PERFORMANCE BASED APPRAISAL SYSTEM (PBAS) PROFORMA

FOR
CAREER ADVANCEMENT SCHEME(CAS)

Assistant Professor (Academic Level-10) to Assistant Professor (Academic Level-11)

&
Assistant Professor (Academic Level-11) to Assistant Professor (Academic Level-12)

Position and Grade Pay Applied for Promotion under CAS: ...........................................................................

Date of Last Promotion :....................................................

Date of Eligibility for Promotion: .....................................

PART-A: GENERAL INFORMATION

1. Name (in Block Letters) :………………………………............………..……….……....

2. Date and Place of Birth :…………………………………................…...................……
3. Gender :……………………................………..……….................…...
4. Father’s Name :……………..…………...………………...........….....……..…
5. Mother's Name :……………………...……….......…………….........................
6. Nationality :……………........……………………………………………...
7. (a) Present Position with Date : ……………………………………………………………...
(b) Pay Scale :.………………………………..(c) Grade Pay:...............................................
(d) Whether Direct or Under CAS: ………………….……………………………………...
(e) Name of Department/Subject:……........………….…………...........…………………
8. Marital Status:.………………………Spouse Name(if married):.....…………….…………
9. Aadhar Number:……….………………………...........…………………………………….
10. Category (SC/ST/OBC/General):..………… 11. Physically Challenged: ………………
12. (a)Address for Correspondence (with PIN):…………………………………................
…………………………………………
…………………………………………
(b) Permanent Address (with PIN) : …………………………………................
…………………………………………
…………………………………………
13. Telephone/Mobile No.:................................ E-mail :………...........……………...............

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 14. Academic Qualifications:

Examination Name of Board/Uni Year Percentage Division Distinction Subjects

Institute versity / CGPA / Grade (if any)
10th

12th

U.G.

LL.B.

P.G./LL.M.

Others

15. Research Degree(s):

Name of Specialization Institution/University Status Whether Date of Title of Thesis

Degree Ph.D. degree Award
awarded as of
per UGC Degree
Regulations
2009
M.Phil.
Ph.D./ D.Phil.
D.Sc./D.Litt./Any
other

16. Whether Qualified NET/SLET etc. conducted by UGC/CSIR/ICAR/State:

Test Qualified Agency Name Roll No./Reference No. Qualifying Date

NET/SLET

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 17. Appointments Held prior to Joining this Institution: (Please attach relevant Certificates)
Designation Name of Status of Organization Date of Date of Salary with Nature of Reason
Employer Joining Leaving Grade Pay Employment of
leaving

18. Posts held after appointment at this Institution:

Designation Department Subject Date of Joining Salary with Grade Pay

From To

19. Teaching Experience (Under Graduate and Post Graduate Levels):

Period
Classes Taught Total Experience
From To (in Years)
U.G.

P.G.

20. Research experience excluding time spent in M.Phil/Ph.D.(in years):.....................................

21. Fields of Specialization under the Subject/Discipline:

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22. Precis (IN 4 COPIES)

Academic Qualifications
Name:
Exam Passed Year Division Percentage/CGPA
Date of Birth: th
10
Department:
12th
Subject:
U.G.
Mobile:
P.G.
e-mail:
Ph.D.
Title:
M.Phil.

Others

S.No. Academic Contribution during Assessment Period Number Remarks

1 Books Published
2 Published Papers in Journal
3 Articles/Chapters Published in Books
4 Papers Presented in Conference/
Seminar/Workshop/Symposia, etc.
5 Invited Lectures at National or International Conference/
Seminar
6 Sponsored Projects
7 Consultancy Projects
8 Orientation Course/FIP
9. Refresher Course / FDP
10. Research Guidance Thesis submitted:
Degree Awarded:

Name of the Course / Programme Duration Name of the Agency

Orientation Course /FIP
Refresher Course / FDP
Short-Term Courses ( One week)
Workshops
MOOCs

Mention only one research paper published in peer reviewed or UGC care Journal during the assessment period

Journal Name,
ISSN/ Impact Factor No. of Co- Whether Principal Author /Corresponding/ Supervisor/
Title of paper Page., Vol. &
ISBN (if any) authors Co-Supervisor/Co-author
Issue, Year

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 PART B: ACADEMIC PERFORMANCE INDICATORS (API):
Based on the teacher’s self-assessment, API scores are proposed for (1) teaching related activities; domain knowledge; (2)
Involvement in University / College student’s related activities / research activities. 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. University may
detail the activities, in case institutional specificities require, and adjust the weightages without changing the minimum total
API scores required under this category
Table 1
Assessment Criteria and Methodology for University Teachers
(For each academic session) _______________________
I. Teaching
Unit of Calculation Self-Appraisal Grading Verified
For Assistant Professor/ Grading
Category Name of Activity Actual Class % of
Associate Professor/ by
per year Teaching Committee
Professor
(1) (2) (3) (4)
i) Good: 80 % & above
Teaching: (Number of classes
taught/total classes assigned) x100% ii) Satisfactory: Below 80% but 70%
(Classes taught includes sessions on &above
tutorials, lab and other teaching
related activities) iii) Not satisfactory: Less than 70%
Teaching: Black board
Teaching: ICT based
Practical / Laboratory
Tutorials / Assignments /
Project
Field Work
I Group Discussion
Seminars
Remedial Teaching
Clarifying doubts within and
outside the class hours
Additional teaching to support
counseling and mentoring
Total Actual hours spent

II. Involvement in University/College students related Activities/Research Activities:

Total
II Specify
days
Self-Appraisal Grading Verified
Actual For Assistant Professor / Grading
Activities Spent
participation Associate Professor / by
per
in year Professor Committee
year
(1) (2) (3) (4)
Involvement in the University/College i) Good: Involved in at least 3
students related activities/research activities
activities ii) Satisfactory :1-2 activities
iii) Not-satisfactory: Not involved/
undertaken any of the activities
Note: Number of activities can be
within or across the broad
categories of activities.
(a) Administrative
responsibilities such as Head,
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 Chairperson/ Dean / Director /
Coordinator, Warden, etc.
(b) Examination and evaluation
duties assigned by the college /
university or attending the
examination paper evaluation.
i) Question Paper Setting
ii) Invigilation/ Supervision
iii) Flying Squad
iv) CS/ ACS
v) Unfair Means Committee
vi) Grievance Committee
vii) Internal Assessment
viii) External Assessment
ix) Result Preparation
x) M. Phil., Ph. D. Thesis evaluation /
Any other

(c) Student related co-curricular,

extension and field based
activities such as student clubs,
career counselling, study visits,
student seminars and other
events, cultural, sports, NCC,
NSS and community services.
(d) Organizing seminars/
conferences/ workshops, etc and
other college/university
activities.
(e) Evidence of actively involved
in guiding Ph.D. students
(i) No. of Registered Candidates:
(ii) No. of Awarded Candidates:
(f) Conducting Major/Minor
Research Project sponsored by
national/international agencies.
(i) ≥ 10 Lacs(Major):
(ii) < 10 Lacs(Minor):
(g) At least one single/joint
publication in peer- reviewed or
UGC list of Journals.
(i) Papers Published (as Single
author):
(ii) Papers Published (as Joint
author):
Overall Grading:
Good: Good in teaching and/or activity at S. No.II.
Satisfactory: Satisfactory in teaching and/or activity at S. No.II
Not Satisfactory: Neither good nor satisfactory in overall grading.

Note: For the purpose of assessing the grading of Activity at Serial No. I and Serial No. II, all such periods of duration which have
been spent by the teacher on different kinds of paid leaves such as Maternity Leave, Child Care Leave, Study Leave, Extraordinary
Leave and Deputation shall be excluded from the grading assessment. The teacher shall be assessed for the remaining period of duration
and the same shall be extrapolated for the entire period of assessment to arrive at the grading of the teacher. The teacher on such leaves
or deputation as mentioned above shall not be put to any disadvantage for promotion under CAS due to his/her absence from his/her
teaching responsibilities subject to the condition that such leave/deputation was undertaken with the prior approval of the competent
authority following all procedures laid down in these regulations and as per the acts, statutes and ordinances of the parent institution.

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 Table 2
Methodology for University and College Teachers for calculating
Academic/Research Score

(Assessment must be based on evidence produced by the teacher such as: copy of publications, project sanction letter, utilization
and completion certificates issued by the University and acknowledgements for patent filing and approval letters, students’
Ph.D. award letter, etc.)

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. 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 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.

(1) Research Papers in Peer-Reviewed or UGC listed Journals: (Please refer points as per UGC notification)
Whether
Principal
Impact
Journal Name, No. of Author / Self- API Annexure No.
S. ISSN / Factor
Title of paper Page,Vol. & Issue, Co- Supervisor/ Apprais Score of Relevant
No. ISBN (if al Score Verified Document
Year Authors Co-
any)
Supervisor/Co-
author
1
2
3
Total ( 1)

(2) (a) Publications (other than Research papers) (Books, Chapters in Books)
(i) Books Published with ISSN / ISBN
International Publisher: 12 points per Book
National Publisher: 10 points per Book

Publisher’s Whether Annexure

International / Self- API
S. Title of Book with name No. of Principal No. of
National Appraisal Score
No. no. of pages With ISSN /
Publisher
Co-Authors Author /
Score Verified
Relevant
ISBN Co-Author Documents

1
2
Sub Total: (2)(a)(i):

(ii) Chapter in Edited Book with ISSN / ISBN (5 points per Chapter)

Whether Annexure
Publisher’s Name Self- API
S. Title of Chapter No. of Principal No. of
Name of Book & ISSN / Appraisal Score Relevant
No. with Page Nos Co-Authors Author /
ISBN Score Verified Documents
Co-Author
1
2
Sub Total: (2)(a)(ii)

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 (iii) Editor of Book with ISSN / ISBN
Editor of Book by International Publisher: 10 points per Book
Editor of Book by National Publisher: 8 points per Book
Whether
Publisher’s Name International / Principal Self- Annexure
S. Title of Book with Page No. of Co- API Score No. of
&ISSN / National Author / Appraisal Relevant
No. Nos Authors Verified
ISBN Publisher Co- Score Documents
Author
1
2
Sub Total (2)(a)(iii)

(b) Translation Works in Indian or Foreign Languages by Qualified Faculty Members

(3 points per Chapter or Research paper and 8 points per Book)
Translated Title of
Original Title of Chapter No. of Whether
Chapter or Annexure
or Research paper / Book Name Translate Principal Self- API
S. Research paper / No. of
with Page Nos. Nos. of Original d Author / Appraisal Score Relevant
No. Book with Page
ISSN / Author Co- Co- Score Verified Documents
Nos. ISSN /
ISBN Authors Author
ISBN
1
2
Sub Total (2)(b)
Total (2) : (2)(a)(i) + (2)(a)(ii) + (2)(a)(iii) + (2)(b)

(3) Creation of ICT mediated Teaching Learning Pedagogy & Content and Development of New & Innovative Courses and
Curricula

(a) Development of Innovative Pedagogy: (5 points per Innovative Pedagogy)

Specify ICTs
resources:
web link :
YouTube
Videos-
Types of
Audios/Smart
Teaching-
Classroom
Learning
/Simulation Date of Annexure
Sponsored Environments: Self- API
S. Title of Innovative Games/Bloggin approval Date of No. of
Agency(if Face-to-face/ Appraisal Score Relevant
No. Pedagogy g/Online from Implementation
any) Networked/ Score Verified Documents
Discussion Authority
Open and
Forums /
distance/
Virtual
Virtual
Laboratories
/ Telecast
/Picture
/Models
/Charts(if any)
1
2
Subtotal (3)(a)

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(b) Design of New Curricula and Courses: (02 points per Curricula/ Course)

Specify ICTs
resources: web
Name of Date of
link / Annexure
Programme Title of New approval Self- API
S. You tube link: Date of No. of
where Curricula and from Appraisal Score Relevant
No. Audio/Video/Tele Implementation
curricula Courses Authorit Score Verified Documents
cast /Picture
introduced y
/Models/Charts
(if any)
1
2
Subtotal (3)(b)

(c) MOOCs:
(i) Development of Complete MOOCs in 4 Quadrants (4 credit course) (20 per curricula/ Course)
(In case of MOOCs of lesser credits 05 marks/credit)

Specify ICTs
resources:
Name of Date of
Title of web link / Annexure
Programme approval Self- API
S. Course new You tube link: Date of No. of
where from Appraisal Score
No. Credits MOOC Audio/Video/T Implementation Relevant
curricula authority Score Verified Documents
curricula elecast /Picture
introduced (if any)
/Models/Chart
s( if any)
1
2
Subtotal (3)(c)(i)

(ii) MOOCs (Developed in 4 Quadrants) per Module/Lecture (5 points per Module / Lecture)

Specify ICTs
resources:
Name of
Title of web link / Date of Annexure
Programme & Self- API
S. Course new You tube link: approval Date of No. of
Course where Appraisal Score Relevant
No. Credits MOOC Audio/Video/T from Implementation
curricula Score Verified Documents
curricula elecast /Picture authority
introduced
/Models/Chart
s, if any
1
2
Subtotal (3)(c)(ii)

(iii) Content Writer/Subject Matter Expert for each module of MOOCs (at least one Quadrant)
(2 points per Curricula/ Course)

Specify ICTs
resources:
Name of Title of
web link / Date of Annexure
Programme & new Self- API
S. Course You tube link: approval Date of No. of
Course where MOOC Appraisal Score
No. Credits Audio/Video/T from Implementation Relevant
Content is Content Score Verified Documents
elecast /Picture Authority
introduced curricula
/Models/Chart
s (if any)
1
2
Subtotal (3)(c)(iii)

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 (iv) Course Coordinator for MOOCs (4 credit course) (8 points per Curricula/ Course)
(In case of MOOCs of lesser credits 02 marks/credit)
Specify ICTs
resources:
web link / Date of Annexure
Name of Title of Self- API
S. Course You tube link: approval Date of No. of
Programme MOOC Appraisal Score
No. Credits Audio/Video/T from Implementation Relevant
& Course curricula Score Verified Documents
elecast /Picture authority
/Models/Chart
s(if any)
1
2
Subtotal (3)(c)(iv)
Total (3)(c) : (3)(c)(i) + (3)(c)(ii) + (3)(c)(iii) + (3)(c)(iv)

(d) E-Content
(i) Development of e-Content in 4 Quadrants for a complete course/e-book
(12 points per Curricula/ Course)
Title of e-Content Name of
Specify Whether
Programme Whether Self- Annexure No.
S. course/ e-book with & Course to
ICTs
Peer
No. of Co- Principal
Appraisal
API Score
of Relevant
No. no. of pages, resources: Authors Author / Verified Documents
which reviewed Score
ISSN / ISBN (if any) web link Co-Author
introduced
1
2
Sub Total: (3)(d)(i)

(ii) e-Content (developed in 4 Quadrants) per module (5 points per module / Course)

Title of e-Content Name of

Specify Whether
Programme Whether Self- Annexure No.
S. module with no. of & Course to
ICTs
Peer
No. of Co- Principal
Appraisal
API Score
of Relevant
No. pages, resources: Authors Author / Verified Documents
which reviewed Score
ISSN / ISBN (if any) web link Co-Author
introduced
1
2
Sub Total: (3)(d)(ii)

(iii) Contribution to development of e-content module in complete course/paper/e-book

(at least one Quadrant) (2 points per module / Course)

Name of
Title of e-Content Specify Whether
Programme Whether Self- Annexure No.
S. module with no. of ICTs No. of Co- Principal API Score
& Course to Peer Appraisal of Relevant
No. pages, resources: Authors Author / Verified Documents
which reviewed Score
ISSN / ISBN(if any) web link Co-Author
introduced
1
2
Sub Total: (3)(d)(iii)

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 (iv)Editor of e-content for complete course/ paper /e-book (10 points per Course / paper)

Title of e-Content Name of

Specify
Programme Whether Self- Annexure No.
S. Course with no. of & Course to
ICTs
Peer
No. of
Appraisal
API Score
of Relevant
No. pages, resources: Co-Editors Verified Documents
which reviewed Score
ISSN / ISBN (if any) web link
introduced
1
2
Sub Total: (3)(d)(iv)
Total (3) (d): (3)(d)(i) + (3)(d)(ii) + (3)(d)(iii) + (3)(d)(iv)
Total (3): (3)(a) + (3)(b) + (3)(c) + (3) (d)

(4) Research Score:

(a) Research Guidance: ( Ph. D. :10 points per degree awarded & 05 per thesis submitted)
(M. Phil. /P. G. dissertation: 2points per degree awarded)

No. of Thesis No. of Candidate Self- Annexure No. of

S. No. of Candidate API Score
Name of Degree Submitted with Degree Awarded Appraisal Relevant
No. Enrolled Verified Documents
dates with dates Score

M. Phil. /
P.G. Dissertation
Ph.D.
Sub Total: (4)(a)

(b) Research Projects Completed: A: ≥ Rs.10 lakhs (10 points per Project)
B: < Rs. 10 lakhs (5 points per Project)

Grant Self- API Annexure

S. Type of Sponsored Date of Whether No. of
Title of Project Received Appraisal Score
No. Project : A / B Agency Completion Co-PI Relevant
(Rs.) Score Verified Documents
1
2
Sub Total: (4)(b)

(c) Research Projects Ongoing: A: ≥Rs.10 lakhs (5 points per Project)

B: <Rs. 10 lakhs (2 points per Project)

Grant Self- API Annexure

S. Type of Sponsored Duration Date of Whether No. of
Title of Project Received Appraisal Score
No. Project : A / B Agency of Project Starting Co-PI Relevant
(Rs.) Score Verified Documents
1
2
Sub Total: (4)(c)

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 (d) Consultancy: (3 points per Consultancy Project)

Amount API Annexure No. of

S. Title of Consultancy Sponsored Date of Self-Appraisal
Mobilized Score Relevant
No. Project Agency Starting Score Documents
(Rs. In Lakh) Verified
1
2
Sub Total: (4)(d)
Total (4) : (4)(a) + (4)(b) + (4)(c) + (4)(d)

(5) (a) Patents : (10 points per International Patent and 7 points per National Patent)

Sponsored API Annexure No. of

S. Title of Patent Patent International / Self-Appraisal
Agency (if Date of Award Score Relevant
No. Project Number National Score Documents
any) Verified
1
2
Sub Total: (5)(a)

(b) *Policy Document (Submitted to an International Body/Organization like

UNO/UNESCO/WorldBank/International Monetary Fund etc. or Central Government or State Government)
A: International (10 points per Policy Document)
B: National (7 points per Policy Document)
C: State (5 points per Policy Document)

Name of International / Policy API Annexure No. of

S. Title of Policy Date of Self-Appraisal
Submitted National / Document Score Relevant
No. Document Acceptance Score Documents
Agency State Number Verified
1
2
Sub Total: (5)(b)

(c) Awards/Fellowship: A: International (7 points per Awards/Fellowship)

B: National (5 points per Awards/Fellowship)

Name of Name of Awardees Annexure No.

S. Date of Self-Appraisal API Score
Award / International / National Academic Body / of Relevant
No. Received Score Verified Documents
Fellowship Association
1
2
Sub Total: (5)(c)
Total (5) : (5)(a) + (5)(b) + (5)(c)

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 (6) *Invited lectures / Resource Person/ Paper Presentation in Seminar/ Conference/Full Paper in Conference Proceedings
(Paper presented in Seminar/Conference and also published as full paper in Conference Proceedings will be counted only
once)
International (Abroad): (7 points per Seminar/ Conference)
International (within Country): (5 points per Seminar/ Conference)
National: (3 points per Seminar/ Conference)
State / University Level :(2 points per Seminar/ Conference)

Whether
Mode of
International
Presentation:
(Abroad) /
Title of Invited lectures / Annexure No. of
S. Title of Presentation Name of International Self-Appraisal API Score
Conference / Resource Person / Relevant
No. in Academic Session Organizer (within Country) Score Verified Documents
Seminar Paper
/ National / State
presentation
/ University
Level
1
2
Total (6) :

Note: The Research score for research papers would be augmented as follows: Peer-Reviewed or UGC-listed Journals (Impact
factor (IF) to be determined as per Thomson Reuters list):
(i) Paper in refereed journals without IF = 5 Points
(ii) Paper with 0< IF < 1.0 = 10 Points
(iii) Paper with 1.0≤ IF < 2.0 = 15 Points
(iv) Paper with 2.0≤ IF < 5.0 = 20 Points
(iv) Paper with 5.0 ≤ IF < 10.0 = 25 Points
(vi) Paper with IF ≥10 = 30 Points
(a) In case of two authors: 70% of total points of publication for each author.
(b) More than two authors: 70% of total points of publication for the First/Principal/Corresponding author and 30% for each
of the joint authors.
(c) Joint Projects: Principal Investigator and Co-investigator would get 50% each.

Note:
 If paper presented is part of edited book or proceeding, then it can be claimed only once.
 For joint supervision of research students, the formula shall be 70% of the total score for Supervisor and Co-Supervisor.
 *FOR the purpose of calculating research score of the teacher, the combined research score of sub-categories 5(b)-
Policy Document and sub-categories 6- Invited lectures/Resource Person/Paper presentation shall have an upper
capping of thirty percent of the total research score of the teacher concerned.
 The research score shall be from the minimum of three sub-categories out of six sub-categories.

Page 13 of 15
 Summary of Table 2 (Category III)
Academic/Research Score
API Score
Self-Appraisal
Details of Academic & Research Activities Verified by Remarks
Score
Committee
(1) Research Papers in Peer-Reviewed or
UGC listed Journals
(2) Publications (other than research papers)

(3)Creation of ICT mediated Teaching Learning

Pedagogy and Content and Development of New
and Innovative Courses and Curricula
(4) Research Guidance/Projects Completed / Projects
Ongoing/Consultancy
(5) Patents /Policy Document / Awards/Fellowship

(6) Invited lectures / Resource Person/ Paper

Presentation in Seminars / Conferences/Full Paper
in Conference Proceedings
Grand Total of Table 2

IV SUMMARY OF API SCORES:

Annual API
Category Criteria
Score
Activities: Overall Grading

1. Teaching
Table 1 2. Involvement in the
University/College Students
related Activities / Research
Activities
Table 2 (Category III) Academic/Research Score

List of Enclosures: (Please attach copies of certificates and / or letters of sanction orders, papers etc. wherever necessary)

Page 14 of 15
 UNDERTAKING
I, Dr/Mr. / Mrs./Ms. …………………………………………….undertake that the information provided
is correct as per records submitted by me to College / Institute / University and documents enclosed along with
the duly filled in PBAS Proforma.

Date :……………… Signature of the Faculty

Place : …………….. with Designation
……………………..

Date :……………… Signature

Head of Department
Place : ……………..

N.B. : The individual PBAS Proforma duly filled along with all enclosures, submitted for CAS promotions will
be verified by the College / Institute / University as necessary and placed before the Screening Cum
Evaluation Committee or Selection Committee for Assessment Verification.

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