Centre for Distance Education

SNDT Women’s University

Mumbai- 49

M.A. Education PART- II

SEM- III
Special course- III

Course Name: Quality Management in Education

Course Code: 322203

(English Medium)

1
Course Preparation Team

♦ Content Writers:

Dr. Arundhati Chavan

Shubham Patil

♦ I/C Director:

Dr. Arundhati Chavan

♦ Co-ordinator:

Mr. Mangesh Kadam

(Asst. Professor-cum-Asst.Director)

♦ Instructional Designer:

Ms. Minal M. Kawale

@Centre for Distance Education, S.N.D.T Women’s University.

All rights reserved. No part of this work may be reproduced in any form by mimeograph or any other means without
written permission from centre for Distance Education, S.N.D.T Women’s University. Publishing year 2017

2
 Special Course – III

QUALITY MANAGEMENT IN EDUCATION-322203 (100 Marks, 4 Credits)

Course Objectives: At the end of this course student teachers will be able to:

1. Explain the conceptual development of quality management

2. Discuss the dimensions of Total Quality Management

3. Apply appropriate tool of quality control

4. Explain strategic plan models
5. Prepare strategic plan for institution
6. Explain the indicators of effective Institution
7. Suggest ways of making Institution effective

MODULE 1: CONCEPTS RELATED TO QUALITY

(Credits: 1, Hours: 15, Marks: 25)

Objectives: Student teachers will be able to:

1. Understand the concept of Quality in education
2. Explain the conceptual development of quality management
3. Discuss the views of Deming and Juran on Total Quality Management

Content:

- Concepts of Quality and Quality in Education: Indian and Western Perspective

- Dimensions and Characteristics of Quality

- Evolution of Quality management: Inspection, Quality control, Quality

Assurance, Total Quality management.
- Meaning of Quality learning environment, quality curriculum, quality
processes, quality teaching.
- Deming and Juran’s principles of Quality.

MODULE2: QUALITY CONTROL IN EDUCATION

(Credits: 1, Hours: 15, Marks: 25)

Objectives: Student teachers will be able to:

• Explain approaches for quality improvement

• Explain the role of agencies in maintaining quality
• Apply appropriate tool of quality control

3
Content:

- Meaning of and Difference Between: Quality Assurance, Quality Control and

Quality Improvement
- Quality Management system in Education: International Organization for
Standardization (ISO)
- National Assessment Accreditation Council (NAAC): Performance Indicators
- The National Accreditation Board for Education and Training (NABET)
- Approaches to Quality Improvement: Kaizen, Six sigma, system thinking

MODULE 3: STRATEGIC PLANNING FOR TOTAL QUALITY MANAGEMENT (TQM)

(Credits: 1, Hours: 15, Marks: 25)

Objectives: Student teachers will be able to:

• Explain the concept of TQM

• Explain strategic plan models
• Prepare strategic plan for institution.

Content:

- Strategic planning: Meaning and Need

- Strategic plan models : Murgatroyd and Morgan’s Four generic models ( Basic-
Open, Enhanced-Open, Basic- Niche, Enhanced- Niche )
- Kaufman’s four stage model of Strategic planning
- SWOC analysis of an educational institution
- Crawford’s Eight stages in implementing TQM

MODULE 4: INSTITUTIONAL EFFECTIVENESS

(Credits: 1, Hours: 15, Marks: 25)

Objectives: Student teachers will be able to:

• Explain the indicators of effective Institution

• Suggest ways of making institution effective

Content:
- Institutional Effectiveness : Meaning, Need and Importance
- Institutional Effectiveness cycle
- Key elements of Institutional Effectiveness
- Strategic plan and assessment plan for institutional effectiveness
- Model of institutional effectiveness

4
 INDEX

Module 1 ................................................................................................................................................. 6

Chapter 1 Concept of quality and quality in Education ............................................................. 6

Chapter 2 Eight dimensions of quality ..................................................................................... 14

Chapter 3 Evolution of Quality management .......................................................................... 19

Chapter 4 Learning Environment ............................................................................................. 23

Chapter 5 Deming and Juran’s principles of Quality................................................................ 27

Module 2 ............................................................................................................................................... 31

Chapter 1 Quality Assurance, Quality Control and Quality Improvement .............................. 31

Chapter 2 Quality Management system in Education ............................................................. 34

Chapter 3 National Assessment Accreditation Council (NAAC): Performance Indicators ....... 38

MODULE 3 ............................................................................................................................................. 84

Chapter 1 Strategic Planning For Total Quality Management (TQM)...................................... 84

Chapter 2 Strategic Plan Models.............................................................................................. 87

Chapter 3 SWOC Analysis of an Educational Institution .......................................................... 95

Chapter 4 Crawford’s Eight Stages Implementing TQM .......................................................... 98

Module 4: Institutional Effectiveness ................................................................................................. 103

Chapter 1 Institutional Effectiveness: Meaning, Need and Importance ............................... 103

ADDITIONAL COURSE MATERIAL Module 4 ........................................................................................ 114

5
 Module 1
Chapter 1 Concept of quality and quality in Education

1.1 Introduction

A wide range of efforts has been made to articulate the concepts of quality, from the
mundane down-to-earth functionalist definition to the metaphysical concept of an
endless journey similar to the human cravings for communion with the divine through
millions of births, and 'quality' as the third of the 'Aristotelian category'.

History of Quality The history of quality is as old as civilization. The Harappans of the
ancient Indus Valley civilization (3000 bc) achieved high precision in the measurement of
length, mass, and time. The smallest division, which is marked on an ivory scale from
Lothal, was approximately 1.704 millimeters, recorded in the Bronze Age. The
dimensions of the pyramids, built around 2500 bc, show a high degree of accuracy.
However, the use of tolerancing systems for the specifications of quality and statistical
principles to monitor quality are of recent origin. The quality movement may be traced
back to medieval Europe. Craftsmen began organizing into unions called guilds in the
late thirteenth century. Manufacturing in the industrialized world followed the
craftsmanship model throughout the eighteenth century. The factory system, with its
emphasis on product inspection, started in Great Britain in the mid 1750s and grew into
the Industrial Revolution in the early nineteenth century. In 1798 Eli Whitney introduced
the concept of producing interchangeable parts to simplify assembly. The quality
movement can trace its roots back to medieval Europe, where craftsmen began
organizing into unions called guilds in the late 13th century.

Until the early 19th century, manufacturing in the industrialized world tended to follow
this craftsmanship model. The factory system, with its emphasis on product inspection,
started in Great Britain in the mid - 1750s and grew into the Industrial Revolution in the
early 1800s.

In the early 20th century, manufacturers began to include quality processes in quality
practices. After the United States entered World War II, quality became a critical
component of the war effort: Bullets manufactured in one state, for example, had to
work consistently in rifles made in another. The armed forces initially inspected virtually
every unit of product; then to simplify and speed up this process without compromising
safety, the military began to use sampling techniques for inspection, aided by the
publication of military- specification standards and training courses in Walter Shewhart's
statistical process control techniques.
The birth of total quality in the United States came as a direct response to the quality
revolution in Japan following World War II. The Japanese welcomed the input of
Americans Joseph M. Juran and W. Edwards Deming and rather than concentrating on
inspection, focused on improving all organizational processes through the people who
used them.

By the 1970s, U.S. industrial sectors such as automobiles and electronics had been
broadsided by Japan's high - quality competition. The U.S. response, emphasizing not

6
only statistics but approaches that embraced entire organization, became known as
total quality management (TQM).

By the last decade of the 20th century, TQM was considered a fad by many business
leaders. But while the use of the term TQM has faded somewhat, particularly in the
United States, its practices continue.
In the few years since the turn of the century, the quality movement seems to have
matured beyond Total Quality. New quality systems have evolved from the foundations
of Deming, Juran and the early Japanese practitioners of quality, and quality has moved
beyond manufacturing into service, healthcare, education and government sectors.
Quality can be defined as "fitness for use," "customer satisfaction," "doing things right
the first time," or "zero defects." These definitions are acceptable because quality can
refer to degree of excellence. Webster's dictionary defines quality as "an inherent
characteristic, property or attribute." Q Review will define quality as a characteristic of a
product or process that can be measured. Quality control is the science of keeping these
characteristics or qualities within certain bounds.
The quality of service may be rated based on the degree of satisfaction by the customer
receiving the service. The relevant dictionary meaning of quality is "the degree of
excellence." However, this definition is relative in nature. The ultimate test in this
evaluation process lies with the consumer. The customer's needs must be translated into
measurable characteristics in a product or service. Once the specifications are
developed, ways to measure a monitor the characteristics need to be found. This
provides the basis for continuous improvement in the product or service. The ultimate
aim is to ensure that the customer will be satisfied to pay for the product or service. This
should result in a reasonable profit for the producer or the service provider.
W. Edwards Deming defined quality as follows: Good quality means a predictable degree
of uniformity and dependability with a quality standard suited to the customer. The
underlying philosophy of all definitions is the same - consistency of conformance and
performance, and keeping the customer in mind. Another definition that is widely
accepted is Quality is the degree to which performance meets expectations. This
definition provides a means to assess quality using a relative measure.
We provide here the definition adopted by the American Society for Quality (ASQ):
Quality denotes an excellence in goods and services, especially to the degree they
confirm to requirements and satisfy customers. This definition assimilates the previous
ones and is our definition of choice.

Reliability implies dependability - reliability introduces the concept of failure and time to
failure: Reliability is the probability that a system or component can perform its intended
function for a specified interval under stated conditions. Quality and reliability go hand in
hand. The customer expects a product of good quality that performs reliably.

Continuous improvement, sometimes called continual improvement, is the ongoing

improvement of products, services or processes through incremental and breakthrough
improvements.
Continuous improvement is an ongoing efforts to improve products, services or
processes. These efforts can seek "incremental" improvement over time or
"breakthrough" improvement all at once.

7
Among the most widely used tools for continuous improvement is a four-step quality
model - the plan-do-check-act (PDCA) cycle, also known as Deming Cycle or Shewhart
Cycle:
• Plan : Identify an opportunity and plan for change.
• Do : Implement the change on a small scale.
• Check : Use data to analyse the results of the change and determine whether it
made a difference.
• Act : If the change was successful, implement it on a wider scale and
continuously assess your results. If the change did not work, begin the cycle
again.

Other widely used methods of continuous improvement - such as Six Sigma, Lean, and
Total Quality Management - emphasize employee involvement and teamwork; measuring
and systematizing processes; and reducing variation, defects and cycle times.

1.2 Quality in Education

Defining quality in education is a massive challenge since it deals with the most sensitive
creation on earth - the human beings. Industrial products are finished goods - take them
or leave them. Nothing can be done once they are finished. Service is here and now. You
can look for better quality only next time. Education has no such finished product; not
even the graduates. They are on the way 'to be'. Education only charges the human
propensities to evolve and unfold it till the last breath, a process that covers the human
journey from 'womb to tomb'. Human beings continue to learn, and evolve, 'to be'.
Education facilities this very evolution of the individual. No wonder then that the concept
of quality in education has attracted scholarly attention in India as well as in the west.

1.3 Quality in education: The western viewpoint

Education is goal-oriented. Accordingly, quality of education has been seen with

reference to the following goals:
• Excellence in education (Peters and Waterman, 1982)
• Value addition in education (Feigenbaum, 1982)
• Fitness of educational outcome and experience for use (Juran and Gryna, 1988)
• Conformance of education output to planned goals, specifications and
requirements (Crosby, 1979; Gilmore, 1974)
• Defect avoidance in education process (Crosby, 1979)
• Meeting or exceeding customers' expectations of education (Parasuraman et al.,
1985)

For Seymour (1992), meeting or exceeding customer needs, continuous improvement,

leadership, human resource development in the system, fear reduction, recognition and
reward, teamwork, measurement and systematic problem solving are the quality
principles in higher education. Seymour's emphasis is on processes rather than products.

The International Commission on Education for the 21st century called for holistic
development of individuals, thus optimizing physical, mental, intellectual and spiritual
potentialities. Quality education must be supported by the four pillars of learning:
learning to know, learning to do, learning to be and learning to live together (UNESCO,
1996).

8
There are wide variations in social goals too. American priority on human rights and
personal freedom in the 1960s has changed to success in global economy in the 1990s;
Britain's current emphasis is on what the students 'know and can do' rather than on
numinous goals (Holt, 2000). A Japanese white paper on education in the 1980s
changed the focus to invention rather than adaptation of technology. The Indian social
goal is also changing: from a literate society in the 1960s to a knowledge society (indeed
a knowledge superpower) in the 2000s. Emphasis is also shifting from the previous
value-neutral education to a value-oriented one.

1.4 Quality in education: The Indian perspective

Indian educational history dates back over 5000 years. Indian scriptures professed
education as an emancipating and liberating force, a process that manifests 'perfection'
already existent in man. Metaphysically then, quality education is concerned with the
nature and destination of human beings.
The nature of human beings is related to their origin. Inter-faith research contends that
human beings are divine. For, they are made in the image of God (Mukhopadhyay,
2003). The Biblical story of how the original man and woman - Adam and Eve - were
created out of God's will and consciousness is similar to the Hindu view that Lord
Brahma, the Creator of this universe, wished, 'Ekoham bahushyama' (I am One, let me
be many). Just as God materialized Adam and Eve out of cosmic energy, Adam and Eve
too were divinely capable of creating their following without using their bodies. Once
they sinned - ate the fruit of the forbidden tree - they lost their divine powers. Even
then,'child is through you from God' (Kahlil Gibran, The Prophet). Thus, every human
being is an incarnation of God; indeed, a constituent of the Total Consciousness. Swami
Vivekananda argued: Unless each one is part of the whole and in continuous
communication, how else can one transfer the thought to another? Now, the attributes of
God are perfection and completeness (purnattwa): 'That (the Absolute Self) is full. This
(the world we experience through our mind and senses) is full. If This fullness is taken
away from That fullness, what remains is full' (From Ishopanishad, English rendering by
Swami Jyotirmayananda). Sri Aurobindo's philosophy, particularly the concepts of
Superman and supramental, contributes to a similar understanding of human nature.
While for western theorists, evolution is primarily biological, the Indian viewpoint
includes evolution of the mind and consciousness with the body as the host. This
evolutionary theory also promises a rise to the cosmic or supra-cortical consciousness
(Mukhopadhyay, 1987; Jitatmananda, 1991). Inspiration for another structural
framework can be derived from the Kathopanishad and Charak Sangitla. Human beings
live in a multi-plane configuration consisting of physical, mental, intellectual and spiritual
planes.
In depicting the structural nature of human beings, particularly from the angle of
education, the role of sense organs has been highlighted both by western and Indian
thinkers. Indian scriptures mention six such senses (eyes, ears, nose, tongue, skin and
mind) and five action organs (hands for activity, legs for locomotion, mouth for speech
and organs needed for excretion and procreation). Swami Vivekananda (1999), in Raja
Yoga, mentioned that the sense organs are active only when charged by the mind.
Metaphorically, an electric bulb by itself does not emit light; it glows only after receiving
the power when the switch is put on.

9
In all aspects of the school and its surrounding education community, the rights of the
whole child, and all children, to survival, protection, development and participation are at
the center. This means that the focus is on learning which strengthens the capacities of
children to act progressively on their own behalf through the acquisition of relevant
knowledge, useful skills and appropriate attitudes; and which creates for themselves and
others, places of safety, security and healthy interaction.

1.5 Quality education includes:

Learners who are healthy, well-nourished and ready to participate and learn, and
supported in learning by their families and communities;

Environments that are healthy, safe, protective and gender-sensitive, and provide
adequate resources and facilities;

Content that is reflected in relevant curricula and materials for the acquisition of basic
skills, especially in the areas of literacy, numeracy and skills for life, and knowledge in
such areas as gender, health, nutrition, HIV/AIDS prevention and peace;

Processes through which trained teachers use child-centered teaching approaches in

well-managed classrooms and schools and skillful assessment to facilitate learning and
reduce disparities; Outcomes that encompass knowledge, skills and attitudes, and are
linked to national goals for education positive participation in society.

1.6 Quality Learners

• School systems work with the children who come into them. The quality of
children's lives before beginning formal education greatly influences the kind of
Learners they can be. Many elements go into making a quality learner, including
health, early childhood experiences and home support.
• Good health and nutrition. Physically and psychologically healthy children
learn well. Health development in early childhood, especially during the first
three years of life, plays an important role in providing the basis for a healthy
life and a successful formal school experience.
• Early childhood psychosocial development experiences. Positive early
experiences and interactions are also vital to preparing a quality learner.
• Regular attendance for learning. When they reach school age, research
demonstrates that to achieve academically, children must attend school
consistently. A child's exposure to curriculum - his or her 'opportunity to learn'
- significantly influences achievement, and exposure to curriculum comes from
being in school.
• Family support for learning. Parents may not always have the tools and
background to support their children's cognitive and psychosocial
development throughout their school years. Parent's level of education, for
example, has a multifaceted impact on children's ability to learn in school.

1.7 Quality Learning Environments

Learning can occur anywhere, but the positive learning outcomes generally sought by
educational systems happen in quality learning environments. Learning environments
are made up of physical, psychosocial and service delivery elements. Physical elements

10
1.4 Quality of school facilities

• Physical learning environments or the places in which formal learning occurs,

range from relatively modern and well-equipped buildings to open-air gathering
places.
• The quality of school facilities seems Interaction between school infrastructure
and other quality dimensions. The quality of school buildings may be related to
other school quality issues, such as the presence of adequate instructional
materials and textbooks, working conditions for students and teachers, and the
ability of teachers to undertake certain instructional approaches.
• Class size, laboratory facilities library play ground etc

Psychosocial elements.
• Peaceful, safe environments, especially for girls. Within schools and classrooms, a
welcoming and non-discriminatory climate is critical to create a quality learning
environment. In many countries, attitudes discouraging girls' participation in
education have been significant barriers to providing quality education to all
students.
• Teachers' behaviors that affect safety. Relative to both girls and boys, parents,
educators and researchers express important concerns about teachers who create
an unsafe environment for students.
• Effective school discipline policies. Well-managed schools and classrooms
contribute to educational quality. Students, teachers and administrators should
agree upon school and classroom rules and policies, and these should be clear
and understandable. Order, constructive discipline and reinforcement of positive
behaviour communicate a seriousness of purpose to students.
• Inclusive environments. Reducing other forms of discrimination is also critical to
quality improvement in learning environments. Most countries, in all parts of the
world, struggle with effective inclusive of students with special needs and
disabilities.
• Non-violence. War and other forms of interpersonal and group conflict clearly
have an impact on children's mental health and their ability to learn. Many young
victims of violence suffer lasting physical, psychological, social-emotional and
behavioural effects. Service delivery.
• Provision of health services. The school services environment can also contribute
to learning in important ways. Provision of health services and we education can
contribute to learning first by reducing absenteeism and inattention.

11
1.8 Quality Content

Student-centered, non-discriminatory, standards-based curriculum structures.

• Uniqueness of local and national content. The specific content of school
curriculum, however, depends on local and national values. In the main subject
areas of primary education, which include language, math, science and social
studies, little variation is found among different regions in the developing world.
• Literacy. Literacy, or the ability to read and write, is often considered one of the
primary goals of formal education.
• Numeracy
• Life skills
• Peace education

1.9 Quality Processes

• Professional learning for teachers. The highest quality teachers, those most
capable of helping their students learn, have deep mastery of both their subject
matter and pedagogy
• Ongoing professional development. Professional development can help overcome
shortcomings that may have been part of teachers' pre-service education and
keep teachers abreast of new knowledge and practices in the field. The
preparation that teachers receive before beginning their work in the classroom,
• Continuing support for student-centered learning. Teacher education, both pre-
service and in-service, should help teachers develop teaching methods and skills
that take new understandings of how children learn into account. Just as
curriculum should be child-centered and relevant, so should instructional
methods.
• Active, standards-based participation methods. Education that supports and
empowers both teachers and students through democratic processes increasingly
defines quality in the 21st century.
• Teacher feedback mechanism. Good teachers are skilled not only in instructional
methods, but also in evaluation and assessment practices that allow them to
gauge individual student learning and adapt activities according to student needs.
• Teachers' working conditions. 17 Teachers' working conditions affect their ability
to provide quality education. Many aspects of school life and educational policy go
into teachers' perceptions of their employment. As mentioned above, the
condition of infrastructure, availability of textbooks and learning materials and
Class sizes all influence the teacher's experience as an educator. Teachers'
remuneration also matters.
• Administrative support and leadership. The quality of administrative support and
leadership is another critical element in school processes, both for students and
for teachers. At a more macro level, ensuring financial resources for education,
• Quality Outcomes The environment, content and processes that learners
encounter in school lead to diverse results, some intended and others unintended.
Quality learner outcomes are intentional, expected effects of the educational
system. They include what children know and can do, as well as the attitudes and
expectations they have for themselves and their societies.
• Achievement in literacy and numeracy. Academic achievement in general and
achievement in literacy and numeracy in particular represent key educational

12
 outcomes. Teaching students to read, write and calculate is often considered the
primary purpose of formal education, but students' regular attendance and
attention in school does not guarantee this outcome.
• Using formative assessment to improve achievement outcomes. Assessment of
academic achievement outcomes has most often been used in a summative
rather than formative way. Testing information tends to be used primarily as a
screening device to decide who can continue to the next grade of level rather
than as a tool to help improve educational quality for individuals and systems.
Outcomes sought by parents. Parents tend to see academic achievement as
closely related to the opportunity for social promotion and employment. These
anticipated outcomes tend to be highly valued by families: future employment
possibilities that result from education seem to be a primary factor in the demand
for primary education.
• Health outcomes. Educational quality also implies positive outcomes for
participants' health. Students should receive services to improve their health,
such as treatment for illness and infection and school feeding programmes to
improve nutrition, as well as curriculum content that increases their knowledge
and affects their behavior related to health and hygiene.
• Life skills and outcomes. Psychosocial and interpersonal skills can be applied to
many contexts - HIV/AIDS prevention, drug abuse prevention, nutrition and
hygiene behavior and many non-health contexts as well.

Exercise

1. Explain the similarities in the Indian and western view point

regarding quality education.

2. It is important to give importance to quality process in quality

education—explain with example

3. What are the basic factors to be considered for quality

education quality education

13
 Chapter 2 Eight dimensions of quality

2.1 Introduction

Eight dimensions of product quality management can be used at a strategic level to

analyse quality characteristics. The concept was defined by David Gravin. Some of the
dimensions are mutually reinforcing, whereas others are not - improvement in one may
be at the expense of others. Understanding the trade-offs desired by customers among
these dimensions can help build a competitive advantage. Garvin's eight dimensions can
be summarized as follows:

2.2 Performance

Performance refers to a product's primary operating characteristics. This dimension of

quality involves measurable attributes, so brands can usually be ranked objectively on
individual aspects of performance. Overall performance rankings, however, are more
difficult to develop, especially when they involve benefits that not every consumer
needs. Performance is often a source of contention between customers and suppliers,
particularly when deliverables are not adequately defined within specifications. The
performance of a product often influences the profitability or reputation of the end-user.
As such, many contracts or specifications include damages related to inadequate
performance. The question of whether performance differences are quality differences
may depend on circumstantial preferences-but preferences based on functional
requirements, not taste. Some performance standards are based on subjective
preferences, but the preferences are so universal that they have the force of an
objective standard.
Features

Features are additional characteristics that enhance the appeal of the product or services
to the user. Similar thinking can be applied to features, a second dimensions of quality
that is often a secondary aspects of performance. Features are the "bells and whistles" of
products and services, those characteristics that supplement their basic functioning.
Examples include free drinks on a plane, permanent-press cycles on a washing machine,
and automatic tuners on a color television set. The line separating primary performance
characteristics from secondary features is often difficult to draw.
Reliability

Reliability is the likelihood that a product will not fail within a specific time period. This is
a key element for users who need the product to work without fail.

This dimension reflects the probability of a product malfunctioning or failing within a

specified time period. Among the most common measures of reliability are the mean
time to first failure, the mean time between failures, and the failure rate per unit time.
Because these measures requires a product to be in use for a specified period, they are
more relevant to durable goods than to products and services that are consumed
instantly.

14
Reliability normally becomes more important to consumers as downtime and
maintenance become more expensive. Farmers, for example, are especially sensitive to
downtime during the short harvest season. Reliable equipment can mean the difference
between a good year and spoiled crops. But consumers on other markets are more
attuned than ever to product reliability too. Computers and copying machines certainly
compare on this basis.

Reliability may be closely related to performance. For instance, a product specification

may define parameters for up-time, or acceptance failure rates. Reliability is a major
contributor to brand or company image, and is considered a fundamental dimension of
quality by most end-users. I. E., Recent market research shows that, especially for
women, reliability has become an automobile's most desired attribute.

2.3 Conformance

The outcome of two example processes to show the meaning of the two approaches to
conformance. The dimension of conformance depicts to what extent a product's design
and operating characteristics meet established standards. This dimension owes the most
to the traditional approaches to quality pioneered by experts like Juran.
All products and services involve specifications of some sort. When products are
developed, these specifications are set and a target is set, for instance the materials
used or the dimension of the product. Not only the target but also the tolerance (the
range of permitted deviation from the target) is defined. One problem with this approach
is that there is little interest in whether the specifications have been met exactly as long
as the tolerance limits are met.
On the one hand, this can lead to the so-called "tolerance stack-up". When two or more
parts are to be fit together, the size of their tolerances often determine how well they
will match. Should one part fall at a lower limit of its specification and a matching part at
its upper limit, a tight fit is unlikely. The link is likely to wear more quickly than one
made from parts whose dimensions have been centered more exactly.

This problem can be addressed by taking a different approach to measuring quality.

Instead of measuring a simple conformance to specifications, the degree to which parts
or products diverge from the ideal target is measured. Using this approach, process 1
(see picture) is better even though some items fall beyond specification limits. The
traditional approach would have favoured process 2 because it produces more items
within the specification limit. It was demonstrated that the problem of "tolerance stack-
up" is worse when the dimensions of parts are more distant from the target than when
they cluster around it, even if some parts fall outside the tolerance. This approach
requires a fresh look at the common process quality factor of 'defect rate', to take into
account the fact that two parts may each pass the 'tolerance test' separately but be
unusable when the attempt is made to join them together.

In service businesses, measures of conformance normally focus on accuracy and

timeliness and include counts of processing errors, unanticipated delays and other
frequent mistakes.

15
2.4 Durability

Durability measures the length of a product's life. When the product can be repaired,
estimating durability is more complicated. The item will be used until it is no longer
economical to operate it. This happens when the repair rate and the associated costs
increase significantly. Technically, durability can be defined as the amount of use one
gets from a product before it deteriorates. After so many hours of use, the filament of a
light bulb burns up and the bulb must be replaced. Repair is impossible. In other cases,
consumers must weigh the expected cost, in both dollars and personal inconvenience, of
future repairs against the investment and operating expenses of a newer, more reliable
model. Durability, then, may be defined as the amount of use one gets from a product
before it breaks down and replacement is preferably to continued repair.

This approach to durability has two important implications. First, it suggests that
durability and reliability are closely linked. A product that often fails is likely to be
scrapped earlier than one that is more reliable; repair costs will be correspondingly
higher and the purchase of a competitive brand will look that much more desirable.
Second, this approach implies that durability figures should be interpreted with care. An
increase in product life may not be the result of technical improvements or the use of
longer-lived materials. Rather, the underlying economic environment simply may have
changed.

2.5 Serviceability

Serviceability involves the consumers ease of obtaining repair service (example: access
to service centers and/or ease of self-service), the responsiveness of service personnel
(example: ease of getting an appointment, willingness of repair personnel to listen to the
customer), and the reliability of service (example: whether the service is performed right
the first time). Competence and ease of repair is the speed with which the product can
be put into service when it breaks down, as well as the competence and the behavior of
the service personnel. Consumers are concerned not only a about a product breaking
down but also about the time before service is restored, the timeliness with which
service appointment are kept, the nature of dealings with service personnel, and the
frequency with which service calls or repairs fail to correct outstanding problems. In
those cases where problems are not immediately resolved and complaints are filled, a
company's complaint handing procedures are also likely to affect customer's ultimate
evaluation of product and service quality.
Some of these variables reflect differing personal standards of acceptable service. Others
can be measured quite objectively. Customers may remain dissatisfied even after
completion of repairs. How these complaints are handled is important to a company's
reputation for quality and service. Eventually, profitability is likely to be affected as well.
Companies differ widely in their approaches to complaint handling and in the importance
they attach to this element of serviceability. Some do their best to resolve complaints;
others use legal gimmicks, the silent treatment and similar ploys to rebuff dissatisfied
customers.
Important attributes for serviceability dimension are: service warranty, parts warranty,
parts availability, number of reasonable distance to dealer service centers, distance to
service parts center-dealer, distance to service parts center individual, length of wait for
service appointment, schedule of preventive maintenance, employees listen to

16
customers, information regarding repairs, courteous service centers, repaired correctly
first time, service time relative to other dealers, warranty claims handled without
argument, average repair cost/year, extended warranty, underestimation of service cost
and provision of loan car.

2.6 Aesthetics

The aesthetics properties of a product contribute to a company's or brand's identify.

Faults or defects in a product that diminish its aesthetic properties, even those that do
not reduce or alter other dimensions of quality, are often cause for rejection. Aesthetics
refer to how the product looks, feels, sounds, tastes or smells. It is clearly a matter of
personal judgement and a reflection of individual preference. Nevertheless, there appear
to be some patterns in consumer's rankings of products on the basis of taste. A recent
study of quality in 33 food categories, for example, found that high quality was most
often associated with "rich and full flavour, tastes natural, tastes fresh, good Aroma, and
looks appetizing". Aesthetics also refers to the "outside" feel of the product. The
aesthetics dimension differs from subjective criteria pertaining to "performance" in that
aesthetic choices are not nearly universal. Not all people prefer "rich and full" flavor or
even agree on what that means. Companies therefore have to search for a niche. On this
dimension of quality, it is impossible to please everyone.

2.7 Perceived Quality

Perception is not always reality. Consumers do not always have complete information
about a product's or service's attributes; indirect measures may be their only basis for
comparing brands. A product's durability for example, can seldom be observed directly;
it usually must be inferred from various tangible and intangible aspects of the product.
In such circumstances, images, advertising and brand names-inferences about quality
rather than the reality itself-can be critical.

Reputation is the primary stuff of perceived quality. Its power comes from an unstated
analogy: that the quality of products today is similar to the quality of products of
yesterday, or the quality of goods in a new product line is similar to the quality of a
company's established products.

Exercise

1. As an education manager how you will use Eight dimensions of quality in

quality improvement of your educational institution?

Characteristics of quality

1. Customer Focus:- TQM Places emphasis in meeting the requirement of both the
internal as well as the external customer. In order to meet the requirements for
the external customer, it is necessary to meet the needs of the internal customer.
The initial focus should be on meeting needs of internal customer before an
attempt is made to meet the requirements of the external customers.
2. Continuous Process:- TQM is a continuous process. Constant and continuous
efforts are made to improve the quality, and to reduce internal costs. Quality
improvement helps the organization to face the challenges of the competitors and

17
 to meet the requirements of the customers. TQM is a process which goes on
forever, because at no time the quality can be 100℅ right. There is always a
possibility for new and better way of doing things.
3. Defect-free Approach :- TQM place emphasis on the defect-free work most of
the time. The defect-free approach is phrased in various ways as right first time,
working smarter or zero defects.
4. Employees Involvement :- in TQM everyone is involved in the process from the
management director to the junior clerk or worker in the organization. It is not
just manufacturing people, but also the accounting, finance, marketing, and even
the canteen people are involved in the TQM process.
5. Recognition and Rewards :- Recognition and rewards is an integral part of
company's TQM Programme. Positive reinforcement through recognition and
reward is essential to maintain achievement and continuous improvement in
quality.
6. Synergy in Team Work :- The Japanese are great believers in Synergy (to
work together). Engineers, technicians, and workers look upon themselves as
equal and communicate easily as they work side by side.

Exercise

• Explain with example the characteristics of quality of education

institution.

18
 Chapter 3
Evolution of Quality management

3.1 Introduction

Quality is widely recognized as one of the most important disciplines, strategies or

competitive priority for an organizational development. In this era of global competition,
a company needs to apply quality methodologies in the form of strategic quality
management; quality systems; quality assurance (QA); quality control (QC), etc. In
other words, the organization has to implement the concept of total quality management
which provides the approach to realize the manufacturing strategy leading to fulfillment
of corporate strategy. The principles and contents of TQM philosophy would increase a
firm's commitment to quality and if they are applied correctly enhances the firm's
competitive position. This is because the TQM principles support the business practices of
cost reduction.

3.2 Inspection

Inspection involves measuring, examining, and testing products, process and services
against specified requirements to determine conformity. The use of inspection has been
evident throughout the history of organized production. In the late Middle Ages, special
measures were taken to inspect the work of apprentices and journeymen in order to
guard the Guild against claims of makeshift or shoddy work. During the early years of
manufacturing, inspection was used to decide whether a worker’s job or a product met
the requirements; therefore, acceptable. It was not done in a systematic way, but
worked well when the volume of production was reasonably low. However, as
organizations became larger, the need for more effective operations became
apparent. Inspection still has an important role in modern quality practices. However, it
is no longer seen as the answer to all quality problems

19
 In 1911, Frederick W. Taylor helped to satisfy this need. He published ‘The Principles of
Scientific Management’ which provided a framework for the effective use of people in
industrial organisations. One of Taylor’s concepts was clearly defined tasks performed
under standard conditions. Inspection was one of these tasks and

• was intended to ensure that no faulty product left the factory or workshop;
• focuses on the product and the detection of problems in the product;

• involves testing every item to ensure that it complies with product specifications;
• is carried out at the end of the production process; and relies on specially trained
inspectors.
This movement led to the emergence of a separate inspection department. An important
new idea that emerged from this new department was defect prevention, which led to
quality control.

Quality Control and Statistical Theory

Quality Control was introduced to detect and fix problems along the production line to
prevent the production of faulty products. Statistical theory played an important role in
this area. In the 1920s, Dr W. Shewhart developed the application of statistical methods
to the management of quality. He made the first modern control chart and demonstrated
that variation in the production process leads to variation in product. Therefore,
eliminating variation in the process leads to a good standard of end products.

3.3 Quality Control

• focuses on product and the detection and control of quality problems;

• involves testing samples and statistically infers compliance of all products;

• is carried out at stages through the production process; and

• relies on trained production personnel and quality control professionals.

In the 1940s, Japanese products were perceived as cheep, shoddy imitations. Japanese
industrial leaders recognised this problem and aimed to produce innovative high quality
products. They invited a few quality gurus, such as Deming, Juran, and Feigenbaum to
learn how to achieve this aim. Deming suggested that they can achieve their goal in five
years; not many Japanese believed him. However, they followed his suggestions. Maybe
the Japanese thought it was rude to say that they did not believe Deming. Or maybe
they thought it would be embarrassing if they could not follow his suggestions. Whatever
reason it was, they took Deming’s and other gurus’ advice and never looked back. In the
1950s, quality control and management developed quickly and became a main theme of
Japanese management. The idea of quality did not stop at the management level.
Quality circles started in the early 60s. A quality circle is a volunteer group of workers
who meet and discuss issues to improve any aspects of workplace, and make
presentations to management with their ideas. A by-product of quality circles
was employee motivation . Workers felt that they were involved and heard. Another by-
product was the idea of improving not only quality of the products, but also every aspect
of organizational issues. This probably was the start of the idea, total quality.

20
3.4 Quality assurance

Quality assurance consists of that “part of quality management focused on providing

confidence that quality requirements will be fulfilled.” The confidence provided by quality
assurance is twofold—internally to management and externally to customers,
government agencies, regulators, certifiers, and third parties. This involves designing
systems to deliver quality before the event .quality assurance is a later development in
quality management. I t is prevention of production of wasteful defective products and
services. Oakland identified five stages

A quality assurance system based on the fact that all functions share responsibility
provide an effective method of acquiring and maintaining desired quality standards. The
quality assurance mechanism ensures the right quality of raw material and inputs and
also rigorous process quality so that product quality is ensured.

Total Quality
The term ‘total quality’ was used for the first time in a paper by Feigenbaum at the first
international conference on quality control in Tokyo in 1969. The term referred to wider
issues within an organisation. Ishikawa also discussed ‘total quality control’ in Japan,
which is different from the western idea of total quality. According to his explanation, it
means ‘company-wide quality control’ that involves all employees, from top
management to the workers, in quality control.

3.5 Total Quality Management

In the 1980s to the 1990s, a new phase of quality control and management began. This
became known as Total Quality Management (TQM). Having observed Japan’s success of
employing quality issues, western companies started to introduce their own quality
initiatives. TQM, developed as a catchall phrase for the broad spectrum of quality-
focused strategies, programmes and techniques during this period, became the center of
focus for the western quality movement. A definition of TQM includes phrases such as:
customer focus, the involvement of all employees, continuous improvement and the
integration of quality management into the total organization.

21
 Quality management approaches activities

1. Post production review

reworking , rejection
Control of work force
Inspection

2 Product testing

Responsibility of the
Quality control supervisor

Self inspection

3. Statistical process
control

External accreditation
Audit of quality
Quality assurance
Causes and effect of
analyis

4. Aims of continuous
improvement
TQM
Concerns products and
processes

Exercise

1. Explain the concept of total quality management.

2.how the concept of Evolution of Quality management evolved.

22
 Chapter 4 Learning Environment

4.1 Introduction

"Learning in supportive environments have high level of self-efficacy and self-motivation

and use learning as a primary transformative force." 1Welcoming the learner - child,
youth or adult - in an environment where they can feel safe and nurtured for is very
important for the development of each individual and the society as a whole. Addressing
the issue of learning environment in a comprehensive and systematic way is even more
critical in countries with limited financial resources. These scarce resources should be
invested with a clear definition of what constitutes an enabling learning environment and
with a clear benchmarking of progress toward the attainment of that environment.
Despite the wide variety of learning systems and complexity of layers of decision-
making, it is critical to not lose the importance of building learning environments and
integrate these aforementioned considerations in a national and local policy context.

Learning takes place in multiple settings and the learning environment can be structured
or unstructured and the learning in different environments can complement each other.
Formal and non-formal education occurs mainly in structured environments in the form
of institutions (schools, community centres, multimedia centers, learning villages/cities,
etc). Informal education on the other hand takes place in both structured and
unstructured environments. This Analytical Tool focuses on structured environments. The
paramount question this toolkit aims to address is: Have we assured every learner an
environment that is both physically and psychologically enabling to their learning and
thus conducive to improving the quality of education and learning effectiveness? Through
a series of structured questions, the toolkit supports an in-depth analysis of the different
aspects of the learning environment both physical and psychosocial and also the policy
context.

4.2 Principles for Establishing a Quality Learning Environment (QLE)

1. Establish a high degree of trust and respect between students and teacher - Mutual
trust and respect enable learning to take place. A successful learning environment must
be learner-centered, knowledge centered, assessment-centered and community centres.
2. Make sure both learner and mentor are committed to the learner's success - In order
to persist in the face of failure, the learner needs to believe that the mentor is
committed to his or her success. Conversely, a teacher is reluctant to invest in students
who show no interest in learning. Thus, a signed commitment is often required at the
beginning of the learning process.

3. Get student buy-in very early in the process - We know that students commit
themselves to improving their performance through a number of different strategies
(3.1.5. Getting Student Buy-In). A successful learning environment requires this
commitment from each student before any content learning can take.

4. Challenge students - As illustrated in The Accelerated Model (4.3.4), transformational

learning requires a balance of support and challenge. There is a temptation for faculty to
enable dependent behaviour in students by an overemphasis on support. The goal is to

23
provide an environment that will encourage and challenge students to live up to their
potential and become selfgrowers.

5. Set clear and high expectations - Students' productivity is highly correlated to the
expectations set at the beginning of the educational process in which they are engaged.
In general, they perform to the level of these expectations, so it is important that they
be challenged to achieve at the highest possible level (Wingspread Group on Higher
Education, 1993), and that those expectations be clearly articulated for them.
6. Encourage risk taking - In an environment governed by high expectations, there is
always the potential for students to experience failure on the road to success. When a
less-than-desirable outcome does occur, it is important for mentors not to react
adversely. When all parties in the learning process feel supported, they will be ready to
take the risks involved in achieving genuine learning together.

7. Seek student feedback regularly by using assessment on a consistent and timely

basis - At the initial buy-in session, after three or four weeks, after midterm, and
whenever problems spring up, it is helpful to ask students for assessment feedback. This
gives students ownership of the learning environment. It is just as important in a quality
learning environment for faculty to regularly mentor and assess each student as it is for
the students to provide feedback about the environment (4.2.1 Overview of Mentoring).
Self-assessment is necessary for students to improve their performance.

8. Measure and document process and growth of both faculty and students - The
learning environment must include records that document growth and track the progress
that has been made. Students need to see evidence that demonstrates that their
performance is improving or diminishing. Otherwise, they will lose their motivation to
work hard and put forth a quality effort.

4.3 Quality process

In recent years, however, more attention has been paid to educational processes — how
teachers and administrators use inputs to frame meaningful learning experiences for
students. Their work represents a key factor in ensuring quality school processes.
The highest quality teachers, those most capable of helping their students learn, have
deep mastery of both their subject matter and pedagogy Whether a teacher uses
traditional or more current methods of instruction, efficient use of school time has a
significant impact on student learning. Teachers’ presence in the classroom represents
the starting point. Professional development can help overcome shortcomings that may
have been part of teachers’ pre-service education and keep teachers abreast of new
knowledge and practices in the field. This ongoing training for teachers can have a direct
impact on student achievement. Teacher education, both pre-service and in-service,
should help teachers develop teaching methods and skills that take new understandings
of how children learn into account. Just as curriculum should be child-centered and
relevant, so should instructional methods.
Starting with the learners
• Identifying the students' learning needs - level of achievement, preferred learning
styles and ethnic, cultural and linguistic backgrounds.
• Selecting or developing appropriate learning outcomes, assessment standards
and specific targets.

24
 • Good health and nutrition. Physically and psychosocially healthy children learn
well. Healthy development in early childhood, especially during the first three
years of life, plays an important role in providing the basis for a healthy life and a
successful formal school experience
• Regular attendance for learning. When they reach school age, research
demonstrates that to achieve academically, children must attend school
consistently. A child’s exposure to curriculum — his or her ‘opportunity to learn’
— significantly influences achievement, and exposure to curriculum comes from
being in school
• Family support for learning. Parents may not always have the tools and
background to support their children’s cognitive and psychosocial development
throughout their school years. Parents’ level of education, for example, has a
multifaceted impact on children’s ability to learn in school.

Designing for learning

• Developing assessment materials and processes to demonstrate evidence of
learning
• Selecting appropriate curriculum content and resources
• Selecting teaching and learning strategies

Monitoring learning
• Monitoring learning to inform current and future practice and targets (individual,
class and/or school) for reporting purposes.

4.4 Quality teaching

Quality teaching is one aspect of a larger system, since there is a dynamic and
complicated interplay between the social aspects of learning and the specific classroom
experiences offered. An effective teacher does whatever possible to create conditions
that engage the full spectrum of students, but it is not always possible to counter the
negative currents and influences contributed by a harsh or disturbing external culture.

 Intellectual quality: comprised of the work that is done within a classroom, which
is challenging and focused on specific concepts. Intellectual quality refers to
pedagogy focused on producing deep understanding of important, substantive
concepts, skills and ideas. Such pedagogy treats knowledge as something that
requires active construction and requires students to engage in higher-order
thinking and to communicate substantively about what Working on intellectual
quality Identify and map concepts to be addressed Identify and map concepts to
be addressed Create opportunities for students to demonstrate understanding
Create opportunities for students to demonstrate understanding Help students to
ask where knowledge comes from and how we know Help students to ask where
knowledge comes from and how we know Link higher order thinking to important
concepts Link higher order thinking to important concepts they are learning.

 Quality learning environment: students are engaged and supported, needing to

be able to take risks. Quality learning environment refers to pedagogy that
creates classrooms where students and teachers work productively in an
environment clearly focused on learning. Such pedagogy sets high and explicit
expectations and develops positive relationships between teachers and students

25
 and among students. Working on quality learning environment Provide clear
statements or examples of what constitutes quality Provide clear statements or
examples of what constitutes quality Try expecting more while supporting
students efforts Try expecting more while supporting students efforts Zero
tolerance of nastiness, even poking fun Zero tolerance of nastiness, even poking
fun Require students to take responsibility for their behaviour Require students to
take responsibility for their behavior Consider when choices help to increase
significance and engagement Consider when choices help to increase significance
and engagement

 Significance of their work: needs to be relevant and able to be remembered by

the students, building upon prior knowledge. Significance refers to pedagogy that
helps make learning more meaningful and important to students. Such pedagogy
draws clear connections with students’ prior knowledge and identities, with
contexts outside of the classroom, and with multiple ways of knowing or cultural
perspectives. Working on significance Find out and draw on what kids know Find
out and draw on what kids know Look beyond dominant cultural perspectives
Look beyond dominant cultural perspectives Connect learning experiences and
concepts wherever possible Connect learning experiences and concepts wherever
possible Opting out is not okay, include everybody Opting out is not okay, include
everybody Connect school learning to something outside of school Connect school
learning to something outside of school Use the power of stories Use the power of
stories

Quality teaching is identified as a key influence on high quality outcomes for diverse
students. professional standards should be established with the full involvement of the
teaching profession in each country, so that teachers feel confident that both their
professional standards and their professional development are relevant to their teaching.

Exercise

1.What is learning environment? How you will create good learning environment?
2. Explain with example relationship between quality teaching anad quality learning
environment.

26
 Chapter 5 Deming and Juran’s principles of Quality

5.1 Introduction

Born in 1900, Edwards Deming was an American engineer,

professor, statistician, lecturer, author, and management
consultant. Deming opined that by embracing certain principles
of the management, organizations can improve the quality of
the product and concurrently reduce costs. Reduction of costs
would include the reduction of waste production, reducing staff
attrition and litigation while simultaneously increasing
customer loyalty. The key, in Deming’s opinion, was to practice
constant improvement, and to imagine the manufacturing
process as a seamless whole, rather than as a system made up of incongruent
parts. Deming described a systematic view of the organization, Juran prescribed how to
manage quality functions (a collection of such activities as market research, product
design, product development, production, inspection, and sales).

5.2 The Deming Cycle

1. Plan: Design a consumer research methodology which will inform business

process components. When we plan a change to address a problem or improve
performance, common questions include "What happened? Who did it?" and "How
long will it take to fix the problem?" Some better questions: "What are possible
system causes of the problem? What (specifically) are we trying to accomplish?"
and "How will we know that a change is an improvement?"

27
 2. Do: Implement the plan to measure its performance. When we take action for
improvement, a common question is, "What is the return on investment?" The
better question would be: "How are suppliers and customers effected by the
change?"

3. Check: Check the measurements and report the findings to the decision
makers When we study the results of changes for improvement, a common
practice is to observe day-today or month-to-month (such as point-to-point)
differences and ask, "What happened?" The better question is: "Does the data
indicate a change has taken place?
4. Act/Adjust: Draw a conclusion on the changes that need to be made and
implement them Often, when we are satisfied with the initial results of a change
(or have simply moved on to another problem), we do not ask further questions
about it. After studying data collected after initiating the change, we need to ask,
"What actions should we take next?" Depending on what we learn from analyzing
the data, we can then ask, "What can we do to maintain or extend the benefits of
the change?" or "What other change can we try based on what we learned?"

http://www.virginia.edu/processsimplification/resources/DemingJuran.pdf

5.3 Juran’s principles of Quality

Dr Joseph M Juran (1904-2008) was a charismatic figure,

acknowledged worldwide for his extensive contribution to
quality management. While often referred to as one of the
leading figures of total quality management, much of Juran’s
work actually preceded the total quality concept. Juran
provided an analytical approach to managing for quality. He
provided advice on quality planning, quality control, and
quality improvement, and he advocated specific management
practices to encourage and foster improvements in product
and service. Juran defines quality as fitness for use in terms of design,
conformance, availability, safety, and field use. Thus, his concept more
closely incorporates the viewpoint of customer. He is prepared to
measure everything and relies on systems and problem-solving techniques. Unlike Deming, he focuses
on top-down management and technical methods rather than worker pride and satisfaction.

The Quality Trilogy explained by Juran is: Any organization taking up a journey in Quality
Management will have to have three Processes in place, which are: i) Quality Planning ii)
Quality Control and iii) Quality Improvement. Though the above three may sound
similar, they have different objectives and serve different purposes of Quality
Management.

28
Juran’s 10 steps to quality improvement are:
1. Build awareness of need and opportunity for improvement:-

Realize that all processes are improvable. Taking an example of mistakes published a newspaper
they made the previous day, Juran say that they should:

• Survey the staff, asking them why the mistakes were made; After a week, select the top ten
reasons; Decide how to make sure those mistake-causing steps aren't repeated; Keep track of
the number of mistakes being made, to make sure they are decreasing.
2. Set goals for improvement :- Juran’s formula for results is
• Establish specific goals to be reached.
• Establish plans for reaching the goals.
• Assign clear responsibility for meeting the goals.Base the rewards on results achieved.

3. Organize to reach your goals.

• Establish quality council
• Identify problems
• Select projects
• Appoint teams
• Designate facilitators

4. Provide training.
• Any company, which has been actively engaged in moving towards TQM in the past few years,
knows how important education and training are. The concepts, methods and tools for modern
quality management are new for most members of the company -- managers, professionals and
workforce. The investment in education and training is high, but the rewards are great.

5 .Carry out projects to solve problems.

• Large improvements are usually the result of interdepartmental or even cross-functional quality
improvement teams. These teams tackle the chronic problems that have been in the way of
company progress for a long time. These are the vital few problems that create the breakthroughs
in quality by reducing waste and improving customer satisfaction dramatically.

29
6. Report progress
• Importance here is on the progress expected and the actual progress achieved. Necessary actions
to improve the status can be initiated to reduce the variance. Information on the progress also
provides the management the confidence on the Improvement activity and further support if
required.
7 Give recognition

• Recognition is a means of providing morale to both those involved in the improvement activity and
all others in an organization. This is an important activity to be done by the management as
improvements provide a change for betterment resulting in savings to the company and at times,
the improvements are made possible against lot of criticisms. Recognition rejuvenates the spirits
and makes it possible for improvement areas in other spheres.

8. Communicate result.
• Lesson learnt during the improvement process requires to be shared to create an awareness
of the approach taken and the possibility to learn and improve further. It also provides an outlook
for people in other areas to the basis for triggering similar improvements in their areas.
9.Keep score.

• An organization’s goals are achieved step-by-step. Each step taking it nearer to the targeted goals.
Further steps to be taken shall involve an action based on the lesson in the previous steps. Tracking
the progress and measuring it provides the management the leverage to control the process.

10. Maintain momentum by making annual improvement part of the regular process of the
company.
• Actions taken in the above steps shall involve the people and sustaining their involvement in
improvement activity is a must to achieve the long-term organizational goals and to remain
competitive. Juran approach is very many people oriented and it places a strong emphasis upon
teamwork and a project –based approach.

Exercise

1. Explain how you will use Deming’s cycle for total quality management in your
institution

2. Explain the principles of Iurans model how you will use these principle.

30
 Module 2

Chapter 1 Quality Assurance, Quality Control and

Quality Improvement

1.1 Quality Assurance

Quality means usually think in terms of an excellent product or service that fulfills or
exceeds our expectations. Quality assurance is a wide ranging concept covering all
matters that individually or collectively influence the quality of a product. It is a way of
preventing mistakes or defects in manufactured products & avoiding problems when
delivering solutions or services to customers According to ISO (9000) Quality assurance
is defined as part of quality management focused on providing confidence that quality
requirements would be fulfilled. Quality assurance is applied to physical products in pre-
production to verify what will be made meets specific requirements. It is the totality of
the arrangements made with the object of ensuring that products are of the quality
required for their intended use. Quality assurance is internal to the institution. Quality
assurance is the heart and soul of quality control Quality Assurance, is an activity to
ensure that an organization is providing the best possible product or service to
customers. It focuses on improving the processes to deliver Quality Products to the
customer.

• Plan - Organization should plan and establish the process related objectives and
determine the processes that are required to deliver a high Quality end product.
• Do - Development and testing of Processes and also "do" changes in the
processes
• Check - Monitoring of processes, modify the processes, and check whether it
meets the predetermined objectives
• Act - Implement actions that are necessary to achieve improvements in the
processes

1.2 Quality Control

“Quality Control is the procedure used to check & assess the quality of the products or
services.” Quality Control is similar to but not same as quality assurance. Quality Control
includes all the activities that are designed to determine the level of quality services. It is
a procedure or set of procedures intended to ensure that manufactured products or
perform service adhere to defined set of quality criteria or meets the requirement of the

31
client or customer. It is a reactive means by which quality is gauged or monitored.
Quality Control can either be internal or external to the institution.

• http://www.guru99.com/all-about-quality-assurance.html
• http://www.businessdictionary.com/definition/quality-improvement.html

The difference is that QA is process oriented and QC is product oriented.

Quality assurance Quality control

Definition QA is a set of activities for QC is a set of activities for

ensuring quality in the processes ensuring quality in products.
by which products are developed. The activities focus on
identifying defects in the
actual products produced.

Focus on QA aims to prevent defects with a QC aims to identify (and

focus on the process used to make correct) defects in the
the product. It is a proactive finished product. Quality
quality process. control, therefore, is a
reactive process.

Goal The goal of QA is to improve The goal of QC is to identify

development and test processes so defects after a product is
that defects do not arise when the developed and before it's

32
 product is being developed. released.

How Establish a good quality Finding & eliminating

management system and the sources of quality problems
assessment of its adequacy. through tools & equipment
Periodic conformance audits of so that customer's
the operations of the system. requirements are continually
met.

What Prevention of quality problems The activities or techniques

through planned and systematic used to achieve and
activities including documentation. maintain the product
quality, process and service.

Responsibility Everyone on the team involved in Quality control is usually

developing the product is the responsibility of a
responsible for quality assurance. specific team that tests the
product for defects.

Example Verification is an example of QA Validation/Software Testing

is an example of QC

Statistical Techniques Statistical Tools & Techniques can
be applied in both QA & QC. When
they are applied to processes
(process inputs & operational
parameters), they are called
Statistical Process Control (SPC); &
it becomes the part of QA.
When statistical tools &
techniques are applied to
finished products (process
outputs), they are called as
Statistical Quality Control
(SQC) & comes under QC.

As a tool QA is a managerial tool QC is a corrective tool

Orientation QA is process oriented QC is product oriented

1.3 Quality Improvement (QI)

The systematic approach to reduction or elimination of waste, rework, and losses in

production process. Quality Improvement is anything which causes a beneficial change in

33
 quality performance. It is a formal approach to the analysis of performance & systematic
efforts to improve it. According to ISO “Quality Improvement is the actions taken
throughout the organization to increase the effectiveness of activities & process to
provide added benefits to both the organization & its customer.”

There are 2 basic ways in bringing about improvement in quality performance. They are
–

1. Through better control

2. Raising the standards

Quality Improvement is a process for changing standards. Standards are changed

through a process of selection, analysis, corrective action on process, education &
training
The quality improvement process is grounded in the following basic concepts:

 Establish a culture of quality in your practice. organization, processes, and

procedures should support and be integrated with your QI efforts.

 Determine and prioritize potential areas for improvement. You will need to
identify and understand the ways in which your practice could improve quality.

 Collect and analyze data. Data collection and analysis lie at the heart of quality
improvement. Your data will help you understand how well your systems work,
identify potential areas for improvement, set measurable goals, and monitor the
effectiveness of change.
 Communicate your results. Quality improvement does not exist in a bubble—
your QI efforts will affect your staff members and your parents and students
(customer).

 Commit to ongoing evaluation. Quality improvement is an ongoing process. A

high-functioning practice will strive to continually improve performance, revisit the
effectiveness of interventions.

Chapter 2 Quality Management system in Education

34
2.1 Introduction

Quality management in education

Quality must be consciously managed in order to satisfy quality demands. Quality

management is "an integral part of management, whose role is to reach quality
objectives, which are reflected not just in providing but also in improving quality. This is
achieved by managing the activities derived from the established quality policies and
plans, and is carried out within the quality system, using, among other things, the
appropriate quality monitoring plan.”

The efficient management of an organization is achieved by using different

models. One of them is quality management system. By quality management system we
understand "structure, procedures, processes and other necessary resources required for
the application of quality management." A quality system is inseparable from the
international norms (standards) of quality. A standard is a formalization of the basic
principles of quality management. Quality management ensures that an organization,
product or services are consistent. It has 4 main components A quality system is
inseparable from the international and European norms (standards) of quality. A
standard is a formalization of the basic principles of quality management. An increasing
number of entities (not only business related) are striving to adapt its own quality
system with the requirements, mainly, of the ISO 9000 standards.

2.2 International Organization for Standardization (ISO)

Over the last decade “Quality” has become a central preoccupation of companies, public
services and non-profit organisations in Europe. One of the more visible features of this
“quality wave” has been, particularly in Europe, the certification of the quality assurance
mechanisms of organisations on the basis of the so-called ISO 9000 standards. This form
of certification is becoming the de facto basic quality standard in
many industrial sectors of Europe
ISO (International Organization for Standardization) is the world’s
largest developer of voluntary International Standards. It was
founded in 1947, and since then have published more than 21000
International Standards covering almost all aspects of technology
and business. ISO is an independent, non-governmental organization made up of
members from the national standards bodies of 163 countries. The members play a vital
role in how they operate, meeting once a year for a General Assembly that decides their
strategic objectives. ISO’s Central Secretariat is in Geneva, Switzerland, who coordinates
the system and runs day-to-day operations, overseen by the Secretary General. The ISO
Council takes care of most governance issues. It meets twice a year and is made up of
20 member bodies

2.3 ISO 9000 - Quality management

“ISO 9000” is the commonly used name to label a series of international standards for
quality assurance within organisations: ISO 9001, ISO 9002, ISO 9003, ISO 9004 (and
their subsets). The most important norms to be considered in the context of this
contribution are ISO 9001 and ISO 9002. The official title for ISO 9001 is “Quality

35
systems. Model for quality assurance in design, development, production, installation
and servicing”. ISO 9002 is similar to ISO 9001, except that design is not included.
Unlike some other documents and ‘standards’ of the ISO 9000 series, these two norms
allow certification of organisations by a third party.

The ISO 9000 family addresses various aspects of quality management and contains
some of ISO’s best known standards. The standards provide guidance and tools for
companies and organizations who want to ensure that their products and services
consistently meet customer’s requirements, and that quality is consistently improved.

ISO 9001:2015
ISO 9001:2015 sets out the criteria for a quality management system and is the only
standard in the family that can be certified to (although this is not a requirement). It can
be used by any organization, large or small, regardless of its field of activity. In fact,
there are over one million companies and organizations in over 170 countries certified to
ISO 9001.

2.4 ISO 9001 ISO 9002 Quality System Requirements: “Clauses”or

“Criteria”

Management responsibility Quality system

Contract review Design control

Document and data control Purchasing

Control of customer-supplied product Product identification and traceability
Process control Control of inspection, measuring and test

Inspection and test status Control of nonconforming product

Corrective and preventive action Handling, storage, packaging, preservation

Control of quality records Internal quality audits

Training Servicing

Statistical techniques

This standard is based on a number of quality management principles including a strong

customer focus, the motivation and implication of top management, the process
approach and continual improvement. Using ISO 9001:2015 helps ensure that customers
get consistent, good quality products and services, which in turn brings many business
benefits.
SO/IWA 2: Quality management systems - Guidelines for the application of ISO
9001:2000 in education, contains the full text of ISO 9001:2000, clause-by-clause,
followed by specific text making the standard easier to understand and implement by the
education sector. In addition, IWA 2 includes the full text of ISO 9004:2000, which gives
organizations guidelines for achieving further benefits from their quality management
systems through the pursuit of continual improvement of performance.

36
Application of ISO 9001:2008 in Secondary Schools Clause 4 –General Requirements
Documentation requirements Requirement Function vis-à-vis the QMS Quality policy
Vision, aim and objectives set by the school for QMS Quality manual References of all
applicable documented procedures and other criteria based on the QMS Control of
documents Ensure documents are continuously updated Traceability of document and
available for use Control of records Activities carried out (extra-curricular activities)
Learner and instructional records

Eight Quality Management Principles of ISO 1. Customer focus 2. Leadership 3.

Personnel involvement 4. Process approach 5. System approach to management 6.
Continuous improvement 7. Factual approach to decision making 8. Mutually beneficial
relationships with suppliers.

Benefits of International Standards

International Standards are the backbone of our society, ensuring the safety and quality
of products and services, facilitating international trade and improving the environment
in which we live in.
 Conformity to International Standards helps reassure consumers that products,
systems and organizations are safe, reliable and good for the environment. They
ensure that business operations are as efficient as possible, increase productivity
and help companies access new markets.
 ISO standards help businesses to:
1. Cut costs, through improved systems and processes
2. Increase customer satisfaction, through improved safety, quality and
processes
3. Access new markets, through ensuring the compatibility of products and
services
4.. Reduce their impact on the environment.
 ISO has over 21000 standards touching almost all aspects of daily life. When
products and services conform to international standards consumers can have
confidence that they are safe, reliable and of good quality
 For government ISO standards draw on international expertise and experience
and are therefore a vital resource for governments when developing public policy.
National governments can use ISO standards to support public policy, which has
a number of benefits, including:- Getting expert opinion - By integrating an
ISO standard into national regulation, governments can benefit from the opinion
of experts without having to call on their services directly. Opening up world
trade - ISO international standards are adopted by many governments, so
integrating them into national regulation ensures that requirements for imports
and exports are the same the world over, therefore facilitating the movement of
goods, services and technologies from country to country.
 An ISO 9001-based education institution has improved understanding among the
staff, streamlined institution operation, clearer right and responsibilities of
students, quality improvement and a marketing edge
 Brings a standardization in classroom management • An attitudinal shift in staff
members to quality-related issues in day-to-day work processes and thus enables
organizations to better operate in terms of customer (student) satisfaction

37
ISO - International Organization for Standardization, 1994: ISO 9002: 1994, Model for
quality assurance in production, installation and servicing. ISO, Genève

The tangible and often compulsory requirements of ISO 9001 and 9002 standards
(quality policy, quality manual and procedures, regular audits, ...) provide an overall,
measurable framework for quality efforts, which can be used by an education and
training organization.

Chapter 3
National Assessment Accreditation Council (NAAC):
Performance Indicators

38
3.1 NAAC : PERFORMANCE INDICATOR

KEY AREA I CURRICULUM DESIGN AND PLANNING

Quality Aspect (1) Institutional Vision

Quality Indicator 1 There is a clear statement of the vision and mission,

which reflect the teacher education goals and objectives, and
are compatible with the regional, national and global
expectations.

Operational Definition The clearly stated vision and mission guide the Institutional
functioning, which is well within the framework of the National
policy and addresses the stakeholder requirements.

Importance of the QI A clear statement of vision and mission provides direction to

the effective functioning of the institution and helps in maintaining
appropriate linkages among different components.

Sources of Evidence Policy document of the institution, Handbook, Prospectus,

Management, Staff

Quality Aspect (2) Process of Curriculum Design

Quality Indicator 2 Curriculum is visualized with adequate and appropriate

interfacing of various curricular components including
the goals and objectives through active deliberations.

Operational Definition Curricular components are visualized ensuring proper interfacing

of the stated goals and objectives through active deliberations
involving stakeholders.

Importance of the QI It is a process of developing appropriate curriculum through a

need assessment process and in consultation with expert groups

39
 based on the feedback from the stakeholders resulting in the
development of relevant programmes with flexibility to suit the

professional and personal needs of the students in the university,

colleges and school sector.

Minutes of the various meetings related to curriculum design,

Academic calendar
Sources of Evidence

The program has clearly laid down modalities, policies and

regulations for implementation of the curriculum.
Quality Indicator 3

Modalities for implementation are evolved in partnership with

Operational Definition the staff and management which is realistic and relevant to
local and school contexts. They are clearly laid down, are
comprehensive, and well articulated.

While clarity in modalities and policies ensures effective

Importance of the QI implementation of all aspects of the curriculum, evolving them

through participatory approach enhances the commitment of

all for achieving the programme goals.

Policy document of the institution, Handbook, Prospectus,

Management, Staff, Students
Sources of Evidence

It is ensured that there is no mismatch between visualized

curriculum inputs and the envisaged duration of the
Quality Indicator 4
programme.

Operational Definition The level of attainment of content and pedagogical competencies is a

function of the instructional time. Every component of the

40
 curriculum needs an appropriate provision of time input for
its implementation. Hence, internal reflection is employed
to assess whether the duration of the program corresponds
to the learning experiences envisaged and leads to
achievement of the curriculum objectives.

Appropriate inputs and experiences are necessary for

achieving the stated objectives. Time provided for an input
Importance of the QI
would reflect the importance attached to it. Since
acquisition of competencies occurs at different paces for
different learners, the time spent on specific components
of the programme and in turn the total duration of the
programme influences the overall quality.

Sources of Evidence Prospectus, Staff, Syllabus, Timetable

Quality Aspect (3) Curriculum Content

Quality Indicator 5 The operational curriculum is visualized with adequate

flexibility to include and effectively reflect the
emerging concerns and expectations from a school
teacher.

Operational Definition Curriculum content has adequate scope and flexibility to

adopt to the demands on the school teachers and the
emerging issues in the national and international contexts.

Importance of the QI There would always be a gap between the curriculum of

teacher education and the school reality. A rigid
curriculum would make this gap more pronounced.
Hence, there is a need for a certain amount of flexibility in
the TE curriculum to incorporate the emerging concerns.
In other words, the teacher education curriculum should
respond to both the current and the futuristic scenario of
school education.

41
 Sources of Evidence Annual report of the institution, Deliberations with staff
and Students

The institution has a practice of time allocation

and scheduling for conceptual inputting (theory)
Quality Indicator 6
through a process of deliberations.

Operational Definition There exists a timetable for the theory, which is evolved
in consultation with the staff before its implementation. It is
made available to the staff as well as the students, in
advance.

A timetable is not merely an arrangement for work

allocation. It needs to be worked out collectively
Importance of the QI
by the staff accommodating their preferences. The staff
and students need to have it well in advance so as to plan
and prepare and also to ensure that there is no loss of
instructional time.

Sources of Evidence Timetable, Interactions with the staff on development

and deployment strategies, Students

Quality Indicator 7 The operational curriculum content is designed in

such a way that it has adequate inputs for
development of attributes expected in a school
teacher.

Every academic institution translates the curriculum

framework and the syllabus by rendering them into
Operational
practical forms, in which the main focus is on teacher
Definition
attributes and on developing a complete teacher i.e. a
teacher who can display multiple skills and qualities for
the holistic development of children under his/her care.

42
 Importance of the QI An entrant teacher has to be prepared with the
technical understanding and competency to design
and execute instructional activities, deal with learner
variations and lead them to effective and actual learning,
as well as conduct oneself as a professional. To ensure
assimilation of the several attributes required in a teacher,
the teacher education programme has to provide a
comprehensive set of experiences within an absorbing
ethos. The way this is visualized including the specified
syllabus and much beyond represents the operational
curriculum.

Sources of Evidence Prospectus, Academic calendar, Staff, Principal

Quality Indicator 8 While working out the details of operational curriculum

it is ascertained that the theoretical and practical
inputs are appropriately dovetailed to provide a
comprehensive understanding.

Operational There is an effort made to synchronize theoretical and

Definition practical inputs in such a way that various components of
both aspects are integrated into a gestalt leading to a
comprehensive understanding.

Importance of the QI Theoretical and practical inputs are seen separately as

two aspects mainly for operational convenience but are
intended to provide a comprehensive understanding of
the educative process. Therefore, deliberate efforts need
to be made to provide a comprehensive understanding by
appropriately dovetailing the two, leading to teacher
quality.
Sources of Evidence Syllabus, Timetable, Staff, Students

43
 Quality Indicator 9 The operational curriculum content has ample scope
for varied learning situations both at the institution as
well at the school/field levels.

Operational An appropriate understanding of and sensitivity to the

Definition diverse learning situations in the field are essential for
effective teacher performance. This is attempted through
institutional exposure to both in field as well as simulated
institutional experiences.

Importance of the QI A teacher needs to have a sound knowledge base of

the content and pedagogy, should have the right
attitude and commitment, and also should be able to
achieve the objectives of school education in a variety of
contexts of which she/he would work in future. For this
to happen the inputs of the teacher education
programme should not be limited to explications and
simulations at the TEI but must include field experiences
and both should be dovetailed meaningfully.

Sources of Evidence Syllabus, Academic calendar, Annual report, Students

Quality Aspect (4) Curriculum Revision

Quality Indicator 10 The basis for curriculum revision emerges from the
need to achieve stated objectives effectively.

Operational Definition The curriculum revision is based on the database

and experiences of implementation. Hence, the
experiences and insights of all concerned are
collected and the areas of weaknesses and redundancy
in the curriculum are reviewed before revising the
curriculum.

44
 Importance of the QI Curriculum revision is a continuous process. Even though
it is difficult to revise the curriculum on a yearly
basis, the experiences and insights in implementing it
over years need to be recorded and the inputs
strengthened and those absent but necessary for
improving efficacy of the programme are identified and
revisited at the time of revision.

Sources of Evidence Successive curricula, Records on revision, Staff

The institution undertakes curriculum revision on a

Quality Indicator 11 regular basis in the form of continual deliberations on
its substance, adequacy and up datedness.

A curriculum review meeting is held at least once in the

year and the curriculum is revised at least once in three
Operational
years.
Definition
Taking corrective measures to remove irrelevant
aspects, strengthening existing weak components and
Importance of the QI
adding essential inputs through review can improve the
effectiveness of the programme. A programme of quality
seeks /has provisions fordoing so on a timely and regular
basis.

Sources of Evidence Records pertaining to curriculum revision and

implementation

KEY AREA II CURRICULUM TRANSACTION AND EVALUATION

Quality Aspect (5) Induction/Orientation

Quality Indicator 12 Comprehensive orientation is given to the fresher

about the institution and the programme.

45
 Operational An orientation programme for the new entrants is
Definition held immediately after admission procedures are
completed. The orientation addresses all concerns and
needs of the new entrants and is given by those who are
competent to do so.

Admission is a transition from one academic environment

to the other. Adjusting to the new environment should be
Importance of the QI
achieved for a new comer to participate and benefit from the
programme. Moreover all expectations and guidance
cannot be informed through the admission announcement.

Sources of Evidence Annual calendar, Students

The institution has evolved its own process of

induction every year, and takes place at the
Quality Indicator 13
commencement of the programme.

The induction programme is a part of the academic

calendar of the programme and is an institutional event.
Operational
All concerned teaching and non-teaching staff participate in
Definition
it and have their roles specified.

An induction programme is one of those occasions when

all staff and students come together. It is a confidence
Importance of the QI
building measure and would foster familiarity. A well-
organized induction would reduce the incidence of drop out
due to apprehensions
and lack of information.

Sources of Evidence Academic calendar, Students

46
Quality Aspect (6) Transaction of Theory

Quality Indicator 14 The various courses of theoretical study are provided

inorder to develop an understanding and
appreciation of teacher in a holistic educational
perspective through dynamic learning experiences.

By articulating on the dynamic, complex set of

interacting forces that a teacher has to deal with in the
Operational
field, the theoretical inputs lead to an understanding of field
Definition
realities and the teacher’s position of significance among
them.

Field realities need to be understood not merely in a

factual way but also its conceptual basis so that a
Importance of the QI
functionally relevant and at the same time, theoretically
justified practice can be evolved by a teacher.

Sources of Evidence Syllabus, Students, Staff

The instructional processes are geared to

develop reflective thinking and practice both
Quality Indicator 15
individually and in groups.

Students are provided with material and experiences to

reflect upon. The teacher educator employs an ‘eliciting’
Operational
stance rather than an ‘informing’ stance. Questioning is
Definition
employed extensively and students are called upon to
recall their experiences and tryout/demonstrate their
thinking, both individually and in groups.

Teaching is an act of making right kind of decisions at the

right time in a classroom. In order to do so, a student
Importance of the QI
teacher must not only know how to act but also be able
to reflect on the

47
 actions with a view to analyze their effectiveness.
Hence, teaching is viewed as a reflective practice and
the teacher a reflective practitioner.

Sources of Evidence Staff, Students, Classroom transactions

Curricular activities reflect interconnectedness among

Quality Indicator 16 the various components of the programme.

Operational The teacher educators as well as the student teachers

Definition know why and how one component of the programme is
connected to another and teacher educators make
conscious effort to establish such interconnectedness.

Importance of the QI The separation of one component of the programme with

the other is only an arrangement made for
organizing the programme. Several inputs provided
parallelly or sequentially, aim at achieving the same goal.
Hence, for synergy to occur, the interconnectedness of
components is to be visualized and established.

Sources of Evidence Syllabus, Timetable, Staff, Students.

Quality Indicator 17 The staff and students have access to technology

and information retrieval on current and relevant
issues.

Operational The staff and students are found seeking new information
Definition and revising existing ones and employ
information and communication technology for the
same.

48
Importance of the QI Complacency with oneself is not a sign of
professionalism. One who is satisfied with what one
knows is not likely to grow. In a world where newer
and better techniques and methodologies are regularly
discovered, both the teacher and the learner must access
such information.
Sources of Evidence Institutional infrastructure, Staff, Students

Quality Aspect (7) Transaction of Practical Experiences

Quality Indicator 18 Adequate preparation for practice of teaching is

provided through various in-house hands on
experiences including simulated practice.

Various experiences for developing essential skills

and competencies required in a student are provided as
Operational
preparatory. for real classroom teaching.
Definition

Importance of the QI The nature and extent of preparations made for an

intervention reflects the extent to which it is viewed as
important and essential. Since teaching skills practice
is an inseparable component of teacher education, the
planning and preparation for its implementation needs to
be comprehensive.

Sources of Evidence Timetable, Staff, Students

Quality Indicator 19 The school-based experiences are comprehensive

and varied to include exposure not only to
instructional role of teachers but also their other roles
and functions.

49
Operational There exists clarity about the multifarious roles and
Definition functions of a teacher. The student teacher is provided
with opportunities to perform and practice them in
accordance with their relative importance.

Importance of the QI A teacher has to perform various roles and functions in

a school apart from teaching. A quality teacher
education programme provides experiences for a student
teacher to learn how to perform them.

Sources of Evidence Student records, Staff, Students, Principal and Staff of

Practicing School

Quality Indicator 20 The process of nurturing and mentoring of

student teachers is visualized and institutionalized.

Operational Nurturing and mentoring of student teachers is not an

Definition accidental process but the result of systematic and
planned attachment of students to staff of the teacher
education institution and of the school. There exists clarity
of purpose of attachment.

Acquisition of skill and competency is a gradual process

requiring practice, feedback and corrective suggestions. If
Importance of the QI
some of them happen at the teacher education
institution, there are others that need to happen at the
practicing school under the supervision and guidance of
a teacher. There is a need to have clarity about the place
and purpose of an experience in teaching that is known to
all. Institutionalizing the process ensures regularity in its
occurrence.

Sources of Evidence Principal, Staff, Students

50
Quality Indicator 21 The learning experiences are followed by
feedback,

reflection and follow-up.

Operational There exists an arrangement for feedback from the
Definition supervisor and peers, reflection by the student teacher
and follow-up by the administrator with respect to
Practice and Experience inputs.

Importance of the QI Making provisions for Practice and Experience, inputs

cannot ensure acquisition of skills and competencies aimed
at. Objective and comprehensive feedback, reflection on
possibilities and providing follow-up experiences are
essential for their acquisition.

Sources of evidence Staff, Students

Quality Aspect (8) Assessment and Evaluation

Quality Indicator 22 Apart from grading and certification, the

institution employs assessment and evaluation
outcomes for enhancing competence of students.

Operational Assessment and Evaluation system employed has

Definition also a qualitative dimension that is used for enhancing the
competence of student teachers.

One of the purposes of evaluation is to provide

development- inducing feedback. Hence, there is a need
Importance of the QI
for qualitative feedback based on evaluation. Further, it
should also help a teacher educator to plan
experiences and activities for enhancing the present
level of performance.

Sources of Evidence Evaluation protocol, Observation of records

51
 Quality Indicator 23 The evaluation protocol used by the institution for
the programme is comprehensive in its coverage
of objectives.

The Evaluation Protocol of the Programme includes all

stated objectives and the Approach/Guidelines for
Operational
Assessment and Evaluation are available and employed.
Definition

Objectives to be achieved need learning experiences

and evaluation is the process of knowing their
Importance of the QI
attainment. A programme that states objectives that
are not evaluated or assessed gets neglected in
implementation. Hence, all stated objectives must form
a part of the evaluation protocol of the programme. This
would give direction to the inputs and for monitoring the
outcomes.

Sources of Evidence Syllabus, Evaluation protocol

The mechanism employed for gathering,

consolidating and disseminating evaluation data
Quality Indicator 24
reflects fairness and transparency.

The student teachers and teacher educators are aware of

the nature of assessment followed for different
Operational
components of the programme. The assessments made
Definition
are brought to the notice of the student teachers and
their agreement is sought before finalization.

Evaluation is a process of indicating learning as well as

areas where learning has not happened or is to be
Importance of the QI
improved upon. Hence, not only should the students
know what is being assessed, but they should also be
aware of the way in which

52
 they are going to be assessed. Such a process makes evaluation
objective.
Sources of Evidence Staff, Students

Quality Indicator 25 The institution employs ICT extensively in assessment and

evaluation activities of the programme.

Operational Definition The institution employs information and communication

technology for preparation, storage, reprography, processing and
reporting activities of assessment and evaluation.

Importance of the QI Traditionally, institutions have had problems with large-scale data
storage, management and processing. Information and
communication technology is useful in several activities involving
information processing and management. Using ICT enhances the
efficiency in performing these activities.

Sources of Evidence Infrastructure facilities, Evaluation records, Reports

Quality Aspect (9) Teacher and Teaching

Quality Indicator 26 Teachers function as a team of efficient professionals.

Operational Definition Teachers exhibit qualities of commitment, involvement and

competence in their professional effort.

Importance of the QI Quality of an academic programme lies in the extent to which

teachers exhibit certain qualities beside technical competence. These
include commitment, involvement, identification with the institutional
goals, being steadfast, friendly without being unnecessarily
lenient, willing cooperation to colleagues, clear in priorities and strive
for individual excellence and group success.

Sources of Evidence Principal, Students, Practice Teaching School Principal and Staff

53
 Teachers take initiative to learn the latest pedagogic
techniques, to innovate and continuously seek
Quality Indicator 27
improvement in their work, visualize and carry out
curriculum transactions according to the nature of the enrolled
student groups.

Teachers make efforts to evolve transaction modalities with due

considerations to the learner characteristics and diverse and
Operational Definition
emerging field requirements.

Diversity of learners in respect of their background, abilities and

other personal attributes will influence the extent of their learning.
Importance of the QI
Thus, the institutional modalities need to be rendered relevant for the
learner group. To cater to the changing groups of learners every year,
teachers need to be adept at adopting newer and better ways of
dealing with students. For this, teachers need to take continuous
initiative to seek and find more efficient ways.

Sources of Evidence Documents of daily work, Teachers Diary, Staff, Principal

Teachers provide a variety of learning experiences including

individual, collaborative learning experiences; and there is
Quality Indicator 28
flexibility in their implementation.

The teacher educators employ interactive and participatory

approach in the teaching of theory and foundation courses.
Operational Definition
Explanations and justifications are developed with the help of students
and not ‘taught’ to them.

54
 Learning is a process of construction of knowledge and not one of
receiving from a person who knows. A learner finds it difficult to
Importance of the QI
retain a content that does not integrate meaningfully with his/her
knowledge base. Interactive and participatory approach provides
scope for removing the conceptual difficulties and the
misconceptions of students creating a feeling of responsibility in
learning.

Sources of Evidence Academic calendar, Staff, Students

KEY AREA III RESEARCH, DEVELOPMENT AND EXTENSION

Quality Aspect (10) Research and Development

Quality Indicator 29 Teachers explore better ways of functioning and build upon
their experiences systematically.

Operational Definition All routine as well as new practices are systematically planned and
carried out with adequate efforts for gaining an
understanding of the processes generated thereby.

Importance of the QI In a TEI it may not be always possible for teachers to be

engaged in research in a formal way such as doctoral and/or
post doctoral studies, formal sponsored projects. In fact,
effective regular practice is what needs to be seen as the
process of generating knowledge and understanding education.
Teacher education programme has to bring teacher educators
together to systematically apprise and obtain insights. Such
research emphasis not only enhances teacher educators’ quality
Continuously but also provides ample scope to the student
teachers to get engaged in action research as a regular part of
their practice.

55
 Sources of Evidence Staff, Students, Principal

Quality Indicator 30 Necessary learning material and organizational

arrangements are discerned and developed by teachers and
utilized as part of regular practice.

Consistent efforts are made to recognize and evolve effective

learning materials and the needed organizational arrangements
Operational Definition
thereof. These need to be systematically appraised and the
effective ones incorporated into regular practice.

Importance of the QI Every institution where the programme is implemented is a

unique context of implementation and hence it is desirable that
there are variations and adaptations made to the programme
to suit the context. More over a vibrant institution has its additions
to the common vision and has home-grown solutions to problems.

Sources of Evidence Staff, Students

The institution has the practice of appraising its work through

in-house research, institutionalizing innovative practices and
Quality Indicator 31
undertaking formal sponsored research projects relevant in
institutional and national contexts.

56
 Operational Institution systematically documents all its efforts,
Definition analyses them along with outcomes and feedback
obtained, and derive directions for improvements in
future, but also encourages staff to undertake sponsored
as well as formal research work.

Exploration and reflection are crucial among teacher

educators for developing a research database on
Importance of the QI
different educational contexts. Systematic and action
oriented in house compilation results in such a
dynamic data base which should be appropriately
used and extended for in house research and
improvements. Engagement in research beyond the
institutional and local issues provides teachers with a wider
perspective on the developments in the field and a better
backdrop to enrich TE inputs.

Sources of Evidence Principal, Staff, Management, Research Committee

The institution adopts policies and strategies for

adequate technology deployment and to use it
Quality Indicator 32
for learning enhancement.

Continuous efforts are put forth towards identifying and

deploying latest technology and procuring learning
Operational
material available - in print, audio and digital forms, and to
Definition
actively use them in instructional transactions

Teachers and students need to make optimum use of

technology for creating a knowledge base, information
Importance of the QI
retrieval and dovetail these into instructional
process/learning transaction.

Sources of Evidence Staff, Students, Administration, Management

57
 Quality Aspect (11) Community Engagement

Learning activities have a visible element for

developing sensitivities towards community issues,
Quality Indicator 33
gender disparities, social inequity, and similar issues.

There is a wide range of learning activities provided that

bring to focus not only the technical aspects of the
Operational
educative process but also the diversity involved in respect
Definition
of students’ background as well as the emerging issues
in the national and global contexts.

An effective teacher needs competencies not only for

impactful handling of instructional process but also
Importance of the QI
develops strategies that relevantly sensitize one’s
students to the diversities in the societal contexts. For
this it is necessary that the learning experiences are
varied and also include those relevant for students with
special needs.

Sources of evidence Staff, Students

Quality Indicator 34 There exists a preparedness for and incidence

of extending service to other academic institutions.

Operational Definition The teacher education institution provides academic

leadership to the institutions around it and there exists
a keenness to respond to the calls for help and guidance.

For teacher education to be responsive to the local

realities, it should have functional linkages with
Importance of the QI
schools and other educational institutions around it. Not
only that it receives help

58
 and facilities from the school to organize some of its activities,
it should also take lead and provide an academic forum for
discussing educational issues and problems.

Sources of Evidence Records, Beneficiaries

KEY AREA IV INFRASTRUCTURE AND LEARNING RESOURCES

Quality Aspect (12) Physical Infrastructure

Quality Indicator 35 The physical infrastructure of the institute is suitable and

adequate for effectively implementing the programme.

Operational Definition The Physical Infrastructure is designed to implement all

components of the programme effectively and is in keeping
with the strength of staff and students.

The theory and practice inputs of the programme require

different types of physical infrastructure and furnishing. It is not
Importance of the QI
merely the space available but the way in which activities
envisaged in the programme can be implemented that decides
the quality of the programme. Each course has its own
requirements and the inputs in ICT need deployment of
computers and other equipments and ensures their access to all
students.

Sources of Evidence Physical infrastructure

Quality Indicator 36 The institution has sufficient resources for regular

upkeep of the physical infrastructure.

59
Operational Definition Specially trained staff maintains the physical infrastructure
and the facilities and schedule needed for maintenance are
available. There exists a mechanism to monitor
maintenance and the procedures for undertaking repairs
are simple and clear.

Importance of the QI Having physical infrastructure makes it possible to

arrange activities and experiences planned in the
curriculum. But what ensures quality is the sustained
maintenance and upkeep. This is possible if the institution
has specially trained manpower with a clear job chart,
procedures which are simple and known to one and all, and
monitoring and supervisory arrangements to avoid
exigencies and non-availability of resources.

Sources of Evidence Procedures for upkeep, Maintenance documents, Support

staff.

Quality Aspect (13) Instructional Infrastructure

Quality Indicator 37 The teaching-learning material, ICT facilities,

laboratories and learning resource centre necessary for
implementing the programme are available and
utilized on a regular basis.

Operational Definition The teaching-learning material, ICT facilities, laboratories

and learning resource centre necessary for
implementing the programme are available with the
institute and are optimally utilized.

Importance of the QI Every input of teacher education requires unique facilities.

The teaching learning material in the library; the ICT,
ET and Methods Laboratory; and Learning Resource
Centre are some such facilities necessary for
implementing a teacher education programme. Without
their availability, certain hands-on experiences
necessary for competency and skill development

60
 are difficult. Hence, it is necessary that they are well maintained
and strengthened by making available human resources and
funds necessary; and ensure they are accessible and utilized by
the staff and students regularly.

Sources of Evidence Infrastructure, Staff, Students

Quality Aspect (14) Human Resources

Quality Indicator 38 Institution has well evolved processes for recruitment and
retention of staff as well as judicious process of co-opting
staff.

Operational Definition Suitably trained and professionally competent staff provides

different course inputs. Wherever necessary, the Institution
has a policy for training of the staff and to encourage
specialization.

Importance of the QI The quality of teacher educators is an important factor that

decides the quality of teacher education. The content and
pedagogical inputs of teacher education require teacher
educators who are qualified and competent to provide them.
Their professional development should be of concern for an
institution that seeks to provide quality teacher education.

Sources of Evidence Staff profile, Staff development activity reports

Quality Indicator 39 Teachers seek to gain professional development by

participating in in-house discussions and professional flora.

61
Operational Definition Teachers put forth efforts to keep themselves updated through
regular sharing and discussions and participating in seminars
and conferences, and contributing articles to professional
journals.

Importance of the QI Academic alertness is essential and needs continuously pursuing

the knowledge. In-house discussions on practice provide
opportunity to share one’s experiences, accept other’s views
as well as evolve functionally relevant processes for coordinated
working. At the same time, exposure to the work and thinking
of other professional colleagues in the field and sharing one’s
experiences in professional forum helps build confidence in
teachers and make them well informed about field
developments. Institution must encourage such practices.

Sources of Evidence Staff, Principal, Self-appraisal and other similar documents

Quality Indicator 40 Efforts are made to upgrade professional competence of not

only academic but also administrative staff.

Operational Definition Both the staff and the administration recognize that professional
development is a continuous process and both show interest
and concern in seeking professional development.

Importance of the QI The emerging issues, concerns and technologies in the field of
education in general and teacher education in particular can be
effectively incorporated into the programme only if the staff
undertakes an up gradation of their skills and competency.
Hence, the staff and administration should take initiatives for
continuous up gradation in the professional skills and competence
of staff.

Sources of Evidence Staff development activity reports and records

62
 KEY AREA V STUDENT SUPPORT AND PROGRESSION

Quality Aspect (15) System Efficiency

Quality Indicator 41 The quality of the product of the program is satisfactory

in terms of expectations from the field.

Operational Definition No student teacher has to repeat the programme for want
of instructional inputs and the results of the programme
indicate that the pass percentage over years is high.

Outcome of a teacher education programme is an indicator

of quality. High pass percentage means that the
Importance of the QI
programme has made a comprehensive impact on the
student teachers. Consistent high percentage of
students who successfully complete the programme
indicates that the processes and inputs are stable and
institutionalized.

Sources of Evidence Records of examinations, Results of students, Feedback

data from stakeholders and alumni

Quality Indicator 42 The reasons for dropout are acceptable and the dropout
rate of the programme is well within the expected limits.

Operational Definition The students who drop out of the programme do so due
to reasons other than dissatisfaction with the staff,
facilities or quality of inputs provided in the programme.
Also, very few students drop out after taking admission or
migrate to other institutions of teacher education.

Importance of the QI Students do have an idea of a quality institution and

competent staff. Unless they have compelling personal
reasons, students do not drop out or migrate from a quality
programme. Incidence of drop out and the reasons for it can
indicate the quality of a teacher education programme

63
 Sources of Evidence Records of admissions and examinations

Quality Indicator 43 Institution shows concern for students’ progression

to higher studies and to a teaching career as well as
their retention in it.

Operational Definition The institution has a placement service and provides

placement related inputs and guidance for students. It is
ensured that the students are placed within the least
possible time of completion of study and there exists a
record of placements facilitated by the institution.

Importance of the QI A quality programme leads to a quality product. If the

students do not have to wait for long and if the schools
come forward to conduct campus interviews and show
interest in appointing the products even at a high pay and
wages, the programme can be considered as of high
quality.

Sources of Evidence Annual report, Present and past students

Quality Aspect (16) Feedback Mechanism

Quality Indicator 44 Institution values feedback and is responsive to

feedback not only from within but also from schools
and other external stakeholders.

Operational Definition There is no gap between performance and feedback and

the feedback provided is comprehensive.

64
 Importance of the QI Feedback is essential for finding out the strengths and
identifying the areas where growth is possible. If
feedback is given immediately after performance, the
trainee shows an interest to improve and time would be
available for doing so.
Sources of Evidence Staff, Students, Alumni, Practicing Schools, Employers

Quality Indicator 45 The institution has a comprehensive feedback system

in place through which relevant data/information is
collected and collated.

Operational Definition Feedback given is based on data obtained from more than
one source and the information obtained from different
sources is collated for arriving at a comprehensive
feedback.

Importance of the QI The feedback data are both quantitative and qualitative
by nature and they may be obtained from different
sources. If feedback is provided based on a single source
from where the data is obtained, it may not lead to
changes in all aspects. Hence, there is a need to collect
data from multiple sources and they need to be collated
for arriving at valid observations and suggestions for
change.

Sources of Evidence Staff, Records

Quality Indicator 46 There are evidences to show that feedback is used

for development.

Operational Definition Feedback is not treated as a mere requirement of

the programme. Both staff and students view that
they are

65
 necessary for improvement and they are used for
specific

improvements leading to professional development.

Importance of the QI Writing feedback reports for trainees to improve their
performance is an essential aspect of teacher
education programme. Teacher educators should spend
time and effort on developing feedback reports for
trainees and should follow them up with specific
inquiries and inputs for development.

Sources of Evidence Staff, Students, Alumni, Practicing Schools, Employers

Quality Aspect (17) Diagnosis and Remedial Programme

Quality Indicator 47 The concern for the development of students is

reflected in the student monitoring system, which is in
place.

Operational Definition The staff perceives monitoring as an essential aspect of

the programme and the institution has evolved and
implemented a student monitoring system.

Importance of the QI Monitoring provides information about the extent to which

the stated objectives of the programme are achieved. It
helps the staff to implement corrections by designing
additional inputs for those students who have not
benefited from the general inputs provided in the
course. The institution must have a mechanism for
collecting and utilizing the data.

Sources of Evidence Staff, Monitoring records

66
 Quality Indicator 48 Progress in implementation of the programme and
extent of achievement of students are monitored,
discussed and weaknesses identified for remediation.

Operational Definition The monitoring system is used by the staff for identification
of objectives not achieved satisfactorily, the findings are
discussed in a forum created for the purpose, and
decisions are taken about remedial inputs needed.

Importance of the QI The inputs of a programme may not be suitable for

certain students since they are implemented in a group
context. There is a need to identify the reasons for poor
attainment. Having identified the hard spots, remedial
measures are to be planned and implemented. Institution
must have a procedure laid down for planning and
implementing remedial inputs.

Sources of Evidence Staff, Minutes of meetings and records

Quality Indicator 49 Institution plans and provides additional value added

courses in relevant areas of specialization and remedial
programmes as per the requirements of the students.

Operational Definition Specially designed inputs are provided to the needy

students with learning difficulties in areas of poor
attainment. Provision also is made for bridge and
specialized courses relevant to the programme and
professional aspects.

Importance of the QI Remediation is a student support service that is based on

the view that all students may not learn equally well from a
general input provided in a group context. It should be a
planned intervention rather than a sporadic activity of a
few staff members. According to the specific needs and
interests of the diverse student population enrolled with
the institution special provision is made for bridge courses
and others in specialized areas of relevance.

67
 Sources of Evidence Academic Calendar, Staff, Students

Quality Aspect (18) Guidance and Counselling Service

Quality Indicator 50 Institution has a well structured, organized,

proactive guidance and counselling unit which is
accessible to all students.

Operational Definition The institution has guidance and counselling unit, which is
one among the student support services provided by the
institute. Students do not hesitate to use the guidance
and counselling service; they find the staff accessible
and compassionate to their needs; and opine that the
service is comprehensive in its coverage of student needs.

Importance of the QI The reason for which a student teacher seeks guidance
is different from that of the other. If some require it to
solve their educational attainment related problems, there
would be others who need it for personal growth. There
exists no hierarchy among needs and each need is as
important as the other. All students must get help from
the guidance and counselling facility of the institution.

Sources of Evidence Staff, Students

Quality Indicator 51 The institution has qualified staff and faculty for
providing guidance and counselling services.

68
Operational Definition The institution recognizes that guidance and counselling
are a specialized service and so provides on its roll
persons who are qualified and suitable for undertaking
guidance and counseling.

Importance of the QI The teacher educators are not trained to undertake

guidance and counselling activities and hence are not
competent to implement such a service. It requires
qualified staff that can plan and implement guidance
activities and provide individualized counselling to the needy
students.

Sources of Evidence Staff profiles, Records of Guidance and Counselling

services
Quality Indicator 52 The guidance and counselling unit provides for
activities contributing to a holistic development of the
students.

Operational Definition Students find the activities of the unit useful and
appropriate to their developmental needs. The activities of
the unit takes into account the students’ educational,
socio-personal and vocational needs comprehensively.

Importance of the QI Guidance and counselling service is essential for

educational, socio-personal and vocational development
of the student teachers. It recognizes the fact that
students do have various interests and difficulties that
need to be addressed in totality engaging them in various
activities. The participation in these will result in positive
attitudinal development.

Sources of Evidence Past and present students

Quality Aspect (19) Admission Procedure

69
 Quality Indicator 53 The institution has an admission policy, which is

appropriate, clear, inclusive and widely publicized.

Operational Definition The admission notification of the programme is appropriately timed

and given wide publicity so that, it reaches all aspirants and
students seeking admission have an access to current information
on the programme and related procedures; entry requirements are
clear and are in tune with the beneficiaries and the feeder system.

For the intake quality to be of high standard and for ensuring

transparency and fairness it is necessary for an institution to adhere
Importance of the QI
to the defined admission criteria and to make the details of the
admission processes known to all concerned, through publications,
brochures, advertisements and other student and stakeholder related
material. The entry requirements in terms of qualification, age,
experience, etc. are essential to ensure effective achievement of
the expected terminal behaviours, as indicated in the aims and
objectives of the curriculum.

Sources of Evidence Admission notification and related correspondence

Quality Indicator 54 Institution adheres to the defined admission criteria and the
admission procedures ensuring a fair and transparent admission
processes.

Operational Definition The process followed for admission is transparent and has scope
for reprisal if any. The notification provides sufficient details about the
programme that a student may require before seeking admission. For
those who need additional information, institution has mechanism to
provide the same and within reasonable time.

70
 Importance of the QI Students have various choices before they decide to seek admission
to a teacher education programme. They need some amount of
information. All necessary information must form a part of the admission
notification. Further, those who approach for additional information must
get the same either in person or through other means.

Sources of Evidence Admission notification, Students

Quality Aspect (20) Social, Cultural and Leisure Activities

Quality Indicator 55 The institution has infrastructure and facilities for social, cultural and
leisure activities for the students.

Operational Definition The institutional infrastructure includes those necessary for engaging
students in social, cultural and leisure activities.

Importance of the QI One of the roles of a teacher is to plan and organize social, cultural and
leisure activities for students in the school. Planning and participation in such
activities provides the student teachers with opportunities for knowing how
to organize them in a school apart from achieving self-development.

Sources of Evidence Institutional infrastructure

Quality Indicator 56 The institution promotes active participation of the students in

social, cultural and leisure activities.

Operational Definition The annual calendar of the programme includes social and cultural
activities, student groups and clubs are constituted for Pursuing special
interests and hobbies, and students have time available to participate in
these activities.

71
Importance of the QI An effective teacher is not only competent in content
and pedagogy, but also a promoter of social and
cultural and vocational development of students. A
programme that prepares such a teacher should ensure
that appropriate social, cultural and leisure activities are a
part of the academic calendar and that students participate
and contribute to them regularly.

Sources of Evidence Students, Annual report, Records of activities of various

clubs, associations and the like

KEY AREA VI ORGANIZATION AND MANAGEMENT

Quality Aspect (21) Internal Coordination and Management

Quality Indicator 57 The institution clearly defines the roles and functions
of staff involved and they collectively identify
activities as well as evolve modalities for
implementation.

Operational Definition The institution develops an activity chart at the

beginning of the year and assigns them to different
staff. There exists no role confusion in the assigned
functions, as they are assigned according to the
competency and the staff agreeing to undertake them.

72
 Importance of the QI When several activities have to take place, it is
necessary to have a clarity regarding who will do what
and how it will be done. If activity areas match with the
competency and interest of staff then the activities would
be planned and implemented earnestly. Hence there is a
need to decide the activities, the staff to organize them
and financial provisions.

Sources of Evidence Organisation chart, Staff activity /work distribution

records,

Staff, Management, Principal

Quality Indicator 58 Functional mechanisms are evolved for ensuring
optimization of efficient use of available resources
and regular monitoring of the activities at different
levels.

Operational Definition Meetings for stock taking, discussion and decision-making

are held between the concerned staff and the student
groups; the staff team; and the staff and management to
plan, review and report the activities.

Importance of the QI Functional mechanisms in place help effective monitoring

of activities at different stages and mid-term corrections
made, if necessary. Hence, regular monitoring is an
indicator of quality implementation of an activity.

Sources of Evidence Administrative Heads, Minutes of meetings and circulars

Quality Indicator 59 The institution analyses the information obtained

on monitoring and the outcomes are communicated
to the concerned leading to corrective measures for
improving the effectiveness of activities.

Operational Definition The observations and decisions of monitoring meeting

are recorded and circulated to the concerned for follow-up
action.

Monitoring is a tool for corrective action. Corrective action

is possible if the information of monitoring is available
Importance of the QI
for subsequent action.

Sources of Evidence Institutional Records, Circulars, Staff, Stakeholders

73
 Quality Indicator 60 The institutional leadership adopts
professional
management approach.
Operational Definition The students and staff perceive those at different
positions of administration as competent. Persons in
position exhibit professionalism in their work.

Importance of the QI Leadership cannot be thrust upon. Those who have to

follow a leader must accept and agree on the capabilities
of the person to lead. Contentions create confusion. The
leader on his part must know how to lead. For a
programme that is implemented at different levels, to be
successful it should have a sound administrative system
that would facilitate interconnectedness and cooperation of
various units of the institution and also of the associated
external organizations.

Sources of Evidence Organisational chart, Institutional Management records,

Staff profile, Feedback records, Staff

Quality Indicator 61 Gender sensitivity is reflected in the various aspects

of institutional functioning.

Operational Definition The institutional rules, policies, provisions, and facilities

show a concern for gender issues and incorporate gender
sensitivity.

Importance of the QI Traditionally, the rules, policies, provisions and facilities

have favoured only one gender group. An institution which
respects equality does not discriminate men and
women. A quality institution is progressive and hence
must exhibit gender sensitivity in all aspects of
management.

Sources of Evidence Administrative and academic staff, Students

74
 Quality Aspect (22) Academic Calendar

Quality Indicator The institution prepares an academic calendar

reflecting all the activities of the programme, every
year on the basis of deliberations.

Operational Definition There exists an agreement between the annual

academic calendar and the annual report as far as the
activities planned and organized are concerned.

Importance of the QI Unplanned, incidental and sporadic activities and inputs

may not have a synergy with those planned in a
programme. The effect of the activities is enhanced in
a program if they are planned well in advance.

Sources of Evidence Academic calendar, Annual report

Quality Indicator The activities contained in the academic calendar are

for optimizing effective and coordinated use of
available resources.

Operational Definition The activities in the academic calendar match with the
vision and objectives of the programme and are perceived
to contribute to the educational achievement of students.

Importance of the QI The academic calendar is a manifestation of the vision

and objectives of the programme and hence it must reflect
student achievement and growth as its core concern.

Sources of Evidence Prospectus, Annual report

75
 Quality Aspect (23) Faculty Recruitment

Quality Indicator The faculty recruitment is made by the institution

in accordance with laid down procedure that
attracts competent and qualified persons.

Operational Definition The recruitment notification stipulates the essential and

desirable qualifications clearly and they are in line with the
requirements of the programme and adhere to the laid
down norms for recruitment. There exists a consistency
across notifications made for the same position.

Importance of the QI Quality of a programme depends on the quality of the

staff that implements it. Adhering to the norms for
recruitment shows a concern for quality. Such a concern
is reflected in the notification issued for recruitment.

Sources of Evidence Recruitment notification, Staff profiles

Quality Indicator The institution follows a selection procedure that is

clear and transparent and also adheres to the
stipulated requirements of the applicable regulatory
body.

Operational Definition A committee of experts makes selection and every

candidate is given a fair chance to present one’s
credentials. The committee records the proceedings of
the selection procedure and reasons for selection and
rejection.

Importance of the QI Eligible and competent candidates seek appointment in

an institution in which merit and competency are the
criteria for selection. Hence, the selection procedure
should be clear and transparent. Decisions made by a
group of experts would ascertain fairness and
transparency in recruitment.

76
 Sources of Evidence Records pertaining to selection and appointment of
staff,

Quality Indicator The recruited staff has a pay and reward system that
is at par with that of other institutions and norms.

Operational Definition The pay and wages offered are the same as those
stated in the recruitment notification. It compares
favourably with that of other institutions and adheres to the
existing norms.

Importance of the QI The motivation and commitment of the staff is affected

if what is stated as wages and incentives are not the
one that is provided. Qualified and competent staff is
likely to migrate to other institutions and cause a staff
competency and experience erosion in the programme.

Sources of Evidence Pay and reward statements, Staff

Quality Aspect (24) Financial Governance

Quality Indicator The institution has adequate financial resources to run

the programme without any financial constraints.

Operational Definition The institution has adequate financial resources and there
are no incidents of over drafts, under payment and
delayed payment.

Importance of the QI Financial stability ensures that no planned activity is

withheld or cancelled due to want of funds. The staff
feels secure and shows no hesitations or uncertainty about
institutional activities.

Sources of Evidence Financial statements and documents

77
 Quality Indicator The fee structure for the programme is transparent
with least unexpected add-on expenditure to be
incurred by the students.

Operational Definition The institution has a stated fee structure that is known to
all. There are no incidents of collecting additional fees
from the students.

Importance of the QI The fee structure is based on an estimate of all

expenditures on the programme. Uncertainty about the fee
structure indicates an uncertainty about the items of
expenditure. Transparency in financial transactions is
necessary for financial accountability. The management
should not view a programme as a means to amass
wealth.

Sources of Evidence Fee structure, Statement of receipts, Students

Quality Indicator 69 The sources of income for the programme in particular

and the institution in general are legitimate and known.

Operational Definition The institution does not raise funds from any agency or
source that has no legitimate interest in quality teacher
education. All sources of income are recorded and known.

Importance of the QI A teacher education programme should not be viewed

as a means for collecting funds from a source or agency
that is not legitimately concerned with teacher education.
The income for a programme, hence, should come from a
legitimate source and be known.

Sources of Evidence Income and Expenditure statement and related documents

78
 Quality Indicator 70 There exists a transparency in financial management
of the institution in terms of income and expenditure.

Operational Definition The funds for the programme are not transferred to meet
the expenditures other than those connected with the
programme. The expenditure is budgeted under heads of
expenditure and should be adhered to, the accounts of
the programme are maintained on a day-to-day basis and
all transactions are made through banking instruments.

Importance of the QI Regulation of funds for a programme should be based on

clearly laid down procedures of financial management. At
any time in implementation, the institution should be in a
position to know its fund position. Since the institution has
an annual academic calendar, all items of expenditure
should be known and budgeted. The overheads in
expenditure need to be within acceptable
Limits.

Sources of Evidence Financial records and registers, Bank Statements,

Management

Quality Indicator 71 The income and expenditure of the institution

are subjected to regular internal and external audit.

Operational Definition The institution prepares financial statements every year

and they are contained in the annual report of the
institution. Qualified auditors audit all accounts of the
programme and the observations made are discussed and
steps taken to improve financial management.

Importance of the QI A quality teacher education does not either commercialize

the programme or follow an unsystematic and unplanned
financial transaction. Transparency in transactions
creates a credible.

79
Sources of Evidence Audit reports and documents

Quality Aspect (25) Academic Quality and Management

Quality Indicator 72 The institution has mechanisms to undertake

internal academic audit of the programme.

Operational Definition The institution has a mechanism for academic auditing

that is known to the staff. Academic auditing is
undertaken as per plans and the outcomes recorded
and communicated to all concerned.

Importance of the QI Academic auditing is an essential process for

generating feedback on the academic standard of the
programme. It can act as the basis for identifying and
implementing initiatives for improvement of academic
quality.

Sources of Evidence Internal audit reports, Registers, Documents

Quality Indicator 73 In the management of the programme the

institution adopts a participatory approach
involving all the employees.

Operational Definition The institution believes in participatory management

approach. There is no separation between the
instructional and management staff and they share the
responsibility and they have functional freedom to
undertake them.

80
 Importance of the QI A quality teacher education programme is owned by the
staff and is designed implemented and managed by the
staff. Such a programme does not have a divide
between those implementing and those managing the
programme.

Sources of Evidence Work allocation chart, Staff

Quality Indicator 74 The institution uses a management information

system for running the programme.

Operational Definition The institution has evolved a management information

system that is up-to-date and is used by the
administration in management of the programme.

An effective management is possible if the information

base for taking managerial decisions is accurate and is
Importance of the QI
easily available. A management information system is that
mechanism whereby an institution classifies collates
and records information about various aspects of a
programme.

Sources of Evidence The Management Information System (MIS), Records

Quality Indicator 75 Mechanisms are evolved for regular

performance appraisal of the faculty members by
the peers and the head of the institution.

Operational Definition The institution has a system of self-appraisal by the

staff members and is undertaken at the end of each
academic year. The appraisal is recorded on a format and is
maintained by the institution. A separate assessment is
made by the superiors and tallied with the self-appraisal.

81
Importance of the QI Any effort at improvement is based on the assessment of
aspects in which improvement is possible. A self-appraisal by the staff is an
expression of concern and commitment for improvement in performance. Appraisal
can also indicate the extent of clarity in the staff regarding the functions to be
performed by them.

Sources of Evidence Staff appraisal reports, Staff

3.2 The National Accreditation Board for Education and Training

(NABET)

Quality Council of India (QCI) has been established as an autonomous non-profit

organization to establish the National Accreditation Structure, jointly by the Government
of India and the Indian Industry represented by the three premier industry associations,
Associated Chambers of Commerce and Industry of India (ASSOCHAM), Confederation of
Indian Industry (CII) and Federation of Indian Chambers of Commerce and Industry
(FICCI). National Accreditation Board for Education and Training (NABET), one of the
constituent Boards of QCI, offers accreditation to the Training Courses/Course Providers
in various areas including Quality Management Systems, Environment Management
Systems, Occupational Health and Safety Auditors etc. NABET is also accrediting schools
and vocational training courses. NABET is a member of International Personnel
Certification Association (IPC), an international association of similar national bodies
worldwide. NABET operates a scheme for accreditation of competent Training
Organizations who provide training courses in various areas. Any Training Organization
(Institution- government, public sector or private organizations) who intends to get their
organization/ institution accredited can apply to National Accreditation Board for
Education and Training (NABET) for conducting various courses being accredited by
NABET. Institution/ organization/ Training Course provider applying for its course
accreditation shall herein be referred to as applicant. The criteria have been developed
to make all prospective applicants to know the minimum requirements that they must
establish and operate before seeking accreditation with NABET. NABET has developed
the criteria for accreditation of Training Organization (Institution) with the aim to ensure
that Training Organization (Institution) adhere to basic norms for quality delivery of
domain specific education/ training. Any applicant seeking accreditation with NABET
under institution/ organization accreditation scheme can align its operations to the
norms laid down herein after and create the necessary facilities to eligible for
accreditation.
Criteria lays emphasis on following dimensions ;

a) Top Management Commitment and Effective Institution Management

b) Infrastructure and Support Facilities

c) Design, Development and Delivery of education.

d) Performance evaluation and improvement

Functions
5. Training course administration The applicant seeking accreditation shall
maintain a quality management system based on ISO 9001: 2008 standard.

82
 Applicant should institutionalize a mechanism for operating, monitoring,
measuring, analyzing and improving the various processes for effective delivery
of courses offered by them.
6. Assessment of organization/ institution providing the course initial
assessment Documentation assessment of Training Organization NABET shall
evaluate the documented system of training organization including Quality
Manual. After the evaluation, NABET will inform the applicant of the non-
conformities and/or observations if any. The applicant shall be required to close
all observations and nonconformities before the next stage of assessment. Onsite
Assessment of the course - Following review and acceptance of the
documentation procedures, NABET shall undertake at least one full assessment of
the presentation of the course. NABET shall evaluate all aspects of the course and
all activities of the Faculty members/ Resource persons for conformance to the
applicable NABET criteria and applicant procedures, and evaluation of students for
effective delivery of the course.
7. Course Accreditation The NABET Accreditation Committee takes the decision on
NABET Accreditation for the course depending on the Course Assessment Report.
8. NABET may conduct surprise surveillance of the course offerings.
9. RENEWAL OF ACCREDITATION 3.7.1 Any Accreditation granted automatically
expires at the end of the period of its validity. A renewal notice will be issued for
the recognized course to applicant by NABET before expiry of validity. However
the responsibility for applying for renewal in time shall be that of the Training
Course Provider.
10.SUSPENSION OR CANCELLATION OF ACCREDITATION NABET may suspend or
cancel the accreditation of the course/programme and simultaneous approval of
the Training organization because of any of the following but not be limited to
i. non-compliance or violation of the NABET requirements
ii. providing insufficient or incorrect information to NABET
iii. improper use of NABET certification/ accreditation Mark
iv. changes in the Certificates format without NABET approval
v. changes in the course material without NABET approval
vi. failure to report any major changes in the course to NABET
vii. any other condition deemed appropriate by NABET
viii. non -payment of fees.
ix. At your request

http://www.qcin.org/documents/TrainingOrganization/Training_Organization_criteria.pdf

83
 MODULE 3
Chapter 1 Strategic Planning For Total Quality
Management (TQM)

1.0 Objectives

Student teachers will be able to:

• Explain the concept of TQM
• Explain strategic plan models
• Prepare strategic plan for institution

1.1 Strategic Planning: Meaning & Need

“If you don’t know where you are going, you will end up somewhere else”
-Raynor, 2004

Consequently, it is generally thought that strategic planning concerns the long-term

planning, which focuses on 4 the general orientation of the organisation and the
designation of the long-term goals, taking into account the environment and the
conditions in which the organisation operates

1.2 Meaning & Need

Strategic planning is an organization's process of defining its strategy, or direction, and

making decisions on allocating its resources to pursue this strategy. It may also extend to
control mechanisms for guiding the implementation of the strategy. Strategic planning
became prominent in corporations during the 1960s and remains an important aspect
of strategic management.

Strategy has many definitions, but generally involves setting goals, determining actions
to achieve the goals, and mobilizing resources to execute the actions. A strategy
describes how the ends (goals) will be achieved by the means (resources). The senior
leadership of an organization is generally tasked with determining strategy. Strategy can
be planned (intended) or can be observed as a pattern of activity (emergent) as the
organization adapts to its environment or competes.
Strategy includes processes of formulation and implementation; strategic planning helps
coordinate both.
A strategic plan is an important tool to guide the work of any organisation. It will help
maintain a focused, long term vision of the organisation’s mission and purpose, and aid
decisions about the allocation of human and financial resources.

1.3 Ten Steps to Strategic Planning

Strategic change takes planning. There are multiple ways to plan for strategic
change.
I Identify the Purpose - Strategic planning should be done when

84
1. An organization is getting started
2. In preparation for a new major venture

3. Competition is rising
4. Preparing for the future.

II Establish a vision Statement -A vision statement is the inspiration and the

framework for all of your strategic planning

III Select goals - General statements about what you need to accomplish to meet
your purpose, or mission, and address major issues facing the organization.

IV Identify approaches or strategies - Strategies often change the most. Closely

examine the external and internal environments of an organization.

- V Identify action plans to implement each strategy - Specific activities or

objectives that each department must undertake. Objectives should be clearly
worded & Top management usually develops committees that each have a
work plan.

IX Compile the mission, vision, strategies and action plans into a strategic plan
document - The strategic plan document is the final decisions applied to a
document. The upper management or leader is to finalize and approve the
document.
X Monitor implementation of the Plan and update the Plan as Needed - Monitor
that goals are being met. Success is measured by customer feedback.
Strategic planning is a disciplined process for making key decisions and agreeing on
actions that will shape and guide what an organization is, what it does, and
why it does it. Planning is an important aspect of strategic thinking and
management. By working on a strategic plan together a team can:
• Think creatively about the focus and direction of the organisation’s work.
• Strengthen team approaches by defining together a clear focus and direction.
• Develop plans collaboratively with partner organisations, beneficiaries and other
organisations.
• Provide a framework against which to monitor progress, learn from experience and
make the changes necessary to improve effectiveness and impact.
• Enable decisions to be made about the best use of the human and financial resources
available. Strategic planning can be done in different ways, and many books
and manuals have been written describing various approaches.

1.4 Need of Strategic Planning

1) To set direction and priorities:

It sets the direction and establishes priorities of an organization. It defines an
organization’s view of success and prioritizes the activities that will make this view the
organizations reality. The strategy will help people know what they should be working
on, and what they should be working on first.
2) To get everyone on the same page:

85
If people in the organizations of different departments work to achieve different aims, or
going in different directions, then the organization needs a strategy.

Once strategic direction is defined, operations, sales, marketing, administration,

manufacturing, and all other departments move together to achieve the organization’s
goals.
3) To simplify decision-making:

If the leadership team has trouble saying no to new ideas or potential initiatives, a
strategy is needed. This strategy will have already prioritized the activities necessary for
success. Priorities will make it easier to say no to distracting initiatives.
4) To drive alignment:

Many organizations have hard-working people putting their best efforts into areas that
have little to no effect on strategic success. They’re essentially majoring in the minors—
because their activities aren’t aligned with the priorities. The strategy serves as the
vehicle for answering the question, “How can we better align all our resources to
maximize our strategic success?”
5) To communicate the message:

Many leaders walk around with a virtual strategy locked in their heads—they know where
their organization needs to be and the key activities that will get it there. Unfortunately,
the strategy isn’t down on paper and hasn’t been communicated thoroughly. As a result,
few people are acting on it.
When the staff, suppliers, and even customers know where they are going, this allows
even greater opportunities for people to help maximize their success in getting there.
Once the need to plan is recognized, it plays the role of becoming the catalyst: for
facilitating the buy-in and commitment of the leadership team and the rest of the
organization.

Exercise

• How you will implement ten steps of strstegic planning in your

education institution?

86
 Chapter 2 Strategic Plan Models

2.1 Introduction

Murgatroyd and Morgan (1993) proposed an interesting framework within which

planning parameters can be fitted. They built four generic models based on two
parameters- access, and basic and service-by dichotomizing both ‘access’ and service
into open and niche access, and basic and enhanced services respectively. Open access
institutions are such institutions where anyone can walk in and take admission if he or
she fulfils necessary qualifications. There is no restriction on the basis of merit, caste,
creed, religion, gender, language, economic class, etc.

Niche access institutions are those where entry of students is controlled on predefined
criteria. Whereas average government and government-aided schools are open access
institutions , fee-charging private schools girl’s schools, and denominational schools are
niche assess institutions. schools. schools that offer usual courses along with usual co-
curricular activities can be classified as broad or basic service institutions; schools that
specialize, say in sports or creative arts or science education, can be categorized as
enhanced service institutions since they also provide basic services.

2.2 Basic – open

Most Indian schools and belong to this category since they, under rules, allow admission
to all irrespective of caste, creed, religions, gender, etc. At the secondary education
level, almost 130,000 schools and over 14,000 belong to the basic-open category. Any
strategic plan model for this category will ,hence, be applicable to most Indian
institutions. Although admission remains open, the strategic planning for TQM would
emphasize quality improvement of basic services. Basic services can be curricular and
co-curricular for the students; and satisfaction and recognition for the teachers and other
staff. Based on the institutional assessment, preferably organizational diagnosis and
SWOT analysis, a school may choose one or more areas for development.
For example,an average performing school decides to ensure that all students enrolled in
school decides to ensure that all students enrolled in school will pass the Class 10 final
examination. The strategic plan will demand focus on the identified issue and on
developing strategies to achieve the same.

2.3 Enhanced – open

In this model too, admission is open to all. The institution may decide to focus on one
area or the other; academics, sports and games, cultural activities, NSS, Scouts and
Guides, or Junior Red Cross. Within academic areas, a school may decide to excel in
science .

for example, Medhyamgram High School of West Bengal is an average institution with
open entry. It has lifted the Subroto Cup in the National Inter-school Soccer
Championship several times. This has been possible because of its major emphasis on
soccer. Thus, soccer or games is the enhanced service in the school. Thaker’s High
School in Ahmedabad, an otherwise average institution, has bagged several state,
national,and international awards in science club activities (Mukhopadhyay, 1981). The

87
enhanced service area in this school is thus science education.in all such institutions,
there is special emphasis on certain activities in which the school excels. That it excels in
it year after indicates planned effort through which they reach the top, and stay there.

2.4 Basic-niche

Niche institutions are the ones where admission is restricted on one or the other criteria.
There are not many such schools. This category features more higher and professional
education institutions.for example,the Indian Institutes of Technology (IITs), the Indian
Institutesof Management (IIMs), and other prestigious technical and management
institutions provide admission only on merit. The District Institutes of Education and
Training (DIETs) in many states also admit candidates on merit alone. The instirutions
that provide selective admission but offer basic services belong to this category. English
medium privateschools, Kendriya Vidyalyayas, Navodaya Vidyalayas,Ashram
Schools,Sainik Schools, and Central Tibetan Schools Belong tohte basic-niche category.
They may expand and diversify basic services.

For example,Mother’s International Schools of AurobindoAshram,New Delhi, admits

childern on merit, offers the usual curricular programme prescribed by the
CentralBoard of Secondary Education, and offers a wide arange ofco-curricaular
activities under the guidance of qualified and competent trainers.within the basic
services, it several diversifications like as many as 24 different trades in Socially
Useful Productive Work (SUPW) orpre-vocationaleducation. For the development of
leadership qualities and social sensitivity, the students work with the neighbouring
community,raise funds for social causes like care of the old,disabled, and so on. Over
the years, the school has built a srong tradition of quality in sports and games too. In
this case, ther is an overall upradation of quality in all its departments.the school is
strategically wel placed. Since the admission is on merit, is a quality control in the
student input. Because of the rules that govern the teacher recruitment and their
service conditions, the minimum qualification of teachers is fixed. The school
management fully exploitsits academic and social reputation to atteract talented
teachers.

2.5 Ennhanced – niche

The niche character is common with Strategy III. The difference is the emphasis on
enhanced service. Hoever, there are major varitions in the character of ‘niche’
institutions. For example, a girls’ or a boys’ school is a niche institutuin since it is a
single-sex institution. But between the two single-sex institutions, say two grils’ schools,
one offering open admission (e.g., Udang Grils’ High School, a usyal government-aided
institution) and another on merit basis (e.g., Jesus and Marv’s Convent, an English
medium private admission on merit use more than one ‘niche’ criteria and have already
achieved quality basic services and are now ready for enhanced services,whereas
schools with open admission truggle to provide the minimum basic.A school with
selective admission can focus on one or another area of school activity.

For example, a fee charging private institution with quality basic services decided to
enrich its students in information technology. It has mobilized resources from parents
and the community with target of providing one computer to each child. Similarly, a

88
girls’ school is a niche school as it offers admission togirls’ only, otherwise admision is
not selective. While it provides basic at average leabel, it excels in sports. Over the
years, it has developed a tradition of exellence in sports and games for girls.

2.6 KAUFMAN’S 4 STAGE MODEL OF STRATEGIC PLANNING

Kaufman, 1988); a systems framework of four major clusters of 13 steps (Kaufman and
Herman, 1991); and finally an improved systems framework model consisting of three
major clusters and 12 steps, as follows:

A. Scoping
1. Ideal vision

2. Identify and select needs

3. Define current mission

4. Derive mission objective

Strategic planning in Kaufman model starts with the scoping phase. The first step under
this phase is the identification of the preferred ideal vision in the mega, macro, and
micro perspectives. Corollary with this activity is the next step of identifying and
selecting needs. This step calls for the identification of values and beliefs
and data gathering on the internal organization and external environment. These are
inputted in the continuous improvement of formulating the ideal vision. From the data,
critical success factors are also determined to guide educational partners in the planning
and thinking processes of the strategic planning phase. The framed ideal vision dictates
the elements of the mission of the organization which commits to deliver and contributes
to that vision. A mission is a general description of purpose. It is motivational,
inspirational, and directional. Once the mission is framed, comes the formulation of
objectives. Formulated objectives should be based on the mission and the mission on the
vision. The objectives state both where the organization is headed and the precise
criteria for determining accomplishments TQM can target at mega (societal concern and
linkage), macro (institutional), and micro (department/team/individual) levels. The first
stage of strategic planning is to define the scope of TQM in the institution. Experiments
with TQM in classroom transaction or in staff selection are instances of micro scoping
dealing with one component of schooling. All efforts of holistic organizational
development are cases of macro scoping Wherever a school or a college goes beyond its
boundaries to include social action to transform a community, it demonstratesthe of
mega scoping (see case on Udang High School in ukhopadhyay, 2004).

B. Planning
5. Identify SWOT
6. Derive long and short-term mission
7. Derive strategic plan

The first step under the planning phase is the conduct of SWOT analysis. Based upon the
ideal vision, mission, objectives and needs assessment, the analysis of identified
strengths, weaknesses, threats, and opportunities becomes the organizational barometer
stipulating which organizational and environmental factors enhance or impede the

89
attainment of specific objectives. Based on this information, long- and short-term
missions (targets) are derived and the strategic plan developed through the conduct of
function and system analyses. The results of these analyses are in the form of products
designed to attain the objectives. Scoping and planning phases fall under the domain of
strategic planning. Once the strategic plans are completed, these are turned over to the
tactical planners
Planning constitutes five important activities.
• The first and foremost is the identification of matches and mismatches. There are
areas and activities that can complement (matches) one another. Others can
contradict (mismatches) one another. It is important to identify them and make
deli berate efforts to reconcile the differences.
• Reconciliation is the second stage of planning.
• The third stage is developing collectively the short and long-term missions to
guide actions.
• The fourth stage is carrying out a SWOT analysis to identify strengths,
weaknesses, opportunities, and threats. On the basis of the SWOT analysis and
mission statement (both short-and long –term), the strategic move is to decide
institutional policies and for decision-making. The focus is on rules and practices
in decision-making rather than on decisions per se; this is important in all
participative management processes.
• The final stage is developing strategic action plans that will translate the missions
into reality.

C. Implementation and Continuous Improvement

8. Derive tactical and operational plans

9. Make/buy/obtain resources

10. Implement
11. Continuous improvement/formative evaluation

12. Determine effectiveness and efficiency

Revise/improve as required

The initial step under tactical planning is the formulation of tactical and operational plans
through the operation of a method-means analysis. The analysis identifies the possible
ways and means for doing and undertaking the products, tasks or outputs. Once the
products and the different means for doing them are completed, funds and resources are
allocated. Tasks and products are then implemented. The ascertainment of successful
plan implementation requires developing of structures within the organization, installing
a management information system (MIS), and a monitoring system. After a short period
of time, formative evaluation is undertaken to determine whether or not outputs
approximated the stated objectives and mission. The conduct of summative evaluation
determines the levels of efficiency and effectiveness of the outputs maturing into
outcomes. Outputs and outcomes serve as inputs to revise if not improve the strategic
and tactical planning process.

90
 Vision # 1

External External Critical

Beliefs and Scanning Scanning Success
Factors
Values

Vision # 2 S
M W
i Needs Assessment O
s T
s
i
o Strategic Goals
A
n n
a
l
Strategic Objectives y
s
i

Decision Rules
Priority
Achievable
Selection
Affordable

Develop Action Plans

- Brainstorming

- Force Field Analysis

Allocate Resources
and Operate Plans

91
 MICRO

Ideal

Visio

Identify and Define

Select Needs Current
Mission

Derive Mission
Objective

Identify SWOT

Derive Long
and Short-
Term Missions

Derive
StrategicPlans

Derive
Tactical and
Operational

Make/But/Ob
Revise/Impro
tain
ve

Continuous
Improve-ment
Implement
Formative

Determine

Effectiveness/

92
Strategic planning process

Stages Questions

Mission and vision • What is our purpose?

• What are our vision, mission, and
values?

Customer or learner requirements • Who are our customers?

• What do our customers expect of

us?

• What do we need to be good at to

meet customer expectations?

• What do our learners require from

our institution?

• What methods do we use to identify

learner/customer needs?

Routes to success • What are our strengths,

weaknesses, opportunities, and
threats?
• What factors are critical to our
success?
• How are we going to achieve
success?

Quality performance • What standards are we going to set?

• How are we going to deliver quality?

• What will quality cost us?

Investing in people • How should we make the best use

of our staff?

• Are we investing sufficiently in staff

and staff and staff development?

Evaluating process • Do we have processes in place to

deal with things that go wrong?

• How will we know if we have been

successful?

93
Exercise

• Explain murgatroyd & morgan’s four generic models { basic- open,

enhanced-open, basic-niche. enhanced-niche)
• Explain kaufman’s 4 stage model of strategic planning

94
Chapter 3 SWOC Analysis of an Educational Institution

3.1 Introduction

SWOC (Strengths, Weaknesses, Opportunities and Challenges) Analysis

A SWOC analysis is a strategic planning tool that can be used during the assessment and
review process to make informed decisions based upon collective input from multiple
stakeholders. Within the context of institutional development, a SWOC analysis can be
used as a powerful framework to discuss and clearly identify the strengths, weaknesses,
opportunities and challenges related to an existing degree program or major. The
objective of conducting a SWOC analysis is to develop key areas of focus for improving
the organization. The SWOC analysis is particularly effective when conducted in
collaborative group settings at the early stages of the assessment process.

3.2 Purpose of SWOC Analysis

• To help identify the key opportunities and constraints for the organization’s work in the
external context of the programme.
• To help identify the internal strengths and weaknesses of the organization, which will
dictate its capacity to respond effectively to the opportunities and constraints.
• To help prepare for the identification of strategic aims by drawing out tensions
between organizational capacity and the needs that the organization is trying to address.
There are many methods for conducting a SWOC analysis. The most important factor for
conducting a SWOC is to ensure that the process is collaborative and ensures the
collective generation of ideas, which can be used effectively to help inform future
curriculum discussions and decisions.

95
Internal Factors :Internal factors are main characteristic of organization, the real
and original characteristics.

Strengths:

1.A good structure for laboratory and facilities ( expansion )

2.Quality assurance of courses through with result of certification exam.
3.Up-to-date facilities and infrastructure like laboratories, teaching aids, networked
computers.
4.Eight years of proven experience in professional level education and training with
growing emphasis on new technology and consultancy activities to further enhance
quality of teaching and training.
5.Experienced proficiency and support staff
6.Placement service with corporation
Weaknesses:
1.Heavy dependence on part-time lecturers in some Faculties.
2.Inadequate library facilities
3.Little emphasis given to the recruitment of international students.

96
4.Lack of land for future expansion of the campus.

External Factors
these factors are not under control but they have good and bad impact on you.
Opportunities:
1. Exploitation of multi-lingual assets to become a regional multi-lingual center in city
for computer education.
2.Diversification of sources of revenue through better exploitation of consultancy and
e-learning facilities .
3.Strategic alliances and partnerships with international institutions for offering more
professional courses.
4.Strategic alliances with national institutions.
5.Use of distance education, flexible learning and adoption of new information and
communications technologies to increase access.

Challenges :
1.Technology changes that effects the future growth and productivity.
2.Free IT education within the context of increasing trends of web learning.
3. Growth of providers of computer education institutions.
4. Absence of an effective national regulatory framework for accreditation of
certification.
5.Experienced staff leaving for better conditions to other institutions

Key Points

• Use SWOT analysis to determine where a group or organization stands and

what it might need to work on in order to get where it wants to go.
• Create a safe and open environment so people can respond candidly.

• Make time to reflect on and decide what to do with the results.

Activity

• Observe any education institution from your residential area and SWOT
analysis of that institution.

97
 Chapter 4
Crawford’s Eight Stages Implementing TQM

4.1 Crawford’s Eight stages in Implementing TQM

Crawford (1990) recommended eight stages in implementing TQM, namely,

1. Vision- how the institution would like to be – what would constitute its
greatness?
A one-sentence statement describing the reason an organization or program
exists. It is one-sentence statement describing the clear and inspirational long-
term change, result-ng from your work organization's dream is, it may be well
articulated by one or more vision statements. Vision statements are short phrases
or sentences that convey your community's hopes for the future. By developing a
vision statement or statements, your organization clarifies the beliefs and
governing.

In general, vision statements should be:

• Understood and shared by members of the community

• Broad enough to include a diverse variety of local perspectives

• Inspiring and uplifting to everyone involved in your effort

• Easy to communicate

2. Define mission – compatible with vision

Mission statements are similar to vision statements, in that they, too, look at the
big picture. However, they're more concrete, and they are definitely more
"action-oriented" than vision statements. vision statement should inspire people
to dream; your mission statement should inspire them to action The mission
statement might refer to a problem, such as an inadequate housing, or a goal,
such as providing access to health care for everyone. And, while they don 't go
into a lot of detail, they start to hint - very broadly - at how your organization
might fix these problems or reach these goals.

Principles about mission statements are that they are:

• Concise: While not as short as vision statements, mission statements

generally still get their point across in one sentence.

• Outcome-oriented: Mission statements explain the fundamental outcomes

your organization is working to achieve.
• Inclusive: While mission statements do make statements about your group's
key goals, it's very important that they do so very broadly.

98
 3. Set objectives –
Transformed into specific, attainable, measurable goals; objectives are widely
recognized throughout the institution, are consistent with stated purposes, and are
demonstrably achieved. The institution regularly generates, evaluates, and makes public
data about student achievement, including measures of retention and graduation, and
evidence of student learning outcomes.

http://www.mbaskool.com/business-concepts/marketing-and-strategy-terms/11884-
customer-requirements.html

Long Term: To encourage faculty & staff to enhance their domain knowledge
and pedagogical skills so as to improve the quality of education/training
imparted to students
To depute faculty & staff to training programs in institutions of higher learning
To encourage faculty & staff to undergo training in pedagogical skills

4. Customers’ requirements broken down into elements;

A requirement is a statement about an intended product that specifies what it should

do or how to do it. For requirements to be effectively implemented and measured, they
must be specific, unambiguous and clear. Customer requirement means Particular
characteristics and specifications of a good or service as determined by a
customer. Requirements analysis encompasses those tasks that go into determining
the needs or conditions to meet for a new or altered product or project, taking account
of the possibly conflicting requirements of the customers. Requirements analysis can be
a long and tiring process during which many delicate psychological skills are involved.
Two types of customer requirements

Service Requirements: Intangible aspects of purchasing a product that a customer

expects to be fulfilled. It consists of elements like on-time delivery, service with a smile,
easy-payment etc. It encompasses all aspects of how a customer expects to be treated
while purchasing a product and how smooth his buying process goes.
Output Requirements: These are mostly the tangible characteristics, features or
specifications that a consumer expects to be fulfilled in the product. If a consumer is
availing a service as a product, then various service requirements can take the form of
output requirements

there are 3 levels of customer requirements

99
5. Detailed process to satisfy the customer needs
• Talk to customers Develop a list of five to 10 open-ended and multiple choice
questions designed to elicit information from customers about how they perceive
your organization and the level of service you deliver. These interviews can be
conducted one-on-one with customers over the phone, or in small focus groups of
five to 10 people.

• Listen to employees While organizations might think customer service

challenges are only about the customers, they are often surprised to learn the
employees who work with customers have some valuable ideas about customer
service.

• Address the real issues Armed with solid, realistic information from both
customers and employees, company leaders can begin to address the real
problems they’re facing to deliver quality customer service. They may begin to
develop processes and procedures that will ensure outstanding service.

• Reality check with customers Although it may seem like the hard work is over,
it’s crucial that companies continue to gauge customer satisfaction, either
through one-on-one conversations, focus groups, hand-written questionnaires, or
a confidential electronic survey.
• 5.Develop on-going processes for working with customers As the pieces of
the customer service puzzle start to fall into place, and the company has a clearer
understanding of what its customers and employees need to deliver outstanding
service, it’s crucial to invest the time into developing a plan that will ensure
continuing high levels of service. Without formal policies, procedures, and
processes to support the commitment to service, the company might find itself
falling back into old practices by ignoring its customers’ needs and desires.

6. Specify materials, facilities and standards to be met:

It is important to specify quality of material used facilities and standards to be met

for customer satisfaction. quality management Under TQM quality of a product comes
through continuous quality process. Therefore quality at the source is the belief that
it is far better to uncover the source of quality problems and correct it than to discard
defective items after production. The new concept of quality focuses on identifying
quality problems at the source and correcting them. The philosophy of TQM extends
the concept of quality to suppliers and ensures that they engage in the same quality
practices. If suppliers meet preset quality standards, materials do not have to be
inspected upon arrival.

100
7. Plan to bring together human, physical, and financial resources:
Human Resources The success of an organization is heavily reliant on the talent and
strength of its employees. The hiring of experienced professionals with track records of
excellence within their area of expertise ensures that the mission and goals of the
company will be carried out efficiently and with competence. Strong team members can
be recruited using a variety of methods. Staffing agencies and executive search firms
specialize in placing talent of all levels within every industry. An alternative is to find
employees through referrals from individuals whose judgment is trusted.

Physical Resources, every organization must have the appropriate physical resources
to survive. This includes a proper workspace, working telephone line, adequate
information systems and effective marketing materials. This aspect of business planning
can be one of the costliest. As such, it is important for an entrepreneur to realistically
assess his needs before making any purchases
Financial resources can be obtained from a variety of sources, the easiest being from
the personal accounts of the company’s founder. Alternatively, loans and lines of credit
may be granted from financial institutions, friends and relatives, private investors and
government
A strong relationship between HR and finance is key to business success

8. Built-in quality assurance mechanism.

• Policy and procedures for quality assurance: Institutions should have a
policy and associated procedures for the assurance of the quality and standards
of their programmes and awards. They should also commit themselves explicitly
to the development of a culture which recognizes the importance of quality, and
quality assurance, in their work. To achieve this, institutions should develop and
implement a strategy for the continuous enhancement of quality. The strategy,
policy and procedures should have a formal status and be publicly available. They
should also include a role for students and other stakeholders
• Approval, monitoring and periodic review of programmes and awards:
Institutions should have formal mechanisms for the approval, periodic review and
monitoring of their programmes and awards.
• Assessment of students: Students should be assessed using published criteria,
regulations and procedures which are applied consistently.
• Quality assurance of teaching staff: Institutions should have ways of
satisfying themselves that staff involved with the teaching of students are

101
 qualified and competent to do so. They should be available to those undertaking
external reviews, and commented upon in reports.
• Learning resources and student support: Institutions should ensure that the
resources available for the support of student learning are adequate and
appropriate for each programme offered
• Information systems: Institutions should ensure that they collect, analyze and
use relevant information for the effective management of their programmes of
study and other activities.
• Public information: Institutions should regularly publish up to date, impartial
and objective information, both quantitative and qualitative, about the
programmes and awards they are offering.

Exercise

• How you will use Crawford (recommendations of eight stages in implementing

TQM in your education institution?

102
 Module 4: Institutional Effectiveness
Chapter 1 Institutional Effectiveness: Meaning, Need
and Importance

1.0 Introduction

Institutional effectiveness is the systematic, explicit, and documented process of

measuring performance against mission in all aspects of an institution Institutional
Effectiveness provides leadership and services to support faculty development, the
intentional and integrated assurance of student learning, compliance with programmatic
and national accreditation standards, and the functional and systematic evaluation of
programmatic and institutional performance by developing, collecting, and disseminating
information used to provide evidence to demonstrate the extent to which BGSU is
fulfilling its mission and vision.

• https://oira.cortland.edu/webpage/planningandassessmentresources/p
lanningresources/SCPGuideonPlanning.pdf

1.1 Meaning of Institutional Effectiveness

Institutional Effectiveness— The degree to which an institution (or department within

the institution) is meeting its mission (or having its intended effect or impact).

Institutional Effectiveness (IE) is a process whereby institutions engage in ongoing self-

evaluation in order to measure achievements and outcomes as they relate to the
institution’s mission. The overall goal of institutional effectiveness is to determine
whether an institution’s units and departments are addressing the institutional mission.

103
Institutional effectiveness is, at its heart, about quality. Under this simplistic definition, a
quality institution might be one that is doing things excellently, but not the right things:
offering courses that no one wants to take, constructing beautiful, energy-efficient
buildings that are not designed in ways that help students learn, graduating students but
without the skills and competencies that employers need. Institutional effectiveness is
the systematic, explicit, and documented process of measuring performance against
mission in all aspects of an institution. The purpose of this Core Requirement is to assure
that the institution has an appropriate approach to effectiveness that supports its
mission. A commitment to continuous improvement is at the heart of an ongoing
planning and evaluation process. It is a continuous, cyclical process that is participative,
flexible, relevant, and responsive. The approach to institutional effectiveness includes all
programs, services, and constituencies and is strongly linked to the decision-making
process at all levels, including the institution’s budgeting process While the requirement
does not imply that all elements of the system must be undertaken simultaneously or
even annually, the various activities of the institution’s planning and evaluation system
are scheduled at periodic intervals that make sense for the institution and its mission.
The results of diverse assessment efforts can be integrated to provide a sound basis for
plans aimed at institutional improvement. Because the process used for institutional
effectiveness permeates all facets of the institution, it is appropriate that a review of this
Core Requirement includes the institution’s mission and effectiveness, the commitment
of leadership to integrate planning and continuous improvement, and its approach to
documenting the evidence of its process.

1.3 Institutional Effectiveness : Need and Importance

Necessary for • Direction • Comprehensive planning • objective decision making •

Checks and balances • Informed Growth • Planned advancement/improvement
•Sustainability
The primary purpose of an institutional effectiveness is for improvement. It provides
the best quality programs and services to our students. In order to ensure quality, all
academic programs assess student learning outcomes annually, all educational support
and administrative units assess their operations annually, and every unit on campus will
periodically undergo a thorough evaluation of all aspects of their unit to determine if the
unit is where they want to be and where the unit would like to go in the future.

Evidence-based Decision Making

An institutional effectiveness cycle helps ensure that strategic planning and assessment
efforts have a significant impact at all levels of decision-making
Institutional Effectiveness initiatives results in:

1. Clarification of the division/departmental purpose (mission).

2. Improvement in the use of resources.

3. Identification of institutional priorities and division/departmental priorities in support

of the overall institution.

4. Improved student and employee performance.

5. Enhancement of student learning

104
Importance
• Provides a blue print for effective and efficient institutional operation • Provides a basis
for self-evaluation • Provides a basis for quality improvement and advancement • Allows
an institution to demonstrate the extent to which it is attaining its mission

1.4 Institutional Effectiveness cycle

STEP I. Identifying Outcomes

An Outcome is a result for (or impact on) a customer or the institution that is a
consequence of the work that you do. Outcomes are directly related to the mission
(purpose) and key functional responsibilities of the department. A department should
identify at least one expected outcome for each of its functional responsibilities. The
structure of an intended or expected outcome statement will determine what is
measured, so it is important to word the outcome statements precisely. As you
brainstorm about potential outcomes, you can probably envision several outcomes of
varying degree for each of your functional responsibilities. Outcomes also need to be
measurable and actionable. In other words, you have to be able to monitor changes in
those beneficiaries, and you have to have some degree of controllable influence on the
outcomes.

STEP II. Measuring Outcomes

a. Develop Effectiveness Indicators (Measures) An indicator is the particular

characteristic, dimension, or element you will be measuring to monitor changes in your
outcome attainment. It is a gauge you will use to determine whether you are achieving
your expected results.

105
For example, if your outcome is University administrators have the financial
information they need to make decisions effectively, potential indicators/measures
might include: • timeliness of monthly reports to the VP; • accuracy of information in
monthly reports; • timely response to requests for ad hoc reports; • accuracy of
information in ad hoc reports; • number of proactive (not requested) reports
generated on top.

b. Set Targets Targets are the specific values on the indicator (like the marks on a
yardstick) that you are expecting to reach.

For example, your success target might be: • 100% of monthly reports are submitted
by the 3 business day of the month rd • Fewer than 3% of reports are returned by
supervisor for corrections • 100% of ad hoc reports are submitted by the promised
deadline • Fewer than 10% of ad hoc reports are returned by supervisor for
corrections • At least one proactive report generated each fiscal quarter. Targets must
be set before you begin to collect data on your measures.

C. Collect the Data on your Measures You knew it would come to this
eventually.

Data collection can be costly and time intensive, so make sure that the data you are
planning to collect are appropriate for your indicator and that you can envision what type
of actions you might be prompted to take based on various potential results.
D. Compute Results Once you have collected your data, you will need to compute the
results (findings). This usually involves counting or aggregating the data, calculating
percentages or other descriptive statistics. You may want to use tables or charts. How
you compute the results and present them will depend upon how you defined your
indicator/measure. The key activity here, though, is to compare the results to your
success target.

STEP III. Analyzing Outcomes The third step in the cycle of assessment is to analyze
your outcomes. You have your results; you know if you met your targets or not.

Now you have to determine what those results mean for your department.
• Why did you or did you not reach your target?

• How important are the results?

• What strengths do the results reflect about your department or operations? How can
these be further strengthened?
• What strategies were successful? What strategies were not? What Potential sources of
data: unit records external quality standards web site hits database trending audit
reports informal or formal interviews focus groups year-to-year comparisons
benchmarking with other institutions surveys systematic observation strategies will you
employ to further improve outcomes?

• Where do the results show that additional attention is needed to correct problems or
issues?

106
STEP IV. Applying and Using the Results The purpose of assessing outcomes is to
provide you with meaningful information that will help you determine where
modifications are needed (or wanted) to improve those outcomes and make your
department (and the university) more effective. Therefore, the most important section of
the assessment cycle is determining how the results will be used to improve
performance, and how those actions are articulated in the Action Plan Each problem or
issue that you noted or identified in your analysis represents a need to improve and
must have an action to correct or improve performance. Every outcome for which you
successfully met or exceeded your target represents an opportunity to further improve,
and requires an articulated action or strategy to do so.

Actions and strategies may be: • Operational or programmatic–modifying what

you do or how you do it (e.g., adding a program or improving a process); •
Organizational–modifying your organizational structure or work assignments; •
Strategic–modifying your mission, functional responsibilities, or outcomes; or •
Assessment-related–modifying your indicators/measures, targets, or method of data
collection.

Exercise

• Explain the need and importance of institutional effectiveness.

• Explain how institutional effectiveness cycle help in the total quality
management of an educational institution elaborate with example.

1.5 Key elements of Institutional Effectiveness

Contemporary strategic plans have multiple components and each component serves a
specific purpose. These components are planning tools used either separately or in
groups, but their development is usually, of necessity, a linear progression. One of the
purposes of the planning process is to ensure these individual components are aligned
with each other and mutually supportive.

Institutional Mission and values

Mission The foundation of any strategic plan is the institutional mission statement. This
statement delineates, in concise language, why the institution exists and what its
operations are intended to achieve. For publicly controlled institutions, this statement of
purpose may be dictated by the state, but for all institutions the statement serves as the

107
explanation for the existence of the organization. Historically, mission statements were
long, exhaustively detailed descriptions of the institution’s founding, curricular history,
unique culture and current services. The mission statement also often included an
explanation of what the institution stood for and what it intended its students to become.
An interested student of strategic planning can open any archived college catalog to find,
within the first few pages, a mission statement at least a full page long containing all the
historic information about the institution anyone would care to know. These types of
mission statements have been termed “comprehensive mission statements” because
they tend to include everything anyone thought might be important to know about the
institution

Values have been removed from the mission to their own Values Statement component.
There, they explain what the institution stands for and the way in which it intends to
conduct its activities. In some cases, these values are so important the institution has
programs and assessment measures to support and sustain them as key elements. But
regardless of their priority, within the context of planning and evaluation, the values
statement should declare, “These are the characteristics we believe are important in how
we do our work.”
Institutional Vision Statement The institutional vision statement is one of the most
important components of a strategic plan. The vision statement is an institution’s clear
description of what it intends to become within a certain timeframe. The vision
statement defines the institution’s strategic position in the future and the specific
elements of that position with relationship to the mission statement. In some cases, the
vision is that of one leader at the campus. Often this leader is the president, but the
vision can sometimes come from an academic vice president or provost. Usually,
however, the vision is reviewed and revised by members of the campus community,
especially the strategic planning committee. Vision statements benefit the planning
process by providing everyone in the institution with the same vision of the future. If the
purpose of the planning process is to align mission, vision, goals and resources, it is
critical to ensure those who will be called upon to implement the strategic plan are all
“pulling in the same direction”. This is especially true if the vision statement is really a
reflection of one person’s vision for the institution. In this case, it is in the best interests
of the institution to provide stakeholders with an opportunity to “own” the vision, either
through review and revision of the statement or some form of early input into the
statement draft.

Strategic Goals and Objectives There is much confusion about the terms used to
name the parts of a strategic plan. Many people use the words “goal” and “objective”
almost interchangeably, and have a distinct rationale for their particular definitions. In
point of fact, as long as everyone involved in the planning process agrees to a
definitional hierarchy, any combination of words can be used. However the words goal
and objective carry connotations that can help guide their use in the process. The word
goal connotes specific achievement; a target reached and “checked off”. The word
objective is slightly more general in connotation. An objective helps set a course by
giving a general direction, but an objective does not usually contain the specifics of its
own completion. Given the nature of the activities required to implement a plan, and the
need to assess the achievement of the plan’s implementation, it seems logical to use
terms that encourage overarching directional guidance for the major themes that
organize the plan, and more specific terms for the parts of the plan requiring
accountability and measurement.

108
 Implementation Plan Turning goals and objectives into a working plan is the
function of the Implementation Plan. This part of the strategic planning process is not
usually for public consumption, and seldom is made available to the governing board.
There are a variety of reasons this working document is not widely distributed, but the
primary one is, more than any other part of the strategic plan, the implementation plan
is revised, amended, and changed frequently to respond to environmental factors. While
the strategic plan’s goals and objectives remain a source of guidance and focus, the
implementation plan delves into the messy work of getting the job done. One other
aspect of the implementation plan critical to the planning process—and also to the
budgeting process— is identifying the resources each goal and step will require. It should
be noted resources, in this instance, are defined in the broadest way possible. Resources
for implementing a strategic plan include: people, time, space, A Practical Guide to
Strategic Planning in Higher Education technology, and funding. Sometimes, the exact
amount of a critical resource is not known at the time of the plan’s inception; however,
the type of resource can be identified. It is important to know what specific resources
will be needed and continue to refine the size of the need as the plan develops
Implementation plan needs to be directive, clear, and documented. The implementation
of a strategic plan depends on the institution’s ability to turn strategic thoughts into
operational action. For this reason it is necessary to document who is responsible for
implementing an action, a date by which the action is expected to be completed, and
what measures will be used to assess completion of the action. It is wise to ensure the
person assigned responsibility for the action has the authority to make it happen. It is
also wise to identify one and only one person to be the agent accountable for overseeing
completion of the action. Obviously many people or departments may be needed to
implement a specific action.

Exercise

• What are the key elements of institutional effectiveness?

1.6 Model of institutional effectiveness

Institutional effectiveness involves a minimum of four steps:

1. Establishing a clearly defined mission or purpose;

2. Formulating educational goals consistent with the mission and strategic plan;

3. Developing and implementing procedures to evaluate the extent to which goals have
been achieved; and

4. Using the results of evaluations to improve programs and services.

109
STEP I

Establishing a clearly defined mission or purpose

Develop Area/Unit Mission Statement/Goals This step in the model distinguishes
the dual purposes of institutional effectiveness: the inspirational, which is oriented
toward internal improvement, and the pragmatic, which is oriented toward external
accountability.
1. Use University/Campus mission statement to develop a mission statement for the
unit.

2. Develop goals using unit mission statement as the guide.

3. If there are external standards of certification or accreditation use them to develop
goals.
4. Determine the order in which each goal will be implemented and assessed.

Five assessment and evaluation questions: • Are you meeting your goals? • Are you
improving? • Do you meet professional standards? • How do you compare to others? •
Are your efforts cost-effective? These questions (on goal attainment, improvement,
meeting standards, benchmarking, and productivity) drive the other steps and lay the
ground.

STEP II
Formulating educational goals consistent with the mission and strategic plan

Develop Objectives (planned activities)

1. List and prioritize possible activities for each goal.

110
.2. Identify expected outcomes from each activity. Outcomes should be explicit and
measureable. 3. 3. Establish criteria for success or benchmarks for each outcome.

STEP III
Developing and implementing procedures to evaluate the extent to which goals
have been achieved Identify Assessment Methods/Tools Assessment is the
systematic collection, review and use of information about educational programs to
improve student learning. Assessment focuses on what students know, what they are
able to do, and what values they have when they graduate. Assessment is concerned
with the collective impact of a program on student learning.” Selection of a tool involves
a tradeoff between the ability to obtain detailed information and the need to keep the
process feasible and manageable.

Methods of assessment should be aligned with overall program goals and include the
development of disciplinary skills and competencies. They should help explain the unique
features of students who take courses or receive a degree in the program. Finally, as
much as possible, programs should focus on direct methods of assessment and select
student work that is already being produced as part of the curriculum. . Assessment is
not an evaluation of individual students or faculty or courses. Instead of a grade for an
individual student, the assessment plan should identify strengths and weaknesses for the
entire program. In some cases, faculty members may take student work that is already
being produced and evaluate the work that reflects the particular learning outcomes
being measured.

111
Establish an Assessment Timeline

1. Develop a realistic and flexible implementation schedule.

2. To avoid straining of resources, implement the plan in phases, over a multi-year

period.

STEP IV

Using the results of evaluations to improve programs and services Evaluation is

the analysis and use of data by faculty to make judgments about student performance.
Evaluation includes the determination of a grade or a decision regarding pass/fail for an
individual assignment or a course. The following chart further describes the difference
between evaluating student performance and assessing student learning outcomes:
Evaluating Student Performance Assessing Student Learning Outcome.

Collection and Analysis of Data

• Collect and analyze data.

• Identify key findings.

• Discuss findings among staff members.

http://cfcc.edu/cfccdocs/ie/allabout.htm

112
EXCERSICE

1. Ms Mathur is a principal of the CBSE school as a education

manager how she should implement model of institutional
effectiveness for quality improvement
2. Explain relationship between institutional planning and strategic
planning

113
 ADDITIONAL COURSE MATERIAL
Module 4
Institutional Effectiveness

Course Objectives

At the end of this module student teachers will be able to-

a. Explain the indicators of effective institution
b. Suggest ways of making institution effective

Chapter 1
Institutional Effectiveness: Meaning, Need and
Importance

Content Outline

4.1.1 Introduction
4.1.2 Learning Objectives
4.1.3 Meaning of institutional effectiveness
4.1.4 Need of institutional effectiveness
4.1.5 Importance of institutional effectiveness
4.1.6 Summary
4.1.7 Unit-end activity
4.1.8 Feedback
4.1.9 References

4.1.1 Introduction

Institutional effectiveness is the systematic, explicit, and documented process of

measuring institutional performance against mission in all aspects of an institution.The
Division of Institutional Effectiveness provides support and leadership for the university
and health system in the application of planning, assessment, data analysis and
reporting, performance monitoring and improvement, and project and change
management. The practical and collaborative services drive overall organizational
improvements in quality, responsiveness, and efficiency for internal and external
stakeholders by facilitating:

• Data driven decision-making

• Alignment of strategic and operational goals

• Recognition of opportunities for process and continuous improvement

• Effective implementation of programs and initiatives to support teaching,
discovery, clinical care, and service.

114
4.1.2 Learning Objectives

After the study of this chapter you will be able to-

a. Explain the meaning of institutional effectiveness

b. Explain the need of institutional effectiveness
c. Explain the of importance institutional effectiveness

4.1.3 Meaning of institutional effectiveness

Rooted in the method of scientific inquiry, institutional effectiveness is the systematic

collection, analysis, organization, warehousing, and dissemination of quantitative and
qualitative information concerning the characteristics and performance of the Institute.
The goal of institutional effectiveness is to provide quality information such that informed
decisions and effective planning can be accomplished by Institute faculty, staff, and
administrators.

In addition to providing evidence of planning and evaluation in its educational program,

the institution must demonstrate planning and evaluation in its administrative and
educational support services.

Institutional effectiveness involves process of planning, evaluation, assessment and use

of results

Institutional Effectiveness consists of a set of ongoing and systematic institutional

processes and practices that include integrated strategic and operational planning,
allocation of budget and resources, the evaluation of programs and services (including
administration), the identification and measurement of outcomes across all institutional
units (including student learning and development outcomes in instructional programs),
and the use of data and assessment results to inform decision-making. All of these
activities are accomplished with the purpose of improving programs and services and
increasing student success and institutional quality. The unit of analysis is the
institution.
The new direction for institutional effectiveness seeks to

• foster collaboration across campus units to become a mission-driven and data-

informed institution;
• provide ample opportunity for community members to craft programs that
advance academic excellence and foster student learning and development;
• use institutional performance measures to link student learning outcomes data to
institutional planning and budgeting, resource allocation, and priority setting;
• monitor environmental trends that extend our distinctive competitive advantage
while attending to both internal challenges and external environmental threats;
• model collaboration and transparency in the use of institutional performance
data; and
• promote a campus culture of continuous improvement to insure institutional
vitality and operational excellence.
Institutional effectiveness is the systematic, explicit, and documented process of
measuring performance against mission in all aspects of an institution. The purpose

115
 of this Core Requirement is to assure that the institution has an appropriate
approach to effectiveness that supports its mission. A commitment to continuous
improvement is at the heart of an ongoing planning and evaluation process. It is a
continuous, cyclical process that is participative, flexible, relevant, and responsive.
The approach to institutional effectiveness includes all programs, services, and
constituencies and is strongly linked to the decision-making process at all levels,
including the institution’s budgeting process. While the requirement does not imply
that all elements of the system must be undertaken simultaneously or even
annually, the various activities of the institution’s planning and evaluation system
are scheduled at periodic intervals that make sense for the institution and its
mission. The results of diverse assessment efforts can be integrated to provide a
sound basis for plans aimed at institutional improvement. Because the process used
for institutional effectiveness permeates all facets of the institution, it is appropriate
that a review of this Core Requirement includes the institution’s mission and
effectiveness, the commitment of leadership to integrate planning and continuous
improvement, and its approach to documenting the evidence of its process.

A set of ongoing and systematic actions, processes, steps and practices that include:
 Planning
 Assessment of programs and services (administration and student
services)
 Identification and measurement of outcomes across all units

 The use of data and assessment results to inform decision making

All of these ongoing, systematic actions, processes, steps are accomplished with the
purpose of improving programs and services and increasing student success and
institutional quality.

Organizational Effectiveness, being broad term, is also used to denote organizational

Success It is the extent to which an organization achieves its goals with the given
resources and means.
Definitions

• An organization is said to be effective if it is able to achieve its goals- S.P.

Robbins
• Effectiveness is commonly referred to as the degree to which predetermined
goals are achieved. Efficiency refers to the economical manner in which goal
oriented operations are carried out- something of an input/output ratio- Jackson,
Morgan, and Palillo.
• Effectiveness is a very broad concept as it considers the survival prospects of the
organization, which are not determined solely by the efficiency of the internal
system.
• Effectiveness considers the organization environment interface and also takes
care of the human aspect of the organization. It is desirable that an effective
organization should also be efficient.
• The effectiveness of an institution rests upon the contribution that each of the
institution's programs and services makes toward achieving the goals of the
institution as a whole.- Middle States Commission on Higher Education, 2006

116
Institutional effectiveness is an important concept in higher education with a simple, but
vital, purpose – to ensure the integrity of the teaching and learning process.

The institution engages in ongoing, integrated, and institution-wide research-based

planning and evaluation processes that

(1) incorporate a systematic review of institutional mission, goals, and outcomes;

(2) result in continuing improvement in institutional quality; and

(3) demonstrate the institution is effectively accomplishing its mission.

The institutional effectiveness process includes seven major components:

• mission
• goals and vision,

• strategic plan,
• annual planning and assessment,

• budgeting,
• program review, and

• Master plan.
Organizational effectiveness is expressed by the following factors

1. Production
2. Quality
3. Efficiency

4. Flexibility
5. Satisfaction

6. Competitiveness
7. Development

8. Survival
Institutional effectiveness on campus is a complex recipe of such areas as assessing
current status, designing a change process, educating leaders, working together to
create goals and the commitment to implementing change.

Each institute strives to continuously improve the quality of all aspects by employing
integrated and institution-wide research-based planning and evaluation processes that
will ensure it is effectively accomplishing its mission. The vision, mission, and strategic
plan serve as the blueprint for defining the fundamental criteria for assessing its
institutional effectiveness. All faculty, staff, administrators, and students have various
opportunities to assist in the achievement of improvement activities. Many units in the
University maintain a mission and strategic plan, aligned with the University’s mission
and strategic plan, that must identify outcomes, assess the outcomes, analyze the
results of the assessments, and demonstrate improvements for those units and/or
programs. The administrators, staff, and faculty are responsible for assessment of and
annual reporting for their respective units and/or educational programs. Assessment
results and reports are an integral part of the University’s decision-making process.
Administrators at all levels will use the results of this institutional effectiveness process

117
to make strategic decisions. Improvement Reports will be made available to the
President’s Cabinet and the President’s Planning and Budget Advisory Committee.
Additionally, reports, redacted as necessary, will be made available to all relevant
constituents.

4.1.3 Question

a. Explain the meaning of institutional effectiveness

4.1.4 Need of institutional effectiveness

Institutional effectiveness process of planning, assessment and improvement is

extremely needed at all levels of the Institute to enhance programs and services that
address the needs of students and the communities it serves.
The process is designed:

(a) to illuminate the institution's progress toward the accomplishment of its mission,
goals and strategic priorities;
(b) to guide the Institute in making decisions; and

(c) to serve as a catalyst for improvement and innovation.

The mission of the Institutional Effectiveness is to lead, coordinate and support

University’s quality enhancement and continuous improvement initiatives. This promotes
a commitment to excellence through stewardship of strategic planning, assessment,
academic program quality, accountability and accreditation.

The need of the institutional effectiveness for the various people and units can be
elaborated as follows-

Because of institutional effectiveness

Faculty and Staff will be able to:

Develop curricula or programs that align with divisional and institute goals

Improve curriculum /program development

Determine student or program areas of strength and weakness

Illustrate course of program value to the institute

Provide evidence based feedback to colleagues and students

Contribute to creating a culture of excellence

I) Administrators will be able to:

Evaluate and allocate resources efficiently based on evidence

Increase effectiveness of providing direction and deciding policy

Track and demonstrate program progress and contribution to the institution

Create a cohesive and meaningful strategic plan

118

Align curricula or services across courses/programs

Contribute to creating a culture of excellence

II) Institutes will be able to:

Obtain better information to evaluate policies and practices

Draw on evidence to make changes

Use results to seek grant or foundation funding

Demonstrate responsiveness to community needs and concerns

Align learning across the curriculum

Place students appropriately

Generate higher student academic success

Demonstrate how the institute is making a difference

Improve communications with stakeholders

Achieve more thorough curriculum review and revision

III) Students will be able to:

Engage in more rigorous and coordinated learning experience

Learn more and better

IV) The Office of Planning and Institutional Effectiveness:

1) Leads the Strategic Planning and Institutional Effectiveness Committee in
its purpose of reviewing the current mission, strategic plan and institutional
effectiveness plan and resulting outcomes; recommending revisions to SCF
senior leadership as appropriate before the start of a new strategic plan
development cycle. 2) Coordinates the gathering of data, survey results,
reports and all information listed in the Performance/Quality Indicators of
Institutional Effectiveness.
3) Provides support to groups responsible for various portions of the
institutional effectiveness plan, including, but not limited to guidance on
elements of program review, data gathering and interpretation, and use of
evaluation results in decision making.
4) Training for
(a) goal-setting;
(b) choosing tools to measure goal achievement;
(c) evaluation techniques,
(d) analyzing evaluation results;
(e) using those results to improve a program or department; and
(f) documenting the process.
5) Conducts college-wide surveys and assessments, including, but not limited
to: Survey of Student Engagement
Survey of Entering Student Engagement
Student Satisfaction Inventory
Proficiency Profile

The institutional effectiveness process does not stop at the departmental level. It
touches each full-time administrator, professional staff, academic leader and faculty

119
member through the individual goal-setting and completion review process. Each
individual involved has immediate access to his/her individual performance on the
desired outcome. Supervisors analyze the results with the employee and document the
impact that the outcome has had on departmental and institutional priorities. This
analysis also includes identification of areas for personal improvement, the validity of the
goal, potential professional development that might improve goal attainment and other
topics.

4.1.4 Question

a. Explain the need of institutional effectiveness

4.1.5 Importance of institutional effectiveness

Over the past decade, institutes have come under increasing scrutiny by legislative
bodies, accrediting agencies, and the public in general. All of these groups are
demanding more accountability on the part of individual institutes. The Institutes have
played a critical role in adopting requirements that it accredits to engage in systematic,
inclusive planning.

Institutional Effectiveness is the systematic, explicit, and documented process of

measuring performance against mission in all aspects of an institution. The importance
of Institutional Effectiveness can be stressed as follows:
1. A commitment to continuous improvement is at the heart of an ongoing planning
and evaluation process. It is a continuous, cyclical process that is participative,
flexible, relevant, and responsive.
2. The institution engages in ongoing, integrated, and institution-wide research-
based planning and evaluation processes that
(1) incorporate a systematic review of institutional mission, goals, and
outcomes;
(2) result in continuing improvement in institutional quality; and
(3) demonstrate the institution
is effectively accomplishing its mission.
3. The institution identifies expected outcomes, assesses the extent to which it
achieves these outcomes, and provides evidence of improvement based on analysis of
the results in each of the following areas:
• Educational programs, to include student learning outcomes

• Administrative support services

• Academic and student support services

• Research within its mission, if appropriate

• Community/public service within its mission, if appropriate

4. Institutional effectiveness provides a mechanism whereby the institution can

assess and continuously improve its programs and administrative and
educational support services. This enables the institute to better serve and
meet the needs of its students and other stakeholders.

120
 5. Institute can implement a comprehensive institutional effectiveness
assessment model. The Desktop Audit is the major component of institutional
effectiveness model. The model is comprised of a number of components and
assesses the effectiveness of all aspects of Institute programs and services
including curriculum and continuing education instruction and administrative
and educational support services.

6. Demonstrating institutional effectiveness takes on special significance for

community institutes. Community institutes typically have a broader mission
than four-year institutes and universities. In addition to traditional
freshman/sophomore level coursework, community institutes provide two-
year career training, occupational retraining, developmental coursework,
continuing education, courses for special populations, and business and
industry training. Community institute students also differ from traditional
institute students. They are more diverse in terms of their age, backgrounds,
preparation, and educational objectives than their four-year
institute/university counterparts. Therefore, the measures of institutional
effectiveness must be applicable to community institute student outcomes.
7. Student Learning and Development: Provide student-centred learning
experiences and support services that promote student success and goal
achievement
8. Institutional Effectiveness: Ensure a data-informed, performance-based
culture of assessment and improvement to enhance institutional excellence.
9. Partnership: Provide the catalyst for the establishment, maintenance,
expansion and improvement of synergistic programs and services with entities
outside of the Institute.

10. Technology: Leverage technology to promote student learning, faculty and

staff development, operational excellence, and global outreach.

11. Fiscal Responsibility: Embrace fiscal models and practices that attract new
sources of values and vision.

12. Quality Workforce: Provide professional development for employees,

promoting the sustainable quality of programs and services .

13. Pluralistic Focus: Encourage and expect cultural diversity, sensitivity and
healthy habits of living in service to a sustainable environment.

As a result, institutional effectiveness is now a primary consideration at institutes. The

concept of accountability and performance-based funding for institutes is gaining
momentum and has been implemented to varying degrees in a number of states. The
institutes make a step in this direction with the implementation of the Performance
Measures and Standards. While meeting the requirements of external bodies
underscores the importance of institutional effectiveness, the internal applications are
even more important.
The main purpose of Institutional Effectiveness is program improvement. While the
institution must be accountable to accrediting agencies, the legislature, the public, and
students, accountability is secondary to program improvement.

121
 Institutional effectiveness results are to be used for program/ department/unit
assessment and improvement only. They are not to be used for tenure and/or promotion
review, merit review, or any other personnel decisions. Universities have focused on
outcomes assessment as one of the key components of our commitment to excellence.
Considerable effort has been focused on refining and implementing a comprehensive,
effective, and efficient assessment program to determine the extent to which students’
learning needs are met. Assessments may consist of activities such as standardized
tests, computerized exit surveys, paper-and-pencil questionnaires, exit interviews, and
other means. Although not all students complete the same set of assessment activities,
all students will be asked to participate at some points in their academic careers. Since
student involvement is critical to the success of outcomes assessment, student
participation in assessment activities is both necessary and required.

4.1.5 Question

a. Explain the of importance institutional effectiveness.

4.1.6 Summary

Institutional effectiveness is the degree to which a institute is meeting its stated mission.
It is based on a impact-oriented philosophy of continuous organizational improvement.
The effectiveness of an institution is not captured in what is taught and how, but rather
in what students have learned. It is not captured in how much time and money are spent
in doing research, but in how much new knowledge is generated through research. It is
not captured in the number of hours spent in community outreach, but in the impact of
those activities on the community. The institution discovers how effective it is by
assessing those outcomes.

Institutional effectiveness is the process of planning, implementation and evaluation of

the Institute’s initiatives, programs and services. The evaluation results indicate how
well the documented achievements and outcomes support the fulfilment of the Institute’s
mission. The purpose of the institutional effectiveness process is to demonstrate
continuous improvement in student learning, educational programs, administrative and
educational support services and community service.
Assessment is the primary tool used to determine the degree of institutional
effectiveness.
Assessment attempts to answer the following question:

Are our efforts bringing forth the desired results?

An effective assessment program can be used to enhance student learning, facilitate
academic and institutional improvements and validate institutional effectiveness.
Assessment is a formal process that allows to document continuous improvement and to
demonstrate accountability to constituents of the Institute and accrediting bodies. In
order to maintain a viable and sustainable assessment program, all areas of the
institution (faculty, staff and administration) must be dedicated to the institutional
effectiveness process. By utilizing baselines and benchmarks, comparison cohorts and
broadly-used criteria, it is possible to approach institutional effectiveness from a multi-
year (longitudinal) point of view as well as a measure of annual effectiveness.

122
4.1.7 Unit-end activity

Prepare a data collection tool for awareness about importance of institutional

effectiveness among teachers.

4.1.8 Feedback

Question 4.1.3- Unit 4.1.3

Question 4.1.4- Unit 4.1.4
Question 4.1.5- Unit 4.1.5

4.1.9 References

Fraiser, A: A road map for transformation in education.

R. Kesavan, C.B.: Total quality management, New Delhi.

123
 Chapter 2
Institutional Effectiveness Cycle

Content Outline

4.2.1 Introduction
4.2.2 Learning Objectives

4.2.3 Need of institutional effectiveness cycle

4.2.4 Institutional effectiveness cycle

4.2.5 Example of Institutional Effectiveness Cycle developed by TSTC (Texas State

Technical College – Waco)

4.2.6 Summary
4.2.7 Unit-end activity

4.2.8 Feedback
4.2.9 References

4.2.1 Introduction

The "Institutional Effectiveness Cycle" (IE Cycle) is the comprehensive process that
integrates strategic planning, assessment, periodic comprehensive review, and annual
reporting. It is the institutional tool that allows the University to marshal its resources
most effectively in support of its mission and to document success in fulfilling its
mission.
The institution engages in ongoing, integrated, and institution-wide research-based
planning and evaluation processes that
(1) incorporate a systematic review of institutional mission, goals, and outcomes;

(2) result in continuing improvement in institutional quality; and

(3) demonstrate the institution is effectively accomplishing its mission.

4.2.2 Learning objectives

After the study of this chapter you will be able to-

a. Explain the need of institutional effectiveness cycle.
b. Elaborate the aspects of institutional effectiveness cycle.

124
4.2.3 Need of Institutional Effectiveness Cycle

The need of institutional effectiveness cycle can be elaborated as follows-

Improvement
The primary purpose of an institutional effectiveness cycle is for improvement. An
institute wants to provide the best quality programs and services to our students. In
order to ensure quality, all academic programs assess student learning outcomes
annually, all educational support and administrative units assess their operations
annually, and every unit on campus will periodically undergo a thorough evaluation of all
aspects of their unit to determine if the unit is where they want to be and where the unit
would like to go in the future.
Evidence-based Decision Making

An institutional effectiveness cycle helps ensure that strategic planning and assessment
efforts have a significant impact at all levels of decision-making (unit-level, college-level,
division-level, and university-level).

Connecting Strategic Planning, Assessment, and Resource Allocations

An institute's institutional effectiveness cycle was designed to maintain documentation of
the connection between strategic planning, assessment and decisions regarding resource
allocations. The IE cycle helps the institute to be ready to respond to calls for
accountability when they come from accreditors, legislators, and others.

4.2.4 Institutional effectiveness cycle

The "Institutional Effectiveness Cycle" (IE Cycle) at the institute is the comprehensive
process that integrates strategic planning, assessment, periodic comprehensive review,
and annual reporting. It is the institutional tool that allows the University to marshal its
resources most effectively in support of its mission and to document success in fulfilling
its mission.
The University engages in a multifaceted planning and evaluation process to determine
the appropriateness of the mission and the extent to which the mission is accomplished.
The planning and evaluation consist of the strategic planning process, the Institutional
Effectiveness process, and operational planning and analysis. The mission of the
University is to embody and install in our students the core values: goodness, discipline,
and knowledge.

As a learning centred institution, planning and assessment are focused on continuous

improvement of student learning outcomes and the administrative and educational
services that support student success. The Institutional Effectiveness (IE) process is
structured around the use of the Continuous Improvement Cycle Model and the
Institutional Effectiveness reporting forms. The institutional mission and objectives
provide oversight and guidance to the colleges and support units of UST. Mission
statements for various departments are reviewed to determine congruency with the
institutional mission and objectives. Objectives are developed to determine expected
outcomes for the programs and services provided. Assessment and reporting of results

125
are accomplished through the use of the Institutional Effectiveness plans. Strategic
Planning

•Institutional Vision IE Planning & Assessment

•Educational Programs

•Administrative Support
•Educational Support Operational Planning

•Budget
•Facilities

•Human Resources

Fig 4.2.1

MISSION AND OBJECTIVES

The Institutional Effectiveness plans have various components as briefly described here.
The department Mission outlines the ultimate principles that guide the work of the
program, who it serves, in what ways, and with what results.

The Objective describes what the unit is striving toward; objectives are used to make
policy and planning decisions. In this section, departments show support for university
Strategic Initiatives by linking them to their objectives.
Expected Outcomes describe desired outcomes in relation to objectives; they are
usually classified as process, target, or satisfaction oriented. Assessment is targeted at
the educational program or department level with desired outcomes listed for

126
assessment in the IE plans. The next portion of the Institutional Effectiveness plan
consists of the assessment components.

Assessment methods identify the assessment tools used to determine success at

meeting the stated goals. Benchmarks establish a target for completion of the goal for
assessment purposes.
The assessment timeline, which is embedded in Expected Outcomes, is not included
on the plan/report form but should be established for internal control. The assessment
Results represent the actual results of the measurements.

The Use of Results section of the IE plan represents one of the most important
portions of the plan as it represents the "closing the loop" component of the assessment
process. Variance between the expected outcomes and assessment results are identified
and analyzed with the intent of making changes to improve student learning, service,
and operation. How results are used to make improvements is recorded in this portion of
the report.

Assessment Results and Rationale are the final components of the IE plan. This area
provides a summation of the unit assessment process for the cycle. Assessment plans
are completed on a yearly basis with a mid-cycle report of progress. The Rationale
discusses plans for future assessment activities.
Planning: Set Goals Identify Desired Outcomes Assess Outcomes Make Changes for
Improvement Description of the Institutional Effectiveness Plan of Administrative and
Educational and Student Support Services Template Components Section Description
Department Mission - The mission or purpose statement for each program or
department Objectives.

Objectives- Objectives generally have a broad scope. For example:

Knowledge, skills, behaviours graduates will demonstrate upon completion of the
program Strategic Initiatives supported by the department are linked in the Objectives
field.

Expected Outcomes Describe desired outcomes in relation to objectives. They are

usually classified as one of the three:

1. Process-oriented: what the unit intends to accomplish. Typically described in

terms of level or volume of activity, efficiency of processes, and compliance with
good practices/regulations
2. Target-oriented: what clients will be able to know, do, value, and believe after
receiving the unit's services
3. Satisfaction-oriented: client satisfaction level after receiving service Academic
Programs must include both PROGRAM outcomes and Student Learning
Outcomes.
• What is the overall timeline for the assessment
• What steps need to be taken to conduct the assessment For each step
• When will it take place o Person(s) responsible for the assessment
• What is being assessed
Assessment Methods- Assessment methods (measurement tools) used to gauge the
progress toward specific goal completion.

Questions to consider:

127
 • What measures will allow determination of goal achievement?
• What assessments are currently available for use in measuring goal
achievement?
• Are the current assessments providing the appropriate information?

Benchmarks
• What constitutes success of goal achievement?

• What is the target level for goal achievement?

Results- The assessment results include the actual results of assessment and should
answer these questions:
• What were the actual results of the assessment?

• What did the findings indicate?

• Is the supporting data and statistical information included?

• Was the intended outcome met?

Use of Results Based on the assessment findings and analysis

• What are the resulting plans

• What changes will occur to improve the degree of goal completion?

Will This Expected Outcome Be Evaluated again in the Next Cycle? Yes or No
Rationale Explanation of why this Expected Outcome will be used in next year’s plan.

4.2.5 Example of Institutional Effectiveness Cycle developed by TSTC

(Texas State Technical College – Waco)

TSTC has developed an Institutional Effectiveness Cycle based on the Plan-Do-Study-Act

(PDSA) model of quality management pioneer Dr. W. Edwards Deming (1993). This
model presents a continuous cycle of planning, implementation, assessment, and
responsive actions to improve organizational performance and quality. The cycle forms
the framework for the college strategic plan and the unit action plans. The budgeting
process is incorporated into the planning phase of the process so resources can be
allotted to achieve intended outcomes. Institutional research is incorporated into the
evaluation phase of the process, so responsive action and future planning is informed by
institutional data.
Planning & Evaluation: Components & Time frames

The ongoing nature of the institutional effectiveness process is illustrated in a number of

planning and evaluation cycles:

• Five-year Strategic Planning Cycle

• Two-year Unit Action Planning Cycle

• Semester-by-Semester Continuous Improvement of Learning Cycle

Systematic review of institutional mission, goals, and outcomes:

The institutional mission is reviewed as part of the strategic planning process, which
includes the following components:

128
 • Critical Success Factors (CSFs), which are identified by the Institutional
Effectiveness Monitoring Committee made up of faculty and staff representatives

• Strategic Goals and Initiatives (SGIs), which are identified by the Executive Team
Operational Planning is aligned with the mission and these strategic planning
components (CSFs and SGIs) as part of the Unit Action Planning (UAP) System. Budget
implications of Unit Action Plans are integrated into the UAP online planning system and
are negotiated and/or approved by the supervisor.

Figure 4.2.2: TSTC Waco’s Institutional Effectiveness Cycle

Continuing improvement in institutional quality

The recognition of institutional quality results from continuing improvement processes

achieved at a department level through the Unit Action Planning process and
the Continuous Improvement of Learning process. At the college level, key performance
indicators are tracked on the Critical Success Factor Outcomes Report. In addition to
these internal processes and reports, the institution also demonstrates quality through a
number of benchmarking and accountability reports, including:
• IPEDS Benchmarking Report- provides feedback on enrollment, graduation,
financial aid, administrative costs and other factors in relation to a comparison
group of 25 institutions throughout the U.S. with a similar profile.

• Community College Survey of Student Engagement (CCSSE) Benchmarking

Report- provides feedback on five dimensions of student engagement. TSTC
demonstrated results better than the comparison group on Active and
Collaborative Learning, Student-Faculty Interaction, and Support for Learners.

129
 • THECB Institutional Accountability Report- provides state wide feedback on
measures of participation, success, excellence, and institutional efficiency with
trend data back to the year 2000.
Institution is effectively accomplishing its mission:

As stated in the college mission, "Texas State Technical College System shall contribute
to the educational and economic development of the State of Texas by offering
occupationally oriented programs with supporting academic course work, emphasizing
highly specialized advanced and emerging technical and vocational areas for certificates
or associate degrees." Accomplishment of the mission can be evidence by the fact that
TSTC Waco is the national leader in associate degree conferral in the engineering
technology field, according to Community College Week magazine’s annual report, Top
100 Associate Degree Producers 2011 edition. TSTC also ranks consistently as a top
college in the state and nation for conferring associate degrees in computer information
sciences, precision production, and communication and information sciences. Since the
report’s inception, TSTC has ranked top in the state numerous times and has stayed
consistently on the top 50 list in nearly every category for which it is eligible. As a state
agency, mission attainment is further measured through accountability reports to Texas
government agencies, including:
• USDE Perkins Workforce Education Data Resources Report

• Texas Legislative Budget Board Performance Measures Report

• THECB Institutional Accountability Report

Communication of institutional performance to the public and various institutional

stakeholders is evidenced by a number of reports available on the state government and
college websites, including:
• Texas Public Higher Education Almanac

• TSTC Institutional Resume for Students

• TSTC Institutional Resume for Legislators

4.2.6 Description of the Annual Institutional Effectiveness cycle

The institute establishes the overall framework for assessing institutional

effectiveness through the development of its mission and institute goals.
Annually, institute planning units develop, implement and evaluate plans that
support the achievement of the institute mission and goals.

• Assessing institutional effectiveness is a cyclical process. An illustration of the

annual institutional effectiveness implementation cycle is provided to depict the
sequence of reoccurring events in the IE process. However, the events are more
dynamic than can be portrayed with boxes and circles and do not always occur in
as orderly a fashion as depicted. It is recognized that planning and assessment at
Cape Fear Community Institute takes place in countless encounters, discussions
and meetings during the ordinary workday and throughout the year. Using
information to make decisions is continuous. Nevertheless, a formal cycle is
required primarily to capture, organize, synthesize, and document the results of
these on-going exchanges.

130
 Fig 4.2.3 Description of the Annual Institutional Effectiveness Planning
and Assessment Cycle
• December-February

• This phase of the institutional effectiveness implementation cycle includes

strategic planning and mid-year budget review. It focuses on the decisions
necessary to prepare a detailed annual budget for the next fiscal year beginning
July 1.

• County Budget Planning: As early as December, the vice presidents and faculty
and staff identify and submit county budget requests to the president and vice
president of business and instructional services for consideration. County budget
funds are used for the maintenance and upkeep of institute facilities,
maintenance personnel salaries, and utilities, however, local governments are not
restricted from providing funds to community institutes for other purposes
appropriate to the institution's mission.
• In January, the Board of Trustees approves the New Hanover County and the
Pender County budget requests.

• State Budget Planning - The vice- presidents conduct a mid-year state budget
review in January and report to the vice president of business services any
changes in priorities that will create shortages or surpluses in current funds.
Current budgets are adjusted based on this mid-year review.

131
• The vice presidents with the deans, department chairs, directors and planning
units begin making decisions in January about division and department goals and
major initiatives for the coming year. These decisions support the achievement of
the institute mission and goals and are most often guided by enrolment and FTE
levels, space needs and loss or gain of facilities, staffing levels, start-up of new
programs, and actions associated with modifications to programs and services.
Departments consider their strengths, weaknesses and opportunities for planning
and match those with resources. This step in planning involves strategic decisions
that may or may not require additional state funds for implementation. The
budget process is guided by institute goals and unit objectives. Requests for
budget increases must be communicated in the form of objectives. Objectives
written for budgeting purposes are most often expressed as "process" objectives
that answer the question: What actions must we take to achieve our purpose and
objectives? (rather than the IE planning question " How Well are our students
learning and our administrative services functioning?).
• Once major initiatives are identified for the coming year, budget objectives are
developed by the unit managers and each objective is submitted on a "Planning
and Budgeting Request Form" to prepare for the institute's annual state budget
hearing. Each budget request must include the justification for funding,
appropriate budget line item codes, and cost. State budget funds may be used for
part-time and full-time salaries, instructional supplies, materials, services
provided by contract, advertising, printing, annual maintenance agreements,
minor equipment, professional development and travel.

• Each unit manager is responsible for preparing and prioritizing the budget
objectives and receiving approval from their department chair, dean and vice
president before the institute's state budget hearing. Once the approval steps are
completed, the vice presidents send their budget plans to the vice president of
business and institutional services so all requests can be tallied before the
hearing.

• In late February, the president and vice president of business services schedule a
Institute Council state budget hearing that is open to all employees. The goal of
the hearing is to reach agreement on the items presented and to cull the
requests, based on priority, to fit the projected state budget for the next fiscal
year. The vice presidents must justify the increases or decreases to their current
budget. Each request is discussed and may be challenged during the hearing. The
president and vice president of business and institutional services reserve the
right to make budget decisions to maintain the integrity of the budget.
• Because the state budget for the next fiscal year is not yet approved by the
General Assembly at the time of the hearing, budget projections used for the
hearing are based on the FTE earned during the current year, performance
funding dollars, carry over funds, growth money the institute may receive and
other sources of revenue such as special allotments, grants or gifts. More than
one budget scenario is projected (from worst case to best case) and considered
during the hearing.
• Following the budget hearing, the vice president of business and institutional
services prepares a summary of the funding decisions made at the hearing and
distributes to Institute Council. When the institute receives its final budget, the

132
 president approves the allocation of funds by line item and funds are distributed
to department budgets.

• March - June
• This phase of the institutional effectiveness implementation cycle includes
preparing division progress reports, conducting the institute-wide planning
meeting, and "closing the loop" on current assessment plans and preparing new
assessment plans.
• As early as mid-March, the vice presidents with their planning units begin
compiling their "Annual Report of Accomplishments" which includes reporting
progress made towards the institute goals and the planning priorities for the
current year. By April 1, the vice presidents forward their division's annual report
to the vice president of institutional effectiveness who compiles the information
into one document and forwards to the president. This document is published and
included in the president's annual report to the Board of Trustees in April.

• As the end of the fiscal year approaches, the planning units with the vice
presidents, deans and department chairs, complete the task of documenting
"results" and "use of results" (called "closing the loop") for their current year
objectives and learning outcomes and entering new assessment plans for the next
year in SPOL. These plans include from three to five measurable objectives or
student learning outcomes for assessing the effectiveness of academic programs
and the effectiveness of the administrative and educational support services each
year. These objectives and learning outcomes should help answer the questions:
How well are students learning and how well are the administrative and
educational support units functioning?
• By June 30, the administrative planning units should "close the loop" for their
current year objectives by entering "results" and "use of results' in the Strategic
Planning Online (SPOL) system. The administrative planning units should also
enter their objectives for the new fiscal year, including the
procedures/assessment methods and the criteria for success, in SPOL by June 30.

• Flexibility is provided in the annual planning cycle to coincide with the academic
calendar and accommodate the instructional planning units in "closing the loop"
and developing student learning outcomes objectives for the next year that are
dependent on outcomes data not available until September. Therefore, during
this time and as data is available, instructional planning units should begin
"closing the loop" on their current year outcomes by entering "results" and "use
of results" and begin entering outcomes for the next year, including the
procedures/assessment methods and criteria for success, in SPOL. By the end of
September, this documentation should be completed. (Faculty, also see
'September' in this document and in the Annual Planning and Budgeting
Calendar).

• The Strategic Planning Online (SPOL) system was designed to provide unit
managers and supervisors on-line access to their objectives and/or student
learning outcomes twelve months of the year and any time of the day. This being
the case with SPOL, unit managers may enter and/or edit their objectives,
procedures/assessment methods, criteria for success, results, and use of results
at their convenience throughout the year. However, deadlines for "closing the
loop" for one planning cycle and entering new objectives or student learning

133
 outcomes for the next planning cycle are necessary to ensure that planning is
accomplished and documented appropriately within the institute's annual planning
and budgeting cycle.
• Several key reports are released annually in the spring semester and that contain
information for planning. The Critical Success Factors Report, published by the
North Carolina Community Institute System (NCCCS), is received and contains
data showing the results for the Twelve Core Indicators of Student Success for
Cape Fear Community Institute and all 58 North Carolina Community Institutes .
This data is used for accountability and performance funding at the system level
and for planning at the local level.

• The institute's semiannual Faculty and Staff Survey is administered and results
released during the spring semester. Administrative units use the results of the
survey to help identify strengths and weaknesses in their programs and support
services and to plan improvements where needed.

• The annual institute wide planning meeting is held the end of May or the first of
June. The purpose of the retreat is to provide an opportunity for the vice
presidents, deans and designated faculty and staff to present their planning
priorities for the coming fiscal year. They may address both strategic planning
and assessment. The retreat is a deliberate effort to communicate and increase
awareness of planning institute-wide and to gain cooperation in achieving team
goals. A special effort is made to include a cross-section of faculty and staff. A
major outcome of the planning meeting are planning priorities for the coming
year that represent every department and address the institute strategic goals as
appropriate.
• July-August

• This phase of the institutional effectiveness implementation cycle includes

allocating state budget funds, updating three-year equipment plans and
conducting the institute-wide equipment hearing.
• The fiscal year begins July 1. The month in which the institute receives its budget
is unpredictable because the state budget requires legislative approval and is not
final until the North Carolina General Assembly adjourns. Adjournment may be as
early as July or as late as October.
• Equipment funds are a separate allocation in the state budget. Each division, with
their planning units, is required to develop and update a three-year equipment
plan to project major equipment needs and costs. Major equipment is considered
to be equipment costing $1,000 or more.

• When the institute receives its state budget, Institute Council holds an equipment
hearing, which is open to all employees. The executive vice president, vice
presidents, deans and designated staff present their major equipment requests
for the fiscal year. Individual requests for equipment are prepared and submitted
on a spreadsheet and must include a full description and justification for funding,
cost and priority. The deans, department chairs and other budget managers are
required to prepare and prioritize their equipment requests and present to their
vice president for approval before the hearing. Once this approval step is
complete, each vice president submits their division's equipment requests to the
vice president of business services at least a week before the hearing so all

134
 requests can be tallied. During the hearing, the priority levels approved by vice
presidents are used to eliminate requests when the number of requests exceeds
the budget. When there is a considerable gap between the total equipment
dollars needed and the actual budget, a second hearing may be held to give the
vice presidents opportunity to reconvene meetings with budget managers to
decide where to cut.

• Following the equipment hearing, the vice president of business services compiles
a list of the equipment approved for funding and distributes to Institute Council.
Funds are then allocated to departmental budgets for purchasing equipment.
• September-November

• This phase of the institutional effectiveness implementation cycle includes

reporting data, the completion of "closing the loop" and developing objectives for
the current year by instructional planning units and the periodic review of the
institute mission and institute goals.

• By the end of September, instructional planning units complete the process of

"closing the loop' for student learning outcomes for last year and entering student
learning outcomes for the current year. Faculty complete this process in
September for several reasons. For example, data pertaining to graduate
satisfaction with a program and collected on the Graduating Student Opinion
Survey are not reported until the survey results are tabulated in September.
Licensure or certification pass rates and other completion data are not available
until after students complete their program in August. In addition, some student
learning outcomes for the current year cannot be developed any earlier because
they originate as a result of data not available until September. For example, if
licensure pass rates should drop below an acceptable level for a program, then
this data would be useful in planning for the next year.
• During the fall semester, Program Review outlines are updated by academic
units, academic advisory committees begin meeting, and the results of
the Graduating Student Opinion Survey are tabulated and released to faculty and
staff. Information gathered from these sources is used to identify program
strengths and weaknesses and recommendations for improvements.

• By the end of November, the Institutional Effectiveness Committee has completed

its review of the institute mission and institute goals as needed and makes
recommendations for updates to the president and institute council. . The
Institutional Effectiveness Committee, whose membership includes senior staff,
deans, directors, and a cross-section of faculty and staff, is responsible for
reviewing and evaluating institutional effectiveness procedures and resulting
plans, recommending improvements and periodically reviewing the mission and
institute goals to ensure they remain current. The committee's review of the
institute mission and goals during the fall semester is in preparation for the
budget planning phase beginning in December for the next fiscal year. Updates to
the mission statement and institute goals are approved by the Board of Trustees
upon recommendation by the President and Institute Council.

4.2 Question

Write an explanatory note on an institutional effectiveness cycle

135
4.2.6 Summary

Rooted in the method of scientific inquiry, institutional effectiveness is the systematic

collection, analysis, organization, warehousing, and dissemination of quantitative and
qualitative information concerning the characteristics and performance of the University.
The goal of institutional effectiveness is to provide quality information such that informed
decisions and effective planning can be accomplished by University faculty, staff, and
administrators. Institutional Effectiveness (IE) or assessment plan should provide
answers to these questions: (1) Who are we? (2) What are we trying to accomplish? (3)
How well are we doing? (4) How can we improve what we are doing? (5) What evidence
exists that we have improved?
A good institutional effectiveness or assessment plan should include the following:
a. a clearly defined unit mission or purpose statement
b. measurable administrative objectives and/or student learning outcomes that are
consistent with the mission or purpose
c. specific procedures or methods of assessment to be followed for achieving the
administrative objectives or student learning outcomes
d. specified criteria for success which are the targets for evaluating success and the
extent to which the objectives and/or student learning outcomes have been
achieved
e. documentation of the results and the use of results for the improvement of
academic programs and administrative and educational support services
4.2.7 Unit-end activity

Prepare an annual institutional effectiveness cycle for your institute in the format-
month. activity, responsibility.

4.2.8 Feedback

4.2 Question – Unit 4.2.4

4.2.9 References

• Nichols, James O:A Practitioner's Handbook for Institutional Effectiveness and

Student Outcomes Assessment Implementation. Third Edition.
• R. Kesavan, C.B.: Total quality management, New Delhi.

• Rita S: assessment and accreditation in higher education, New Delhi.

136
 Chapter 3
Key Elements of Institutional Effectiveness

Content Outline

4.3.1 Introduction
4.3.2 Learning Objectives
4.3.3 Key elements of institutional effectiveness
4.3.4 Summary
4.3.5 Unit-end activity
4.3.6 Feedback
4.3.7 References

4.2.1 Introduction

Institutional effectiveness is the College’s ability to achieve its mission. In order to

ascertain its effectiveness, a college must ask itself four basic questions:
1. What are we collectively hoping to achieve? Though all institutions of higher education
focus on student learning, each institution has particular purposes based upon its
mission. Institutional effectiveness begins with clear, mission-based goals and key
performance indicators that are explicitly communicated with all members of the college
community.

2. What strategies and actions do we intentionally employ to achieve our mission-based

goals? Though a college employs people with expertise in teaching students and
providing student support, an integrated and coordinated effort is required to achieve
college goals.

3. How well are we collectively doing what we say we are doing? A college must
systematically determine that goals are reality, not just intention. Multiple types of
assessments are conducted periodically, and assessment data are analyzed to determine
what institution-wide and specialized policies and practices work and which ones need
modification, development, or discontinuance. Examination of data must ultimately
address support of student learning.
4. How do we use results of our assessment processes to improve our operations to
better support student learning and success?
Systematic use of assessment findings results in an ethos of continuous improvement
and defies a culture of complacency; even negative results are welcomed as useful tools
in the improvement of programs and practices. Institutional effectiveness (IE) is the
mechanism used to answer these questions. The act of seeking answers to these
questions leads to the pursuit of many others - questions about cohesiveness, values,
priorities, presuppositions, and assumptions. This is why the key components are
important to be studied.

137
4.3.2 Learning objectives

After the study of this chapter you will be able to-

a. Explain the key elements of institutional effectiveness.

4.3.3 Key elements of Institutional Effectiveness

The institutional effectiveness process is a continuous cycle of integrated planning,

implementing, budgeting, assessing, and improving that is applied at every level of the
college. Achievement of the Institute’s mission is central to all components of the IE
process.

Mission Statement
The IE processes in place and in development are designed to emphasize
interrelationships and collaborative efforts among college systems in order to more
effectively meet the Institute’s mission and support student success. At the core of all
the institute do is student’s learning and success.
Learning is defined holistically, with intellectual, physical, emotional, social, and
personal elements; success refers to realizing student goals and completing academic
programs.
Three layers of units surround the core:

Academic Services, which include various modes of delivery for a variety of

instructional programs;

Academic Support Services, which include a range of services to support instruction

and student development; and

Institutional Support, which includes mainly infrastructure, behind-the-scenes

services that are essential to institute’s mission.

Being mindful of these relationships allows us to analyze effects of changes across the
model, trace origins of problems, and remain focused on the Institute’s mission.
Planning Levels
The institute’s planning process occurs at multiple levels – strategic, master, and
operational – that are interrelated and integrated with institute’s allocation to support
the plans and with assessments that modify plans.
Institutional Planning College-Wide Planning Programs/Units Planning
Strategic (Five-Year Cycle) Master (Three-Year Cycle) Operational (Annual Cycle)
Mission Mission Mission Strategic
Plan Academic Plan Program/Service Unit Plans
Goals Administrative Plan Goals
Objectives College Advancement Plan Objectives
Strategies Emergency Management Plan Budget Requests
Responsible Parties Enrolment Management Plan Assessment Review
Institute’s Needs Master Plan Revision
Allocation Facilities Farm Plan Report
Assessment Financial Plan Budget Plan
Review Information Technology Plan Strategic Initiatives

138
Revision Marketing Communications Plan Operations
Report Compliance
Inflation

STRATEGIC PLANNING, RESOURCE ALLOCATION, AND ASSESSMENT

Strategic planning is an ongoing, participatory, inclusive process, designed to support
continual improvement in strategic areas to meet the Institute’s mission and vision.
Purposeful integration of planning, budgeting, and assessment is a hallmark of the
strategic plan, which is reviewed semi-annually and updated annually.
The institute’s strategic plan has eight goals:

I. STUDENT SUCCESS: The institute integrates its hallmark, Real Life-Real Learning,
into the fibre of the institution to improve student success.

A. Students are engaged in experiential learning, personal growth, and leadership

opportunities as reflected in all institutional practices and policies.

B. All academic program and service are as demonstrate student success through
cyclical and documented assessment.

C. Current students and alumni have access to a variety of effective institute’s to enable
them to be employed or enrolled in advanced study.
II. COMMUNITY PARTNERSHIPS: The institute is actively engaged in developing
synergistic partnerships with local and regional communities.
A. Synergistic relationships exist with key social service, academic, economic, and
political partners. The relationships will be nurtured and new ones will be developed both
locally and regionally.

B. The institute’s financial self-sufficiency is strengthened by leveraging the resources

across the communities it serves.

C. The institute must be recognized as a centre for cultural, educational, and economic
development.

III. CULTURAL COMPETENCE: The institute provides opportunities embedded in

curricular and extracurricular activities for cross-cultural learning that develops one’s
ability to understand, communicate, and effectively interact within a diverse society.
A. The institute’s academic curricula integrate a variety of behaviours that enhance
awareness, attitudes, knowledge, and understanding of world-wide cultural practices and
views.
B. Extracurricular activities enrich and extend student experiences and attitudes toward
cultural differences at local and global levels.
C. Campus constituent groups exhibit cultural awareness in their services to students
and the campus community.
IV. EFFECTIVE SCHOLARSHIP: Scholarship is an integral component of the institute.

A. Faculty is keeping current in respective disciplines and pedagogical theory.

B. Recognition of the institute faculty scholarly work is institutionalized.

C. Faculty is engaged with appropriate industry groups and participates more with the
greater community in discipline-related activities.

139
V. ECONOMIC AND ENVIRONMENTAL SUSTAINABILITY:

The institute aggressively fosters and promotes economic and environmental

sustainability.

A. The institute has improved financial stability by identifying cost savings on energy
and use of other natural institute’s (i.e., water, paper, etc.).

B. The institute works to achieve minimal environmental impact/carbon footprint and

becomes a demonstration site for best practices in sustainability.

C. The institute provides learning experiences as part of relevant courses and programs
and involves all students in sustainable experiential learning opportunities.

VI. MANAGED ENROLLMENT:

The institute has identified and developed the strategies necessary to enhance the
quality and diversity of the student body, improve the student experience and
satisfaction, improve student retention and graduation rates, and ensure the delivery of
a balance of academic programs that is responsive to a comprehensive needs analysis.
A. The College offers an appropriate mix of academic programs for traditional and non-
traditional students reflecting the needs of the workplace and engaged citizenry.
B. The institute uses a comprehensive recruitment and marketing plan to maximize its
enrolment profile.

C. Obstacles to student success have been identified and ameliorated, including

assurance that the academic services structure supports the enrolment and retention
needs of the College.
VII. NATIONAL RECOGNITION:

National recognition of the institute’s unique programs and achievements attracts and
retains highly qualified students, personnel, and partners.

A. Internal and external awareness of student, faculty, and staff accomplishments are
enhanced. Accomplishments of campus constituents are identified and recognized in a
coordinated and timely fashion.
B. There exists sufficient and consistent institute’s support for a variety of professional
efforts that result in national recognition.
C. Outside constituents will participate and attend campus academic and athletic events,
town hall meetings, and institutional advancement initiatives in greater numbers. The
College will conduct increased outreach to the regional and national community to
broaden national recognition through aforementioned initiatives.

VIII. SOLID AND DIVERSIFIED FINANCIAL BASE:

The institute’s financial base is diversified and sound.

A. Categorical state support for the institute is achieved.

B. Programs are adequately funded through an effectively balanced allocation of
institute’s and assessment of fees.
C. Increased revenue through sponsored programs, extended learning, institutional
advancement, and public service.

140
In order to make the strategic plan a meaningful, working document, strategies and
actions are identified for each objective along with the identification of responsible
parties, key performance indicators, institute’s needs, and connections to the strategic
plan.

MASTER PLANNING, INSTITUTE’S ALLOCATION, AND ASSESSMENT

Informed by strategic planning and connected to operational planning, master planning
provides ongoing direction for the College in broad areas such as academics, enrolment
management, information technology, facilities, and so on.

Each master plan is developed by the key personnel in the area for which the plan is
directed, often including input from multiple units. Each master plan is connected to the
College mission and has its own mission statement, goals, objectives, and measures of
success.

Academic Plan
The Academic Plan is in a nascent stage of development. The College engaged a
consultant who led the campus through academic prioritization. Through program
prioritization, the institute will achieve:

• Clarity of mission and focus for academic programs

• Program renewal and continuous improvement
• Appropriate funding for programs
• Reallocation of institute’s for new programs and initiatives
A task force is charged with collecting data for analysis of programs, preparing reports,
and making recommendations for prioritization of programs in three categories for
actions:

• invest/enhance
• maintain/restructure and
• suspend/eliminate of programs.
The results of the academic prioritization process will identify academic areas in which
the College can excel while disarming a tendency to “be all things to all people,” thereby
defining the future direction of academic programs for the College. Upon completion, the
academic prioritization process will articulate academic priorities that are aligned with
the College mission, will inform the Academic Plan, and will identify short and long range
plans, enrolment goals, staffing, delivery modes, pedagogical priorities, equipment,
space, other institute’s, faculty development, support services, technology, and
integration with Student Affairs. Completion of the Academic Plan will also result in
modifications to related plans – such as Enrolment Management and Information
Technology Plans..

College Advancement Plan

The comprehensive College Advancement Plan provides an overview of advancement
goals and objectives for the Office of College Advancement and the institute at large.
The plan provides a framework for a more effective, collaborative and synergetic
approach to college advancement that invites meaningful engagement of The institute’s
various constituent groups. Specifically, this plan identifies a critical need to build a
wider and more active “community of interest” that is actively involved in the
coordinated effort to advance the institute.

141
Emergency Management Plan
The emergency management plan is designed to outline a plan of action so that
emergencies can be dealt with immediately in a logical and coherent manner. Emergency
situations include but are not limited to natural disasters, system/utility failures, medical
emergencies, criminal actions, civil disturbances, chemical spills, fires, explosions, and
bomb threats.

This plan provides procedural guidance for the use of the incident command system in
organizing, coordinating, and directing available institute’s toward the control of an
emergency.
Additionally, the plan is a repository of critical information necessary for the immediate,
logical, and coherent response to an emergency situation. The plan does not create a
step by step response policy; instead it creates a framework for response and recovery.

Enrolment Management Plan

A successful enrolment management (EM) plan has to not only be linked with the
Institute’s strategic plan and financial plan, but it also must be fundamentally linked to
the academic and student success plans. The EM plan cannot exist in isolation; but
instead must be intertwined with other campus plans. The EM plan was originally
strategic planning process and was based upon a common enrolment planning model –
an environmental scan of current realities facing the campus and higher education in
general, assessment of opportunities, analysis of factors, development of strategies and
actions, identification of assessment measures, and a plan to analyze the progress of the
plan. With a change in administration in the directive for a no-growth plan was
dramatically modified to reflect a continuous growth plan. Therefore, the EM plan was
updated and linked to the Institute’s strategic plan, with new strategies and actions
identified. The plan has a macro level view of increasing overall enrolment through
enhanced recruitment efforts and strategies. Enrolment updates are also provided at
school faculty meetings once per semester and as appropriate in The institute’s daily
online news. The plan’s goals, objective, performance indicators, institute’s, assessment
data, and changes will be entered.

Facilities Master Plan

The facilities master planning process is designed to assess the campus’s physical plant
needs, based on enrolment projections, strategic, academic, and student life plans and
to develop a blue print for capital improvements which meet those needs. The process
includes an assessment of existing conditions, inventory of campus facilities (classroom
and lab capacity, etc.), and a comparison of current facilities to future needs for a ten
year period.

Through research, review of campus long term, consultation with a steering committee
composed of key stakeholders, and input from the entire campus community, the
consultant identifies plan adaptations and new construction required to ensure that
facilities are available to meet the academic and co-curricular mission of the campus.

Plans are developed, vetted and prioritized by the consultant following extensive
discussions across the campus community.

Farm Master Plan

In order to better connect the various academic programs housed within the School of
Agriculture and Natural Resources to the institute’s farm laboratory, a comprehensive

142
plan is being developed in conjunction with faculty, staff, students and administration.
The outcomes of the plan will facilitate greater student and faculty involvement at the
farm, encourage the use of agricultural best practices, and maintain fiscal responsibility.
Additionally, the Farm Coordinator will be charged with attending faculty meetings,
participating in academic program reviews, representing the College to the greater
agricultural community and providing input for future curricular offerings.

FINANCIAL PLAN
The Institute’s budget development and planning process helps the College manage
institute’ efficiently; maintain fiscal control; improve services and processes; and
allocate institute’ effectively.

Furniture/Equipment Replacement Plan

The Financial Plan is supplemented by a comprehensive furniture and equipment plan
process, designed to maintain a safe work environment, enhance the Institute’s
appearance, and strategically maintain the Institute’s assets. The plan utilizes a
transparent and participatory process for decision-making. The College maintains a
comprehensive inventory of furniture and equipment in a database that tracks all
campus property and the location and condition of each piece.
INFORMATION TECHNOLOGY PLAN
The institute Information Technology (IT) Plan serves as the guiding document for all IT
related work. This plan is reviewed and updated annually to gauge the progress towards
the obtainment of goals and objectives. Status reports are also provided periodically
throughout each year covered by the IT Plan. The status reports will serve as the
primary assessment tool for college management decision-making processes in regards
to the projects articulated within the IT Plan.
Communications and Marketing Plan

The Marketing and Communications Plan addresses a series of strategies and tactics
aimed at the enhancement of The institute’s public image. Activities of the plan explicitly
support and enhance the work of The institute’s offices of admissions, alumni, college
advancement, and academic affairs. The plan’s goals include raising the local, state and
national profile; increasing the positive awareness of the institute; enhancing the
academic reputation of The institute among key constituents, including alumni, donors,
parents, students, prospective students, faculty, staff and emeriti; supporting the
strategic goals of the Office of Admissions to increase the number of highly qualified
students who apply and enrol; building loyalty; and fostering a college-wide culture of
marketing and outreach strategies.
Operational Planning, Budgeting, and Assessment

The most frequent institutional planning, budgeting, and assessments focus on concrete
objectives that are specific to service areas, programs, and personnel within the College.
These processes that address day-to-day operations all contribute to college-wide plans
and the accomplishment of the strategic plan. Programs and services across the campus
are charged with demonstrating achievement of goals and improvement of operations
through an annual process of planning, institute’s allocation, and assessment

Academic Program Assessment Plan and Student Learning Outcomes

143
 The assessment of academic programs focuses on student learning (Student Learning
Outcomes – SLOs). Program assessment is an ongoing process that allows monitoring of
the efficacy of academic programs and making necessary improvements in a timely
manner.

As student learning is the central, core mission of the College, assessment of academic
programs is crucial to ensuring that the College remains true to the mission, provides
the best education possible for students, and allows faculty the opportunity to review
and reflect on their input to the learning process.

Non-Instructional Program/Unit Assessment Plan

Just as assessment of academic programs is an ongoing process to ensure the quality of
education for students, assessment of all non-instructional programs and units is a
continual process that supports the academic mission of the College. Program/unit
assessment allows monitoring of the efficacy of programs and services so that necessary
improvements can be made in a timely manner. Assessment of non-instructional
programs is crucial to ensuring that the College remains true to the mission, provides
the best support for student success, and allows staff the opportunity to review and
reflect on their contribution to campus operations. Operational plans for programs
and units have five parts:
• mission,
• goals,
• objectives,
• assessment measures, and
• criteria.
Integration of the Budget
The decision-making process for college budgets has been revised to be
transparent and participatory. The integrated annual budgeting process combines
planning, assessment results, and institute’s allocation to help units develop
budgets that are consistent with the Institute’s mission, goals, and assessment
results.
The budgeting process is conducted on an annual basis and is linked to the
annual reports and action plans generated at the strategic, master, and
operational levels using online management system. The institutional
effectiveness tools are designed to limit the subjectivity involved in institute’s
allocation. Education and training for stakeholders are considered essential
elements of the budgeting process.
Funding requests must be tempered with an appreciation for two distinct
realities:
first, institute’s are finite, with restoration of state appropriations unlikely; and
second, the College cannot be everything to everyone.

Therefore, funding is contingent upon the demonstration of explicit connections

to college priorities as enumerated in multiple levels of plans plus quantifiable
success and actions in relation to plans.
Flexibility is inherent in the budgeting process so that funds can be shifted to
address college priorities. The Institute’s Business Office facilitates the annual
budgeting process and provides training for groups and individuals. Using forms
provided by the Business Office, units request funds for recurring costs, one-time
strategic actions, and new initiatives. All requests require justification. Strategic

144
 funds require explicit connection to a goal, objective, and strategy of the
institute’s strategic plan.

Benchmarking and Institutional Research

Comparison Colleges
The use of benchmarks is helpful for institutions when defining success. Benchmarking
is a target, a standard against which progress is measured. Benchmarks are of two
types: Internal benchmarks, for which the college sets targets based upon past
performance in such
• areas as student satisfaction, student behaviours, student learning, and alumni giving;
External benchmarks, for which the college selects peer institutions for comparison in
such

• areas as graduation rates and retention rates.

Institutional Reports
There are a number of reporting requirements to fulfil each year that include pertinent
data about the College. System requires reporting on admissions statistics, student
charges, enrolment plans and reports, non-credit courses, students with disabilities,
transfer students, and library information.

4.3.3 Question

Write important key elements of institutional effectiveness.

4.3.4 Summary

Institutional effectiveness is the degree to which a university is meeting its stated

mission. It is based on a impact-oriented philosophy of continuous organizational
improvement. The effectiveness of an institution is not captured in what is taught and
how, but rather in what students have learned. It is not captured in how much time and
money is spent in doing research, but in how much new knowledge is generated through
research. It is not captured in the number of hours spent in community outreach, but in
the impact of those activities on the community. The institution discovers how effective it
is by assessing those outcomes.
Elements of the institutional effectiveness are detailed below.

STEP I. Identifying Outcomes-

An Outcome is a result for (or impact on) a customer or the institution that is a
consequence of the work that you do. (The outcome itself does not describe the
activities that you perform nor the service or product that you provide to get the
customer to that result.) Outcomes are directly related to the mission (purpose) and key
functional responsibilities of the department. A department should identify at least one
expected outcome for each of its functional responsibilities.
STEP II. Measuring Outcomes

A. Develop Effectiveness Indicators (Measures)- An indicator is the particular

characteristic, dimension, or element you will be measuring to monitor changes in

145
 your outcome attainment. It is a gauge you will use to determine whether you are
achieving your expected results.
B. Set Targets- Targets are the specific values on the indicator (like the marks on a
yardstick) that you are expecting to reach.
C. Collect the Data on your Measures- You knew it would come to this eventually.
You now have to collect the data that are going to tell you if you are having the
expected impact on your customer. Data collection is much easier if you have
defined your indicators/ measures and targets carefully.
D. Compute Results- Once you have collected your data, you will need to compute the
results (findings). This usually involves counting or aggregating the data, calculating
percentages or other descriptive statistics.
STEP III. Analyzing Outcomes

The third step in the cycle of assessment is to analyze your outcomes. You have your
results; you know if you met your targets or not. Now you have to determine what those
results mean for your department.
STEP IV. Applying and Using the Results

The purpose of assessing outcomes is to provide you with meaningful information that
will help you determine where modifications are needed (or wanted) to improve those
outcomes and make your department (and the university) more effective. Therefore, the
most important section of the assessment cycle is determining how the results will be
used to improve performance, and how those actions are articulated in the Action Plan.

4.3.5 Unit-end activity

Make a list of the key elements of institutional effectiveness followed by your institute.

4.3.6 Feedback

4.3.3 Question – Unit 4.3.3

4.3.7 References

• Alan Brown. (1965), Two Strategies for Changing Climate, The CSA Bulletin, pp
.64-80.

• Argyris, C. (19 64). Integrating the individual and the organization. New York:
Wiley & Sons, Inc.

• Arora, K. (1978). Difference between Effective and Ineffective Teachers, S. Chand

& Company Ltd., New Delhi.

• Bala, M. (1990). Leadership behaviour and educational administration. New Delhi:

Deep & Deep Publications.

• Davis, K. (1981).Human behaviour at work: Organisational behaviour. New Delhi:

McGraw Hill.

• Friedlander, F., & Pickle, H. (1968). Components of effectiveness in small

organizations. Administrative Science Quarterly, 13, 289-304.

146
• Maheswari, B.L. (1980) . Decision styles and organisational effectiveness.
Sahibabad: Vikas House.

• Miller, W. C. (1981). Staff morale, school climate and Educational productivity,

Educational leadership.

• Ross, Donald, H. (Ed ] , (1958). Administration for Adaptability, (Revised edition),

New York

• Schein, E.H. (1985). Organizational culture and leadership. San Francisco: Jossey
- Bass.

• Sharma, Motilal, (1971). School Organizational Climate: an Over view, Indian

Educational Review.

• Zammuto, R.F . (1982). Assessing organizational effectiveness. Albany: State

University of New York.

147
 Chapter 4
Strategic plan and assessment plan for Institutional
Effectiveness

Content Outline

4.4.1 Introduction

4.4.2 Learning Objectives

4.4.3 Strategic plan and assessment plan for Institutional Effectiveness

4.4.4 Strategic plan for Institutional Effectiveness

4.4.5 Assessment plan for Institutional Effectiveness

4.4.6 Summary
4.4.7 Unit-end activity

4.4.8 Feedback

4.4.9 References

4.4.1 Introduction

Institute is engaged in a continuous quality improvement process. The institution’s

institutional effectiveness process integrates institution-wide researched-based planning
and evaluation activities, which incorporate a review of programs and services, resulting
in continuing improvement and demonstrating that the institution is effectively
accomplishing its mission.
Centrality of Planning and the Institutional Mission Institutional effectiveness
continues to be a critical process for continuous evaluation and improvement of all
institute units, functions, services and programs. The institutional effectiveness
process at institute begins with the mission statement and strategic plan, which provides
the focus and scope of the institute’s activities. The extensive strategic planning
process serves as the implementation of institute's institutional effectiveness
process. As a result, Vision now serves as the foundation for institute's allocation of
resources for activities, programs, and personnel.

As part of the strategic plan, institute develops its unique Vision Statement, Mission
Statement, Role and Scope, and Values that will serve to guide the institution over the
next five years. The Institute Strategic Planning Committee drafts the vision, mission,
values and goals of the institution for review and consideration by the institute Board of
Trustees.

148
4.4.2 Learning Objectives

After the study of this chapter you will be able to-

a. Explain the Strategic plan for Institutional Effectiveness

b. Explain the assessment plan for Institutional Effectiveness

4.4.3 Strategic plan and assessment plan for Institutional

Effectiveness

Institutional Effectiveness Process

The key components of this comprehensive Institutional Effectiveness process include

a) Strategic planning and

b) Operational planning.
An evaluation component is included within each of these key activities.

Strategic planning allows the institution to develop a long-term direction and focus. As
a result, this process serves as the framework for continuous planning at institute. This
allows for the development of objectives by the president, derived from the institutional
goals identified in the five-year Strategic Plan. These objectives serve as key priorities
to be addressed within the next year to ensure that institute’s mission is fulfilled.
In summary, strategic planning serves to identify the intended purpose, direction, and
expected outcomes of the institute.
Operational planning allows for focused review of educational, administrative, and
support programs and services, based on the institute’s goals, objectives and expected
outcomes. Individuals at the implementation level are responsible for developing
different but complementary plans of action for service and improvement:
• Institutional effectiveness plans (IEPs) are developed by each institute
planning unit, to address the effectiveness of programs and services. The IEPs
serve to guide all employees in the design, implementation and changes in
procedures and services, based on the previous year’s evaluation and assessment
results.
• Student outcomes assessment plans (SOAPs) are developed by the faculty, to
focus on improving the effectiveness of teaching and student learning. The
results of assessment and student outcomes are used to review and revise their
SOAPs, with the ultimate goal of improving student learning.
Each of these plans is developed on an annual basis and includes a review of the
previous year’s activities and results. Linked to the Institute’s Strategic Plan, they allow
for broad-based involvement and participation by faculty and staff.

Both of the plans as well as Academic Program Review activities formally tie budgets to
planning. Each of these processes specifically request units to request and submit
recommendations for resources needed to improve programs and services. All plans and

149
evaluation reports are reviewed by the department chairs, deans or vice presidents, and
finally brought to and approved by the president.

Additionally, technology plays a critical and complementary role in the Institute's

evaluation process. Technology is being utilized in the implementation and maintenance
of the Institute's Institutional Effectiveness Process.
For example in addition to utilizing Pearson's Online Management System relating to
student learning outcomes, institute can also acquire Compliance Assist. This software
system will allow for a institute-wide systematic implementation of key elements of the
institutional effectiveness process.
Academic Program Reviews will be scheduled on a six-year cycle based upon different
CIP codes of programs undergoing program review in a given academic year. Annual
administrative and operational plans, program review documentation, and student
learning outcomes plans, reports of results, and reports of improvements implemented
and assessed are being documented and catalogued through the Pearson digital
solution, Compliance Assist and other electronic mediums.

Fig 4.1

Additional training and support will be provided to all of the faculty and staff that started
with the institute.

Faculty and staff will be engage in the development of plans as a part of the operational
planning process for institute. The Institute's institutional goals developed as part of the
strategic planning process will be further defined to include defined and specific

150
measures and objectives. The Institute Strategic Planning Committee determines that
this specific step should occur after the Institute

a) hired faculty/staff and

b) opened the Institute for classes

so that students could also be given the opportunity to participate in the process.
The Institute Strategic Plan, is designed to define and support how institute
accomplishes its mission. This new Plan consists of four distinct institutional goals and
their corresponding strategic directions. The four primary goals of institute’s Strategic
Plan include:
1. Pathways

2. Success
3. Community Engagement

4. Institutional Effectiveness
Thus, institute's new vision and mission statement and the creation of new institutional
goals that support these statements now serve as the framework for linking mission to
planning. By coupling these key processes with relevant information acquired through
the Institutional Effectiveness Process, the institute is positioned to assess and monitor
progress through a an ongoing and systematic process of continuous improvement.

Institutional goals are further defined with embedded performance measures and
standards that will be tracked and monitored to determine the extent to which each goal
and its supporting activities and expected outcomes are attained. These four goals, with
their corresponding strategic directions, form the cornerstone that supports the stability
and continuity of institutional effectiveness at institute.
The performance measures for each goal are being developed from benchmark data,
analysis of trends, expected outcomes, improvement from baseline data, and
institutional expectations. Utilizing Pearson's all digital solution and Compliance Assist,
institute is measuring and assessing its performance toward accomplishing its mission.
These assessment and data systems are allowing institute to improve instruction and to
enhance the learning experience for students.
For example, when actual outcomes fall short of expected standards, the weaknesses,
concerns or issues requiring improvement and attention for timely compliance will be
identified, addressed and implemented at the unit, department, program and
institutional levels. The extent to which institute has achieved its goals and objectives
will be communicated via various means, including the Institute Board of Trustees and to
campus-wide constituents, including faculty, staff, and student organizations, as well as
in divisional, departmental, and special meetings.
Institutional Research to Inform Planning

Planning and improvement decisions are the result of the analysis of both outcome
metrics and feedback provided by students and other institutional constituents. The
Coordinating Board requires the submission of record level student, faculty, and courses
at the beginning and then at the end of each institutional semester. The Coordinating

151
Board uses student record level data to track student progress, movement between
institutions, and post-graduation outcomes.

Student satisfaction has been monitored through a collection of student feedback

mechanisms in the form of surveys, evaluations of faculty, focus groups, as well as other
less formal mechanisms. Recurring studies providing student feedback of their
satisfaction, attitudes and values are captured through the administration and collection
of the following:
• Incoming Freshman Survey

• Student Satisfaction Survey

• Survey of Student Engagement (NSSE)

• Student Evaluation of Faculty

• Graduating Student Survey

These surveys will be evaluated and new forms of evaluation will be established.
Student progress is also tracked using both internally produced data like course grade
distributions that help faculty and administrators identify trends in high failure rate
courses throughout the curriculum so that interventions and improvements can be
implemented in an effort to boost student levels of success. The institute publishes
institutional information on the website. In addition, the reports submitted by institute
are audited by the state.

The data that is submitted to the Coordinating Board is aggregated and tracked over
time, providing rich sources of data to determine where strengths and weaknesses in
both student and institutional performance lie. Coordinating Board data that informs
strategic planning includes:

• Closing the Gaps Accountability System tracking institute participation,

success, excellence, research, and institutional efficiency and effectiveness

• Existing Program Review Data Resources allow institutions to compare

enrolments, number of awards, transfer data, persistence, licensure pass rates,
and time to degree against peer Texas institutions
• Online Resume that includes a 3-year historical view of enrolments, funding,
institutional versus peer group costs, financial aid, and graduation and
persistence rate compared to peers

• Carl Perkins Data Resources which detail technical skill attainment, licensure,
retention and transfer rates, non traditional student participation, employment in
non traditional fields, degrees and certificates awarded, and placement rates of
graduates by program.
• Annual Data Profile which provides data for access by gender, ethnicity, and
special populations; retention and remediation; graduates by gender, ethnicity
and special populations; cumulative outcomes for graduates; and contact and
semester credit hours generated.
• Annual Licensure Report provides the most recent outcomes of student
performance on licensure examinations in the seven disciplines requiring students
achieve certification in institute programs.

152
 • Data resources for Legislative Budget Board Performance
Measures include the percentage of course completers, university transfers,
percent of students meeting institute readiness standards, licensure exam data,
and the number of special population students enrolled.

• Developmental Education Accountability Measures track the attainment of

institute level competencies by students who entered the institution requiring
developmental education.
The resources above that provide data for analysis and consideration help to inform
decisions regarding where efforts and attention should be focused with regards to
students and their success, as well as the efficiencies of the institution.

Assessment
As noted above and as part of the institutional effectiveness process, institute requires
ongoing assessment and evaluation of all programs and services. Individual
departments/programs are responsible for the quality and effectiveness of the services
and programs they render, making them accountable for their assessment and
evaluation as well.

In support of this process institute will continue to collaborate with the institute
Partnership's Office.
As noted above, institute's Institutional Effectiveness Process embeds an evaluation
component by individual units of the institution, including the office of the president.
Additionally, the measures within each plan address several aspects of institute's
educational environment via campus-wide research and studies, thereby supplementing
the assessment of student learning outcomes, which generally occurs at the program
level.
Assessment and evaluation are generally divided into two separate areas:

(1) assessment and evaluation of student learning outcomes and student development,
and

(2) surveys and other constituent studies that provide feedback to decision makers.
Both complement each other and provide institute with a clear picture of the institute’s
performance and its impact upon its students, thereby demonstrating its success in the
fulfilment of its mission.

As the result of a need for more accountability in demonstrating the personal and
cognitive growth and development of its students, institute has designed student
learning outcomes assessment plans to determine the level of achievement and
development for each academic program, as well as the general education core
curriculum.

4.4.3 Question

Write importance of Strategic plan and assessment plan for Institutional Effectiveness.

4.4.4 Strategic plan for Institutional Effectiveness

Strategic planning can help you to improve the performance of your enterprise for the
next several years.

153
By steering you to find and focus on the handful of really big issues facing your institute.
It is the size and impact of these strategic issues that gives rise to the importance of the
strategic plan.
Effective strategic planning requires only a handful of procedures.

• Start by engaging commitment

• Purpose guides everything

• Analyze the institute in its context

• Decide strategies

• Evaluate plan execution.

Improve long-term performance of your institute, at dramatically reduced risk, with
these five simple strategic planning process elements or procedures.
Engage commitment from those people who will be affected by the plan

This is how you Start and ensure Support for planning, and the implementation of the
plan. The people you need to include are primarily the Chief Executive Officer and their
immediate reporting managers, and the layer of staff or management at one remove
from the Chief Executive Officer (CEO).

In turn the CEO must engage with the governing body, who in turn engage the
beneficiary groups they are there to represent. Other stakeholder groups may possibly
be affected by the implementation of the strategic corporate plan in the operation of the
enterprise. Their interests must be respected. It must be remembered that the processes
for engaging people operate in various ways in all the other stages of the planning
process.
Set long term strategic objectives for improved performance of the institute

These objectives should clearly further the enduring Purpose of the organisation. This
means knowing and spelling out for whom the institute exists, and what benefit the
institute seeks to provide this group. Every institute, whether private company or non
profit institute (NPO), should set out to benefit one clearly defined group of beneficiaries,
and a single, long term, verifiable, target figure should be set to reflect what it is trying
to do for them. If it cannot set such a target, the institute should be reformed until this
becomes possible.
The intended beneficiaries must be defined as one homogeneous group; in the case of
the business enterprise it is the owners or shareholders.
The benefit offered must also be homogeneous and capable of definition in just a few
words. In the business context, the proposed benefit is something like ‘increased
wealth’. The benefit must be capable of being targeted and of empirical verification-
essentially then, it must be quantifiable.

It must be of perceived significance to the beneficiaries, e.g. the benefit resulting from
the point of view of the shareholders is ‘improved prospects for an acceptable mix of
capital gains and dividends within a risk profile that is tolerable’.
Generate strategic options

Formal strategic planning calls for the Analysis of key strategic factors, short-listing the
really major strategic issues and the generation of Alternative strategies.

154
First, an attempt should be made to provide comprehensive strategies; that is, the plan
should consider all the truly important factors - the strategic elephants.

Secondly the strategies should not exhaust all available resources. Something should be
held in reserve. This recognizes uncertainty and adds flexibility to the plan.

Alternative strategies can improve the Adaptability of the institute in two ways. First, by
explicitly examining Alternatives, it is likely that the institute will find Alternatives that
are superior to the current approach. Second, the institute will encounter environmental
changes; if Alternative, contingency, plans have been considered for these changes, the
institute can respond more effectively. Processes of finding all the relevant significant
strategic factors will be covered on other pages about SWOT analysis, and methods for
generating theAlternative strategies will be under Business Strategy, for companies, or
nonprofit strategy making for other kinds of institute.

Evaluate and Decide on strategies

It is all too easy to go with the bright ideas that emerge from brainstorming strategic
alternatives. Effective formal planning uses systematic methods for evaluating the
various alternatives. Evaluate to ensure that they do not violate any constraints. Rate
the strategic options against the objectives. Ensure that all major strategic issues are
addressed. Then you are in a position to Design a set of strategies, based on a few key
Decisions. With this done you can proceed with some confidence to get approval from
the governing body, and convert the strategic intentions into specific work assignments
for individual managers, prepare budgets and project plans, and generally prepare to
implement the strategic plans.
Monitor Execution of the strategies against the long term objectives.

Having planned the work of implementing or Executing the strategic plan, you need a
system in place for working the plans as they get implemented. The plan should provide
for formal reporting at agreed intervals. To allow for corrective action, the monitoring
system should address the same objectives and factors determined as significant
through the planning process. Too often there is a disconnect between the plan and how
it is managed into reality.

All of the above essential procedures for strategic planning can be summarized as follows
Practical Corporate Planning is as useful as a S P A D E

START
Organizing to plan, engaging affected parties
PURPOSE
Sizing up the strategic challenge, setting targets
ANALYSE
Strengths, Weaknesses, Opportunities, Threats,
and generate options

DECIDE
Devising Strategies from the options looked at
Fig 4.2
EXECUTE
Evaluating and Action strategies

155
Put simply - find and decide what to do about the handful of really big issues facing your
business or any other institute. We call these biggest issues ‘strategic elephants'.

The strategic planning process and tools, such as SWOT analysis, offered here will help
you - directors, owners, managers - to find the elephants in your institute!

At simply-strategic-planning.com we provide advice on how to prepare and implement

practical plans to address the elephant sized strategic issues over the next few years.

These approaches, with their value-based management focus, will ensure that your
business or non profit institute (NPO) will have long run superior performance, and your
institute will also be at less risk of failure.
Wherever you are in the world, if you are keen to plan, develop, and manage a growing,
thriving institute, it’s important to learn about strategic planning, and the strategic
planning process.

4.4.4 Question

Write note- Strategic plan for Institutional Effectiveness

4.4.5 Assessment plan for Institutional Effectiveness

The assessment of Student Learning Outcomes is a self-sustaining system designed to

ensure a continuous process of assessment and improvement of instruction. Student
Learning Outcomes (SLOs) articulate the skills and abilities a student will obtain through
study at the College. Flowing from the College Mission, woven within the Strategic Plan
and tied to budgeting, outcomes assessment allows the College to affect change while
maintaining academic excellence.

Guiding Principles
1. The assessment of student learning outcomes is a faculty driven process honoring
academic freedom, faculty responsibility for the curriculum and shared
governance.
• Assessment of Student Learning Outcomes is the responsibility of all faculty.
• Assessment of Student Learning Outcomes is a collaborative process between
faculty and administration.
• Assessment of Student Learning Outcomes builds upon individual department
assessment efforts.
2. The assessment of Student Learning Outcomes includes systematic analysis of
outcomes data used to improve student performance. Analysis of Student
Learning Outcomes:
• Is tied to the teaching and learning process
• Identifies strengths and shortcomings in academic programs based on analysis
and reflection by the faculty.
• Results in improved student success through ongoing dialogue and analysis of
data.
3. The assessment of student learning is an ongoing, institutionalized process,
forging a culture of assessment.
• Sufficient resources shall be devoted to the assessment process.
• Assessment findings shall be communicated to the campus community.

156
Levels of Outcome Assessment
Institutional Level:
Institutional level student learning outcomes reflect the extent to which the mission and
goals of the institution are met in the Academic Program. These outcomes are assessed
though the General Education Curriculum.
Program Level:
Program level student learning outcomes address the extent to which the academic
program is effective. Program level assessment assesses General Education
competencies as well as program specific knowledge, skills and abilities.
Effective program level assessment is a perpetual process of evaluating, adjusting and
re-evaluating.
Course Level:
Course level student learning outcomes address the effectiveness of each individual
course, including General Education courses. They connect and support the program
level student learning outcomes and are assessed by a variety of instruments including
tests, presentations and evaluations.
An effective assessment process consists of the following five stages:
STAGE 1:
Development of Appropriate Program Student Learning Outcomes (SLOs)
• SLOs are specific to the program. They reflect the unique set of skills and abilities
obtained from a particular course of study.
• SLOs use action verbs.
• SLOs stress higher order thinking skills.
• SLOs are measurable.
• SLOs are explicit.
STAGE 2:
Development of Assessment Instruments and Time-Lines
• Assessment instruments are connected to the SLO.
• Rubrics are developed for transparent and objective evaluation.
• Assessment instruments are direct measures of SLO (supervisor evaluations,
capstone projects, etc.).
• More than one assessment method is used to evaluate an SLO.
STAGE 3:
Data Collected and Analyzed
• Appropriate populations are selected.
• Data collection is an on-going process.
STAGE 4:
Implementation of Change Curriculum and/or Instruction
• Pedagogy and/or curriculum is modified and documented to improve student success.
• Change is implemented across all sections of a course or program.
STAGE 5: Re-evaluate (Determine Effectiveness of Change)
• Repeat data collection and analysis.
STAGE 6: Report Findings
• Data reported to the faculty and College Community via College.

157
4.4.5 Question

Write note- Assessment plan for Institutional Effectiveness

4.4.6 Summary

The effectiveness of an institution rests upon the contribution that each of the
institution’s programs and services makes toward achieving the goals of the institution
as a whole. Institutional Assessment thus builds upon all other accreditation standards,
each of which includes periodic assessment of effectiveness as one of its fundamental
elements. This standard ties together those assessments into an integrated whole to
answer the question, “As an institutional community, how well are we collectively doing
what we say we are doing?” and, in particular, “How do we support student learning, a
fundamental aspect of institutional effectiveness?” Self studies can thus document
compliance by summarizing the assessments within each accreditation standard into
conclusions about the institution’s overall achievement of its key goals
An Institutional Effectiveness Plan (IEP) flows from the mission and vision of the College
and may be, in part, articulated in the strategic plan. The following five elements are
used to evaluate institutional effectiveness:
• Student graduation, retention, and transfer rates;
• Student placement rates;
• Level of graduate satisfaction;
• Level of employer satisfaction;
• Level of student engagement;
• Student learning outcomes.

4.4.7 Unit-end activity

Prepare a manual explaining the steps of the Strategic plan and assessment plan for
Institutional Effectiveness.

4.4.8 Feedback

4.4.3 Question – Unit 4.4.3

4.4.4 Question – Unit 4.4.4
4.4.5 Question – Unit 4.4.5

4.4.9 References

• Michael F. Middaugh, Planning and Assessment in Higher Education:

Demonstrating Institutional Effectiveness.
• Using Quality Benchmarks for Assessing and Developing Undergraduate Programs
• by Dana S. Dunn, Maureen A. McCarthy, Suzanne C. Baker, Jane S. Halonen,
Peggy Maki.
• Featherman, S. (2014). Higher education at risk: Strategies to improve
outcomes, reduce tuition, and stay competitive in a disruptive environment.
Sterling, VA: Stylus Publishing.
• Hollowell, D., M. F. Middaugh, and E. Sibolski. 2006. Integrating Higher
Education Planning and Assessment: A Practical Guide. Ann Arbor: Society for
College and University Planning.

158
 Chapter 5
Model of Institutional Effectiveness

Content Outline

4.5.1 Introduction

4.5.2 Learning Objectives

4.5.3 Model of institutional effectiveness

4.5.4 Summary
4.5.5 Unit-end activity

4.5.6 Feedback
4.5.7 References

4.5.1 Introduction

An Institutional Effectiveness (IE) model should provide answers to these questions: (1)
Who are we? (2) What are we trying to accomplish? (3) How well are we doing? (4) How
can we improve what we are doing? (5) What evidence exists that we have improved?

A good institutional effectiveness model should include the following:

a. a clearly defined unit mission or purpose statement
b. measurable administrative objectives and/or student learning outcomes that are
consistent with the mission or purpose

c. specific procedures or methods of assessment to be followed for achieving the

administrative objectives or student learning outcomes

d. specified criteria for success which are the targets for evaluating success and the
extent to which the objectives and/or student learning outcomes have been
achieved

e. documentation of the results and the use of results for the improvement of
academic programs and administrative and educational support services

4.5.2 Learning Objectives

The study of this chapter will enable the learner to

a. Understand the Model of institutional effectiveness.

4.5.3 Model of institutional effectiveness

Institutional Effectiveness (IE) is an ongoing, cyclical process by which the institution, its
divisions, its degree and certificate programs, and its administrative units gather,
analyze, and use data to ascertain how well they are accomplishing the college’s mission

159
and goals. Assessment results are used to make continuous improvements throughout
the institution.

Institutional effectiveness includes planning at three levels:

• the institutional level,

• the program or unit level, and

• the course/student level.

The Three Level Integrated Planning and Assessment Model is described below:
Three Level Integrated Planning and Assessment Model

Fig 4.5.1

Institutional Level
Development of an institutional strategic plan entails institution-wide involvement for
success. The Institutional plan is developed for a 5 year cycle and is assessed yearly to
measure success, institute changes for improvement, and make adjustments to the
institutional plan based on results of assessments. Each year institutional priorities are
reviewed, assessed, and modified if necessary.

Program/Unit Level
Program/unit level planning follows the Institutional Model in that each Program
Coordinator/Unit Director develops a plan for their area that supports the Institutional
goals and objectives. The yearly plans for each educational and support unit directly
support the Program’s/Unit’s goals and objectives.
Course/Student Level
The End of Year Course Assessment report guides course level planning. Student
Learning Outcomes that have been developed based on best practices in the discipline
are reviewed and assessed to ensure quality instruction and learning. Each level is
intricately linked and is impacted by the University’s mission, the institutional goals,

160
 assessment strategies within academic programs and administrative services units, and
the incorporation of results into the planning process for improvement.

Institutional effectiveness process is an ongoing, Institute-wide process of planning and

outcomes assessment for the purpose of documenting that the Institute is achieving its
mission and goals.
Institutional effectiveness essentially involves four major questions.

• The first question focuses on the Institute’s mission: “What is our purpose?”
• The second is stated in the President’s Vision: “What do we want to become?”
• The four themes of the Institute’s Strategic Plan provide the answer to the third
question: “How will we get there?”
• The fourth question, is a result of assessment as documented in the Desktop
Audit; “How well is institute doing its job in order to fulfill its mission?”

Institutional effectiveness involves a minimum of four steps:

1. Establishing a clearly defined mission or purpose;

2. Formulating educational goals consistent with the mission and strategic plan;
3. Developing and implementing procedures to evaluate the extent to which goals
have been achieved; and
4. Using the results of evaluations to improve programs and services.
A model for institutional effectiveness assists the Institute in the development of
meaningful student learning outcomes.
The Institutional Effectiveness Model depicts the essential components of the Institute’s
planning and assessment process.

Fig 4.5.2

161
The primary reason an institute assesses its effectiveness is to improve programs and
services. Each institute must take seriously its commitment to student achievement and
quality in every aspect of the institution.
STEP 1: Revisit the Mission Statement and Goals for the Service or Administrative Area.
If Area does not have a Mission Statement and Goals, develop them. Verify that the
Mission Statement and Goals are still current. If the unit does not have a mission
statement and goals, develop them. The mission statement is a broad statement of the
Area’s direction. The mission statement should reflect each Service or Administrative
Area’s contribution to the educational paths of students who encounter the unit
specifically. Goals are general statements (sometimes presented in bullet points) that
clarify the mission statement.
Step 2: Develop annual Objectives for the Service or Administrative Area

The objectives align with the unit mission and goals, the institutional Mission Statement,
and the current Strategic Plan. Objectives provide the basis for assessment and
therefore should be stated in measurable terms. Service and Administrative Areas have
objectives that can relate to process, satisfaction, or outcomes.

• Process-oriented: what the unit intends to accomplish. (E.g., level or volume of

activity, efficiency of processes, compliance with best practices or regulations)
• Satisfaction-oriented: client satisfaction level after receiving the service.
• Outcomes-oriented: what clients will know or be able to do after receiving the
unit’s services.

Each unit should have 3-5 annual objectives. You will not need to assess every objective
every year.

Step 3 (for Student Service Areas only):

Define the student learning/development outcomes/objectives for the Service Area
Describe what the students will know, do, or value after receiving a service or
participating in an activity.

The following prompts may be helpful in developing outcomes:

• Knowledge = workshops
• Skills = opportunities to apply new learning
• Attitudes/Values Clarification = facilitated reflection•
• Behaviour Change = facilitated interventions)

Step 4: Inventory existing and needed assessment methods.

Identify, list, and describe available data that can be used to conduct assessment (e.g.,
log of student Help Desk tickets, customer satisfaction surveys). Referring back to the
needs of the unit, identify what additional methods need to be used to provide the
necessary information for assessing activities within the unit.
Step 5: Collect and analyze assessment evidence.

staff members are available to help with the collection and analysis of the evidence.
Step 6: Based on the analysis, celebrate success and develop an Action Plan for
improvement where needed.
Each unit’s supervisor will be involved in the development and approval of an action
plan for the unit. Share assessment results and action plan with stakeholders.

162
Step 7: Submit the Annual Assessment Report to the Office of Institutional
Research, Assessment, & Planning.

The Area Assessment Coordinator is responsible for submitting the Annual Assessment
Report (the assessment plan, activities, results, analysis and action plan).

Important components of institutional effectiveness model

Annual Improvement Plans

An Annual Improvement Plan (AIP) is developed by each work unit at the institute to
support the overall institute strategic plan by focusing on goals that support the
instructional and administrative initiatives. The AIP facilitates the assessment of student
learning outcomes and the achievement of departmental administrative goals. Annual
Improvement Plan objectives support work unit goals and identify strategies to be
implemented and measures to be used in assessment. Each semester’s assessment
findings are incorporated into an enhancement action if needed, so that departments
may change current plans based on results or incorporate results into plans for the
coming year. Current year plans may be carried forward year to year if needed, or
terminated if the plan is completed. Analysis Questions are included in the AIP, and lead
departments through an analysis of changes made as the result of assessment.
Instructional department program assessment is accomplished using the Analysis
Questions as well as program data provided by the Office of Institutional Research and
Assessment. Action plans for improvement are incorporated into the AIP process,
resulting in continuous improvement of each work unit or department and ultimately, to
overall institute processes.

Institutional Assessment Committee

The Institutional Assessment Committee serves as a representative group of faculty,
staff, and administrators who reviews the institute detailed assessment report and
makes recommendations to departments where improvement in planning and
assessment is needed. The Director of Institutional Research and Assessment, who
reports to the Dean of Institutional Effectiveness, serves as the chair of the assessment
committee and meets with work unit supervisors individually on an ongoing basis to
provide assessment assistance.
Budgeting

Also included in the AIP is a field for each work unit to list the resources needed to carry
out departmental plans. The online budget platform, housed in the institute intranet’s
Modularized Information Environment (MIE), references the AIP goal or objective that
budget requests support. These mechanisms facilitate the integration of planning and
budgeting, providing immediate access to plans impacted by specific departmental
budget requests when being considered for approval by administrators. The Vice-
President of Financial and Administrative Affairs makes proposed budget presentations to
the Board of Trustees in regular meetings and called budget workshops to inform the
Board of resources needed to support AIP goals, objectives, and action plans prior to the
Board’s approval and adoption of the budget.

163
Planning Timeline
The annual planning timeline is consistent with the beginning of the academic year .
Plans are implemented as the academic year begins and assessments are conducted.
Institutional initiatives and results of assessments are used in the planning process for
the coming academic year. Preliminary departmental budgets are submitted to Deans,
and as budget development occurs, assessment results are used to modify and revise
requests.
Planning Support

The Office of Institutional Effectiveness (IE) supports planning and assessment processes
at the institute by providing resources and assistance. The office maintains a web page
on the institute website and resources on the institute intranet that serve as portals to a
description of the institute planning process, a faculty assessment manual, a staff
assessment manual, and institute enrolment data through Institute Information Available
Online.

External resources provide guidelines and resources. The IE office provides departmental
data from the previous calendar year to facilitate departmental self-assessments for
budgeting purposes and establishes planning timelines, conducts training, and leads the
institute’s strategic planning process. The IE office staff consists of the Dean of
Institutional Effectiveness, Director of Institutional Research and Assessment, a Data
Analyst/Programmer, and the Administrative Assistant.
Institute Advisory Committee and Council Structure

Many of the institute planning processes are accomplished through the Weatherford
Institute Advisory Committees and Councils system. Committees or councils are
assigned to address issues that impact multiple departments and benefit from broad-
based input. Council and Committee structure, purposes, memberships, meeting
agendas, and minutes are available on the institute information portal.

4.5.3 Question

• Explain in detail the model of institutional effectiveness.

4.5.4 Summary

The institutional effectiveness has received increasing attention in the higher education
over the past decade. This emphasis has mirrored calls for greater accountability from
the public, accreditation agencies, and state governments.

The primary measure of effectiveness is the cause and effect relationship between the
institution and student learning outcomes along with the institution's impact on society
and research.
We can define institutional effectiveness as a process by which the institution gathers
and analyzes evidence of congruence between its stated mission, purposes, and
objectives and the actual outcomes of its programs and activities. This definition
embraces the diversity of institutional effectiveness work, including assessment of
student learning outcomes, review of programs, and assessment of various performance
outcomes .This definition also informs us that articulating institutional purpose(s) is a

164
necessary antecedent to institutional effectiveness activities. Administrators, faculty, and
staff engaged in institution-wide assessment recognize the complexity involved in such
an endeavour. This complexity is echoed by Serban (2004) who notes that while the
"assessment movement" in higher education is now in its third decade, variation remains
with respect to implementation success. While there is generally little disagreement
about the importance of institutional effectiveness, there are ongoing concerns about the
implementation and sustainability of such initiatives within the higher education
community.

4.5.5 Unit-end activity

Prepare a model of institutional effectiveness for your institute.

4.5.6 Feedback

Question 4.5.3- Unit 4.5.3

4.5.7 References

• Birnbaum, R. 2000. Management Fads in Higher Education: Where They

Come From, What They Do, Why They Fail. San Francisco: Jossey-Bass.

• James O. Nichols, A Practitioner's Handbook for Institutional Effectiveness

and Student Outcomes Assessment Implementation.

165