Oman Authority for Academic Accreditation & Quality Assurance of Education Institutional Standards Assessment Manual PDF

Institutional Standards Assessment Manual (Institutional Accreditation) February 2024 Version 2 © 2024 Oman Authority for Academic Accreditation and Quality Assurance of Education PO Box 1255 PC 133, Al Khu...

Institutional Standards Assessment Manual (Institutional Accreditation) February 2024 Version 2 © 2024 Oman Authority for Academic Accreditation and Quality Assurance of Education PO Box 1255 PC 133, Al Khuwair Sultanate of Oman www.oaaaqa.gov.om FOREWORD On behalf of the Board of Oman Authority for Academic Accreditation and Quality Assurance of Education (OAAAQA), I have the pleasure of introducing the Institutional Standards Assessment Manual. The OAAAQA, as established by Royal Decree 9/2021, is mandated with regulating the quality of higher education to ensure that it meets international standards and to encourage Higher Education Institutions (HEIs) to improve the quality of their provision. As part of this mandate, the OAAAQA is tasked with developing and implementing a process for the accreditation of HEIs. In this, the OAAAQA builds on an expectation that was originally stated in the Requirements for Oman’s System of Quality Assurance in Higher Education (ROSQA) in 2004. The OAAAQA implements a range of External Quality Assurance (EQA) activities that aim to ensure that the quality of HEIs, their services and their programmes meet acceptable standards. The OAAAQA’s EQA activities include: Institutional Standards Assessment (ISA) Programme Standards Assessment (PSA) General Foundation Programme Quality Audit (GFPQA) Reassessment Activities, such as Institutional Standards Reassessment (ISR) and Programme Standards Reassessment (PSR) Institutional and Programme Reaccreditation Activities Appeals Review of International EQA (IEQA) applications All of the OAAAQA’s EQA decisions are subject to appeal in line with national laws and the International Standards and Guidelines (ISGs) for Quality Assurance in Tertiary Education as articulated by the International Network of Quality Assurance Agencies in Higher Education (INQAAHE). Following the successful implementation of the ISA in 2016, the ISA Standards and process were reviewed and streamlined in 2023 ahead of the second cycle of Institutional Accreditation. The revised Standards have been internationally benchmarked and contextualized for national priorities as articulated in the Oman Vision 2040. Extensive consultation with the sector was undertaken and feedback was sought from key stakeholders to further enhance the rigour, transparency and reliability of ISA system and outcomes for students and the general public. This Manual encapsulates that system and gives guidance in the deployment of ISA activities and the expression of accreditation outcomes, essential to ensuring that high academic standards are assured, and the distinguished reputation of Omani HEIs nationally and internationally is maintained. The purpose of this Manual is to present the updated and enhanced national system for Institutional Accreditation in the context of its rationale and purpose; it also includes the Institutional Standards and details regarding ISA implementation. All those involved in Institutional Accreditation are advised to study this Manual carefully and carry out ISA activities as per the instructions published in it. I hope that all those involved in ISA find the process a positive and productive experience. HE Prof Rahma Al Mahrooqi Board Chairperson, OAAAQA OAAAQA v2 Institutional Standards Assessment Manual CONTENTS INTRODUCTION............................................................................................................................................................6 PART A: INSTITUTIONAL ACCREDITATION OVERVIEW.........................................................................................9 1 Institutional Accreditation...................................................................................................................................10 1.1 Institutional Standards Assessment.............................................................................................................................11 1.2 Institutional Standards Reassessment.........................................................................................................................11 1.3 Rescheduling Institutional Accreditation......................................................................................................................11 1.4 Major Changes and Review of Accreditation Status....................................................................................................11 1.5 Applying for Reaccreditation........................................................................................................................................12 1.6 External Accreditation by an IEQA Entity.....................................................................................................................12 2 Overview of Institutional Standards Assessment.............................................................................................12 2.1 What Is Institutional Standards Assessment?..............................................................................................................12 2.1.1 Self-Assessment and ISA Application......................................................................................................................................12 2.1.2 External Assessment................................................................................................................................................................13 2.2 Institutional Standards and Criteria..............................................................................................................................13 2.3 ISA Schedule...............................................................................................................................................................14 2.4 ISA Timeline.................................................................................................................................................................15 PART B: INSTITUTIONAL STANDARDS, CRITERIA AND INDICATORS................................................................19 3 Introduction to Institutional Standards..............................................................................................................20 3.1 Underlying Principles of the Institutional Standards.....................................................................................................20 3.2 Structure of the Institutional Standards........................................................................................................................20 3.3 Institutional Standards, Criteria and Indicators............................................................................................................21 STANDARD 1: Governance and Management........................................................................................22 Criterion 1.1: Mission, Vision and Values..................................................................................................................................22 Criterion 1.2: Governance System............................................................................................................................................22 Criterion 1.3: Organisational and Management Structure.........................................................................................................23 Criterion 1.4: Strategic and Operational Planning.....................................................................................................................24 Criterion 1.5: Risk Management................................................................................................................................................25 Criterion 1.6: Quality Management System...............................................................................................................................25 Criterion 1.7: Policy Management.............................................................................................................................................26 Criterion 1.8: Physical Infrastructure and Campus Facilities Management...............................................................................27 STANDARD 2: Academic Provision and Resources............................................................................28 Criterion 2.1: Graduate Attributes..............................................................................................................................................28 Criterion 2.2: Student Admission and Orientation.....................................................................................................................28 Criterion 2.3: Registry and Student Records.............................................................................................................................29 Criterion 2.4: Teaching and Learning Framework.....................................................................................................................30 Criterion 2.5: Library and Learning Resources..........................................................................................................................30 Criterion 2.6: Information and Educational Technology Resources..........................................................................................31 Criterion 2.7: Academic Integrity and Security..........................................................................................................................32 Criterion 2.8: Academic Advising..............................................................................................................................................33 Criterion 2.9: Academic Skills Enhancement.............................................................................................................................34 Criterion 2.10: Student Performance and Graduate Outcomes................................................................................................34 STANDARD 3: Students and Student Support Services....................................................................36 Criterion 3.1: Student Conduct and Behaviour..........................................................................................................................36 Criterion 3.2: Student Appeals and Grievances........................................................................................................................36 Criterion 3.3: Student Finances and Grants..............................................................................................................................37 Criterion 3.4: Medical and Counselling Services.......................................................................................................................38 Criterion 3.5: Accommodation, Catering and Transportation....................................................................................................38 Page 1 of 121 OAAAQA v2 Institutional Standards Assessment Manual Criterion 3.6: Extracurricular Activities......................................................................................................................................39 Criterion 3.7: Career and Employment Services.......................................................................................................................39 Criterion 3.8: Student Satisfaction.............................................................................................................................................40 STANDARD 4: Human Resources................................................................................................................41 Criterion 4.1: Human Resources Planning and Recruitment.....................................................................................................41 Criterion 4.2: Staff Expertise, Sufficiency and Characteristics..................................................................................................42 Criterion 4.3: Staff Induction......................................................................................................................................................42 Criterion 4.4: Academic Staff Workload.....................................................................................................................................43 Criterion 4.5: Staff Performance Planning and Review.............................................................................................................43 Criterion 4.6: Professional Development...................................................................................................................................44 Criterion 4.7: Staff Satisfaction and Retention..........................................................................................................................45 STANDARD 5: Research and Innovation..................................................................................................47 Criterion 5.1: Research and Innovation Strategy and Performance..........................................................................................47 Criterion 5.2: Research Funding and Grants.............................................................................................................................48 Criterion 5.3: Research Ethics...................................................................................................................................................48 Criterion 5.4: Consultancy Activities..........................................................................................................................................49 Criterion 5.5: Intellectual Property.............................................................................................................................................49 Criterion 5.6: Integration of Research and Teaching.................................................................................................................50 STANDARD 6: External Engagement..........................................................................................................51 Criterion 6.1: Engagement with Industry...................................................................................................................................51 Criterion 6.2: Engagement with Professional Bodies................................................................................................................51 Criterion 6.3: Engagement with Education Providers................................................................................................................52 Criterion 6.4: Engagement with Alumni.....................................................................................................................................52 Criterion 6.5: Engagement with the Wider Community..............................................................................................................53 Criterion 6.6: Local and International Visibility..........................................................................................................................53 PART C: METHODS OF ASSESSMENT AND ANALYSIS........................................................................................55 4 ADRI.......................................................................................................................................................................56 4.1 Approach......................................................................................................................................................................57 4.2 Deployment..................................................................................................................................................................57 4.3 Results.........................................................................................................................................................................57 4.4 Improvement................................................................................................................................................................58 5 Types of Evidence and Data Analysis................................................................................................................58 5.1 Using Statistics............................................................................................................................................................58 5.2 Date Stamping Evidence.............................................................................................................................................59 5.3 Evaluating New Processes..........................................................................................................................................59 6 Assessing the Credibility of Evidence................................................................................................................59 6.1 Saturation.....................................................................................................................................................................60 6.2 Triangulation................................................................................................................................................................60 7 Reaching Conclusions.........................................................................................................................................60 PART D: INSTITUTIONAL ACCREDITATION OUTCOME AND RATING AGAINST STANDARDS AND CRITERIA...............................................................................................................................................................61 8 Institutional Standards Ratings...........................................................................................................................62 8.1 Criteria Ratings............................................................................................................................................................62 8.2 Standards Ratings.......................................................................................................................................................63 8.3 Institutional Accreditation Outcomes............................................................................................................................63 8.4 Communication of Accreditation Outcome...................................................................................................................64 8.5 ISR Deadline................................................................................................................................................................64 Page 2 of 121 Institutional Standards Assessment Manual v2 OAAAQA PART E: THE SELF-ASSESSMENT AND THE ISA APPLICATION.........................................................................65 9 The Self-Assessment...........................................................................................................................................66 9.1 Self-Assessment Principles.........................................................................................................................................66 9.2 Development of the ISAA through Self-Assessment...................................................................................................66 9.2.1 Stage 1: Creating the Self-Assessment Team and Schedule..................................................................................................66 9.2.2 Stage 2: Undertaking the Self-Assessment..............................................................................................................................67 9.2.3 Stage 3: Preparing the ISA Application....................................................................................................................................68 9.3 The ISA Application Template.....................................................................................................................................69 9.3.1 Section 1: Overview of the ISA Process...................................................................................................................................69 9.3.2 Section 2: HEI Declaration and Designated Contact Person...................................................................................................69 9.3.3 Section 3: List of Abbreviations................................................................................................................................................70 9.3.4 Section 4: Glossary of Terms...................................................................................................................................................70 9.3.5 Section 5: Overview of the HEI.................................................................................................................................................70 9.3.6 Section 6: HEI Background Information...................................................................................................................................70 9.3.7 Section 7: Self-Assessment against Standards 1 to 6.............................................................................................................70 9.3.8 Section 8: List of All Mandatory Materials Submitted...............................................................................................................71 9.3.9 Section 9: List of All Supplementary Materials Submitted........................................................................................................71 9.3.10 Section 10: Institutional Data....................................................................................................................................................71 9.4 ISAA Evidence.............................................................................................................................................................71 9.4.1 Mandatory Materials (MMs)......................................................................................................................................................72 9.4.2 Supplementary Materials (SMs)...............................................................................................................................................73 9.4.3 Technical Requirements for Submitting MMs and SMs...........................................................................................................73 9.5 Good Practice..............................................................................................................................................................74 9.6 Preparing for the ISAA Submission and Completeness Checklist...............................................................................75 9.7 Fees.............................................................................................................................................................................76 PART F: THE EXTERNAL ASSESSMENT BY THE ISA PANEL...............................................................................77 10 External Assessment Protocols..........................................................................................................................78 10.1 External Reviewers’ Conflicts of Interest.....................................................................................................................78 10.2 External Reviewers’ Contract.......................................................................................................................................78 10.3 Undue Influence...........................................................................................................................................................78 10.4 The Non-Attribution Rule.............................................................................................................................................78 10.5 Sensitive Information...................................................................................................................................................79 10.6 OAAAQA’s Role in Complaints about the HEI.............................................................................................................79 11 Before the ISAA Submission...............................................................................................................................79 11.1 Reconfirming the Scheduled ISAA Submission Date..................................................................................................79 11.2 Appointing the Review Director....................................................................................................................................79 11.3 Appointing a Contact Person.......................................................................................................................................80 12 The ISA Panel........................................................................................................................................................80 12.1 Register of External Reviewers....................................................................................................................................80 12.2 Identifying the ISA Panel Members..............................................................................................................................81 12.3 Forming the ISA Panel.................................................................................................................................................81 12.3.1 Panel Longlist...........................................................................................................................................................................81 12.3.2 Panel Shortlist...........................................................................................................................................................................81 12.4 Size and Composition of the ISA Panel.......................................................................................................................81 12.5 Panel Members’ Code of Conduct...............................................................................................................................82 12.5.1 Panel Members’ Companions..................................................................................................................................................82 12.6 Panel Members’ Roles and Responsibilities................................................................................................................82 12.6.1 Additional Responsibilities of the Panel Chairperson...............................................................................................................83 13 Observers on ISA Panels.....................................................................................................................................84 13.1 Observer’s Role and Access to Information.................................................................................................................84 13.2 Conduct of Observers..................................................................................................................................................84 13.3 Administrative Arrangements for Observers................................................................................................................84 Page 3 of 121 OAAAQA v2 Institutional Standards Assessment Manual 14 Administrative Matters and Support for the ISA Panel.....................................................................................85 14.1 Panel Support Officer...................................................................................................................................................85 14.2 Panel Members’ Honoraria..........................................................................................................................................85 14.3 Panel Members’ Travel, Accommodation, Meals and Insurance.................................................................................85 15 Before the ISA Visit..............................................................................................................................................85 15.1 ISAA Completeness Check..........................................................................................................................................86 15.2 Preliminary Comments and ISA Report v1..................................................................................................................86 15.3 Preliminary Meeting.....................................................................................................................................................87 15.4 Preparing for the Planning Visit...................................................................................................................................87 15.4.1 Request for Additional Evidence..............................................................................................................................................87 15.4.2 Matters for Clarification.............................................................................................................................................................87 15.4.3 ISA Visit Schedule....................................................................................................................................................................88 15.4.4 Call for Public Submissions......................................................................................................................................................88 15.5 The Planning Visit........................................................................................................................................................89 16 The ISA Visit..........................................................................................................................................................89 16.1 Nature and Purpose of the ISA Visit............................................................................................................................90 16.2 ISA Visit Principles and Activities.................................................................................................................................90 16.2.1 ISA Visit Principles....................................................................................................................................................................90 16.2.2 ISA Visit Activities.....................................................................................................................................................................90 16.3 ISA Visit Interviews......................................................................................................................................................91 16.3.1 Interviewees..............................................................................................................................................................................91 16.3.2 The Interview Procedure..........................................................................................................................................................91 16.3.3 Random Interviews...................................................................................................................................................................92 16.3.4 Call-Back Interviews.................................................................................................................................................................93 16.4 The Interviewee Perspective........................................................................................................................................93 16.4.1 Before the Interview..................................................................................................................................................................93 16.4.2 During the Interview..................................................................................................................................................................94 16.4.3 After the Interview.....................................................................................................................................................................94 16.5 ISA Visit Logistics and Venue......................................................................................................................................94 16.5.1 Daily Liaison Meetings..............................................................................................................................................................94 16.5.2 Main Panel Room.....................................................................................................................................................................95 16.5.3 Concurrent Interview Room for Parallel Sessions....................................................................................................................97 16.5.4 Round Table Interview Room for Student Interviews...............................................................................................................97 16.5.5 Facilities for Virtual Interviews..................................................................................................................................................98 16.5.6 Campus Tours and ‘In-Situ’ Interviews.....................................................................................................................................98 16.5.7 Panel Lunchroom......................................................................................................................................................................98 16.5.8 Prayer Facilities........................................................................................................................................................................99 16.5.9 Washroom Facilities.................................................................................................................................................................99 16.5.10 Parking......................................................................................................................................................................................99 16.6 Evidence Deadline.......................................................................................................................................................99 16.7 ISA Visit Concluding Session.......................................................................................................................................99 17 The ISA Report.................................................................................................................................................... 100 17.1 ISA Report v1.............................................................................................................................................................100 17.2 ISA Report v2.............................................................................................................................................................100 17.3 ISA Report v3.............................................................................................................................................................100 17.4 ISA Report v4.............................................................................................................................................................101 17.5 ISA Report v5.............................................................................................................................................................102 17.5.1 HEI’s Comments on ISA Report v5........................................................................................................................................102 17.5.2 Panel’s Response to HEI’s Comments on ISA Report v5......................................................................................................102 17.6 ISA Report v6.............................................................................................................................................................103 17.7 Final ISA Report.........................................................................................................................................................103 18 After the ISA........................................................................................................................................................ 103 18.1 Public Reporting and Accountability..........................................................................................................................103 18.2 Institutional Accreditation Certificate Ceremony and Media Management................................................................103 18.3 Deleting ISA Documentation......................................................................................................................................104 18.4 Feedback Mechanisms..............................................................................................................................................104 Page 4 of 121 Institutional Standards Assessment Manual v2 OAAAQA 18.4.1 ISA Panel Member Evaluation................................................................................................................................................104 18.4.2 HEI Representative Evaluation...............................................................................................................................................104 18.4.3 Review Director Report..........................................................................................................................................................104 19 Disputes and Appeals........................................................................................................................................ 105 19.1 Disputes.....................................................................................................................................................................105 19.1.1 Complaints by the HEI Against the ISA Panel........................................................................................................................105 19.1.2 Complaints by the ISA Panel Against the HEI........................................................................................................................105 19.1.3 Resolution of Complaints........................................................................................................................................................105 19.2 Appeals......................................................................................................................................................................105 19.2.1 Grounds for Appeal.................................................................................................................................................................106 19.2.2 Conditions for Reviewing an Appeal.......................................................................................................................................106 19.2.3 Appeal Process, Fee and Outcome........................................................................................................................................106 PART G: APPENDICES............................................................................................................................................ 107 Appendix A: Terms and Abbreviations.................................................................................................................. 108 Appendix B: ISA Submission Completeness Check............................................................................................. 109 Appendix C: Preliminary Meeting Agenda Template and Sample....................................................................... 110 Appendix D: Planning Visit Agenda Template and Sample................................................................................. 112 Appendix E: Call for Public Submissions Template............................................................................................. 114 Appendix F: Information for HEI Staff, Students and Stakeholders.................................................................... 115 Appendix G: ISA Visit Schedule (Sample)............................................................................................................. 117 Appendix H: HEI Comments on ISA Report v5 Template..................................................................................... 118 Appendix I: Panel Response to HEI Comments on ISA Report v5 Template...................................................... 119 Appendix J: ISA Manual Document History.......................................................................................................... 121 List of Figure: Figure 1: Institutional Accreditation System..............................................................................................................................10 Figure 2: Institutional Standards Assessment Stages...............................................................................................................12 Figure 3: ISA Types of Evidence...............................................................................................................................................71 Figure 4: Panel Room Layout....................................................................................................................................................96 Figure 5: Round-table Room Layout.........................................................................................................................................97 List of Tables: Table 1: ISA Manual Content Summary and Key Audience........................................................................................................7 Table 2: Overview of Institutional Standards and Criteria.........................................................................................................14 Table 3: ISA Indicative Timeline................................................................................................................................................16 Table 4: Levels of Institutional Standards.................................................................................................................................20 Table 5: Criterion Ratings..........................................................................................................................................................62 Table 6: Standard Ratings.........................................................................................................................................................63 Table 7: Institutional Accreditation Outcomes...........................................................................................................................64 Table 9: Final ISA Application Read Through...........................................................................................................................75 Page 5 of 121 OAAAQA v2 Institutional Standards Assessment Manual INTRODUCTION The Oman Authority for Academic Accreditation and Quality Assurance of Education (OAAAQA) was established by Royal Decree 09/2021 on 13 January 2021. The OAAAQA replaced the Oman Academic Accreditation Authority (OAAA), which had been established through Royal Decree 54/2010 on 3 May 2010, and which in turn replaced the former Oman Accreditation Council (OAC). The OAAAQA is an entity with legal status and financial and administrative independence which reports to the Cabinet. It was established to continue the efforts initiated by the OAAA and OAC in the dissemination of quality culture and accreditation of higher education institutions and programmes in Oman, and the quality assurance of schools. In higher education, this is achieved through the comprehensive national system of quality management which includes Institutional and Programme Accreditation and the maintenance of the National Register of Qualifications. To implement this system, the OAAAQA conducts several External Quality Assurance (EQA) activities including Institutional Standards Assessment (ISA), Programme Standards Assessment (PSA), Institutional and Programme Reassessment (ISR and PSR), and General Foundation Programme Quality Audit (GFPQA). The OAAAQA also assesses qualifications against the Oman Qualifications Framework (OQF) which defines the levels and types of qualifications resulting from academic, technological, vocational, professional and general (school) education. Further information on all these activities, together with the establishment and responsibilities of OAAAQA, is available on the OAAAQA website (www.oaaaqa.gov.om). This Manual is concerned primarily with the ISA. When the ISA was originally launched in 2016, the PSA had not been implemented at the time, hence, the first version of the ISA Manual also included Standards and Criteria related to an HEI’s programmes. With the second cycle of Institutional Accreditation commencing for those HEIs which were accredited in the first round (2016-2023), the Standards and Criteria were reviewed and updated to ensure there is a clear and primary focus on institutional areas. Although the revised Standards do not cover programmes, the ISA takes a ‘global’ view of an HEI’s academic provision and resources, including how it designs, deploys, manages and reviews programmes in general. The review also established the currency and relevance of the Standards and Criteria to all HEIs in Oman based on the lessons learnt from the first ISA cycle and appropriate international benchmarks. At the same time, the ISA process was scrutinised and changes were made to streamline the activities within the ISA and promote a more efficient assessment of the HEI’s performance. This Manual presents the updated institutional Standards and Criteria and ISA process and is divided into seven parts: Part A: Institutional Accreditation Overview Part B: Institutional Standards, Criteria and Indicators Part C: Methods of Assessment and Analysis Part D: Institutional Accreditation Outcome and Rating against Standards and Criteria Part E: The Self-Assessment and ISA Application Part F: The External Assessment by the ISA Panel Part G: Appendices There are three targeted readerships for this Manual: HEIs; ISA and ISR Panels and Review Directors; and other stakeholders, including students, the public, employers, the professions, supervising ministries, institutional affiliates, and OAAAQA staff and their contracted representatives. While each section is written with a particular readership in mind (see Table 1), all parts of the ISA and ISR process are included in this Manual and all those engaged in ISA and ISR are encouraged to become familiar with the content of the Manual. HEIs must also acknowledge and declare that they have adhered to the processes outlined in this Manual when submitting an ISA Application. Page 6 of 121 Institutional Standards Assessment Manual v2 OAAAQA Table 1: ISA Manual Content Summary and Key Audience NOTE: The primary audience for each Part is highlighted in bold in the last column. PART CONTENT AUDIENCE Institutional Accreditation Overview HEIs This section introduces Institutional Accreditation and the Institutional Standards Assessment (ISA) process. ISA and ISR Panels and A A timeline outlining all the activities that make up the ISA Review Directors process providing a comprehensive overview of the All other stakeholders different stages involved. Institutional Standards, Criteria and Indicators This section details the six Standards used for Institutional Accreditation. Each Standard is related to a broad area of activity and HEIs consists of distinct Criteria. ISA and ISR Panels and B All the institutional Standards and Criteria are applicable to all HEIs. Review Directors A list of Indicators accompanies each Criterion; these All other stakeholders provide support to HEIs when preparing their ISA Application (ISAA) but they are not compulsory requirements and HEIs may choose to provide alternative evidence of how they have met each Criterion. Methods of Assessment and Analysis This section provides a description of some of the methods of analysis that ISA Panels use when examining evidence provided by HEIs. HEIs ISA and ISR Panels and C The section covers how to apply an ADRI approach to analysis, which is the approach used by ISA Panels to Review Directors analyse HEIs’ performance against the ISA Standards and Criteria. HEIs are encouraged to use the same approach in their self-assessment. Information is also provided about ISA Visit interviews. Institutional Accreditation Outcome and Rating against Standards and Criteria This section provides information on the ratings to be used HEIs when evaluating performance against the Criteria and how ISA and ISR Panels and D these ratings inform both Standard and Institutional Accreditation Outcomes. Review Directors Descriptions are provided for the expected levels of All other stakeholders provision or practice related to each rating. Both the HEI and the ISA Panel rate the HEI’s performance against all Standards and Criteria using these ratings. The Self-Assessment and ISA Application This section discusses the principles underpinning the self- HEIs E assessment process undertaken by the HEI. It introduces the format of the ISA Application (ISAA) and ISA and ISR Panels and Review Directors provides information on how to complete and submit the ISAA based on the self-assessment. Page 7 of 121 OAAAQA v2 Institutional Standards Assessment Manual Table 1: ISA Manual Content Summary and Key Audience NOTE: The primary audience for each Part is highlighted in bold in the last column. PART CONTENT AUDIENCE The External Assessment by the ISA Panel This section outlines the ISA protocols and the roles and responsibilities of various parties, including the ISA Panel Members and the Review Director. It provides information on the logistical requirements for the ISA and ISR Panels and F ISA Visit, and describes the mechanism and steps required Review Directors HEIs in drafting the ISA Report. In addition, this section outlines the processes to be followed by an HEI wishing to appeal the Accreditation Outcome and the feedback mechanisms used by the OAAAQA upon completion of the ISA. Appendices HEIs G This section provides a range of information including key ISA and ISR Panels and Review Directors templates for HEIs. Page 8 of 121 Institutional Standards Assessment Manual v2 OAAAQA PART A: INSTITUTIONAL ACCREDITATION OVERVIEW Page 9 of 121 OAAAQA v2 Institutional Standards Assessment Manual 1 Institutional Accreditation The advantages of institutional accreditation are well-established and bring wider benefits to the HEI and society in general. Institutional accreditation is formal recognition that an HEI meets the minimum required standards and benchmarked criteria. It confirms that an HEI is of good standing and consistently and systematically maintains academic standards. It also promotes quality improvement at the institutional level and provides independent assurance to all stakeholders regarding the performance of the HEI. Finally, it enables an HEI to state publicly that it has undergone external verification and satisfied national requirements. The OAAAQA is responsible for the institutional accreditation of all HEIs in Oman, to which end it applies internationally benchmarked national standards and it implements the Institutional Standards Assessment (ISA) process The OAAAQA’s Institutional Accreditation applies to all types of HEIs (public and private), HEI classifications (universities, university colleges and colleges) and supervisory structures (such as HEIs under the Ministry of Higher Education, Research and Innovation (MoHERI), the Ministry of Defence (MoD), the Ministry of Health (MoH) and the Central Bank of Oman (CBO)). HEIs commence their first ISA after graduating the first cohort of students and every five years thereafter, resulting in an Institutional Accreditation Outcome, which is published on the OAAAQA website for all stakeholders to access. It is currently compulsory for all HEIs in Oman to undergo Institutional Accreditation by the OAAAQA. The first ISA cycle was initiated in 2016. In 2023, the Programme Standards Assessment (PSA) was launched by the OAAAQA to accredit higher education programmes. This development, along with the commencement of reaccreditation (the second ISA cycle), created a need to review and update the ISA Standards to ensure their currency, relevance and focus on institutional assessment criteria. Changes were also made to the ISA process to enhance its efficiency and facilitate the automation of specific aspects of the process. This review resulted in a more streamlined single-stage Institutional Accreditation process which is illustrated in Figure 1. Figure 1: Institutional Accreditation System Page 10 of 121 Institutional Standards Assessment Manual v2 OAAAQA 1.1 Institutional Standards Assessment ISA is a summative process involving six Standards and 45 Criteria which is used to determine the Institutional Accreditation Outcome. All of the six Standards and related Criteria are applicable to all HEIs, and HEIs undergo assessment against all of the Standards and Criteria (see Section 3.1 for more information). HEIs which meet all six Standards are awarded an Accredited status. HEIs which meet five out of the six Standards are Conditionally Accredited and must undergo Institutional Standards Reassessment (ISR) in order to obtain full accreditation. Finally, those HEIs that meet less than five Standards are placed On Probation prior to undergoing ISR. More information about the Standards and Criteria can be found in Part B of this Manual, while the ratings and descriptors for Standards and Criteria are addressed in Part D. 1.2 Institutional Standards Reassessment An HEI that demonstrates unsatisfactory performance in any of the six Standards must undergo Institutional Standards Reassessment (ISR). All HEIs which have been either Conditionally Accredited or placed On Probation are reassessed in ISR by a separate ISR Panel using the same processes outlined in this Manual. The ISR must be undertaken within a year of receiving the final version of the ISA Report. The exact deadline for submitting an ISR Application will be confirmed by the OAAAQA. Only those Standards which have been rated as Not Met and the Criteria within those Standards which have been rated Not Met or Partially Met are reassessed in ISR. If an HEI is Conditionally Accredited or placed On Probation after the ISR, it may be given a second and final opportunity to undergo an ISR. If the accreditation outcome remains unchanged after the second ISR attempt, the ISA process is terminated, the HEI is given Not Accredited status and the OAAAQA advises the Cabinet and the HEI’s supervising Ministry or entity (if applicable) accordingly. More information on all aspects of ISR can be found on the OAAAQA website, while information about the ISR deadline can be found in Section 8.5 of this Manual. 1.3 Rescheduling Institutional Accreditation An HEI must notify the OAAAQA of any extreme circumstances that may hinder their ability to undergo ISA on time, as per the stipulations in the OAAAQA Policy on Major Change Notification for Higher Education External Quality Assurance Activities. 1.4 Major Changes and Review of Accreditation Status Once accredited, HEIs have an obligation to inform the OAAAQA of any major changes which may have occurred within the institution and may affect their ability to meet the OAAAQA’s institutional Standards. These may include, for example, changes to the HEI’s governance, financial viability, relationship with the affiliate (if applicable), occupation of new premises or major student-oriented issues. Further information about this can be found in the OAAAQA Policy on Major Change Notification for Higher Education External Quality Assurance Activities. It is up to the OAAAQA to determine to what extent a change may be relevant to an HEI’s ISA Application submission, activities and/or status and whether an HEI’s Institutional Accreditation status remains intact or has been compromised by the reported change(s). The OAAAQA may revoke the Accredited status of an HEI where major changes have taken place that adversely impact its ability to meet the Institutional Standards. In this instance, the HEI will be assigned Accreditation Revoked status, and may subsequently reapply for accreditation once the impact of the major change(s) has been mitigated. The OAAAQA will consider the application and may include the HEI on the national Review Schedule provided the latter has retained its institutional licensure. Page 11 of 121 OAAAQA v2 Institutional Standards Assessment Manual 1.5 Applying for Reaccreditation The Accredited status is valid for a period of five years. HEIs are expected to submit their ISA Application for reaccreditation at least six months before the expiry of their current Accreditation status. An HEI which is unable to meet this deadline for valid reasons or due to emergency circumstances that constitute a major change (see Section 1.4) must apply for rescheduling of the ISA at least six months prior to the expiry of their current Accreditation status. If the application for rescheduling is approved, the HEI will be given the interim status Undergoing Institutional Reaccreditation upon the expiry of their current status and until the outcomes of the institutional reaccreditation are approved. 1.6 External Accreditation by an IEQA Entity External institutional accreditation of an HEI by entities other than OAAAQA complement, but do not substitute, the national system of Institutional Accreditation. Any alternative accreditation activity involving an International External Quality Assurance (IEQA) Agency is reviewed and endorsed by OAAAQA through an established IEQA process which is detailed on the OAAAQA website. Regardless of IEQA activities, whether endorsed by OAAAQA or otherwise, all HEIs in Oman must undergo OAAAQA Institutional Accreditation against the Institutional Standards and the ISA process presented in this Manual. 2 Overview of Institutional Standards Assessment 2.1 What Is Institutional Standards Assessment? While Institutional Accreditation is an outcome, ISA is the process used by the OAAAQA to determine if an HEI has achieved this outcome. It is an independent evaluation of the extent to which an HEI meets the national Standards expected of all HEIs in Oman and confirmation that the institution is of good standing. The ISA consists of a self-assessment by the HEI and an external assessment by an expert Panel appointed by the OAAAQA. The external assessment includes the ISA as well as any reassessments required to achieve Accredited status. Following the external assessment, an accreditation decision is made and published on the OAAAQA website. The accreditation status is valid for a period of five years, after which the HEI must reapply for accreditation. Figure 2 illustrates the ISA stages, which are described in more detail in the following sub-sections. Figure 2: Institutional Standards Assessment Stages 2.1.1 Self-Assessment and ISA Application The ISA process commences with the HEI undertaking an evidence-based self-assessment of its own performance, processes and practices using the ISA Standards and Criteria. This is in keeping with INQAAHE’s International Standards and Guidelines for Quality Assurance in Tertiary Education, which hold HEIs responsible for guaranteeing institutional quality, having quality assurance mechanisms in place, and adhering to high academic standards. An HEI is expected to manage the quality of its academic provision and non-academic activities effectively, using those benchmarks and internal and external reference points that it considers appropriate for its mission and institutional classification. The findings of the self- Page 12 of 121 Institutional Standards Assessment Manual v2 OAAAQA assessment are written up in the ISA Application (ISAA) using a template developed for this purpose and submitted to the OAAAQA by an agreed deadline along with supporting documentation as evidence. The full details of this process are set out in Part E of this Manual. 2.1.2 External Assessment Following the submission of the ISAA, the OAAAQA forms an ISA Panel, comprised of locally-based and international expert peers from academic, industry and professional bodies, to consider the ISAA and assess the HEI’s performance as described in the ISAA against the OAAAQA’s internationally benchmarked Standards. The purpose of the external assessment is to verify that the HEI’s quality assurance and improvement systems are effective and sustainable and produce deliberate outcomes for the duration of the five-year accreditation period. The external assessment is conducted through several means, including the verification of the evidence submitted by the HEI (see Section 9.4), in addition to other relevant information sources, such as the HEI’s website, public submissions, and interviews with a range of internal and external stakeholders during an on-site visit to the HEI. The Panel produces an ISA Report which contains the ratings for each of the six Standards and their related Criteria. It also includes opportunities for improvement where applicable to facilitate quality enhancement. The Panel also proposes the final Institutional Accreditation Outcome to the OAAAQA Board based on the HEI’s performance. Transparency is central to the external assessment process. The granting of Institutional Accreditation has a major impact on all stakeholders, and the OAAAQA understands that it is important, therefore, that the outcome of the process is clearly communicated, and that the way in which the outcome has been arrived at is transparent and based on an explicit, published approach that is applied consistently. The full details of the external assessment process are set out in Part F of this Manual, while the Standards and Criteria ratings and Institutional Accreditation Outcomes can be found in Part D. 2.2 Institutional Standards and Criteria A total of six Institutional Standards and 45 Criteria are assessed in the current ISA, all of which are applicable to all HEIs (see Section 3.1). They are listed in Table 2, while a full description of each Standard and Criterion can be found in Part B of this Manual. In order to gain Accredited status, an HEI must meet all six Standards, which articulate the minimum expected performance. HEIs which perform above expectations in specific areas are given the opportunity to nominate their good practice(s) for inclusion in the national higher education good practice database (see Section 9.5). The Institutional Standards and Criteria reflect the wider context in which Institutional Accreditation operates, including Oman’s national priorities (as set out in Oman Vision 2040) and specific requirements (for example, national health and safety regulations, human rights awareness, labour market and entrepreneurship needs, and the Higher Education Law). Page 13 of 121 OAAAQA v2 Institutional Standards Assessment Manual Table 2: Overview of Institutional Standards and Criteria No Standard Name Criteria 1 Governance and Management 1.1 Mission, Vision and Values 1.2 Governance System 1.3 Organisational and Management Structure 1.4 Strategic and Operational Planning 1.5 Risk Management 1.6 Quality Management System 1.7 Policy Management 1.8 Physical Infrastructure and Campus Facilities Management 2 Academic Provision and 2.1 Graduate Attributes Resources 2.2 Student Admission and Orientation 2.3 Registry and Student Records 2.4 Teaching and Learning Framework 2.5 Library and Learning Resources 2.6 Information and Educational Technology Resources 2.7 Academic Integrity and Security 2.8 Academic Advising 2.9 Academic Skills Enhancement 2.10 Student Performance and Graduate Outcomes 3 Students and Student Support 3.1 Student Conduct and Behaviour Services 3.2 Student Appeals and Grievances 3.3 Student Finances and Grants 3.4 Medical and Counselling Services 3.5 Accommodation, Catering and Transportation 3.6 Extracurricular Activities 3.7 Career and Employment Services 3.8 Student Satisfaction 4 Human Resources 4.1 Human Resources Planning and Recruitment 4.2 Staff Expertise, Sufficiency and Characteristics 4.3 Staff Induction 4.4 Academic Staff Workload 4.5 Staff Performance Planning and Review 4.6 Professional Development 4.7 Staff Satisfaction and Retention 5 Research and Innovation 5.1 Research and Innovation Strategy and Performance 5.2 Research Funding and Grants 5.3 Research Ethics 5.4 Consultancy Activities 5.5 Intellectual Property 5.6 Integration of Research and Teaching 6 External Engagement 6.1 Engagement with Industry 6.2 Engagement with Professional Bodies 6.3 Engagement with Education Providers 6.4 Engagement with Alumni 6.5 Engagement with the Wider Community 6.6 Local and International Visibility 2.3 ISA Schedule The ISA schedule is based on the national Review Schedule which is published on the OAAAQA website and the validity of the Institutional Accreditation status. The deadline for the submission of an ISA Application by an HEI is agreed upon with the HEI. For already accredited HEIs, it must be at least six months before the expiry of the Institutional Accreditation certificate (see also Sections 1.5 and 18.2). HEIs are responsible for ensuring that they are aware of the ISA schedule and are prepared to submit their ISAA in accordance with the schedule. Deferrals or extensions are not possible. Page 14 of 121 Institutional Standards Assessment Manual v2 OAAAQA 2.4 ISA Timeline The total duration of the ISA is approximately 28 weeks from the date of the ISAA submission. All assessments follow the same timeline and the same ISA process; however, the length of some ISA activities such as the on-site Visit depends on whether the HEI is a single- or multi- campus entity. Table 3 sets out the indicative timeline and main activities associated with the ISA process and provides a brief description of each activity. Key activities are highlighted in bold. While every effort is made to ensure that all ISA reviews are completed within the 28- week timeline, this period remains indicative, and adjustments may be made to specific ISA activities where necessary due to exceptional or extenuating circumstances and situations. Page 15 of 121 OAAAQA v2 Institutional Standards Assessment Manual Table 3: ISA Indicative Timeline Week Activity Task Responsibility 1 Undertake the Self-Assessment for ISA, resulting in the ISA Application (ISAA). HEI 2 Appoint a Review Director (RD); this may take the form of an External RD (ERD). IQAD Director Prepare a Panel longlist (in discussion with technical members of CHEQA) from OAAAQA ERASD Director, 3 Register of External Reviewers and submit it to the DG CHEQA for approval. IQAD Director BEFORE THE ISAA SUBMISSION 4 Approve Panel longlist (or send back to Activity 3 for further attention). DG CHEQA Send the Panel longlist for HEI’s consideration together with the name of the RD and a 5 PSO request for the HEI’s Contact Person to be identified. Review, in confidence, whether any External Reviewers on the longlist may have a conflict 6 HEI of interest; return comments (via Contact Person) to the OAAAQA. 7 Discuss and confirm the ISA key dates. RD, HEI Invite the selected External Reviewers on the longlist to form a Panel; prepare the ER 8 RD, PSO contracts and obtain the necessary signatures. 9 Announce the Panel to the HEI; publish the Panel composition on the OAAAQA website. RD, PSO Send the Payment for ISA 30 days prior to the ISAA submission (an Accreditation 10 HEI Outcome is only released upon payment of the fee). Submit the ISAA and the Evidence (Mandatory Materials & Supplementary Materials) Week 0 11 to the OAAAQA using the ISAA template and adhering to prescribed word and HEI Evidence limits Conduct the ISAA Completeness Check. If complete, send the ISAA and the Evidence to 12 RD, PSO the Panel; if incomplete, resolve with the HEI. Provide Preliminary Comments to RD, including a list of additional Evidence and Matters 13 Panel for Clarification. Prepare a Preliminary Meeting Agenda with input from the Panel Chairperson and send it RD, PSO to the Panel. 14 Prepare ISA Report v1 by collating the Preliminary Comments and circulate it to the Panel. RD Week 4 15 Participate in the Preliminary Meeting with all Panel Members. Panel, RD Prepare ISA Report v2 with notes from the Preliminary Meeting and circulate it to the Panel. RD 16 Prepare the draft ISA Visit Schedule based on the Panel’s suggestions. RD, PSO List any additional Evidence and Matters for Clarification based on the Panel’s suggestions, 17 RD, PSO and prepare the Call for Public Submissions. Prepare the Planning Visit Agenda and send it to the HEI together with the draft ISA Visit 18 Schedule, the Request for additional Evidence, the list of Matters for Clarification, and the RD, PSO Call for Public Submissions. Circulate the Call for Public Submissions within the HEI and via social media. 19 HEI, PSO Publish the Call for Public Submissions on the OAAAQA website. Page 16 of 121 Institutional Standards Assessment Manual v2 OAAAQA Table 3: ISA Indicative Timeline Week Activity Task Responsibility Participate in the Planning Visit at the HEI’s location to inspect the venue and discuss logistical arrangements. The HEI must submit the following at the end of the Planning Panel Visit: Chairperson and Week 10 20 RD (or their Additional Evidence representatives), Response to Matters for Clarification HEI The populated ISA Visit Schedule (with names of interviewees) Send the additional Evidence, response to Matters for Clarification, the ISA Visit Schedule, 21 RD and any other relevant information to the Panel. Provide ISA Report v3 text to RD based on the additional Evidence and other relevant 22 Panel information. 23 Prepare (collate) ISA Report v3 and circulate it to Panel. RD On closure of the Call for Public Submissions, assess the submissions against the 24 RD acceptance criteria and forward them to the Panel. 25 Collate and prepare the ISA Visit interview questions, and circulate them to the Panel. RD 26 Prepare the interviewees and logistics for the ISA Visit. HEI 27 Prepare the Final ISA Visit Schedule and forward it to the Panel Members. RD Participate in the ISA Visit. Panel, RD, HEI HEI stakeholders are present for interviews, and the Panel Members submit ISA Report Stakeholders Week 14 28 v3.1 to the RD at the end of the ISA Visit. Prepare a list of any additional Supplementary Materials requested by the Panel during the RD ISA Visit and provide it to the HEI Contact Person at the end of the ISA Visit. Submit any additional Supplementary Materials requested by the Panel during the ISA Visit 29 HEI within one week of the final day of the Visit. Review ISA Report v3.1 and circulate it to the Panel as ISA Report v3.2 together with the 30 RD additional Supplementary Materials. 31 Submit the updated ISA Report v3.2 to the RD. Panel Prepare ISA Report v4, ensuring consistency between the text and the rating, singularity of 32 RD voice, grammatical accuracy and alignment with OAAAQA’s House Style Manual. RD, Moderators, 33 Send ISA Report v4 for external and internal moderation. PSO Prepare ISA Report v5 in response to moderators’ feedback and circulate it to the Panel for 34 RD input if required. Week 20 35 Send ISA Report v5 to the HEI for comments. RD 36 Submit the comments on ISA Report v5 within ten working days. HEI Send the HEI’s comments on ISA Report v5 to the Panel. RD 37 Respond to each of the HEI’s comments on ISA Report v5. Panel Collate and analyse the Panel’s Response to the HEI’s comments on ISA Report v5; add 38 RD in liaison the OAAAQA’s action (if any) in the Panel Response Report. where necessary Prepare ISA Report v6 by amending the text and Criteria/Standard ratings and Accreditation with Panel 39 Outcome(s) of ISA Report v5 as needed. Page 17 of 121 OAAAQA v2 Institutional Standards Assessment Manual Table 3: ISA Indicative Timeline Week Activity Task Responsibility 40 Send ISA Report v6 for final checks and to OAAAQA CEO for final approval. DG CHEQA, CEO Week 23 Send ISA Report v6 to OAAAQA Board for endorsement of Report, Ratings, CEO’s Office, 41 Accreditation Outcome(s), and any conditional accreditation/ probation period. Board Send the endorsed ISA Report to the HEI under embargo with details of the OAAAQA 42 DG CHEQA appeals procedure. Post the Accreditation Outcome(s) and the ratings against the Standards and Criteria Week 28 43 DG CHEQA, PSO on the OAAAQA website (unless an appeal is lodged). 44 Issue a press release about the Accreditation Outcome(s). ERASD Director Agree a date for the awarding of the Institutional Accreditation Certificate(s) with the HEI or 45 CEO’s Office communicate the date of ISR submission. 46 Send the feedback form to the Panel for comments on all aspects of the ISA process. PSO AFTER THE ISA Seek feedback from the HEI VC, Dean or CEO (or equivalent) through the Contact Person 47 HEI about the effectiveness of the ISA process. 48 Evaluate the Panel Members and prepare a report on the ISA process. RD Follow up and analyse all ISA evaluation feedback for enhancement of the internal 49 PSO processes. IQAD Director, 50 Act on the ISA evaluation feedback through an improvement plan. ERASD Director Page 18 of 121 Institutional Standards Assessment Manual v2 OAAAQA PART B: INSTITUTIONAL STANDARDS, CRITERIA AND INDICATORS Page 19 of 121 OAAAQA v2 Institutional Standards Assessment Manual 3 Introduction to Institutional Standards This section describes the national Institutional Standards and the Criteria underpinning these Standards against which all HEIs in Oman are assessed. These Institutional Standards and Criteria have resulted from a reflective process based on a review of the previous ISA Standards, including feedback from the higher education sector, and the relevant supervising ministries and entities, in addition to benchmarking with institutional accreditation standards used by regional and international accrediting agencies and authorities. The Indicators for each Criterion are also described in this section. 3.1 Underlying Principles of the Institutional Standards The Institutional Standards are underpinned by the following broad principles: They represent minimum standards: The Institutional Standards presented here are minimum standards and reflect international expectations of threshold requirements for HEIs that are of good standing. They are generic in nature: The Institutional Standards are expressed in general terms and can be applied to all HEIs. The use of generic Institutional Standards enables their nationwide application. However, in the very exceptional circumstances where a Criterion or a sub-part of a Criterion does not apply to the context or regulatory environment of an HEI (exclusively in the military sector), the HEI needs to apply to the OAAAQA in writing for exemption from that Criterion or sub-part of a Criterion at least one year before the ISAA submission date. Only upon receipt of an official written approval by the OAAAQA can the HEI exclude a Criterion or a sub-part of a Criterion from their ISAA. 3.2 Structure of the Institutional Standards The Institutional Standards are organised into three levels as shown in Table 4. Table 4: Levels of Institutional Standards Level Name Description A general statement which prescribes the minimum expected level of quality in a broad area within the HEI and by which the OAAAQA determines whether the HEI 1 Standard merits accreditation. There are six institutional Standards based on six broad areas, all of which are applicable to every HEI. Each Standard consists of a number of Criteria. An explicit statement which prescribes the minimum expected level of quality in a specific area within the HEI and by which the achievement of a Standard is assessed. The HEI’s mission and institutional classification are taken into consideration where required (e.g., Criteria 1.4, 1.8, 4.2, 4.4 and 5.1). There are 45 2 Criterion Criteria all of which are applicable to every HEI (see also Section 3.1). For some Criteria, additional information is provided about the circumstances in which the Criterion is relevant. This information appears as an Explanatory Note in a text box immediately following the Criterion statement. Each Criterion includes a set of Indicators. Detailed guidelines to assist the HEI in conducting the self-assessment and preparing the ISAA. Indicators are non-mandatory rather than prescribed requirements. The HEI may address the listed Indicators or use different ones to 3 Indicators demonstrate how each Criterion has been met. The Indicators are not a checklist of how to meet the Criterion. Panels use the Indicators in the assessment of an HEI only to form a broad idea of the kinds of information to expect under each Criterion. Page 20 of 121 Institutional Standards Assessment Manual v2 OAAAQA 3.3 Institutional Standards, Criteria and Indicators The ISA Standards, Criteria and Indicators are set out as follows. Page 21 of 121 OAAAQA v2 Institutional Standards Assessment Manual STANDARD 1: Governance and Management Governance and management of the HEI ensure the effec