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8/12/2019 3 RUSA Guidelines 2014
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jkVh mPprjfk{kkvfHk ku
Rashtriya Uchchatar Shiksha Abhiyan (RUSA)
Draft Guidelines for Consultation
Department of Higher Education
Ministry of Human Resource Development
Government of India
December, 2013
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CONTENTS
Sl. No. Topic Page No.
1 Introduction 1
2 Vision and Mission 2
3 Objectives 2
4 Key Features 3
5 Target Group 5
6 Approach and Strategy 6
7 Prerequisites 9
8 General Norms 9
9Programmatic and Financial Norms of Various
Components
12
10 Guiding Principles 45
11 Timeline 45
12 Implementation Modalities 46
13 Funding Strategy 47
14 Resource Allocation 48
15 Approval Process and Flow of Funds 50
16 Banking Arrangements 52
17 Detailed component-wise allocations 54
18 Flow of information 54
19Management Information System (MIS) 55
20 Monitoring and Evaluation 55
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21Information Regarding State-level Functionaries
57
Annexures
No. Content Page No.
1. MHRD Letter no. 4-18/2012-U.II dated 8thOctober,
2013 addressed to States/UTs
68
2. Format of Institutional Development Plan 61
3. Format of State Higher Education Plan 73
4. Detailed Timelines 96
5. Fund Equalisation Formula 96
6. Component-wise allocations and physical targets for
the 12thPlan
99
7. Template for the States for providing information
regarding key functionaries
101
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1
GUIDELINES
1. Introduction
The 12th Plan proposed a comprehensive plan for the development of state
higher education system for ensuring access, equity and quality. The Planning
Commission recommended strategic utilization of central funds to ensure
comprehensive and optimum planning at the State level. This led to the
formulation of the ambitious Centrally Sponsored Scheme (CSS), namely
RashtriyaUchchatarShikshaAbhiyan (RUSA).
The National Development Council (NDC) had approved the Scheme as part
of the 12thPlan proposal for the MHRD. The Central Advisory Board on Education
(CABE), the highest advisory body of the Government of India in education on
policy matters, in its meeting dated 08.11.2012 gave in-principle approval to RUSA.
Subsequently it was included in the list of 66 schemes approved by Cabinet on
20.06.2013, as part of the restructured CSSs for implementation in the 12th
Plan. The
Expenditure Finance Committee (EFC) appraised the Scheme on 11 th September
2013 and recommended it for approval. Finally, with the approval of Cabinet
Committee on Economic Affairs (CCEA) on 3rd October, 2013, RUSA became the
final tier of the CSSs of the MHRD, which began with SarvaShikshaAbhiyan (SSA)
and graduated subsequently to RashtriyaMadhyamikShikshaAbhiyan (RMSA).
RUSA would be spread over the 12th and 13th Plan period for funding the
States, state universities and colleges to achieve equity, access and excellence in
higher education. The allocation of funds under RUSA would be based on well-
defined norms and parameters and linked to certain key academic, administrative
and governance reforms in the in the State higher education system which
currently enrolls over 96% of the students.The Scheme will be implemented through
the Ministry of Human Resource Development (MHRD) with matching
contributions from the State governments and Union Territories (UTs).
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All the States have already been addressed vide the MHRD letter D.O No. 4-
18/2012-U.II,dated 8thOctober, 2013 regarding the implementation of RUSA and their
willingness to participate in the scheme(see Annexure I).
These guidelines are intended for the use of States and institutions in preparing for
participation in the reform process under RUSA during the 12 th Five Year Plan
period. The guidelines are not for the guidance of the states and institutions. The
basic narrative and approach of RUSA is outlined in the RUSA document which
can be accessed from the website of Ministry of Human Resource Development
(www.mhrd.gov.in/rusa). These guidelines should be read along with the
document and any deficiency or gap (or interpretation should be with reference tothe RUSA document)
2. Vision and Mission
To attain higher levels of access, equity and excellence in the State higher education
system with greater efficiency, transparency, accountability and responsiveness.
3. Objectives
To achieve the Gross Enrolment Ratio (GER) target of 25.2% by the end of
12thPlan and 32% by the end of 13 thPlan.
Improve the overall quality of existing State higher educational institutions
by ensuring their conformity to prescribed norms and standards
Adoption of accreditation as a mandatory quality assurance framework.
Usher transformative reforms in the State higher education system by
creating a facilitating institutional structure for planning and monitoring.
Ensure governance, academic and examination (and evaluation) reforms and
establish backward and forward linkages between school education, higher
education and the job market.
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Expand the institutional base by creating additional capacity in existing
institutions and establishing new institutions in un-served and underserved
areas by way of upgradation and consolidation.
Create opportunities for states to undertake reforms in the affiliating system.
Ensure adequate availability of quality faculty in all higher educational
institutions and ensure capacity building at all levels.
Create an enabling atmosphere in institutions to facilitate research and
innovation.
Integrate the skill development efforts of the government through optimum
interventions.
Correct regional imbalances in access to higher education.
Improve equity in higher education by providing adequate opportunities to
socially deprived communities; promote inclusion of women, minorities,
SCs/STs/OBCs and differently- abled persons.
To identify and fill up the critical infrastructure gaps in higher education by
augmenting and supporting the efforts of the State governments.
Promote healthy competition amongst states and institutions to address
various concerns regarding quality, research and innovation.
Clearly define role of State governments vis-a-vis higher educational
institutions and facilitate the creation of State Higher Educational Councils
(SHECs).
4. Key Features
RUSA is an umbrella scheme operated in mission mode that would subsume
other existing similar schemes in the state higher education sector.
Funding under RUSA would be norm-based and future grants would be
performance-based and outcome dependent.
Commitment by States and institutions to certain academic, administrative
and governance reforms will be a precondition for receiving funding.
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Funds would flow from the Ministry of Human Resource Development
(MHRD) to universities and colleges, through the State governments/ SHEC.
Funding to the States would be made on the basis of critical appraisal of
State Higher Education Plans (SHEPs). SHEP should address each States
strategy to address issues of equity, access and excellence.
Each institution will have to prepare an Institutional Development Plan
(IDP) for all the components listed under the Scheme. It will be aggregated
at the State level, after imposing a super layer of State relevant components
into the SHEP.
State Higher Education Councils (SHEC) will have to undertake planning
and evaluation, in addition to other monitoring and capacity building
functions.
SHEC will be the key institution at the state level to channelize resources to
the institutions from the State budget. It will also be responsible for advising
the states in ensuring a balanced development of the sector and prevent
distortions in terms of overcrowding and over commercialization.
Two on-going Centrally Sponsored Schemes of Model Degree Colleges and
sub-mission on polytechnics will be subsumed under RUSA.
UGC Schemes such as development grants for State universities and
colleges, one-time catch up grants, etc. will be dove-tailed in RUSA.
Individual oriented schemes (for teachers, students etc) would continue to
be handled by UGC.
Centre-State funding would be in the ratio of 90:10 for North-Eastern States,
Sikkim, J&K, Himachal Pradesh and Uttarakhand and 65:35 for Other States
and Union Territories (UTs).
States would be free to mobilize private sector participation (including
donations and philanthropic grants) through innovative means, limited to a
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ceiling of 50% of the State share (see chapter 6 of RUSA document for more
details).
States would be free to further leverage the RUSA resources through
supplementary funds mobilised through different government programmes,
like DoNERs and Dept of Economic Affairs administered Viability Gap
Funding schemes, MPLAD, local body contributions, municipal funds, rural
development or urban development programmes, rural and urban
employment guarantee schemes etc. RUSA would also try to harmonise the
states efforts with existing/proposed central sector schemes like NMEICT,
PURSE etc.
State-wise allocations would be decided on the basis of a formulaic Fund
Equalization Matrix, which would factor in the population size of the
relevant age group, GER and Gender Parity Index (GPI) and Equity Index
across categories, State expenditure on higher education, institutional
density, teacher-student ratio, issues of access, equity and quality and
excellence in higher education etc. (see Annexure V). Further allocation of
funds would be dependent upon performance of the state and its
demonstrated commitment to the reforms agenda.
5. Target Group
All State public Universities and colleges {both 12B and 2(f) as well as non-
12B and non-2(f)}.
Government-aided colleges would be entitled to some components
(including infrastructure support) as approved by the PAB. Funding to such
colleges would be decided based on their antiquity, stature, need and other
parameters on a transparent and objective basis. (see section 4.2 of RUSA
document for more details).
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6. Approach and Strategy
RUSA would follow a bottom-up approach for planning and budgeting to
address multiple and graded inequalities and promote need based planning.
States would be encouraged to undertake strategic thinking and planning
keeping future needs of the higher education in mind. Both demand side
and supply side challenges need to be addressed by the SPPs (State
Perspective Plans). RUSA Mission Authority as well as PAB would
appreciate well rounded and comprehensive plans.
States would also become equal partners in planning and monitoring. The
yardstick for deciding the quantum of funds for the States and institutions
under RUSA comprise the norms that reflect the performance in key result
areas: access, equity and excellence, after the over-all entitlement of the
states is decided based on the Equalization Matrix.
Access, Equity, and Excellence would to be the key thrust areas. Considering
the inter-linkages between them and taking into consideration the current
realities existing in the country, these objectives would be pursued through
differentiated strategies with nuanced inter linkages. This would necessitate
reforms in governance arrangements at all levels (National, State and
Institutional), with suitable implementation frameworks, regulatory
interventions and monitoring arrangements.
Planning process would begin at the institutional Level, with the IDP based
on inputs/ discussions with the stakeholders within the institution. These
IDPs would be aggregated to form the SHEP. The SHEP would have mainly
two components; State component and institutional component.The SHEP
would be further broken down into annual plans, by taking the various
factors under the eighteen components into consideration. These annual
plans will constitute the basis for determining the funding to states (format
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of the IDP and SHEP are placed at Annexure II and Annexure III; also see
sections 7.5 and 7.6 of RUSA document).
In order to be eligible for funding under RUSA, States will have to fulfil
certain prerequisites towards reform process which include academic,
sectoral and institutional governance reforms (details in Chapter 7 of this
document).
Each State must undertake baselinesurveys and stakeholder consultations
which should constitute the basis for preparing IDPs and SHEPs. Targets
should accordingly be prepared against each item against which
performance and progress would be measured.
Once eligible for funding under RUSA, the States will receive funds on the
basis of achievements and outcomes. Future funds flows would be
determined based on outcomes and achievements against the targets.
RUSA would enable and empower the States to develop sufficient
capabilitiesto plan, implement and monitor initiatives for the higher
education sector as a whole.
Preparatory funds that would be provided to the State governments to equip
them for complying with the prerequisites and create necessary institutional
structures and human resource capabilities.
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PROCESS FLOW
9.Monitoring
8.Fund Allocation and Disbursement to State
7. Final Agreement between State and Mission Authority
6. Approval of Plans by PAB
5. Appraisal by TSG
4.Submission of SHEP(including Perspective Plan,Annual Plan and Financial & WorkPlan)
3. MoU between Mission Authority and States/SHEC
2.Appraisal of Preparedness of States by Technical Support Group and PAB at NationalLevel
1. State Indicate Willingness to Participate and Commitment to Fulfilling the Prerequisites
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7. Prerequisites
Prerequisites would be at two levels; commitment given by the States to the
Centre and the commitment given by institutions to the States and Centre.Unless these commitments are fulfilled, the states and institutions will not be
eligible to avail grants (see section 4.8 of RUSA document for more details).
States Institutions
Setting up of SHEC
SHEP (including PerspectivePlan, Annual Plan and
Financial & Work Plan)
State funding commitment
share and timeliness
Filling up of faculty positions
Governance and
administrative reforms
Accreditation and quality
commitments
Affiliation, Academic and
Examination reforms
Institutional governance reforms
Academic and examinationreforms
Accreditation Commitments
Project Management Teams
Equity Commitments
Commitments on research and
innovation efforts
Faculty recruitment and
improvement
Establishment of MIS
Regulatory compliance
8.
General Norms
These norms are over arching/universal norms which are applicable for all
components of RUSA (until and unless specified otherwise in a specific component)
All land will be provided free of cost by the State governments. The states
shall be the exclusive owner of the land required for any activity under RUSA.
The State government shall acquire and have undisputed possession of land in
cases where a new institution is proposed to be set up or existing one is
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proposed to be expanded. Any future legal disputes will also be handled by
the State government and the Centre shall not be a party to any such dispute.
In case any aided institution is to be supported, the state shall provide a clearundertaking that any legal disputes arising out of ownership of land or
building shall be defended/litigated by the state at its own cost and such costs
shall not be loaded on to RUSA.
For all civil works, the cost estimates mentioned for RUSA components would
constitute the upper limit, when deciding the central support under RUSA.
However in case the State SSR (or SAR) is lower than the cost estimates of
RUSA, it will be State SSR/SAR which shall apply for determining the central
share. In other words, central share for civil works under any component shall
be restricted to either RUSA estimate or of the State SSR/SAR, whichever is
lower.
However States would be free to enhance its own share for any component. It
may also add new components, which are not mentioned under RUSA
provided it is willing to bear the entire additional expenditure.
The States would be free to mobilize up to 50% of their share through private
grants and donations, Corporate Social Responsibility (CSR) contributions,
Public Private Partnerships (PPP) etc.
States will be free to leverage resources or add extra components on to any of
the RUSA targets. They may also dovetail any of the existing schemes of the
state or centre for fusion gains. These schemes may be MPLAD, local body
funds (panchayat or municipality by whatever name known), JNURRM, -,
NMEICT, RIDF etc. (This list is only illustrative and not exhaustive).
States, especially in the North Eastern region, may also consider availing of
Viability Gap Funding (VGF), administered by the Department of North
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Eastern Region (DoNER). Similarly, States located outside the North Eastern
Region may avail the VGF administered by the Department of Economic
Affairs, Ministry of Finance.
States may engage any of the Central/State agencies such as the Central Public
Works Department (CPWD), State Public Works Department (PWD) and State
and Central PSUs for civil works. In all cases States would be required to
follow the relevant State Treasury rules and procedures.
States would be required to procure all consumables, equipment, furniture,
fixtures etc. in accordance with the State procurement policy and relevant
rules for government procurement applicable to the states. In all such cases
competitive bidding and e-procurement method should be adopted. RUSA
PAB shall have a right to question any of the procurement which appears on a
higherside.
Affiliation reforms and accreditation norms as elaborated in Section 4.8.7 in
the RUSA document should be followed by States. Accreditation shall be a
pre-requisite for all the existing institutions which are more than six years old.
Commitment of the institutions and the states to academic and examination
reforms would critically evaluated by the TSG and PAB before sanctioning
plans.
Wherever RUSA initiatives are to be supported by necessary legal instruments
(like legislation or Rules or Orders), the same shall be binding on the state.
Any consequences arising out of delay in passing the legislation or litigation
shall be fully discharged and defended by the states governments. RUSA shall
be at liberty to stop grants, or even to recover the same in case of such an
eventuality.
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Institutions participating in the programme shall maintain a separate single
account in the name of RUSA, to be operated by the head of the institution
and one representative of the institution.The account details will be shared
with MHRD, and any subsequent change in account must be done in
consultation with the Ministry.
All receipts and expenditure under RUSA shall be debited and credited to
RUSA. Interest accrued, if any on such an account shall be credited to RUSA.
States must ensure that the state machinery and the state institutions
necessarily become a part of the MIS developed by the RUSA Mission
Authority since a robust MIS only can ensure optimum gains from the project.
States would be entitled to 1% of the total state allocation
to be spent on maintaining the state TSG and other institutional structures and
corollary expenses. However, the salary of the government staff/officers
deployed by the state shall be charged on to state exchequer only.
9. Programmatic and Financial Norms of Various Components
1. Creation of Universities by way of upgradation of existing Autonomous
Colleges
2. Creation of Universities by conversion of colleges in a cluster
3. Infrastructure Grants to Universities
4. New Model Colleges (General)
5.
Upgradation of existing Degree Colleges to Model Degree Colleges6. New Colleges (Professional)
7. Infrastructure Grants to Colleges
8. Research, Innovation and quality improvement
9. Equity Initiatives
10.Faculty Recruitment Support
11.Faculty Improvement
12.Vocationalisation of Higher Education
13.Leadership Development of Educational Administrators
14.
Institutional Restructuring and Reforms15.Capacity Building and Preparation, Data Collection and Planning
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16.Management Information System
17.Support to Polytechnics
18.Management Monitoring Evaluation and Research (MMER)
Component 1Creation of Universities by way of Upgradation of Existing Autonomous
Colleges
Summary
45 autonomous colleges (autonomy granted by University Grants Commission in 2008 or
earlier) that have necessary infrastructural facilities, antiquity, teaching strength and quality
will be considered for up-gradation to Universities.
The conversion plan for the creation of universities must include stage-wise planning with
regard to expansion in infrastructure, number of students, departments, administration,
academic functions, research activities, etc. It must also cover the timelines and concrete
steps that will be taken for conversion of the college into a new University. The state shall
also preferably define the jurisdiction of the university in terms of affiliation in order to
address affiliation problems. The requisite additional staff (both teaching and non teaching)
shall have to be sanctioned by the state government. The transition plan for existing officers
and employees has to be an integral part of the conversion plan.
I. Existing autonomous colleges which fulfil the following requirements will only
be considered for upgradation:
I (a). Physical Infrastructure
Must have been in existence for at least 15 years.
The minimum existing enrollment of the college must be 2000 and the proposed total
enrolment of students must be enough to sustain the institution as a university witha minimum enrolment requirement of 4000 students.
The land already available with the college must be enough to support the additional
enrollments and capacity (at least 15 -acres in mega cities, 20 acres in metro cities and
25 acres in rest of the country). In case the college does not have the adequate land,
the state may identify and allocate the balance land in the vicinity (by allocation or
acquisition). However the land shall be adjacent to the existing colleges and should
be within a radius of One km. Additional capacity may be created by vertical
extension of existing institutions, wherever possible.
Should have adequate library, hostel, laboratory, ICT and sports facilities for the
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existing student strength, in order to facilitate smooth transition in its existential
identity.
I(b). Academic Quality
Should have been accredited by NAAC and must have received not less than an A
Grade accreditation.
Should also preferably enjoy the status of College with Potential for Excellence (CPE)as
conferred by the UGC.
Should have teaching programmes both in undergraduate and postgraduate courses.
It must also have credible research capacity as evidenced through research,
guideship and publications of faculty members.
The college must be multi-faculty (at least two or more faculties such as Arts,
Commerce, Science, Engineering, Law etc)
Should have inter-disciplinary programmes in teaching and research.
Should have a studentteacher ratio of 20:1.The ratio will be counted by dividing the
total sanctioned positions to total regular student intake (during 2012-13). The target
eventually will be to bring the ratio down to 15:1.
I (c). Governance and related issues
Must have a robust internal governance structure: with Academic Council, Board of
Studies/Research Councils and Finance Committees as per the guidelines of the
regulatory body.
Must have enough administrative staff and the capacity to function and be managed
as a University. States are required to sanction additional staff as soon as the
approval of PAB is received.
II. Future Commitments
Apart from clearly specifying the need for university status, the college seeking university
status should commit to the requirements and expectations listed below:
II (a). Physical Infrastructure
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Convert all the existing buildings into fully disabled friendly buildings to improve
access.
Ensure special facilities/equipments for the disabled students.
Adequate hostel and toilet facilities for girls.
Excellent per student availability of classrooms, laboratories and library space.
II(b). Academic Quality
Inter-disciplinary and trans-disciplinary programmes should be encouraged; the
upgraded institution should be a multi-disciplinary university.
Commit to rigorous evaluation on the indicators under the Institutional Plantemplate with greater weightage on Quality and Research index after 3 years of its
establishment as a University (see page 194 of RUSA document).
Commit to adequate library, laboratory and hostel facilities.
Institutional governance, academic and examination reforms.
The institution must commit to inclusion of ICT in teaching and learning processes in
all its colleges and provide internet access (preferably WiFi) to all students
Specify the innovations contemplated in academics and governance.
Specify how to make innovations sustainable and scale-up.
Should have a teaching to non-teaching ratio of 1:1.1 or as prescribed by the UGC
from time to time.
The new university should not affiliate more than 100 colleges at any point of time
(or as specified by UGC from time to time, whichever is less)
Implement all academic and examination reforms.
Focus on postgraduate, MPhil and PhD enrolments.
II(c). Governance and related issues
Adherence to the provisions of the State Public Universities Act (if a single Act
governs all Universities) or commit to a new Act (if separate Acts guides the
functioning of institutions).
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The institution must be governed by a Board of Governors/governing body with a
different nomenclature having representation from academia, industry, public
intellectuals etc
The new university should be established as an affiliating university. The Stategovernment should clearly mention the jurisdiction of the university.
The institution must maintain a reasonable ratio of teaching to non-teaching staff as
per UGC recommendations.
II(d). Equity and Inclusion
Adherence to merit-based admission of students.
50% of hostel seats should be reserved for socially and economically weaker sections. Adherence to the reservation policy of State government in admission and faculty
recruitment.
Special schemes to promote inclusion and equity, and increase gender parity.
Financial
Norms
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
Cost
Per
SM
Area
(SM)
Total
Cost
Per
SM
Area
(SM)
Total
Cost
Per
SM
33371 31622 44650
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Administrative Area
& Common Facilities 2000 667.42 2000 632.44 1000 446.5
2 School of Sciences 1085 362.07 1200 379.46 1000 446.5
3 School of Social Sciences 800 266.96 1050 332.03 750 334.87
4 School of Engineering,
Technology &
Computer Technology
1200 400.45 1400 442.7 1000 446.5
5 School of Teacher
Education750 250.28 850 268.78 590 263.43
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6 School of Humanities
and Liberal Arts800 266.96 1050 332.03 750 334.87
7 Classrooms (Common) 5000 1668.55 5000 1581.1 3000 1339.5
8 Central Library along
with ComputerCentre/E-Resource
Centre 2000 667.42 2000 632.44 2000 893
9 Auditorium 1000 333.71 1000 316.22 1000 446.5
10 Canteen/Cafeteria/Toilet
Blocks/Misc.750 250.28 750 237.16 500 223.25
Total 15385 5134.1 16300 5154.36 11590 5174.92
No Item TIER 1 TIER 2 Hilly Areas
Area(SM)
TotalCost
Per
SM
Area(SM)
TotalCost
Per
SM
Area(SM)
TotalCost
Per
SM
26096 24722 32581
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Hostel 1400 365.34 1400 346.1 1000 325.81
Grand Total 19385 5499.44 20300 5500.46 12590 5500.73
Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 55 crores foreach institution.The areas indicated for each item are also ideal and may vary as per IDP.
Costs can be calculated accordingly.There is no need for any replication or duplication and
hence each IDP must take into account the existing infrastructure and facilities(e.g. If the
college already has a functional auditorium ,it need not create another one, and instead
propose an additional school)
Note 2: Each institution has the flexibility of choosing the appropriate items based on their
need (supported by evidence) in order for them to convert into a fully functional university.
The Institutional Development Plan will be appraised and evaluated at the State and
Technical Support Group levels and objective decision will be taken to support reasonableplans
Note 3: Equipment, fixtures and furniture are part of the estimate
Note 4: Staff -
(a) Non teaching The State Governments will fill/appoint additional non-teaching staff in
order to achieve the ideal teaching to non-teaching ratio of 1:1.1.
(b) TeachingState Governments will fill vacant positions and create additional
positions.Institutions with a Student Teacher ratio of 20:1 or below can approach RUSA for
support of these additional positions in order to achieve the target of 15:1
Note 5: A detailed conversion plan must be submitted by the institution.Note 6: Minimum size of a classroom should be 80 SM.
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Note 7: States ensure that the university would create at least three schools (including the
existing schools) with at least two inter-related/inter-disciplinary departments and one
centre in each school.
Component 2 Creation of Universities by conversion of colleges in a cluster
Summary
Cluster universities aims essentially at addressing the critical gaps in the spatial
distribution of higher educational institutions across the States. 35 new cluster universities
would be created during the current Plan period with an average allocation of Rs.55 crore
per university through the clustering of existing affiliated government and government-aided colleges. These universities will be created by pooling the resources of 3 to 5 existing
colleges(2 to 3 colleges for NER States) that have adequate academic, physical and technical
infrastructural facilities. All the participating colleges in a cluster should eventually become
constituent colleges of the newly created university.
Colleges identified as Colleges with Potential for Excellenceor any other criteria which amply
demonstrate the various quality parameters of an institution will be considered as the lead
institution or a nucleus around which the cluster university would be established. Colleges
joining the cluster must have the capacity to function as a university when coalesced. This
would include, among other factors, the strength and experience of the administrative staff,
the number of years that the individual colleges have been functioning, degree of
autonomy they have enjoyed in the past, etc.
The conversion plan for the creation of universities must include stage-wise planning with
regard to expansion in infrastructure, number of students, schools and departments,
administration, academic functions, research activities, etc. It must also cover the timelines
and concrete steps that will be taken for the integration of all the concerned colleges as wellas the expected end state of the new University.
I. The requirements that need to be fulfilled by each of the participating colleges are
listed below:
I (a). Physical Infrastructure
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At least two of the participating colleges should have been in existence for 15 years.
Should have an existing combined enrollment of 2000 students and the proposed total
enrollment of students must be enough to sustain the institution as a university with a
minimum enrolment requirement of 4000 students.
As the university would be a multi-campus university, the physical proximity of the
institutions should be such that they are able to share physical and human resources
and would be able to facilitate student and faculty mobility (ideally within a maximum
radius of 15-20 kms from the lead institution (to take into account the special condition
of North East Region States).
The State government should identify a nucleus college or ensure the availability ofnecessary land required for the university in and around the nucleus college to build
university super-structure. The combined land availability should be at least 15 acres in
mega cities, 20 acres in metro cities and 25 acres in rest of the country.
I (b). Academic Quality
The new cluster university may be a combination of colleges with autonomous status/
College with Potential for Excellence status/Special Assistance received from reputed
international or national funding agencies/ Centers of Excellence as identified by State
Governments/UGC, etc.
All participating colleges should have NAAC accreditation, higher grades will be
preferred. A grade is desirable.
Should have teaching programmes in undergraduate and postgraduate courses or have
the demonstrated ability to undertake postgraduate programmes.
Must have a few faculty members with excellent research performance through
publications, undertaking research projects and guiding research students. Should have demonstrated high academic performance in inter-disciplinary teaching
and research programmes.
Should have a Studentteacher ratio (20:1)(combined based on sanctioned strength)
The combined graduate and postgraduate departments proposed by the institutions
must be able to lay the foundation for a multi-disciplinary institution (covering at least
two or more of the humanities, arts, commerce, science, engineering or other faculties)
of postgraduate studies and research. Hence, the colleges/institutions identified to be a
part of the University should have appropriate diversity in teaching and research.
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I(c). Governance and related issues
The participating colleges should have:
A robust internal governance structure as per the guidelines of the regulatory body.
Also it is advisable that such institutions should have an Academic Council/ Board of
Studies/Research Councils and Finance Committees.
Ability to raise /mobilize resources from sources other than public funding.
Equity and Inclusion
Reservation as per State norms
50% of hostel seats for socially and educationally backward classes
Enhance the enrolment of girls, socially and educationally backward classes and
minorities
II. Future Commitments
The multi-campus cluster universities must meet the following pre-requisites within three
months upon approval:
II(a). Physical Infrastructure
Commit to hostels for boys and girls.
Special facilities/equipments for the disabled.
Commit to provide adequate library and laboratory facilities.
II(b). Academic Quality
Agree to share existing facilities in partner colleges and undertake common ventures in
promoting access, equity and quality of education.
Agree to academic reforms(see section 4.8.12 of RUSA document)
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II(c). Governance and related issues
Agree to a shared vision and principles of association
Address the affiliation issues of the existing universities in the State.
Agree to certain principles of governance like equal status to participating institutions,
collective decision-making, autonomy and accountability, independence and
interdependence, physical proximity, optimal size, partnership of publicly funded
institutions, etc.
Agree to a Memorandum of Understanding which should clearly specify the nature and
extent of relationship among partnering colleges and lay down the modalities for the
functioning of the cluster.
Agree to a governance structure which should ensure equal and adequate
representation of partnering institutions for democratic decision-making and effectiveimplementation of academic programmes, financial autonomy and social
accountability(see section 4.8.9 of RUSA document).
An appropriate governance structure for cluster universities shall be detailed by
respective States through a new Act or amendments to the existing Act within a year
from the date of establishment.
II(d). Equity and Inclusion
Due preference for hostel accommodation should be given to for socially and
economically weaker sections.
Convert existing buildings into fully disabled friendly ones.
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Financial
Norms
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
CostPer
SM
Area
(SM)
Total
CostPer
SM
Area
(SM)
Total
CostPer
SM
33371 31622 44650
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Administrative Area
& Common Facilities 2000 667.42 2000 632.44 1000 446.5
2 School of Sciences 1085 362.07 1200 379.46 1000 446.5
3 School of Social Sciences 800 266.96 1050 332.03 750 334.874 School of Engineering,
Technology &
Computer Technology
1200 400.45 1400 442.7 1000 446.5
5 School of Teacher
Education 750 250.28 850 268.78 590 263.43
6 School of Humanities
and Liberal Arts 800 266.96 1050 332.03 750 334.87
7 Classrooms (Common) 5000 1668.55 5000 1581.1 3000 1339.5
8 Central Library alongwith Computer
Centre/E-Resource
Centre 2000 667.42 2000 632.44 2000 893
9 Auditorium 1000 333.71 1000 316.22 1000 446.5
10 Canteen/Cafeteria/Toilet
Blocks/Misc. 750 250.28 750 237.16 500 223.25
Total 15385 5134.1 16300 5154.36 11590 5174.92
No Item TIER 1 TIER 2 Hilly Areas
Area
(SM)
Total
Cost
Per
SM
Area
(SM)
Total
Cost
Per
SM
Area
(SM)
Total
Cost
Per
SM
26096 24722 32581
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Hostel 1400 365.34 1400 346.1 1000 325.81
Grand Total 19385 5499.44 20300 5500.46 12590 5500.73
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Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 55 crores for each
institution.
Note 2: Each institution has the flexibility of choosing the appropriate items based on their need
(supported by evidence) in order for them to convert into a fully functional university. The institutional
plan will be appraised and evaluated at the State level and objective decision will be taken to supportreasonable plans
Note3: Equipment, fixtures and furniture are part of the estimate
Note 4: Staff -
(a) Non teachingThe State Governments will fill/appoint additional non-teaching staff in order to
achieve the ideal teaching to non-teaching ratio of 1:1.1.
(b) TeachingState Governments will fill vacant positions and create additional positions. Institutions
with a Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional
positions in order to achieve the target of 15:1
Note 5: A detailed conversion plan must be submitted by the institution.Note 6: Minimum size of a classroom should be 80 SM.
Note 7: States ensure that the university would create at least three schools (including the existing
schools) with at least two inter-related/inter-disciplinary departments and one centre in each school.
Component 3 Infrastructure Grants to Universities
Summary
Infrastructure grants shall be utilized for meeting critical infrastructural needs that
would lead to immediate quality gains such as upgrading of libraries, laboratories,
equipments, hostels and toilets, etc. 150 public universities will be given a grant of
Rs.20 crore each during the current Plan period. During the current year, universities
eligible to receive catch-up grant the UGC will be covered.
Funding Priorities:
Universities will be prioritized for purposes of funding according to; (a)
universities which have not been included under section 12B. These
universities will be further prioritized on the basis of inter-se antiquity
(year of establishment; (b) universities included under section 12B but
have not received funding. First priority will be given to universities which
have been identified by UGC to give catch-up grants.
Within each of the above categories (a) and (b), those universities which
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have either already implemented or given the commitment to the earliest
implementation of institutional governance reforms, examination reforms,
academic reforms and vocationalisation of higher education will be given
priority over other universities which have not implemented/givencommitment to implement reforms.
Priority will also be accorded to universities on the basis of their NAAC
accreditation on the factors that have a direct impact on teaching-learning
process. If the institution is not accredited, its status of application for
accreditation will be considered.
Priority to universities having special attributes, character and antiquity.
Priority to universities having student-centric facilities.
Future Commitments
Institutions shall agree to abide by a Disclosure Management Framework.
Institutions should abide by the principle of mid-course assessment and
evaluation.
Financial Norms
Creation of New Facilities
Items Norms
Hostels
(separate for boys and
girls)
New Construction
Toilets
(separate for boys and
girls)
New Construction
Laboratory New Construction
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Renovation/Upgradation of Existing Facilities
Items Norms
AcademicBuildings
Renovation/Upgradation of Existing Buildings
Administrati
ve Buildings
Renovation/Upgradation of Existing Buildings
Campus
development
Beautification,Amenities,WaterSupply,Drainage,WaterHarvesting,
Alternate Energy Sources,etc.
Hostels Renovation/Upgradation of Existing Buildings/Facilities
Toilets Renovation/Upgradation of Existing Buildings/ Facilities
Library Renovation/Upgradation of
Existing Buildings/Facilities;
Digitisation of Existing
Resources/Automation
Classrooms Renovation/Upgradation ofExisting
Buildings/Facilities;Technologically
enabled classrooms
Auditorim Renovation/Upgradation of
Existing Buildings/Facilities
Canteen/Cafeteria Renovation/Upgradation of
Existing Buildings/Facilities
Laboratory Renovation/Upgradation of
Existing Buildings; Repair WorksComputer Centre Upscaling of Existing Network to
Enable WiFi
Playground Upgradation of Existing Facilities
New Equipments/Facilities
Items Norms
Sports facility New equipments/facilities
Computers New equipmentsBooks/Journals/ Purchase of new books/
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E-Resources Subscription of new
journals
Note 1: The institution may choose from the components above for upgrading theexisting facilities. Item costs would be restricted to those mentioned in Components 1
and 2 above.
Note 2: Repairs and maintenance cost shall not exceed 20% of total cost.
Note 3: Creation of New Facilities shall not exceed 35%, Renovation/
Upgradation of existing facilities shall not exceed 35% and purchase of new
equipments, creation of new facilities shall not exceed 30% of the total cost of
the project.
Note 4: Each institution has the flexibility of choosing the appropriate items based on
their need (supported by evidence) in order for them to convert into a fully functionaluniversity. The institutional plan will be appraised and evaluated at the State and
Technical Support Group levels and objective decision will be taken to support
reasonable and balanced plans.
Component 4 New Model Colleges (General)
Summary
Districts that are listed as Educationally Backward Districts under the existing 374
Model College Scheme and have not been supported so far would be considered for
funding. 60 new model colleges will be sanctioned during the current Plan period.
I. Funding Priorities:
Educationally Backward Districts will be graded into category A & B on the basis offollowing criteria; Category A districts will be will be given priority
District with 0 - 1 colleges Category A
District with 2- 4 college Category B
Districts in Category A will be given priority over Category B. However, within
Category B priority will be given on the following basis:
Low CPI (College Population Index, No of Colleges per 1,00,000 students of 18-23
age group).
High proportion of socially and economically backward population
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Low GER for female students.
Low GER (SC/ST).
Proposals already received and pending with UGC/MHRD will be considered andapproved first.
II. Future Commitments
Colleges that will be established using RUSA grants would have to fulfil the following
requirements:
Girls hostels and girls toilets.
50% of the capacity of new hostels would be used for socially and economically
weaker sections.
Make the campus disabled-friendly.
Ensure special facilities/equipments for the disabled.
Financial
Norms
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
33371 31622 44650Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Administrative
Buildings,
Faculty rooms
800 266.96 800 252.97 525 234.41
2 Laboratories 410 136.82 500 158.11 300 133.95
3 Classrooms 810 270.3 870 275.11 730 325.94
4 Library 350 116.79 400 126.48 300 133.95
5 ComputerCentre/E-campus 175 58.39 175 55.33 100 44.65
6 Toilet Blocks
separate for boys
and girls
175 58.39 175 55.33 100 44.65
7 Miscellaneous 95 31.7 95 30.04 50 22.32
Total 2815 939.35 3015 953.37 2105 939.87
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
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26096 24722 32581
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Hostel for 100
studentsseparate for boys
and girls on
60:40 ratio
1000 260.96 1000 247.22 800 260.64
Grand Total 3815 1200.31 4015 1200.59 2905 1200.51
Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 12 crores for each
institution.
Note 2: Each State has the flexibility of choosing the appropriate items based on their need
(supported by evidence) in order for them to convert into a fully functional Model Degree
Colleges. The institutional plan will be appraised and evaluated at the State and TechnicalSupport Group levels and objective decision will be taken to support reasonable plans
Note 3: Equipment, fixtures and furniture are part of the estimate
Note 4: Staff -
(a) Non teachingThe State Governments will fill/appoint additional non-teaching staff in order
to achieve the ideal teaching to non-teaching ratio of 1:1.1.
(b) TeachingState Governments will fill vacant positions and create additional positions with a
Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional
positions in order to achieve the target of 15:1
Component 5Upgradation of existing Degree Colleges to Model Degree Colleges
Summary
Out of the 640 districts in the country, 288 districts would be covered under the New
Model College Scheme. Funds will be provided for the upgradation of 54 colleges in the
12thplan period. Each college will be given Rs.4 crore for upgradation.
I. Funding Priorities
Priority will be given on the basis of College Population Index (CPI); districts with lower
CPI will get preference. Amongst similarly placed districts, following criteria will be
used to grade the districts in A, B and C categories:
High proportion of socially and economically backward population Low GER for female students
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Low GER (SC/ST)
Colleges will be further selected from the priority districts based on student
population, antiquity, special attributes, etc.
II. Future Commitments
Colleges must have to fulfill the following requirements:
Hostels and toilets for girls.
50% capacity of the new hostels for socially and economically weaker sections
Make the campus disabled-friendly.
Ensure special facilities/equipments for the disabled.
Financial Norms
Creation of New Facilities
Items Norms
Administrative building
and common facilities
New Construction
Seminar Room/CommitteeRooms/
New Construction
Hostels
(separate for boys and
girls)
New Construction
Toilets
(separate for boys and
girls)
New Construction
Laboratory New Construction
Library New ConstructionComputer Centre New Construction
Academic
Block(Classrooms)
New Construction
Common Room for
Students
New Construction
Canteen/Cafeteria New Construction
Renovation/Upgradation of Existing Facilities
Items Norms
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Academic Buildings Renovation/Upgradation of
Existing Buildings
Administrative
Buildings
Renovation/Upgradation of
Existing Buildings
Campus development Beautification, Amenities, WaterSupply, Drainage, Water
Harvesting, Alternate Energy
Sources, playgrounds, etc.
Hostels Renovation/Upgradation of
Existing Buildings/Facilities
Toilets Renovation/Upgradation of
Existing Buildings/ Facilities
Library Renovation/Upgradation of
Existing Buildings/Facilities;Digitisation of Existing
Resources/Automation
Classrooms Renovation/Upgradation of
Existing
Buildings/Facilities/Technologically
enabled classrooms
Auditorium Renovation/Upgradation of
Existing Buildings/Facilities
Canteen/Cafeteria Renovation/Upgradation ofExisting Buildings/Facilities
Laboratory Renovation/Upgradation of
Existing Buildings; Repair Works
Computer Centre Upscaling of Existing Network to
Enable WiFi
New Equipments/Facilities
Items Norms
Sports facility New equipments/facilities
Computers New equipments
Books/Journals/
E-Resources
Purchase of new books/
Subscription of new
journals
Note 1: The institution may choose from components above. Item costs would be restricted to
those mentioned in Component 4 above.Note 2 :Creation of New Facilities shall not exceed 35%, Renovation/ Upgradation of
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existing facilities shall not exceed 35% and purchase of new equipments, creation of new
facilities shall not exceed 30% of the total cost of the project.
Component 6 New Colleges (Professional)
Summary
Grants will be provided for establishing new professional colleges in each of the 22
states having below the national average GER in technical education. The number of
colleges for each state will be based on the evaluation of the proposals submitted by the
States. 40 new engineering colleges would be sanctioned in the 12 thPlan period. States
which are over-saturated in terms of institutional density and vacant seats will not beconsidered for grants.
I. Funding Priorities
Districts will be graded into category A and B on the basis of the following criteria:
District with 0 professional college Category A
District with 1 professional college Category B
Districts in category A will be given priority over B; within category B, priority will
be given to proposals that clearly spell out the areas where new professional colleges
will be established. Proposals must also justify the location of the new proposed
college keeping in mind the following factors:
Districts without colleges
High proportion of socially and economically backward population
Low GER for female students
Low GER (SC/ST)
Student Population
II. Future Commitments
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Colleges must have to fulfill the following requirements:
Hostels and toilets for girls.
50% capacity of the new hostels for socially and economically weaker sections
Make the campus disabled-friendly with ramps and tactile pathways.Ensure special facilities/equipments for the disabled
Financial
Norms
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
33371 31622 44650
Rs. InLakh
Rs. InLakh
Rs. InLakh
1 Administrative
Building and
Common
Facilities. 1200 400.45 1200 379.46 800 357.2
2 Seminar Room 300 100.11 300 94.86 200 89.3
3 Library 300 100.11 300 94.86 300 133.95
4 Academic Block
(classrooms etc) 1000 333.71 1000 316.22 1000 446.55 Electronics Lab 300 100.11 350 110.67 200 89.3
6 IT Lab Electrical 300 100.11 350 110.67 200 89.3
7 CNC Lab 250 83.42 250 79.05 200 89.3
8 Mechatronics
Lab 300 100.11 350 110.67 200 89.3
9 Chemical Lab 200 66.74 250 79.05 175 78.13
10 Civil Lab 200 66.74 250 79.05 175 78.13
11 Instrumentation
Lab 300 100.11 350 110.67 200 89.312 Workshop 250 83.42 250 79.05 250 111.62
13 Computer
Centre cum
Cyber Caf 700 233.59 700 221.35 400 178.6
14 Conference
Room 250 83.42 250 79.05 250 111.62
15 Confidential
Room 200 66.74 200 63.24 150 66.97
16 Committee/Syndicate Room 300 100.11 300 94.86 150 66.97
17 Common Room 150 50.05 150 47.43 150 66.97
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for students
18 Toilet Block 200 66.74 220 69.56 150 66.97
19 Cafeteria 90 30.03 100 28.45 50 22.32
Total 6790 2265.82 7120 2248.22 5200 2321.75
No Item TIER 1 Cities TIER 2 Cities Hilly Areas
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
Area
(SM)
Total
Cost
Per SM
26096 24722 32581
Rs. In
Lakh
Rs. In
Lakh
Rs. In
Lakh
1 Hostel 1280 334.02 1420 351.05 855 278.56
Grand Total 7690 2599.84 8140 2599.27 5750 2600.31
Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 26 crores for each
institution.
Note 2: Each institution has the flexibility of choosing the appropriate items based on their need
(supported by evidence) in order for them to convert into a fully functional university. The
institutional plan will be appraised and evaluated at the State and Technical Support Group level
and objective decision will be taken to support reasonable plans
Note 3: Equipment, fixtures and furniture are part of the estimate
Note 4: Staff -
(a) Non teaching
The State Governments will fill/appoint additional non-teaching staff in orderto achieve the ideal teaching to non-teaching ratio of 1:1.1.
(b) TeachingState Governments will fill vacant positions and create additional positions with a
Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional
positions in order to achieve the target of 15:1
Component 7 Infrastructure Grants to Colleges
Summary
Infrastructure grants can be utilized by the colleges to address critical needs in
institutional infrastructure, especially for creating/upgrading laboratories, libraries,
hostels, toilets etc.3500 colleges will be given grant of Rs.2 crore each during the 12 thPlan
period.
Funding Priorities
Colleges will be prioritized for purposes of funding according to; (i) colleges
which have not been included under section 12B. These colleges will be further
prioritized on the basis of inter-se antiquity (year of establishment; (ii) colleges
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included under section 12B but have not received funding.
Within the categories (i) and (ii) colleges will be divided into category A, B & C on the
basis of following criteria:
No of Students
Year of Establishment
% of SC/ST/OBC and Women students
Priority will be given to colleges on the basis of NAAC grade.
If the institution is not accredited, its status while applying for accreditation
will be considered.
Colleges not covered by UGC grants will be preferred.
Financial Norms
Creation of New Facilities
Items Norms
Hostels(separate for boys and
girls)
New Construction
Toilets
(separate for boys and
girls)
New Construction
Laboratory New Construction
Computer Centre New Construction
Classrooms(including
technologically enabledclassrooms)
New Construction
Common Room for
Students
New Construction
Canteen/Cafeteria New Construction
Renovation/Upgradation of Existing Facilities
Items Norms
Academic Buildings Renovation/Upgradation ofExisting Buildings
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Administrative Buildings Renovation/Upgradation of
Existing Buildings
Campus development Beautification, Amenities,
Water Supply, Drainage, Water
Harvesting, Alternate EnergySources, playgrounds, etc.
Hostels Renovation/Upgradation of
Existing Buildings/Facilities
Toilets Renovation/Upgradation of
Existing Buildings/ Facilities
Library Renovation/Upgradation of
Existing Buildings/Facilities;
Digitisation of Existing
Resources/AutomationClassrooms Renovation/Upgradation of
Existing Buildings/Facilities
Auditorium Renovation/Upgradation of
Existing Buildings/Facilities
Canteen/Cafeteria Renovation/Upgradation of
Existing Buildings/Facilities
Laboratory Renovation/Upgradation of
Existing Buildings; Repair
WorksComputer Centre Upscaling of Existing Network
to Enable WiFi
New Equipments/Facilities
Items Norms
Sports facility New equipments/facilities
Computers New equipments
Books/Journals/
E-Resources
Purchase of new books/
Subscription of new
journals
Note 1: The institution may choose from the components above for upgrading the
existing facilities. Item costs would be restricted to those mentioned in Component
4, wherever new construction is permitted.Note 2: Repairs and maintenance cost shall not exceed 10% of total cost
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Note 3 :Creation of New Facilities shall not exceed 35%, Renovation/ Upgradation
of existing facilities shall not exceed 35% and purchase of new equipments, creation
of new facilities shall not exceed 30% of the total cost of the project .
Note 4: Each institution has the flexibility of choosing the appropriate items based
on their need (supported by evidence) in order for them to convert into a fully
functional Model Degree College. The institutional plan will be appraised and
evaluated at the State and Technical Support Group levels and objective decision
will be taken to support reasonable and balanced plans
Component 8 Research, Innovation and quality improvement
Summary
During the current plan period, 10 States will receive funds under this component to
facilitate research and innovations.
Components to be funded (this list is only illustrative. All innovative schemes will
be funded as per the decision of the PAB)
States that have either already implemented reforms or given the commitment to
the earliest implementation of reforms that would facilitate research and
innovation at institutional level.
Plans for providing facilities that support research hubs/parks etc.
Adoption of meta-university concept that offer cross university education and
credit transfer facility to students
Procure high quality e-resources
Upgrade library and laboratory facilities
Facilities like incubation centers, innovation hubs, etc.
Initiatives to attract top-rated international faculty
Competitive compensation for faculty
Initiatives to attract high quality researchers and students
Institutions that offer merit-based scholarships, fully-funded doctoral fellowships,
post-doctoral fellowships
Exposure visits for both faculty and students
Faculty and students exchange programmes with world-class institutions
Initiatives to scale up industry-academia partnership
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Promotion of inter-disciplinary and trans-disciplinary research centers
Promotion of research and entrepreneurial activities
Support for the setting up of science parks and cutting edge technology and
instrumentation facility
Support different types of research programs Base Research, Key Technology
(R&D), High end (R&D), etc.
Develop a network of top quality University Convergence model
Outreach and public engagement facility
Staff Excellence and organizational Stewardship
Support in bifurcating undergraduate, postgraduate and research programmes
Identify a few departments or fields of critical importance and move them into aposition of world leadership while striving to prevent others from losing such
stature.
Special grants to faculty for conducting outstanding research.
Financial
Norms
An amount of Rs. 120 crores would be given to each of the 10 States
which meet the prerequisites. States will have to prepare a Research and
Innovation Plan (RIP) with components. PAB will be at liberty to
approve the plan in its entirety or restrict it to a few selected
interventions. States can leverage this plan through CSR, PPP, industry
participation,etc. Weights will be assigned wherever extra resources are
promised in the RIP.
Note 1: Expenditure on hard components would be restricted to 60% of the
total cost of the estimate. 40% would be towards expenditure on soft
components. Hard components include buildings, furniture, fixtures,
equipments etc. However, computers and ICT infrastructure, books and
consumables would not be treated as hard components.
Note 2: Buildings/construction should not exceed 10% of the sanctioned
amount.
Note 3: Each institution has the flexibility of choosing the appropriate items
based on their need (supported by evidence) in order for them to convert into a
fully functional university. The institutional plan will be appraised and
evaluated at the State and Technical Support Group levels and objective decision
will be taken to support reasonable and balanced plans
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Note 4: States may decide the about unit of implementation. It can be either the
State as a whole or a few select institutions.
Component 9 Equity Initiatives
Summary
During the 12thPlan period, 20 States will receive funds under this component. All State
universities and colleges will be eligible to receive grants for equity initiatives. Innovative
approach/schemes to ensure greater inclusion will be considered on priority.
Funding Priorities
Better participation rate of SC/ST/OBCs against specified percentages ofreservations in institutions.
The number of institutions that have/plan to create:
Equal opportunity cells
Remedial classes, language labs, etc.,
Financial aid and scholarships for socially and economically backward students
Equity and gender sensitization campaigns
Innovative schemes/programmes to enhance equity and inclusion
Financial
Norms
Each State would be given an amount of Rs. 5 crores. States will be at
liberty to design State-specific strategies. Even the unit of
implementation can be either the State as a whole or a few select
institutions.
Component
10
Faculty Recruitment Support
Summary
Support will be provided to fill positions in the category of Assistant Professor or
equivalent cadre against vacancies. 5000 such positions would be supported during the
current plan period. All the State universities will be eligible to receive grants under
this programme. The recruitment process will have to adhere to UGC norms and
regulations.
Funding Priorities:
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Commitments of States to take over the liability of faculty
positions at the end of the scheme(after 5-8 years, depending on
the year in which such positions are sanctioned)
Priority will be given to those states where more recruitment hastaken place in the universities and colleges during the last 3 years
Lowest number of unfilled faculty positions.
Better student-teacher ratio
Priority will be given to new institutions.
Second priority shall be given to those states which have a faculty-
student ratio between 15:1 to 20:1.
States with more than 20:1 ratio will have to first commit to
sanction and fill positions to bring down the faculty-student ratio
to 20:1.
UGC regulations on minimum qualifications should be followed
Financial
Norms
Rs.5.8 lakh for each faculty position per year. This is a fixed amount and
any excess over and above this amount due to higher scales, grade pay or
DA increase has to be borne by the State government.
Component 11 Faculty Improvement
Summary
States will be given funds to develop faculty, improve academic and pedagogical skills of
teachers, develop innovative strategies to enhance quality of teaching, research and
innovation by teachers. States may select any of the existing training institution or even a
university or Academic Staff College for this purpose.
Financial
Norms
As per need. Rs. 10 crores will be given for each of the identified
states.20 States will be supported in the current plan period.
Component 12Vocationalisation of Higher Education
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Summary
Funds for vocationalisation will be given to all the States/State universities.
Funding Priorities
Implementing National Vocational Education Qualifications
Framework(NVEQF)
Strengthening governance, management and financing for vocational education,
modernization of management and governance policies, procedures and
instructional structures , design and implementation of effective mechanisms for
monitoring and evaluation of the projects, support for project coordination,implementation and management
Developing educational standards and core curriculum as the basis for the
institution to design new program, preparation of teacher-training programs for
design and delivery of competency- based and modularized curriculum
Enhancing skills delivery including development and delivery of competency
based training and continuous skill upgradation
Counseling for choice of training and career planning
Infrastructure support towards the creation and delivery of new programs
Curriculum reforms with backward and forward linkages so as to integrate school
curriculum with job market demand
Career oriented courses
Financial
Norms
Rs. 15 crores would be given to each of the identified States.20 States
will be supported in the current plan period. This will be used to
support State Universities in the States.
Component 13 Leadership Development of Educational Administrators
Summary
This is a centrally administered program for professional development for the
professional development of educational administrators/academic leaders/policy
makers. This scheme will support leadership development programmes fordepartment heads, deans, registrars, principals, vice-principals, vice-chancellors, pro
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vice-chancellors, SHEC members, state project directors, commissioners, secretaries
etc. Besides, capacity building initiatives will be provided to State-level policy makers
and members of governing bodies at the institutional level.
I. Funding Priorities
All states/State Universities and Colleges (government and government-aided) will
be eligible.
II. Future Commitments
All those undergoing training under this scheme should be provided appropriate
leadership positions at the institutional level in accordance with established
procedures.
All the participants of such training programmes shall be tracked periodically to
ensure that the knowledge acquired from such programmes are implemented at
the institutional level.
Preference in selection for training shall be given to those faculty/educational
administrators who are below the age of 50 and have demonstrated leadership
skills in their respective institutions.
Women faculty shall be highly encouraged to participate in this program.
Financial
Norms
An amount of Rs. 100 crores has been earmarked for centrally
administering leadership training and development programmes.
Component 14 Institutional Restructuring and Reforms
Summary
Funds will be provided to States and Union Territories (depending on the size of the
states) to enable them to create/strengthen necessary institutional framework for
efficient and effective sectoral reforms. These funds can be utilized for setting
up/strengthening State Higher Educational Councils, State Resource Centers and State
Project Directorate.
Funding Priorities
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Creation of SHEC
Creation of State Accreditation agencies.
States which have already undertaken sectoral, academic and governance reforms
or have committed to undertake them as a part of their willingness to participate inRUSA.
Financial Norms
Each State will be given Rs. 10 crore repeated
in two installments.20 States will be eligible to be covered during the
12thPlan period.
Note: States that have already established SHECs will have to give a
detailed proposal detailing the funds required for strengthening the
existing ones and the activities to be carried out in the next two years.Final decision on the amount to be sanctioned will be taken by the PAB
on the basis of a differential funding method.
The states can utilize these resources in organizing meetings,
consultations, workshops, trainings, hiring consultants and other
preparatory work to prepare the state for the reforms and for setting
up/strengthening State Higher Educational Councils, State Resource
Centers and State Project Directorate.
Component 15 Capacity Building and Preparation, Data Collection and Planning
Summary
Funds will be given to States and Union Territories to
Undertake baseline surveys
Data collection and compilation.
Organise meetings, consultations, workshops, trainings Hire consultants
Preparation of State perspective plans/strategy reports
Utilization of Funds
Funds will be given upfront to all the States which agree to participate in RUSA to
undertake baseline surveys (to the extent of Central share).
Baseline survey shall be able to identify critical gaps in higher education and which would
help in undertaking capacity building exercises to prepare SHEPs through strategicthinking.
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Financial
Norms
Each State will be given a total amount of Rs.10 crore repeated
in two installments.20 States will be supported during the current plan
period.
Component 16 Management Information System
Summary
Funds will be provided to create and maintain strong data systems at the State level for
surveys and analysis that could provide information to the national MIS. The RUSA MIS
and All India Survey on Higher Education (AISHE) will be integrated. Hence all the
participating institutions/states will be mandated to participate in the AISHE and provide
detailed information so that the data on State Universities and Colleges can be
consolidated.
Utilisation of Funds
The MIS shall be centrally designed, developed and implemented.
It shall cover all participating bodies and institutions.
A common tool shall be developed to generate standardized information that would
help in monitoring progress of reforms, utilization of resources etc.
Universities and colleges shall be provided adequate infrastructural support to
install the MIS and required training to the personnel for using the system.
Financial
Norms
Each State would be given an amount of up to Rs. 2 crore for
covering recurring expenditure/maintenance, etc.
Design and Development of MIS including State and institutional
level modules will be done centrally.
Equipments would be procured centrally.
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Component 17 Support to Polytechnics
Summary
In consonance with the Planning Commission guidelines, the existing scheme regarding
Sub-Mission on polytechnics will be merged with RUSA.
Funding Priorities
Setting up of new polytechnics
Strengthening of existing polytechnics
Construction of womens hostels in polytechnics
Scheme of community development through polytechnics (CDTP) to
provide non-formal, short-term, employment oriented skill
development programmes through AICTE approved polytechnics.
Financial
Norms
1. Setting up of New Polytechnics
Financial assistance will be provided to States / UTs, limited to Rs.12.30 crore
per institution to meet the costs of establishing a polytechnic in districts which
do not have any government polytechnic and also under-served districts;
subject to the respective State / UT Governments providing land free of cost,
meeting 100% recurring expenditure and also non-recurring expenditure
beyond Rs.12.30 crore.
2. Strengthening of existing Polytechnics
Financial assistance would be provided to upgrade infrastructural facilities of
500 existing diploma level public funded polytechnics by (i) providing
financial assistance for modern equipments and replacement of obsolete
equipments, (ii) providing modern facilities for application of IT in teaching,
learning and testing processes and (iii) introduction of new diploma courses.
The Scheme provides a maximum of Rs.2 crore per polytechnic.
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3. Construction of Womens Hostels in Polytechnics
One time financial assistance, subject to a maximum of Rs.1crore for each
polytechnic, to be provided to 500 existing AICTE approved government /
government aided Polytechnics.
4.Scheme of Community Development through Polytechnics(CDTP)
Annual recurring grants-in-aid upto a maximum of Rs 17 lakh and a one-time
non-recurring grants-in-aid of Rs 20 lakh (Rs.13 lakh for old Community
Polytechnics) would be provided to the select AICTE approved Diploma Level
Institutions.
Component 18 Management Monitoring Evaluation and Research (MMER)
Summary
This scheme is envisaged to provide support to resource centres and support groups for
the effective implementation of various programmes under RUSA.
Key Feature
All States which qualify for funding under RUSA by meeting the pre-requisites would beeligible for MMER funds.
Financial
Norms
1% of the total outlay of RUSA for the States will be given to the
States as MMER funds for meeting the expenditure on creation
and maintenance of Technical Support Group (TSG) at the State
level.
All administrative expenses including that on preparation of
annual accounts and audit will be charged to the MMER funds.
An initial amount of Rs. 2-4 crores will be given to those States
that are eligible to participate in RUSA as per the fund
equalisation formula
The balance amount will be decided on the basis of the final
outlay decided for each State and will be released annually.
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10.Guiding Principles
RUSA is structured on the following guiding principles which are inviolable. These
tenets constitute the foundational premise for funding and all the decisions taken
under the scheme must be guided by them.
Performance-based outlays and outcome-based
reimbursements
Incentivizing and disincentivising
Apolitical decision-making
Disclosure based governance
Autonomy
Equity-based development
Quality and research focus(see section 4.7 of RUSA document for more details)
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11.Timeline
The beginning of the financial year (1st of April) would be the commencement date
of the State Annual Plans. Year 2013-14 is very crucial in this respect. Since RUSA
contemplates a holistic and comprehensive planning exercise, and exhorts States to
prepare perspective plans, the balance time left in this year should be utilized by
States to prepare them and submit to RUSA Mission Authority for appraisal and
approval. Since institution building is not an overnight exercise, it is expected that
SHEP should reflect the entire futuristic strategy of States. Sanction of Annual Plan
therefore should be construed a mere formality due to time constraints. Hence, the
budget needs to be approved and communicated at all levels before this date. This
implies that it needs to be sent for approval and consented at all levels of authority
before 1st of April. The success of budgeting exercise would be dependent on
adherence to time schedules. Delays in submissions and approvals would delay the
finalization of the SHEPs. The tabular representation of the time schedule is placed
at Annexure IV.
12.Implementation Modalities at the Central, State and Institutional levels
RUSA would be implemented and monitored through an institutional structure
comprising various bodies at the central, state and institutional levels with clearly
defined roles and powers.
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Institutional Structure for RUSA
(see chapter 5 of the RUSA document for the detailed composition and functions of these
bodies).
13.Funding Strategy
13.1. Norm-based Funding
Central funding under RUSA would be strategic, based on SHEPs.
Funding under RUSA would necessarily have to be expended in the higher
education sector in the State and would not substitute State funding, since
the state government would also have to necessarily increase its annual
investment by a fixed percentage.
Central funding is linked to certain sectoral academic and governance
reforms.
Institutions would also be encouraged to raise their own funds through
various legitimate means.
RUSA Mission Authority
Project Approval Board
Technical Support Group
Project Directorate (in MHRD)
National Level
State Higher Education Council
Project Directorate (in State Government)
Technical Support Group
State Level
Board of Governors
Project Monitoring Unit
InstitutionalLevel
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The overall norm-based funding schema should apply filters at the primary,
secondary and tertiary levels to determine the eligibility of institutions to
receive funding. The template for schema is available in the RUSA
document.
The norms, which would determine the eligibility of institutions to receive
funding, would also grade the institutions based on their level of compliance
to regulations to determine the quantum of funding. Institutions will be
given an objective score against these norms and it will decide the quantum
of funds they will be eligible for.
13.2.Performance-based funding
SHEPs serve as the benchmark against which the performance of a State and
its institutions are graded.
The funding for the future would be decided on the basis of level of past
achievements.
13.3 Competitive funding
Better performing States can also compete for additional resources.
14. Resource Allocation
The Ministry of Human Resource Development is the nodal agency administering
the RUSA program. It receives the budget targets of participating States, reviews/
analyzes them and then gives approvals and makes disbursements. The entire
process runs through a two-way mechanism:
Budgetary Demands emanating from Institutions to State governments
and SHECs. States prepare the SHEP and pose it to RUSA Mission Authority.
Budgetary Approvals/ Allocations conveyed from the MHRD to the State
Councils/State governments and in turn to the institutions
The overall allocation will be made on the basis of a Fund Equalisation
Formula placed at Annexure V.
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An additional weightage has been assigned to ensure enhanced allocation of
resources to States with weak socio-economic and health indicators.
Socio-demographic variables like rural/urban distribution; proportion of
SC/ST and vulnerable groups; districts with adverse education indicators;
difficult, most difficult and inaccessible areas, left wing affected districts, etc.
would be considered on priority while allocating resources to the districts,
subject to overall norms and programmatic norms. The Project Directorate
headed by the Mission Director will be responsible for implementation and
monitoring of RUSA and communication of resources allocated to states.
Resource Allocation Pattern
States Center: State Contribution
Assam, Manipur, Meghalaya,
Arunachal Pradesh, Nagaland,
Mizoram, Tripura, Jammu &
Kashmir, Sikkim, Himachal
P