Program audit training: Program

Standards, sub-standards &indicators

December, 2024
Nekemte, Ethiopia
Outline

Objective

Intoduction

The Nine standards

Objective

By the end of this session, the participants will:

Define the term standard

Explain the number of standards, substandard and

indicators for each area of evaluation.

Identify the main focus areas of each standards

Explain the main theme of the indicator

Describe what is to be evaluated in this indicator

1. A Brief look at Standards

something set up or established by an authority as a rule

for the measure of quantity, weight, extent, value, or
quality.
Standards are an important part of program and institutional audits in higher
education institutions (HEIs) because they help institutions:

Self-evaluate

Standards encourage institutions to assess their operations and offerings

against external criteria. This process helps institutions identify their strengths
and weaknesses relative to external expectations.

Improve

Standards can help institutions improve through self-directed improvement.

Standards,….

Accountability

Standards can help institutions be accountable

through a cost-effective system that provides expert
review, peer and public recognition, and on-going
consultation.

Public funding

In some countries, institutions that review against

EQA agency standards may be eligible for public
1. Overview of Program
Standards
S.No Standards Sub-standards Indicators
1 Program outcome 2 8
2 Curriculum 2 10
3 Learning, Teaching and 3 15
Assessment
4 Students 4 17

5 Academic Staff 3 13

6 Educational Resource 2 9

7 Research, and Community 2 12

Engagement
8 Program Management 2 12
Standard 1: program out come

This standard focuses on how new

program developed and existing
program reviewed, and its outcome
aligned with institution mission,
vision, and strategy.
Activity – Major activity
(Brainstorming)

1. Describe what is to be evaluated in this

standard
2. How new academic program developed
and existing program revied?
Sub-standard 1: Program
Development

Indicators:

1.1. The program has policies consisting of procedures,

guidelines and processes consistent with the policies for

introducing new program and periodically reviewing existing

programs;

1.2. The program addresses national priorities and needs for

the society and emerging role of the learner is consistent with

international standard professional and legal requirements for

1.3. The program learning outcomes are clearly
expressed and communicated to staff and students, it
also ensures the participation of principal stakeholders
reasonably in formulating and reviewing the processes.

1.4. The program learning outcomes indicate the

career and further studies options available to students
upon program completion

1.5. The program has a systematic approach in place

to obtain feedback from stakeholders to improve the
delivery of the study program, and it confirms up-to-
datedness and attainment of the program outcomes.
Program development…….
1.6. The program is approved by appropriate governing body.
Sub-standard 2: Alignment between Institutional
Mission, Program educational objectives, Program
Outcome, and course learning outcomes.
2.1. The program has clearly defined program educational
objectives, program outcome and course learning outcome
that are aligned with institutional mission
2.2. The program learning outcomes conform to academic
requirements of the study program and the Ethiopian
Qualification Framework.
Standard 2: Curriculum
Activity – Major activity (Think-
Pair-Share)

1. Describe what is to be evaluated in this

standard
2. How curriculum is Designed and Developed,
evaluated and reviewed?
Sub-standard 2.1: Design and
Development
2.1.1. The curriculum design is based on national and
international expectations of the academic discipline.

2.1.2. The curriculum incorporates core content of the

disciplines that are essential for understanding the
concepts, principles and methods that support the
program outcomes.

2.1.3. The curriculum takes into account the

indigenous knowledge that foster local potential.
Curriculum (2)

2.1.4. The curriculum considers the appropriate

professional, industry and good practices in the
field.

2.1.5. The learning outcomes of the program

clearly articulates the required learning domains
(knowledge, skills, values, behaviours, and
preparedness of learners) to became
professionals and responsible citizens.
Curriculum (3)

2.1.6. The curriculum design shows students’

clear career pathways.

2.1.7. The curriculum maintains the coherence

between learning and teaching activities and the
learning outcomes.

2.1.8. The total duration of the program, and

semester load are clearly defined and consistent
 Standard 3: Learning,
Teaching and Assessment
 Activity – Major activity

Describe what is to be evaluated in this

standard
Sub-standard 3.1: Learning
and Teaching
3.1.1. The learning-teaching methods re aligned
with learning outcomes.

3.1.2. The learning teaching activities encourage

the active participation of students in their
learning processes.

3.1.3. The program uses educational resources,

(including technology facilities) that are
Learning, Teaching and Assessment (2)

3.1.4. The program has co-curricular activities that will enrich students’

experiences, and foster personal development responsibility.

Sub-standard 3.2: Assessment Policy and System

3.2.1. The program has an assessment policy or

guideline that clearly describes assessment principles

and practices (including methods, frequency, scoring,

marking, remedial action and post-exam analysis

procedures.
Learning, Teaching and Assessment (3)

3.2.2. The program has mechanisms to ensure

the validity and reliability of the students
assessment system (including exam blue-print,
item analysis and exam bank).

3.2.3. The program has clearly regulated and

fairly administered mechanisms for students’
appeal and dispute resolution.
 Learning, Teaching and Assessment (4)

3.2.4. The academic security and integrity of assessment,

confidentiality of assessment results and academic records
are maintained in line with HEI’s policy.

3.2.5. The program has a system of assessment that

measures course and program learning outcomes and
informs students on progression and graduation.

3.2.6. The program has a functional system to conduct

item analysis, standard setting and to use the results for
decision making.
Learning, Teaching and Assessment (5): Substandard 3.3:
Assessment Methods

3.3.1. The program employs a variety of assessment methods and

tools to assess learning outcomes and competencies.

3.3.2 The program’s approach to overall assessment activities is

systematically and regularly reviewed to ensure its effectiveness

3.3.3 The program has a systematic assessment feedback mechanism

in place that identifies students’ academic strengths and areas of

improvement to enhance their learning

3.3.4 Information on the assessment is clearly provided to students

3.3.5 The assessments within the study program are adequate to

 Standard 4:
Students
 Activity – Major activity

Describe what is to be evaluated in this

standard
Sub-standard 4.1: Student
Selection and Admission Policy
4.1.1 Student selection and admission criteria for program are clear, fair and

in accordance with the HEI’s policies and regulations.

4.1.2. The criteria and process of student selection and admission are

published. Disseminated and publicly accessible

4.1.3 The program defines and periodically reviews intake capacity in

accordance with the available resources to ensure effective implementation

4.1.4 The program has established well-defined policies and mechanism to

facilitate student mobility which may include student transfer within

institution and between institutions nationally and internationally

4.1.5 Entry standard for the program are regularly reviewed based on
Students (2); Sub-standard 4.2 students
Counseling and Support Services

4.2.1 There are appropriate and adequate student support services (such as

physical, psychological, social, and financial support, and there is also n line

facilities, academic, nonacademic and career counseling provided to students

4.2.2 The program has a comprehensive student handbook that indicates

students’ support systems and makes it accessible to students. There is an

effective orientation program to new students about the program and the

available support mechanisms. Academic, nonacademic, career counseling

are provided by adequate and qualified personnel.

4.2.3 The program has effective mechanisms to identify and support students

with special needs and those who are at risk of not progressing academically.
Students (3)

4.2.4 The program evaluates students support

services regularly to ensure their adequacy,
effectiveness and safety.

4.2.5 There is an active mechanism for students to

voice their grievances and seek resolution on
academic and non-academic matters.

4.2.6 The program has clearly defined and

documented processes and procedures for handling
Students (4); Substandard
3:3 Students Progression
4.3.1 The program has appropriate strategies to
improve the retention, progression and competition of
rates of students in the program

4.3.2 The program ensures that more than 50% of the

graduates pass the exit exam

4.3.3. The program regularly reviews the effectiveness

of its strategies to ensure appropriate students
attrition, retention, progression and completion rates
 Students (5); Substandard 3.4:
Alumni

4.4 Alumni 4.4.1 There is an active mechanism

to trace employability and satisfaction of
graduates and employers (tracer study).

4.4.2 There is an effective use of formal system

and process for managing and maintaining
relationships with its alumni database.
Standard 5: Academic
Staff
Activity – Major activity

1. Describe what is to be evaluated in this

standard
2. Discuss on how academic staff selected and
recruited, supported and retention?
Sub-standard 5.1: Staff
Recruitment and Selection
5.1.1 The program has a well defines system in place for the appointment

and promotion of staff with appropriate qualifications, competences and

skills guided by considerations. This should result in an alignment with

institutional, national policy and international best practices

5.1.2 The program implements strategic approach to the planning and

management of human resources. The recruitment policy seeks a balance

between senior and junior academic staffs, academic and non-academic

staff, academic staff with multidisciplinary backgrounds and

specializations

5.1.3 The program has an adequate number of qualified full-time

Academic Staff (2)

5.1.4 The staff to student ratio of the program is appropriate to the

teaching-learning methods and complies with the program

discipline standard.

5.1.5 The program has clearly defined roles and responsibilities for

staff and has an academic code of conduct with efficient and fair

procedures for disciple, complaints and disputes resolutions.

5.1.6 The program regularly reviews the effectiveness of its

strategies and mechanisms of staff requirement, promotion and

retention to maintain conducive learning and teaching environment.

Academic Staff (3); Sub-standard
5.2: Staff Support and Retention
5.2.1 The program has a transparent staff
appraisal system addressing the roles of the
academic staff in teaching, research, community
engagements, and administrative functions.

5.2.3 Utilize the appraisal data to provide

timely and constructive feedback, improve the
performance of staff, and inform decisions,
benefits and awards.
Academic Staff (4); Sub-standard
5.3: Staff Professional Development

5.3.1 The program has an effective staff development program and offers

professional development to its staff based on appropriate needs assessment.

5.3.2 The program provides mentoring and formative guidance for new

academic staff as part of its staff development program.

5.3.3 The program provides the academic staff with the necessary training,

tools and technology for self-learning, access to information and for

communication .

5.3.4 The program supports and encourages the research activities of its

academic staff and ensures their academic freedom.

5.3.5 The program has national and international linkages for enhancement of
Standard 6: Educational
Resources
 Activity – Major activity

Describe what is to be evaluated in this

standard
Sub-standard 6.1: Physical
Facilities
6.1.1 The program has clearly stated and well-defined system in

place for procuring and utilization of educational resources in

line with HEI’s policy.

6.1.2 The program has sufficient and appropriate resources,

including equipments and facilities for training to ensure

effective delivery of the curriculum. Educational resources are

distributed according to the educational needs of the study

program and they are well maintained .

6.1.3 The program ensures that learning and teaching resources

Educational Resources (2)

6.1.4 The physical facilities comply with the relevant laws, and with

health and safety regulations including accessibility to people with

disabilities.

6.1.5 The program has a functional library accessible to students

and staff with adequate capacity.

6.1.6 The library has adequate resources and facilities (such as

latest references, electronic resources, digital library, qualified staff,

and other facilities including appropriate information and

communication technology, mediated reference materials) to

Educational Resources (3)

6.1.7 The program has appropriate information

and communication technology infrastructure

(including computer laboratories) that are

required for the study program .

6.1.8 The program regularly reviews resources

ensure that they are appropriate and effectively

support the process of learning and teaching.

Educational Resources (4); Sub-
standard 6.2: Financial Resources

6.2.1 The program has sufficient

resources to undertake its
operations.
Standard 7: Research and
Community Engagement
 Activity – Major activity

Describe what is to be evaluated in this

standard
Substandard 7.1: Research

7.1.1 The program has a policy and procedure that identifies the
priorities and researcher’s recognition of research output.

7.1.2 The program provides adequate budget and sufficient facilities

for the research activities of its staff and promote research activities.

7.1.3 The program encourages national and international research

collaboration and cooperation.

7.1.4 The program ensures that its research activities conform to

internationally accepted quality standards. The program ensures
that misconduct, including plagiarism, is prevented and compiled
with ethical standards.
Research (2)

7.1.5 The program regularly reviews the effectiveness

of its approach to research and community
engagement planning and management to ensure
quality research output and outcomes are achieved.
7.1.6 The program has dedicated budget for research
and community engagement.
7.1.7 The program ensures that the outcomes of
research are appropriately integrated into the learning
and teaching activities and community engagements.
Substandard 7.2:
Community Engagement
7.2.1 The program has a system and process for planning, implementing,

monitoring, and evaluating community engagements in line with HEI policies.

7.2.2 The program defines the community it serves, assesses its needs and

requirements, and takes these into consideration for its activities .

7.2.3 The program has a well-defined coordinated approach to the identification

of, and engagement with, industry, employers, professions and the community.

7.2.4 The program encourages and supports staffs and students to engage in the

industry and community engagement activities that lead to productive

relationships.

7.2.5 There is a strong industry linkage for the program delivery and periodically

reviewing the effectiveness of the linkage .

Standard 8: Program
Management
 Activity – Major activity

Describe what is to be evaluated in this

standard
Substandard 8.1: Leadership
and Decision Making
8.1.1 The program has administrative structure and adequate staff that

are qualified to support the implementation of the educational program.

8.1.2 The program has policies, procedures and mechanisms for regular

reviewing and updating (functions, strategies, core activities, and

resources) to ensure continuous quality improvement.

8.1.3 The program has a transparent governance structure that aligns

with the program goals to realize the three pillars (teaching-learning,

research and community engagement).

8.1.4 The program has effective regular reporting procedures about

learning-teaching, research, and community engagement.

Leadership and Decision
Making (2)
8.1.5 The program ensures creating institutional

memory (archives, institutional emails) for smooth

transition of academic leaders.

8.1.6 The program describes the representation and

roles of the academic staff, students and other

stakeholders in committee’s activity and decision-

making.

8.1.7 There is a periodic review of the program which

Leadership and Decision Making
(3)
8.1.8 The governing body of the program is an
effective decision-making with adequate degree of
autonomy.
8.1.9 The program provides, accurate, relevant and
timely information about the program which are
easily and publicly accessible, especially to the
prospective students.
8.1.10 The program has a risk management
Substandard 8.2: Allocation
of Resources
8.2.1 The program has a balanced and
transparent budget and educational resource
allocation for the core functions.
8.2.2 The program ensures the allocation of
sufficient resources and efficient utilization. This
in turn enables to achieve the objectives of the
program effectively and responsibly.
Standard 9: Continual
Quality Improvement
 Activity – Major activity

Describe what is to be evaluated in this

standard
Standard 9: Continual Quality
Improvement
9.1.1 The program has a system for monitoring,
evaluating and reviewing the effectiveness of its
governance structures.

9.1.2 The program has a publicly available

quality assurance policy and
procedure(including regular reviewing and
updating of its internal quality assurance
activities) to ensure continuous quality
Substandard 9.2: Implementation
of Continual Quality Improvement
9.2.1 The program has a mechanism for continuous and need based

staff capacity building

9.2.2 The program’s continual quality improvement covers all units

of operations. The quality assurance activities provide feedbacks to

support the program’s goals

9.2.3 The program’s quality improvement activities focus on

enhancement and quality culture development. The program

ensures the active involvement of academic and support staff and

students in the operational process of continual quality

Substandard 9.3: Monitoring and Evaluation
of Continual Quality Improvement

9.3.1 The program has a mechanism to periodically gather

and analyze a variety of data (including feedback from
students, instructors and stakeholders), and use results for
program improvement.

9.3.2 The program has an internal quality monitoring and

review committee for continual review of the program to
ensure its currency and relevancy.

9.3.3 The program reviews its quality assurance system for

its effectiveness and impact periodically.
Substandard 9.4. Documentation
and Dissemination

9.4.1 The program has a

mechanism to identify and
disseminate good practices to the
stakeholders and the wider
community.
Discussion