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Guidelines for UGC ASSITANCE for ASSESSMENT AND ACCREDITATION of Higher Education Institutions

(updated as on April 1 st , 2005)


An Autonomous Institution of the University Grants Commission
2/4, Dr. Rajkumar Road, P. O. Box. No. 1075, Rajajinagar, Bangalore - 560 010 India
Published by: National Assessment and Accreditation Council (NAAC) P.B. No. 1075, Rajajinagar Bangalore - 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

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

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

Printed at : Jwalamukhi Job Press No. 44/1, K.R. Road, Basavanagudi, Bangalore - 560 004. Ph : 080-26601064

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

Section II : Guidelines for institutions not recognized under 2(f) and 12(B) of the UGC Act and Self-financing institutions....................................7 Section III : Formats for use by the institutions (A, B, C, D & E)


Guidelines for ASSESSMENT AND ACCREDITATION of Higher Education Institutions by NAAC with UGC Assistance
To facilitate the UGC recognized institutions to undergo the assessment and accreditation process by NAAC and providing financial support for the purpose.

Operative Guidelines Section I : Guidelines for institutions recognized under section 2 (f) and 12 (B) of the UGC Act
1. The scheme is applicable to institutions submitting 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 will be eligible to receive financial assistance to undergo the accreditation process. 3. Henceforth, the payment of accreditation fee by institutions to NAAC is waived. 4. On submission of the Self-Study Report (SSR) to NAAC a team of peers will be constituted to visit the institution on mutually convenient dates ranging from 45 days to 180 days. 5. On the last day of the visit, the institution will pay the actual TA/DA/ Honorarium 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 is made by the Institution the DA will be paid @ 25% of the eligible DA per day. 6. Expenditure towards boarding, lodging and local transport will have to be borne by the host institution.

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 peer team visit to the Finance Officer, NAAC for reimbursement from NAAC. Original bills may not be sent by the institutions to the NAAC. 8. The formats in A, B, C & D for Consolidated Statement of Expenditure, Receipt of Honorarium, Statement of incidental expenses and payment of TA/DA respectively and norms of TA/DA are given in Section III. 9. The NAAC will settle 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 supporting vouchers should necessarily be accompanied with the copy of the UGC order that the institution is covered under sec. 2(f) & 12 (B) of the UGC Act 1956. 10. The reimbursement of unit cost will be limited to: University College 1. Honorarium 2. Travelling expenses 3. Incidental expenses Total Rs. 30,000 12,000 Rs.1,25,000 83,000 Rs. 5,000 Rs.1,60,000 1,00,000 Rs. Rs. Rs. 5,000 Rs.

11. The institution will also pay an honorarium to peer team members @ Rs. 1,000 per day. In addition the Chairperson will be paid Rs. 2,500/-(universities); Rs. 1,500/- (Colleges) as sitting fee and the member coordinator will be paid Rs. 1,500/- per institution towards incidental expenses, viz, telephone, postage etc. 12. In case of common peer team visiting more than one institution, one of the institutions will make the payments under suitable intimation to the finance section NAAC, with combined claim and with certification from both the institutions for

settlement. Both the institutions share expenses and reimbursement thereafter. 13. For institutions who have already submitted their self-study reports and paid the fees, but whose process of Assessment and Accreditation may commence after 1st April 2004, the UGC commitment in this case will be limited to the unit cost. The accreditation fee already paid to NAAC will not be reimbursed.

Section II : Guidelines for institutions not recognized under 2(f) and 12(B) of the UGC Act and Self-financing institutions.
1. Incase of these institutions the present pattern will continue i.e. the accreditation fee for a single faculty (Commerce is treated as a part of Arts faculty) college will be Rs. 25,000/- and for those with faculties of Arts, Science and Commerce Rs. 50,000/-. For professional and other specialized institutions fees will be as determined by NAAC from time to time. On submission of the self-study report this amount may be paid through demand draft drawn in favour of The Director, National Assessment and Accreditation Council payable at Bangalore. 2. In addition to the above, the institution will also meet the expenditure in respect of TA/DA, local travel and hospitality of the peer team members including the officers from NAAC. 3. Reimbursing of Honorarium by NAAC: The institution will also pay an honorarium to the peer team members @ of Rs. 1,000 per day. In addition the Chairperson will be paid Rs. 2,500/(universities); Rs. 1,500/- (Colleges) as sitting fee and the member coordinator will be paid Rs. 1,500/per institution towards incidental expenses, viz 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. The NAAC will settle the claims within a month of receipt of the above. The NAAC will reimburse only the honorarium as mentioned above paid to peer team.


For the institutions covered under section

2(f) and 12 (B) of the UGC act 1956 Rs. (in lakhs) Maximum limit of reimbursable University Accreditation Expenditure 1.60 College 1.00

I. No Assessment fee is required to be remitted to NAAC, as was the practice earlier. II. All the expenditure with regard to peer team visit will be incurred by the institution itself in the first instance, at the time peer team 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 and back. b) Boarding and Lodging in hotels or guest houses as the case may be, in respect of members of the peer team including Co-ordinator. II. EXPENDITURE TO BE BORNE BY THE NAAC a) Travelling expenses i.e. Airfare by economy class, II AC Train fare or Taxi fare up to a distance of six hundred kilometers both ways (300 Kms one-way) where other modes of transport are not available. However those of the peer team members whose usual entitlement happens to be travel by air could be reimbursed train fare to the extent of 1 AC in case they do not avail air passage.

b) 25% DA per day admissible over and above boarding and lodging as per the rates applicable to the institution not more than 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 given hereunder: -

Colleges University 1. Chairman 1000/- per day 2500/- per visit 2. Member Co-ordinator 1000/- per day 1500/- per visit 3. Members 1000/- per day Rs. 1000/- per day Rs. Rs. 1000/- per day + Rs. 1500/- per visit Rs. Rs. Rs. 1000/- per day + Rs. 1500/- per visit Rs. Rs.

The above honorarium will be reimbursed against Xerox copies of the receipts issued by the visiting peer team members in form B. d) Incidental charges if any incurred by the institution like those of Stationery, Xeroxing, Computer hiring, E-mailing, Telephone/Mobile charges etc. to the extent of Rs. 5000/- per visit will be reimbursed against the Xerox copies of the documentary evidence in form C. e) The expenditure at Sl.No. IV a, b, c, d above will be claimed by the institution for the reimbursement from the NAAC on prescribed formats together with supporting copies of Air Ticket / Train Ticket/ Taxi bill as per revised guidelines issued earlier in form D (revised guidelines) Enclosed.

Financial Implications of Re-accreditation

A resolution of finance committee as approved by the Executive Committee pertaining to financial implications of re-accreditation is extracted below. It was decided that those of the institutions who were accredited earlier and did not get the benefit of reimbursement of accreditation expenditure should be extended this facility whenever these institutions ask for re-accreditation, and the expenditure would be

reimbursed as per the guidelines issued for the other institutions eligible for the same with effect from 1st 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 not reimbursed/paid for first accreditation by NAAC. Note: The reimbursement claims should be forwarded to Finance Officer, NAAC within a months time of Peer Team Visit.

FOR THE INSTITUTIONS NOT COVERED UNDER SECTION 2(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 the universities continues to be required to be remitted to NAAC Office Bangalore by a Demand Draft favouring Director, NAAC Payable at Bangalore along with self-study report. II. All the accreditation expenditure excepting that of honorarium payable to peer team members will be borne by the institution itself undergoing the process. III. Honorarium stated above and payable to peer team members at the following rates will be paid directly by the NAAC individually to the members on the address communicated by the institutions. The honorarium payable per day to the members is detailed below:Colleges University 1. Chairman 1000/- per day 2500/- per visit 2. Member Co-ordinator 1000/- per day 1500/- per visit 3. Member/s 1000/- per day Rs. 1000/- per day Rs. Rs. 1000/- per day + Rs. 1500/- per visit Rs. Rs. Rs. 1000/- per day + Rs. 1500/- per visit Rs. Rs.

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

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

Institutions for Reimbursement under UGC support scheme operational from 01.04.2004 onwards.
I. Reimbursement claims from the institutions are not attatched with the Xerox copies of Air Tickets of the Peer Team Members with the result institutions are reimbursed the travel expenditure to the extent of only Railway AC I Class fare. We are informed that institutions are asking for the above documents from the peer team members, while on visit but the members in considerable number of cases do not furnish the 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. This way institutions incur considerable loss. NAAC as per UGC approved Guidelines cannot reimburse the travel fare without copy 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 the institutions under-going the assessment process. DA @ of the daily allowance is admissible under State Government / or Central Governments rates. It is observed that institutions are 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 shortest route. In case, the institution receives the travel from the peer team chairperson/members indicating circuitous route proposed to be followed by them, it may be brought to their notice in advance that liability of NAAC will be limited to the extent of shortest route stated above for train/air fare IV. Similarly as mentioned in the guidelines incidentals to the maximum limit of Rs. 5000/- per Assessment is payable to the institutions only to meet the expenses like Stationery, Telephone, Telex, Xeroxing, Computer Prints etc. This amount is observed from many claims, as having been paid to the peer team members by the institution as DA or incidentals. This practice needs to be stopped forthwith.

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 claims on this account the institutions may be conveyed to adhere to the 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 assessment is being undertaken by single institution-wise or in groups to enable the finance unit to allocate the joint expenditure involved accordingly, while settling claims submitted by the institutions. THE INSTITUTIONS ARE FREE IN BRINGING TO THE NOTICE OF THE DIRECTOR, NAAC THE PARTICULARS OF THE PEER TEAM MEMBERS NOT COOPERATING IN FURNISHING TO INSTITUTIONS THE RELEVANT SUPPORTING DOCUMENTS REQUIRED FOR SUBMISSION TO THE NAAC FOR REIMBURSEMENT.

Section - III : Formats for use by the Institutions

A. Format for Consolidated Statement of Expenditure (For reimbursement of expenses incurred during the Peer Team Visit for Assessment & Accreditation. To be sent to Finance Officer, NAAC) Name & Address of the Institution : Dates of Peer team visit :

Name & Full Address a) Chairperson: of Peer team: b) Members: c) NAAC Coordinator: Details of Expenditure incurred Item Expenditure

a) TA/DA: b) Honorarium c) Incidental expenses Total Rs.: (In words) It is certified that a sum of Rs. ( ) as detailed above has been incurred on Peer Team Visit to our institution for assessment 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 the practicing Chartered Accountants with 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)

Received with thanks a sum of Rs.

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

................ (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: Fee ...................... for being as the .........................


Chairperson/Member/Member Coordinator.

Revenue Stamp


Name and Address of the Payee

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)
Name & Address of the Institution :

Dates of Peer Team Visit

1. 2. 3. TOTAL

: : : :

Rs. Rs. Rs. Rs.

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

Name and Signature of the Head of the Institution with seal seal

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

D. Format for Payment of TA/DA to Peer Teams (For use and retention in the office of the visiting institutions) (Xerox copy to be sent along with claim)
Name & Address of the Institution

Name & Address of the Peer Team Chairperson/Members/ Member Coordinators/NAAC Coordinator Scale of Pay Rs.

Onward From Expenses Incurred Place : Date : Time :

To Place : Date : Time :

Return From Place : Date : Time :


Mode of Travel

Place :Rs. Date : 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 Amount Applicable for TA Amount Applicable for DA (words) Any Others TOTAL Signature Rs. Rs. Name Rs. Rs. Date Place Received Rs.

E. TA/DA/Accommodation/ Honorarium norms applicable to Peer Team {Chairpersons, Members / Member Coordinators & NAAC Officers (NAAC Coordinators) visiting Higher Education Institutions (Universities, Colleges, etc.)}
Air/Rail Travel:
Air travel is permitted in case of journeys beyond overnight. Air travel by executive class is not permitted. As far as possible subsidized airfares as available from Indian Airlines / Alliance Air from time to time may be availed to reduce the Peer Team visit expenses. Air travel is allowed by shortest route only. Train travel by II AC may be availed. However the members entitled to travel by air could be reimbursed the fare to the extend 1 s t A.C. Train fare, in case they do not avail air passage.

Road Travel:
In case of journeys by road or by own car the mileage will be payable as per the norms of the place where the institution is located. Road mileage will be limited to a maximum of 300 k.m. one way.

Stay and Accommodation:

Peer Teams will reach the institution prior to the beginning of the visit and should be available there till the end of the visit. Prior intimation will be given to the institution to enable them to make arrangement for local transportation/accommodation etc.

Honorarium may be paid at the rate of Rs. 1,000/- per day and a co-ordination Rs.1,500/per fee of Rs. as 2,500/incidental (Universities) expenses on and 1,500/of (Colleges) for Chairpersons. The Member Coordinator will be paid college account Coordination.

Tour Programme Intimation:

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

Local Hospitality:
The visiting institution will provide local transportation,

accommodation, hospitality and the applicable DA to the peer teams.

Check List for Lodging Claim for Reimbursement with NAAC

1. Copy of the order of the UGC for having covered your Institution under Section 2(f) and 12B. 2. Form A in original duly filled in all respects and certified by the Chartered 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 Principal 7. Full address of the institution with pin code, telephone number with STD code. 8. Full address of the P. T. members

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