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Guidelines issued by the MHRD of government of india on rashtriya uchchatar shiksha abhiyan
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RashtriyaUchchatarShikshaAbhiyan(RUSA)
DraftGuidelinesforConsultation
DepartmentofHigherEducationMinistryofHumanResourceDevelopment
GovernmentofIndiaOctober,2013
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CONTENTSSl.No. Topic PageNo.
1 Introduction 42 Vision 53 Objectives 54 KeyFeatures 65 TargetGroup 86 ApproachandStrategy 87 Prerequisites 118 OverviewofRUSANorms 11
9 ProgrammaticandFinancialNormsofVariousComponents
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10 GuidingPrinciples 4111 Timeline 4112 ImplementationModalities 4213 FundingStrategy 4214 ResourceAllocation 4315 ApprovalProcessandFlowofFunds 45
16 BankingArrangements 47
17 Detailedcomponentwiseallocations 4918 Flowofinformation 49
19 ManagementInformationSystem(MIS) 5020 MonitoringandEvaluation 50
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21InformationRegardingStatelevelFunctionaries
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AnnexuresNo. Content PageNo.1. MHRDLetterno.418/2012U.IIdated8thOctober,
2013addressedtoStates/UTs 52
2. FormatofInstitutionalDevelopmentPlan 553. FormatofStateHigherEducationPlan 574. DetailedTimelines 585. EntitlementIndex 596. Componentwiseallocationsandphysicaltargetsfor
the12thPlan61
7. Template for the States for providing informationregardingkeyfunctionaries
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GUIDELINES
1. IntroductionThe 12th Plan proposed a holistic plan for the development of higher
education in the country by ensuring access, equity and quality.ThePlan,whichrecommended strategic utilization of central funds to ensure comprehensiveplanningattheState levelrecommendedanewCentrallySponsoredScheme(CSS)RashtriyaUchchatarShikshaAbhiyan(RUSA).
TheNationalDevelopmentCouncil (NDC)approved theSchemeaspartofthe12thPlanandsubsequentlyitwasincludedinthelistof66schemesapprovedbyCabineton20.06.2013,aspartoftherestructuredCSSforimplementationinthe12thPlan.TheCentralAdvisoryBoardonEducation(CABE),thehighestadvisorybodyof the Government of India in education on policy matters,in itsmeeting dated08.11.2012 gave inprinciple approval to RUSA. The Expenditure FinanceCommittee(EFC) approved the Scheme on 11th September 2013 and with theapproval ofCabinetCommittee onEconomicAffairs(CCEA) on 3rdOctober, 2013,RUSA became the final tier of the CSSs of the MHRD which began with SarvaShikshaAbhiyan (SSA),graduated subsequently toRashtriyaMadhyamikShikshaAbhiyan(RMSA).
RUSAwouldbe spread over the 12th and 13thPlanperiod for funding theState universities and colleges to achieve equity, access and excellence in highereducation. The allocation of funds under RUSAwould be based onwelldefinednormsandlinkedtocertainkeyacademic,administrativeandgovernancereformsinthe in the State higher education systemwhich currently enrolls over 96% of thestudents. The Scheme will be implemented through the Ministry of Human ResourceDevelopment(MHRD)withmatchingcontributionsfromtheStategovernmentsandUnionTerritories(UTs).
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All theStateshave alreadybeen addressedvide theMHRD letterD.ONo. 418/2012U.II,dated8thOctober,2013regarding the implementationofRUSAand theirwillingnesstoparticipateinthescheme(seeAnnexureI).TheseguidelinesareintendedfortheuseofStatesandinstitutionsinpreparingforparticipationinthereformprocessunderRUSAduringthe12thFiveYearPlanperiod.TheguidelinesarenotasubstitutefortheRUSAdocumentwhichcanbeaccessedfromthewebsiteofMinistryofHumanResourceDevelopment(www.mhrd.gov.in/rusa).2. Vision
Toattainhigherlevelsofaccess,equityandexcellenceintheStatehighereducationsystemwithgreaterefficiency,transparency,accountabilityandresponsiveness.
3. Objectives ToachievetheGrossEnrolmentRatio(GER)targetofof25.2%bytheendof
12thPlanand32%bytheendof13thPlan ImprovetheoverallqualityofexistingStatehighereducationalinstitutionsby
ensuringtheirconformitytoprescribednormsandstandards Adoptionofaccreditationasamandatoryqualityassuranceframework. UshertransformativereformsintheStatehighereducationsystembycreating
afacilitatinginstitutionalstructureforplanningandmonitoring. Ensuregovernance,academicandexamination(andevaluation)reformsand
establishbackwardand forward linkagesbetweenschooleducationand thejobmarket.
Expand the institutional base by creating additional capacity in existinginstitutionsandestablishingnew institutions inunservedandunderservedareasbywayofupgradationandconsolidation.
Createopportunitiesforstatestoundertakereformsintheaffiliatingsystem.
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Ensure adequate availability of quality faculty in all higher educationalinstitutionsandensurecapacitybuildingatalllevels.
Create an enabling atmosphere in institutions to facilitate research andinnovation.
Integrate theskilldevelopmenteffortsof thegovernment throughoptimuminterventions.
Correctregionalimbalancesinaccesstohighereducation. Improveequity inhighereducationbyprovidingadequateopportunities to
socially deprived communities; promote inclusion of women, minorities,SC/ST/OBCsanddifferentlyabledpersons.
To identifyandfillupthecritical infrastructuregaps inhighereducationbyaugmentingandsupportingtheeffortsoftheStategovernments.
Promote healthy competition amongst states and institutions to addressvariousconcernsregardingquality,researchandinnovation.
Clearly define role of State governments visavis higher educationalinstitutions.
FacilitatethecreationofStateHigherEducationalCouncils(SHECs).
4. KeyFeatures RUSAisanumbrellaschemeoperatedinmissionmodethatwouldsubsume
otherexistingsimilarschemesinthestatehighereducationsector. Normbasedandperformancebasedfunding. Commitment by States and institutions to certain academic, administrative
andgovernancereformswillbeapreconditionforreceivingfunding. Funds would flow from the Ministry of Human Resource Development
(MHRD)touniversitiesandcolleges,throughtheStategovernments. FundingtotheStateswouldbemadeonthebasisofcriticalappraisalofState
HigherEducationPlans(SHEPs).SHEPshouldaddresseachStatesstrategytoaddressissuesofequity,accessandexcellence.
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EachinstitutionwillhavetoprepareanInstitutionalDevelopmentPlan(IDP)forall thecomponents listedunder theScheme. Itwillbeaggregatedat theStatelevel,afterimposingasuperlayerofStaterelevantcomponentsintotheSHEP.
Statehighereducationcouncils(SHEC)willhavetoundertakeplanningandevaluation,inadditiontoothermonitoringandcapacitybuildingfunctions.
SHECwillbe thekey institutionat thestate level tochannelizeresources totheinstitutionsfromtheStatebudget.
TwoongoingCentralschemesofModelDegreeCollegesandsubmissiononpolytechnicswillbesubsumedunderRUSA.
UGCSchemessuchasdevelopmentgrantsforStateuniversitiesandcolleges,onetime catch up grants, etc. will be dovetailed in RUSA. IndividualorientedschemeswouldcontinuetobehandledbyUGC.
CentreStatefundingwouldbe intheratioof90:10forNorthEasternStates,Sikkim, J&K,HimachalPradeshandUttarakhandand65:35 forOtherStatesandUnionTerritories(UTs).
Fundingwill be provided for governmentaided institutions for permittedactivities,basedoncertainnormsandparameters,andinaratioof50:50.
States would be free to mobilize private sector participation (includingdonationsandphilanthropicgrants) through innovativemeans, limited toaceilingof50%of theStateshare (seechapter6ofRUSAdocument formoredetails).
Statewise allocations would be decided on the basis of a formulaicentitlement indexwhichwould factor in the populationsizeof therelevantage group,GER and Gender Parity Index(GPI) across categories,Stateexpenditure on higher education,institutional density, teacherstudent ratio,issues of access, equity and quality and excellence in higher education,etc.
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Further allocation of fundswould be dependent upon performance of thestateanditsdemonstratedcommitmenttothereformsagenda.
5. TargetGroup StateUniversitiesandcolleges{both12Band2(f)}compliantandnon12Band
non2(f)). Governmentaidedcollegeswouldbeentitledtosomecomponents(including
infrastructure support) as approved by the PAB. Funding to such collegeswouldbedecidedbasedon theirantiquityandotherparametes.(seesection4.2ofRUSAdocumentformoredetails).
6. ApproachandStrategy
RUSAwouldfollowabottomupapproachforplanningandbudgetingtoredressmultipleandgradedinequalities.
Stateswouldalsobecomeequalpartnersinplanningandmonitoring.TheyardstickfordecidingthequantumoffundsfortheStatesandinstitutionsunderRUSAcomprisethenormsthatreflecttheperformanceinkeyresultareas;access,equityandexcellence.
Access,Equity,andExcellencewouldtobethemainthrustareas.Consideringthe interlinkages between them and taking into consideration the currentrealitiesexistinginthecountry,theseobjectiveswouldbepursueddifferently.This would necessitate reforms in governance arrangements at all levels(national, stateand institutional),with suitable implementation frameworksandmonitoringarrangements.
Planningprocesswouldbeginat the institutionalLevel,with the IDPbasedon inputs/ discussions with the stakeholders within the institution. TheseIDPswouldbeaggregatedtoformtheSHEP.TheSHEPwouldhavemainly
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two components; State component and institutional component. The SHEPwould be further broken down into annual plans, by taking the variousfactorsundertheeighteencomponentsintoconsideration.Theseannualplanswillconstitute thebasis fordetermining the funding tostates (formatof theIDPandSHEPareplacedatAnnexureIIandAnnexureIII;alsoseesections7.5and7.6ofRUSAdocument).
In order to be eligible for funding under RUSA, Stateswill have to fulfilcertainprerequisitestowardsreformprocesswhichincludeacademic,sectoralandinstitutionalgovernancereforms.
EachStatemustundertakeabaselinesurveyagainstwhichperformanceandprogresswouldbemeasured.
Once eligible for fundingunderRUSA, theStateswill receive fundson thebasis of achievements and outcomes. Future funds flows would bedeterminedbasedonoutcomesandachievementsagainstthetargets.
RUSAwouldenableandempowertheStatestodevelopsufficientcapabilitiestoplan,implementandmonitorinitiativesforthehighereducationsectorasawhole.
PreparatoryfundsthatwouldbeprovidedtotheStategovernmentstoequipthem forcomplyingwith theprerequisiteswouldbebasedonadifferentialfundingmethod.
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PROCESSFLOW
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7. Prerequisites
Prerequisiteswouldbeat two levels;commitmentgivenby theStates to theCentreand thecommitmentgivenby institutions to theStates.Unless thesecommitments are fulfilled, the states and institutionswillnotbe eligible toavailgrants(seesection4.8ofRUSAdocumentformoredetails).
States Institutions
SettingupofSHEC SHEP(including
Perspective Plan, AnnualPlanandFinancial&WorkPlan)
State funding commitmentshareandtimeliness
Fillingoffacultypositions Affiliationreforms Setting up of accreditation
agencies Governance and
administrativereforms Academicandexamination
reforms
Institutionalgovernancereforms Academicreforms Examinationreforms ProjectManagementTeams EquityCommitments Commitments on research and
innovationefforts Faculty recruitment and
improvement EstablishmentofMIS Regulatorycompliance
8. OverviewofRUSANorms
All landwillbeprovidedby the Stategovernments.The Stategovernmentshall acquire and have undisputed possession of land in any casewhere a newinstitutionisproposedtobesetuporexpanded.AnyfuturelegaldisputeswillalsobehandledbytheStategovernmentandtheCentreshallnotbeapartinit.Forallcivilworks, the cost estimatesmentioned forRUSA componentswould constitute
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theupper limit.However in case theStateSSR is lower than the costestimatesofRUSA, itwillbeStateSSRwhich shallapply fordetermining thecentral share. Inotherwords,centralshareforcivilworksunderanycomponentshallberestrictedtoeitherRUSAestimateoftheStateSSR,whicheverislower.
HoweverStateswouldbefreetoenhanceitsownshareforanycomponent.Itmayalsoaddnewcomponents,whicharenotmentionedunderRUSAprovideditiswillingtobeartheentireadditionalexpenditure.
TheStateswouldbefreetomobilizeupto50%oftheirsharethroughprivategrants and donations,Corporate SocialResponsibility (CSR) contributions, PublicPrivatePartnerships (PPP) etc.States, especially in theNorthEastern region,mayalso consider availing of Viability Gap Funding (VGF), administered by theDepartmentofNorthEasternRegion(DoNER).Similarly,StateslocatedoutsidetheNorth Eastern Region may avail the VGF administered by the Department ofEconomic Affairs, Ministry of Finance where bulk of the investment would beprivateand theStatescouldmeetaportionof thecost, tomake theprojectviable.Additionally Statesmaymakeuse of theRural InfrastructureDevelopment Fund(RIDF)forfinancingofinfrastructureprojectsunderRUSAinruralareas.
StatesmayengageanyoftheCentral/StateagenciessuchastheCentralPublicWorksDepartment (CPWD),StatePublicWorksDepartment (PWD)andStateandCentral PSUs for civilworks. In all cases Stateswould be required to follow therelevantStaterulesandproceduresandStateGFRs.
Stateswouldberequired toprocureallconsumables,equipments, furniture,fixtures etc. in accordance with the State procurement policy. In all such casescompetitivebiddingandeprocurementmethodshouldbeadopted.
Affiliation reformsandaccreditationnormsaselaborated inSection4.8.7 intheRUSAdocumentshouldbefollowedbyStates.
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9. ProgrammaticandFinancialNormsofVariousComponents
1. CreationofUniversitiesbywayofupgradationofexistingAutonomousColleges
2. CreationofUniversitiesbyconversionofcollegesinacluster3. InfrastructureGrantstoUniversities4. NewModelColleges(General)5. UpgradationofexistingDegreeCollegestoModelDegreeColleges6. NewColleges(Professional)7. InfrastructureGrantstoColleges8. Research,Innovationandqualityimprovement9. EquityInitiatives10. FacultyRecruitmentSupport11. FacultyImprovement12. VocationalisationofHigherEducation13. LeadershipDevelopmentofEducationalAdministrators14. InstitutionalRestructuringandReforms15. CapacityBuildingandPreparation,DataCollectionandPlanning16. ManagementInformationSystem17. SupporttoPolytechnics18. ManagementMonitoringEvaluationandResearch(MMER)
Component1 CreationofUniversitiesbywayofUpgradationofExistingAutonomousColleges
Summary45autonomouscolleges(autonomygrantedbyUniversityGrantsCommissionatleastin2008orearlier)thathavenecessaryinfrastructuralfacilities,antiquity,teachingstrengthandqualitywillbeconsideredforupgradationtoUniversities.Theconversionplanforthecreationofuniversitiesmustincludestagewiseplanningwithregardtoexpansionininfrastructure,numberofstudents,departments,administration,academicfunctions,researchactivities,etc.ItmustalsocoverthetimelinesandconcretestepsthatwillbetakenfortheintegrationofalltheconcernedcollegesaswellastheexpectedendstateofthenewUniversity.
I. Existingautonomouscollegeswhichfulfilthefollowingrequirementswillonlybe
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consideredforupgradation:
I(a).PhysicalInfrastructure Musthavebeeninexistenceforatleast15years. Theminimumexistingenrollmentofthecollegemustbe2000andtheproposedtotal
enrolmentofstudentsmustbeenoughtosustaintheinstitutionasauniversitywithaminimumenrolmentrequirementof4000students.
Thelandalreadyavailablewiththecollegemustbeenoughtosupporttheadditionalenrollmentsandcapacity(atleast15acresinmegacities,20acresinmetrocitiesand25acresinrestofthecountry).
Shouldhaveadequatelibrary,hostel,laboratory,ICTandsportsfacilities.I(b).AcademicQuality
ShouldhavebeenaccreditedbyNAACandmusthavereceivednotlessthananAGradeaccreditation.
ShouldalsoenjoythestatusofCollegewithPotentialforExcellence(CPE)asconferredbytheUGC.
Shouldhaveteachingprogrammesbothinundergraduateandpostgraduatecourses.It must also have credible research capacity as evidenced through research,guideshipandpublicationsoffacultymembers.
The college must be multifaculty (at least two or more faculties such as Arts,Commerce,Science,Engineering,Lawetc)
Shouldhaveinterdisciplinaryprogrammesinteachingandresearch. Should have a healthy studentteacher ratio (20:1).The ratio will be counted by
dividing the total sanctionedpositions to total regular student intake(during201213).
I(c).Governanceandrelatedissues
Musthavearobustinternalgovernancestructure:withAcademicCouncil,BoardofStudies/Research Councils and Finance Committees as per the guidelines of theregulatorybody.
Musthaveenoughadministrativestaffandthecapacitytofunctionandbemanaged
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as a University. States are required to sanction additional staff as soon as theapprovalofPABisreceived.
II. FutureCommitments
Apartfromclearlyspecifyingtheneedforuniversitystatus,thecollegeseekinguniversitystatusshouldcommittotherequirementsandexpectationslistedbelow:II(a).PhysicalInfrastructure
Convertalltheexistingbuildingsintofullydisabledfriendlytoimproveaccess. Ensurespecialfacilities/equipmentsforthedisabledstudents. Adequatehostelandtoiletfacilitiesforgirls. Perstudentavailability:adequateclassroom,labandlibraryspace
II(b).AcademicQuality
Interdisciplinary and transdisciplinary programmes should be encouraged;theupgradedinstitutionshouldbeamultidisciplinaryuniversity.
Commit to rigorous evaluation on the indicators under the Institutional PlantemplatewithgreaterweightageonQualityandResearchindexafter3yearsofitsestablishmentasaUniversity(seepage194ofRUSAdocument).
Committoadequatelibrary,laboratoryandhostelfacilities. TheinstitutionmustcommittoinclusionofICTinteachingandlearningprocessesin
allitscollegesandprovideinternetaccess(preferablyWiFi)toallstudents Specifytheinnovationscontemplatedinacademicsandgovernance. Specifyhowtomakeinnovationssustainableandscaleup. Shouldhaveateachingtononteachingratioof1:1.1
II(c).Governanceandrelatedissues
Adherence to the provisions of the State Public UniversitiesAct (if a singleActgoverns all Universities) or commit to a new Act (if separate Acts guides the
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functioningofinstitutions). The institutionmustbegovernedbyaBoardofGovernors/governingbodywitha
different nomenclature having representation from academia, industry, publicintellectualsetc
The new university should be established as an affiliating university. The Stategovernmentshouldclearlymentionthejurisdictionoftheuniversity.
TheinstitutionmustmaintainareasonableratioofteachingtononteachingstaffasperUGCrecommendations.
II(d).EquityandInclusion
Adherencetomeritbasedadmissionofstudents. 50%ofhostelseatsshouldbereservedforsociallyandeconomicallyweakersections. Adherence to the reservationpolicyofStategovernment inadmissionand faculty
recruitment.
FinancialNorms
No Item TIER1 Cities
TIER2Cities HillyAreas
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
33371 31622 44650 Rs.In
LakhRs.InLakh
Rs.InLakh
1 AdministrativeArea 2000 667.42 2000 632.44 1000 446.5
2 SchoolofSciences 1085 362.07 1200 379.46 1000 446.53 SchoolofSocialSciences 800 266.96 1050 332.03 750 334.874 SchoolofEngineering,
Technology&ComputerTechnology
1200 400.45 1400 442.7 1000 446.5
5 SchoolofTeacherEducation 750 250.28 850 268.78 590 263.43
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6 SchoolofHumanitiesandLiberalArts 800 266.96 1050 332.03 750 334.87
7 Classrooms(Common) 5000 1668.55 5000 1581.1 3000 1339.58 CentralLibrary 2000 667.42 2000 632.44 2000 8939 Auditorium 1000 333.71 1000 316.22 1000 446.510 Canteen/Cafeteria/Toilet
Blocks/Misc. 750 250.28 750 237.16 500 223.25 Total 15385 5134.1 16300 5154.36 11590 5174.92No Item TIER1
TIER2 TIER3
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
26096 24722 32581 Rs.In
LakhRs.InLakh
Rs.InLakh
1 Hostel 1400 365.34 1400 346.1 1000 325.81 GrandTotal 19385 5499.44 20300 5500.46 12590 5500.73
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs55croresforeachinstitution.Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheInstitutionalDevelopmentPlanwillbeappraisedandevaluatedattheStateandTechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonableplansNote3:Equipment,fixturesandfurniturearepartoftheestimateNote4:Staff(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinordertoachievetheidealteachingtononteachingratioof1:1.1.(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswithaStudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditionalpositionsinordertoachievethetargetof15:1Note5:Adetailedconversionplanmustbesubmittedbytheinstitution.Note6:Minimumsizeofaclassroomsshouldbe80SM.Note7:Statesensurethattheuniversitywouldcreateatleastthreeschools(includingtheexistingschools)withatleasttwodepartmentsineachschool.
Component2 CreationofUniversitiesbyconversionofcollegesinaclusterSummary
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Cluster universities aims essentially at addressing the critical gaps in the spatialdistributionofhighereducationalinstitutionsacrosstheStates.35newclusteruniversitieswouldbecreatedduringthecurrentPlanperiodwithanaverageallocationofRs.55croreper university and 65 during the next Plan period through the clustering of existingaffiliatedgovernmentandgovernmentaidedcolleges.Theseuniversitieswillbecreatedbypoolingtheresourcesof3to5existingcollegesthathaveadequateacademic,physicalandtechnical infrastructural facilities. All the participating colleges in a cluster wouldeventuallybecomeconstituentcollegesofthenewlycreateduniversity.CollegesidentifiedasCollegeswithPotentialforExcellenceoranyothercriteriawhichamplydemonstratethevariousqualityparametersofaninstitutionwillbeconsideredastheleadinstitutionoranucleusaroundwhichtheclusteruniversitywouldbeestablished.Collegesjoiningtheclustermusthavethecapacitytofunctionasauniversity.Thiswouldinclude,amongotherfactors,thestrengthandexperienceoftheadministrativestaff,thenumberofyears that the individual collegeshavebeen functioning,degreeofautonomy theyhaveenjoyedinthepast,etc.Theconversionplanforthecreationofuniversitiesmustincludestagewiseplanningwithregard to expansion in infrastructure,number of students,departments, administration,academic functions, researchactivities,etc. Itmustalsocover the timelinesandconcretesteps thatwill be taken for the integration of all the concerned colleges aswell as theexpectedendstateofthenewUniversity.
I. Therequirementsthatneedtobefulfilledbyeachoftheparticipatingcollegesarelistedbelow:
I(a).PhysicalInfrastructure
Allparticipatingcollegesshouldhavebeeninexistencefor15years. Shouldhaveanexistingcombinedenrollmentof2000studentsandtheproposedtotal
enrollmentofstudentsmustbeenoughtosustaintheinstitutionasauniversitywithaminimumenrolmentrequirementof4000students.
As theuniversitywouldbeamulticampusuniversity, thephysicalproximityof theinstitutionsshouldbesuch that theyareable tosharephysicalandhuman resourcesandwouldbeabletofacilitatestudentandfacultymobility(ideallywithinamaximum
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radiusof1520kmsfromtheleadinstitution(totakeintoaccountthespecialconditionofNorthEastRegionStates).
The Stategovernment should identify anucleus college or ensure the availability ofnecessary landrequired for theuniversity inandaround thenucleuscollege tobuilduniversitysuperstructure.
I(b).AcademicQuality
Thenewclusteruniversitymaybeacombinationofcollegeswithautonomousstatus/CollegewithPotential forExcellence status/SpecialAssistance received from reputedinternationalornationalfundingagencies/CentersofExcellenceasidentifiedbyStateGovernmentsetc.
ShouldhaveaNAACaccreditation,highergradeswillbepreferred. Shouldhaveteachingprogrammesinundergraduateandpostgraduatecoursesorhave
thedemonstratedabilitytoundertakepostgraduateprogrammes. Musthavefacultymemberswithexcellentresearchperformancethroughpublications,
undertakingresearchprojectsandguidingresearchstudents. Shouldhavedemonstratedhigh academicperformance in interdisciplinary teaching
andresearchprogrammes. ShouldhaveaStudentteacherratio(20:1)(combinedbasedonsanctionedstrength) The combined graduate and postgraduate departments proposed by the institutions
mustbeabletolaythefoundationforamultidisciplinaryinstitution(coveringatleasttwoormoreofthehumanities,arts,commerce,science,engineeringorotherfaculties)ofpostgraduatestudiesandresearch.Hence,thecolleges/institutionsidentifiedtobeapartoftheUniversityshouldhaveappropriatediversityinteachingandresearch.
I(c).GovernanceandrelatedissuesTheparticipatingcollegesshouldhave:
A robust internal governance structure asper the guidelines of the regulatory body.Also it isadvisablethatsuch institutionsshouldhaveanAcademicCouncil/BoardofStudies/ResearchCouncilsandFinanceCommittees.
Abilitytoraise/mobilizeresourcesfromsourcesotherthanpublicfunding.
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EquityandInclusion ReservationasperStatenorms 50%ofhostelseatsforsociallyandeducationallybackwardclasses Enhancetheenrolmentofgirls
II. FutureCommitments
Themulticampusclusteruniversitiesmustmeetthefollowingprerequisiteswithinthreemonthsuponapproval:II(a).PhysicalInfrastructure
Committohostelsforboysandgirls. Specialfacilities/equipmentsforthedisabled. Committoprovideadequatelibraryandlaboratoryfacilities.
II(b).AcademicQuality
Agreetoshareexistingfacilitiesinpartnercollegesandundertakecommonventuresinpromotingaccess,equityandqualityofeducation.
Agreetoacademicreforms(seesection4.8.12ofRUSAdocument)II(c).Governanceandrelatedissues
Agreetoasharedvisionandprinciplesofassociation AddresstheaffiliationissuesoftheexistinguniversitiesintheState. Agreetocertainprinciplesofgovernancelikeequalstatustoparticipatinginstitutions,
collective decisionmaking, autonomy and accountability, independence andinterdependence, physical proximity, optimal size, partnership of publicly fundedinstitutions,etc.
Agree to aMemorandum ofUnderstandingwhich should clearly specify the natureandextentofrelationshipamongpartneringcollegesand laydownthemodalitiesforthefunctioningofthecluster.
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Agree to a governance structure which should ensure equal and adequaterepresentationofpartnering institutions fordemocraticdecisionmakingandeffectiveimplementation of academic programmes, financial autonomy and socialaccountability(seesection4.8.9ofRUSAdocument).
An appropriate governance structure for cluster universities shall be detailed byrespectiveStates throughanewActoramendments to theexistingActwithinayearfromthedateofestablishment.
II(d).EquityandInclusion
Due preference for hostel accommodation should be given to for socially andeconomicallyweakersections.
Convertexistingbuildingsintofullydisabledfriendlyones.FinancialNorms
No Item TIER1 Cities
TIER2Cities HillyAreas
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
33371 31622 44650 Rs.In
LakhRs.InLakh
Rs.InLakh
1 AdministrativeArea 2000 667.42 2000 632.44 1000 446.5
2 SchoolofSciences 1085 362.07 1200 379.46 1000 446.53 SchoolofSocialSciences 800 266.96 1050 332.03 750 334.874 SchoolofEngineering,
Technology&ComputerTechnology
1200 400.45 1400 442.7 1000 446.5
5 SchoolofTeacherEducation 750 250.28 850 268.78 590 263.43
6 SchoolofHumanitiesandLiberalArts 800 266.96 1050 332.03 750 334.87
7 Classrooms(Common) 5000 1668.55 5000 1581.1 3000 1339.58 CentralLibrary 2000 667.42 2000 632.44 2000 8939 Auditorium 1000 333.71 1000 316.22 1000 446.510 Canteen/Cafeteria/Toilet 750 250.28 750 237.16 500 223.25
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Blocks/Misc. Total 15385 5134.1 16300 5154.36 11590 5174.92No Item TIER1
TIER2 TIER3
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
26096 24722 32581 Rs.In
LakhRs.InLakh
Rs.InLakh
1 Hostel 1400 365.34 1400 346.1 1000 325.81 GrandTotal 19385 5499.44 20300 5500.46 12590 5500.73
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs55croresforeachinstitution.Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheinstitutionalplanwillbeappraisedandevaluatedattheStatelevelandobjectivedecisionwillbetakentosupportreasonableplansNote3:Equipment,fixturesandfurniturearepartoftheestimateNote4:Staff(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinordertoachievetheidealteachingtononteachingratioof1:1.1.(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswithaStudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditionalpositionsinordertoachievethetargetof15:1Note5:Adetailedconversionplanmustbesubmittedbytheinstitution.Note6:Minimumsizeofaclassroomshouldbe80SM.Note7:Statesensurethattheuniversitywouldcreateatleastthreeschools(includingtheexistingschools)withatleasttwodepartmentsineachschool.
Component3 InfrastructureGrantstoUniversitiesSummaryInfrastructure grants shall beutilized formeeting critical infrastructural needs thatwould lead to immediatequalitygains such asupgradingof libraries, laboratories,equipments,hostels and toilets, etc. 150publicuniversitieswillbegiven agrantofRs.20croreeachduringthecurrentPlanperiod.
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FundingPriorities: Universitieswill be prioritized for purposes of funding according to; (a)
universities which have not been included under section 12B. Theseuniversitieswillbefurtherprioritizedonthebasisofinterseantiquity(yearofestablishment; (b)universities includedunder section12Bbuthavenotreceivedfunding.
Within each of the above categories (a) and (b), those universitieswhichhave eitheralready implementedorgiven the commitment to the earliestimplementationof institutionalgovernance reforms, examination reforms,academic reformsandvocationalisationofhigher educationwillbegivenpriority over other universities which have not implemented/givencommitmenttoimplementreforms.
Prioritywill also be accorded touniversities on the basis of theirNAACaccreditationon the factors thathaveadirect impacton teachinglearningprocess. If the institution is not accredited, its statuswhile applying foraccreditationwillbeconsidered.
Prioritytouniversitieshavingspecialattributes,characterandantiquity.FutureCommitments
InstitiutionsshallagreetoabidebyaDisclosureManagementFramework.FinancialNorms
Item NormsAcademicbuilding NewconstructionnotpermittedAdministrativebuildings Newconstructionnotpermitted
Campusdevelopment
Beautification,amenities,watersupply,drainage,waterharvesting,alternateenergysources,etc.
Laboratories Repair/newequipmentsLibrary
Renovationofbuildings,digitizationof
books,journals,thesesComputerCentre/ecampus
NewconstructionandupscalingofexistingnetworktoenableWiFi,
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LAN,etc.)
Hostels;separateforboysandgirls newconstructionpermitted
Toiletblocks,separateforboysandgirls
newconstructionpermitted
Sportsequipment/playfacilities newequipmentspermitted
Note1:Theinstitutionmaychoosefromthecomponentsaboveforupgradingtheexistingfacilities.ItemcostswouldberestrictedtothosementionedinComponents1and2above.Note2:Repairsandmaintenancecostshallnotexceed10%oftotalcostNote3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheinstitutionalplanwillbeappraisedandevaluatedattheStateandTechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonableandbalancedplans
Component4 NewModelColleges(General)SummaryDistrictsthatarelistedasEducationallyBackwardDistrictsundertheexisting374ModelCollegeSchemeandhavenotbeensupportedsofarwouldbeconsideredforfunding.60newmodelcollegeswillbesanctionedduringthecurrentPlanperiod.I. FundingPriorities:
EducationallyBackwardDistrictswillbegradedintocategoryA&Bonthebasisoffollowingcriteria;CategoryAdistrictswillbewillbegivenpriority
Districtwith01collegesCategoryA Districtwith24collegeCategoryB
DistrictsinCategoryAwillbegivenpriorityoverCategoryB.However,withinCategoryBprioritywillbegivenonthefollowingbasis:
LowCPI(CollegePopulationIndex,NoofCollegesper1,00,000studentsof1823
25
agegroup). Highproportionofsociallyandeconomicallybackwardpopulation LowGERforfemalestudents. LowGER(SC/ST).
II. FutureCommitments
CollegesthatwillbeestablishedusingRUSAgrantswouldhavetofulfilthefollowingrequirements:
Girlshostelsandgirlstoilets. 50%ofthecapacityofnewhostelswouldbeusedforsociallyandeconomically
weakersections. Makethecampusdisabledfriendly. Ensurespecialfacilities/equipmentsforthedisabled.
FinancialNorms
No Item TIER1 Cities
TIER2 Cities HillyAreas
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
33371 31622 44650 Rs.In
LakhRs.InLakh
Rs.InLakh
1 AdministrativeBuildings,Facultyrooms
800 266.96 800 252.97 525 234.41
2 Laboratories 410 136.82 500 158.11 300 133.953 Classrooms 810 270.3 870 275.11 730 325.944 Library 350 116.79 400 126.48 300 133.955 Computer
Centre/Ecampus 175 58.39 175 55.33 100 44.656 ToiletBlocks
separateforboysandgirls
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 939.87No Item TIER1
TIER2 TIER3
Area(SM)
TotalCost
Area(SM)
TotalCost
Area(SM)
TotalCost
26
PerSM PerSM PerSM 26096 24722 32581 Rs.In
LakhRs.InLakh
Rs.InLakh
1 Hostelfor100studentsseparateforboysandgirlson60:40ratio
1000 260.96 1000 247.22 800 260.64
GrandTotal 3815 1200.31 4015 1200.59 2905 1200.51Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs12croresforeachinstitution.Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supported by evidence) in order for them to convert into a fully functional university. Theinstitutional planwill be appraised and evaluated at the State andTechnical SupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonableplansNote3:Equipment,fixturesandfurniturearepartoftheestimateNote4:Staff(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinordertoachievetheidealteachingtononteachingratioof1:1.1.(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswithaStudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditionalpositionsinordertoachievethetargetof15:1Note5:AdifferentialfundingmethodwillbefollowedwithregardtoinstitutionslocatedinTier1,Tier2andhillyareas.
Component5 UpgradationofexistingDegreeCollegestoModelDegreeCollegesSummaryOutof the640districts in thecountry,288districtswouldbecoveredunder theNewModelCollegeScheme.Fundswillbeprovidedfortheupgradationof54collegesinthe12thplanperiod.I. FundingPriorities
PrioritywillbegivenonthebasisofCollegePopulationIndex(CPI);districtswithlowerCPIwillgetpreference.Amongstsimilarlyplaceddistricts,followingcriteriawillbeusedtogradetheinstitutionsinA,BandCcategories:
27
Highproportionofsociallyandeconomicallybackwardpopulation LowGERforfemalestudents LowGER(SC/ST)
II. FutureCommitments
Collegesmusthavetofulfilthethefollowingrequirements: Hostelsandtoiletsforgirls. 50%capacityofthenewhostelsforsociallyandeconomicallyweakersections Makethecampusdisabledfriendly. Ensurespecialfacilities/equipmentsforthedisabled.
Item Norms
Academicbuilding NewconstructionpermittedAdministrativebuildings Newconstructionpermitted
Campusdevelopment
Beautification,amenities,watersupply,drainage,waterharvesting,alternateenergysources,etc.
Laboratories RepairworksandnewequipmentsLibrary
Renovationofbuildings,digitizationofbooks,journals,theses
ComputerCentre/ecampus
Newconstruction,upscalingofexistingnetworktoenableWiFi,LAN,etc.)
Hostels;separateforboysandgirls newconstructionpermitted
Toiletblocksseparateforboysandgirls
newconstructionpermitted
Sportsequipment/playfacilities newequipmentspermittedNote:Theinstitutionmaychoosefromcomponentsabove.ItemcostswouldberestrictedtothosementionedinComponent4above.
28
Component6 NewColleges(Professional)SummaryGrantswill be provided for establishing new professional colleges in each of the 22stateshavingbelow thenational averageGER in technical education.Thenumber ofcollegesforeachstatewillbebasedontheevaluationoftheproposalssubmittedbytheStates.40newengineeringcollegeswouldbesanctioned inthe12thPlanperiod.Stateswhichareoversaturated in termsof institutionaldensityandvacantseatswillnotbeconsideredforgrants.I. FundingPriorities
DistrictswillbegradedintocategoryAandBonthebasisofthefollowingcriteria:
Districtwith0professionalcollegeCategoryA Districtwith1professionalcollegeCategoryB
DistrictsincategoryAwillbegivenpriorityoverB;withincategoryB,prioritywillbegiventoproposalsthatclearlyspellouttheareaswherenewprofessionalcollegeswillbeestablished.Proposalsmustalsojustifythelocationofthenewproposedcollegekeepinginmindthefollowingfactors: Districtswithoutcolleges Highproportionofsociallyandeconomicallybackwardpopulation LowGERforfemalestudents LowGER(SC/ST) StudentPopulation
II. FutureCommitments
Collegesmusthavetofulfilthefollowingrequirements: Hostelsandtoiletsforgirls. 50%capacityofthenewhostelsforsociallyandeconomicallyweakersections Makethecampusdisabledfriendlywithrampsandtactilepathways.
29
Ensurespecialfacilities/equipmentsforthedisabled
FinancialNorms
No Item TIER1 Cities
TIER2 Cities HillyAreas
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
33371 31622 44650 Rs.In
LakhRs.InLakh
Rs.InLakh
1 AdministrativeBuilding 1200 400.45 1200 379.46 800 357.2
2 SeminarRoom 300 100.11 300 94.86 200 89.33 Library 300 100.11 300 94.86 300 133.954 AcademicBlock
(classroomsetc) 1000 333.71 1000 316.22 1000 446.55 ElectronicsLab 300 100.11 350 110.67 200 89.36 ITLabElectrical 300 100.11 350 110.67 200 89.37 CNCLab 250 83.42 250 79.05 200 89.38 Mechatronics
Lab 300 100.11 350 110.67 200 89.39 ChemicalLab 200 66.74 250 79.05 175 78.1310 CivilLab 200 66.74 250 79.05 175 78.1311 Instrumentation
Lab 300 100.11 350 110.67 200 89.312 Workshop 250 83.42 250 79.05 250 111.6213 Computer
CentrecumCyberCaf 700 233.59 700 221.35 400 178.6
14 ConferenceRoom 250 83.42 250 79.05 250 111.62
15 ConfidentialRoom 200 66.74 200 63.24 150 66.97
16 Committee/SyndicateRoom 300 100.11 300 94.86 150 66.97
17 CommonRoomforstudents 150 50.05 150 47.43 150 66.97
18 ToiletBlock 200 66.74 220 69.56 150 66.9719 Cafeteria 90 30.03 100 28.45 50 22.32 Total 6790 2265.82 7120 2248.22 5200 2321.75No Item TIER1Cities
TIER2Cities HillyAreas
30
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
Area(SM)
TotalCostPerSM
26096 24722 32581 Rs.In
LakhRs.InLakh
Rs.InLakh
1 Hostel 1280 334.02 1420 351.05 855 278.56 GrandTotal 7690 2599.84 8140 2599.27 5750 2600.31
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs26croresforeachinstitution.Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheinstitutionalplanwillbeappraisedandevaluatedattheStateandTechnicalSupportGrouplevelandobjectivedecisionwillbetakentosupportreasonableplansNote3:Equipment,fixturesandfurniturearepartoftheestimateNote4:Staff(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinordertoachievetheidealteachingtononteachingratioof1:1.1.(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswithaStudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditionalpositionsinordertoachievethetargetof15:1Note5:Adifferentialfundingmethodwillbefollowedwithregardtoinstitutionslocatedinurban,hilly,andnormalareas.
Component7 InfrastructureGrantstoColleges
SummaryInfrastructuregrantscanbeutilizedbythecollegestoaddresscriticalneedsininstitutionalinfrastructure,especiallyforcreating/upgradinglaboratories,libraries,hostels,toiletsetc.3500collegeswillbegivengrantofRs.2croreeachduringthe12thPlanperiod.FundingPriorities
Collegeswillbeprioritized forpurposesof fundingaccording to; (i)collegeswhichhavenotbeenincludedundersection12B.Thesecollegeswillbefurtherprioritizedonthebasisofinterseantiquity(yearofestablishment;(ii)collegesincludedundersection12Bbuthavenotreceivedfunding.
Withinthecategories(i)and(ii)collegeswillbedividedintocategoryA,B&Conthebasisoffollowingcriteria:
31
NoofStudents YearofEstablishment %ofSC/ST/OBCandWomenstudents
PrioritywillbegiventocollegesonthebasisofNAACgrade. If the institution isnotaccredited, its statuswhileapplying foraccreditation
willbeconsidered. CollegesnotcoveredbyUGCgrantswillbepreferred.
FinancialNorms
Item NormsAcademicbuilding NewconstructionpermittedAdministrativebuildings Newconstructionpermitted
Campusdevelopment
Beautification,amenities,watersupply,drainage,waterharvesting,alternateenergysources,etc.
Laboratories Repair/newequipmentsLibrary
Renovationofbuildings,digitizationof
books,journals,thesesComputerCentre/ecampus
NewconstructionandupscalingofexistingnetworktoenableWi
Fi,LAN,etc.)
Hostels;separateforboysandgirls newconstructionpermitted
Toiletblocks,separateforboysandgirls
newconstructionpermitted
Sportsequipment/playfacilities newequipmentspermittedNote1:Theinstitutionmaychoosefromthecomponentsaboveforupgradingtheexistingfacilities.ItemcostswouldberestrictedtothosementionedinComponents1and2above.Note2:Repairsandmaintenancecostshallnotexceed10%oftotalcostNote3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheinstitutionalplanwillbeappraisedandevaluatedattheStateand
32
TechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonableandbalancedplans
Component8 Research,InnovationandqualityimprovementSummaryDuringthecurrentplanperiod,10Stateswillreceivefundsunderthiscomponenttofacilitateresearchandinnovations.Componentstobefunded(thislistisonlyillustrative.AllinnovativeschemeswillbefundedasperthedecisionofthePAB) Statesthathaveeitheralreadyimplementedreformsorgiventhecommitmentto
the earliest implementation of reforms that would facilitate research andinnovationatinstitutionallevel.
Plansforprovidingfacilitiesthatsupportresearchhubs/parksetc. Adoption ofmetauniversity concept that offer cross university education and
credittransferfacilitytostudents Procurehighqualityeresources Upgradelibraryandlaboratoryfacilities Facilitieslikeincubationcenters,innovationhubs,etc. Initiativestoattracttopratedinternationalfaculty Competitivecompensationforfaculty Initiativestoattracthighqualityresearchersandstudents Institutionsthatoffermeritbasedscholarships,fullyfundeddoctoralfellowships,
postdoctoralfellowships Exposurevisitsforbothfacultyandstudents Facultyandstudentsexchangeprogrammeswithworldclassinstitutions Initiativestoscaleupindustryacademiapartnership Promotionofinterdisciplinaryandtransdisciplinaryresearchcenters Promotionofresearchandentrepreneurialactivities Support for the setting up of science parks and cutting edge technology and
instrumentationfacility Supportdifferent types of researchprograms BaseResearch,KeyTechnology
(R&D),Highend(R&D),etc.
33
DevelopanetworkoftopqualityUniversityConvergencemodel Outreachandpublicengagementfacility StaffExcellenceandorganizationalStewardship Supportinbifurcatingundergraduate,postgraduateandresearchprogrammes Identifyafewdepartmentsorfieldsofcriticalimportanceandmovethemintoa
positionofworldleadershipwhileworkingtopreventothersfromlosingsuchstature.
Specialgrantstofacultyforconductingoutstandingresearch.
FinancialNorms
AnamountofRs.120croreswouldbegiventoeachofthe10Stateswhichmeettheprerequisites.StateswillhavetoprepareaResearchanInnovationPlan(RIP)withcomponents.Note1:Expenditureonhardcomponentswouldberestrictedto60%ofthetotalcostoftheestimate.40%wouldbetowardsexpenditureonsoftcomponentsNote2:Buildings/constructionshouldnotexceed10%ofthesanctionedamount.Note3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.TheinstitutionalplanwillbeappraisedandevaluatedattheStateandTechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonableandbalancedplansNote4:Statesmaydecidetheaboutunitofimplementation.ItcanbeeithertheStateasawholeorafewselectinstitutions.
Component9 EquityInitiativesSummaryDuringthe12thPlanperiod,20Stateswillreceivefundsunderthiscomponent.AllStateuniversitieswillbeeligibletoreceivegrantsforequityinitiatives.Innovativeapproach/schemestoensuregreaterinclusionwillbeconsideredonpriority.FundingPriorities
34
Better participation rate of SC/ST/OBCs against specified percentages ofreservationsininstitutions.
Thenumberofinstitutionsthathave/plantocreate: Equalopportunitycells Remedialclasses,languagelabs,etc., Financialaidandscholarshipsforsociallyandeconomicallybackwardstudents Equityandgendersensitizationcampaigns Innovativeschemes/programmestoenhanceequityandinclusion
FinancialNorms
EachStatewouldbegivenanamountofRs.5crores.StateswillbeatlibertytodesignStatespecificstrategies.EventheunitofimplementationcanbeeithertheStateasawholeorafewselectinstitutions.
Component10
FacultyRecruitmentSupport
SummarySupportwillbeprovidedtofillpositionsinthecategoryofAssistantProfessororequivalentcadreagainstvacancies.5000suchpositionswouldbesupportedduringthecurrentplanperiod.AlltheStateuniversitieswillbeeligibletoreceivegrantsunderthisprogramme.TherecruitmentprocesswillhavetoadheretoUGCnormsandregulations.
FundingPriorities:
Commitments of States to take over the liability of facultypositionsattheendofthescheme(afteryears)
Prioritywillbegiventothosestateswheremorerecruitmenthastakenplaceintheuniversitiesduringthelast3years
Lowestnumberofunfilledfacultypositions. Betterstudentteacherratio Prioritywillbegiventonewinstitutions. Secondpriorityshallbegiventothosestateswhichhaveafaculty
studentratiobetween15:1to20:1. States with more than 20:1 ratio will have to first commit to
sanctionandfillpositionstobringdownthefacultystudentratio
35
ratioto20:1.
FinancialNorms
Rs.5.8lakhforeachfacultypositionperyear.
Component11 FacultyImprovementSummaryAcademicStaffCollegeswillbegivenfundstoimproveinfrastructureandresourcesfortrainingandcapacitybuildingactivities.FundingPrioritiesPrioritywillbeaccordedbytakingthefollowingfactorsintoconsideration:
%vacancyinpermanentstaffpositions. Number of refresher courses organized and the number of teachers who had
undergonetraininginthepasttwoyears. Extent of employment of technologyenabled innovative teaching and learning
practices.
FinancialNorms
Asperneed.Rs.10croreswillbegivenforeachoftheidentifiedstates.
Component12 VocationalisationofHigherEducationSummaryFundsforvocationalisationwillbegiventoalltheStates/Stateuniversities.FundingPriorities
ImplementingNationalVocationalEducationQualificationsFramework(NVEQF)
36
Strengthening governance,management and financing for vocational education,modernization of management and governance policies, procedures andinstructional structures ,design and implementationof effectivemechanisms formonitoring and evaluation of the projects, support for project coordination,implementationandmanagement
Developing educational standards and core curriculum as the basis for theinstitution todesign newprogram,preparation of teachertrainingprograms fordesignanddeliveryofcompetencybasedandmodularizedcurriculum
Enhancing skills delivery including development and delivery of competencybasedtrainingandcontinuousskillupgradation
Counselingforchoiceoftrainingandcareerplanning Infrastructuresupporttowardsthecreationanddeliveryofnewprograms Curriculumreformswithbackwardandforwardlinkagessoastointegrateschool
curriculumwithjobmarketdemand Careerorientedcourses
FinancialNorms
Rs.15croreswouldbegiventoeachoftheidentifiedStates.
Component13 LeadershipDevelopmentofEducationalAdministratorsSummary
Thisisacentrallyadministeredprogramforprofessionaldevelopmentfortheprofessionaldevelopmentofeducationaladministrators/academicleaders/policymakers.Thisschemewillsupportleadershipdevelopmentprogrammesfordepartmentheads,deans,registrars,principals,viceprincipals,vicechancellors,provicechancellors,SHECmembers,stateprojectdirectors,commissioners,secretaries,etc..Besides,capacitybuildinginitiativeswillbeprovidedtoStatelevelpolicymakersandmembersofgoverningbodiesattheinstitutionallevel.
I. FundingPriorities Allstates/StateUniversitiesandColleges(governmentandgovernmentaided)will
beeligible. FundstomeetthegovernanceprerequisitesspecifiedunderRUSA.
InstitutionswhichhaveagoodNAACaccreditationstatus(GradeA)
37
II. FutureCommitments All thoseundergoing trainingunder thisschemeshouldbeprovidedappropriate
leadership positions at the institutional level in accordance with establishedprocedures.
All theparticipantsof such trainingprogrammes shallbe trackedperiodically toensure that theknowledge acquired from suchprogrammes are implemented attheinstitutionallevel.
Preference in selection for training shall be given to those faculty/educationaladministratorswho are below the age of 50 andhavedemonstrated leadershipskillsintheirrespectiveinstitutions.
Womenfacultyshallbehighlyencouragedtoparticipateinthisprogram.
FinancialNorms
AnamountofRs.100croreshasbeenearmarkedforcentrallyadministeringleadershiptraininganddevelopmentprogrammes.
Component14 InstitutionalRestructuringandReforms
SummaryFundswillbeprovided toStatesandUnionTerritories (dependingon thesizeof thestates) to enable them to create/strengthen necessary institutional framework forefficient and effective sectoral reforms. These funds can be utilized for settingup/strengtheningStateHigherEducationalCouncils,StateResourceCentersandStateProjectDirectorate.
FundingPriorities CreationofSHEC CreationofStateAccreditationagencies. Stateswhichhavealreadyundertakensectoral,academicandgovernancereformsor
havecommittedtoundertakethemasapartoftheirwillingnesstoparticipateinRUSA.
FinancialNormsEachStatewillbegivenRs.10croreeachintwoinstallments.20Stateswillbeeligibletobecoveredduringthe12thPlanperiod.Note: StatesthathavealreadyestablishedSHECswillhavetogivea
38
detailedproposaldetailing the funds required for strengthening theexistingonesandtheactivitiestobecarriedoutinthenexttwoyears.FinaldecisionontheamounttobesanctionedwillbetakenbythePABonthebasisofadifferentialfundingmethod.The states can utilize these resources in organizing meetings,consultations, workshops, trainings, hiring consultants and otherpreparatorywork toprepare thestate for thereformsand forsettingup/strengthening StateHigher EducationalCouncils, State ResourceCentersandStateProjectDirectorate.
Component15 CapacityBuildingandPreparation,DataCollectionandPlanning
SummaryFundswillbegiventoStatesandUnionTerritoriesto
Undertakebaselinesurveys Datacollectionandcompilation. Organisemeetings,consultations,workshops,trainings Hireconsultants PreparationofStateperspectiveplans/strategyreports
UtilizationofFundsFundswillbegivenupfronttoalltheStateswhichagreetoparticipateinRUSAtoundertakebaselinesurveysBaselinesurveyshallbeabletoidentifycriticalgapsinhighereducationandwhichwouldhelpinundertakingcapacitybuildingexercisestoprepareSHEPs
FinancialNorms
EachStatewillbegivenatotalamountofRs.5croreeachintwoinstallments
Component16 ManagementInformationSystemSummaryFundswillbeprovidedtocreateandmaintainstrongdatasystemsattheStatelevelfor
39
surveysandanalysisthatcouldprovideinformationtothethenationalMIS.UtilisationofFunds
TheMISshallbecentrallydesigned,developedandimplemented. Itshallcoverallparticipatingbodiesandinstitutions. Acommontoolshallbedevelopedtogeneratestandardizedinformationthatwould
helpinmonitoringprogressofreforms,utilizationofresourcesetc. Universitiesandcollegesshallbeprovidedadequateinfrastructuralsupportto
installtheMISandrequiredtrainingtothepersonnelforusingthesystem.
FinancialNorms
EachStatewouldbegivenanamountofuptoRs.2crorefor
coveringrecurringexpenditure/maintenance,etc. DesignandDevelopmentofMISincludingStateandinstitutional
levelmoduleswillbedonecentrally. Equipmentswouldbeprocuredcentrally.
Component17 SupporttoPolytechnicsSummaryInconsonancewiththePlanningCommissionguidelines,theexistingschemeregardingSubMissiononpolytechnicswillbemergedwithRUSA.
FundingPriorities Settingupofnewpolytechnics Strengtheningofexistingpolytechnics Constructionofwomenshostelsinpolytechnics Schemeofcommunitydevelopmentthroughpolytechnics(CDTP)to
providenonformal,shortterm,employmentorientedskilldevelopmentprogrammesthroughAICTEapprovedpolytechnics.
40
FinancialNorms
1.SettingupofNewPolytechnicsFinancialassistancewillbeprovidedtoStates/UTs,limitedtoRs.12.30croreperinstitutiontomeetthecostsofestablishingapolytechnicindistrictswhichdonothaveanygovernmentpolytechnicandalsounderserveddistricts;subjecttotherespectiveState/UTGovernmentsprovidinglandfreeofcost,meeting100%recurringexpenditureandalsononrecurringexpenditurebeyondRs..12.30crore.2.StrengtheningofexistingPolytechnicsFinancialassistancewouldbeprovidedtoupgradeinfrastructuralfacilitiesof500existingdiplomalevelpublicfundedpolytechnicsby(i)providingfinancialassistanceformodernequipmentsandreplacementofobsoleteequipments,(ii)providingmodernfacilitiesforapplicationofITinteaching,learningandtestingprocessesand(iii)introductionofnewdiplomacourses.TheSchemeprovidesamaximumofRs.2croreperpolytechnic.3.ConstructionofWomensHostelsinPolytechnicsOnetimefinancialassistance,subjecttoamaximumofRs.1.00foreachpolytechnic,tobeprovidedto500existingAICTEapprovedgovernment/governmentaidedPolytechnics.4.SchemeofCommunityDevelopmentthroughPolytechnics(CDTP)AnnualrecurringgrantsinaiduptoamaximumofRs17.00 lakhandaonetime nonrecurring grantsinaid of Rs 20.00 lakh (Rs.13.00 lakh for oldCommunityPolytechnics)wouldbeprovided to theselect AICTEapprovedDiplomaLevelInstitutions.
Component18 ManagementMonitoringEvaluationandResearch(MMER)
SummaryThisschemeisenvisagedtoprovidesupporttoresourcecentresandsupportgroupsfortheeffectiveimplementationofvariousprogrammesunderRUSA
41
KeyFeatureAllStateswhichqualifyforfundingunderRUSAbymeetingtheprerequisiteswouldbeeligibleforMMERfunds.
FinancialNorms
1%ofthetotaloutlayofRUSAwillbegiventotheStatesas
MMERfundsformeetingtheexpenditureoncreationandmaintenanceofTechnicalSupportGroup(TSG)attheStatelevel.
AninitialamountofRs.2crorewillbegiventothoseStatesthatareeligibletoparticipateinRUSA.
ThebalanceamountwillbedecidedonthebasisofthefinaloutlaydecidedforeachStateandwillbereleasedannually.
10. GuidingPrinciples
RUSAisstructuredonthefollowingguidingprincipleswhichareinviolable.Thesetenets constitute the foundationalpremise for funding and all thedecisions takenundertheschememustbeguidedbythem.
Performancebasedoutlaysandoutcomebasedreimbursements
Incentivizinganddisincentivising Apoliticaldecisionmaking Disclosurebasedgovernance Autonomy Equitybaseddevelopment Qualityandresearchfocus
(seesection4.7ofRUSAdocumentformoredetails)11. Timeline
Thebeginningofthefinancialyear(1stofApril)wouldbethecommencementdateof the State Annual Plans. Hence, the budget needs to be approved andcommunicatedatalllevelsbeforethisdate.Thisimpliesthatitneedstobesentforapprovalandconsentedatall levelsofauthoritybefore1stofApril.Thesuccessofbudgetingexercisewouldbedependentonadherence to timeschedules.Delays in
42
submissionsandapprovalswoulddelay thefinalizationof theSHEPs.The tabularrepresentationofthetimescheduleisplacedatAnnexureIV.12. ImplementationModalitiesattheCentral,StateandInstitutionallevels
RUSA would be implemented and monitored through an institutional structurecomprisingvariousbodiesat the central, stateand institutional levelswith clearlydefinedrolesandpowers.
InstitutionalStructureforRUSA
(seechapter5oftheRUSAdocumentforthedetailedcompositionandfunctionsofthethesebodies).
13. FundingStrategy13.1.NormbasedFunding
CentralfundingunderRUSAwouldbestrategic,basedonSHEPs. FundingunderRUSAwouldnecessarilyhave tobeexpended in thehigher
educationsector intheStateandwouldnotsubstituteStatefunding,sincethe state government would also have to necessarily increase its annualinvestmentbyafixedpercentage.
43
Central funding is linked to certain sectoral academic and governancereforms.
Institutions would also be encouraged to raise their own funds throughvariouslegitimatemeans.
Theoverallnormbased fundingschemashouldapply filtersat theprimary,secondary and tertiary levels to determine the eligibility of institutions toreceivefunding.
The norms,whichwoulddetermine the eligibility of institutions to receivefunding,wouldalsogradetheinstitutionsbasedontheirlevelofcompliancetoregulationstodeterminethequantumoffunding.Institutionswillbegivenan objective score against these norms and itwill decide the quantum offundstheywillbeeligiblefor.
13.2. Performancebasedfunding SHEPsserveasthebenchmarkagainstwhichtheperformanceofaStateand
itsinstitutionsaregraded. The funding for the futurewould be decided on the basis of level of past
achievements.14. ResourceAllocation
TheMinistryofHumanResourceDevelopment is thenodalagencyadministeringtheRUSAprogram. It receives thebudget targetsofparticipatingStates, reviews/analyzes them and then gives approvals and makes disbursements. The entireprocessrunsthroughatwowaymechanism:
BudgetaryDemandsemanatingfromInstitutionstotheMHRDthroughtheStateCouncils(viaStategovernments).
BudgetaryApprovals/Allocations conveyed from theMHRD to theStateCouncils/Stategovernmentsandinturntotheinstitutions
The overall allocation will be made on the basis of an equalisationformula/entitlementindexplacedatAnnexureV.
44
AnadditionalweightagehasbeenassignedtoensureenhancedallocationofresourcestoStateswithweaksocioeconomicandhealthindicators.
Sociodemographic variables like rural/urban distribution; proportion ofSC/ST and vulnerable groups; districts with adverse education indicators;difficult,mostdifficultand inaccessibleareas, leftwingaffecteddistrictsetc.wouldbeconsideredwhileallocatingresourcestothedistricts.
ResourceAllocationPattern
States Center:StateContribution
Assam,Manipur,Meghalaya,ArunachalPradesh,Nagaland,Mizoram,Tripura,Jammu&Kashmir,Sikkim,HimachalPradeshandUttarakhand
90:10
OtherStatesandUTs 65:35
14.1.Demandforadditionalfunds
After the finalization of the SHEP, the statesmay place a demand for additionalfunds forvariouscomponentsofRUSA to theMinistry.Afterreviewand feedbackfromtheconcernedprogramdivisions,theMinistrymayapproveordisapprovetherequest. In case of an approval, a letter/corrigendum shall be issued to the Statenotifyingtherevisedapprovedamount.Incasethedemandforadditionalfundsisnot approved, the statesmay submit theproposal for consideration the followingyear.14.2. ResourceEnvelope
45
TheresourcesallocatedtoaparticularStateforanygivenfinancialyearistermedastheResourceEnvelope.Theresourceenvelope fora financialyearwouldconsistof:
UncommittedUnspentBalance. GoIAllocationproposedfortheyear. Statesshareduefortheyear.
15. ApprovalProcessandFlowofFunds
The ProjectApproval Board (PAB) at theMHRDwould undertake a detailedreviewoftheSHEPssubmittedbythestates.Itwillalsoassesstheperformanceof theState and look at the targets thathavebeen set.TheSHEPwill thenbeapprovedbythePABandfundswillbereleasedtotheStatesaccordingly.
15.1.KeySourcesofFundsandFinancialOutlays GrantsinaidmadebyorthroughtheMHRD ContributionbytheStateGovernment. CentreStatefundingintheratioofratioof90:10intheNorthEasternstates,
Sikkim,J&KHimachalPradesh&Uttarkhand,and65:35forotherstatesandUTs.
The State contribution made by the State Government will be booked asexpenditure in the State Budget at the time of its release to theSHEC/Institutions
The States would have to ensure availability of sufficient land for newconstructionactivitiesfreeofcost.Thecostoflandacquisition,ifanycannotbemadeapartofthetotaloutlays.
For reporting, the samemaybe reflected separately in theperiodicalFMRsandStatementofFundsPosition(SFPs)andaseparateUtilizationCertificate
46
of the total amount utilized alongwith unspent balance, if any,would berequiredtobefurnishedattheendofthefinancialyear.
15.2. FundFlowfromMHRDtoStates TheFMGattheGoIlevelputsaproposaltotheIntegratedFinanceDivision
(IFD)forfundrelease.
Approval of appropriate Authority would be taken for fund release toState/UTsconcerned.
FundswillflowtotheStateConsolidatedFund.OnlyuponreceivingtheStatecontributionintothisaccount,resourceswillflowtoSHECandfromSHECtoinstitutionsbasedontheapprovedStateHigherEducationAnnualPlan.
After theapproval, sanctionsare issued to respectiveStatesafteruploadingonthewebsiteoftheControllerGeneralofAccounts(CGA).Afterthisfundsaretransferredonlinetothestates/UTs.
TheStatesshouldcontributetheirsharealongwithcentralsharetotheSHECwithin15days.Noncompliancewillleadtochargingofinterest.
ThefundswiththeSHEC/Institutionsdonotlapseatthecloseoffinancialyear.SHEC/Institutionsareempoweredtoutilizetheunspentbalanceduringthenextfinancial year for the same purpose forwhich the fundswere allocated. Theamountshallhoweverbetakenintoaccountwhilereleasinggrantsinaidsforthenextyear.Also,theamountremainingunutilizedatthecloseoftheprogramshalleither be refunded or utilized in amanner as decided by theGovernment ofIndia.
Stateswill open and administer amaingroupbank account for receiving andcreditingfundsunderRUSA.
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15.3. FundFlowfromStatetoInstitutions(UniversitiesandColleges)
State/SHEC should transfer the funds to the districts/institutions/executingagencieswithin15daysofthereceiptoffundsfromCentralGovernment.
Noncompliance of release of money by the State to the StateCouncil/Institutions within the stipulated period shall lead to charging ofinterestandmayfurtheraffectallocationofgrantsinthefuture.
ThereleasesmadetoinstitutionsshouldbeaspertheapprovedInstitutionalDevelopmentPlansandafteradjustingunspentbalances from thepreviousyear.
15.4. FrequencyofFundReleaseThe funds are released in tranches based on the utilization of previous funds.Normally,thefundsarereleasedinaminimumoftwoormoretranchesifrequired.
16. BankingArrangements
Tofacilitatemovementoffunds,properbankingarrangementsatalllevelsiscrucial.All funds are transferred through RBI approved banks. The transfer should takeplacethroughtheCentralPlanSchemeMonitoringSystemportalsoastoensurethefollowing:
TracktheflowofFunds Onlineinformationofbankbalance Tracktheutilizationofmoney Ultimateepaymenttothebeneficiary Disseminationofrelevantinformationtotheendusers DecisionSupportSystemforalllevelsofprogramheads Enhancetransparencyandaccountabilityinpublicexpenditure
48
16.1OperatingthemainBankAccountThefollowingpointsshouldbetakenintoaccountwhileoperatingtheGroupBankAccount:
ThemainGroupaccountshallbeutilized forcrediting funds received fromtheGoIforvariousprogrammesunderRUSA.
Chequesigningmandateshallbegivento thebankasperguidelines issuedon14122006andinlinewithdelegationofpowersissuedbyMinistryand/orStateGovernment.
The number of bank accounts at the institutional level may be kept atminimum soas todiscourage scatteredmaintenanceofRUSA fundsas thisresultsinweakfinancialmanagementandpoorinternalcontrols
No funds shall be kept in the form of a Fixed Deposit or any otherinvestments of any nature other than the savings bank account.Moreover,savings accounts should be simple savings bank accounts and not smartsavingsbankaccounts.
Accountsatalllevelsmaypreferablybekeptingovernmentapprovedbanks.In case there are no approved banks in the region then accounts can bemaintainedwiththepostoffice.
No fundsother thanGoIreleasesandStatescontributionshouldbekept inRUSA bankAccounts. Separate BankAccount to bemaintained for fundsreceivedfromothersources.
49
16.2SignatoriestotheBankAccountAsetoffourdesignatedsignatoriesatStateanddesignatedsignatoryatInstitutionallevelshouldbenotified.Anytwoofthemcan jointlysigncheques/ issueelectronicinstructionforebankingtooperateallbankaccounts.
17. DetailedcomponentwiseallocationsfortargetachievementDetailedcomponentwiseallocationsandphysicaltargetsforthe12thPlanisplacedatAnnexureVI.
18. FlowofinformationSinceRUSAsbasicprincipleisnormbasedfunding,itsbackboneistheavailabilityof timely, relevantanduptodate informationon thebasisofwhichnormbasedandperformanceappraisaldecisionscanbetaken.TheInformationcollectedonaStatewisebasiswouldbesenttotheRUSANationalImplementationAgency.Atthislevel,theinformationwillbeusedtoascertaineligibilityoftheinstitutionsforfurtherfundingforthenextfinancialperiod.TheroleofuniversitiesandStatehighereducationcouncils in thisprocessareasfollows:
a. University Thebasicunits for the collectionof information areuniversities.They shall
collectnecessaryinformationfromaffiliatedandconstitutedcolleges. InformationwillbecollectedthroughtheManagementInformationSystem. All universities and colleges will have to upload data and information to
RUSAportalaswellasAISHEportal.
b. StateHigherEducationCouncil(SHEC)
TheSHECwillcollatetheinformationcollectedbytheuniversities.
50
TheresponsibilityoftimelyandaccuratedatacollectionandmaintenanceoftheMIS systems isoneof themajor responsibilitiesof theSHEC.This informationwouldhavethreefolduse:
1. Assesstheperformanceofeveryuniversityonanyearlybasis,intermsofthenormssetbyRUSA
2. Assesstheperformanceofuniversitiesagainstspecificgrantsorprojectbasedfunding
3. Formulation of the five/ten year state education Plans on the basis of thecurrentperformanceandpossiblefuturegrowth
19. ManagementInformationSystem(MIS)
The firststep towards implementationofRUSAwouldbe the installationofanewManagementInformationSystemtocapturetherequireddatainatimelyfashion.Acommontoolwouldbedevelopedtogetstandardizedinformationthatwouldhelpin the calculation of norms.Universities and collegeswill be provided adequateinfrastructuralsupporttoinstalltheMISandtherequiredtrainingtothepersonnelforusingthesystem.20. MonitoringandEvaluation
Theprimaryresponsibilityofmonitoringwillliewiththeinstitutions. The management structure at the institutional level, i.e., the Board of
Governors (BoG) will monitor the progress of institutional projects on aregularbasisand shallprovideguidance for improving theperformanceoftheinstitutionsinprojectimplementation.
EachinstitutionwillhavetoformaProjectMonitoringUnitwithappropriaterepresentation from academic officials of the institution, faculty, senioradministrative officers, technical and nontechnical support staff and
51
students.TheUnit,headedbytheHeadoftheInstitution,willberesponsibleforthemonitoringoftheprojectattheinstitutionallevel.
TheProjectMonitoringUnitwillperformthefollowingroles:
1. Procurementofgoods,worksandservices2. Financialmanagementandperformanceaudit.3. Implementationoffacultyandstaffdevelopmentprograms4. PeriodicallyupdatetheMIS.
State governments shall regularly monitor and evaluate the progress of
institutions. TheProjectAppraisalBoard(PAB)atthenationallevelinMHRDwillreview
theprojectannually. Monitoringwillbebasedonactionplanspreparedbyeachprojectinstitution
andachievementsmadewithrespecttoasetofnorms,whicharedefinedinthe Institutional Development Plans. It will focus on implementation ofreforms by institutions, achievements in project activities under dierentcomponents,procurement of resources and services,utilization offinancialallocations and achievements in faculty and sta development andmanagementdevelopmentactivities.
21. InformationRegardingStatelevelFunctionariesIftheStateagreestoparticipateinRUSA,itshallprovideinformationregardingtheStatelevelfunctionariesintheformatplacedatAnnexureVII.
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Annexure1MHRDLetteraddressedtoStates
R.PSisodiaJointSecretary(HigherEducation)&MissionDirector,RashtriyaUchchatarShikshaAbhiyan
Dear
As youwould be aware, on 3rdOctober, 2013, the Cabinet approved the new Centrally SponsoredSchemeofRashtriyaUchchatarShikshaAbhiyan(RUSA)forimplementationinthe12thPlan.
2. RUSA isnotmerely anew fundingmechanism to support institutions in the Statehigher educationsystembutalsotheprimevehicleforimplementingacomprehensivereformagendaatboththeinstitutionalandStatelevels.ThequantumoffundingandfurthersupportunderRUSAwouldbedependentuponthecommitmenttothisreformprocessandtheefficacywithwhichitisimplemented.
3. Thefocusinthecurrentyearwillbeonpreparatoryworksuchascapacitybuilding&preparation,datacollection&planning, training,ongoingprogrammes likeModelDegreeCollegesetc.Workofsubstantialnaturewouldbetakenupfromthesecondyearonwards.Withonlyafewmonthsleftinthecurrentyear,itiscriticalthatthatwecommencetheseactivitiesrightawaysothatavailableresourcesareoptimallyandefficientlyutilisedandthePlanofActionfornextyearisready.
4. Inordertokickstarttheprocess,thestatesandUnionTerritorieswouldberequiredtocommunicatetothe RUSA Mission Authority its willingness to participate in RUSA by committing to undertake the aprioriprerequisitesandotherreformactivities.Itisthereforerequestedthattheenclosedundertakingmaybesignedandtheaccompanyingchecklistcompletedandreturned forus to take furtheraction in thematter.TheundertakingmaybesignedbyanofficernotbelowtherankofSecretarytoState/UTGovernment.
5. GuidelinesonRUSAforhelpingStatesandinstitutionsconductvariousactivitiesundertheSchemeareunderpreparationandwillbecirculatedshortly.
6. Theundertakingalongwiththefilledinchecklistmaybesubmittedby31.10.2013.Ifitisnotreceivedbythisdate,itwillbepresumedthattheconcernedState/UTisnotkeentoavailofthegrantsavailableunderRUSAandfurtheractionwillbetakenaccordingly.
With
Enclo:Asabove
Yourssincerely,sd
(R.PSisodia)
To,
AllChiefSecretaries(exceptStatesofMizoram,MadhyaPradesh,Chhatisgarh,DelhiandRajasthan)
Copyto:
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AllPrincipalSecretaries,HigherEducation (exceptStatesofMizoram,MadhyaPradesh,Chhatisgarh,DelhiandRajasthan)
UNDERTAKINGTheGovernment of.. (mention State orUnion Territory here) hereby
conveysitswillingnesstoparticipateintheRashtriyaUchchatarShikshaAbhiyan(RUSA)andcommits
tofulfilalltheprerequisitesundertheScheme.TheGovernmentoffurther
commitstoacceptandabidebyalldecisionsoftheRUSAMissionAuthorityandtheProjectApproval
Board.
Dated:
Place:
(Signaturewithofficialseal)
Name:
Designation:
54
CHECKLIST1. NameofState/UnionTerritory:
2. (a)WhetheraStateHigherEducationCouncilexists:
(b)Ifsobywhatnameandwhatisitscompositionandrole?
(c)Ifnot,bywhendoesitcommittosetupone?
(PleaseencloseacopyoftheorderconstitutingtheCouncil)
3. WhetheritcommitstoprepareaStateHigherEducationPlan(Perspective,annual&budgetplans)andsubmit
themforconsiderationoftheProjectApprovalBoard?
4. (a)WhatistheexpenditureonhighereducationasapercentageofGrossStateDomesticProduct(GSDP)inthe
lastthreeyears(201213,201112and201011)?
(b)WhetheritcommitstoraisingitsexpenditureonhighereducationasapercentageoftheGSDPasrequired
undertheScheme?
5. Whether it commits to contribute its share of funds under the Scheme and adhere to the timelines for fund
release?
(10%forNER,J&K,HimachalPradeshandUttarakhandand35%forotherStates&UTs)
6. (a)Whetherthereisabanonrecruitmentandfillingupfacultypositionsinstatepublicuniversitiesandpublic
andpublicaidedcolleges?
(b) Ifsowhetherorders forremoving thebanhavebeen issued?Ifsopleaseattachcopyof theGovernment
order.
7. Whether it commits to carry out accreditation reforms, affiliation and examination reforms, governance and
administrativereformsatStateandinstitutionallevelincludinginstitutionalgovernancereforms?
(asperencloseddocument)
8. Whetheritcommitstoensurecomplianceofinstitutionstotheprerequisitesandotherreforms?
(Signaturewithofficialseal)Name:Designation:
55
AnnexureIIFormatofInstitutionalDevelopmentPlan
(fordetaileddescriptionofchaptersandsubchapters,pleaserefertopages200to208ofRUSAdocument)
1 ExecutiveSummaryoftheIDP.2. Provide the details of SWOT analysis carried out (in terms of
methodology used, analysis and information and data ascollected and inferences derived with respect to strengths,weaknesses,opportunitiesandthreats).
Based on SWOT analysis, provide the strategic plandeveloped for institutionaldevelopment.
How the key activities proposed in the Institutional DevelopmentProposalare linkedwiththeresultsofSWOTAnalysis.
3. State the specific objectives and expected results of your proposal (interms of, Institutionalstrengtheningandimprovementsinemployabilityand learningoutcomesofgraduates.Theseobjectiveand results shouldbelinkedtotheSWOTanalysis.
4. Provideanactionplanfor:(max1pageeach)a) Improvingemployabilityofgraduatesb) Increasedlearningoutcomesofthestudentsc) Obtainingautonomousinstitutionstatuswithin2yearsd) Achieving the targets of 60% of the eligibleUG and PG programs
accredited within two years of joining the Project and 100%accreditationobtainedandappliedforbytheendoftheProjectoftheeligibleUGandPGprograms
e) Implementation of academic and nonacademic reforms (detailsgiven inRUSA Documen t )
f) Improvinginteractionwithindustryg) Enhancementofresearchandconsultancyactivities
5. Provide an action plan for organizing a Finishing School and forimproving the academicperformanceofSC/ST/OBC/academicallyweak
56
students through innovative methods, such as remedial and skilldevelopment classes for increasing the transition rateandpass ratewiththeobjectiveofimprovingtheiremployability.
6. Provide an action plan for strengthening of PG programs andstartingofnewPGprograms.7. AttachasummaryofTrainingNeedsAnalysis carriedout.Also,provide
FacultyDevelopmentPlanforthefirst18monthsforimprovingtheirteaching, subject area and research competence based on TrainingNeedsAnalysis in the followingareas. Basicandadvancedpedagogy Subject/domainknowledgeenhancement Attendanceinactivitiessuchasworkshops,seminars Improvementinfacultyqualifications Improvingresearchcapabilities
8. Provide anactionplan for training technical andother staff in functionalareas.9.Describe the relevance and coherence of InstitutionalDevelopment
Proposal with States/National (in case of CFIs) Industrial/EconomicDevelopmentPlan.
10.Describe briefly the participation of departments/faculty in the IDPpreparation.11. Describe the Institutional project implementation arrangements with
participationof facultyandstaff.
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AnnexureIIIFormatofStateHigherEducationPlan
(fordetaileddescriptionofchaptersandsubchapters,pleaserefertopages186to199ofRUSAdocument)
TableofContentsExecutiveSummaryChapter1:Introduction
a. .Missionb. .Visionc. .Goals
Chapter2:Backgrounda. ..DemographicProfileoftheStateb. ..HigherEducationProfilec. ..Privatesectorpland. .SWOTAnalysise. ..AcademicInformation
Chapter3:Analysisofpastperformancea. ..Summaryb. ..DetailedAnalysis
Chapter4:PreparationoftheStatePlana. ..Methodologyb. ..StakeholderConsultation
Chapter5:FiveyearPerspectivePlanChapter6:SnapshotoftheAnnualPlan
a. ..PriorityAreasb. ..Strategy
(1).Sourcesoffunds(2).Majortargetsandfinancialoutlays(3).Prerequisites:EssentialcommitmentsfromtheState(4).Currentlevelandtargetsforthenextyear
Chapter7:DetailedPlana. ..Overviewofthemajorinitiativesb. ..Privatesectorparticipationc. ..Detailedcomponentwiseallocations
Chapter8:Universitywiseplansandfinancialimpacta. .Outlaysforalluniversitiesandcollegesb. .Universitywisebreakupc. .Collegewisebreakupd. .DetailedAllocationsforUniversities
AnnexuresAnnexureI:StateBaseline
58
AnnexureIVDetailedTimelines
Milestone Timeline
CommunicationofResourceEnvelopetoStatesbyPAB
To be decided byPAB in its FirstMeeting.
PreparationofInstitutionalPlansbyInstitutions
SubmissionofInstitutionalPlanstoSHEC
PreparationofSHEPsbyStates
ReceivingSHEPinMHRD
Preappraisalmeeting(andresubmission,ifany)
FinalisationofSHEP
EvaluationbyPAB
Communication of Approved Plan and Allocation toStates
ReleaseofFirstInstallmentbyNPD
SubmissionofUtilisationCertificatesbyStates/Institutions.
ReleaseofStatesShare
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AnnexureVEntitlementIndex
Sl.No. Criteria Weights1 Population(AgeGroup:1823)
(CriteriareflectingEqualPerCapitaTransfers)+40
2
PerCapitaIncome(CriteriaReflectingFiscalDeficiency)
10
3GrossEnrolmentRatio(CriteriaReflectingShortfallinEnrolment) 10
4 Performance
A.ImprovementinGER(over5Years)(200607to201112)
A.1GERAllcategories +10 A.2GERSCs +5 A.3GERSTs +5
A.4GenderParityIndex(Over5Years)(200607to201112)
A.4.1GPIAllCategories +10 A.4.2GPISCs +5 A.4.3GPISTs +5 B.ExpenditureonHigherEducation B.1PerCapitaExpenditure +10 B.2Expenditureas%ofNSDP(1) +10
60
C.CollegePopulationIndex 5 D.InstitutionalDensity 5 E.TeacherStudentRatio 5 F.ResearchOutput +10
5 SpecialProblems +25 TOTAL 100(+)Positivemeanshighervaluelargerentitlement()NegativemeanshighervaluelowerentitlementResearchoutputwillbedeterminedbyindicatorssuchasnumberofresearchpaperpublishedinNational&InternationalJournals,numberofM.Phil.,Ph.Ds.guided,numberofcollaborativeresearchprojects,patentsgeneratedcitationimpact
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AnnexureVIComponentwiseAllocationsandPhysicalTargetsforthe12thPlan
Component Unitcost(RsCrores)
NoofUniversities/Colleges/States/Units
Outlay(Rs.
Crores)
1. Creation of Universities by way ofupgradation of existing autonomouscolleges
55 45 2475
2. CreationofUniversitiesbyconversionofcollegesinacluster 55 35 1925
3. InfrastructuregrantstoUniversities 20 150 30004. NewModelColleges(General) 12 60 7205. Upgradation of existing degree
collegestomodelcolleges 4 54 2166. New Colleges (Professional &
Technical) 26 40 10407. Infrastructuregrantstocolleges 2 3500 70008. Research, innovation and quality
improvement 120 10 12009. Equityinitiatives 5 20 10010. FacultyRecruitmentSupport 0.58 5000 290011. Facultyimprovements 10 20 20012. VocationalisationofHigherEducation 15 20 30013. Leadership Development of
EducationalAdministrators 5 20 10014. Institutionalrestructuring&reforms 20 20 40015. Capacitybuilding&preparation,Data
collection&planning 10 20 20016. ManagementInformationSystem 10 20 20017. SubTotal 2197618. 4% Management, Monitoring,
Evaluation&Research 879
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19. Total 2285520. CentralShare 1622721. StateShare 6628
63
AnnexureVIIInformationonkeyStateFunctionaries
Designation Name EmailAddress PhoneNumber PostalAddressStateProjectDirector
NodalInformationOfficer(State)
NodalInformationOfficer(SHEC)
OtherRUSAstaff