THE NATIONAL ASSESSMENT AND ACCREDITATION COUNCIL (NAAC) is an autonomous institution established by the University Grants Commission (UGC) of India, to assess and accredit institutions of higher education in the country.
The vision of the NAAC is:
To make quality the defining element of higher education in India through a combination of self and external quality evaluation, promotion and sustenance initiatives.
The mission statements of the NAAC aim at translating the NAAC’s vision into action plans, to define the following specific tasks of NAAC engagement and endeavour:
•To arrange for periodic assessment and accreditation of institutions of higher education or units thereof, or specific academic programmes or projects;
•To stimulate the academic environment for promotion of quality in teaching-learning and research in higher education institutions;
•To encourage self-evaluation, accountability, autonomy and innovations in higher education;
•To undertake quality-related research studies, consultancy and training programmes, and
•To collaborate with other stakeholders of higher education for quality evaluation, promotion and sustenance.
Striving to achieve its goals as guided by its vision and mission statements, NAAC primarily focuses on assessment of the quality of eligible higher education institutions of the country. NAAC uses an internationally accepted methodology, which consists of self-assessment and external quality assessment.
CORE VALUES
NAAC includes the following core values in its accreditation frame work. ALL Higher education Institutions are supposed to frame their activities to achieve this core values.NAAC assesses institutional functioning with reference to the contributions made by HEIs towards the five core values. In general, HEIs are expected to demonstrate how they achieve the objectives of the core values through the data and information detailed in the SSR (Self Study Report).
1.Contributing to National Development
2.Fostering Global Competencies among Students
3.Inculcating a Value System among Students
4.Promoting the Use of Technology
5.Quest for Excellence
CRITERIA FOR ASSESSMENT
The NAAC has identified the following seven criteria to serve as the basis for assessment of HEIs:
1.Curricular Aspects
2.Teaching-Learning and Evaluation
3.Research, Consultancy and Extension
4.Infrastructure and Learning Resources
5.Student Support and Progression
6.Governance and Leadership and
7.Innovative Practices
The SSR (Self Study Report)is expected to highlight the functioning of an institution with reference to these seven criteria. Each criterion has Key Aspects which form the basis of criterion-wise assessment. One key aspect is dedicated to Best Practices under each criterion.
CRITERIA AND KEY ASPECTS
Criterion I—Curricular Aspects: This criterion deals with how the curriculum - either assigned by a University or marginally supplemented or enriched by an institution, or totally remade, depending on the freedom allowed in curricular design, aligns with the mission statement of the institution. It also considers the practices of an institution in initiating a wide range of programme options and courses that are relevant to the local needs and in tune with the emerging national and global trends. Apart from issues of academic flexibility and diversity, to suit different levels of learners, aspects on career orientation, multi-skill development and involvement of stakeholders in curriculum updation, are also gauged under this criterion.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution has clearly stated goals and objectives that are communicated systematically to all its constituencies.
The programmes of the institution are consistent with its goals and objectives.
The institution has a wide range of programme offerings that provide adequate academic flexibility.
Feedback from academic peers, students, employers and other stakeholders are used in the initiation, review and redesign of programmes.
The institution practices sustainable curricular practices, to achieve academic excellence.
KEY ASPECTS
•Curricular design and development
•Academic flexibility
•Feedback on curriculum
•Curriculum update
•Best practices in curricular aspects
The description of the key aspects are given below:
Curriculum design and development
It is a process of developing appropriate need based curricula in consultation with expert groups, based on the feedback from stakeholders, resulting in the development of relevant programmes with flexibility, to suit the professional and personal needs of the students and realization of core values.
Academic flexibility
Choice offered in the curriculum, in terms of programme, curricular transactions and time-frame options.
Feedback on curriculum
Responses from students, academic peers and employers, for review and re-design of curricula.
Curriculum update
The process of revision and redesign of curricula based on recent trends and developments, the feedback from all stakeholders and catering to the needs of the society/ economy/ environment.
Best practices in curricular aspects
Sustainable curricular practices which lead to academic effectiveness and excellence.
Criterion II— Teaching-Learning and Evaluation: This criterion deals with the efforts of an institution to serve students of different backgrounds and abilities, through effective teaching-learning experiences. Interactive instructional techniques that engage students in higher order ‘thinking’ and investigation, through the use of interviews, focused group discussions, debates, projects, presentations, experiments, practicum, internship and application of ICT resources, are important considerations. It also probes into the adequacy, competence as well as the continuous professional development of the faculty who handle the programmes of study. The efficiency of the techniques used to continuously evaluate the performance of teachers and students is also a major concern of this criterion.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution has a transparent admission process.
The programmes of teaching and learning cater to individual differences amongst learners.
The institution facilitates the effective conduct of the teaching-learning processes.
The institution has provision for use of ICT in the enhancement of teaching process.
The institution has a well-conceived plan for continuously monitoring student progress.
The institution has an effective mechanism to recruit adequate qualified faculty.
The student evaluation processes are reliable and valid.
The institution has an open and participative mechanism for evaluation of teaching and promoting work satisfaction of the faculty.
The teachers have opportunities for continued academic growth and professional development.
The institution has sustainable good practices in teaching, learning and evaluation to achieve academic excellence.
KEY ASPECTS
•Admission process and student profile
•Catering to diverse needs
•Teaching-learning process
•Teacher quality
•Evaluation process and reforms
•Best practices in teaching, learning and evaluation
The description of the key aspects are given below:
Admission process and student profile
The process of admitting students to the programmes is by a transparent, well-administered mechanism, complying with all the educational norms of the Government. The student profile is reflected from the composition of the student community representing different socio-economic and learner backgrounds.
Catering to diverse needs
The programmes and strategies adopted by institutions satisfy the needs of the students from diverse backgrounds including backward community as well as from different locales. Gender equity and admission opportunity for differently-abled students are also considered.
Teaching-Learning process
Learner-centered education through appropriate methodologies to facilitate effective learning outcome.
Teacher quality
‘Teacher quality’ is a composite term to indicate the quality of teachers in terms of qualification of the faculty, teacher characteristics, the adequacy of recruitment procedures, faculty availability, professional development and recognition of teaching abilities.
Evaluation process and reforms
Assessment of teaching, learning and evaluative processes and reforms, to increase the efficiency and effectiveness of the system. Innovative evaluation process is to gauge the knowledge and skills acquired at various levels of the programmes.
Best practices in teaching- learning and evaluation
The institution has sustainable practices in teaching-learning and evaluation, which have the greatest impact on performance, leading to successful end result in Teaching, Learning and Evaluation
Criterion III— Research, Consultancy and Extension: This criterion seeks information on the policies, practices and outcomes of the institution, with reference to research, consultancy and extension. It deals with the facilities provided and efforts made by the institution to promote a ‘research culture’. The institution has the responsibility to enable faculty to undertake research projects useful to the society. Serving the community through extension, which is a social responsibility and a core value to be demonstrated by institutions, is also a major aspect of this criterion.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution promotes research culture among faculty and students.
The institution encourages faculty to publish in academic journals.
The institution encourages faculty to participate in professional academic
programmes.
The institution promotes faculty participation in consultancy work.
The institution is responsive to community needs and conducts relevant extension
programmes.
The institution has sustainable good practices in research, consultancy and
extension to achieve academic excellence.
KEY ASPECTS
•Promotion of research
•Research and publication output
•Consultancy
•Extension activities
•Collaborations
•Best practices in research, consultancy & extension
The descriptions of the Key Aspects are given below:
Promotion of research
The process of promoting research culture among faculty and students is ensured by facilitating participation in research and related activities, providing resources and other facilities
Research and publication output
Quality research outcome, beneficial for the discipline/ society/ industry/ region and the nation. Dissemination of knowledge including theoretical and practical findings of research, through various media.
Consultancy
Activity with or without remuneration, for which the expertise and the specific knowledge base of the faculty becomes the major input.
Extension activities
The aspect of education, which emphasizes community services. These are often integrated with curricula as extended opportunities, intended to help, serve, reflect and learn. The curriculum-extension interface has an educational value, especially in rural India.
Collaborations
A formal agreement/ understanding between any two or more institutions for training/student exchange/faculty exchange or research with or without resource sharing.
Best practices in research, consultancy and extension
Sustainable practices in Research, Consultancy and Extension leading to superior performance resulting in successful outcome in terms of generating knowledge which will be useful for the learner as well as the community.
Criterion IV—Infrastructure and Learning Resources: This criterion seeks to elicit data on the adequacy and optimal use of the facilities available in an institution to maintain the quality of academic and other programmes on the campus. It also requires information on how every constituent of the institution - students, teachers and staff - benefit from these facilities. Expansion of facilities to meet future development is included among other concerns.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution has adequate physical facilities for the conduct of the educational programmes efficiently.
The growth of the infrastructure keeps pace with the academic growth of the institution.
The institution has effective mechanisms for maintenance and optimal use of infrastructure.
The institution has adequate library, computer facilities and other learning resources, with easy access to all its constituencies.
The institution has sustainable good practices for ensuring adequate infrastructure and learning resources and its optimum use to facilitate student learning.
KEY ASPECTS
•Physical facilities
•Maintenance of infrastructure
•Library as a learning resource
•ICT as learning resources
•Other facilities
•Best practices in the development of infrastructure and learning resources
The descriptions of the key aspects are given below:
Physical facilities
Adequate infrastructure facilities to conduct the educational programmes. The growth of the infrastructure keeps pace with the academic developments in the institution.
Maintenance of infrastructure
Effective mechanism for the upkeep of the infrastructure facilities and promote the optimum use of the same.
Library as a learning resource
The library holdings in terms of books, journals and other learning materials and technology-aided learning mechanisms which enable students to acquire information, knowledge and skills required for their study programmes.
ICT as learning resources
The ICT facilities and other learning resources are adequately available in the institution for academic purposes.
Other facilities
The other supportive facilities on the campus, which contribute to the effective ambience for curricular, extra- curricular and administrative activities.
Best practices in the development of infrastructure and learning resources
Sustained practices leading to continuous improvement of infrastructure and learning resource development to create an optimum learning ambience.
Criterion V-Student Support and Progression: The highlights of this criterion are the efforts of an institution to provide necessary assistance to students, to acquire meaningful experiences for learning at the campus and to facilitate their holistic progression. It also seeks information on student and alumni profiles.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution provides clear information to students about admission, completion requirements for all programmes; the fee-structure and refund policies; financial aid and student support services.
The institution has sufficient and well-run support services to all its students.
Student progression is monitored effectively.
Institution has mechanisms for student counseling and placement services.
The institution has an effective mechanism to use student feedback for quality enhancement.
The institution has good sustainable practices for effective student support and progression.
KEY ASPECTS
•Student progression
•Student support
•Student activities
•Best practices in student support and progression
The descriptions of the key aspects are given below:
Student progression
Vertical movement of students from one level of education to the next higher level or towards gainful employment.
Student support
Facilitating mechanisms like guidance cell, placement cell, grievance redressal cell and welfare measures to support students.
Student activities
The participation of the students in activities, which can develop various skills, to foster holistic personality development.
Best practices in student support and progression
Sustainable good practices which effectively support the students and facilitate optimal progression. Benefits often include the assurance of quality results.
Criterion VI—Governance and Leadership: This criterion helps gather data on the policies and practices of an institution in the matter of planning human power requirement, recruitment, training, performance appraisal, finance management and the role of leadership in institution building.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The leadership provides clear vision and mission to the institution.
The functions of the institution and its academic and administrative units are governed by the principles of participation and transparency.
Academic and administrative planning in the institution move hand in hand.
The institution practices relevant welfare schemes for all its constituencies.
There are fair and expeditious grievance redressal mechanisms at all levels of the institution’s functioning.
The institution is effective in resource mobilization and planning development
strategies.
The finances of the institution are judiciously allocated and effectively utilized by proper budgeting system.
Auditing procedures and the follow up actions are systematized.
Institution has sustainable practices for governance and leadership
KEY ASPECTS
•Institutional vision and leadership
•Organizational arrangements
•Strategy development and deployment
•Human resource management
•Financial management and resource mobilization
•Best practices in governance and leadership
The descriptions of the key aspects are given below:
Institutional vision and leadership
Effective leadership in building the organizational culture by setting values, and demonstrating effectiveness through participative decision-making process to achieve the vision, mission and goals of the institution.
Organizational arrangements
The formal and informal arrangements in the institution to co-ordinate the academic and administrative planning and implementation.
Strategy development and deployment
Formulation of development objectives, directives and guidelines with specific plans for implementation
Human resource management
The process of assessing adequate human power requirements; staff recruiting, monitoring and planning professional development programmes for personnel development and seeking appropriate feedback responses.
Finance management and resource mobilization
Budgeting and optimum utilization of finance, including mobilization of resources. The planning and development strategies adopted by the institution, for mobilizing resources.
Best practices in governance and leadership
Sustainable good practices of Governance and Leadership that would lead to administrative and academic excellence.
Criterion VII—Innovative Practices: This criterion focuses on the innovative efforts of an institution that help in its academic excellence. An innovative practice could be a pathway created to further the interest of the student and the institution, for internal quality assurance, inclusive practices and stakeholder relationships.
The focus of this criterion is captured in the following criterion statements and key aspects:
CRITERION STATEMENTS
The institution displays sensitivity to changing educational, social and market demands.
The institution is geared to promote an ambience of creativity innovation and improving quality.
The institution promotes inclusive practices for social justice and better stakeholder relationships.
The institution adopts quality management strategies in all academic and administrative aspects.
The institution promote value-based education for inculcating social responsibilities and good citizenry amongst its student community.
KEY ASPECTS
•Internal quality assurance System
•Inclusive practices
•Stakeholder relationships
The description of the key aspects are given below:
Internal quality assurance system
Self-regulated responsibilities of the higher education institutions, aimed at continuous improvement of quality, for achieving academic excellence.
Inclusive practices
New and creative approaches in education involving all stakeholders for adopting inclusive practices to promote social justice.
Stakeholder relationships
Affiliation and interaction with groups or individuals who have an interest in the activities of the institution and the ability to influence the actions, decisions, policies, practices or goals of the organization.
SELF-STUDY REPORT (SSR)
While preparing the SSR, institutions may bear in mind that the report should provide information on the following:
-Evidence of contributing to the core values
-Evidence of building on the strengths identified by the institutions
-Action taken to rectify the deficiencies noted by the institutions
-Substantive efforts made by the institution over a period of time, towards quality enhancement
-Specific future plans of the institution for quality enhancement
The SSR shall be in two parts - Part 1 is institutional data and Part II is an evaluative report under the seven criteria of NAAC, along with the inputs from the Departments.
The institution has to submit the SSR in hardcopy as well as a CD containing soft copy.
A bulky SSR with too many details and descriptions may result in lack of clarity. Such a report would also lack focus and would generate more information gaps than explanations. Even for a large and complex institution, it is possible to restrict the essential documentation to manageable proportions. With these considerations, institutions are required to restrict the SSR to the following two aspects only:
-Institutional data
-Criterion-wise Evaluative Report
PREPARATION OF SELF STUDY REPORT
Part-I: Institutional Data
A. Profile of the College
B. Criterion wise Inputs
1. Criterion I: Curricular Aspects
2. Criterion II: Teaching-Learning and Evaluation
3. Criterion III: Research, Consultancy and Extension
4. Criterion IV: Infrastructure and Learning Resources
5. Criterion V: Student Support and Progression
6. Criterion VI: Governance and Leadership
7. Criterion VII: Innovative Practices
C.Profile of the Departments
Part II: The Evaluative Report
A. Executive Summary
B. Criterion-wise Evaluative Report
C. Evaluative Report of the Departments
D. Declaration by the Head of the institution
Appendices
1. Sample Questionnaires for feedback from Students
2. Sample formats for Teacher appraisal Reports
3. Glossary
4. Abbreviations
METHODOLOGYFor the assessment of a University/Autonomous College/ College with Potential for Excellence /Affiliated College /Constituent College as a unit that is eligible to be assessed, the NAAC follows a four-stage process, which is a combination of self-study and peer review. The four stages are:
I.On-line submission of a Letter of Intent (LoI for all institutions and Institutional Eligibility for Quality Assessment (IEQA) format for Affiliated/ Constituent colleges that are seeking Assessment and Accreditation for the first time.
II.Preparation and submission of a Self-Study Report (SSR) by the institution;
III.Peer Team visit to the institution.
IV.Final decision by NAAC.
Stage I: On-line submission of LoI and/or IEQA format:
All HEIs are expected to submit a LoI to NAAC. While Universities, Autonomous Colleges and Colleges with Potential for Excellence submit the LoI to undergo A&A of NAAC directly, Affiliated and Constituent colleges submit their LoI and thereafter submit the filled-in format for IEQA status on line. These institutions become eligible to go to stage-II only after completing the first-step of acquiring the IEQA status.
Stage II: Preparation of the Self-Study Report (SSR):
The first and the most important step in the process of assessment and accreditation is the preparation of the SSR by the institution following the guidelines formulated by the NAAC. The institution has to prepare the SSR in two parts, Part I is the institutional data and Part II is the evaluative report. This will be an internal exercise by the institution that is expected to be done with honest introspection. It aims at providing an opportunity for the institution to measure its effectiveness and efficiency, and to identify its strengths and weaknesses. The NAAC believes that an institution that really understands itself - its strengths and weaknesses, its potentials and limitations - is likely to be effective in carrying out its educational mission and make continuous improvement. Self-study is thus envisaged as the base document for the process of assessment and accreditation. The five core values listed by NAAC form the value framework for assessment of HEIs.
It is through the self-study report that the peer team understands the institution, and gets the required information, for assessment. Hence the institution needs to present the factual details of all aspects of its functioning, namely the inputs, processes and the outputs. As the entire assessment exercise would be based on this document, it should be prepared with utmost care, giving all the relevant information according to the criteria defined by NAAC.
Stage III: Peer Team Visit to the Institution: On receiving the self-study report from the institution, NAAC constitutes the peer team and consults the institution about any justifiable reservation it may have about any member of the team. The peer team visits the institution and looks for evidences, to validate the self-study report, through interactions with the various constituents of the institution, checking documents and visiting the various units of the institution. At the end of the visit, the team shares the draft Peer Team Report with the institution. The PTR duly signed by the Head of the institution and the peer team members, is submitted to NAAC. The team also recommends the criterion-wise Grade Point Averages (GPA), the final Institutional Cumulative Grade Point Average (CGPA) and the Institutional Grade to NAAC.
Stage IV: Final decision by NAAC: The Executive Committee of NAAC reviews the PTR and takes a decision about the institutional CGPA and the Grade. The accreditation certification by NAAC is valid for a period of five years.
