4.

QUALITY ASSURANCE CONCEPTUAL FRAMEWORK

4.1 The Input-Process-Output-Outcome Conceptual Framework

Quality assurance can be depicted on the basis of a conceptual framework that considers a university
as a productive system, in which inputs are transformed, through processes, into outputs. The
outputs have impacts or outcomes which are the long-term effects produced by the transformation
processes. The model also includes a context dimension that defines the environment, i.e. the
related strengths, weaknesses, opportunities and threats. The model depicted in Figure 2 shows the
basic components of this framework.

INPUTS PROCESSES OUTPUTS OUTCOMES

What comes What is done The results The effects
into the system. with the inputs Outputs are the Outcomes are specific measurable
immediate institutional or community level
Inputs are the Processes involve
measurable results results that are produced in a given
direct or indirect the use of the
necessary to produce time frame, such as new programs
human, resources or inputs
the outcomes. or processes that will be sustained
organisational or in a system. This
Outputs are a direct for some time.
material resources includes all
consequence of the Outcomes are the logical result of
required to activities or actions
implemented outputs. Outcomes reflect the
implement and required to produce
activities objectives. Outcomes lead to
carry out the results
impacts which are the changes in
planned activities of
living conditions of populations.
a programme or
Impacts reflect the goals.
project

CONTEXT
For the University, the conditions and developments at the national/international level are
an important category of contextual conditions
Macro-economic policies National goals for HE Student body composition
Governance system Requirements of the HEA Degree of M&E
Leadership Requirements of the ZAQA

Figure 2: Inputs-Processes-Outputs-Outcomes Framework

The sections that follow discuss the various indicators used in the model given in Figure 2.
Indicators are used to:
(a) to determine the state or condition of a system;
(b) to monitor its development and progress over time (compared to, for example, predefined
objectives with numbers attached to them);
(c) to measure its strengths and weaknesses;
(d) to assess the degree of effectiveness in the provision of services; and
(e) to inform policy-makers on the functioning and efficiency of the system.

For the University’s teaching and learning function, the example given in Table 1 serves to illustrate
the use of the model.

.
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Table 1: An Example of the Use of the Inputs-Processes-Outputs-Outcomes Model

Inputs Processes Outputs Outcomes

Student grades,
Student
Educational graduation rates,
demographics, Student learning, skills and
Students programmes, employment
Students entry values developed
services offered statistics, credit
qualifications
hours generated
Teaching loads, Publication Publication citations data,
Expertise,
Academic class sizes, numbers, grants staff development,
experience,
staff services/support generated, credit contribution to
skills
offered hours generated specialisation/discipline
Statistics on
Campus
Policies, resource Contribution to student
resources,
Resources procedures, availability, learning and faculty and
facilities,
governance participation staff development
accessibility
rates

Quality assurance strategies shall provide a framework of good practices with respect to inputs,
processes and procedures in order to improve the quality of outputs and outcomes. Quality assurance
shall take place at three levels – formative, summative and external.
(a) The formative shall allow the University and its staff to reflect on the relevant work areas
and assess further actions for improvement.
(b) The summative reviews shall provide an indication of the status of the University in meeting
its objectives as reviewed against best practices and other requirements.
(c) External audits are needed to ensure that quality processes are established in accordance
with national and international benchmarks and standards. External quality evaluations
should be conducted periodically by external expert panels. These evaluations identify areas
of strengths and weaknesses in the quality processes.

4.2 Use of the Deming’s Cycle in Quality Assurance

Continuous improvement of quality is key in the application of the quality assurance framework.
The process of continuous improvement is reflected in the Deming cycle, also known as the Plan-
Do-Check-Act or PDCA cycle, as shown in Figure 3. A systematic PDCA approach leads to
quality control and continuous improvement. The four steps Plan, Do, Check and Action should
be repeated over time to ensure continuous learning and improvements in a function or process.

Once all these stages are completed to satisfaction, the improvement is standardised. The
standardised work or possess is the result of improvement initiative but should not stopped here.
With the changing circumstances or new techniques this standardised process or service is again
subjected to further improvement thus repeating the Deming Cycle over again.

The results of the application of the PDCA cycle shall support decision-making to improve the
quality systems, processes and outputs in the University. For the purposes of this framework, the
PDCA cycle shall be applied using the activities outlined below.

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 PLAN
The PLAN stage involves
analysing the current
situation, gathering data, and
developing plans of how to
make improvements.
establish mission and
formulate objectives

ACT
The ACT stage focuses on DO
implementing the INPUTS
processes. This involves The DO stage involves
PROCESSES implementing the planned
formulating points for
improvement, modifying OUTPUTS activities, establishing a
plans where necessary pilot process, or trying out
and/or formulating
OUTCOMES with small number of
objectives for the period stakeholders.
ahead.

CHECK
The CHECK stage requires determining
whether the trial or process is working as
intended, whether any revisions are
needed, or whether it should be scrapped.
Therefore, this stage involves
measurement of the results, critically
reflecting on the results and comparing the
outcomes with the stated objectives.

Figure 3: Use of the Deming Cycle in Quality Assurance

4.2.1 The Plan Stage

At this stage, articulate the goals and intended outcomes for the unit (e.g. intended student learning
outcomes for each programme, intended operational outcomes for the unit, etc.) This is the "Plan"
phase of the Deming Cycle. The following guidelines may be followed in developing goals and
intended outcomes.

4.2.1.1 Developing Goals

The first step in applying the PDCA cycle at the planning stage is to clearly define the unit’s
mission, functions, and outcomes. These aspects may be identified as the goals of the unit and
should be related to relevant and applicable laws, regulations and policies. Understanding and
clearly stating what the unit aims to accomplish serves as a foundation for successful planning. It
is important to have agreed upon goals, i.e., goals that are shared by all of the unit’s personnel.

4.2.1.2 Formulating Objectives

For a smooth progression through the PDCA cycle, objectives need to be drawn up in such a way
as to leave no doubt about how they should be achieved. This should be done during the planning
stage. An effective way to set objectives is to follow the well known acronym SMART. A
SMART objective is specific, measurable, achievable, realistic and time-bound. An objective that
follows SMART is more likely to succeed because what needs to be achieved is exactly and

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clearly specified and one can tell when it has been achieved because there is a way to measure
completion. The tasks related to the objective are likely to happen because the activities are
achievable. Before setting an objective, relevant factors such as resources and time should be
taken into account to ensure that it is realistic. Finally the time-bound element provides a deadline
which helps people to focus on the tasks required to achieve the objective.

4.2.1.3 Identifying Good Practices

Identification of good practices is important at the planning stage of the PDCA cycle. This allows
a unit to develop assessment criteria that ensure that its checks its functions and outcomes against
processes that are established in accordance with national and international standards and
benchmarks.

4.2.1.4 Developing Assessment Tools

It is important to select assessment methods in a prudent manner and to make sure that they are
good assessors of effectiveness of the services provided by the unit. A primary goal of assessment
is to uncover issues that, when addressed, will lead to improvements in the unit’s operations.
Measures that provide information that is easily interpreted and unambiguous and that can be used
to improve operations where necessary should be considered. The desired goals and outcomes can
be set out in the form of evaluation criteria and performance indicators (i.e. targets or criteria).

4.2.2 The Do Stage

Assessment tools must be used to gather data and information pertaining to the goals and intended
outcomes. This is the "Do" phase of the Deming Cycle. When developing and using a new
assessment method, it may be necessary to test it on a pilot basis. In this way if it turns out that the
assessment tool is not effective, valuable time and resources will not have been wasted.

Before assessment can begin, the key players, committees and structures must be identified. One or
more persons may lead the unit assessment process, but it is crucial for all staff to assume the
responsibility for designing, implementing, and carrying out the assessment process.

4.2.3 The Check Stage

The extent to which the unit is achieving the desired goals and outcomes should be determine by
analysing and evaluating the assessment results. This is the "Check" phase of the Deming Cycle.
Table 2 shows an example of the scoring of the performance of the unit on a scale of 1 to 5.

Table 2: Scoring Scale

Score Verdict Meaning Action Required

1 Strongly disagree Very poor immediate improvements must be made
2 Disagree Poor improvements are necessary
3 Neither agree nor disagree Satisfactory improvements may be necessary
4 Agree Good maintain as good practice
5 Strongly agree Excellent use as an example of good practice

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4.2.4 The Act Stage

Changes and improvements that are needed (e.g. in curricula, resources, processes, etc.) in order
to improve the quality of performance should be identified. Strategies and action plans to
implement the identified changes and improvements should be prepared and executed. This is the
“Act” phase of the Deming Cycle.

4.2.5 Closing the Loop

The unit should then evaluate the results of executed strategies and action plans to determine
whether they achieved the desired outcomes, i.e., the assessment process is repeated, and the plan
is updated as necessary. This phase of the assessment process represents “closing the loop” in
outcomes assessment.

4.3 Quality Control

Quality control is the process of ensuring compliance with standards and procedures set to
maintain and enhance quality. One of the major activities under quality control entails quality
monitoring and evaluation or quality audit. The quality audit is a process of assessment used to
check that procedures are in place to ensure quality, integrity or standards of provision and
outcomes. Quality control should be seen as an end-of-process solution which is used to verify the
quality of the output. An audit will include several assessments. Quality assessment includes
structured activities that lead to a verdict on the quality of specific activities such as governance
and administration, teaching and learning, research or community service. The following
questions must be considered in assessment:
(a) Are we doing the right things? (Checking the context, goals and objectives)
(b) Are we using the right things (checking inputs)
(c) Are we doing things right? (Checking processes)
(d) Are we achieving the right thing? (Checking outputs).
(e) Are we making a desirable change in our society? (Checking outcomes/impacts)

4.4 Continuous Improvement

Evaluation does not make sense if there are no actions to enhance the quality and to overcome
the shortcomings. Therefore, it is necessary to have opportunities for both quality control and
quality improvements. Quality improvement is based on the principle that every aspect of the
work of the University can be improved continuously and that evaluation, both internal and
external, are practices that serve that improvement. It is constructive and formative, rather than
solely judgmental and summative, is evaluative as well as descriptive, and is evidence-based and
data-driven, with evidence drawn from a wide range of referenced sources. It is considered and
accepted that through continuous quality improvement all staff should take personal responsibility
for their own professional quality and standards in all their activities.

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4.5 Self-Assessment

4.5.1 Aims of Self-Assessment

The self-assessment shall aim at finding evidence that the University and its units are meeting the
criteria set for themselves, i.e. the standards and procedures set to maintain and enhance quality.
In undertaking self- assessments, one has to look at the criteria and indicate how the criteria is
being addressed. The self-assessment exercises shall be undertaken using approved tools.

4.5.2 Principles of Effective Self-Assessment

(a) The QCCs shall be in charge of the self-assessment activities in University units. The
QCC shall direct the gathering of data, analysis of data and drawing of conclusions.
(b) Carrying out critical self-valuation demands good coordination. There must be someone
designated by the QCC to coordinate the self-assessment process. The coordinator must
have the authority to make appointments.
(c) It is assumed that self-assessment is an analysis supported by the whole unit, and therefore,
it is important that everyone should be at least acquainted with the self-assessment criteria,
the expected contents of the report and should recognise it as a document from their own
unit.
(d) The QCC will be responsible for ensuring that self-assessment report is prepared and
submitted to the QAC.

4.5.3 Content of the Self-Assessment Report

The self-assessment report (SAR) should present a reflective, analytical and self-critical analysis
of the record and performance of the unit. The report should be presented in the form of a series of
sections dealing with the conduct of the unit’s business, with the impact of the unit on the
University services, facilities and procedures, with the performance of the unit (e.g. in teaching,
research resource mobilisation and community service) and in its dealings with stakeholders (both
internal and external to the University).

4.5.4 Organisation of the Self-Assessment

The flowchart showing the organisation of a self-assessment is given in Figure 4. The areas that
have to be considered in the self-assessment should be agreed upon among the committee members
and each member made responsible for collecting information, and for analysing and interpreting
the data from the self-assessment. The Quality Assurance Directorate will establish the timeframe
for undertaking the self-assessment process.

4.5.5 The Role of the University Council in Quality Improvement

The results of self-assessments and internal audits may result in recommendations that may have
structural and financial implications to implement. These recommendations would be presented to
the Council for approval by the University Management.

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 QAC requests for SAR from the unit of the University

QCC Appoints co-ordinator for SA

QCC ad hoc Committee to collects, analyses, prepares and presents report to QCC

QCC approves report

If approved, QCC presents to QAC

Approved by QAC

QAC submits to Senate for ratification

Unit implements recommendations for improvements

Figure 4: Flowchart for Self Assessment

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