Revised UGC Guidelines HEIs

8/2/2019 Revised UGC Guidelines HEIs

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Guidelines for UGCASSITANCE

for ASSESSMENT AND

ACCREDITATIONof

Higher EducationInstitutions

(updated as on April 1 st , 2005)


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NATIONAL ASSESSMENT ANDACCREDITATION COUNCIL

An Autonomous Institution of the University Grants Commission2/4, Dr. Rajkumar Road, P. O. Box. No. 1075, Rajajinagar, Bangalore - 560 010India

Published by:National Assessment and Accreditation Council (NAAC)P.B. No. 1075, RajajinagarBangalore - 560 010 India

Preparation Team :Dr. Jagannath Patil, Deputy Adviser Mr. M.M. Kaul, Finance Officer

Mr. Wahidul Hasan, Communications-cum-Publication Officer NAAC

Copyright NAAC April 2005


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All rights reserved. No part of this publication may be reproduced or utilised in anyform or by any means, electronic or mechanical, including photocopying, recording,or any information storage and retrieval system, without the prior written permissionof the publisher.

Pub. No. NAAC_Pub_153/GUGCA&A(Revised)/05-2005/5000

Printed at : Jwalamukhi Job PressNo. 44/1, K.R. Road,Basavanagudi,Bangalore - 560 004.Ph : 080-26601064

Contents

Section I : Guidelines for institutions recognized undersection 2(f) and 12(B) of UGC Act........................5


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Section II : Guidelines for institutions not recognizedunder 2(f) and 12(B) of the UGC Act andSelf-financing institutions....................................7

Section III : Formats for use by the institutions(A, B, C, D & E) 15


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Guidelinesfor

ASSESSMENT AND ACCREDITATION

of Higher Education Institutionsby

NAAC with UGC Assistance

Objectives To faci li tate the UGC recognized inst itutions to undergo theassessment and accreditat ion process by NAAC and providingfinancial support for the purpose.

Operative GuidelinesS ection I : Guidelines for insti tutions recognized

under sect ion 2 (f) and 12 (B) of the UGCAct1. The scheme is applicable to insti tut ions submitt ing

their Self-Study Reports on or after 1 s t April 2004.2. All institutions covered under the 2 (f) and 12 (B) of

the UGC Act wil l be eligible to receive f inancialassistance to undergo the accreditation process.

3 . Henceforth, the payment of accredi ta tion fee byinstitutions to NAAC is waived.

4 . On submiss ion o f the Sel f-Study Report (SSR) toNAAC a team of peers will be constituted to visitthe inst itut ion on mutually convenien t datesranging from 45 days to 180 days.

5. On the last day of the visit , the inst i tut ion wil l paythe actual TA/DA/ Honorar ium of members and

TA/DA of NAAC officer as per norms in vogue in the

institution as per State/Central Government rules.In case arrangement for boarding and lodging ismade by the Institution the DA will be paid @ 25%of the eligible DA per day.

6 . Expendi ture towards boarding, lodging and localtransport will have to be borne by t he hostinstitution.


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7. After the Peer team visit is over the Head of Institution will send the consolidated statement of expenditure (Section III A) in respect of the peerteam visit to the Finance Office r, NAAC forreimbursement from NAAC. Original bills may not

be sent by the institutions to the NAAC.8. The formats in A, B, C & D for ConsolidatedStatement of Expenditure, Receipt of Honorarium,Statement of incidental expenses and payment of

TA/DA respectively and norms of TA/DA are given inSection III.

9. The NAAC will set tle the claims after the receipt of the above document duly completed in all respects.Form A in original and Xerox copies of Form B, C &D completely filled in together with the copies of the support ing vouchers should necessari ly be

accompanied with the copy of the UGC order thatthe institution is covered under sec. 2(f) & 12 (B) of the UGC Act 1956.

10. The reimbursement of unit cost will be limited to:

UniversityCollege

1. Honorarium Rs. 30,000 Rs.12,000

2. Travelling expenses Rs.1,25,000 Rs.

83,0003. Incidental expenses Rs. 5,000 Rs. 5,000

Total Rs.1,60,000 Rs.1,00,000

11. The institution will also pay an honorarium to peerteam members @ Rs. 1,000 per day. In addition theChairperson will be paid Rs. 2,500/-(universities);Rs . 1, 500 /- ( Col le ge s) as si tt in g fe e and themember coordinator will be paid

Rs. 1 ,500 /- per ins ti tu tion towards inc iden ta lexpenses, viz, telephone, postage etc.12. In case of common peer team visi ting more than

one institution, one of the institutions will make thepayments under suitable intimation to the finances ect ion NAA C, wit h comb ine d cl aim a nd wi thcertification from both the institutions for


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settlement. Both the institutions share expensesand reimbursement thereafter.

13. For institutions who have already submitted theirself-study reports and paid the fees, but whoseprocess of Assessment and Accredi ta tion may

commence after 1 st April 2004, the UGCcommitment in this case will be limited to the unitcost. The accreditation fee already paid to NAACwill not be reimbursed.


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Section II : Guidelines for institutions notrecognized under 2(f) and 12(B) of the UGCAct and Self-financing institutions.1. Incase of these institutions the present pattern will

continue i .e . the accredi ta tion fee for a s inglefacul ty (Commerce i s t reated as a par t of Artsfaculty) college will be Rs. 25,000/- and for thosewith faculties of Arts, Science and Commerce Rs.50,000/-. For professional and other specializedinst i tut ions fees wil l be as determined by NAACfrom time to time. On submission of the self-studyreport this amount may be paid through demanddraft drawn in favour of The Director, NationalAssessment and Accreditation Council payable atBangalore.

2 . In addi tion to the above, the ins ti tu tion wil l a lsomeet the expenditure in respect of TA/DA, localtravel and hospital i ty of the peer team membersincluding the officers from NAAC.

3. Reimbursing o f Honora rium by NAAC: Theinstitution will also pay an honorarium to the peerteam members @ of Rs. 1,000 per day. In additionthe Chairperson will be paid Rs. 2,500/-(universities); Rs. 1,500/- (Colleges) as sitting feeand the member coordinator will be paid Rs. 1,500/-per ins ti tu tion towards inc identa l expenses, v iz

telephone, postage etc.4. On completion of the visit, the head of the

institution will submit the receipts of honorarium of the peer team for reimbursement by NAAC. TheNAAC will settle the claims within a month of receiptof the above. The NAAC will reimburse only thehonorarium as mentioned above paid to peer team.


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SUMMARISED FEATURES WITH REGARD TO INCURRINGAND REIMBURSEMENT OF ACCREDITATION EXPENDITURE OF

INSTITUTION GOING FOR THE ASSESSEMENT/ ACCREDITATIONPROCESS FROM 1 ST APRIL 2004 ONWARDS

For the institutions covered under section 2(f) and 12 (B) of the UGC act 1956

Rs. (inlakhs)Maximum limit of reimbursable CollegeUniversityAccreditation Expenditure 1.001.60

I. No Assessment fee is required to be remitted to NAAC, as wasthe practice earlier.

II. All the expenditure with regard to peer team visit will be incurredby the institution itself in the first instance, at the time peerteam visits the institution.

I. EXPENDITURE TO BE BORNE BY THE INSTITUTION

a) Local hospitality which includes local transport i.e.,Airport / Railway - station to the visiting institution andback.

b) Boarding and Lodging in hotels or guest houses as thecase may be, in respect of members of the peer teamincluding Co-ordinator.

II. EXPENDITURE TO BE BORNE BY THE NAAC

a) Travelling expenses i.e. Airfare by economy class, II AC Trainfare or Taxi fare up to a distance of six hundred kilometersboth ways (300 Kms one-way) where other modes of transportare not available. However those of the peer team memberswhose usual entitlement happens to be travel by air could bereimbursed train fare to the extent of 1 AC in case they do notavail air passage.


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b) 25% DA per day admissible over and above boarding andlodging as per the rates applicable to the institution not morethan the rates admissible as per Government of India rules.

c) Honorarium for the peer team members at the rates

prescribed in the revised guidelines. The rates are givenhereunder: -


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CollegesUniversity

1. Chairman Rs. 1000/- per day Rs.1000/- per day

+Rs. 1500/- per visit Rs.2500/- per visit

2. Member Co-ordinator Rs. 1000/- per day Rs.1000/- per day

+Rs. 1500/- per visit Rs.

1500/- per visit

3. Members Rs. 1000/- per day Rs.

1000/- per day

The above honorarium will be reimbursed against Xeroxcopies of the receipts issued by the visiting peer teammembers in form B.

d) Incidental charges if any incurred by the institution like thoseof Stationery, Xeroxing, Computer hiring, E-mailing,

Telephone/Mobile charges etc. to the extent of Rs. 5000/- pervisit will be reimbursed against the Xerox copies of thedocumentary evidence in form C.

e) The expenditure at Sl.No. IV a, b, c, d above will be claimed bythe institution for the reimbursement from the NAAC onprescribed formats together with supporting copies of Air

Ticket / Train Ticket/ Taxi bill as per revised guidelines issuedearlier in form D (revised guidelines) Enclosed.

Financial Implications of Re-accreditation

A resolution of finance committee as approved by the ExecutiveCommittee pertaining to financial implications of re-accreditation isextracted below.

It was decided that those of the institutions who were accreditedearlier and did not get the benefit of reimbursement of accreditationexpenditure should be extended this facility whenever theseinstitutions ask for re-accreditation, and the expenditure would be


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reimbursed as per the guidelines issued for the other institutionseligible for the same with effect from 1 st April 2004.

The colleges therefore may note that for HEIs recognized under 2f &12B provision, the accreditation fees need not be paid. The expenses

on TA/DA of peer team would be reimbursed in case it was notreimbursed/paid for first accreditation by NAAC.

Note: The reimbursement claims should be forwarded to FinanceOfficer, NAAC within a months time of Peer Team Visit.


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FOR THE INSTITUTIONS NOT COVERED UNDER SECTION2(f) AND 12 (B) OF THE UGC ACT,1956

I. Advance Assessment fees prescribed that is between 25,000/- to

50,000/- for the colleges and Rs. 75,000/- to 3,00,000/- for theuniversities continues to be required to be remitted to NAACOffice Bangalore by a Demand Draft favouring Director, NAACPayable at Bangalore along with self-study report.

II. All the accreditation expenditure excepting that of honorariumpayable to peer team members will be borne by the institutionitself undergoing the process.

III. Honorarium stated above and payable to peer team members atthe following rates will be paid directly by the NAAC individually

to the members on the address communicated by theinstitutions. The honorarium payable per day to the members isdetailed below:-

CollegesUniversity

1. Chairman Rs. 1000/- per day Rs.1000/- per day


2500/- per visit

2. Member Co-ordinator Rs. 1000/- per day Rs.1000/- per day


1500/- per visit

3. Member/s Rs. 1000/- per day Rs.1000/- per day

The above procedure holds good for cycle of Accreditationafter every five years as per the rules in vogue.

Few main deficiencies found with regard to claims of Free Accreditation Expenditure submitted by the


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Institutions for Reimbursement under UGC supportscheme operational from 01.04.2004 onwards.

I. Reimbursement claims from the institutions are not attatchedwith the Xerox copies of Air Tickets of the Peer TeamMembers with the result institutions are reimbursed the travelexpenditure to the extent of only Railway AC I Class fare. Weare informed that institutions are asking for the abovedocuments from the peer team members, while on visit butthe members in considerable number of cases do not furnishthe same. Peer Team Members also at times furnish open Air

Tickets, which again is no proof of travel having perofmed,and no reimbursement can be made against open ticket. Thisway institutions incur considerable loss. NAAC as per UGC

approved Guidelines cannot reimburse the travel fare withoutcopy of Air/Train fare Ticket.

Refer section I clause 9 of guidelines page no. 6

II. The local hospitality expenditure, which includes Boarding,Lodging, local transports etc. are to be borne by theinstitutions under-going the assessment process. DA @ of the daily allowance is admissible under State Government / orCentral Governments rates. It is observed that institutionsare disbursing DA at very high rates per day per member,

which is not admissible, for reimbursement as per the U.G.C.approved guidelines.

Refer section I Clause 5 of the guidelines page no 5

III. All peer team members are required to follow the shortestroute. In case, the institution receives the travel from the peerteam chairperson/members indicating circuitous routeproposed to be followed by them, it may be brought to theirnotice in advance that liability of NAAC will be limited to theextent of shortest route stated above for train/air fare

IV. Similarly as mentioned in the guidelines incidentals to themaximum limit of Rs. 5000/- per Assessment is payable tothe institutions only to meet the expenses like Stationery,

Telephone, Telex, Xeroxing, Computer Prints etc. This amountis observed from many claims, as having been paid to thepeer team members by the institution as DA or incidentals.

This practice needs to be stopped forthwith.


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Refer C Format for statement of incidental expenses page no. 16 of the guidelines.

V. In many claims submitted by the institutions it is observed

that honorarium is paid to Peer Team Members, in excess of the entitlements fixed. To avoid deductions from the claimson this account the institutions may be conveyed to adhere tothe honorarium rates fixed.

Refer section I cause 11 page no. 7 of the guidelines.

VI. Coordinating Officers are requested to kindly send a copy of Directors sanction for undertaking accreditation of institutions giving information as to whether the assessmentis being undertaken by single institution-wise or in groups to

enable the finance unit to allocate the joint expenditureinvolved accordingly, while settling claims submitted by theinstitutions.

THE INSTITUTIONS ARE FREE IN BRINGING TO THE NOTICE OF THEDIRECTOR, NAAC THE PARTICULARS OF THE PEER TEAM MEMBERS NOTCOOPERATING IN FURNISHING TO INSTITUTIONS THE RELEVANTSUPPORTING DOCUMENTS REQUIRED FOR SUBMISSION TO THE NAACFOR REIMBURSEMENT.

Section - III : Formats for use by the InstitutionsA. Format for Consolidated Statement of Expenditure

(For reimbursement of expenses incurred during thePeer Team Visit for Assessment & Accreditation.

To be sent to Finance Officer, NAAC)

Name & Address of the Institution : Dates of Peer t eam visit :

Name & Full Address a) Chairperson:of Peer team: b) Members:

c) NAAC Coordinator:

Details of Expenditure Expenditureincurred Item


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a) TA/DA:

b) Honorarium

c) Incidental expenses

Total Rs.:

(In words)

I t is ce rtif ied t hat a sum of Rs. ( ) as det ailed above hasbeen incurred on Peer Team Vis it to our inst itut ion forassessment and accreditation by NAAC.

Name and Signature of Head of the Institution with Seal

Name and Signature of the Finance Officer/Accounts Officer/Bursar of the

institutions with seal

Name, Address and Signature of thepracticing Chartered Accountantswith seal & Membership No.

B. Honorarium Receipt for Peer Team Visit(For use and retention in the office of the visiting

institutions)(Xerox copy to be sent along with claim)

RECEIPT

Received with thanks a sum of Rs .

................................................... ....................................


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. . . . . . . . . . . . . . . . (in words) by Cash/Cheque/D.D. as Honorarium

for being on Peer Team visit to:

Name & Address of

.....................................................

...........

of the Institution

.....................................................

...........

.....................................................

...........

State .........................

Pincode .......................

Peer team visit dates: ...................... as

Honorarium/Coordination Fee for being the

Chairperson/Member/Member Coordinator.

RevenueStamp

Date: Name and Addressof the Payee


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C. Format for Statement of Incidental Expenses(For use and retention in the office of the visiting

institutions)(Xerox copy to be sent along with claim)

N ame & Add re ss of the Instit ut io n :

Dates of Peer Team Visit :

Items : Expenditure

1. : Rs.

2. : Rs.

3. : Rs.

TOTAL : Rs.

Certified that an amount of Rs.---------------- is incurred Underincidental expenses towards Peer Team Visit to our Institution.

Name and Signature of the Name and Signature of Head of the Institution Finance Officer/Accounts Officer/

with seal Bursar withseal


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D. Format for Payment of TA/DA to PeerTeams(For use and retention in the office of the visitinginstitutions)

(Xerox copy to be sent along with claim)

Name & Address of the Institution

Name & Address of the Peer TeamChairperson/Members/ Member Coordinators/NAAC Coordinator

Scale of Pay Rs.

Onward From To Return From To Mode of TravelExpenses Incurred

Place : Place : Place : Place : Rs .

Date : Date : Date : Date :

Time : Time : Time : Time :

I certify that the above stated expenditure is incurred for the purpose of visiting the institution for Assessment and Accreditation process of NAAC

To be used by the visiting institutions office

Amoun t App li cable for TA Rs. Received Rs.

A mo un t Ap pl ic ab le fo r DA Rs .(words)

Name

Any Others Rs.

DateTOTAL Rs. PlaceSignature


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E. TA/DA/Accommodation/ Honorarium norms applicableto Peer Team {Chairpersons, Members / Member

Coordinators & NAAC Officers (NAAC Coordinators)visiting Higher Education Institutions (Universities,

Colleges, etc.)}

Air/Rail Travel:

Air travel is permit ted in case of journeys beyond overnight . Airt ravel by executive c lass i s not permit ted . As far as possiblesubsidized airfares as available from Indian Airlines / Alliance Airfrom t ime to t ime may be availed to reduce the Peer Team visi texpenses. Air travel is allowed by shortest route only. Train travelby II AC may be availed. However the members entitled to travelby air could be reimbursed the fare to the extend 1 st A.C. Trainfare, in case they do not avail air passage.

Road Travel:

In case of journeys by road or by own car the mileage wil l bepayable as per the norms of the p lace where the ins ti tu t ion i slocated. Road mileage wil l be l imited to a maximum of 300 k.m.one way.

Stay and Accommodation:

Peer Teams will reach the institution prior to the beginning of thevisi t and should be available there t i l l the end of the visi t . Priorintimation will be given to the institution to enable them to makearrangement for local transportation/accommodation etc.

Honorarium:

Honorarium may be paid at the rate of Rs. 1,000/- per day and a

c o- or di nat io n f ee o f Rs . 2 ,5 00 /- ( Un iv er si tie s) an d 1 ,5 00 /-(Colleges) for Chairpersons. The Member Coordinator will be paidRs.1,500/ - per col lege a s i nc iden ta l expenses on account o f Coordination.

Tour Programme Intimation:


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Peer Team members will send their tour programs to the institutionas well as to the coordinator at NAAC, Bangalore.

Local Hospitality:

T he v is it ing i ns tit ut io n w il l p ro vi de l oca l t ran sp or ta ti on ,accommodation, hospi ta li ty and the applicable DA to the peerteams.

Check List for Lodging Claim for Reimbursement with NAAC

1. Copy of the order of the UGC for having covered yourInstitution under Section 2(f) and 12B.

2. Form A in original duly filled in all respects and certified by theChartered Accountant.

3. Form B Xerox copy signed by the member with address.4. Form C Xerox copy together with relevant bill copies.5. Form D Xerox copy All columns filled together with Air /

Train ticket / Taxi bill copies signed by the member.6. All the forms/Bill copies to be attested by the Principal7. Full address of the institution with pin code, telephone

number with STD code.8. Full address of the P. T. members

Revised UGC Guidelines HEIs

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