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UGC Regulations 2016 : Minimum Qualifications for Appointment of Teachers and other Academic Staff [4th Amendment]

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UNIVERSITY GRANTS COMMISSION
NOTIFICATION
New Delhi

No.F.1-2/2016(PS/Amendment) -In exercise of the powers conferred under clauses (e) and (g) of sub-section

(1) of Section 26 of University Grants Commission Act, 1956 (3 of 1956), the University Grants Commission hereby frames the following amendment Regulations, namely :-

1.Short title, application and commencement:

1.1These Regulations may be called the University Grants Commission (Minimum Qualifications for Appointment

of Teachers and other Academic Staff in Universities and Colleges and Measures for the Maintenance of Standards in Higher Education) (4th Amendment), Regulations, 2016.

1.2They shall apply to every University established or incorporated by or under a Central Act, Provincial Act or a State Act, every institution including a constituent or an affiliated College recognized by the Commission, in consultation with the University concerned under clause (f) of Section 2 of the University Grants Commission Act, 1956 (3 of 1956) and every Institution Deemed to be a University under Section 3 of the said Act.

1.3They shall come into force with immediate effect from the date of their publication in the Official Gazette.

2.The following regulations in the University Grants Commission (Minimum qualifications for appointment of teachers and other academic staff in Universities and Colleges and other measures for the maintenance of standards in higher education) Regulations, 2010 shall stand amended and be read as under:-

3.The proviso prescribed under Regulation 3.3.1, 4.4.1, 4.4.2, 4.4.2.2, 4.4.2.3, 4.5.3 and 4.6.3 in the University Grants Commission (Minimum qualifications for appointment of teachers and other academic staff in Universities and Colleges and other measures for the maintenance of standards in higher education) (3th Amendment) Regulations, 2016 regarding exemption to the candidates registered for Ph.D. programme prior to July 11, 2009 shall stand amended and be read as under:-

“Provided further, the award of degree to candidates registered for the M.Phil/Ph.Dprogramme prior to July 11, 2009, shall be governed by the provisions of the then existing Ordinances/Bylaws/Regulations of the Institutions awarding the degree and the Ph.D candidates shall be exempted from the requirement of NET/SLET/SET for recruitment and appointment of Assistant Professor or equivalent positions in Universities/Colleges/Institutions subject to the fulfillment of the following conditions:-

a)Ph.D. degree of the candidate awarded in regular mode only;

b)Evaluation of the Ph.D. thesis by at least two external examiners;

c)Open Ph.D. viva voce of the candidate had been conducted;

d)Candidate haspublished two research papers from his/her Ph.D. work out of which at least one must be in a refereed journal;

e)Candidate has made at least two presentations in conferences/seminars, based on his/her Ph.D work.

(a) to (e) as above are to be certified by the Vice-Chancellor/Pro-Vice-Chancellor/Dean(AcademicAffairs)/Dean(University instructions).”

4. The second proviso prescribed under Regulation 6.0.1 in the University Grants Commission (Minimum qualifications for appointment of teachers and other academic staff in Universities and Colleges and other measures for the maintenance of the standards in higher education) (2nd Amendment) Regulations, 2013 shall be substituted with the following: –

“Provided also that the API score claim of each of the sub-categories in the Category III (Research and Academic Contributions) shall not have a cap except for the sub-category of invited lectures/papers.”

As a consequence, the table at Regulation 6.0.1 of the University Grants Commission (Minimum qualifications for appointment of teachers and other academic staff in Universities and Colleges and other measures for the maintenance of the standards in higher education) (2nd Amendment) Regulations, 2013 stands deleted.

5.Student Feedback is an integral part of the institutional and academic development of higher educational institutions and in fostering quality. Student feedback and teacher response plays a catalytic role towards improvement in teaching-learning and institutional development. Feedback from students on teaching, delivery, methodology and pedagogy is pivotal with a view to enhancing clarity of concepts, subject understanding and developing and deepening an interest in the academic discipline. Universities and Colleges should encourage teachers to assist students in providing constructive feedback on teaching-learning in order to enhance quality education and in responding to the feedback.

6.Tables-I,II(A),II(B),III,IV,V(A),V(B),VI,VII,VIII(A), VIII(B) and IX of Appendix-III of the University Grants

Commission (Minimum qualifications for appointment of teachers and other academic staff in Universities and Colleges and other measures for the maintenance of standards in higher education) (3thAmendment) Regulations, 2016 shall be substituted with Appendix-III : Tables-I,II(A),II(B),III,IV,V(A),V(B),VI,VII,VIII(A), VIII(B) and IX appended to these 4thAmendment Regulations.

Prof. (Dr.) JASPAL SINGH SANDHU, Secy.

[ADVT III/4/Exty./113(165)]

APPENDIX – III: TABLE I

ACADEMIC PERFORMANCE INDICATORS (API) FOR CAREER ADVANCEMENT SCHEME (CAS) PROMOTIONS FOR ASSISTANT PROFESSOR, ASSOCIATE PROFESSOR AND PROFESSOR AND FOR DIRECT RECRUITMENT OF ASSOCIATE PROFESSOR AND PROFESSOR IN UNIVERSITIES AND COLLEGES.

Direct Teaching Hours per week

Assistant Professor : 16
Associate Professor : 14
Professor : 14

Based on the teacher’s self-assessment, API scores are proposed for (a) teaching related activities; domain knowledge; (b) participation in examination and evaluation; and (c) contribution to innovative teaching, new courses etc. The minimum API score required by teachers from this category is different for different levels of promotion. The self- assessment score should be based on objectively verifiable records. It shall be finalized by the screening cum evaluation / selection committee. Universities may detail the activities, in case institutional specificities require, adjust the weightages without changing the minimum total API scores required under this category.

Note:

1. Direct Teaching 16/14/14 hours per week include the Lectures/Tutorials/Practicals /Project Supervision/Field Work. .

2.University may prescribe minimum cut-off, say 75%, below which no scores may be assigned in these sub-categories.

3.In consonance with established academic and teaching traditions, and with a view to reinforcing a student-centric and caring approach the teachers are encouraged to work with students, beyond the structure of classroom teaching. Indicatively, this could entail mentoring, guiding and counseling students. In particular teachers would be the best placed to identify and address the needs of students who may be differently abled, or require assistance to improve their academic performance, or to overcome a disadvantage. There are no prescribed hours for such efforts, measured either in weeks or months, or in the context and calculation of the API scores, these are nevertheless important and significant activities that could be carried out by teachers.

CATEGORY II: PROFESSIONAL DEVELOPMENT, CO-CURRICULAR AND EXTENSION ACTIVITIES

Based on the teacher’s self-assessment, Category II API scores are proposed for Professional development, co- curricular and extension activities; and related contributions. The minimum API required by teachers for eligibility for promotion is fixed in Table II (A). A list of items and scores is given below. The self-assessment score should be based on objectively verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Professor to higher grades and selection committee for the promotion of Assistant Professor to Associate Professor and Associate Professor to Professor and for direct recruitment of Associate Professor and Professor.

The model table below gives groups of activities and API scores. Universities may detail the activities or, in case institutional specificities require, adjust the weightages without changing the minimum total API score required under this category.

CATEGORY-III: RESEARCH AND ACADEMIC CONTRIBUTIONS

Based on the teacher’s self-assessment, API scores are proposed for research and academic contributions. The minimum API scores required for teachers from this category are different for different levels of promotion in universities and colleges. Theself-assessment score shall be based on verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Professor to higher grades and Selection Committee for the promotion of Assistant Professor to Associate Professor and Associate Professor to Professor and for direct recruitment of Associate Professor and Professor.

* Wherever relevant to any specific discipline, the API score for paper in refereed journal would be augmented as follows: (i) paper with impact factor less than 1 – by 5 points; (ii) papers with impact factor between 1 and 2 by 10 points; (iii) papers with impact factor between 2 and 5 by 15 points; (iv) papers with impact factor between 5 and 10 by 20 points: (v) papers with impact factor above 10 by 25 points. The API for joint publications shall be calculated in the following manner: Of the total score for the relevant category of publication by the concerned teacher, the First and Principal / corresponding author /supervisor / mentor would share equally 70% of the total points and the remaining 30% would be shared equally by all other authors.

# The University shall identify the journals subject-wise through subject expert committees and forward the recommendations to UGC in the format prescribed by UGC for approval of the UGC Standing Committee. The journals approved from this list, by the UGC Standing Committee, shall be included in the “List of Journals” notified by the UGC. The UGC Standing Committee shall give its recommendations within 60 working days of the receipt of the list from the University. The UGC Standing Committee may also, suo-moto, recommend journals for inclusion in the “List of Journals”. The clause 6.0.5 (i) will be strictly followed by the University.

APPENDIX – III TABLE – II (A)

MINIMUM APIS AS PROVIDED IN APPENDIX – III TABLE I TO BE APPLIED FOR THE PROMOTION OF TEACHERS UNDER CAREER ADVANCEMENT SCHEME (CAS) IN UNIVERSITY DEPARTMENTS AND COLLEGES, AND WEIGHTAGES FOR EXPERT ASSESSMENT

* Teachers may score the balance of points from either Category II or Category III to achieve the minimum score required under Category II + III.

APPENDIX – III TABLE – II(B)

Minimum Scores for APIs for direct recruitment of teachers in university departments / Colleges and weightages in Selection Committees to be considered along with other specified eligibility qualifications stipulated in the Regulation.

APPENDIX-III – TABLE: III

MINIMUM ACADEMIC PERFORMANCE AND SERVICE REQUIREMENTS FOR PROMOTION OF TEACHERS IN UNIVERSITIES AND COLLEGES

APPENDIX – III: TABLE IV

ACADEMIC PERFORMANCE INDICATORS (API) FOR CAREER ADVANCEMENT SCHEME (CAS) PROMOTIONS OF ASSISTANT DIRECTOR OF PHYSICAL EDUCATION & SPORTS AND FOR COLLEGE DIRECTOR OF PHYSICAL EDUCATION & SPORTS AND FOR DIRECT RECRUITMENT OF DEPUTY DIRECTOR AND DIRECTOR OF PHYSICAL EDUCATION & SPORTS IN UNIVERSITIES.

Direct Workload and weightage to be given to different levels of Physical Education Personnel

Based on the Physical Education Personnel’s self-assessment, API scores are proposed for (a) Lecture cum practice based athlete / sports classes coaching and training related activities; (b) Organizing and conducting sports and games competitions and management related activities; and (c) upgradation of sports infrastructure and extension services etc. The minimum API score required by Physical Education Personnel from this category is different for different levels of promotion. The self assessment score should be based on objectively verifiable records. It shall be finalized by the screening cum evaluation / selection committee. Universities may detail the activities, in case institutional specificities require, adjust the weightages without changing the minimum total API scores required under this category.

*Hours spent on administrative responsibilities, innovation, upgradation of services, extension services etc.

CATEGORY I: TEACHING, TRAINING, COACHING, SPORTS PERSON DEVELOPMENT AND SPORTS MANAGEMENT ACTIVITIES

CATEGORY II: PROFESSIONAL DEVELOPMENT, CO-CURRICULAR AND EXTENSION ACTIVITIES

Based on the Physical Education Cadre’s self-assessment, category II API scores are proposed for co-curricular and extension activities; and Professional development related contributions. A list of items and scores is given below. The self-assessmentscore should be based on objectively verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Director of Physical Education / College Director of Physical Education & Sports to higher grades and selection committee for the promotion of Assistant DPE&S to Deputy DPE&S and for direct recruitment of Deputy DPE&S and DPE&S.

The model table below gives groups of activities and API scores. Universities may detail the activities or, in case institutional specificities require, adjust the weightages without changing the minimum total API score required under this category.

CATEGORY-III: RESEARCH AND ACADEMIC CONTRIBUTIONS

Based on the self-assessment, API scores are proposed for research and sports contributions. The minimum API scores required from this category are different for different levels of promotion in universities/colleges. The self-assessment score shall be based on verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Director of Physical Education & Sports to higher grades and Selection Committee for the promotion of Assistant Director of Physical Education & Sports to Deputy Director of Physical Education & Sports and for direct recruitment of Deputy Director of Physical Education & Sports and Director of Physical Education & Sports.

* Wherever relevant, the API score for paper in refereed journal would be augmented as follows: (i) paper with impact factor less than 1 – by 5 points; (ii) papers with impact factor between 1 and 2 by 10 points; (iii) papers with impact factor between 2 and 5 by 15 points; (iv) papers with impact factor between 5 and 10 by 20 points: (v) papers with impact factor above 10 by 25 points. The API for joint publications/books shall be calculated in the following manner: Of the total score for the relevant category of publication by the concerned teacher, the First and Principal / corresponding author /supervisor / mentor of the teacher would share equally 70% of the total points and the remaining 30% would be shared equally by all other authors.

# The University shall identify the journals subject-wise through subject expert committees and forward the recommendations to UGC in the format prescribed by UGC for approval of the UGC Standing Committee. The journals approved from this list, by the UGC Standing Committee, shall be included in the “List of Journals” notified by the UGC. The UGC Standing Committee shall give its recommendations within 60 working days of the receipt of the list from the University. The UGC Standing Committee may also, suo-moto, recommend journals for inclusion in the “List of Journals”. The clause 6.0.5 (i) will be strictly followed by the University.

APPENDIX – III TABLE – V (A)

MINIMUM APIs AS PROVIDED IN APPENDIX – III TABLE I TO BE APPLIED FOR THE CAREER ADVANCEMENT SCHEME (CAS) PROMOTION OF ASSISTANT/COLLEGE DIRECTOR AND DEPUTY DIRECTOR OF PHYSICAL EDUCATION AND WEIGHTAGES FOR EXPERT ASSESSMENT IN SELECTION COMMITTEES, IN UNIVERSITIES AND COLLEGES

* One may score the balance of points from either Category II or Category III to achieve the minimum score required under Category II + III.

APPENDIX – III TABLE – V(B)

Minimum Scores for APIs for direct recruitment of Physical Education Cadres in Universities / Colleges, and weightages in Selection Committees to be considered along with other specified eligibility qualifications stipulated in the Regulation.

APPENDIX-III – TABLE VI

MINIMUM ACADEMIC PERFORMANCE AND SERVICE REQUIREMENTS FOR PROMOTION OF PHYSICAL EDUCATION CADRES IN UNIVERSITIES AND COLLEGES

Note: The explanatory note provided for Table IIA for CAS for teachers is also applicable for the Physical Director cadres as per the API score specified for this cadre.

APPENDIX- III TABLE VII

ACADEMIC PERFORMANCE INDICATORS (API) FOR PROMOTIONS OF ASSISTANT LIBRARIAN IN UNIVERSITIES / FOR COLLEGE LIBRARIAN UNDER CAREER ADVANCEMENT SCHEME (CAS) AND FOR DIRECT RECRUITMENT OF DEPUTY LIBRARIAN AND LIBRARIAN IN UNIVERSITIES.

Direct Work load and weightage to be given to different levels of Librarians

Based on the Librarian Cadre’s self-assessment, API scores are proposed for (a) Library resources organization and maintenance of books, journals, reports, Development, organization and management of e-resources; User awareness and instruction programmes, (b) ICT and other new technologies’ application for upgradation of library services and

(c) Additional services such as extending library facilities on holidays, shelf order maintenance, library user manual, building and extending institutional library facilities to outsiders through external membership norms. The minimum API score required by Library Personnel from this category is different for different levels of promotion. The self assessment score should be based on objectively verifiable records. It shall be finalized by the screening cum evaluation / selection committee. Universities may detail the activities, in case institutional specificities require, adjust the weightages without changing the minimum total API scores required under this category.

*Hours spent on administrative responsibilities, innovation, upgradation of services, extension services etc.

CATEGORY I: Procurement, organization, and delivery of knowledge and information through Library services

CATEGORY II: PROFESSIONAL DEVELOPMENT, CO-CURRICULAR AND EXTENSION ACTIVITIES

Based on the Librarian Cadre’s self-assessment, category II API scores are proposed for co-curricular and extension activities; and Professional development related contributions. A list of items and scores is given below. The self- assessment score should be based on objectively verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Librarian / College Librarian to higher grades and selection committee for the promotion of Assistant Librarian to Deputy Librarian and for direct recruitment of Deputy Librarian and Librarian.

The model table below gives groups of activities and API scores. Universities may detail the activities or, in case institutional specificities require, adjust the weightages without changing the minimum total API score required under this category.

CATEGORY-III: RESEARCH AND ACADEMIC CONTRIBUTIONS

Based on the self-assessment, API scores are proposed for research and library contributions. The minimum API scores required from this category are different for different levels of promotion in universities/colleges. The self-assessment score shall be based on verifiable records and shall be finalized by the screening cum evaluation committee for the promotion of Assistant Librarian / College Librarian to higher grades and Selection Committee for the promotion of Assistant Librarian to Deputy Librarian and for direct recruitment of Deputy Librarian and Librarian.

* Wherever relevant, the API score for paper in refereed journal would be augmented as follows: (i) paper with impact factor less than 1 – by 5 points; (ii) papers with impact factor between 1 and 2 by 10 points; (iii) papers with impact factor between 2 and 5 by 15 points; (iv) papers with impact factor between 5 and 10 by 20 points: (v) papers with impact factor above 10 by 25 points. The API for joint publications/books shall be calculated in the following manner: Of the total score for the relevant category of publication by the concerned teacher, the First and Principal / corresponding author /supervisor / mentor of the teacher would share equally 70% of the total points and the remaining 30% would be shared equally by all other authors.

# The University shall identify the journals subject-wise through subject expert committees and forward the recommendations to UGC in the format prescribed by UGC for approval of the UGC Standing Committee. The journals approved from this list, by the UGC Standing Committee, shall be included in the “List of Journals” notified by the UGC. The UGC Standing Committee shall give its recommendations within 60 working days of the receipt of the list from the University. The UGC Standing Committee may also, suo motu, recommend journals for inclusion in the “List of Journals”. The clause 6.0.5 (i) will be strictly followed by the University.

APPENDIX – III TABLE – VIII (A)

MINIMUM APIs FOR THE CAREER ADVANCEMENT SCHEME (CAS) PROMOTION OF ASSISTANT/COLLEGE LIBRARIAN AND DEPUTY LIBRARIAN AND WEIGHTAGES FOR EXPERT ASSESSMENT IN SELECTION COMMITTEES, IN UNIVERSITIES AND COLLEGES

* One may score the balance points from either Category II or Category III to achieve the minimum score required under Category II+ III.

APPENDIX – III TABLE – VIII (B)

Minimum APIs and Other Norms for the Direct Recruitment of Librarian Positions in University Departments/Colleges and weightages in Selection Committees to be considered along with other specified eligibility qualifications stipulated in the Regulation.

APPENDIX-III – TABLE IX

MINIMUM ACADEMIC PERFORMANCE AND SERVICE REQUIREMENTS FOR PROMOTION OF LIBRARIAN CADRES IN UNIVERSITIES AND COLLEGES

Note: The explanatory note provided for Table IIA for CAS for teachers is also applicable for the Librarian cadres as per the API score specified for this cadre.

Official Notification


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