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About NAAC

 

The NATIONAL ASSESSMENT AND ACCREDITATION COUNCIL (NAAC) is an autonomous body established by the University Grants Commission (UGC) of India to assess and accredit institutions of higher education in the country. It is an outcome of the recommendations of the National Policy in Education (1986) which laid special emphasis on upholding the quality of higher education in India. To address the issues of quality, the National Policy on Education (1986) and the Plan of Action (POA-1992) advocated the establishment of an independent national accreditation body. Consequently, the NAAC was established in 1994 with its headquarters at Bangalore.

NAAC – Revised Assessment and Accreditation Framework

 

 

The Revised Assessment and Accreditation (A&A) Framework is launched in July 2017. It represents an explicit Paradigm Shift making it ICT enabled, objective, transparent, scalable and robust.

The Shift is:

  • from qualitative peer judgement to data based quantitative indicator evaluation with increased objectivity and transparency.
  • towards extensive use of ICT confirming scalability and robustness.
  • in terms of simplification of the process drastic reduction in number of questions, size of the report, visit days, and so on.
  • In terms of boosting bench-marking as quality improvement tool. This has been attempted through comparison of NAAC indicators with other international QA frameworks.
  • introducing pre-qualifier for peer team visit, as 30% of system generated score.
  • introducing System Generated Scores (SGS) with combination of online evaluation (about 70%) and peer judgement (about 30%).
  • in introducing the element of third party validation of data and the possibility of roping in multiple agencies.
  • in adopting a 100% off site evaluation of HEIs applying for 4th cycle accreditation; on-site visits in exceptional cases.
  • in providing appropriate differences in the metrics, weightages and benchmarks to universities, autonomous colleges and affiliated/constituent colleges.
  • in revising several metrics to bring in enhanced participation of students and alumni in the assessment process.

NAAC A&A Process

 

 

 

Pre-Requisites

 

During online submission of IIQA, the following documents (if applicable) have to be uploaded in .pdf form. (Please note the size should not exceed 1MB.)

ü  Latest Affiliation letter from the Affiliating University.

ü  Latest Recognition/approval letter from Statutory Regulatory Authority (SRA) like AICTE, MCI etc…

ü  UGC 2f and 12(B) recognition certificate along with latest Plan General Development Grant release letter from UGC.

ü  Letter from UGC regarding award of CPE/UPE.

ü  For Autonomous colleges, UGC letter conferring Autonomous Status.

ü  Proof of uploading All India Survey on Higher Education (AISHE) certificate.

ü  If   change   in   name,   submit   approvals   of   relevant   authorities/  

University/MHRD/UGC

ü  Approval of UGC/MHRD/State government for establishment of university.

ü  AIU or other governmental agencies approval for standalone institutes.

ü  Upload AQAR’s in the website so as to provide URL details.

ü  Self-declaration by the HEI’s complying with rules and regulations of Central Government, State Government, UGC, Affiliating University and other applicable SRA in the format provided by NAAC.

ü  Self-declaration with respect to Affiliation status in the format provided by NAAC.

Eligibility Criteria for Assessment and Accreditation (A&A)

 

v  Higher Education Institutions (HEIs), if they have a record of at least two batches of students graduated or been in existence for six years, whichever is earlier, are eligible to apply for the process of Assessment and Accreditation (A&A) of NAAC, and fulfil the other conditions or are covered by the other provisions, if any, mentioned below.

v  Universities (Central/State/Private/Deemed-to-be) and Institutions of National Importance Provided the Institutions /Deemed-to-be Universities and their off-campuses if any are approved by MHRD/UGC. NAAC will not consider the unapproved off-campuses for A&A.

v  Provided that these institutions have regular students enrolled in to the full time teaching and Research programmes offered on campus.

v  Provided further that the duly established campuses within the country, if any, shall be treated as part of the Universities / Institutions of National Importance for the A&A process.

v  NAAC will not undertake the accreditation of off-shore campuses.

v  Autonomous colleges/Constituent Colleges/ Affiliated Colleges (affiliated to universities recognised by UGC as an affiliating University) Provided the Colleges are affiliated to a University recognised by UGC for the purposes of affiliation. Constituent colleges of a Private and Deemed- to-be Universities are considered as the constituent units of the University and thus will not be considered for A&A independently. Such constituent colleges need to come along with the University Provided the  colleges/institutions not affiliated to a University are offering programmes recognized by Statutory Professional Regulatory Councils and have been recognised by Association of Indian Universities(AIU) or other such Government agencies concerned, as equivalent to a degree programme of a University Accredited HEIs applying for Re-assessment or Subsequent Cycles (Cycle 2, Cycle 3, Cycle 4….) of Accreditation Institutions, which would like to make an improvement in the accredited status, may apply for Re-assessment, after a minimum of one year and before three years of accreditation subject to the fulfilment of other conditions specified by NAAC from time to time for the purpose.

v  Institutions opting for Subsequent Cycles (Cycle 2, Cycle 3, Cycle 4….) of Accreditation can submit the Institutional Information for Quality Assessment (IIQA), beginning of the last quarter of the validity period subject to the fulfilment of other conditions specified by NAAC from time to time for the purpose.

v  Any other HEIs at the discretion of NAAC.

Note:

  • The NAAC accreditation does not cover distance education units of HEIs and off-shore campuses.
  • All the institutions intending to apply for Assessment and Accreditation by NAAC need to mandatorily upload the information on All India Survey on Higher Education (AISHE) portal.  AISHE code (reference number) is one of the requirements for Registration.

NAAC – QUALITY INDICATOR FRAMEWORK (QIF)

 

The criteria based assessment forms the backbone of A&A process of NAAC. The seven criteria represent the core functions and activities of a HEI. In the revised framework not only the academic and administrative aspects of institutional functioning but also the emerging issues have been included. The Seven Criteria to serve as basis for assessment of HEIs are:

1. Curricular Aspects

2. Teaching-Learning and Evaluation

3. Research, Innovations and Extension

4. Infrastructure and Learning Resources

5. Student Support and Progression

6. Governance, Leadership and Management

7. Institutional Values and Best Practices

Under each Criterion a few Key Indicators are identified. These Key Indicators (KIs) are further delineated as Metrics which actually elicit responses from the HEIs. These seven criteria along with their KIs are given below explicating the aspects they represent.

Criterion 1: Curricular Aspects

KEY INDICATORS

1.1*(U) -Curriculum Design and Development

1.1*(A) – Curriculum Planning and Implementation

1.2 Academic Flexibility

1.3 Curriculum Enrichment

1.4 Feedback System

*(U) – applicable only for Universities and Autonomous Colleges

*(A) – applicable only for the Affiliated/Constituent Colleges

Criterion 2: Teaching Learning and Evaluation

KEY INDICATORS

2.1 Student Enrolment and Profile

2.2 Catering to Student Diversity

2.3 Teaching-Learning Process

2.4 Teacher Profile and Quality

2.5 Evaluation Process and Reforms

2.6 Student Performance and Learning Outcomes

2.7 Student Satisfaction Survey

Criterion 3: Research, Innovations and Extension

KEY INDICATORS

3.1 *(U) Promotion of Research and Facilities

3.2 Resource Mobilization for Research

3.3 Innovation Ecosystem

3.4 Research Publications and Awards

3.5 *(U) Consultancy

3.6 Extension Activities

3.7 Collaboration

Criterion 4: Infrastructure and Learning Resources

KEY INDICATORS

4.1 Physical Facilities

4.2 Library as a Learning Resource

4.3 IT Infrastructure

4.4 Maintenance of Campus Infrastructure

Criterion 5: Student Support and Progression

KEY INDICATORS

5.1 Student Support

5.2 Student Progression

5.3 Student Participation and Activities

5.4 Alumni Engagement

Criterion 6: Governance, Leadership and Management

KEY INDICATORS

6.1 Institutional Vision and Leadership

6.2 Strategy Development and Deployment

6.3 Faculty Empowerment Strategies

6.4 Financial Management and Resource Mobilization

6.5 Internal Quality Assurance System (IQAS)

Criterion 7: Institutional Values and Best Practices

KEY INDICATORS

7.1 Institutional Values and Social Responsibilities

7.2 Best Practices

7.3 Institutional Distinctiveness

ASSESSMENT AND ACCREDITATION OF HIGHER EDUCATION INSTITUTIONS

 

The NAAC has been carrying out the process of quality assessment and accreditation of HEIs over the past two decades. Several HEIs have gone through this process and a sizeable number has also undergone subsequent cycles of accreditation. True to its commitment for promoting quality culture in HEIs in consonance with the overall developments in the field of education as well as the outside world, NAAC has strived to be sensitive to these and adequately reflect these in its processes. The A&A process of NAAC continue to be an exercise in partnership of NAAC with the HEI being assessed. As is known by now, the A&A process of NAAC is being revised and this revision attempts to enhance such a partnership. Over years the feedback procured from the HEIs, other stakeholders and the developments in the national scene

all have contributed to making appropriate revisions in the process so as to accelerate the process with greater quality rigor.

Revised Assessment and Accreditation Framework

 

The Revised Assessment and Accreditation (A&A) Framework is launched in July 2017. It represents an explicit Paradigm Shift making it ICT enabled, objective, transparent, scalable and robust.

The Shift is:

  1. from qualitative peer judgement to data based quantitative indicator evaluation with increased objectivity and transparency.
  2. towards extensive use of ICT confirming scalability and robustness.
  3. in terms of simplification of the process drastic reduction in number of questions, size of the report, visit days, and so on.
  4. in terms of boosting benchmarking as quality improvement tool. This has been attempted through comparison of NAAC indicators with other international QA frameworks.
  5. introducing pre-qualifier for peer team visit, as 30% of system generated score.
  6. introducing System Generated Scores (SGS) with combination of online evaluation (about 70%) and peer judgement (about 30%).
  7. in introducing the element of third party validation of data and the possibility of roping in multiple agencies.
  8. in adopting a 100% off site evaluation of HEIs applying for 4th cycle accreditation; on-site visits in exceptional cases.
  9. in providing appropriate differences in the metrics, weightages and benchmarks to universities, autonomous colleges and affiliated/constituent colleges.
  10. in revising several metrics to bring in enhanced participation of students and alumni in the assessment process.

 

QUALITY INDICATOR FRAMEWORK (QIF)

 

The criteria based assessment forms the backbone of A&A process of NAAC. The seven criteria represent the core functions and activities of a HEI. In the revised framework not only the academic and administrative aspects of institutional functioning but also the emerging issues have been included.

ELIGIBILITY FOR ASSESSMENT AND ACCREDITATION BY NAAC

 

Higher Education Institutions (HEIs), if they have a record of at least two batches of students graduated or been in existence for six years, whichever is earlier, are eligible to apply for the process of Assessment and Accreditation (A&A) of NAAC, and fulfil the other conditions or are covered by the other provisions, if any, mentioned below:

1. Universities (Central/State/Private/Deemed-to-be) and Institutions of National Importance

    1. Provided the Institutions /Deemed –to-be Universities and their off-campuses if any are approved by MHRD/UGC. NAAC will not consider the unapproved off-campuses for A&A.
    2. Provided that these institutions have regular students enrolled in to the full time teaching and Research programmes offered on campus.
    3. Provided further that the duly established campuses within the country, if any, shall be treated as part of the Universities / Institutions of National Importance for the A&A process.
    4. NAAC will not undertake the accreditation of off-shore campuses

2. Autonomous colleges/Constituent Colleges/ Affiliated Colleges (affiliated to universities recognised by UGC as an affiliating University)

    1. Provided the Colleges are affiliated to a University recognised by UGC for the purposes of affiliation. Constituent colleges of a Private and Deemed- to-be Universities are considered as the constituent units of the University and thus will not be considered for A&A independently. Such constituent colleges need to come along with the University
    2. Provided the colleges/institutions not affiliated to a University are offering programmes recognized by Statutory Professional Regulatory Councils and have been recognised by Association of 2 Indian Universities(AIU) or other such Government agencies concerned, as equivalent to a degree programme of a University

3.Accredited HEIs applying for Re-assessment or Subsequent Cycles (Cycle 2, Cycle 3, Cycle 4….) of Accreditation

    1. Institutions, which would like to make an improvement in the accredited status, may apply for Re-assessment, after a minimum of one year and before three years of accreditation subject to the fulfilment of other conditions specified by NAAC from time to time for the purpose.
    2. Institutions opting for Subsequent Cycles (Cycle 2, Cycle 3, Cycle 4….) of Accreditation can submit the Institutional Information for Quality Assessment (IIQA), beginning of the last quarter of the validity period subject to the fulfilment of other conditions specified by NAAC from time to time for the purpose.

4. Any other HEIs at the discretion of NAAC.

Note:

  1. The NAAC accreditation does not cover distance education units of HEIs and off-shore campuses.
  1. All the institutions intending to apply for Assessment and Accreditation by NAAC need to mandatorily upload the information on All India Survey on Higher Education (AISHE) portal. AISHE code (reference number) is one of the requirements for Registration.

THE ASSESSMENT PROCESS

 

Taking cognizance of the diversity in the kinds of institutions HEIs have been grouped under three categories namely, Universities, Autonomous Colleges and Affiliated/Constituent Colleges.

The assessment process will be carried out in three stages. As stated earlier, it will comprise three main components, viz., Self Study Report (SSR), Student Satisfaction Survey and the Peer Team Report. The SSR has a total of 121 Metrics for Affiliated / Constituent Colleges covering the seven Criteria described earlier. The SSR has two kinds of Metrics: one, those requiring quantifiable facts and figures as data which have been indicated as ‘quantitative metrics’ (QnM); and two, those metrics requiring descriptive responses and are accordingly named ‘qualitative metrics’ (QlM). Table depicts the distribution of Key Indicators (KIs) and Metrics across them.

The Institutional Grade Sheet which is based on qualitative indicators, quantitative indicators and student satisfaction survey using existing calculation methods but it will be generated by a software.

The above three parts will together form “NAAC Accreditation Outcome” document. It is mandatory for the HEIs to display it on their institutional website apart from NAAC hosting it on its website.

Grading System

A significant outcome of the assessment is the final institutional grading. After assessment, the Cumulative Grade Point Average (CGPA) of an institution is computed for those institutions which clear the grade qualifiers.

Grade Qualifiers for HEI’s

A grade qualifier is prepared for the institution to qualify for valid accreditation. The idea of grade qualifiers is based on the focus of the institution. The grade qualifiers will be based on the overall score of the institution (SGS + peer team visit score).

In order to qualify for any Grade (C to A++) Institution needs to score at least 30% of the quantitative (System Generated Score) and qualitative score in each criterion.

 

Calculation of Institutional CGPA

 

The CGPA will be calculated based on the scores obtained from the three sources, viz., The System Generated Scores (SGS) of the quantitative Metrics which comprise about 70% of the total, the scores from the qualitative, critical appraisal by the Peer Team through on site visit and the scores obtained on the Student Satisfaction Survey. These will be collated through an automated procedure based on ‘benchmarks’ and assessed on a five point scale.

The Final Grade

 

On the basis of the CGPA obtained by the institution, the final grade is assigned on a seven-point scale as shown in Table.

Institutional Grades and Accreditation Status

Institutions which secure a CGPA equal to or less than 1.50 are notionally categorized under the letter grade “D”. Such unqualified institutions will also be intimated and notified by NAAC as “Assessed and Found not qualified for Accreditation”.

 

RE-ASSESSMENT

 

Institutions, which would like to make an improvement in the accredited status, may volunteer for re-assessment, after a minimum of one year or before three years of accreditation. The manual to be followed for re-assessment is the same as that for the Assessment and Accreditation. However, the institution shall make specific responses based on the recommendations made by the peer team in the previous assessment and accreditation report, as well as the specific quality improvements made by the institution in the intervening period. The fee structure and other procedures would be the same as that for initial Assessment and Accreditation with the exception that the Institutions that volunteer for re-assessment will not be eligible for reimbursement of accreditation expenses, as per the “Guidelines of UGC assistance for Assessment and Accreditation”.

 

SUBSEQUENT CYCLES OF ACCREDITATION

 

The methodology for subsequent cycles of accreditation i.e. second and third would remain the same. However due consideration would be given to the post-accreditation activities resulting in quality improvement, quality sustenance and quality enhancement. In the SSRs institutions opting for subsequent cycles of accreditation need to highlight the significant quality sustenance and enhancement measures undertaken during the last four years (narrative not exceeding 10 pages). A functional Internal Quality Assurance Cell (IQAC) and timely submission of Annual Quality Assurance Reports (AQARs) are the Minimum Institutional Requirements (MIR) to volunteer for second and third or fourth cycle accreditation. From fourth cycle onwards, HEIs would be subjected to only Electronic-Assessment and Accreditation (E-A&A); on-site visits in exceptional cases.

To volunteer for subsequent cycle of accreditation, institutions should record their intent six months before the expiry of the accreditation status and initiate institutional preparations for submission of SSRs. The institutions which record their intent to volunteer for subsequent cycle of accreditation and submit the SSRs within the stipulated time may continue to use the outcome of the previous cycle of accreditation till the status of next cycle accreditation is declared by NAAC.

 

Provision for UGC 2f & 12B Institutions

 

Institutions which are recognized under section 2(f) and 12B of UGC Act and receiving the developmental grants from UGC should also pay the assessment and accreditation fees. The A&A fees and expenses on TA of peer team would be reimbursed as per NAAC guidelines on submission of the latest development grant sanction letter of UGC with an attestation by the Head of the Institution and other necessary documents. The institution covered under 2f & 12B of UGC Act will be reimbursed the actual amount spent subjected to the maximum ceiling prescribed by NAAC from time to time after the transfer of funds by UGC to NAAC for this purpose.

 

GETTING READY FOR SUBMISSION OF SELF – STUDY REPORT (SSR)

 

HEIs applying for A&A process should take note of the changes in the assessment process. It must be remembered that the SSR has to be submitted online according to the ICT format that will be made available to the Institution. It would be helpful to read the, Manual carefully and get ready with all kinds of details required to be filled up on the online format. Use this Manual for understanding the revised process of A&A and preparing for the preparation of SSR in the new online format.

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