NBA Accreditation and Teaching-Learning in Engineering (NATE)

N J Rao and K Rajanikanth

Module 3: Instruction and Accreditation

Week 12: NBA Criteria 4 to 10 Key Words: Criterion 6, Criterion 7, Criterion 8, Criterion 9, and

20
Criterion 10)

M3 U17: Criterion 6: Facilities and Technical Support

Recap
 Understood SAR Criterion 5 that deals with Faculty Information and Contributions.

20
M3 U17: Outcome
 Understand the SAR requirements related to Facilities and Technical Support. (Criterion 6 of SAR)

Criterion 6: Facilities and Technical Support

 Criterion 6 is concerned with laboratories to run the program-specific curriculum and technical
support staff.

EL
 The sub-criteria, the allocation of marks, and the required exhibits differ marginally between Tier
1 and Tier II institutes. However, the total marks are 80 in both the cases.

Sub-Criteria and Allocation of Marks

Tier I Institute:
PT
Sub-Criterion Tier I

6.1 Adequate and well-equipped laboratories, and technical manpower 40

6.2 Laboratories: Maintenance and overall ambience 10

N

6.3 Safety measures in laboratories 10

6.4 Project laboratory/Facilities 20

-

TOTAL 80

Tier II Institute:

Sub-Criterion Tier II
E

6.1 Adequate and well-equipped laboratories, and technical manpower 30

AT

6.2 Additional Facilities created for improving the quality of learning 25

experience in Laboratories.

6.3 Laboratories: Maintenance and overall ambience 10

N

6.4 Project laboratory/Facilities 05

6.5 Safety measures in laboratories 10

TOTAL 80

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 1

 
 Tier I and Tier II Institutes: Comparison
 Total of 80 marks in both the cases. Marks for sub-criteria are different.
 Tier I Institute: 4 sub-criteria; Tier II Institute: 5 sub-criteria.
 Sub-Criterion 6.1 is same for both types of Institutes.
 Sub-Criterion 6.2 - “Additional Facilities created for improving the quality of learning experience

20
in Laboratories” Tier II institute is not present for Tier I Institute.
 The other sub-criteria, though numbered differently, are same for both types of Institutes. These
are:

o Laboratories: Maintenance and Overall Ambience

20
o Safety Measures in Laboratories
o Project Laboratory/Facilities

Sub-Criterion 6.1

Adequate and well-equipped laboratories, and technical manpower.

 Requirements are common to both Tier I and Tier II Institutes though evaluation guidelines and

EL
allocation of marks are different.
 Evaluation Guidelines for Tier I Institute:

A. Adequate well-equipped laboratories to run all the program-specific curriculum (25 Marks)
B. Availability of adequate and qualified technical supporting staff (15 Marks)
PT
 Evaluation Guidelines for Tier II Institute:
A. Adequate well-equipped laboratories to run all the program-specific curriculum (20 Marks)
B. Availability of adequate technical supporting staff (5 Marks)
C. Availability of qualified technical supporting staff (5 Marks)
N

 Guidelines B and C of Tier II Institute together appear as Guideline B of Tier I Institute!

 The data required is same in both cases and evaluation guidelines are effectively same.
The data provided is evaluated by the visiting team based on their perception.
Data to be provided (for both Tier 1 and Tier II institute):
-

Name of No. of Name of Weekly Technical Manpower Support

Sr.
the Students the utilization Name of Designation Qualification
No.
Laboratory per Setup Important status (all the the
E

(Batch Equipment courses for Technical

size) which the lab is Staff
AT

utilized)

1.

N.
N

Good Practices:
 A chart showing the utilization can be maintained in each lab.
 When the Lab is being shared by different departments:

o Authority for allocation of Lab resources and Support Staff must be shown clearly.

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 2

 
 o It must be ensured that students of all the programs who are using the Lab are happy with
the services provided in the Lab. (It may be necessary to get feedback from the students to
ensure this)
o Clear policy must be established for providing additional slots when required.

Additional Facilities Created for Improving the Quality of Learning Experience in Laboratories

20
 This sub-criterion is relevant for Tier II Institute only.
 It is listed as Sub-Criterion 6.2.
 Data to be provided:

Faculty Details Reason(s) for Utilization Areas in which Students are expected Relev

20
Sr.
Name Creating Facility to have enhanced learning POs/P
No.

1.

N.

EL
Additional Facilities Created for Improving the Quality of Learning Experience in Laboratories(2)
 Evaluation Guidelines:
A. Availability and relevance of additional facilities (10 Marks)
B. Utilization of facilities and effectiveness (10 Marks)
C. Relevance to POs and PSOs (5 Marks)
PT
 Supporting documents must be available.
 Avoid listing routine equipment like Projectors as additional facilities!
 Impact analysis must be done. Actions must be taken based on such analysis. Supporting
documents must be maintained.
N

 Records of sharing these facilities must be maintained, if relevant.

Laboratories: Maintenance and Overall Ambience

 This is listed as Sub-Criterion 6.2 for Tier I Institute and as Sub-Criterion 6.3 for Tier II Institute.
-

 Evaluation is based on the perception of the Visiting Team when they inspect the facilities.
 Good Practices:
o Implement preventive maintenance where required. Have policy documents and
E

implementation records.
o Calibrate the equipment where necessary. Have policy documents and implementation
AT

records.
o Maintenance records must be up to date.
o Implement the necessary inventory policies for the components/materials.

Safety Measures in Laboratories

 This is listed as Sub-Criterion 6.3 for Tier I Institute and as Sub-Criterion 6.5 for Tier II Institute.
N

 Evaluation is based on the perception of the Visiting Team when they inspect the facilities.
 Good Practices:
o Ensure that proper safety instructions are prominently displayed at appropriate places in the
laboratory.

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 3

 
 o Laboratories like High Voltage Laboratory need special safety measures. Ensure that relevant
safety standards are followed. Maintain necessary records.
o Ensure proper maintenance of safety equipment like Fire Extinguishers. Have necessary
records.
o Ensure that proper standards are followed while handling / storing hazardous chemicals,

20
explosive substances etc.
o Ensure that First-Aid Kits are in proper condition.
o Have a Standard Operating Procedure for emergencies.

 Based on specific local context, implement any other safety measures in the laboratories as

20
required.

Project Laboratory/Facilities

 This is listed as Sub-Criterion 6.4 for both Tier I and Tier II Institutes.
 Evaluation is based on the perception of the Visiting Team when they inspect the facilities.
 Good Practices:

EL
o Ensure that a separate laboratory is provided for project work. Do not combine it with Regular
Laboratory / Research Laboratory.
o Maintain a logbook of utilization of the facility.
o Provide flexible access timings if feasible.
PT
o Allocate necessary budget for the maintenance and upgradation.

M3 U18

 Understand the SAR requirements related to Continuous Improvement. (Criterion 7 of SAR)

N
-
E
AT
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 4

 
 M3 U18: Continuous Improvement
Recap
 Understood the SAR requirements related to Facilities and Technical Support. (Criterion 6 of SAR)

M3 U18: Outcome

20
 Understand the SAR requirements related to Continuous Improvement. (Criterion 7 of SAR)

Criterion 7: Continuous Improvement

 Criterion 7 is concerned with Continuous Improvement.

 The sub-criteria are same for both Tier 1 and Tier II institutes. However, the allocations of marks

20
are different.
 There are 4 sub-criteria.
 Total Marks: 75 for Tier I Institute; 50 for Tier II Institute

Sub-Criteria and Allocation of Marks

Tier I Tier II
Sub-Criterion

EL
7.1 Actions taken based on the results of evaluation of each of the POs and PSOs 30 20

7.2 Academic Audit and actions taken during the period of Assessment 15 10
PT
7.3 Improvement in Placement, Higher Studies and Entrepreneurship 10 10

7.4 Improvement in the quality of students admitted to the program 20 10

TOTAL 75 50
N

Sub-Criterion 7.1

Actions taken based on the results of evaluation of each of the POs and PSOs.
 Evaluation Guidelines:
A. Documentary evidences of POs and PSOs attainment levels 15 Marks: Tier I; 5 Marks: Tier II
-

B. Identification of gaps/shortfalls 5 Marks for both Tier I and Tier II Institutes.

C. Plan of action to bridge the gap and its Implementation 10 Marks for both Tier I and Tier II
Institutes.
E

A. Documentary evidences of POs and PSOs attainment levels

o Target levels and attainment levels of POs and PSOs are already recorded under Criterion 3.
AT

B. Identification of gaps/shortfalls
o Gaps must be identified and analyzed to determine plans for improvements in the attainment
levels. We need to analyze the attainment gaps of COs also for this purpose.

C. Plan of action to bridge the gap and its Implementation

N

o Improvement plans must be documented for each PO and PSO.

For each PO / PSO:

 State the PO / PSO
 Indicate the target level, attainment level.

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 5

 
  Record your observations about the attainment gaps. (The gaps could be positive or negative.)
 Record the action plans. (Guidelines regarding the action plans have already been discussed in
Module 1)
 The above information is to be provided in the format specified in the SAR.
Academic Audit and actions taken during the period of Assessment.

20
 The Visiting Team awards marks based on the assessment and evaluation of the Academic Audit
assessment criteria, frequency, conduct mechanism, action plan based on audit, implementation
and effectiveness.
 IQAC must develop an Academic Audit Process document in consultation with all the stake

20
holders.
 The process must include the objectives of the audit, unit of audit, assessment criteria, frequency
of audit, composition of the audit teams, guidelines for the conduct of the audit, format for
reporting the audit results and so on.
 Records of the academic audit must be maintained.
 Departments must analyze the audit reports, plan actions based on the analysis, and implement

EL
the actions. Records of all these activities must be maintained.
 Frequency of audit is typically once every semester.
 The audit team is generally composed of internal faculty only. However, external members are
included in some institutes in an annual audit.
PT
 Audit must be conducted in the spirit of mutual respect and trust.
 Audit must be seen as the process to improve the quality; not as a mechanism for just finding
faults.
 Assessments during the audit typically address the following academic issues:
N

o COs of all the courses, their target levels, attainment levels, and action plans based on gap
analysis.
o CO – PO/PSO mappings.
o Target levels, attainment levels, gap analysis, and consequent action plans with respect to
-

POs and PSOs.

o Quality of all assessment instruments including internal tests, quizzes, assignments; and end
semester examinations for Tier I Institutes.
E

o Process for validation of assessment instruments.

o Rubrics for Seminars, Mini Projects, and Main Project.
AT

o Conduct of Laboratories.
o Actions implemented by the department based on the report of the previous academic audit.
o ………

 The above list is for illustration purpose only. The specific details of the process may vary from
institute to institute.
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 6

 
 Sub-Criterion 7.3

Improvement in Placement, Higher Studies and Entrepreneurship

 Evaluation Guidelines:
A. Improvement in Placement numbers, quality, core hiring industry and pay packages. (5 Marks.
Common to both types of Institutes.)

20
B. Improvement in Higher Studies admissions for pursuing PhD. in premier institutions (3 Marks.
Common to both types of Institutes.)
C. Improvement in number of Entrepreneurs (2 Marks. Common to both types of Institutes.)
(The required data is already provided under sub-criterion 4.5. Marks are given proportionately

20
considering numbers in the base year CAYm3)

Sub-Criterion 7.4

Improvement in the quality of students admitted to the program.

 Evaluation Guidelines: Assessment is based on improvement in terms of ranks/score in
qualifying state level/national level entrances tests, percentage Physics, Chemistry and

EL
Mathematics marks in 12th Standard and percentage marks of the lateral entry students.
 The required data is to be provided in the format specified in the SAR.
 Documentary evidence to support the data provided must be maintained.

M3 U19
PT
 Understand the SAR requirements related to First Year Academics. (Criterion 8 of SAR)
N
-
E
AT
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 7

 
 M3 U19: Criterion 8 First Year Academics
Recap

 Understood the processes and methods of presenting continuous improvement in

teaching-learning (Criterion 7 of SAR)

20
M3 U19 Outcome

 Understand the indicators for First-Year Academics (Criterion 8)

First Year Academics

 First year academics, being mostly common across all Departments, a separate Department/Unit

20
is created in most of the institutes to coordinate the conduct of first year courses.
 Some of the processes are likely to be different from those of the Departments as first year
courses will have several sections. Hence a separate criterion in SAR.
 The Department needs to be concerned with the performance of students, admitted to their
Departments, in the first year as it is the Department that needs to get accredited and not the

EL
Department/Unit responsible for first year academics.

Criterion 8: First Year Academics (50 –Tier II & Tier I)

Same weightage for Tier II and Tier I institutions.

8.1 First Year Student- Faculty Ratio (FYSFR) 05
PT
8.2 Qualification of Faculty Teaching First Year Common Courses 05
8.3 First Year Academic Performance 10
8.4 Attainment of Course Outcomes of first year courses 10
8.5 Attainment of Program Outcomes of all first-year courses 20
N

Sub-Criterion 8.1 First Year Student-Faculty Ratio (FYSFR) (05)

Evaluation Guidelines:
 For each year of assessment = (5 × 20)/ FYSFR
 (Limited to Max. 5) Average of Assessment of data in CAY, CAYm1 and CAYm2
-

Note: If FYSFR is >25, then assessment is equal to zero.

Exhibits/Context to be Observed/Assessed:
E

 No. of Regular faculty calculation considering Regular faculty definition and fractional load;
Faculty appointment letters; Salary statements
 No.-of-students calculation as mentioned in the SAR
AT

Sub-Criterion 8.2 Qualification of Faculty Teaching First Year Common Courses (05)

Evaluation Guidelines:
A. Assessment of faculty qualification (5x + 3y)/RF
B. Average of Assessment of previous three academic years including current academic year.
N

where, x – Number of PhD holders; y – Number of Masters degree holders RF – Required number of
faculty (Total number of First-Year students/ 20)
Exhibits/Context to be Observed/Assessed:
 Documentary evidence – Faculty Qualification

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 8

 
 Sub-Criterion 8.3 First Year Academic Performance (10)

 Academic Performance = [(Mean of 1st Year Grade Point Average of all successful Students on a
10-point scale) or (Mean of the percentage of marks in First Year of all successful students/10)]
x (successful students/number of students appeared in the examination)
Successful students are those who are permitted to proceed to the Second year.

20
Exhibits/Context to be Observed/Assessed:
 Data to be verified for at least one of the assessment years

Sub-Criterion 8.4 Attainment of Course Outcomes of first year courses (10)

8.4.1 Describe the assessment processes used to gather the data upon which the evaluation of

20
Course Outcomes of first year is based. (05)
Evaluation Guidelines:
A. List of assessment processes (1)
B. The relevance of assessment tools used (4)
Exhibits/Context to be Observed/Assessed:

EL
A. & B. Direct and indirect assessment(if applicable), tools & processes; effective compliance; direct
assessment methodology, indirect assessment formats-collection-analysis; decision making
Subjective evaluation by the visiting committee

Sub-Criterion 8.4 Attainment of Course Outcomes of first year courses (10) (2)
PT
8.4.2 Record the attainment of Course Outcomes of all first-year courses (05)
Evaluation Guidelines:
A. Verify the records as per the benchmark set for the courses
Exhibits/Context to be Observed/Assessed:
N

A. Documentary evidence – Attainment for at least 3 courses

Subjective evaluation by the visiting committee

Sub-Criterion 8.5 Attainment of Program Outcomes of all first-year courses (20)

8.5.1 Indicate results of evaluation of each relevant PO/PSO (15)

-

Evaluation Guidelines:
A. Process of computing POs/PSOs attainment level from the COs of related first year courses (5)
E

B. Verification of documents validating the above process (10)

Exhibits/Context to be Observed/Assessed:
A. & B. Documentary evidence for each relevant PO/PSO
AT

Subjective evaluation by the visiting committee

Sub-Criterion 8.5 Attainment of Program Outcomes of all first-year courses (20) (2)

8.5.2 Actions taken based on the results of evaluation of relevant POs /PSOs (5)
Evaluation Guidelines:
N

A. Appropriate actions taken (5)

Exhibits/Context to be Observed/Assessed:
A. Documentary evidence for each relevant PO/PSO
Subjective evaluation by the visiting committee

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 9

 
 M3 U20 Outcome

 Understand the indicators for Student Support Systems (Criterion 9)

20
20
EL
PT
N
-
E
AT
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 10

 
 M3 U20: Student Support Systems
Recap

 Understood the SAR requirements related to First Year Academics. (Criterion 8 of SAR)

M3 U20: Outcome

20
 Understand the SAR requirements related to Student Support Systems. (Criterion 9 of SAR)

Criterion 9: Student Support Systems

 Criterion 9 is concerned with Student Support Systems.

 The sub-criteria, the required processes, the allocation of marks, and the required exhibits are all

20
same for both Tier 1 and Tier II institutes.

Sub-Criteria and Allocation of Marks

Marks
Sub-Criteria

9.1 Mentoring system to help at individual level 05

EL
9.2 Feedback analysis and reward /corrective measures taken, if any 10

9.3 Feedback on facilities 5

9.4 Self - Learning 5

PT
9.5 Career Guidance, Training, Placement 10

9.6 Entrepreneurship Cell 5

9.7 Co-curricular and Extracurricular Activities 10

N

TOTAL 50

Sub-Criterion 9.1
-

Mentoring system to help at individual level.

 Evaluation Guidelines:
Details of the mentoring system that has been developed for the students for various purposes and
E

also state the efficacy of such system.

 Exhibits/Context to be Observed/Assessed:
AT

Mentoring system terms of reference; implementation; effectiveness (also to be verified during

interaction with the students)
 A written document describing the details of the mentoring system process must be available.
IQAC can develop this document in consultation with stake holders.
 The process document may include the following details:
N

o Number of students per mentor.

o Frequency of mentoring sessions.
o Scope of mentoring. (Professional guidance / career advancement / course work – specific /
laboratory – specific / personal. Most of the institutes include all of these aspects in the scope

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 11

 
 of mentoring; Identifying weak / bright students is also generally included in the scope.)
o Problem escalation procedure. (The need may arise when the mentor is unable to resolve the
problem of the student or when several students report same problem / similar problems.)
o Format of the records of mentoring sessions.

 It is desirable to maintain a record of specific case studies which illustrate the efficacy of the

20
mentoring system.
 It is a good practice to explain the scope and purpose of the mentoring system to the new
students / faculty.

Sub-Criterion 9.2

20
Feedback analysis and reward /corrective measures taken, if any.
 Evaluation Guidelines:
A. Methodology being followed for analysis of feedback and its effectiveness (5 Marks)
B. Record of corrective measures taken (5 Marks)
 Exhibits/Context to be Observed/Assessed:

EL
A. Feedback questions, collection process, analysis, actions taken, effectiveness
 We discussed the collection of student feedback, analysis, and corrective actions in Module 2.
 Feedback must be collected for all courses.
 The process document must include details of feedback format, questions in the feedback form,
PT
computation of faculty evaluation indices etc.
 Maintain records of:

o Number of students participating in the surveys. (Average percentage also can be

computed.)
N

o Corrective measures taken and their effectiveness.

o Values of all faculty evaluation indices over the years.

Sub-Criterion 9.3

Feedback on facilities
-

 Evaluation Guidelines:
A. Feedback collection, analysis and corrective action.
E

 Institute must collect student feedback regarding all the facilities!

 Facilities include not only Laboratories but also On-Campus facilities like Drinking Water Systems,
Parking facilities, Canteen etc. Feedback may be obtained regarding facilities to support
AT

sports/cultural activities also.

 IQAC may design a suitable form for collecting the feedback.
 Feedback must be collected electronically.
 Some institutes ask the students to rate their satisfaction with a facility and also the importance
N

of that facility in their perception. The difference between perceived importance and satisfaction
can be used to prioritize the action plan for improvement regarding that facility.
 Institutes must analyze the feedback data, initiate appropriate actions, and measure the
effectiveness of the actions taken. Records of all these activities must be maintained.

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 12

 
 Sub-Criterion 9.4

Self – Learning
 Evaluation Guidelines:
A. Scope for self-learning (2 Marks)
B. The institution needs to specify the facilities, materials for learning beyond syllabus, Webinars,

20
Podcast, MOOCs etc. and demonstrate its effective utilization (3 Marks)
Good Practices:
 Establish an e-Learning center with adequate number of Computer Systems and Internet with
good bandwidth.

20
 Procure, upgrade, and maintain learning resources including material from NPTEL / Swayam etc
(Hard Copies / Soft Copies), beyond those required as per the curriculum.
 Implement suitable mechanisms for disseminating widely and periodically information regarding
learning resources available.
 Encourage the use of these learning resources.
 Maintain records of utilization.

EL
Sub-Criterion 9.5

Career Guidance, Training, Placement.

 Evaluation Guidelines:
PT
A. Availability of career guidance facilities (2 Marks)
B. Counseling for higher studies (GATE/GRE, GMAT, etc.) (2 Marks)
C. Pre-placement training (3 Marks)
D. Placement process and support (3 Marks)
 Exhibits/Context to be Observed/Assessed:
N

Availability, implementation, effectiveness (also to be verified during interaction with the students)
 All most all Institutes have a Placement and Training Department (or an equivalent department/
Cell). Provide adequate financial resources and human resources for effective and efficient
functioning of this department.
-

 Plan, schedule, implement, and record career guidance sessions, counseling sessions for higher
studies. Adequate information must be easily available regarding career opportunities and
E

opportunities for higher studies.

 Plan, schedule, implement, and record pre-placement training including training in Group
Discussions, Facing the interviews etc.
AT

 The department must have a written policy regarding placement process.

 All the records must be maintained properly.

Sub-Criterion 9.6

Entrepreneurship Cell.
N

 Evaluation Guidelines:
A. Entrepreneurship initiatives (3 Marks)
B. Data on students benefitted (2 Marks)
 Exhibits/Context to be Observed/Assessed:

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 13

 
 Availability, implementation, effectiveness (also to be verified during interaction with the students)
Good Practices:
 A clear written policy regarding promoting entrepreneurship activities must be established. IQAC
can develop such a document in consultation with the stake holders.
 Adequate budget must be provided to support the activities of the EDC (Entrepreneurship

20
Development Cell ).
 EDC must plan and implement programs to promote entrepreneurship awareness and encourage
aspiring students. The programs could include Special lectures by experts from Industry, Finance
sector etc.
 Written procedures must be available describing the processes involved in providing assistance to

20
the students who wish to become entrepreneurs.

o Details to be provided by the aspiring student and the format in which she has to submit the
proposal.
o Preliminary scrutiny and guidance in refining the proposal.
o Extent and type of assistance provided to the student. (Financial assistance, Provision of

EL
laboratory facilities, Technical advice etc)
o Duration for which the assistance will be provided.
o Periodic review of the progress of the student.
o Expectations from successful students.
PT
o ... … …

 Records of full details of success stories must be maintained.

 Periodic review of the functioning and effectiveness of EDC must be conducted.
 Suggestions for improvements must be sought and implemented in a planned way.
N

 All implementation records must be maintained.

Sub-Criterion 9.7

Co-curricular and Extracurricular Activities.

-

 Evaluation Guidelines:
A. Availability of sports and cultural facilities (3 Marks)
B. NCC, NSS and other clubs (3 Marks)
E

C. Annual students’ activities (4 Marks)

 Exhibits/Context to be Observed/Assessed:
AT

Availability, implementation, effectiveness (also to be verified during interaction with the students)
Good Practices:
 Adequate budget must be allocated to ensure that the Sports facilities are adequate in quantity
and quality and are maintained well.
 Establish and maintain facilities for cultural activities. Facilities may include good quality
N

auditoriums (indoor / outdoor), spaces for clubs like Film Club, Dramatics Club etc.
 Promote NCC / NSS activities. Provide adequate budgetary support.
 Conduct annual sports events / cultural events. Encourage students to assume leadership roles.
(Faculty can act as mentors.)

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 14

 
  Maintain proper records of all the activities.

Exercises

 Describe the Mentoring System implemented in your Institution.

Thank you for sharing the results of the exercises at nate.iiscta@gmail.com

20
M3 U21

 Understand the SAR requirements related to Governance, Institutional Support and Financial
Resources. (Criterion 10 of SAR)

20
EL
PT
N
-
E
AT
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 15

 
 M3 U21: Criterion 10: Governance, Institutional Support and Financial Resources

Recap

 Understood the indicators for Student Support Systems (Criterion 9)

M3 U21 Outcome

20
 Understand the indicators for Governance, Institutional Support and Financial Resources
(Criterion 10)

Governance, Institutional Support and Financial Resources

20
 These three determine the quality of Instructional Situation.

 As mentioned in M2 U16, the quality of Instructional Situation in an institute determines how

comfortable and motivated the students feel about learning, and the faculty feel about facilitating
learning.

 The responsiveness to the needs and expectations of stakeholders is determined by these three

EL
dimensions.

 But the challenge to the management, especially of self-financing institutions, is to offer a good
instructional situation under financial constraints.

Criterion 10. Governance, Institutional Support and Financial Resources

PT
120 Marks for both Tier II and Tier I Institutions

Tier II Tier I
N

10.1. Organization, Governance and Transparency 40 55

10.2. Budget Allocation, Utilization, and Public Accounting at Institute level 30 15

10.3. Program Specific Budget Allocation, Utilization 30 30

-

10.4. Library and Internet 20 20

E

Total 120 120

AT

Sub-Criterion10.1 - Organization, Governance and Transparency

10.1.1 State the Vision and Mission of the Institute (5 – TII and TI)

Evaluation Guidelines:

A. Availability of the Vision & Mission statements of the Institute (2)

N

B. Appropriateness/Relevance of the Statements (3)

Exhibits/Context to be Observed/Assessed:

A. Institute Vision and Mission statements: Availability of statements on Institute website;

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 16

 
 Availability at Central facilities such as Library, Computer Center, Principal Chamber etc.
Availability of one set of statements in each of the departments; Availability in Institute level
documents

B. Correctness from definition perspective

20
10.1.2 Governing body, administrative setup, functions of various bodies, service rules procedures,
recruitment and promotional policies. (10 –TII) (10.1.3 - 10 – TI)

Evaluation Guidelines:

A. List the Governing Body Composition, senate, and all other academic and administrative bodies;

20
their memberships, functions, and responsibilities; frequency of the meetings; participation
details of external members and attendance therein (4)

A formal document that shows the composition of Governing Body and all other academic and
administrative bodies, roles and responsibilities, how frequently they need to meet should be
made available against which the visiting committee can review

EL
B. The published service rules, policies and procedures with year of publication (3)

Should be made available on the web site clearly indicating the year of publication.

C. Minutes of the meetings and action-taken reports (3)

10.1.2 Availability of the Institutional Strategic Plan and its Effective Implementation and Monitoring
PT
(25 – TI)

Evaluation Guidelines:

Availability of a 5-year Strategic Plan.

N

 It should set goals for improvement of instructional situation, goals for interacting with the
industry, goals for embedding itself into its context, plans for improving the infrastructure, and
motivating the faculty and improving their competencies.
 The process document giving the details of how the plan is to be prepared should be made
-

available.
 The plan should be available in the minutes of one meeting of the Governing Body.
 The strategic plan should be known and owned by all the stakeholders.
E

10.1.3 Decentralization in working and grievance redressal mechanism (10 -TII) (10.1.4 - 5 – TI)
AT

Decentralization is the best way to make faculty and staff develop ownership.

Evaluation Guidelines:
A. List the names of the faculty members who have been delegated powers for taking administrative
decisions (1 – T11; 1 – T1)
B. Specify the mechanism and composition of grievance redressal cell (2 – T11; 1 – T1)
N

C. Action taken report as per ‘B’ above (7 – T11; 3 – T1)

Some case studies should be presented to demonstrate the actual implementation of grievance
redressal

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 17

 
 Exhibits/Context to be Observed/Assessed:

A., B. & C. Documentary evidence

10.1.4 Delegation of financial powers (10 –TII) (10.1.5 - 5-TI)

Evaluation Guidelines

20
A. Financial powers delegated to the Principal, Heads of Departments and relevant in-charges (3 –
T11; 2 – T1)

The circular from the appropriate authority clearly indicating the delegation of powers is to be
made available.

20
B. Demonstrate the utilization of financial powers for each of the assessment years (7 -T11; 3 – T1)

Financial power would mean the ability to make payments directly to the vendor through cheques, or
direct instruction to the accounts officer to make the payment without additional endorsements. The
Department should be able to demonstrate this through documentary evidence.

10.1.4 Delegation of financial powers (10 –TII) (10.1.5, 5-TI)

EL
Exhibits/Context to be Observed/Assessed:

A. Circulars notifying financial powers

B. Documentary evidence to exhibit utilization at each level during assessment years

PT
10.1.5 Transparency and availability of correct/unambiguous information in public domain (5 – TII)
(10.1.6 - 5-TI)

Evaluation Guidelines:
N

A. Information on the policies, rules, processes is to be made available on the web site (2)

B. Dissemination of the information to students, faculty and staff (3)

Exhibits/Context to be Observed/Assessed:
-

A. & B. Website and Documentary evidence

Sub-Criterion 10.2 Budget Allocation, Utilization, and Public Accounting at Institute level
E

(30 Marks – TII & 15 Marks – T1)

10.2.1. Adequacy of Budget allocation (10 – TII & 5 – T1)

AT

Evaluation Guidelines:

A. Quantum of budget allocation for three years (5 – TII & 3 – TI)

B. Justification of budget allocated for three years (5 – TII & 2 – TI)

N

Exhibits/Context to be Observed/Assessed:

A. Budget formulation, finalization and approval process

Document indicating the budget proposal made by the HODs to the Principal, and the document
indicating the final allocation of budget by the Principal to the Departments

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 18

 
 B. Requirement – allocation –adequacy – justification thereof

The budget should not include inappropriate provisions for some items.

Large items should have justifications

10.2.2 Utilization of allocated funds (15 – TII & 5 – T1)

20
Evaluation Guidelines:

A. Budget utilization for three years (15 – TII & 5 – TI)

Exhibits/Context to be Observed/Assessed:

20
A. Balance sheet; effective utilization; random verification for at least two of the three assessment
years.

A document presenting an analysis of the deviations in allocation and utilization, if any, should be
presented.

10.2.3 Availability of the audited statements on the institute’s website (5 – TII & 5 – T1)

EL
Evaluation Guidelines:

A. Availability of Audited statements on the website (5 – TII & 5 – T1)

Exhibits/Context to be Observed/Assessed:
PT
A. Website

10.3.1 Adequacy of budget allocation (10)

Evaluation Guidelines:
N

A. Quantum of budget allocation for three years (5)

B. Justification of budget allocated for three years (5)

The HOD should formally prepare the program specific budget proposal to the Principal/
Management. A formal response from the Management on the actual sanction of the budget to
-

the Program should be recorded.

10.3.1 Adequacy of budget allocation (10)

E

Exhibits/Context to be Observed/Assessed:

A. Budget formulation, finalization and approval process

AT

B. Requirement – allocation –adequacy – justification thereof

To be evaluated in consultation with the Program Experts

10.3.2 Utilization of allocated funds (20)

N

Evaluation Guidelines:
A. Budget utilization for three years (20)

Exhibits/Context to be Observed/Assessed:
A. Balance sheet; effective utilization; random verification for at least two of the three assessment years

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 19

 
 A document presenting an analysis of the deviations in allocation and utilization, if any, should be
presented.

To be evaluated in consultation with the Program Experts

Sub-Criterion10.4 Library and Internet (20 – TII & T1)

20
10.4.1 Quality of learning resources (hard/soft) (10)

Evaluation Guidelines:
A. Availability of relevant learning resources including e-resources and Digital Library (7)
B. Accessibility to students (3)

20
Exhibits/Context to be Observed/Assessed:

 Availability; Adequacy; Effectiveness

Also to be verified during interactions with the faculty and students

10.4.2 Internet (10)

EL
Evaluation Guidelines:
A. Available bandwidth (4)
B. Wi Fi availability (2)
C. Internet access in labs, classrooms, library and offices of all Departments (2)
D. Security mechanism (2)
PT
The document on security mechanism should clearly indicate the hierarchy of decision making
and responding to the needs of users, the fire walls, the web sites that are blocked, and the
periodic and contingency review.
N

Exhibits/Context to be Observed/Assessed:

 Availability as per AICTE norms; Adequacy; Effectiveness

Also to be verified during interactions with the faculty and students

-

M3 U22 Outcome

 Understand, in summary, the role and importance of NBA Accreditation Process and how
E

designing and conducting the programs in Engineering can be done in the framework of OBE
and NBA.
AT
N

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 20

 
 M3 U22: In Summary

Recap

 Understood the indicators for Governance, Institutional Support and Financial Resources
(Criterion 10)

20
M3 U22 Outcome

 Understand a summary overview in retrospect of Accreditation, Outcome Based Education,

Course Design and Instruction in Engineering Programs in India

Course NATE

20
National Board of Accreditation recognizes
 the key role of faculty in facilitating good learning by students
 the need to conduct engineering programs to meet the expectations of the stakeholders

NATE was designed mainly to facilitate the teachers of institutions offering engineering programs
 to facilitate their students to become good engineers

EL
 to understand their role in getting their programs accredited by the NBA

Accreditation

 Accreditation is a process of quality assurance and improvement, whereby a program in an

PT
approved Institution is critically appraised to verify that the Institution or the program continues
to meet and/or exceed the Norms and Standards prescribed by the regulator from time to time.
 It is a kind of recognition which indicates that a program or Institution fulfils certain standards
and its role as a responsible social institution.

N

NBA accreditation process provides a framework for designing and conducting engineering
programs.
 Every teacher needs to participate in the accreditation process

Good Engineer
-

Characteristics of a good engineer considered important by the industries

 Have sound knowledge of engineering sciences and technologies.
E

 Ability to solve well defined and ill-defined problems.

 Have awareness of customers’ needs and market trends.
 Have an interest and awareness in all facets of engineering activities
AT

 Ability to work in a team.

 Ability to document, plan and communicate effectively.
 Willingness and ability to learn on the job.

Program Outcomes of Engineering Programs

N

 As the goal of engineering program is to educate students to become “good engineers” NBA
identified 12 Program Outcomes (POs) that need to be attained.
 It should be noted that some POs are not addressed at all by many programs, or inadequately

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 21

 
 even when addressed.
 It should be realized good attainment of all POs leads to good placements.
 An analysis on the levels of PO attainments and targets should lead to an action plan to improve
the attainment of POs.

Course Outcomes

20
 Courses constitute the dominant elements through which the POs and PSO are to be attained.
 Courses are described in terms of Course Outcomes (COs)
 Well written COs lead to good learning.
 Good COs can be written in the framework of Revised Bloom-Vincenti taxonomy of learning, and

20
Pierce-Gray taxonomy of affective and psychomotor domains.

Course Design

 Course design plays a crucial role in teaching and learning.

 A course can be conveniently designed in ADDIE framework.
 In the Analysis Phase, the COs are written using the four elements: Action, Knowledge,

EL
Conditions and Criteria. If needed some of the COs are elaborated into Competencies.
 In the Design Phase of ADDIE, Assessment Plans are made and, if possible, Test Item Banks are
created.
 In Development Phase instruction material is prepared for each instructional unit and learning
PT
material is selected/generated.
 Implement Phase requires careful documentation of the specific instance of course delivery.
 Evaluate Phase is used to close the quality loop at the course level.

Instruction
N

 Instruction should be planned and conducted to facilitate the students perform well in
assessment.
 There are many instructional methods that facilitate good learning.
-

 Direct Method of instruction is still the dominant method at present.

 Better learning can take place if the direct method is practiced using Merrill’s Principles of
Learning.
E

 Use of technology can greatly enhance the engagement of the students with the knowledge they
are expected to acquire.
AT

 Teachers can use other instructional methods like PrBL, PBL and Simulation selectively for some
instruction units.

Accreditation

 The main goal of an engineering program is to train students as good engineers.

N

 The teachers, through their activities, need to facilitate the students become good engineers.
Many things beside teaching courses need to be addressed by the teachers.
 Instructional Situation plays a dominant role in facilitating good learning.
 Improving and protecting the instructional situation also come as the responsibilities of teachers.

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 22

 
  The criteria of Accreditation provide the framework to which all teachers can and should relate to.

SAR Criteria – A Recap

Criteria Tier 1 Tier II

Criteria
No. Marks Marks

20
Program Level Criteria

1. Vision, Mission and Program Educational Objectives 50 60

2. Program Curriculum and Teaching-Learning Processes 100 120

3. Program Outcomes and Course Outcomes 175 120

20
4. Students’ Performance 100 150

5. Faculty Information and Contributions 200 200

6. Facilities and Technical Support 80 80

7. Continuous Improvement 75 50

Institute Level Criteria

EL
8. First Year Academics 50 50

9. Student Support Systems 50 50

10. Governance, Institutional Support, and Financial Resources 120 120

PT
Total 1000 1000

Sub-Criteria, Marks, Exhibits/Context

 Criteria 1, 2, 3, 7 and 8 are dominantly assessed qualitatively by the visiting team.

N

 The remaining criteria are mainly data based and hence proper documentary evidence needs to
be generated.
 Each Criterion has several sub-criteria.
 For each sub-criterion, certain Exhibits/Contexts are to be Observed / Assessed by the visiting
-

team.
 Department must have the required exhibits ready for assessment by the visiting team.
 The required exhibits must be properly indexed for easy retrieval.
E

Appeal to the Teachers

AT

 Write good course outcomes.

 Design your courses collaboratively in the ADDIE framework.
 Design good assessments and keep building Item Banks of your courses.
 Try to implement as many Merrill’s principles of Learning as possible.
 Always remember your goal is to train your students as good engineers and ensure good
N

placements.

Thank You for participation and wish you Happy Learning

NATE-Module 3-Week 12 N J Rao & K Rajanikanth 23