Higher Education Relevance and Quality Agency

HERQA Institutional Quality Audit

Institutional Quality
Auditing
A Notebook for Auditors

Document reference HERQA QAO2/07/V1

Date of issue February 2007

This applies to audits to be undertaken from April 2007

Further copies of the document can be obtained from

HERQA
PO Box 1367
Addis Ababa
Ethiopia

Phone 011 156 55 50 and 011 156 55 63

Fax 011 156 55 50

This document is also available for downloading from the HERQA web site
(www.higher.edu.et)
 Higher Education Relevance and Quality Agency

HERQA Institutional Quality Audit

Institutional Quality Auditing

A Notebook for Auditors

Contents
Page

Purpose of this Document 3

Background 3

Structure of the Notebook 3

Using the Notebook 4

Focus Area 1 Vision, Mission and Educational Goals 5

Focus Area 2 Governance and Management System 7

Focus Area 3 Infrastructure and Learning Resources 9

Focus Area 4 Academic and Support Staff 12

Focus Area 5 Student Admission and Support Services 15

Focus Area 6 Program Relevance and Curriculum 18

Focus Area 7 Teaching, Learning and Assessment 20

Focus Area 8 Student Progression and Graduate Outcomes 25

Focus Area 9: Research and Outreach Activities 28

Focus Area 10: Internal Quality Assurance 31

Page 2 of 36
 Higher Education Relevance and Quality Agency

HERQA Institutional Quality Audit

Institutional Quality Auditing

A Notebook for Auditors

Purpose of this document

This Notebook for Auditors is for the use of individual auditors engaged in institutional quality
audits. It is intended to be used to record information and judgments before and during an
institutional quality audit. The efficient use of the document should enable different members
of the audit team to compile and compare information easily, to discuss personal judgments
with other members of the audit team and reach a consensus view on each of the ten
HERQA institutional quality audit focus areas. The use of the document should also help with
the preparation of the institutional quality audit report which is the major output of the quality
auditing activity.

Background
An institutional quality audit report prepared by HERQA will provide a description and
evaluation of the quality of a Higher Education Institution’ s (HEI’s) educational provision and
of its mechanisms for assuring quality and relevance. Reports will make clear HERQA’s
confidence in the ability of the HEI to provide appropriate education. A HERQA institutional
quality audit report will highlight elements of good practice and make recommendations for
improvements.

In carrying out institutional quality audits of HEIs, quality auditors will need to be able to
describe and make judgments of the policies, practices and resources of the institutions they
visit. HERQA has established ten focus areas for institutional audits (Areas of Focus for
Institutional Quality Audits: HERQA QA02/06/V1) and a quality audit must report on all of
these. Not only that, but the nature of that reporting must be consistent across all quality
audits regardless of the HEI and the quality auditing team and the judgments made must be
based on a comprehensive description of each focus area and a thorough discussion of this
evidence. It was thus seen as important that HERQA provide each institutional quality auditor
with a ‘Notebook for Auditors’ that will help to structure their work and seek to ensure
common practices.

Structure of the Notebook

The notebook is organized by institutional quality audit focus area. There are thus ten main
sections each corresponding to one focus area. Each main section is structured in a similar
way. A section (focus area) may start with a brief statement about that focus area. There
follows Indicative Sources of Information on the focus area. Each section then lists each of
the Reference Points for that focus area and provides headed writing spaces for a
description of the area (taken from the self assessment document and normally
supplemented by further information gained during the audit) and observations on the
description. Under the next heading is listed the threshold descriptor for that Reference
Point. Under the final heading for each Reference Point (conclusion) there is space for a
conclusion on that Reference Point.

Once all the Reference Points have been similarly dealt with the final part of each section
provides headings to organize writings on general conclusion on the focus area as a whole,
note best practices, record points for improvement and suggest advice for the HEI.

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Following the section on the final institutional quality audit focus area there are structured
spaces to record an Institutional Overview under headings of general conclusions, best
practices, points for improvement and advice.

It is important to recognize that the Notebook merely beings together, organizes and
structures information from other documents with a view to helping auditors to carry out their
tasks thoroughly and efficiently and to seeking to ensure that different auditors and auditing
teams have a core of common practice and a systematic record of their work.

Using the Notebook

The Notebook is best used in electronic form. Information from the Institutional Self
Evaluation Document can be pasted into appropriate sections of the Notebook before an
audit visit and this supplemented by further information gathered during the institutional audit
visit. The electronic version of the Notebook can be used during the audit to record
observations and conclusions for each of the reference points for each of the ten institutional
quality audit focus areas. The notebook can also record the overall conclusion for each focus
area with notes of best practice, points for improvement and suggestion for advice. The
notebook should be seen as a ‘live’ document that is edited through the course of an audit
visit as more information becomes available and conclusions are reviewed and subsequently
changed or consolidated.

Alternatively, the Notebook can be used in ‘hard copy’ in the same way as indicated above or
alternatively may serve merely to structure notes recorded elsewhere.

No matter how the Notebook is employed it is regarded as an important tool for auditors to
use in an institutional quality audit and will provide an audit trail so enabling each member of
the audit team to demonstrate that they have information on each of the ten focus areas of
an institutional quality audit and the views that they have taken on each of these.

It is possible that the Chairperson of an auditing team will wish to maintain a team Notebook
to inform the content of the audit report and it is likely that each auditor will also be asked to
provide the Chairperson with their Notebook (or equivalent notes) to inform the report.

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Focus Area 1 Vision, Mission and Educational Goals

Quality assessment starts by looking at an institution’s vision, mission, and educational

goals. The institution’s mission should define clearly its purpose within the higher education
system, state the goals it intends to accomplish and make explicit the stakeholders it intends
to serve and why. Every HEI must define clearly its vision, mission and educational goals
and make them known to its stakeholders.

Indicative Sources of Information

 Documentation on legislation; vision, mission and goal statements; strategic plan.

 Interviews with senior management, stakeholders, students, academic staff and
administration staff.

Reference Point 1.1

 The clarity of the vision, mission, and goals of the institution and the extent of their
communication.

Description

Observation

Threshold Descriptor
Existence of a written statement of vision, mission and goals.

Evidence that the statement has been made know to the HEI community.

Conclusion

Reference Point 1.2

 The relevance of the institutional vision, mission and goals to the needs of the
nation and to the stakeholders it sets out to serve.

Description

Observation

Page 5 of 36
Threshold Descriptor
Mission vision and goal statements refer to meeting the needs of the nation and the
stakeholders the HEI sets out to serve.

Conclusion

Reference Point 1.3

 The realism of the vision, mission and goals and the strategic plan for their
achievement.

Description

Observation

Threshold Descriptor
Existence of a written strategic plan to achieve the vision, mission and goals.

Conclusion

General Conclusion on Focus Area 1

Best practices

Points for improvement

Advice

Page 6 of 36
Focus Area 2 Governance and Management System

Every HEI must have in place strong governance and management systems. The governing
body should have sufficient powers to assure institutional autonomy and integrity and the
senior management team must have delegated responsibilities to enable actions consistent
with the vision, mission and goals of the institution.

Indicative Sources of Information

 Documentation on legislation; description of organizational structure; institutional

policy documents; job descriptions; annual performance reports.
 Interviews with Governors, senior management, Department Heads, Deans,
student council members, academic staff and administration staff.

Reference Point 2.1

 The appropriateness and effectiveness of the governance and organizational

structure to facilitate the successful accomplishment of the vision, mission and
goals of the institution.

Description

Observation

Threshold Descriptor
Evidence that a functional governing body exists.

Evidence of an organizational structure that relates to the vision, mission and goals of
the institution.

Conclusion

Reference Point 2.2

 The clarity of descriptions of responsibilities and duties and the extent of their
communication.

Description

Observation

Page 7 of 36
Threshold Descriptor
Existence of documented job descriptions, roles and responsibilities.

Evidence that roles and responsibilities have been made known to the HEI community.

Conclusion

Reference Point 2.3

 Academic staff and student participation in decision-making; clarity and

transparency of the decision making process.

Description

Observation

Threshold Descriptor
Evidence that staff and students are represented on decision making bodies.

Evidence that the HEI community are informed on how decisions are made.

Conclusion

General Conclusion on Focus Area 2

Best practices

Points for improvement

Advice

Page 8 of 36
Focus Area 3 Infrastructure and Learning Resources

HEIs should provide clear, accurate and adequate information on the capacity of the
institution, its facilities and resources. Every HEI must have sufficient and appropriate
physical facilities and learning resources and the financial capacity to ensure effective
delivery of its programs.

The facilities in HEIs should be suitable and adequate for the effective teaching and learning
of the numbers of students admitted. Institutions should ensure that the resources available
to support student learning are adequate and appropriate for each program offered.

Indicative Sources of Information

 Description of facilities and resources; inventories.

 Survey of physical facilities and learning resources.
 Interviews with senior management, Librarian, Deans, Department Heads,
Academic Program Officer, Coordinator of the Academic Development and
Resource Centre, students, academic staff and administration staff.

Reference Point 3.1

 Sufficiency and adequacy of the institution’s physical facilities (classrooms;

offices; lecture halls; cafeteria; dormitories; clinic; sport fields; etc.).

Description

Observation

Threshold Descriptor
Evidence that the physical facilities are in line with the requirements for accreditation

Conclusion

Reference Point 3.2

 Sufficiency and adequacy of the institution’s learning resources (library; computer

centers with appropriate software and hardware, audio-visual equipment; Internet
access; laboratories; workshops; etc.).

Description

Page 9 of 36
Observation

Threshold Descriptor
Evidence that the learning resources are in line with the requirements for accreditation.

Conclusion

Reference Point 3.3

 Resource utilization and mechanisms for maintenance and updating.

Description

Observation

Threshold Descriptor
Existence of a system for determining resource utilization.

Existence of a system for resource maintenance.

Existence of a system for resource updating.

Conclusion

Reference Point 3.4

 The financial stability of the institution and the adequacy of its budget to run and
sustain its programs.

Description

Observation

Page 10 of 36
Threshold Descriptor
Existence of a balanced budget statement for the financial year.

Existence of balanced budget forecast statements for subsequent financial year(s).

Conclusion

General Conclusion on Focus Area 3

Best practices

Points for improvement

Advice

Page 11 of 36
Focus Area 4 Academic and Support Staff

The quality of an educational program depends strongly on the quality of the staff who
provide teaching and student support. Institutions should ensure that their staff recruitment
and appointment procedures include a means of making certain that all new staff have the
necessary level of competence. Every HEI must have sufficient and appropriate staff to
ensure effective implementation of its programs.

Indicative Sources of Information

 Documentation on legislation; faculty manuals; staff development policy; staff

workload documents; student/staff ratios; minutes of meetings at departmental,
faculty and senate level; etc.
 Interviews with senior management, Deans, Department Heads, Academic
Program Officer, Coordinator of the Academic Development and Resource
Centre, students and academic staff.

Reference Point 4.1

 Availability of adequate number of qualified academic staff to support programs

and an appropriate staff-student ratio for each program.

Description

Observation

Threshold Descriptor
Data available on the number of staff teaching on each program, their experience and
qualifications.

Data available on the staff/student ratio for each program.

Data available on staff/student ratios in the classes for each program.

Evidence that staffing is in line with the requirements for accreditation.

Conclusion

Reference Point 4.2

 The suitability of the teaching staff in terms of the mix of qualifications,

experience, full-time/part-time, local/expatriate; etc.

Description

Page 12 of 36
Observation

Threshold Descriptor
Data available on the mix of staff teaching on each program.

Conclusion

Reference Point 4.3

 The existence of suitable, clearly stated, well-established and effectively

implemented policies for the appointment and promotion of staff.

Description

Observation

Threshold Descriptor
Existence of a written policy on staff appointments.

Existence of a written policy on staff promotion.

Evidence that staffing policies are implemented.

Conclusion

Reference Point 4.4

 The operation of a transparent staff appraisal system that identifies the strengths
and weaknesses of staff and which leads to action.

Description

Observation

Page 13 of 36
Threshold Descriptor
Existence of documentation on a staff appraisal system.

Evidence that a staff appraisal system is in operation.

Evidence that action follows staff appraisal.

Conclusion

Reference Point 4.5

 The provision of pedagogical and other training organized to support staff

development.

Description

Observation

Threshold Descriptor
Existence of records of staff training undertaken in the previous 12 months and/ or
planned to take place in next 12 months.

Conclusion

General Conclusion on Focus Area 4

Best practices

Points for improvement

Advice

Page 14 of 36
Focus Area 5 Student Admission and Support Services

Every HEI must have a transparent admissions policy and adequate student support services
to ensure effective implementation of its programs.

Indicative Sources of Information

 Student enrollment data; student handbooks; documents on careers guidance;

documents on student counseling; etc.
 Interviews with senior management, Dean of Students, Students’ Council,
students, academic and administration staff.

Reference Point 5.1

 The clarity, transparency and accessibility of admissions policies.

Description

Observation

Threshold Descriptor
Existence of a written admissions policy.

Evidence that the admissions policy is known in the HEI community.

Conclusion

Reference Point 5.2

 The appropriateness of mechanism for assessing the abilities of entering students

and the provision of appropriate support.

Description

Observation

Threshold Descriptor
Evidence that the attainment of entering students is documented and made available to
appropriate academic staff.

Evidence that the attainment of entering students is used to inform teaching.

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Conclusion

Reference Point 5.3

 The suitability and adequacy of student support services and academic

counseling.

Description

Observation

Threshold Descriptor
Existence of student support services.

Existence of arrangements for student academic counseling.

Conclusion

Reference Point 5.4

 The extent of student representation in the affairs of the HEI; the effectiveness of
a Students’ Council.

Description

Observation

Threshold Descriptor
Existence of a formal mechanism for representative student voices to be heard.

Evidence that student views are considered.

Conclusion

Page 16 of 36
General Conclusion on Focus Area 5

Best practices

Points for improvement

Advice

Page 17 of 36
Focus Area 6 Program Relevance and Curriculum

Every HEI is expected to justify the relevance of its programs and to have robust procedures
for curriculum design, approval and review.

Indicative Sources of Information

 Description of the curriculum (program and course) approval procedures.

 Minutes of meetings of committees dealing with curriculum approval, monitoring
and review at departmental, faculty and senate level; curriculum review reports.
 Course catalogs showing the structure and aims of each program; course aims,
descriptions, indicative activities; book lists.
 Interviews with senior management, Deans, Department Heads, academic staff,
students, graduates and employers.

Reference Point 6.1

 Descriptions of program approval, monitoring and review mechanisms.

Description

Observation

Threshold Descriptor
Existence of systems for program approval, monitoring and review.

Evidence that systems are used systematically and effectively.

Conclusion

Reference Point 6.2

 The extent of involvement of external professionals and employers in curriculum

design, evaluation and review process.

Description

Observation

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Threshold Descriptor
Evidence of external input into the curriculum.

Conclusion

Reference Point 6.3

 The extent to which curricular aims and objectives are made explicit and are
known to students; the appropriateness of the balance of subject knowledge and
transferable skills.

Description

Observation

Threshold Descriptor
Existence of written statements of aims and objectives for each program.

Inclusion of transferable skills in statements of aims and objectives of programs.

Evidence that students are aware of the aims and objectives of their program.

Conclusion

General Conclusion on Focus Area 6

Best practices

Points for improvement

Advice

Page 19 of 36
Focus Area 7 Teaching, Learning and Assessment

Every HEI must employ appropriate teaching, learning and assessment methods to ensure
effective implementation of its programs.

Indicative Sources of Information

 Documentation on legislation; policy documents on teaching and assessment;

academic calendar; faculty handbooks; student handbooks; examination
committee reports; reports of reviews of teaching, learning and assessment;
minutes of meetings at departmental, faculty and senate level; etc.
 Classroom observation.
 Interviews with senior management, Deans, Department Heads, Academic
Program Officer, Assessment Officer, Coordinator of the Academic Development
and Resource Centre, students and academic staff.

Reference Point 7.1

 The appropriateness, variety and level of innovation of teaching methods.

Description

Observation

Threshold Descriptor
Evidence that a range of teaching methods are used.

Conclusion

Reference Point 7.2

 Practice regarding academic advice and tutorial support.

Description

Observation

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Threshold Descriptor
Evidence that academic advice and support are given to students.

Conclusion

Reference Point 7.3

 The balance of theory and practice.

Description

Threshold Descriptor
Evidence that programs have a mix of theory and practice where this is appropriate

Observation

Conclusion

Reference Point 7.4

 The extent of evaluation of approaches to teaching and learning and the

consequent action.

Description

Observation

Threshold Descriptor
Evidence of the evaluation of teaching and learning approaches and consequent
action.

Conclusion

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Reference Point 7.5

 The extent to which the assessment policy and procedures and the criteria for
marking ensure that students are graded fairly and that standards are appropriate
and applied consistently.

Description

Observation

Threshold Descriptor
Existence of a written assessment policy.

Evidence that assessment policy is implemented.

Evidence of use of standard marking procedures that are seen to be applied

consistently and fairly

Conclusion

Reference Point 7.6

 The extent of communication of the assessment policy and procedures.

Description

Observation

Threshold Descriptor
Evidence that the HEI community is aware of the assessment policy and the standard
marking procedures.

Conclusion

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Reference Point 7.7

 The appropriateness of mechanisms to ensure that assessment methods for each

course in each program are balanced (e.g. between continuous and end of
course, formative and summative, diagnostic and attainment), are matched to the
learning outcomes and are applied appropriately.

Description

Observation

Threshold Descriptor
Evidence that a variety of assessment methods are used.

Evidence of actions taken to match assessments to expected learning outcomes.

Conclusion

Reference Point 7.8

 The adequacy of the student appeal procedures.

Description

Observation

Threshold Descriptor
An effective student appeal system in place in place and that this is know by students and
used by students.

Conclusion

General Conclusion on Focus Area 7

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Best practices

Points for improvement

Advice

Page 24 of 36
Focus Area 8 Student Progression and Graduate Outcomes

Every HEI is expected to document student progression and graduate outcomes and to seek
to improve student retention and achievement.

Indicative Sources of Information

 Registrar’s Office reports; data on student attrition and completion rates; graduate
newsletters; tracer studies of graduates, lists of employer contacts; employer
feed-back reports; etc.
 Interviews with senior management, Registrar, Coordinator of Employment
Guidance, academic staff, students, graduates, employers.

Reference Point 8.1

 The level of student attrition, the reasons for student drop out and the actions
taken to minimize this.

Description

Observation

Threshold Descriptor
Data available on student attrition.

Evidence of action taken to minimize student attrition.

Conclusion

Reference Point 8.2

 The graduation rate, the employment of graduates in appropriate graduate level

posts and the actions taken to maximize such employment.

Description

Observation

Page 25 of 36
Threshold Descriptor
Data available on graduation levels.

Data available on graduate destinations.

Conclusion

Reference Point 8.3

 The extent of links between the institution and potential employers that facilitate
graduate employment.

Description

Observation

Threshold Descriptor
Data available on the links between the institution and potential employers of its
graduates.

Conclusion

Reference Point 8.4

 The extent of contacts with graduates, the existence of an association of

graduates and how these are used.

Description

Observation

Threshold Descriptor
Data available on the contact details of graduates.

Conclusion

Page 26 of 36
Reference Point 8.5

 The extent of contacts with employers to collect feedback on graduates and the
actions taken on the information.

Description

Observation

Threshold Descriptor
Data available on the destinations of graduates.

Conclusion

General Conclusion on Focus Area 8

Best practices

Points for improvement

Advice

Page 27 of 36
Focus Area 9 Research and Outreach Activities

Every HEI is expected to undertake research activities, conduct consultancy and engage in
community service.

Indicative Sources of Information

 Research and publication office reports; collections of recent publications;

minutes of meetings at departmental, faculty and senate level; summary of links;
etc.
 Interviews with senior management, Coordinator of Research and Publications;
Deans; Heads of Department; academic staff.

Reference Point 9.1

 The proportion of staff in each faculty and department actively engaged in

appropriate research and consultancy.

Description

Observation

Threshold Descriptor
Data available on research/ consultancy undertaken by named staff in last 12 months
and/or plans to do so in next 12 months.

Conclusion

Reference Point 9.2

 The number and nature of research projects and consultancies undertaken.

Description

Observation

Threshold Descriptor
Data available on research and/or consultancy undertaken in last 12 months and/or
plans to do so in next 12 months.

Page 28 of 36
Conclusion

Reference Point 9.3

 The number of research reports produced and research articles published.

Description

Observation

Threshold Descriptor
Research report(s)/article(s) produced in last 12 months or due to be published in next
12 months are available.

Conclusion

Reference Point 9.4

 The number and nature of organizations benefiting from consultancy and

community services.

Description

Threshold Descriptor
Data available on the number and nature of organizations benefiting from consultancy
and community services.

Observation

Conclusion

Reference Point 9.5

 The number and nature of national and international links with academics and
industrialists.

Page 29 of 36
Description

Observation

Threshold Descriptor
Data available on the number and nature of national and international links with
academics and industrialists.

Conclusion

General Conclusion on Focus Area 9

Best practices

Points for improvement

Advice

Page 30 of 36
Focus Area 10 Internal Quality Assurance

Internal Quality Assurance is a planned and systematic monitoring and review processes
established by a HEI to determine the quality and relevance of its programs and the
appropriateness of its infrastructure. A robust and transparent quality assurance system
conveys confidence in the quality of the provision of a HEI to its staff, to students, to
employers and to other stakeholders. HEIs should have a policy and associated procedures
for the assurance of the quality and relevance of their programs. They should also commit
themselves explicitly to the development of a culture which recognizes the importance of
relevance, quality and quality assurance in all their work. HEIs should develop and
implement a strategy for the continuous enhancement of quality. The ultimate goal of internal
quality assurance is to have a culture of quality care which ensures that quality is a focus of
all the activities of an institution at all levels and is incorporated into the everyday work of the
whole institutional community. Every HEI must have an internal quality assurance system
that seeks to continuously improve the quality of its provision.

Indicative Sources of Information

 Quality Assurance policy; documentation on quality assurance procedures; quality

assurance reports; institutional self evaluations; minutes of meetings at
departmental, faculty and senate level, etc.
 Interviews with senior management, Coordinator of Quality Assurance Unit,
Academic Program Officer, Coordinator of the Academic Development and
Resource Centre, Deans, Department Heads, academic and administrative staff,
students.

Reference Point 10.1

 The quality assurance policy.

Description

Observation

Threshold Descriptor
Existence of a written quality assurance policy.

Conclusion

Reference Point 10.2

 The quality assurance system and mechanisms.

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Description

Observation

Threshold Descriptor
Evidence of operation of a quality assurance system.

Conclusion

Reference Point 10.3

 Actions taken following program evaluations.

Description

Observation

Threshold Descriptor
Evidence of program evaluation and action taken/ planned to be taken in next 12
months following a program evaluation.

Conclusion

Reference Point 10.4

 The nature and appropriateness of responsibilities of quality assurance units,

committees and individuals and the extent to which these are communicated
clearly.

Description

Observation

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Threshold Descriptor
Existence of an entity responsible for quality assurance.

Evidence that the quality assurance responsibilities are known to the HEI community.

Conclusion

Reference Point 10.5

 The appropriateness of the procedures for obtaining comprehensive data on the

quality of the institution and the actions taken to enhance quality.

Description

Observation

Threshold Descriptor
Existence of systematically collected data to assure quality.

Evidence that, based on data collected, actions are taken to enhance quality.

Conclusion

Reference Point 10.6

 The extent of procedures to identify good practice and ways in which this is
disseminated.

Description

Observation

Threshold Descriptor
Existence of procedure to identify good practice.

Evidence that good practice has been disseminated or will be disseminated in next 12
months.

Page 33 of 36
Conclusion

General Conclusion on Focus Area 10

Best practices

Points for improvement

Advice

Page 34 of 36
 Institutional Overview

General Conclusions

Best practices

Points for improvement

Advice

Page 35 of 36
In keeping with HERQA's commitment to continuous improvement, it is intended that
this document will be reviewed regularly and updated as required. Users of this
document are invited to contribute to this review at any time by alerting HERQA to
any perceived errors and providing constructive written feedback on its utility.

New versions of this document will be indicated by a new issue date and a change in
the last character of the reference number.

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