MANAV RACHNA INTERNATIONAL INSTITUTE OF RESEARCH AND STUDIES (Deemed to be University under section 3 of the UGC Act 1956)
Policy No. MRIIRS-IQAC-PL-RM/2020-21
MRIIRS Policy and Procedures for Administrative Audit (Effective from the date of notification)
Notified vide MRIIRS/IQAC/AU-ADMN/2021/04
dated: 23rd February 2021
MANAV RACHNA INTERNATIONAL INSTITUTE OF RESEARCH AND STUDIES Sector -46, Surajkund Badkhal Road, Aravali Hills, Faridabad- 121004
HARYANA
MANAV RACHNA INTERNATIONAL INSTITUTE OF RESEARCH AND STUDIES (Deemed to be University under section 3 of the UGC Act 1956)
The 3-member committee has been constituted for the preparation of draft Administrative Audits. 1. Dr. Naresh Grover (PVC, MRIIRS) 2. Dr. Rashima Mahajan (Director, IQAC) 3. Dr. Virender Narula (Professor, Mechanical Engineering) The format for data compilation of administrative Audits and Format for Administrative audit report has been approved by the authorities on 23rd February 2021.
INDEX
S. No
Description
Pages
1.
Purpose
1
2.
Scope
1
3.
Quality Audit Committee
1
4.
Reporting
2
5.
Audit Process and Procedure
2
6.
Action on the Audit Process
3
7.
Exigency, if any
3
Administrative Audit Performa
4-5
Annexure I
GUIDELINES AND PARAMETERS OF ADMINISTRATIVE AUDIT 1. PURPOSE Administrative units are the backbone of the University’s core business. The purpose of administrative audit will be to develop a system for conscious, consistent and catalytic action to improve the administrative performance of the institution. It will also ensure to promote measures
for
institutional
functioning
towards
quality
enhancement
through
institutionalization of best practices.
2. SCOPE An administrative audit shall be conducted to ascertain the presence and adequacy of quality assurance procedures, their applicability and effectiveness in guaranteeing quality of inputs, processes and outputs. Specific objectives are to: a) Define the main areas of focus towards quality assurance and enhancement in teaching-learning b) Identify the processes and procedures used by departments for quality assurance and enhancement in each of the focus areas c) Appraise the adequacy and effectiveness of the quality assurance processes and procedures d) Make appropriate recommendations for continuous improvement of the processes and procedures after taking feedback of all stakeholders used for quality assurance and enhancement. 3. QUALITY AUDIT COMMITTEE The university will appoint a Quality Audit Committee (QAC) for each Administrative Cluster which will be constituted as follows: a) Head of the concerned section (Coordinator) b) One member of IQAC (to be nominated by Vice-Chancellor) c) Outside expert (to be nominated by Vice-Chancellor) The concerned section head will facilitate the audit. The term of a committee shall be two years. The coordinator shall organize administrative audit and produce the required documents and records to the IQAC. The audit process will be completed in the month of July-September and remedial measures to be initiated by October.
1
4. REPORTING The purpose of administrative audit is not judgmental but to cause quality improvement to happen. The auditors will produce a report that describes the recommendations for improvement. The audit report will be made available to the auditee who shall respond to the issues raised in the report. The report will be sent to Director IQAC and concerned quarter head for further information and record. The response of the auditee shall be part of the final audit report which shall be approved by the competent authority. 5. AUDIT PROCESS AND PROCEDURE The Audit process shall be as follows: a) The University will appoint a Quality Audit Committee for each Administrative cluster. The constitution of this committee will be as follows: -
Head of the concerned Section (Coordinator)
-
One member of IQAC (to be nominated by Vice Chancellor)
-
Outside Expert (to be nominated by Vice Chancellor)
b) The schedule for Audit shall be finalized in consultation with outside expert of each Audit Committee. c) The coordinator will make ready all the relevant records for presentation before the committee along with the information as filled on Audit Proforma. Annexure I d) At the time of audit, members of the unit will be made available for interaction with the committee. e) The committee will prepare a summary of main observations. f)
The audit report will be made available to the auditee who then responds to the issues raised in the report.
g) The report will be sent to Director IQAC and concerned quarter head for further information and record. h) The concerned section will initiate a plan of action on the recommendations of the QAC for further improvement of the quality and standards. i)
The report of the action taken is presented at the next due meeting of the IQAC.
j)
The departments review the action taken at the end of each Academic Year. In the light of assessment new set of measures will be taken for next Academic Year.
The central Administrative Audit coordinator will fully facilitate the Audit process.
2
6. ACTION ON THE AUDIT REPORT The concerned section will initiate a plan of action on the recommendations of the QAC for further improvement of the quality and standards. The report of the action taken shall be presented at the next due meeting of the IQAC. 7. EXIGENCY, IF ANY Notwithstanding anything stated in these guidelines, for any unforeseen issues arising, and not covered by these guidelines to conduct Administrative Audit, or in the event of differences of interpretation, the Vice-Chancellor may take a decision, after obtaining if necessary, the opinion/advice of a Committee constituted for this purpose. The decision of the Vice-Chancellor shall be final.
3
Annexure I: Audit Proforma
MANAV RACHNA INTERNATIONAL INSTITUTE OF RESEARCH AND STUDIES FARIDABAD Format for Administrative Audit Part-A Name of Cluster: AY: (To be filled by each concerned section/ branch under cluster) Name of the Section/Office Administrative Head of the Section/Office 1 Work domain/ areas of work of section/ office. (Describe in 500 words) 2 Organizational Structure/ Organogram of section/office with defined roles/ responsibilities of each associated staff member 3 Standard Operating Procedures/Processes followed by the Section/Branch as per assigned mandate/ roles and responsibilities 4 Details of record maintained by the section/ office. (Enlist records and documents used in section/office) 5 Innovative practices (Describe any two innovative practices of section/office) 6 Compliance to previous audit (Action Taken Reports for Previous Audits)
4
Part-B (To be filled by Audit Team) Cluster: Section/Office: Date of Visit: A. Para-wise observations/ remarks on Part A highlighting strengths and areas of concerns: 1 Work domain/ areas of work of section/ office. (Describe in 500 words) 2 Organizational Structure/ Organogram of section/office with defined roles/ responsibilities of each associated staff member 3 Standard Operating Procedures/ Processes followed by the Section/Branch as per assigned mandate/ roles and responsibilities 4 Details of record maintained by the section/ office. (Enlist records and documents used in section/office) 5 Innovative practices (Describe any two innovative practices of section/office) 6 Compliance to previous audit (Action Taken Reports for Previous Audits)
B. Suggestions for improvements:
Signature and Name Head of Section/Office
Signature and Name Audit Team members
5