GHANA TERTIARY EDUCATION COMMISSION

FORMAT FOR ACADEMIC AUDIT REPORTING

1.0: Background Information

1.1: Name of institution:

1.2: Dates on which audit was undertaken: Date Started Date Ended

1.3 Names of auditors and accompanying GTEC staff:

1.4: Details of staff of institution under audit:

1.4.1: Names, qualifications and designations of Principal Officers of the institution

(Define them)
Table 1
Principal Officers Name Qualification Rank Number of Years of
Relevant
Experience
Chancellor

Chairman of Governing
Council
Administrative Head eg.
Vice chancellor/
Rector/Principal/President
etc

1.4.2: Names, qualifications and designations of key officers of the institution Table
2
Key Officers Name Qualification Rank Number of Years of
Relevant
Experience
Deputy Administrative
Head eg. Pro VC/ Vice
Principal/Vice Rector etc
Finance Officer/Head of
Finance
Registrar/Director of
Administration
Librarian
Internal Auditor
Development Officer
1.4.2: Names, qualifications and designations of staff of the institution that the auditors
interacted with (provide information in the template below). Table 3
Name Qualification Designation

1.5 : Terms of Reference (TOR)

1.6 : Documents Needed for the Audit:

List of all documents pertaining to the TOR requested from the Institution and tick as
appropriate.

Table 4: Documents Requested for the Audit

No. Documents requested from Institution Ava liability Remarks

Yes No

1. Admission list of ALL students enrolled per

programme (both hard and soft copies)

2. Files of ALL students enrolled per

programme arranged according to the
admission list provided
3. Examination results and transcripts of all
students
4. Student Handbook
5. Marked scripts and Marking schemes
6. Broad sheets (detailing results of students in
a class showing all registered courses,
credits registered /obtained, grades, CGPAs,
etc.)
7. Sample of Attendance Sheets used during
examinations
8. Academic Board format for results (Results
list of the class in alphabetical order with
CGPAs showing candidate who have passed
all courses, those trailing various courses,
deferred, probation, withdrawals, etc.)

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 9. Examination Regulations hand
book/ students’ guide
10. Payroll for the past three months
11. List of lecturers and courses taught
12. Files of all academic staff
13. List of Moderators and their CVs
14. Moderators’ report for the past two (2)
academic years
15. List of external examiners and their CVs
16. External Examiners’ report for the past two
(2) academic years
17. List of permanent and part-time Staff, showing
their highest qualifications
18. List of Council Members and their highest
qualifications
19. Copies of minutes of Council meetings
20. A copy of the affiliation agreement with
mentoring institution
21. Strategic Plan
22. All policies
23. Others (speify)

1.7: State methods used in conducting the audit

2.0 Please state your observations, findings and comments under the following
headings/sub-headings.

2.1 Implementation of Previous Assessment Recommendations:

21.1: (a) ascertain the state of implementation of GTEC

recommendations arising out of previous assessments highlighting:

(i) areas of completed implementation,

(ii) implementation difficulties, and
(iii) areas of non-compliance

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2.2: Governance / Administration
Please use the checklist to evaluate the governance and administrative structures of
higher educational institutions for this section.

2.3: Academic Programmes

2.3.1 Student Admissions

i. Admission Requirements

(a) State the institution’s general admission requirements for all levels of
programmes of the institution (e.g. PhD, Masters, Undergraduate,
HND and Diploma)

(b) State additional requirements for each programme, if any (e.g. a

pass in Elective Mathematics is required for Economics).

(c) Comment on the institution’s admission requirements with reference

to the National Minimum entry requirements for admission
ii. Admission Process

State step by step the prevailing Admissions Procedure for each mode of entry as
applicable to the institution (e.g. SSSCE/ WASSSCE, mature, foreign and students
with qualifications other than SSSCE/WASSSCE), starting from advertisement,
confirmation of results, use or otherwise of committees, involvement or guidance of
mentoring institution where applicable in the case of final selection of students.

iii. Admission Defects

iv. Attach as Appendix……, List of all students by year/level of study
and programme that did not satisfy the minimum entry requirements
and specific programme requirement(s) (where applicable) at the
time of admission.

(a) Summary Table on admission defects for each cohort of students, i.e
1st Year/Level 100, 2nd Year/Level 200, 3rd year/Level 300, 4th
year/Level 400 and other categories of students (e.g. post graduates).

(Please use the format in Table 5 below to provide information on the number of
students in each year/level and programme with defects in their qualifications at the time
of their admission).

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Table 5: Summary of Admissions Defects
Name of Programme: Year1/ Year 2/ Year 3/ Year 4/
Level Level Level Level
…………………………………………………… 100 200 300 400
Total No. of Students Admitted
Description of identified defects e.g i.
Total Aggregate at relevant examination
in excess of required minimum aggregate
(e.g. 27 instead of 24 for SSSCE).

ii. Not passing mandatory subject(s)

required for admission as per the minimum
entry requirement.
iii. Not passing specified subjects required
for the programme being pursued

iv. Examination results not authenticated by

examining body.
v. Presented only school testimonial or
statement of exam results.
vi. Name on certificate different from
official name in institution.
vii. Others (please specify).

TOTAL

2.3.2 Assessment/ Examinations

i. Attach as Appendix…….…Published examination Regulation for both

internal and external examinations separately.
ii. State the actual step by step examination procedure for internal and
external examinations separately (starting from setting of examination
questions to writing of examination).
iii. State the actual security arrangements in place or otherwise for
examination questions, during writing of examinations, invigilation,
impersonation etc.
iv. State the extent of involvement of the mentoring institution(s), where
applicable, as well as stages at which they are involved.
v. External Moderation:

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 (a) Are external examiners and/or moderators involved in examinations?
If so, state the stages(s)

(b) State the extent of involvement of the mentoring institution in examination?

(c) And in the selection of external examiners

(d) State the criteria used to select external examiners

vi. Marking and Grading

(a) Are marking schemes prepared for examinations?

(b) Please verify their use in marking scripts.

(c) Randomly select at least 20% of marked scripts and check if the
marks/grading agree with that of the results sheets in each programme.

(d) Check external Examiner’s reports on project works and dissertations:

comment on their observations and whether suggestions were
implemented.

2.3.3: Teaching/Learning

i. Student Workload

a. State the institution’s published students’ workload in hours per week for
each level of programme (e.g. certificate, diploma and bachelors).

b. State actual students’ workload as determined by timetables (confirm

this by interviewing students when possible).

ii. Students’ feedback

Check if there are systems/policies in place for students’ feedback on:
• Available general facilities
• Teaching and research commitment of faculty
• Style and efficiency of teaching • System of Administration
• Student-staff relations.
• Others

iii. Staff – student ratio and class size

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 a. Calculate staff student ratio (SSR) for each programme (Total
number of students, divided by total number of staff- 3-part time staff
equivalent to 1 full time).

Table 6: SSR for each programme

Programme Number of Number of Calculated
Teaching Staff Students Ratio
1
2
3
4
5
6

b. Compare the calculated SSRs to the GTEC norms and state

whether it meets the norms or not.

2.3.4 Programme Accreditation

i. List all programmes and indicate the accreditation and affiliation status (if
applicable) of each using the table below.

Table 7. Programme Accreditation and affiliation status

# Programme Accreditation Affiliated to: Status Remarks
Active Expired
Active Expired
1
2
3
4
5

ii. Confirm approval of programmes by Mentoring Institutions

iii. Affiliation
(a) State the name of the mentoring institution to which institution being
audited is affiliated.

(b) Is there an Affiliation Agreement? Yes/ No.

(c) If yes, state the period

(d) If no, is there a memorandum of understanding (MOU) under which the

affiliation is being carried out?

(e) Are there any plans to upgrade the MOU into a proper Legal Agreement?
Yes/No.
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 If yes, state the time frame………………………………………………………

(f) Attach a copy of the current Affiliation Document (A.D) as Appendix…….

(g) Ascertain the extent of compliance with the terms of the A.D. by each party
(institution).

2.3.5: Postgraduate Programmes

i. Check whether there are systems for maintaining academic standards for
postgraduate research programme such as:

• regulations and guidance for research

• environment for supporting research of students (resource centres, access
to online literature etc)
• research supervision (check list of assigned supervisors)
• monitoring and reviewing progress of projects and dissertations (Check
review and presentation reports)

ii. Check if staff teaching and supervising post-graduate programmes have terminal
degrees and also of at least a rank of a senior lecturer.

2.3.6: Academic (Teaching) Staff

i.(a) Attach as Appendix….… published list of Academic Staff showing highest

academic and/or professional qualification, year and where obtained by departments,
course(s) taught, sex, whether full time (FT) or part time (PT), relevant teaching
experience at the tertiary level, weekly workload in hours.
(b) Confirm the list provided by checking the payroll.

ii. Verify authenticity or otherwise of information provided in ‘i’ using sources

such as time-tables, payroll, random interview with students. List sources
as Appendix…..…
iii. Use the Format in TABLE 6 to provide a summary of the numbers of
lecturers based on ‘i’ and ‘ii’.

Table 8: Summary of Data on Teaching Staff Numbers by Departments

Name of Recognised Ph.D Masters Non 1st Others
Programme: Sex FT PT Professional (Research) Research Degree (Specify)
Qualifications Masters

1. Highest
Qualifications (no.

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of Staff)

(i)Academic M
F
(ii)
Professional:

a) Full M
F
M
b) Partial F
2. Course(s)
Taught in relation to
highest qualification

Relevant M
F
Not relevant M
F
3.Teaching
Experience at the
Tertiary Level:
a) 20 years and M
above F
b) 10 to 19 years M
F
c) 5 to 9 years M
F
d) 1 to 4 years M
F

iv. Obtain faculty’s publications profile including research papers published,

conferences attended and papers presented, fellowships obtained, membership
of academic/professional societies and specific contributions to national/community
development of each faculty since last accreditation.
v. Ascertain teaching load of staff by checking time tables and/or table/list of all
lecturers and courses assigned.
vi. Compare current staff list to the one the institution presented for last accreditation
to determine staff turnover or attrition rate.

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 Table 9: Summary of Data on Non-Teaching Staff Numbers by Departments
Name of Programme: 1
st Others
Profe- Ph.D Masters Non Degree (Specify)
Sex FT/ ssional (Research) Research
PT Masters
1. Higher Qualifications
(no. of Staff)
(i)Academic M
F
(ii) Professional:

a) Full M
F
M
b) Partial F
2. Course(s) Taught in
relation to highest
qualification

Relevant M
F
Not relevant M

F
3. Experience at the
Tertiary Level:
a) 20 years and above M

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 F
b) 10 to 19 years M
F
c) 5 to 9 years M
F
d) 1 to 4 years M
F

2.4 Learning Environment/ Facilities at the main campus

2.4.1 Conduct physical observation of the underlisted physical facilities and comment
on their adequacy for effective teaching and learning
a. Lecture/tutorial rooms
b. Laboratories/ workshops and other related facilities
c. Library facilities (space, availability and access to both physical and
electronic resources.
d. Social space for interaction for students and staff.
e. Staff offices (considering the number of staff)
f. Utilities (source of water, electricity)
g. Health and Safety (fire extinguishers, emergency exits, access to
emergency health service)
h. General ambience

2.4.2 State if facilities are generally accessible to persons with disability.

2.4.3 Teaching and Learning at satellite campuses

Table 10: Nature of the following services at the satellite campuses

No. Item Situation with main Remarks
Same Different
1. Time Table
2. Lecturers used
3. Internet Facilities
4. Library (Physical)
5. Library (E-facilities)
6. Quality Assurance
officers

2.5 Quality Enhancement

2.5.1 Internal Quality Assurance

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 a. Does the institution have an Internal Quality Assurance (IQAU) unit?

b. State the qualification and rank of the head of the Unit.

c. Does the institution have any policy document/ operational framework guiding
the activities of the IQAU?

d. Check reports of IQAU activities to determine its functionality.

2.5.2 Strategic Plan

a. Does the institution have a strategic plan? Yes.…No…. Being developed.… ..

b. If yes, comment on its state of implementation.

c. If no state when the institution intends to develop one

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2.5.3 Distribution of Students across programmes
Use the format in table 4 to provide a distribution of students across programmes.

Table 11: Distribution of Students across programmes

Diploma Bachelors Masters
Dip. 1 Dip. 2 Level 100 Level 200 Level 300 Level 400 Yr. 1 Yr. 2
Programme
M F M F M F M F M F M F M F M F

2.5.4 Graduation statistics since last accreditation.

Table 12: Graduation statistics since last accreditation
No. of students obtaining grade
Year No. of 1st Class 2nd Class 2nd Class 3rd Pass Fail
students Upper Lower Class
1
2
3
4
5

2.5.5 Check for documented policies and procedures for the design and review of
courses/programmes.

2.5.6 Tracer Studies and Engagement with Alumni

a. Does the institution conduct tracer studies on its graduates? If yes, state the last
time when it was done? (Obtain a copy of the last tracer studies).

b. Indicate how the institution engages its Alumni.

2.5.7 State the systems or activities that are in place to facilitate collaboration with
industry, in terms of curriculum development, course delivery, research and
development.

2.5.8 Check policies and implementation process of industrial attachment/fieldwork

(where applicable)

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 2.5.9 Certification:

i. Who awards certificates to graduating students?

ii. Describe the processes that the awarding institution undertakes prior to
the award of its certificates to students?

2.6 Policies on Gender Responsiveness, Inclusion and Collaboration Table

13: Please provide brief descriptions on the following:
No. Item Availability Description/Remarks
Yes No
1. Gender Policy
2. Policy on social inclusion
(e.g. differently abled
persons)
3. Guidance and
counselling policy
4. Separate facility for
Counselling
5. Sexual Harassment
Policy

2.7 Financial Management

Table 14: Please provide brief descriptions on the following:

No. Item Description/Remarks
1. Financial Regulatory
Policy
2. Standing orders
3. Processes for identifying
funding priorities
4. Processes for allocating
resources (e.g. uses
GTEC norms)
5. Name and address of
external auditor
6. Date on which the current
auditor was employed

2.8 Partnerships and Collaborations

Collect information on partnerships and collaborations at

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 a. Institutional Level
b. National Level
c. International Level

2.9 Co- and Extra-curricular activities

Collect information on:

a. Co-curricular activities (examples -------------)
b. Extra-curricular activities (examples ----------)

2.10 General Security on campus

Collect information on the following on security on campus

a. State of general security on campus (e.g., existence of unapproved entry points)

b. Perspective of management

c. Perspective of staff on security on campus – academic ad residential areas

d. Perspective of students in hostel and academic areas, especially at night

3.0: Summary of Findings

Please state your findings (areas of concern) on each of the listed sections and subsections.
Positive findings that conform to best practice can be highlighted.

1.0 Background information (Sections 1.1 - 1.7)

2.1 Implementation of Previous Assessment Recommendations

2.2 Governance and Administration (Eg. Checklist 1 – 6)

2.3 Academic Programmes (Section 2.3.1 – 2.3.6)

2.4 Learning Environment/ Facilities (Sections 2.4.1 - 2.4.3)

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2.5 Quality Enhancement (Sections 2.5.1 & 2.5.9)

2.6 Policies on Gender Responsiveness, Inclusion and Collaboration

2.7 Financial Management

2.8 Partnerships and Collaborations

2.9 Co- and Extra-curricular activities

2.10 General Security on campus

4.0: Any other relevant observations and findings:

5.0: Recommendations to NAB (Strictly Confidential)

Please state your recommendations to GTEC based on your findings as itemised under
section
3.0.

6.0: Concluding remarks:

7.0 List of Attachments

Names and Signatures:

Audit Team Members

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 Name Signature Date

1.

2.

3.

Accompanying GTEC staff

Name Signature Date

1.

2.

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