APJ ABDUL KALAM TECHNOLOGICAL

UNIVERSITY
ACADEMIC AUDITING
Dr.K.Gopakumar
17-10-2019
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 OBJECTIVES

• To ensure academic accountability.

• To monitor and enhance the quality of education through

proper guidelines for both teaching faculty and students

• To define effectiveness of teaching – learning process and to

devise methodology to confirm maximum output from
faculty members as well as students.

• To ensure that the colleges are following OBE in its true

sense.
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STRUCTURE OF THE AUDITING SYSTEM
Comprises of two bodies
the Internal Quality Assurance Cell
(IQAC) at the Institution level
the External Auditor at the University
Level.
The IQAC will function as a body assisting the
External Auditor.

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 The composition
• Chairperson: Head of the Institution
• Teachers to represent all level (Three to eight, the
senior among them will be the coordinator/director)
• One member from the Management
• One senior administrative officer
• One nominee each from local society, students and
alumni
• One nominee each from Industry and Professional
body
The IQAC should meet at least once in every quarter.

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 Auditing
• The key aspects are categorised into A,B and C.
• Aspects in A category are very important, requires
meticulous checking.
• Aspects under B category are also important, not as
important as A category
• Aspects under C category are for information purpose
• Random checking can be employed for assessing aspects
under B and C
• Wherever numerical values are possible, give it in the column
• Give specific remarks against each key aspect (at least for A
category items). Note that your remarks are more valuable
than the ratings.
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COLLEGE SPECIFIC
ASSESSMENTS
Compliance to the Verify various academic activities
Academic Calendar such as commencement of the
of KTU (B) semester, dates of internal tests,
dates of publishing of marks etc. by
cross checking with KTU academic
calendar, the college academic
calendar and course diary.

Functioning of Verify minutes and action taken

students grievances reports
and appeal
committee (B)

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Facility for co- Evaluate by interaction with students and
curricular and also by verifying certificates of
extracurricula achievements
r activities (C):

Average This can be calculated as {20xTotal number of

faculty}/{Total sanctioned strength for all
student to programmes}. The rating is to be given according to
faculty ratio value obtained. Rating is EXCELLENT if the value is 1
(A): or more, GOOD if it is more than 0.9, and so on.
Give the value of student to faculty ratio index in
REMARKS COLUMN. Sanctioned strength and
actual strength are available in KTU website for all
the colleges. Number of regular faculty may be
verified from the attendance registers.

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Faculty If the Average student to faculty ratio is
Retention (A) maintained at 1 or more throughout the
year rating is EXCELLENT, GOOD if it is
more than 0.9, FAIR if it is between 0.75
& 0.89, POOR if it is between 0.6 & 0.74
and VERY POOR if it is less than 0.6.

Faculty FQ = (10 X + 4 Y)/F where X is number of

Qualification regular faculty with PhD, Y is number of
Index (A) regular faculty with PG, F is number of
regular faculty required to comply 1:20
faculty student ratio. Rating is EXCELLENT
if the value is 7 or more, GOOD if it is
more than 5.5, and so on.

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 Verify the technical staff strength
Number of qualified from the attendance register, and
technical staff (A) rate according to the strength.

Facility of central If the central library has books

library with respect to and journals as per AICTE norms,
volume and title of rating is EXCELLENT. Else, rating
may be given accordingly.
books, online & print
journals (A)

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Functioning of IQAC Can be judged from the report
and Progress of IQAC uploaded in KTU portal. If all
relevant records are maintained
report uploading (A) and reports are uploaded in time,
EXCELLENT can be given; else
grade accordingly

Principal's response If the Principal has responded,

on previous audit rating may be given according to
reports (A) the genuineness, VERY POOR may
be awarded if the Principal has not
responded timely.

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PROGRAMME
SPECIFIC
ASSESSMENTS

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Evaluation of Verify that work record is evaluated
student’s on the same day and viva is
conducted on each lab class. Give %
performance in (average) of experiments completed
practical classes in REMARKS column.
(A):

Conduct of Do random verification of question

Practical test (A): papers and sample answer scripts.
Assessment can be done based on (i)
scheme of valuation (ii) distribution of
marks awarded.

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Facility to do Verify whether all experimental set
experiments in the ups are available by verifying the
stock register, log register etc.
lab (A):

Conduct of Verify the register for recording the

remedial/minor/hon details of conduct of
ours classes (B): remedial/minor/honours classes.

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Conduct of Do random verification of question
internal tests (A) papers and sample answer scripts.
Assessment can be done based on (i)
punctuality of valuation (ii) distribution
of marks awarded.

Syllabus Verify course diary, sample work record,

coverage of etc.
practical course
(A):

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Class/course Verify report and minutes of
committee meetings. If meeting is
committee meetings not held mention so in the REMARKS
and action taken column.
report (B):
Advisory meetings Verify report and minutes of
and action taken committee meetings
report (B):
Conduct of Tutorial Verify details recorded in the log
Classes (B): book. Rating may be given based on
the mode of conduct and
effectiveness of tutorial classes.
Note deficiency in conduct of
tutorial classes under REMARKS
column.
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Maintenan Verify course diary. It should contain details
ce of such as syllabus, course plan, assignments,
attendance, internal test marks, extra classes,
course etc.
diary (A):
Assessm The following details are to be verified:
Whether internal and assignment question papers
ent of mention about COs and knowledge levels?
Outcomes Whether the question papers confirm to knowledge
(A): levels?
Whether appropriate tools are used for CO/PO
assessment?
Whether targets are fixed as specified in section 5?
Whether CO/PO attainment calculation completed?
Whether there is continuous improvement?
The rating can be given based on above parameters.

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 Attainment Calculation
CO Attainment
Percentage Weightage for Direct and Indirect Components

Direct Indirect
80 20

Weightage for different Direct assessment Tools

Internal Assign Tutori Course End Semester Total

Exam ment al Project Exam
30 20 10 10 30 100

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 TARGETS FOR CO ATTAINMENT
First Time
Internal Evaluation
Average of Internal Marks for the same Course
and Program in the previous 3 Academic Years
End Semester Exam
Average of End Semester Exam in the previous 3
Academic Years
Subsequent Academic Years
Not less than Previous Year Target,
Continuous Improvement Desirable
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 Fixing Attainment Levels

80% or more students Score More than Set Target : 3

70% students Score More than Set Target :2
60% or more students Score More than Set Target : 1
Less than 60% students Score More than Set Target : 0

TARGET Internal: 62%, End Sem: 58%

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 Sample CO Attainment Calculation
Student % marks % % marks %marks
Internal marksAssi Project End Sem
Exam 30 gn 20 20 30
Direct Attainment of CO1=
1 75 85 80 75 1.7×0.3+2.5×0.2+3×0.2+2.
5×0.3=2.36
2 60 80 75 68
Let the attainment through
3 55 75 50 55 Course Exit Survey be 2.8
4 90 68 68 80 Over all attainment of
CO1=
5 80 60 90 45 2.36×0.8+2.8×0.2= 2.45
6 75 90 68 82
7 78 85 75 70
8 48 60 70 65
9 70 80 85 50
10 40 60 60 78
11 64 70 70 67
12 90 70 80 85
% students 66.7 75 83.3 75 21
above target
 CO - PO MAPPING, PO ATTAINMENT
Direct attainment: 70% Indirect Attainment: 30%
Attainment

PSO1

PSO2
PO10

PO12
Level

PO11
PO1

PO2
PO3

PO4

PO5

PO6

PO7
PO8

PO9
CO

EC101.1 2.8 3

EC101.2 2.6 3 3 3

EC101.3 2.4 2 5

EC101.4 2.7 - 5

EC103.1 1.9 3
Direct Attainment of PO1 = (2.8+2.6+2.4×0.66+1.9)/4 = 2.22
Let the Indirect attainment of PO1 be 2.7
PO1 overall attainment = 2.22×0.7+2.7×0.3 = 2.364
MAPPING-EVIDECE-ATTAINMENT 22
Faculty Verify the file containing faculty evaluation
evaluation & and action taken on it. Can be assessed
based on (i) number of feed backs taken (ii)
remarks of % of students participated (iii) corrective
the HOD (A): actions taken etc.

Facility in the Verify the facility in the department library

department and check the log register.
library for
references (C)
Conduct of Assess the conduct and evaluation of
Seminar & seminar/mini project for UG/PG according to
Mini project relevant clauses in the ordinance. Verify
whether proper references are done prior to
(A) selection of seminar topic and sample
reports. 23
Conduct of Assess the conduct and evaluation of
Project/Thesis project/thesis for UG/PG and see whether
proper references are done prior to
(A): selection of project topics and sample
reports.

Faculty with Verify the faculty list and rate as

PhD for the EXCELLENT if one PhD faculty is there for
program (A): each PG program. Else rate it as POOR.

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Students attending Verify the file showing the details
of UG/PG students
MOOC or other online undergoing/undergone MOOC
courses (B): courses. It can be rated as
EXCELLENT if at least 10% of UG
students and 50% of PG students
are there in the list.
Computing facility in the Check whether enough computing
department (A): facility is available for both UG/PG
students.

Facility available in the Verify whether all relevant licensed

department to do thesis software is there in the computer
lab for both UG/PG students for
work including relevant doing their project/thesis work.
licensed software (A):
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INTERACTION WITH
STUDENTS

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1. Syllabus coverage (B):
2. Lab Facility and conduct of Labs (B):
3. Co-curricular facility (C):
4. Extra-curricular facility (C):
5. All intimation from University conveyed
properly in time (A):
6. Approach of the management in
addressing student grievance (B):
7. Availability of Faculty for all subjects (B):
8. Any other remarks (C):
9. Extra fees/fine imposed on students (B):

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 EXTERNAL AUDITOR
 Inform the Principal/IQAC coordinator of the
College where auditing is assigned
 Carry out audit meticulously
 Verify all documents
 Prepare the report by giving remarks against
all columns
 Upload the report within one week of the
audit
 Submit TA/DA/Honorarium bills within two
weeks of the audit
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Thank You

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