ISO
9000 Audit Documents Preparation for Technological Universities &
Government Technical Colleges
By Dr Kyaw Naing MIEAust, RPEQ, FSIET
www.highlightcomputer.com/iso9000evidenceguide.htm
(1) ISO Audit
(2) Curriculum Review for
accreditation
www.mongroupsydney1.com/22
Aug 2016-ISO_Audit_Kit_Preparation_Kit_2016_V4Mod.pdf
ISO 9000 Audit Documents for Technological Universities & Government Technical Colleges are presented in this webpage. The teachers and head of departments can refer the example documents which are presented in the online links.
2 weeks accreditation training records and lessons/ audio/ video/ reference resources can also be obtained from the following link
www.highlightcomputer.com/gtc.htm
Most of the requirements are to be met by filling the relevant forms in the links. But for some requirements need to be fulfilled by doing the tasks outlined in the notes.
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IS0-9000 Audit Criteria |
Required Documents |
Example |
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4 Quality Management System 4.1-General requirements |
Intranet PaCK Policies and procedures Organisational information Core process maps |
Write the overview information of your TU Examples- YTU-- Historical
Background Vision & Mission http://ytu.edu.mm/?page_id=1180 Steering Committee http://ytu.edu.mm/?page_id=441 Organizational Structure http://ytu.edu.mm/?page_id=440 |
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4.2 Documentation |
Induction checklist for new staff Roll books Course Information books Syllabus (Train.gov.au) Guideline for roll books / ebs Student Resource Package Student Work Evidence Books |
The departments heads need to write the introduction procedures for new teachers Rollbooks., Attendance Records Course Information Example http://www.highlightcomputer.com/BECurriculum.htm How to keep the roll-books List of practical equipments. Their location, List of text books. Library resources list. List of computing equipments etc. Example- Physical Recources www.highlightcomputer.com/Equipment___resource_list_template_2Nov15.docx Engineering Resources http://www.highlightcomputer.com/elib.htm Library http://www.highlightcomputer.com/usb.htm Support http://www.highlightcomputer.com/pesupport.htm The department heads need to keep the bench mark evidences of the students’works such as sample answer/ laboratory reports/ design project presentations etc. |
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4.2.2 Control of records 4.2.3 Control of documents |
TRIM files Version control – local Gazettes DEC site Train.gov.au |
Training Report, Information Management The documents in the following list should be collected. http://www.mongroupsydney1.com/recordsheet1.htm#a Curriculum documents should be marked with Version & date of production and modification Ministry of Education/ Department of Technical Education Circular & Gazettes should be digitized and collected. Collection of Ministry of Education Websites/ TU websites etc should be collected www.highlightcomputer.com/tu.htm |
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5.1 Management responsibility and commitment |
Institute Director’s Minutes College communication and meetings Communication of legislative requirements Training requirements are included in the business plan and within budget allocations |
Order issued by the rectors/ head of departments should be recorded. Meeting records should be collected. Myanmar Ministry of Education Education Laws/ Regulations should be collected. Example YTU Research http://ytu.edu.mm/?page_id=1200 YTU Seminars Conference Workshop http://ytu.edu.mm/?cat=12 Facebook events pages should be photographed & accumulated Budget requirements and approval procedures should be recorded. |
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5.2 Customer focus |
Education and Training Plans Training and Assessment Strategy |
See the following record sheets www.mongroupsydney1.com/StudentAssessmentGuide.pdf Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Assessment Cover Sheet www.mongroupsydney1.com/AssessmentCoverSheet.pdf Assesment Feedback Sheet www.mongroupsydney1.com/AssessmentFeedbackSheet.pdf Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf |
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5.3 Quality policy |
Quality improvements embedded in plans TAFE NSW Quality Policy |
Examination procedure/ Moderation policy/ Pass or fail policies / Curriculum review policies should be presented. Two Weeks
Training Course Activity Record Sheets Day 1 Session 3-Course Objective
Outline.pdf (2.42MB)
www.mongroupsydney1.com/Day1Session3CourseObjectiveOutline.pdf Day 3 Session 3-Delivery &
Assessment Strategy.pdf (5.73MB) www.mongroupsydney1.com/Day3Session3DeliveryAssessmentStrategy.pdf Day 4 Session 3-Assessment Strategy
1.pdf (3.84MB) www.mongroupsydney1.com/Day4Session3AssessmentStrategy1.pdf Day 4 Session 3-Assessment Strategy
2.pdf (5.15MB) www.mongroupsydney1.com/Day4Session3AssessmentStrategy2.pdf Day 5 Session 3-Workplace Training.pdf
(3.45MB) www.mongroupsydney1.com/Day5Session3WorkplaceTraining.pdf Day 5 Session 3-Industrial
Consultation.pdf (4.1MB) www.mongroupsydney1.com/Day5Session3IndustrialConsultation.pdf Day 6 Session 3-Validation &
Review.pdf (1.64MB) www.mongroupsydney1.com/Day6Session3ValidationReview.pdf Day 7 Session 3-Online Teaching.pdf
(3.08MB)
Day 8 Session 3-Project.pdf (4.92MB) Day 9 Session 3-Overall Review.pdf
(1.47MB)
General Reference-Attachment 2a.pdf (4.09MB)
General ReferenceAttachment 2b.pdf
(3.29MB) www.mongroupsydney1.com/GeneralReferenceAttachment2b.pdf |
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5.4 Planning and Objectives |
I Plan Timetable Profile meeting Course planning sessions Timetable preparation Section Business Plan Learning and Assessment Strategy Core process business maps Institute Annual Plan & reporting Strategic Directions 2015 or successor |
Academic Plan Records of the timetables used in every semesters Meeting records related to timetabling Records of course planning sessions Records of the timetables used in every semesters Section/ departments budget plan and records Day 4 Session 3-Assessment Strategy
1.pdf (3.84MB) www.mongroupsydney1.com/Day4Session3AssessmentStrategy1.pdf Day 4 Session 3-Assessment Strategy 2.pdf
(5.15MB) www.mongroupsydney1.com/Day4Session3AssessmentStrategy2.pdf Academic Plan Annual reports Strategic plans such as how to co-operate with other organizations/ How to set the targets/ milestones etc |
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5.5 Responsibility, authority and communication |
Organisation charts Delegations manual Executive, College /Faculty Team, meetings and outcomes Internal communication |
Organizational Structure http://ytu.edu.mm/?page_id=440 Protocol & procedures related to selection of students/ staff/ policies on use of resources/ use of funds etc Team meeting records Decisions/ Review/ Implementation records International communication records/ circulars/ orders/ change plans etc |
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5.6 Management review |
Actions from SIE meetings Outcomes from internal and external audits Institute quarterly performance reviews
Information on the Intranet Institute Director’s Minutes |
Senior staff meeting records Records of audits Performance reviews on targeted students enrolment VS actual enrolments Targeted incomes VS Actual income Targeted expenses VS Actual expenses Variance analysis Saving plan Targeted pass rates of the students VS actual records How to correct the variances Online information Minutes written by the rectors |
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6.0 Resource management |
Roll books / ebs completed showing attendance and assessment records. Roll books / ebs (signed / approved) by head teacher Assessment record summaries/ completed module planning sheet Student acknowledgement of assessment guide Panel assessment sheets Roll books containing attendance sheets, assessment guideline and course brief. Weekly staff meetings Panel assessment used to validate assessment tools against learning outcomes Syllabus printouts Lesson Plans Course program Roll Books / ebs student records completed according to requirements and audited by Head Teacher. Assessment validation in progress (mapping new TP requirements) Calibration of measuring equipment every 6 months. Internal control checklists |
Rollbooks/ Students attendance records filled by teachers and signed by the heads of departments Annual record of students pass or fail rates Assesment Feedback Sheet www.mongroupsydney1.com/AssessmentFeedbackSheet.pdf Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf Rollbooks/ Students attendance records Student Assessment Guide/ www.mongroupsydney1.com/StudentAssessmentGuide.pdf Staff meeting records Panel review on assessment maps used by subject teachers Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf Syllabus www.highlightcomputer.com/ttucurriculum.htm Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Sessions Plan www.hightcomputer.com/Session_Plan_template_v2_300913-15.doc Program outlines www.highlightcomputer.com/ttucurriculum.htm Example programs http://www.highlightcomputer.com/curriculum.htm Rollbooks audited by heads of departments Changing the curriculum cointents to meet the technology change. & record of the adjustments in changing of assessment systems. Records of exam questions Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf www.hightcomputer.com/Session_Plan_template_v2_300913-15.doc Every semester, the exam questions should be changed and collect the records of changes. Departmental heads need to record the changes & provide the guidances/ upervisions. Such thing should be written in diaries and the entries of the changes diaries should be provided to the respective professors/ rectors. |
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7 Product realisation |
Curriculum Educational planning Teaching and Assessment strategy Quality assurance Assessment results and records |
Thanlyin TU www.highlightcomputer.com/ttucurriculum.htm Sample of units/ subjects/
cost/ curriculms units planning sheet www.highlightcomputer.com/course
management sheet v17.5 2016programs.xlsm www.highlightcomputer.com/timetable
unit allocations 10.xlsx Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Records of Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf Examination records |
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7.2 Customer requirements |
Attendance at industry forums Annual visit to employer base Employer feedback to teachers during term Suppliers providing new technologies Student feedback during class Industry presentation night Annual employer visits Teacher contact with employers. |
Industrial consultation Record Day 5 Session 3-Industrial
Consultation.pdf (4.1MB) www.mongroupsydney1.com/Day5Session3IndustrialConsultation.pdf Records of employers feedback Record of industrial suppliers/ their presentations/ collections of catalogues Students feedback record Annual events/ Facebook screenshots on events collections Industrial consultation Record by individual teachers Day 5 Session 3-Industrial
Consultation.pdf (4.1MB) www.mongroupsydney1.com/Day5Session3IndustrialConsultation.pdf |
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7.2 Customer Requirements |
Reasonable adjustment ABE / Learner support Access and equity RPL Customer communication Customer feedback and complaints Course information and enquiries Training and assessment strategy |
Tutorial classes plan Language/ Literacy/ Numeracy support/ Credit transfer arrangement Students service customers contact/ service records Students feedback & complaint including collections of facebook posts by the students Course advertisement records in various media including facebook Students training records for each intake groups www.highlightcomputer.com/trainingplan62111.doc |
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7.2.3 Customer Communication and Feedback |
Course information internet School careers days Enrolment day/ student questionnaire to assess need Handbook Assessment of student portfolio and interview prior to enrolment. Student feedback during class and attendance Student survey forms used to collect formal feedback. Student feedback and employer feedback. |
Course objective http://www.highlightcomputer.com/objectives.htm Detailed Contents http://highlightcomputer.com/B%20E+B%20App%20Sc(IT)+B%20Bus%20Course%20Detailed%20Contents.htm Internet information of TUs www.highlightcomputer.com/tu.htm Students questions/ enrolment day records Student handbooks Selection process records Records of individual teachers regarding the students’ response / feedback during the sessions Students survey results Students’ post in facebook/ formal feedbacks |
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7.3 Design and development |
Evidence of industry demand and involvement in training plans, courses and assessment |
Day 5 Session 3-Industrial
Consultation.pdf (4.1MB) www.mongroupsydney1.com/Day5Session3IndustrialConsultation.pdf |
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7.4 Purchasing |
Processes Suppliers On contract Procurement policies and procedures FEAPs |
Record of purchase of educational resources. Expenses/ supplier records, catalogues/ tenders records Records of tender contracts Tender assessment/ approval procedure |
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7.5 Production and service provision |
Course information Equipment work instructions/SOPs – WH&S Monitoring and measuring devices Customer satisfaction surveys Assessment validation |
Course information sheets Example http://www.highlightcomputer.com/Program_Enrolment.htm Risk assessment sheets/ incident reports www.highlightcomputer.com/HazardOrIncidentReportForm2015.01.20.doc Risk assessment for each subject must be performed www.highlightcomputer.com/Assessment_Validation_Risk_Matrix_v7.xlsx Students/ Employer/ Parents’ survey results must be maintained. Assessment Observation Check List www.highlightcomputer.com/Assessment_Observation_Checklist_v12.docx Records of Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf |
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8 Measurement, analysis and improvement |
Budget reports Student assessment results Student contact with Head Teacher Lesson Plans vetted by Head Teacher/supervision of staff Informal student feedback Completion rates Ebs student monitoring & results Section meetings Faculty meetings |
Annual budget reports by administration Annual students examination results collections/ List of graduates When the students see head of departments, the records should be maintained Head of departments should regularly inspect the lessons plans of teachers and provide the feedback. Such feedbacks should be recorded. Head departments should write the diary for their informal chatting with the students List of the graduates must be collected. If online system is applied to record the students results, relevant data must be maintained. Records of section/ department/ the whole institution meeting including facebook records should be collected. |
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8.1-8.4 Measurement, analysis and improvement |
Customer satisfaction and feedback Internal audit Unit/Module completion rates Re-assessments Performance data Curriculum reviews Version control of curriculum Performance updates Internal control checklists |
Students’ survey record Internal audit records are to be maintained Individual subject completion records are to be maintained Any supplementary test results are to be maintained. Students performance records in each questions must be collected by each teacher and head of departments need to maintain such records Depending on changing needs of industry, availability of resources, students’ demands, the curriculum review process should be recorded. When the curriculums are changed, the records must be maintained. Date of review, records of changes, thelist of the members of the panel which change the curriculums must be recorded. When the curriculums are changed, the students’ performances must be monitored and recorded. Review reports must be written Corrective Action Plans www.highlightcomputer.com/Corrective_action_plan_template_V3.docx Corrective Action Procedure www.highlightcomputer.com/Corrective_Action_Procedure_v9.docx |
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8.5 Continuous Improvement |
Undergoing assessment validation Collating validated assessment tools Improvement requests
Internal/external audit findings Improvement projects Complaints processes and resolution Preventive – staff meetings, Sydney Institute Executive Innovation projects |
Assessment Validation Documents www.mongroupsydney1.com/RPLValidation.pdf Assessment Mapping www.mongroupsydney1.com/AssessmentMapping.pdf Continuous Improvement Plans www.highlightcomputer.com/Continuous_Improvement_Procedure_v3.docx Internal/External audit records Continuous Improvement Plans www.highlightcomputer.com/Continuous_Improvement_Procedure_v3.docx Students’Staff complaint Register/ Corrective Actions How to prevent the complaints/ quality control action records Continuous Improvement Plans www.highlightcomputer.com/Continuous_Improvement_Procedure_v3.docx Complaint Handling Procedures must be prepared For example www.highlightcomputer.com/Complaints_Handling_Procedure_and_flowchart_FINAL_v2.docx Teachers Professional Development www.highlightcomputer.com/teachercurrency.pdf |
CURRICULUM REVIEW FOR
ACCREDITATION
ISO standards only contain how to collect the required documents.
For academic accreditation purpose, relevant auditing and accreditation guidelines of the accreditation organizations are to be followed.
The following links contain the examples on preparing the course documents such as professional competencies, learning outcomes, subject contents and curriculum contents and sample accreditation advice.
Preparing the course documents for accreditation
www.highlightcomputer.com/OverallProgramGeneral.pdf
Sample curriculum review advice
www.highlightcomputer.com/CurriculumReviewAdvice.pdf