Documentation for Assessment and Accreditation,

and for other Purposes

by

J. Madegowda, Ph.D.,
Dean (Acad),
Akshara Institute of Management Studies,
Shivamogga

E-mail: madegowdaj@gmail.com
 Assessment and Accreditation
• Assessment and Accreditation is a necessity at least for 3 reasons
(1) When an external agency examines our performance, we
understand where we stand – SWOT/C analysis.
(2) Financial assistance from the governments is linked to the
institutional ranking.
(3) Eligibility of your students and teachers to apply for
scholarships, fellowships, projects, etc., depend upon
whether your institution is accredited or not.
• Now the MHRD of GOI is planning to recognise more
assessment and accreditation agencies, in addition to NAAC, to
take up and complete the accreditation of large number of
institutions.
 Documentation – why?
• Documentation provides the verifiable evidence
• It is an objective verifiable evidence
• For each entry in the report, there shall be supporting
documents – anybody can verify
• It carries weight for your claim
• External agencies including NAAC/Peer Team validates
your claim based on the evidences shown/presented
• Remember, a few institutions fail to get higher ranking
for not presenting their performance in a convincible
manner
 What the Institutions are required to do?
• Each institution is required to establish a separate
Documentation Centre
• Alternatively, the work of the Documentation Centre may be
assigned to IQAC
• IQAC/Documentation Centre should be equipped with
necessary staff and infrastructure – under the supervision of
a senior faculty member; and with a fully automated office
• All information and documents should be made available in
this office and it should be readily available when required
 Diverse Information and Documents
• NAAC, in its methodology, has specified the information
required and also the documents in support of the information
or claims made in the report
• It has also specified the format in which to present the
information and documents to be uploaded and/or enclosed
• Therefore, I am not going to present the formats but only the
information required to prepare all these tables and statements
• Of course, most of the institutions possess the requisite details
but only thing is, they should arranged systematically
• Let me identify the criterion-wise information and documents
required to be maintained by the institutions - colleges
 Criterion – I: Curricular Aspects (100)
• Number and names of academic and research programmes offered by the Institution:
(1) UG Programmes:
 B.A (with number of combination of Specialization Streams) with the year in
which introduced
 B.Com with the year in which introduced
 B.Sc (with number of combination of specializations) and with the year in
which introduced
 New courses/optional introduced and the year of introduction
 Others
(2) P.G Programmes with the year in which introduced
(3) Research Programme – Ph.D with the year in which introduced
• Records required:
(1) CDC notification (i.e., renewal of affiliation), and/or
(2) University notification in the form of permission
 Criterion – I: Curricular Aspects (100) (conts)
• Names of permanent teachers who served/serving as the members/chairpersons
academic bodies of affiliating university, other autonomous colleges and other
institutions such as,
Board of Studies,
Faculty,
Academic Council,
Syndicate,
Finance Committee,
Board of Examiners,
Board of Appointments, etc
• Period of membership
Records: Appointment/nomination letters from the university/institution concerned
 Criterion – I: Curricular Aspects (100) (conts)
• Academic programmes offered under CBCS”
UG Programmes
B.A
B.Com
B.Sc, etc
PG Programmes
• The year in which switched over from Semester to CBCS - Programme-wise
• Whether options are given under CBCS for the students to select the courses they wish to
study?
• If so, in what academic programmes?
• Are you offering Elective/Inter-disciplinary courses?
• If so, what are those courses
Records: Notification from the university/college to introduce the above
 Criterion – I: Curricular Aspects (100) (conts)
• Are you offering Certificate Courses and/or Diplomas?
• If yes, what are those courses/Diplomas?
• How many students enrolled for these courses – year-wise
statistics
• Have you discontinued any of these courses/Diplomas?
• If yes, what were reasons?
Records:
(1) List of Students,
(2) Attendance,
(3) Copies of curricula of these courses/Diplomas, etc
 Criterion – I: Curricular Aspects (100) (conts)
• Have introduced any Value-adding course (with at least 30 contact
hours)? e.g., for M.A (English) students, a course on translation
studies from Kannada to English and vice-verse
• Are offering any Value-adding course more than once in an
academic year?
• Year-wise number of students completing these courses
Records:
(1) Approval records of BoS, Faculty, AC and/or university
communication
(2) Syllabus copies
(3) List of students admitted to these courses, their attendance register,
etc
 Criterion – I: Curricular Aspects (100) (conts)
• For how many programmes, field-work and/or internship based
project reports are mandatory? Specify the academic programmes
• How many students have taken up field-work and/or internship
based project reports?
• What is their %age? (to total student strength of the institution)
Records:
(1) Regulations copy (which specify the field-work and/or internship
based project report)
(2) List of students who have worked for their project reports
(3) Copies of project reports
 Criterion – I: Curricular Aspects (100) (cont5)
• Have you collected the feedback from stakeholders such as students,
teachers, employers, alumni and parents about the course curricula?
• If collected, have you analysed the same?
• Have you submitted results of analysis to the Boards of Studies for
consideration and incorporation, if feasible, in the revised curricula?
• In the case of autonomous colleges, are you using the feedback while
revising the course curricula?
• Have you uploaded the summary of feedback to your website?
Records:
(1) Forms of duly filled feedback
(2) Analysis report
(3) Action taken based on the suggestions given by the stakeholders
 Criterion – II: Teaching and Learning (350)
• Percentage of students from other states to total student strength
• Percentage of students from other countries to total students strength
• Percentage of students enrolled to intake – programme-wise
• Percentage of students enrolled to seats reserved for SC, ST, OBC,
General and Others
• Differently-abled students
 programme-wise
 gender-wise
 %age of disability
Documents:
(1) List of students from other countries
(2) List of students from other states
(3) List of category-wise students – SC, ST, OBC, GM and others
(4) List of differently-abled students
 Criterion – II: Teaching and Learning (350) (conts)
• Number of teachers using ICT
• ICT tools available
• Number of ICT-enabled/smart classrooms
Documents:
(1) List of Teachers using ICT
(2) List of ICT tools available
(3) Number of ICT-enabled/smart classrooms
(Lecture Hall – 1, 5, 8, etc)
 Criterion – II: Teaching and Learning (350) (conts)
• Cadre-wise sanctioned teaching posts – subject-wise
• Cadre-wise teaching posts filled – subject-wise, category – SC, ST, OBC, etc, gender, M.Phil
holders, Doctorate holders (whether still serving, whether recognised as Research Guides, year of
recognition), within the state and outside the state,
• Year of appointment
• Number of years of experience (in the institution and total including other institutions)
• PAN
Documents:
(1) Sanction letters from the authorities
(2) Appointment orders
(3) Reporting letters
(4) Category certificates
(5) Educational qualification certificates – PG, M.Phil, Ph.D
(6) Guide recognition letter from the university
(7) Copies of PAN
 Criterion – II: Teaching and Learning (350) (conts)

• Number of permanent teachers from other states

• Number of permanent teachers who have received Awards, Recognition and/or
Fellowship at State, National and International Level from recognised bodies
• Whether the institution is providing any incentive in recognition of the Award?
• If yes, what is the amount of incentive?
Documents:
(1) List of permanent teachers from other states with appointment letters including
their states and also the states from which their qualifying Degrees were
obtained
(2) List of Teachers who received Awards, etc., and copies of Awards, Recognition
and/or Fellowships received
(3) Office order of the institution sanctioning incentive to those Awardees
 Criterion – II: Teaching and Learning (350) (conts)
• Number of students who appeared for final semester/year
examination
• Number of students who passed final semester/year
examination
• Number of students who passed with distinction, first class,
second class, pass class
Documents:
(1) List of students sent to university for approval – for
appearing for the examination
(2) Result sheets sent by the university
 Criterion – II: Teaching and Learning (350) (conts)
• Conduct online student satisfaction survey of all currently enrolled students about the teaching-
learning process
• Analyse the survey inputs and take action, if feasible
• Also inform the teachers concerned individually about the student opinion about their teaching, etc
Document: Prepare a list of all currently enrolled students with the following details:
(1) Name of the student
(2) Gender
(3) Category
(4) State of domicile
(5) Nationality (if from other country)
(6) E-mail id
(7) Programme for which enrolled
(8) Mobile number
(9) Year of admission to the academic programme
(10) Enrolment id
 Criterion – III: Research, Innovation and Extension (120)
• Number of Minor and Major Research Projects – Sanctioned,
Completed, and On-going
• Name of Principal/Co-Investigator, Department of
Investigator
• Amount of fund sanctioned and duration of the project
• Name of the Funding Agency – whether it is government
agency or non-government agency
Documents:
(1) Copies of sanction letters
(2) Copies of submission and UC in the case of completed
projects
Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of workshops/seminars organised on IPR and
Industry-Academia Innovative Practices with the following
details:
(1) Date/s of workshop/s and/or seminars
(2) Theme/s of workshop/s and/or seminars
(3) Date of establishment of IPR Cell
Documents:
(1) Invitation of workshop/s and/or seminars
(2) Sources of funding
(3) List of participants/delegates – local and outstation
(4) Outcome – in the form of recommendations
Criterion – III: Research, Innovation and Extension (120) (conts)
• Whether the institution has plagiarism detection software
• Whether the institution has a policy pertaining to
plagiarism such as maximum permissible limits or whether
it has adopted UGC Regulations pertaining to research?
• Name of the plagiarism detection software
Documents:
(1) Policy document pertaining to code of ethics in research
(2) Copy of the letter received from the authorities for having
supplied the plagiarism detection software
Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of research guides
• Number of M.Phil candidates successfully guided by the
permanent teachers
• Number of Ph.D candidates successfully guided by the
permanent teachers
Documents:
(1) Guide recognition letters from the university
(2) Copies of M.Phil/Ph.D registration
(3) Copies of M.Phil/Ph.D award notification
(4) List of M.Phil/Ph.D Scholars
(5) Copies M.Phil/Ph.D theses – if published, copies of books
 Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of research papers published in:
(1) Journals notified by the UGC
(2) Scopus indexed
(3) Peer Reviewed
(4) Indian journals and foreign journals, etc
Documents:
(1) Copies of research papers published by the faculty members
(2) List of papers published with the following details – title of the
paper, name of the author/s, department of the teacher, name of the
journal, year of publication, ISSN number, UGC Number, Impact
Factor, Citation, etc
 Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of books published by the faculty members
• Number of edited volumes by the faculty members
• Number of chapters published in edited volumes (edited by others)
• Number of papers published in conference proceedings – national
and international
Documents:
(1) Copies of books, edited volumes, chapters, and conference
proceedings
(2) List of books, etc with the following details – name of the teacher,
title of the book, edited volume, title of chapter, title of conference
proceedings, name of the conference – national or international,
year of publication, ISBN, name of the publisher, place of
publisher, etc
Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of extension/outreach programmes organized in
collaboration with other agencies/authorities
• Number of Awards/Recognition received for extension
activities
Documents:
(1) Extension activities organized in collaboration with others
and through the NSS/NCC, etc providing details of name of
the activity, organizing unit, collaborating agency, period of
the programme, list of teachers and students participated, etc.
(2) Copies of Award letters and prepare a list of such name of
activity, name of the Award/Recognition, name of Awarding
authority, year of Award, etc
Criterion – III: Research, Innovation and Extension (120) (conts)
• Whether the institution organized extension activities such as
Swachh Bharat, Aids Awareness, Gender Issue, etc.
• If yes, number of students participated in such extension
activities
Documents:
(1) Name of the activity
(2) Organizing unit and the collaborating agency
(3) Name of the Scheme
(4) Year and date/s of conducting such activities
(5) List of students (with their programme of study, etc)
 Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of Linkages for,
(1) Faculty exchange
(2) Student exchange
(3) Internship
(4) Field trip
(5) On-the job training
(6) Research, etc
Documents:
(1) List of linkages, name and contact details of partnering institution/
industry, year of commencement, validity period, nature of
linkage, etc
(2) Copies of MOU signed
Criterion – III: Research, Innovation and Extension (120) (conts)
• Number of functional MOUs with national/international
institutes, other universities, industries, etc
• Details of ongoing activities under these MOUs
Documents:
(1) List of functional MOUs signed with details about name of
external institution/industry, year of signing MOU, list of
activities undertaken under each MOU, list of teachers/
students participated/benefited from each MOU, etc.
(2) Copies of MOUs signed
 Criterion – IV: Infrastructure and Learning Resources (100)
• Number of Lecture Halls and Seminar Halls with ICT facilities such as smart class, etc
• Percentage of budget outlay (excluding salary) earmarked for augmentation of infrastructure
• Whether the institution has the following facilities?
(1) e-journals
(2) Shodhganga membership
(3) E-books
(4) Databases
Documentation:
(1) List of lecture/seminar halls with ICT facilities
(2) Relevant portion of budget copy
(3) Subscription receipts and/or letter from the authorities concerned to the effect that the above are
provided at free of cost – providing details of membership, subscription, name of service subscribed,
number of resources with full text access, validity period, usage report from service provider, etc
 Criterion – IV: Infrastructure and Learning Resources (100) (conts)
• Amount and %age (to total budget outlay) of annual
expenditure for purchase of books, journals and e-journals
• Amount and %age of expenditure for maintenance of
physical facilities and academic support (excluding salary)
• Whether the institution has facilities for development of e-
content such as media centre, recording facility, lecture
capturing system (LCS)
Documents:
(1)Relevant portion of budget copy
(2)Name of e-content development facility
 Criterion – V: Student Support and Progression (130)
• How many students received government scholarships and
free-ships?
• How many students received scholarships/free-ships from
other outside agencies/authorities?
• How many students were provided with scholarships and free-
ships by the institution?
Documents:
(1)Prepare a list of students (year-wise) who received
government, institutional and other agencies’ scholarships and
free-ships – provide the details about the name of scheme,
amount of benefits, etc.
(2)Copies of sanction letters
 Criterion – V: Student Support and Progression (130) (conts)
• Are you arranging the following for the benefit of students?
(1) Guidance for competitive examinations
(2) Career counselling
(3) Soft skill development
(4) Remedial coaching
(5) Language lab
(6) Bridge courses
(7) Yoga and meditation
(8) Personal counselling
• If yes, how many programmes of each of the above programmes each year?
Documents:
(1) Course inputs of the programmes conducted by your institution
(2) List of students who attended and benefited from the same
(3) Name of outside agency engaged, if any for conducting any of the above
 Criterion – V: Student Support and Progression (130) (conts)
• Year-wise number of students benefited from the career counselling and
guidance for competitive examinations
• Year-wise number of students benefits from Vocational Education and
Training
• Whether the institution has a transparent mechanism to redress the student
grievances, sexual harassment and ragging cases?
• If yes, in each case, year-wise number of grievances appealed, number of
grievances redressed and number of days taken for redressal
Documents:
(1) Year-wise list of students who attended above training programmes.
(2) In each of the above major problems of students, list of grievances
received, minutes of meeting held to redress the grievances, number of
grievances redressed, number of days taken, etc
 Criterion – V: Student Support and Progression (130) (conts)
• Number of students of outgoing batch obtaining placement
• Number of students who passed out of the institution taking admission for higher
studies such as PG, M.Phil, Ph.D, etc
• Number of students qualifying in competitive examinations such as KSET, UGC-
NET, UGC-CSIR, GATE, Civil Service, state government civil service
examination, etc.
Documents:
(1) List of students placed, employers’ details, package received, etc
(2) List of students who registered for higher education, details of academic/research
programmes joined, name of the academic/research programme admitted, etc
(3) Competitive examination-wise and year-wise list of students who successfully
qualified
(4) Certificates of qualifying competitive examination of all successful candidates
 Criterion – V: Student Support and Progression (130) (conts)
• Number of Awards/Medals for outstanding performance in Sports,
Cultural Activities at national/international level
• Number of Sports and/or Cultural Activities organized by the Institution
• Year-wise number of alumni meetings held
• Amount contributed by the alumni
Documents:
(1) List of students with name of award/medal, national/international level,
sports/cultural activities, student ID number, etc
(2) Name of the Activity organized – duration, number of teams
participated, etc
(3) List of alumni – membership forms, year of graduation, year of
contribution, and contribution of each, PAN/Aadhar No and their copies
(4) Minutes of the meetings of alumni
 Criterion – VI: Governance, Leadership and Management (100)
• Whether the institution has implemented e-governance in the area
of operation of:
(1)Planning and development
(2)Administration
(3)Finance and accounts
(4)Student admission and support
(5)Examination
Documents:
(1)Name of the vendor of software for each of the above area
(2)Year of implementation of e-governance in each of the above area
 Criterion – VI: Governance, Leadership and Management (100) (conts)
• Number of teachers provided with financial support towards membership of
professional bodies
• Number of teachers provided with financial support for attending conferences,
seminars, etc
• Number of professional development programmes such as orientation programmes,
refresher courses, etc., administrative training programmes organized by the
institution for teaching and non-teaching staff
Documents:
(1) List of teachers who attended conferences, seminars, etc with details such as theme
of the conference, seminar, etc., amount of support, copies of certificates, etc
(2) List of teachers who are the members of professional bodies for which Institution
provided the membership fee, and amount of support, copies of receipt, etc
(3) Theme of professional development/training programme organised, date/s, list of
participants, copies of invitation/s, certificates, etc
 Criterion – VI: Governance, Leadership and Management (100) (conts)
• Number of teachers attending professional development programmes
such as Orientation Programmes, Refresher Courses, Shor-term
Courses, Faculty Development Programmes, etc
• Amount of fund/grants received from NGOs, individuals,
philanthropers, etc
Documents:
(1)List of teachers who attended the professional development
programmes with copies of certificates, title of the programme,
dates/duration, etc
(2)Name of donor, amount received, purpose for which it was given and
utilized, etc
 Criterion – VI: Governance, Leadership and Management (100) (conts)

• Number of quality enhancement programmes organised by IQAC

• Whether the institution arranges for,
(1) Regular meeting of IQAC, timely submission of AQAR to NAAC, collection of feedback from
stakeholders, their analysis and use for improvements
(2) AAA and follow-up action based on the recommendations of AAAC
(3) Participation in NIRF
(4) ISO certification
(5) NBA or any other quality audit
Documents:
(1) List of quality enhancement programmes with details of name of the programme, date/s, copies of invitation,
number of participants, etc
(2) Copies of AQARs, dates on which submitted
(3) AAAC report – its constitution order, dates of visit, members, follow-up action, etc., uploading to website
(4) If participated in NIRF, Rank number
(5) If applied for ISO certification, copies of certification
(6) NBA, if applicable (applicable only for engineering colleges)
 Criterion – VII: Institutional Values and Best Practices(100)
• Number of Gender Equity Promotion programmes organised
• What portion of your annual power requirement is met by the
renewable energy sources?
• What portion of lighting power requirements met through LED bulbs?
Documents:
(1)Title of the programme, date/s, list of participants, copies of
invitation, etc
(2)Statement showing total power requirement of the institution,
renewable energy generated and used, energy supplied to Grid, if any,
etc
(3)Total lighting requirements, %age of lighting through LED bulbs and
other sources
 Criterion – VII: Institutional Values and Best Practices(100) (conts)
• Amount spent (excluding salary) out ot total budget outlay on green initiatives and
waste management
• Whether the following facilities/resources are available for the differently abled
persons/ students?
(1) Provisioning of lift
(2) Ramp
(3) Braille Software
(4) Rest room
(5) Scribes for examination
(6) Special skill development for differently abled students, etc
Documents:
(1) Copy of relevant portion of budget copy
(2) Proof for each of the above facilities, if available, for differently-abled students
 Criterion – VII: Institutional Values and Best Practices(100) (conts)
• Whether the code of conduct handbook exists for teachers, students, non-
teaching staff, administration including head of the institution?
• Have displayed your institutional vision, mission and core values in the
institution and in the website?
• Number of awareness programmes organised to increase consciousness
about national symbols, fundamental duties, rights of citizens, etc
Documents:
(1) If handbook/s is/are available, copies of the same
(2) Copies of vision, mission and core values and also link for the same in the
website
(3) List of programmes organised with details such as the name of the
programme, date/s, number of participants, copies of invitations of
programmes organized, etc
 Criterion – VII: Institutional Values and Best Practices(100) (conts)
• Are you offering a course on Human Values and
Professional Ethics? If yes, details
• Whether the functioning of your institution is governed by
professional code prescribed by statutory bodies for
different institutions
Documents:
(1)Course inputs, duration, date/s, number of participants/
students, etc
(2)Copy of professional code and a statement to the effect the
institution adheres to this code
 Criterion – VII: Institutional Values and Best Practices(100) (conts)
• Are you conducting programmes for the promotion of,
(1)Universal values – truth, righteous conduct, love, non-violence
and peace
(2)National values
(3)Human values
(4)National integration, communal harmony
(5)Social cohesion
(6)Fundamental duties
Documents: Provide a list of programmes organized – name of the
programme, date/s, number of participants, etc
Thank you