academic and administrative audit (aaa) for...

Knowledge Consortium of Gujarat (KCG) Academic and Administrative Audit (AAA) for Colleges

1 __________________________________________________________________________________________________________________,

Block 12, 3rd Floor, Dr. Jeevraj Mehta Bhavan, Gandhinagar -382 010, Gujarat, India Phone Number: 079 -23246292 Email Id: [email protected]

Academic and Administrative Audit (AAA)

For Colleges in Gujarat

Knowledge Consortium of Gujarat (KCG)

Department of Education

Government of Gujarat ______________________________________________________________________


2 __________________________________________________________________________________________________________________,


CONTENTS

I. Letter of Intention (LOI)

II. Criteria for Academic and Administrative Audit (AAA) in colleges

III. Assessment Indicators

IV. G-AAA Score

V. AAA Tool kit

Part I

Part II

VI. Guidelines to Peer Team members for AAA

VII. Guidelines to Institutions for AAA


3 __________________________________________________________________________________________________________________,


I. LETTER OF INTENTION: AFFILIATED /CONSTITUENT COLLEGES

1 We would like to opt for Academic and Administrative Audit(AAA) 2 Name of the Institution 3 Name of the Head of the Institution 4 Designation of the Head of the

Institution

5 a. Contact Details of the college: Address:

City: Pin : Tel:

Mobile: Fax:

Email: Website:

b. Contact Details of the Principal:

Address:

City: Pin : Tel:

Mobile: Fax:

Email:

c.Contact Details of the IQAC Director: Address:

City: Pin : Tel:

Mobile: Fax:

Email:

6 Date of Establishment MM/DD/YYYY 7 Date of Recognition by UGC under

section 2(f)s MM/DD/YYYY

8 Date of Recognition by UGC under section 12(B)

MM/DD/YYYY


4 __________________________________________________________________________________________________________________,


9 University to which College is Affiliated

10 Nature of Funding Govt. Funded: Grant in Aid: Private/Self Financing: Any other:

11 Faculties Arts: Commerce: Science: Education: Medical Science: Management: Distance Education: Engineering and Tech: Any other: ____________ (Please specify)

12 Total Number of (Number only)

Teaching Staff:______ Non-Teaching Staff:___ Students: ____________

13 Programmes Offered (Numbers only)

UG:_________ PG:_________ Research:_____ Others:______

14 Date of Accreditation/Re-Accreditation

MM/DD/YYYY

15 Date MM/DD/YYYY


5 __________________________________________________________________________________________________________________,


II. Criteria for Academic and Administrative Audit (AAA) in

colleges

Sr. No

Criteria Weightage (in %)

Marks

1 Academic Management 15 150

2. Academic Practices

2.1 Human Resource 2.2 Teaching Learning Evaluation Processes 2.3 Research Output 2.4 Community Outreach/Extension 2.5 Student Support

45

10

50

20

10

10

450

45

225

90

45

45

3 Infrastructure & Other

Facilities 25 250

4 Initiatives and Supplementation

15 150

Total 100 1000


6 __________________________________________________________________________________________________________________,


III. Assessment Indicators

Under each criteria, there are several key aspects and the assessment

indicators have been evolved to represent the marks obtained in the

respective aspects. The institution will be marked for each aspect under four

categories and the summation arrived at. The ranking of the score would be

based on the following criteria.

Score Rank

Performance Descriptor

Interpretation of the Descriptor

751- 1000 I Very Good

High Level of academic accomplishment

501 – 750 II Good

Level of academic accomplishment above the minimum level expected of an institution

301- 500 III Satisfactory

Minimum level of accomplishment expected of an institution

≤300 IV Unsatisfactory

Level of academic accomplishment below minimum level expected of an institution


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IV. G-AAA SCORE

G-AAA score can be arrived at for an institution by merging the scores of

the present AAA exercise with the NAAC grade of the Institution, if

accredited during the same period.

NAAC Grade

G – AAA Rank

D C B A

I DI CI BI

AI

II DII CII BII

AII

III DIII CIII BIII

AIII

IV DIV CIV BIV

AIV


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V. AAA TOOL KIT

a. Information about Principal

b. Staff Information

c. Key Aspects

1. Academic Management

2. Academic Practices

3. Infrastructure and other Facilities

4. Initiatives and Supplementation


9 __________________________________________________________________________________________________________________,


a INFORMATION ABOUT PRINCIPALS

(Provide information on separate sheet wherever necessary.)

1. Name: __________________________________________________________________________________

2. Subject:________________________________________________________________________________

3. Qualifications: Ph.D M.Phil. M.Sc. M.A. M.Com Any other (please specify) ______________

4. Teaching experience (in years): ____________________________________________________

5. Number of Teaching hours per week: ______________________________________________

6. Research Projects/Publications/Study material developed during last 5 years(Provide in separate sheet ):__________________________________________________

7. Contribution to enrich quality of teaching - learning during last 5 years:

(Seminars / Workshops / lectures / field visits organized): _____________________

8. Contribution to the growth and development of the Institution during last 5 years through following: Committees Positions held Work done

9. Other responsibilities taken: (Please Specify)

1 2 3

10. Best Practices in teaching & Administration introduced in the college in last 3

years

1 2


10 __________________________________________________________________________________________________________________,


b STAFF INFORMATION

(Distribute to all Staff Members and provide during Peer Team Members visit.)

1. Name: __________________________________________________________________________________

2. Designation: __________________________________________________________________________

3. Subject:________________________________________________________________________________

4. Qualifications: : Ph.D M.Phil. M.Sc. M.A. M.Com

Any other (please specify) ______________

5. Teaching experience (in years): ____________________________________________________

6. Teaching methods used (Lectures, Field Trip, Projects etc) :_____________________

7. Technology used for teaching and frequency of use:______________________________

8. Study material developed during last 5 years:_____________________________________

9. Contribution to enrich quality of teaching - learning/administration during last 5 years: ( Seminars / Workshops / lectures / field visits organized):_______

10. Contribution to the growth and development of the Institution during last 5 years through following: Committees Positions held Work done

11. Other responsibilities taken & information in any: (Please Specify)

1 2 3.


11 __________________________________________________________________________________________________________________,


C. KEY ASPECTS

1. ACADEMIC MANAGEMENT (15%= 150 Marks)

Sr.No PARTICULARS SCORE SCORE 1.1.a Has Institution appointed a permanent

principal? Yes - No -

1.1.b Is she/he Ph.D.? Yes - No - 1.2. Total Non-Teaching Staff _______________ - - 1.3 Number of professional Programmes held for

non teaching staff in the last two years: ≥4

3 2 1

12 09 06 03

0

1.4 Extent of grant utilization (UGC + Government +fees) in the last two years Utilization % 100%

75% 50%

Less than 25%

12 09 06 03

0

1.5 Is the perspective and strategic plan prepared and being followed in the Institution?

Yes 10 No 0

1.6 Office Automation 1. Administration

a. Admission Processes - Online Admission - Other Processes only

b. Enrollment c. Maintenance of Records d. Declaration of Results

2. Accounts

a. Fees Collection b. Maintenance of accounts

Yes Yes Yes Yes Yes

6 4 4 4 4

No No No No No

0 0 0 0 0

Yes Yes

4 4

No No

0 0

1.7.a 1.7.b

Is there a College website ? Is it updated till ___________2011?

Yes Yes

6 3

No No

0 0

1.8. Is the College Library automated? a. Record of Books b. Issue and Return of Books

Yes Yes Yes

- 5 5

No No No

- 0 0

1.9.a Does the library provide open access facility? a. To all b. To Only teachers

Yes Yes

6 3

No

0


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1.9.b Is there Internet facility in the library? a. For All b. For Teachers only

Yes Yes

5 3

No

0

1.10 Is there an Anti ragging Cell in the college ? Yes 10 No 0 1.11 Are there any Welfare schemes?

If Yes, List them______ Yes 10 No 0

1.12 Is there a Women’s Development Cell/Anti Sexual Harassment Cell?

Yes 10 No 0

1.13 Is there a functional Alumni Association? (minimum of 1 meeting per year)

Yes 10 No 0

1.14 Do you organize Institution & Stake holders Interaction Cell (ISIC) meet? (minimum one meeting per year) (Stake holders : Governing Board, Parents, Alumni, Industries, etc.)

Yes 10 No 0

Total 150


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2. ACADEMIC PRACTICES (45%=450 Marks)

2.1 HUMAN RESOURCE (10%= 45 Marks)

Sr.No PARTICULARS SCORE SCORE

2.1.1 Total Permanent Staff(Teaching) _______________

- - - -

2.1.2 A. How many faculties have attended FIP? 71% to 100%

41% to 70% Up to 40% B. Faculties who have attended Refresher or Orientation Courses

71% to 100% 41% to 70%

Up to 40%

3 2 1 12 06 03

-

-

2.1.3 Participation of Faculties in Capacity Building Workshops (CBCS, MMI, UDISHA, NME-ICT, KMP etc.)

71% to 100% 41% to 70%

Up to 40%

15 10 05

-

-

2.1.4 Innovative Practices 15

Total 45

2.2 TEACHING LEARNING- EVALUATION PROCESS (50% = 225 Marks)

Sr. No PARTICULARS SCORE SCORE

2.2.1 Number of programmes/courses offered

- CBCS system

- Multidisciplinary approach

- Any other specify

20

No

0

2.2.2 Percentage of students who graduated during last 1 or 2 year(s): First Class, Second Class, Pass Class


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>50% First Class >50% Second Class

> 50% Pass Class

15 12 09

2.2.3 Contribution of the faculty in Course Design 51% to 100%

26% to 50% 5% to 25%

<5%

10 05 2.5 01

No

0

2.2.4 Extent to which lecture plans and outlines (log books) are prepared and implemented by the individual faculty?

81% to 100% 51 % to 80% 31 % to 50%

<30%

Yes Yes Yes Yes

25 20 15 10

No

0

2.2.5 Is academic calendar being prepared and implemented?

Yes 10 No 0

2.2.6 Use of any other Teaching – Learning Tools - OHP - LCD

- Videos - Interactive boards - Any other (Please specify)

10 10 10

0 0 0

2.2.7 Use of ICT in teaching – Learning Evaluation

- e-journals - IT enabled classrooms - Online assessment - Online assignment

submission

- Online feedback on teaching & learning

7.5 7.5 7.5 7.5 05

0 0 0 0 0

2.2.8 Do you offer Bridge Courses/ remedial courses?

Yes

25 No 0

2.2.9 Are projects, assignments, field work, seminars etc. part of curriculum?

Yes

25 No 0

2.2.10 A. Evaluation of Teachers by Students B. Is it analysed and communicated?

Yes Yes

5 5

No No

0 0

2.2.11 Innovative teaching practices Yes 20 No 0

Total 225

}

}


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2.3 RESEARCH OUTPUT (20%) 90 Marks

Sr. No Particular SCORE SCORE

2.3.1 a. Percentage of teachers with Ph.D as the highest qualification: b. Percentage of teachers with M.Phil as the highest qualification: c. Percentage of teachers with UGC NET or SLET: [Total % = % of (a) + % of (b) + % of (c)]

81% to 100% 51% to 80% 31% to 50%

<30%

15 12 09 06

2.3.2 Publications (Last 3 years): Articles in refereed Journals, Books and Edited volumes

10

0

2.3.3 Are you generating resources through consultancy?

Yes 05 No

0

2.3.4 Sponsorship of events and resources generated Yes

05 No 0

2.3.5 State /National/ International level Seminars/ workshops/conferences organized during last 1 year/ 2 years.

>1 1

Yes Yes

10 05

No

0

2.3.6 Number of Faculties engaged in research: a. Sponsored research projects:

Completed _________________

(At least 1)

Ongoing ___________________ (At least 1)

12 08

0 0


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b. Unsponsored research

Completed ________________ (At least 1)

Ongoing ___________________

(At least 1)

07 03

0 0

2.3.7 Innovative practices Yes 15 No 0

Total 90

2.4 COMMUNITY OUTREACH /EXTENSION (10%) 45 Marks


2.4.1 Number of Outreach projects (???????) NSS

NCC NGO’s

Own funds Local funds

Govt. funds

Yes Yes Yes Yes Yes Yes

05 05 1.25 1.25 1.25 1.25

No

0

2.4.2 Number of faculty hours for outreach activities Yes 10 No 0

2.4.3 Number of student hours for outreach activities Yes 10 No 0

2.4.4 Innovative practices (Specify with report) Yes 10 No 0

Total 45

2.5 STUDENTS SUPPORT (10%) 45 Marks


2.5.1 Number of effective teaching days (Number of working days – Exam days)

140 or >140 120-139 100-119

<100

04 03 02 01

0


17 __________________________________________________________________________________________________________________,


2.5.2 Use of Power Points in Classes/ Use of BISAG inputs

>50% students < 50% students

2.5 1.25

0

2.5.3 Does the Institute do anything for the improvement in learning quality enhancement? If yes, List them_________________

Yes

2.5 No 0

2.5.4 Do you conduct study visits, field trips, Exhibitions learning quality enhancement?

Yes

04 No 0

2.5.5 Are any Personality development programmes conducted?

Yes

04 No 0

2.5.6 Do you organize & document various extra curricular activities?

Yes

04 No 0

2.5.7 a. Is there a student council in place? b. How often do they meet?

2 or more times Once only

Yes Yes Yes

03

02 01

No

No No

0

0 0

2.5.8 Does your College have any Feedback Mechanism (students, Faculties & Industry)?

Yes

03 No 0

2.5.9 Do you have any Community Audit Mechanism? (through Stake holders)

Yes

03 No 0

2.5.10 Discipline, Decorum & Ambience (in class and campus.)

Yes

03 No 0

2.5.11 Innovative Practices (Specify) Yes

10 No 0

Total 45


18 __________________________________________________________________________________________________________________,


3. INFRASTRUCTURAL FACILITY (25% = 250 Marks)

Sr.No PARTICULARS SCORE SCORE 3.1 Campus Area

Exemplary Good

Inadequate

07 04 02

0

3.2 Campus Ownership Owned by Management

On rent

07 04

0

3.3 Office Space Exemplary

Good Inadequate

07 04 02

0

3.4 a. Area of Library _________________ b. Do you have separate reading area for student & Staff? c. Do you display the new arrivals? d. Do you maintain Book Volumes? e. No. of Books per student ___________ f. No. of Issue/Return books per day ____________ g . No. of Research Journals ___________ h. No. of Periodicals ___________

Yes Yes Yes

03 02 02 02 02 02 02

No No No

0 0 0

3.5 Laboratories Exemplary

Good Inadequate

07 04 02

No

0

3.6 Security 05 0 3.7 Potable Water facility

Exemplary Good

Inadequate

07 04 02

0

3.8 Power Backup facility 05 0 3.9.a Washroom facility (for Male)

Exemplary Good

Inadequate

05 03 01

0

3.9.b Washroom facility (for Female) Exemplary

Good Inadequate

05 03 01

0


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3.9.c Washroom facility (for Staff) Exemplary

Good Inadequate

05 03 01

0

3.10 Parking Exemplary

Adequate Inadequate

08 04 02

0

3.11 Class rooms (as per requirement) Exemplary Adequate Inadequate

15 10 05

0

3.12 Staff room (Tick only one) Individual Staff room with IT facility Staff room with separate cabins Departmental Staff Common

15 12 09 06

0

3.13 Seminar Room Exemplary Adequate Inadequate

15 10 05

0

3.14.a Common room (Boys) Exemplary Adequate Inadequate

07 04 02

0

3.14.b Common room (Girls) Exemplary Adequate Inadequate

07 04 02

0

3.15 Medical Centre facility Health Centre facility

First-aid facility

10 05

0

3.16 Sports Facility (2 mark for separate ground for each sport) (Maximum 6)

12 0

3.17 Indoor Sports facility (2 mark for each indoor sports facility) (Maximum 4)

08 0

3.18 Gymnasium

05 0


20 __________________________________________________________________________________________________________________,


3.19.a Hostel (Boys) Exemplary

Adequate (with mess) Inadequate

08 06 03

0

3.19.b Hostel (Girls) Exemplary Adequate (with mess)

Inadequate

12 06 03

0

3.20 Transportation for students

05 0

3.21 Support services (Bank/PO/Xerox)

03 0

3.22 Canteen

05 0

3.23 Approach Road

05 0

3.24 Garden

07 0

3.25 Auditorium/ Assembly hall

05 0

3.26 Internet facility For Staff & students :

For staff only:

08 04

0

3.27 Overall Maintenance Exemplary

Satisfactory Not satisfactory

15 10 05

0

Total 250


21 __________________________________________________________________________________________________________________,


4. INSTITUTIONAL INITIATIVES IN HIGHER EDUCATION (15% = 150 Marks)

Questions under different initiatives carry 2.5 marks each : (42*2.5=105)

Sr. No Particular Score Score PART- 1

4.1. SANDHAN 4.1.1 Has the college installed the required dish and

antenna for BISAG Programmes? Yes 2.5 No 0

4.1.2 Is there a separate room in the college where

TV/LCD has been installed for watching the

BISAG lectures?

Yes 2.5 No 0

4.1.3 What is the percentage of Faculty members

from your college have delivered lecture/(s) at

the BISAG Studio?

81% to 100% 61% to 80% 40 % to 60% 20% to 40%

<20%

2.5 2.0 1.5 1.0 0.5

0

4.1.4 Is the ‘Video Communication at work’ facility installed and operational?

Yes 2.5 No 0

4.1.5 How frequently do the students from your college ask questions during the live telecast of lectures?

regularly Seldom

Never

2.5 1.25

0

4.2 SAPTADHARA 4.2.1 Have all students filled the Saptadhara form ?

>80% <80%

Yes Yes

2.5 1.5

No

0

4.2.2 Have you appointed different staff member for different dharas?

Yes 2.5 No 0

4.2.3 Have all students opted for at least one of dharas ?

Yes 2.5 No 0


22 __________________________________________________________________________________________________________________,


4.2.4 Is Saptadhara activity conducted at least once a month?

Yes 2.5 No 0

4.2.5 Have you maintained record for Saptadhara fund utilization ?

Yes 2.5 No 0

4.2.6 How many students of your college participated in the state level competition in different dharas in the academic year 2010-11?

2.5 0

4.2.7 Performance of the College in the Saptadhara Bands at the Zonal and State Level

2.5 0

4.3 INFORMATION AND COMMUNICATION TECHNOLOGY (NME-ICT)

4.3.1 How many Faculty members/ Administrative staff can operate MS-Word/ Power point and Microsoft Excel? Teaching__________ Non teaching ____________

2.5 0

4.3.2 Did your College arrange for Training of Faculty members in the use of Computers ?

Yes 2.5 No 0

4.3.3 How many Computers do you have in the College ?

2.5 0

4.3.4 Does the College have Internet facilities? Yes 2.5 No 0

4.3.5 Have your Faculty members undergone training for NME-ICT? If yes, How many?

Yes 2.5 No 0

4.3.6 List out names of Faculty and non teaching Staff with their respective e-mail ids.

4.4. PLACEMENT ACTIVITY / UDISHA 4.4.1 Has the Udisha Placement cell/ Career

Counseling Cell been formed in your college? Yes 2.5 No 0

4.4.2 How many students have been enrolled ? 2.5 0

4.4.3 Has there has been any campus placement? Yes 2.5 No 0

4.4.4 Have you conducted any pre placement training for student’s placements? If yes, then Specify.

Yes 2.5 No 0

4.4.5 Have you organized any company visits or guidance camp for students?

Yes 2.5 No 0

4.4.6 Does the placement cell maintain the record of job opportunities and students?

Yes 2.5 No 0


23 __________________________________________________________________________________________________________________,


4.4.7 Are the students provided computers and Internet to search job, to down load application forms etc?

Yes 2.5 No 0

4.4.8 Does the college have a system of registering students at the Employment office?

Yes 2.5 No 0

4.4.9 Does the college subscribe to magazines like Employment News, Rojgar Samachar etc? If yes, Give names of magazines.

Yes 2.5 No 0

4.5 CHOICE BASED CREDIT SYSTEM (CBCS) 4.5.1 Have your Faculty members been sent for

training in CBCS ? Yes 2.5 No 0

4.5.2 Has your College arranged for Training on CBCS for college Staff?

Yes 2.5 No 0

4.5.3 Is your College familiar with e Content ? >50% of Faculties > 50% of Students

Yes Yes

1.25 1.25

No No

0 0

4.6 VANCHE GUJARAT 4.6.1 Has your College conducted any programme for

Vaanche Gujarat ? Yes 2.5 No 0

4.6.2 Do your students know about `Tartun Pustak’? Yes 2.5 No 0

4.6.3 Do your students know about `Mane GamtuPustak’?

Yes 2.5 No 0

4.6.4 Are any Faculty members taking interest in spreading awareness about Vaanche Gujarat Abhiyaan ?

Yes 2.5 No 0

4.7 GUJARAT QUIZ (GQ)

4.7.1 Do your students know about the Gujarat Quiz ?

Yes 2.5 No 0

4.7.2 How many students have participated in GQ ? >50% <50%

Yes Yes

2.5

1.25

No No

0 0

4.7.3 How many students have cleared Cluster level and qualified for District level Competition?

2.5 0

4.7.4 Is there a committee to implement GQ at your college?

Yes 2.5 No 0


24 __________________________________________________________________________________________________________________,


4.8 DELL-SCOPE 4.8.1 Does your College have a Digital English

Language Lab ? Yes 2.5 No 0

4.8.2 Do you propose to apply for a DELL ? Yes 2.5 No 0

4.8.3 How many students use the DELL in a day ? At least 10%

Yes

2.5

No

0

4.8.4 Have your teachers taken any Courses in SCOPE?

Yes 2.5 No 0

4.8.5 How many teachers pass the SCOPE Certification in a year?

Yes 2.5 No 0

Total

105

A.

B.

C.

** The following questions carry 3+6+6 respectively. (15 Marks) Does your College facilitate Academic links/ collaborations/ MoU, etc with other centers of higher learning ? Does the college have a functional Alumni Association? Number of students enrolled ______ Activities of Alumni Association _____ Give details of any Progressive Practices of the Institution if any.

Yes

Yes

Yes

3

6

6

No

No

No

0

0

0

Total 15

PART – 2 ABOUT OTHER INITIATIVES (30 Marks)

Please enclose a detailed write up for each initiative giving Context,

Objectives, Action plan, resources utilized and generated, if applicable and its

impact.


25 __________________________________________________________________________________________________________________,


Guidelines

VI. Guidelines to Peer Team Members(PTM) for AAA

VII. Guidelines to Institutions for AAA


26 __________________________________________________________________________________________________________________,


VI. GUIDELINES TO THE PEER TEAM FOR AAA

1. AAA PEER TEAM VISIT

AAA is about facilitation of excellence in higher educational institutions in the state by the stake holders of higher education primarily by teachers, management and community. Guided by the philosophy of mutual trust, the Peer Team has to carry out an AAA of Higher Education Institutions objectively with greater focus on issues related to the outcome. The KCG has evolved the following guidelines for the Peer Team Members (PTM) to realize these objectives.

2. AAA STAGES

Stage – I: In the Pre visit stage the Peer Team should:

Understand the institution and its context of operation Prepare the list of institutional documents to be reviewed, and the points for

interaction with the various stakeholders. Prepare a draft report based on the AAA submitted (both the quantitative and

evaluative report), and collate it according to the KCG format, keeping in mind the Criteria, Key Aspects and the Assessment-Indicator-guidelines.

Complete all pre-visit preparation online if possible. Communicate travel plans to the institution well in advance and also send a copy of

the travel plans to KCG office.

Stage - II: During the visit

For the purposeful AAA visit, it is imperative for the AAA team to be professional in their approach and courteous to the members of host institutions. The chairperson should ensure smooth conduct of AAA process and adequate interaction among AAA PTM while preparing first draft of AAA report.

The team should conduct the visit and on the basis of evidences prepare the report. The thrust of visit should be outcome oriented and suggest what may be done, not be concerned with “what is” (in terms of weaknesses) but what ought to be done and how.

The visit schedule is to be prepared by the AAA PTM in consultation with the host institution. PTM should avoid any last minute changes in the visit schedule.

During the visit AAA PTM should meet various constituents of the host institutions viz., students, teachers, administrative staff/non-teaching staff, management, alumni association, parent association, MOU partners, employers etc.

In the process of AAA, focus should be on the validation of the information provided in AAA on the basis of documents and evidences. AAA PT, however, has to go beyond validation


27 __________________________________________________________________________________________________________________,


and find out what was done by the institution to overcome weaknesses and challenges. The PTM may, in a cordial manner, ask questions for the reasons behind measures not undertaken and specify in the form of recommendations as what needs to be done on long and short term basis to the institution. This approach should be applicable in all major areas of operation of the institution including cells and associations. The Chairperson must ensure the validation of factual data/information provided in AAA and ensure that the report is prepared valuing the inputs from all the members.

3. REPORT PREPARATION

Peer team would prepare as per the prescribed format. The report should be prepared accurately considering various criteria for AAA.

As per the guidelines of KCG, the PTR is to be shared with the VC/Principal of the institution. The VC/Principal of the University/ College may suggest any factual corrections, which may be incorporated by the Chairperson of the Peer Team in consultation with other PTM.

The Chairperson should sign the PTR (on every page). The members of the team should sign on the last page of the report. After going through the report, if the Head of the Institution agrees with the report, he/she has to sign the report and affix the official institutional seal and date.

The Chairperson should also attach the actual schedule of the visit, certified by the Head of the Institution, as an annexure to the PTR.

A Declaration for having followed the Code of Conduct and Maintenance of Ethical Standards as set by KCG jointly signed by the PTM and the Head of the Institution, should be submitted along with the PTR.

4. OTHER GUIDELINES

The Chairperson of the peer team shall speak at the Exit meeting on behalf of the team.

PTM should submit all related papers to the KCG Office.

The Chairperson of the peer team must ensure that the PTR document file (drafts and final) must be deleted from the hardware of the computer(s) used for the purpose.

The PTR should be submitted separately in sealed envelopes as per the following:

Profile of the institution duly checked and signed by the PTM and Head of the Institution.

Duly signed copy of the PTR. Soft copy of PTR Feedback from PTM


28 __________________________________________________________________________________________________________________,


The envelopes should be addressed and mailed immediately to the KCG office.

5. CODE OF CONDUCT AND ETHICAL STANDARDS

In keeping with the traditions of the AAA Process of KCG, and to maintain professionalism, strictly avoid accepting gifts in any form, from the Head / Management /any other representative of the institution. The peer team members are also requested not to take any of their family members.

KCG stipulates that no peer team member should accept consultancy services and/or apply for a job at the institution within six month of the visit.

Once the visit is over, peer team members are requested not to encourage subsequent contacts with the institution and also not to divulge the proceedings of the ‘On-site visit’, the PTR and the grades awarded to the institution. The KCG will process and communicate the results to the institution.

6. AFTER VISIT, DOCUMENTS TO BE SUBMITTED TO KCG:

a. Toolkit

b. Score sheet

c. Detail Report (In Duplicate)

d. Annexure 1

e. Annexure 2


29 __________________________________________________________________________________________________________________,


VII. GUIDELINES TO THE INSTITUTIONS FOR AAA

Academic and Administrative Audit (AAA) by KCG is to facilitate quality improvement through partnership. Therefore, the smooth conduct of a Peer Team Visit requires close coordination between the KCG, the Peer Team and the Assessed Institution.

I. Coordination of the Visit:

The Assessment visit will be coordinated by the Chairperson of the peer team or the KCG Officer or by any one member of the Peer Team, designated as the ‘Member Coordinator’, supported by the concerned KCG Coordinator, operating from the Headquarters.

II. Before the Visit:

1. The institution should nominate a person, preferably the Principal or Coordinator of the Steering Committee, which prepared the institutional AAA Report (AAAR), as a representative of the institution, to interact with the KCG Officer and the Peer Team members. The person so nominated should have: sufficient knowledge of the institution access to institutional data good will on the campus adequate knowledge of the KCG Academic and Administrative Audit process

2. The nominated person should be in touch with KCG, the Peer Team Members (on

receipt of information from KCG) and make necessary arrangements in advance, for accommodation, local travel and logistics of the visit. The addresses, phone/fax numbers, at the place of stay of the Peer Team may be intimated to the designated KCG Officer, Member Coordinator and the Peer Team Members in advance. The place of stay may be selected with the following criteria in mind: Proximity to the Institution. Hygienic accommodation with necessary basic amenities. Economical to the extent possible.

(Expensive accommodation in star hotels should be avoided)

3. Make arrangements to provide a room at the institution, with a computer, printer, necessary stationery, two high density re-writable CDs and an assistant for support. As the team discussions are sometimes scheduled for late evenings, secretarial assistance may be required till late hours, as per the requirement of the peer team. One set of the institutional AAA Report (AAAR) may be made available to the Peer Team during its discussion sessions at the place of stay, for reference.

4. Generally, a tentative visit schedule will be suggested to the institution by KCG in advance avoiding disruption of classroom activities so that most of the members of the faculty would be available for interactions with the peer team. The sequence of visits to


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the departments and to the other facilities like Library, Gymkhana, Auditorium etc., may be planned well, to minimize the time for the visits.

5. Place all the relevant documents in the Peer Team meeting room and provide a list of

the same. The Preparation of documents for peer team perusal is a part of the institutional preparation and the peer team may validate the AAAR by verifying the documents.

Documents for the Perusal of the Peer Team

Act and Statutes of the Affiliating University. Rules, regulations, and/or guidelines relating to the composition, powers and

functions of the various Academic and Administrative authorities and committees. These may include the details of the Governing Body, Board of Management, admissions, Academic Calendar, rules of recruitment of faculty and staff, academic linkages, consultancy, extension, library committee, research committee, purchase procedures and other financial norms, etc. (These are only indicative and not exhaustive).

Guidelines for the Grievance Redressal Cell and the Complaints Cell for addressing issues of sexual harassment of women at workplace.

Guidelines for the publication units (if any) Criteria for facilitating professional development programmes for the faculty. Documents containing the current list of academic programmes, duration, fee

structure etc. Institutional annual Calendar. Annual Reports of the past two years. Master plan of the institution. Records of student feedback. Annual Budget. MoU with collaborating agencies Special recognition, grants, awards, etc. Audited accounts of the institution and the auditor’s reports for the past two years. Research projects sanctioned by external funding agencies. Government regulations regarding policies and sanctions. Approvals of regulatory bodies for the programmes run by the institution. Any other documents as deemed necessary by the institution / Peer Team.

6. Give adequate publicity about the visit of the Peer Team to the teachers, students and

administrative staff.

7. It is preferable to have the Peer Team visit the institution on regular working days.


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8. Provide all the departments with the time-schedule of the visits. During the visit, each Head of the Department shall make a Power-Point Presentation for 10-15 minutes ,the highlights/ achievements of the concerned department/s during the general meeting of all the academic heads.

9. Orient the departments on the purpose of the Peer Team visit. The team would be

visiting the institution after a thorough study and analysis of the AAAR provided by the institution. The purpose of the visit is to validate the claims of the institution as detailed in its AAA Report, through interactions, inferences and checking relevant documents. Further, the Peer Team will look for evidences, to understand the “collective impact” of the faculty and the institutional ambience, on the educational experience and outcome of the students.

III. During the Visit :

1. The Institutional Coordinator is responsible for the coordination of the on-campus visit. Changes in the schedule, if any, are to be made in consultation with the KCG Officer /Member Coordinator/ Chairman of the Peer team.

2. To facilitate free communication, it is requested, to avoid the presence of the Head of the Institution/ faculty members/ management representatives, during the Peer Team interactions with students, parents, alumni, and other stakeholders. However, should any of these representatives be alumni of the institution, they may participate as members of the alumni.

3. It is requested that only the Principal or designated Institutional Coordinator guides the

team during the visit to the departments/ facilities.

4. All ceremonial activities should be replaced by introduction of the basic objectives of the visit and brief introduction of the matters. It should not exceed 15 min.

5. All the heads of departments/ units may be directed to cooperate with the visiting team, to adhere to the time-schedule. Faculty interactions in the departments may be participatory in nature.

6. The departments may submit additional documents (if any) to the Peer Team.

7. For interactions with students, about 30-40 students may be randomly drawn, to have representatives from different faculties, different socio-economic strata, and levels of study. It must also include representatives of NCC, NSS and various Co-curricular Clubs and Associations of the institution. All arrangements may be made for facilitating quick interactions.


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8. The institution may arrange working lunch for the Peer Team at the institution itself. It is requested to avoid garlanding, serving of refreshments and snacks in all the departments.

9. Limit the number of photographs of the team’s visit to various locations. Video shooting of the visit shall be avoided.

IV. On the last day of the Visit :

1. Organization of an Exit meeting (Maximum time 30 Minutes)

1. Welcome by the Head of the Institution 2. Remarks by the Chairperson of the Peer Team 3. Handing over of the Peer Team Report (PTR) to The Principal 4. Vote of Thanks.

2. Arrange for the schedule of the exit meeting in consultation with the Chairperson of The Peer Team /Member Coordinator, after the completion of the Peer Team Report (PTR). This meeting shall be addressed only by the Chairperson of the Peer Team. The purpose of the ‘Exit meet’is to share the Peer Team’s perceptions and general observations about the institution, without disclosing the institutional point/grade. This is not an interactive session. A representative group of management, faculty, (Steering Committee members, Heads of Departments and others), students, parents and alumni may be invited. Press coverage of the Exit Meeting is to be strictly avoided.

3. TA of the Peer Team members and the KCG Official will be taken care of by KCG.

V. Press Release :

1.The institution may at its own discretion issue a press release about the Peer Team Visit to the institution and any reference to KCG should be of a general nature only. The PTR should not be shared with the press till the results are officially announced by KCG.

VI. Other Matters :

1. A copy of any additional document/s provided to the Peer team, during the course of the visit, may be mailed to the KCG Coordinator, under a covering letter from the Head of the institution.

2. Send a few photographs and media coverage (press clippings) of the Peer Team Visit, for KCG records. Kindly indicate the name of the institution and the visit dates on the reverse of the photographs.


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3. The Head of the institution is required to submit a brief report to KCG, on the institution’s experience and feedback on the process and procedures adopted during the Peer Team visit. This Report should reach the KCG Office, not later than ten days after the completion of the ‘on site’ visit. (See Annexure- 1)

4. KCG has a provision for appeals, should institutions be aggrieved regarding the assessment process or its outcome or any other related issue.

5. KCG encourages the assessee institution/s to use the electronic mode more extensively, to interact with the Director/Academic staff, on any issue related to the Peer Team visit.

6. KCG invites Institution/s to visit its website (www.kcg-edu.org), for updates on its quality initiatives.

VII. Code of Conduct and Ethical Standards :

The institution shall refrain from presenting gifts (in kind or in any other form), to the peer team members or extend overt hospitality, other than what is permissible as per KCG norms. It shall also refrain from offering any kind of hospitality for the family of the Peer Team members.

Once the visit is over, the institution shall not encourage subsequent contact with the peer team members regarding the Academic and Administrative Audit (AAA) process and outcome. Any related queries should be directed only to the KCG Office.

The institution shall also refrain from offering any kind of consultancy services and/or jobs to the peer team members for at least one year after the declaration of the Accreditation results by KCG. However , Academic assignments may be given.

The institutional authority, is required to submit a duly signed certification for having adhered to the Code of Conduct and Maintenance of Ethical Standards (See Annexure-2)

Annexures 1 and 2 shall be submitted to KCG not later than ten days of the

Peer Team Visit to the Institution.


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Annexure-1

Format for the Feedback on the Peer Team from

the Head of the Institution

Name of the Institution:

Address:

1. About the PeerTeam:

2.About the organization of Peer Team Visit:

3.About the Process of Assessment:

4.Any other:

Date:

Signature of the Head of the Institution with seal


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Annexure-2

DECLARATION

Adherence to the Code of Conduct and Ethical Standards

Name of the Institution:

Declaration by the Head of the Institution:

Certified that the institution or its management has not offered any gifts (in kind or in any other form), to any of the Peer Team members or their representatives, before, during or soon after the Assessment and Accreditation visit to the institution.

Certified that no hospitality was provided to the family members of any of the Peer Team members.

Certified that no paid consultancy/job/assignment shall be offered to any peer team member for a period of one year after the declaration of the accreditation status of the institution, by the KCG.

Place:

Date:

Signature of the Head of the Institution with office seal