce world class
universities. A recent evaluation of universities and research institutes all over the world has not
a single Indian institution or university in the world's top 200 while China has six.
The overall scenario of higher education in India does not match with the global Quality
standards. Hence, there is enough justification for an increased assessment of the Quality of the
country’s educational institutions. Traditionally, these institutions assumed that Quality could be
determined by their internal resources, viz., faculty with an impressive set of degrees and

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experience detailed at the end of the institute’s admission brochure, number of books and
journals in the library, an ultra-modern campus, and size of the endowment, etc., or by its
definable and assessable outputs, viz., efficient use of resources, producing uniquely educated,
highly satisfied and employable graduates.

Critical appraisals undertaken by the governmental committees and independent academicians

have highlighted the crisis confronting the system: ‘increasing educated unemployment;
weakening of student motivation; increasing unrest and indiscipline on the campuses; frequent
collapse of administration; deterioration of standards; and above all, the demoralizing effect of
the irrelevance and purposelessness of most of what is being done.’ While the politicians and
policy makers have often spoken about the need for radical reconstruction of the system, what
has been achieved in reality is only moderate reformism.

Quality of higher education becomes increasingly important as India strives to compete in a

globalized economy in areas that require highly trained professionals. So far, India’s large,
educated population base and its reservoir of at least moderately well trained university
graduates have aided the country in moving ahead, but the competition is fierce.
Other countries are also upgrading higher education with the aim of building world class
universities. TSR Subramanian report on New Education Policy speaks of poor quality of higher
education in India which has prompted nearly 3 lakhs Indian students to seek admissions in US
varsities spending nearly 10 billion $ every year.

The present system of higher education does not serve the purpose for which it has been started.
In general, education itself has become so profitable a business that quality is lost in the increase
of quantity of professional institutions with quota system and politicization adding fuel to the fire
of spoil system, thereby increasing unemployment of graduates without quick relief to mitigate
their sufferings in the job market of the country. So, the drawbacks of the higher education
system underscore the need for reforms to make it worthwhile and beneficial to all concerned.

Most observers agree that Indian higher education, the significant and impressive developments
of the past few decades notwithstanding, faces major challenges in both quantitative and
qualitative terms. Perhaps the clearest and boldest statement of this issue can be found in the

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“towards a knowledge society” of the National Knowledge Commission which concludes that
there is ‘a quiet crisis in higher education in India that runs deep. The time has come to address
this crisis in a systematic and forthright manner’, and that it has to do with both the quantity and
the quality of higher education in India.

In Karnataka higher education is at the crossroads. The system is faced with the rising
expectations of the people on the one hand, and the pressures of an economy undergoing
structural reforms on the other. The day is not far off when State Universities will have to face
competition from private and foreign Universities. The question arises as to whether the nature
of the programmes offered and their quality can stand global competition. The answer to these
questions is determined by the manner in which the system is governed, the programmes
managed, institutional arrangements made and delivery mechanisms function. The critical
requirement is to take a long-term view and initiate strategic measures in the areas of both
policy-making and operation in order to create an education system which will meet the
changing demands of the youth, society and the nation.

Quality Enhancement and A3

Quality in higher education is a much discussed subject. Seminars, workshops and academic
forums have deliberated the rapidly growing importance of quality in the collegiate educational
system and proved the rationale for a focused effort in this direction. It is self evident that
improving the quality of higher educational system to world-class levels is key to the overall
development of state and the nation. With the intention of inspiring action on the ground, various
committees and task force groups have genuinely and comprehensively discussed this subject to
make actionable recommendations on how educational quality can be improved. Leaders in the
educational systems at the Karnataka state, university and institution level have mobilized
several initiatives focused on improving the standards of education. However, further analysis of
these initiatives highlights the areas where we need to reinforce the quality movement.

The quality initiatives so far have focused on:

• Assessing the state of affairs (using criteria from NAAC, NBA and ISO.)
• Training management / faculty / staff in concepts of TQM
• Developing quality task force at state, district and taluk level

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• Voluntary quality programs by the leadership of individual institutions

There is an ever increasing need to debate how effective these initiatives would be in changing
the ground realities for “The Students”, the primary beneficiaries of the quality movement. A key
point to highlight, based on learning from educational quality movement worldwide, is that those
programs that ensure student interest as the focal point have shown significantly better results.

Process and Policy of A3 – Case Study

Academic audit process has the following steps:

• Constitution of the teaching – learning board at the start of the academic year
• Review of the student feedback format and peer feedback format. Redesigning the format
wherever necessary.
• Evolution of academic planner by each department and the calendar of events before the
commencement of the classes
• Unitization of the syllabus
• Periodic review meetings with the individual departments to identify the challenges faced in
academics
• Monthly report submission of the syllabus covered to the respective heads by individual
faculty and hence review by the teaching – learning board
• Administering the student feedback questionnaire to all the students on a particular day at the
specified hour identified for that purpose and its collection. This process is carried out by
members of the teaching – learning board.
• Computerized processing of the student questionnaires and generation of report is carried out
• Class average for each parameter in percentage is generated where letter grades are converted
into percentages. It is done for each teacher of the department.
• Report is generated for each class on different parameters for each faculty member.
• Consolidated report is generated for each department
• Consolidated report is reviewed in a meeting chaired the Dean, Principal, Vice – Principal
and members of teaching – learning board. Measures to suggest points for improvement for
different cross – section of teachers is evolved

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• Self appraisal and Peer feedback is received from each of the faculty members and a
comprehensive report is generated.
• Based on these reports – monthly coverage of topics by the teachers in consonance with the
academic planner, student feedback reports, Self appraisal reports and the Peer feedback
report – counseling sessions are held for underperformers in the system.
• Wherever necessary remedial measures are adopted to enhance the teaching – learning
process in the system based on the above reports
• Semester end examination results also reflect on the academic quality of the institution.
University examination results are analyzed at the end of every semester for each class and in
each subject. Remedial measures are adopted based on the results
• Progress of students to higher studies, campus recruitments to different companies, pay
packets offered throw light on quality of graduates and postgraduates generated in the college

Administrative Audit Process

• Administrative audit is carried out by various agencies in respect of infrastructural facilities

provided, co – curricular and extra – curricular activities in the college, library learning
resources, laboratory learning infrastructure, scholarships provided, budgetary provisions
made for different activities, etc.
• Student feedback questionnaire includes components on facilities like that of library
infrastructure, laboratory infrastructure, rest room cleanliness, canteen food hygieneity and
pricing, class room facilities, cleanliness of class rooms, courteousness of the administrative
and support staff, etc. These are aimed at enhancing the quality of infrastructure and support
system in the institution.
• Publicity and dissemination of varieties of information is yet another vital component of
administrative audit carried out.
• Student grievances are heard by a dedicated group of senior teachers forming the Student
grievance cell. The college also has Anti – Sexual Harassment Cell, Anti – Ragging Cell and
Student Counselling cell.
• Employee grievances are heard by the Principal and Vice – Principal directly.
• Report on administrative issues like infrastructure, publicity, support system, rest room
facilities is generated based on the student feedback questionnaire

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• Effective working of the administrative staff is evaluated on various parameters by students,

teachers, heads of departments, vice – principal and principal
• Report is generated on their effective functioning and improvements in the system are
introduced from time to time
• Finance audit is carried out internally every year by the auditor appointed for that purpose.
The shortcomings are rectified by adopting corrective measures.
• DCE audit is carried out generally once in three years. Recommendations based on their
observations are implemented forthwith
• UGC carries out its auditing once in every five years at the end of the plan period. Their
recommendations are complied by introducing suitable measures.
• AGS audit happens once in seven / ten years. Recommendations of the audit panel is
implemented by adopting corrective measures.

The audit personnel help obtaining a better understanding of compliance by fully leveraging its
resources to not only conduct auditing activities but also to train the teachers and the
administrative staff on the role of internal audit.

The departments and administrative sections are expected to submit the necessary information in
the Format provided by the IQAC. The information provided should include all the aspects as
per NAAC criteria. The information should include the achievements, curricular, co-curricular
activities and extra-curricular activities carried out, participation of students in various activities
and their achievements and participation of teachers in national and international conferences,
seminars and workshops. The funds generated by the faculty and the department for the conduct
of various events, the purpose and the names of the funding agencies and duration of the research
project should be indicated. Individual faculty profile indicating their contribution in teaching,
research and extension activities and their achievements, awards and prizes received along with
supporting data should also be submitted to IQAC and a copy maintained in the respective
departments.
Feedback forms collected from students and other stakeholders on curricular developments,
infrastructural facilities and performance of teachers for validation is preserved by the teaching –
learning board as well as the IQAC. The information about consultancy services, collaborations
with other reputed universities and institutions, placement records, students admitted and their

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results in final examinations, mentoring system and financial support provided to students etc.
should be kept in the departments, administrative office and IQAC.

Benchmarking of Quality Policies in Audit System of HEI’s

The world economy is changing and so is the higher education. The availability of knowledge,
ensuring quality, to the economy at large happens to be a strong determinant of national
competitiveness and quality of human resources in a country. The economic progress cannot be
sustainable in absence of a higher education system equipped with stringent quality assurance
processes. Quality is a critical factor in influencing the educational outcome of the educational
institute on one hand and employability of the graduates on the other.

In today’s contemporary world the interests of many stakeholders like students, parents, future
employers, the State and funding bodies need to be taken care of while developing a strategy
leading to quality in higher education. The academic freedom and flexibility granted to
educational institutes like universities make the adoption of quality control exercise a complex
and difficult one. This necessitates developing a stringent monitoring mechanism to maintain and
improve the standards of education. In this regard, India has established National Assessment
and Accreditation Council (NAAC) to promote quality in education. The overall quality
assurance framework followed by NAAC has all the basic elements of quality assurance like
accreditation, assessment and academic audit.

Further, the methods adopted by NAAC like institutional self-study report, on-site visits, face-to-
face interaction with faculty and students leave a fair degree of consequential impacts on the
educational institutions to adhere to quality norms and standards. However, ensuring quality in a
complex, diverse and one of the largest educational systems of the world requires a high degree
of accountability both from the institutions and National agencies level. Truly, the complexity in
the entire value chain of ensuring quality is more visible in the functional domain of the teacher
and the student. Since the participatory role played by students in academic discourse gets
seriously affected by not granting due freedom to them and the teachers on the other hand fail to
bring the fruits of hard core applied research and consulting to the class room for effecting better
and meaningful learning for want of right kind of academic environment coupled with assistance
and incentives.

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Keeping in view of such complexities, NAAC has taken initiatives to strengthen stakeholders’
involvement rather than only playing a role of regulatory and assessing body. Thus sustainability
in upgrading quality depends much on the stakeholders’ commitment and continuous self
appraisal supplemented by the unbiased qualitative review and in time dissemination of requisite
information to the receiving end.

Academic and administrative audit in a system establishes and enables to define a robust set of
institutional policies, procedures and activities that are designed to promote the quality in
teaching – learning experience and enhance the learning outcomes of students. The approach to
quality enhancement will involve identification of strengths and weaknesses of current practices
in the institution and provides a potential tool for improvements in the system. Hence, it is
concluded that there is a strong need to pay due attention to institutional strategies and policies
for stakeholder engagements in extending the experience and aspirations to participate in the
development of the system.

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