RashtriyaUchchatarShikshaAbhiyan(RUSA)

DraftGuidelinesforConsultation

DepartmentofHigherEducation
MinistryofHumanResourceDevelopment
GovernmentofIndia
October,2013

CONTENTS
Sl.No.

Topic

PageNo.

Introduction

Vision

Objectives

KeyFeatures

TargetGroup

ApproachandStrategy

Prerequisites

11

OverviewofRUSANorms

11

ProgrammaticandFinancialNormsofVarious

13

Components
10

GuidingPrinciples

41

11

Timeline

41

12

ImplementationModalities

42

13

FundingStrategy

42

14

ResourceAllocation

43

15

ApprovalProcessandFlowofFunds

45

16

BankingArrangements

47

17

Detailedcomponentwiseallocations

49

18

Flowofinformation

49

ManagementInformationSystem(MIS)

50

MonitoringandEvaluation

50

19
20

21

InformationRegardingStatelevelFunctionaries

51

Annexures
No.

Content

PageNo.

1. MHRDLetterno.418/2012U.IIdated8thOctober,
2013addressedtoStates/UTs
2. FormatofInstitutionalDevelopmentPlan
3. FormatofStateHigherEducationPlan
4. DetailedTimelines
5. EntitlementIndex
6. Componentwiseallocationsandphysicaltargetsfor
the12thPlan
7. Template for the States for providing information
regardingkeyfunctionaries

52
55
57
58
59
61
63

GUIDELINES

1. Introduction
The 12th Plan proposed a holistic plan for the development of higher
education in the country by ensuring access, equity and quality. The Plan, which
recommended strategic utilization of central funds to ensure comprehensive
planningattheStatelevelrecommendedanewCentrallySponsoredScheme(CSS)
RashtriyaUchchatarShikshaAbhiyan(RUSA).
The National Development Council (NDC) approved the Scheme as part of
the12thPlanandsubsequentlyitwasincludedinthelistof66schemesapprovedby
Cabineton20.06.2013,aspartoftherestructuredCSSforimplementationinthe12th
Plan.TheCentralAdvisoryBoardonEducation(CABE),thehighestadvisorybody
of the Government of India in education on policy matters,in its meeting dated
08.11.2012 gave inprinciple approval to RUSA. The Expenditure Finance
Committee(EFC) approved the Scheme on 11th September 2013 and 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 Sarva
Shiksha Abhiyan (SSA), graduated subsequently to Rashtriya Madhyamik Shiksha
Abhiyan(RMSA).
RUSA would be spread over the 12th and 13th Plan period for funding the
State universities and colleges to achieve equity, access and excellence in higher
education. The allocation of funds under RUSA would be based on welldefined
normsandlinkedtocertainkeyacademic,administrativeandgovernancereformsin
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)withmatchingcontributionsfromtheStategovernmentsandUnion
Territories(UTs).

All the States have already been addressed vide the MHRD letter D.O No. 4
18/2012U.II,dated 8thOctober, 2013 regarding the implementation of RUSA and their
willingnesstoparticipateinthescheme(seeAnnexureI).

TheseguidelinesareintendedfortheuseofStatesandinstitutionsinpreparingfor
participationinthereformprocessunderRUSAduringthe12thFiveYearPlan
period.TheguidelinesarenotasubstitutefortheRUSAdocumentwhichcanbe
accessedfromthewebsiteofMinistryofHumanResource
Development(www.mhrd.gov.in/rusa).

2. Vision
Toattainhigherlevelsofaccess,equityandexcellenceintheStatehighereducation
systemwithgreaterefficiency,transparency,accountabilityandresponsiveness.

3. Objectives

ToachievetheGrossEnrolmentRatio(GER)targetofof25.2%bytheendof
12thPlanand32%bytheendof13thPlan

ImprovetheoverallqualityofexistingStatehighereducationalinstitutionsby
ensuringtheirconformitytoprescribednormsandstandards

Adoptionofaccreditationasamandatoryqualityassuranceframework.

UshertransformativereformsintheStatehighereducationsystembycreating
afacilitatinginstitutionalstructureforplanningandmonitoring.

Ensuregovernance,academicandexamination(andevaluation)reformsand
establish backward and forward linkages between school education and the
jobmarket.

Expand the institutional base by creating additional capacity in existing

institutions and establishing new institutions in unserved and underserved
areasbywayofupgradationandconsolidation.

Createopportunitiesforstatestoundertakereformsintheaffiliatingsystem.

Ensure adequate availability of quality faculty in all higher educational

institutionsandensurecapacitybuildingatalllevels.

Create an enabling atmosphere in institutions to facilitate research and

innovation.

Integrate the skill development efforts of the government through optimum

interventions.

Correctregionalimbalancesinaccesstohighereducation.

Improve equity in higher education by providing adequate opportunities to

socially deprived communities; promote inclusion of women, minorities,
SC/ST/OBCsanddifferentlyabledpersons.

Toidentifyandfillupthecriticalinfrastructuregapsinhighereducationby
augmentingandsupportingtheeffortsoftheStategovernments.

Promote healthy competition amongst states and institutions to address

variousconcernsregardingquality,researchandinnovation.

Clearly define role of State governments visavis higher educational

institutions.

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).SHEPshouldaddresseachStatesstrategyto
addressissuesofequity,accessandexcellence.
6

EachinstitutionwillhavetoprepareanInstitutionalDevelopmentPlan(IDP)
for all the components listed under the Scheme. It will be aggregated at the
Statelevel,afterimposingasuperlayerofStaterelevantcomponentsintothe
SHEP.

Statehighereducationcouncils(SHEC)willhavetoundertakeplanningand
evaluation,inadditiontoothermonitoringandcapacitybuildingfunctions.

SHEC will be the key institution at the state level to channelize resources to
theinstitutionsfromtheStatebudget.

TwoongoingCentralschemesofModelDegreeCollegesandsubmissionon
polytechnicswillbesubsumedunderRUSA.

UGCSchemessuchasdevelopmentgrantsforStateuniversitiesandcolleges,
onetime catch up grants, etc. will be dovetailed in RUSA. Individual
orientedschemeswouldcontinuetobehandledbyUGC.

CentreStatefundingwouldbeintheratioof90:10forNorthEasternStates,
Sikkim, J&K, Himachal Pradesh and Uttarakhand and 65:35 for Other States
andUnionTerritories(UTs).

Funding will be provided for governmentaided institutions for permitted

activities,basedoncertainnormsandparameters,andinaratioof50:50.

States would be free to mobilize private sector participation (including

donations and philanthropic grants) through innovative means, limited to a
ceiling of 50% of the State share (see chapter 6 of RUSA document for more
details).

Statewise allocations would be decided on the basis of a formulaic

entitlement index which would factor in the population size of the relevant
age group,GER and Gender Parity Index(GPI) across categories,State
expenditure on higher education,institutional density, teacherstudent ratio,
issues of access, equity and quality and excellence in higher education,etc.

Further allocation of funds would be dependent upon performance of the

stateanditsdemonstratedcommitmenttothereformsagenda.

5. TargetGroup

StateUniversitiesandcolleges{both12Band2(f)}compliantandnon12Band
non2(f)).

Governmentaidedcollegeswouldbeentitledtosomecomponents(including
infrastructure support) as approved by the PAB. Funding to such colleges
would be decided based on their antiquity and other parametes.(see section
4.2ofRUSAdocumentformoredetails).

6. ApproachandStrategy

RUSAwouldfollowabottomupapproachforplanningandbudgetingto
redressmultipleandgradedinequalities.

Stateswouldalsobecomeequalpartnersinplanningandmonitoring.The
yardstickfordecidingthequantumoffundsfortheStatesandinstitutions
underRUSAcomprisethenormsthatreflecttheperformanceinkeyresult
areas;access,equityandexcellence.

Access,Equity,andExcellencewouldtobethemainthrustareas.Considering
the interlinkages between them and taking into consideration the current
realitiesexistinginthecountry,theseobjectiveswouldbepursueddifferently.
This would necessitate reforms in governance arrangements at all levels
(national, state and institutional), with suitable implementation frameworks
andmonitoringarrangements.

Planning process would begin at the institutional Level, with the IDP based
on inputs/ discussions with the stakeholders within the institution. These
IDPswouldbeaggregatedtoformtheSHEP.TheSHEPwouldhavemainly
8

two components; State component and institutional component. The SHEP

would be further broken down into annual plans, by taking the various
factorsundertheeighteencomponentsintoconsideration.Theseannualplans
will constitute the basis for determining the funding to states (format of the
IDPandSHEPareplacedatAnnexureIIandAnnexureIII;alsoseesections
7.5and7.6ofRUSAdocument).

In order to be eligible for funding under RUSA, States will have to fulfil
certainprerequisitestowardsreformprocesswhichincludeacademic,sectoral
andinstitutionalgovernancereforms.

EachStatemustundertakeabaselinesurveyagainstwhichperformanceand
progresswouldbemeasured.

Once eligible for funding under RUSA, the States will receive funds on the
basis of achievements and outcomes. Future funds flows would be
determinedbasedonoutcomesandachievementsagainstthetargets.

RUSAwouldenableandempowertheStatestodevelopsufficientcapabilities
toplan,implementandmonitorinitiativesforthehighereducationsectorasa
whole.

PreparatoryfundsthatwouldbeprovidedtotheStategovernmentstoequip
them for complying with the prerequisites would be based on a differential
fundingmethod.

PROCESSFLOW

10

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. Unless these
commitments are fulfilled, the states and institutions will not be eligible to
availgrants(seesection4.8ofRUSAdocumentformoredetails).
States

Institutions

Institutionalgovernancereforms

SettingupofSHEC

Academicreforms

SHEP(including
Perspective Plan, Annual
Plan and Financial & Work
Plan)

Examinationreforms

ProjectManagementTeams

EquityCommitments

Commitments on research and

State funding commitment

shareandtimeliness

innovationefforts

Fillingoffacultypositions

Affiliationreforms

Setting up of accreditation

EstablishmentofMIS

agencies

Regulatorycompliance

Faculty

recruitment

and

improvement

Governance

and
administrativereforms

Academicandexamination
reforms

8. OverviewofRUSANorms
All land will be provided by the State governments. The State government
shall acquire and have undisputed possession of land in any case where a new
institutionisproposedtobesetuporexpanded.Anyfuturelegaldisputeswillalso
behandledbytheStategovernmentandtheCentreshallnotbeapartinit.Forall
civil works, the cost estimates mentioned for RUSA components would constitute
11

the upper limit. However in case the State SSR is lower than the cost estimates of
RUSA, it will be State SSR which shall apply for determining the central share. In
otherwords,centralshareforcivilworksunderanycomponentshallberestrictedto
eitherRUSAestimateoftheStateSSR,whicheverislower.
HoweverStateswouldbefreetoenhanceitsownshareforanycomponent.It
mayalsoaddnewcomponents,whicharenotmentionedunderRUSAprovideditis
willingtobeartheentireadditionalexpenditure.
TheStateswouldbefreetomobilizeupto50%oftheirsharethroughprivate
grants and donations, Corporate Social Responsibility (CSR) contributions, Public
Private Partnerships (PPP) etc. States, especially in the North Eastern region, may
also consider availing of Viability Gap Funding (VGF), administered by the
DepartmentofNorthEasternRegion(DoNER).Similarly,Stateslocatedoutsidethe
North Eastern Region may avail the VGF administered by the Department of
Economic Affairs, Ministry of Finance where bulk of the investment would be
private and the States could meet a portion of the cost, to make the project viable.
Additionally States may make use of the Rural Infrastructure Development Fund
(RIDF)forfinancingofinfrastructureprojectsunderRUSAinruralareas.
StatesmayengageanyoftheCentral/StateagenciessuchastheCentralPublic
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
relevantStaterulesandproceduresandStateGFRs.
States would be required to procure all consumables, equipments, furniture,
fixtures etc. in accordance with the State procurement policy. In all such cases
competitivebiddingandeprocurementmethodshouldbeadopted.
Affiliation reforms and accreditation norms as elaborated in Section 4.8.7 in
theRUSAdocumentshouldbefollowedbyStates.

12

9. ProgrammaticandFinancialNormsofVariousComponents

1. CreationofUniversitiesbywayofupgradationofexistingAutonomous
Colleges
2. CreationofUniversitiesbyconversionofcollegesinacluster
3. InfrastructureGrantstoUniversities
4. NewModelColleges(General)
5. UpgradationofexistingDegreeCollegestoModelDegreeColleges
6. NewColleges(Professional)
7. InfrastructureGrantstoColleges
8. Research,Innovationandqualityimprovement
9. EquityInitiatives
10. FacultyRecruitmentSupport
11. FacultyImprovement
12. VocationalisationofHigherEducation
13. LeadershipDevelopmentofEducationalAdministrators

14. InstitutionalRestructuringandReforms
15. CapacityBuildingandPreparation,DataCollectionandPlanning
16. ManagementInformationSystem
17. SupporttoPolytechnics
18. ManagementMonitoringEvaluationandResearch(MMER)

Component1

CreationofUniversitiesbywayofUpgradationofExistingAutonomous
Colleges

Summary
45autonomouscolleges(autonomygrantedbyUniversityGrantsCommissionatleastin
2008orearlier)thathavenecessaryinfrastructuralfacilities,antiquity,teachingstrengthand
qualitywillbeconsideredforupgradationtoUniversities.
Theconversionplanforthecreationofuniversitiesmustincludestagewiseplanningwith
regardtoexpansionininfrastructure,numberofstudents,departments,administration,
academicfunctions,researchactivities,etc.Itmustalsocoverthetimelinesandconcrete
stepsthatwillbetakenfortheintegrationofalltheconcernedcollegesaswellasthe
expectedendstateofthenewUniversity.

I. Existingautonomouscollegeswhichfulfilthefollowingrequirementswillonlybe
13

consideredforupgradation:

I(a).PhysicalInfrastructure

Musthavebeeninexistenceforatleast15years.

Theminimumexistingenrollmentofthecollegemustbe2000andtheproposedtotal
enrolmentofstudentsmustbeenoughtosustaintheinstitutionasauniversitywith
aminimumenrolmentrequirementof4000students.

Thelandalreadyavailablewiththecollegemustbeenoughtosupporttheadditional
enrollmentsandcapacity(atleast15acresinmegacities,20acresinmetrocitiesand
25acresinrestofthecountry).

Shouldhaveadequatelibrary,hostel,laboratory,ICTandsportsfacilities.

I(b).AcademicQuality

ShouldhavebeenaccreditedbyNAACandmusthavereceivednotlessthananA
Gradeaccreditation.

ShouldalsoenjoythestatusofCollegewithPotentialforExcellence(CPE)asconferred
bytheUGC.

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 sanctioned positions to total regular student intake(during 2012
13).

I(c).Governanceandrelatedissues

Musthavearobustinternalgovernancestructure:withAcademicCouncil,Boardof
Studies/Research Councils and Finance Committees as per the guidelines of the
regulatorybody.

Musthaveenoughadministrativestaffandthecapacitytofunctionandbemanaged
14

as a University. States are required to sanction additional staff as soon as the

approvalofPABisreceived.

II. FutureCommitments
Apartfromclearlyspecifyingtheneedforuniversitystatus,thecollegeseekinguniversity
statusshouldcommittotherequirementsandexpectationslistedbelow:

II(a).PhysicalInfrastructure

Convertalltheexistingbuildingsintofullydisabledfriendlytoimproveaccess.

Ensurespecialfacilities/equipmentsforthedisabledstudents.

Adequatehostelandtoiletfacilitiesforgirls.

Perstudentavailability:adequateclassroom,labandlibraryspace

II(b).AcademicQuality

Interdisciplinary and transdisciplinary programmes should be encouraged;the

upgradedinstitutionshouldbeamultidisciplinaryuniversity.

Commit to rigorous evaluation on the indicators under the Institutional Plan

templatewithgreaterweightageonQualityandResearchindexafter3yearsofits
establishmentasaUniversity(seepage194ofRUSAdocument).

Committoadequatelibrary,laboratoryandhostelfacilities.

TheinstitutionmustcommittoinclusionofICTinteachingandlearningprocessesin
allitscollegesandprovideinternetaccess(preferablyWiFi)toallstudents

Specifytheinnovationscontemplatedinacademicsandgovernance.

Specifyhowtomakeinnovationssustainableandscaleup.

Shouldhaveateachingtononteachingratioof1:1.1

II(c).Governanceandrelatedissues

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
15

functioningofinstitutions).

The institution must be governed by a Board of Governors/governing body with a

different nomenclature having representation from academia, industry, public
intellectualsetc

The new university should be established as an affiliating university. The State

governmentshouldclearlymentionthejurisdictionoftheuniversity.

Theinstitutionmustmaintainareasonableratioofteachingtononteachingstaffas
perUGCrecommendations.

II(d).EquityandInclusion

Adherencetomeritbasedadmissionofstudents.

50%ofhostelseatsshouldbereservedforsociallyandeconomicallyweakersections.

Adherence to the reservation policy of State government in admission and faculty

recruitment.

Financial No
Norms

1
2
3
4

Item

TIER1 Cities

Area Total
(SM) Cost
Per
SM
33371
Rs.In
Lakh

AdministrativeArea

Area
(SM)

Total
Cost
Per
SM
31622
Rs.In
Lakh

Area
(SM)

Total
Cost
Per
SM
44650
Rs.In
Lakh

667.42
362.07
266.96

2000
1200
1050

632.44
379.46
332.03

1000
1000
750

446.5
446.5
334.87

1200

400.45

1400

442.7

1000

446.5

750

250.28

850

268.78

590

263.43

16

HillyAreas

2000
1085
800

SchoolofSciences
SchoolofSocialSciences
SchoolofEngineering,
Technology&
ComputerTechnology
SchoolofTeacher
Education

TIER2Cities

SchoolofHumanities
800 266.96 1050 332.03 750 334.87
andLiberalArts
7 Classrooms(Common) 5000 1668.55 5000 1581.1 3000 1339.5
8
CentralLibrary
2000 667.42 2000 632.44 2000
893
9
Auditorium
1000 333.71 1000 316.22 1000
446.5
10 Canteen/Cafeteria/Toilet
750 250.28 750 237.16 500 223.25
Blocks/Misc.

Total
15385 5134.1 16300 5154.36 11590 5174.92
No
Item
TIER1
TIER2
TIER3

Area Total Area Total Area Total

(SM) Cost (SM) Cost (SM)
Cost
Per

Per

Per
SM
SM
SM

26096
24722
32581

Rs.In
Rs.In
Rs.In
Lakh
Lakh
Lakh
1
Hostel
1400 365.34 1400
346.1 1000 325.81

GrandTotal
19385 5499.44 20300 5500.46 12590 5500.73
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs55croresfor
eachinstitution.
Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheir
need(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.
TheInstitutionalDevelopmentPlanwillbeappraisedandevaluatedattheStateand
TechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupportreasonable
plans
Note3:Equipment,fixturesandfurniturearepartoftheestimate
Note4:Staff
(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffin
ordertoachievetheidealteachingtononteachingratioof1:1.1.
(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositions
withaStudentTeacherratioof20:1orbelowcanapproachRUSAforsupportofthese
additionalpositionsinordertoachievethetargetof15:1
Note5:Adetailedconversionplanmustbesubmittedbytheinstitution.
Note6:Minimumsizeofaclassroomsshouldbe80SM.
Note7:Statesensurethattheuniversitywouldcreateatleastthreeschools
(includingtheexistingschools)withatleasttwodepartmentsineachschool.
Component2

CreationofUniversitiesbyconversionofcollegesinacluster

Summary

17

Cluster universities aims essentially at addressing the critical gaps in the spatial
distributionofhighereducationalinstitutionsacrosstheStates.35newclusteruniversities
wouldbecreatedduringthecurrentPlanperiodwithanaverageallocationofRs.55crore
per university and 65 during the next Plan period through the clustering of existing
affiliatedgovernmentandgovernmentaidedcolleges.Theseuniversitieswillbecreatedby
poolingtheresourcesof3to5existingcollegesthathaveadequateacademic,physicaland
technical infrastructural facilities. All the participating colleges in a cluster would
eventuallybecomeconstituentcollegesofthenewlycreateduniversity.
CollegesidentifiedasCollegeswithPotentialforExcellenceoranyothercriteriawhichamply
demonstratethevariousqualityparametersofaninstitutionwillbeconsideredasthelead
institutionoranucleusaroundwhichtheclusteruniversitywouldbeestablished.Colleges
joiningtheclustermusthavethecapacitytofunctionasauniversity.Thiswouldinclude,
amongotherfactors,thestrengthandexperienceoftheadministrativestaff,thenumberof
years that the individual colleges have been functioning, degree of autonomy they have
enjoyedinthepast,etc.
Theconversionplanforthecreationofuniversitiesmustincludestagewiseplanningwith
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 the integration of all the concerned colleges as well as the
expectedendstateofthenewUniversity.

I. Therequirementsthatneedtobefulfilledbyeachoftheparticipatingcollegesarelisted
below:

I(a).PhysicalInfrastructure

Allparticipatingcollegesshouldhavebeeninexistencefor15years.

Shouldhaveanexistingcombinedenrollmentof2000studentsandtheproposedtotal
enrollmentofstudentsmustbeenoughtosustaintheinstitutionasauniversitywitha
minimumenrolmentrequirementof4000students.

As the university would be a multicampus university, the physical proximity of the

institutions should be such that they are able to share physical and human resources
andwouldbeabletofacilitatestudentandfacultymobility(ideallywithinamaximum
18

radiusof1520kmsfromtheleadinstitution(totakeintoaccountthespecialcondition
ofNorthEastRegionStates).

The State government should identify a nucleus college or ensure the availability of
necessary land required for the university in and around the nucleus college to build
universitysuperstructure.

I(b).AcademicQuality

Thenewclusteruniversitymaybeacombinationofcollegeswithautonomousstatus/
College with Potential for Excellence status/Special Assistance received from reputed
internationalornationalfundingagencies/CentersofExcellenceasidentifiedbyState
Governmentsetc.

ShouldhaveaNAACaccreditation,highergradeswillbepreferred.

Shouldhaveteachingprogrammesinundergraduateandpostgraduatecoursesorhave
thedemonstratedabilitytoundertakepostgraduateprogrammes.

Musthavefacultymemberswithexcellentresearchperformancethroughpublications,
undertakingresearchprojectsandguidingresearchstudents.

Should have demonstrated high academic performance in interdisciplinary teaching

andresearchprogrammes.

ShouldhaveaStudentteacherratio(20:1)(combinedbasedonsanctionedstrength)

The combined graduate and postgraduate departments proposed by the institutions

mustbeabletolaythefoundationforamultidisciplinaryinstitution(coveringatleast
twoormoreofthehumanities,arts,commerce,science,engineeringorotherfaculties)
ofpostgraduatestudiesandresearch.Hence,thecolleges/institutionsidentifiedtobea
partoftheUniversityshouldhaveappropriatediversityinteachingandresearch.

I(c).Governanceandrelatedissues
Theparticipatingcollegesshouldhave:

A robust internal governance structure as per the guidelines of the regulatory body.
Alsoitisadvisablethatsuchinstitutionsshouldhave anAcademicCouncil/Boardof
Studies/ResearchCouncilsandFinanceCommittees.

Abilitytoraise/mobilizeresourcesfromsourcesotherthanpublicfunding.

19

EquityandInclusion

ReservationasperStatenorms

50%ofhostelseatsforsociallyandeducationallybackwardclasses

Enhancetheenrolmentofgirls

II. FutureCommitments

Themulticampusclusteruniversitiesmustmeetthefollowingprerequisiteswithinthree
monthsuponapproval:

II(a).PhysicalInfrastructure

Committohostelsforboysandgirls.

Specialfacilities/equipmentsforthedisabled.

Committoprovideadequatelibraryandlaboratoryfacilities.

II(b).AcademicQuality

Agreetoshareexistingfacilitiesinpartnercollegesandundertakecommonventuresin
promotingaccess,equityandqualityofeducation.

Agreetoacademicreforms(seesection4.8.12ofRUSAdocument)

II(c).Governanceandrelatedissues

Agreetoasharedvisionandprinciplesofassociation

AddresstheaffiliationissuesoftheexistinguniversitiesintheState.

Agreetocertainprinciplesofgovernancelikeequalstatustoparticipatinginstitutions,
collective decisionmaking, 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

andextentofrelationshipamongpartneringcollegesandlaydownthemodalitiesfor
thefunctioningofthecluster.
20

Agree to a governance structure which should ensure equal and adequate

representation of partnering institutions for democratic decisionmaking and effective
implementation of academic programmes, financial autonomy and social
accountability(seesection4.8.9ofRUSAdocument).

An appropriate governance structure for cluster universities shall be detailed by

respective States through a newAct or amendments to the existingAct within a year
fromthedateofestablishment.

II(d).EquityandInclusion

Due preference for hostel accommodation should be given to for socially and
economicallyweakersections.

Convertexistingbuildingsintofullydisabledfriendlyones.

Financial No
Norms

1
2
3
4

Item

AdministrativeArea

TIER1 Cities

Area Total
(SM) Cost
Per
SM
33371
Rs.In
Lakh
2000
1085
800

667.42
362.07
266.96

SchoolofSciences
SchoolofSocialSciences
SchoolofEngineering,
Technology&
1200 400.45
ComputerTechnology
5
SchoolofTeacher
Education
750 250.28
6
SchoolofHumanities
andLiberalArts
800 266.96
7 Classrooms(Common) 5000 1668.55
8
CentralLibrary
2000 667.42
9
Auditorium
1000 333.71
10 Canteen/Cafeteria/Toilet
750 250.28
21

TIER2Cities

HillyAreas

Area
(SM)

Total
Cost
Per
SM
31622
Rs.In
Lakh

Area
(SM)

Total
Cost
Per
SM
44650
Rs.In
Lakh

2000
1200
1050

632.44
379.46
332.03

1000
1000
750

446.5
446.5
334.87

1400

442.7

1000

446.5

850

268.78

590

263.43

1050
5000
2000
1000
750

332.03
1581.1
632.44
316.22
237.16

750
3000
2000
1000
500

334.87
1339.5
893
446.5
223.25

No

Blocks/Misc.
Total
Item

15385 5134.1 16300 5154.36 11590 5174.92

TIER1
TIER2
TIER3

Area Total Area Total Area Total

(SM) Cost (SM)
Cost (SM)
Cost
Per

Per

Per
SM
SM
SM

26096
24722
32581

Rs.In
Rs.In
Rs.In
Lakh
Lakh
Lakh
1
Hostel
1400 365.34 1400
346.1 1000 325.81

GrandTotal
19385 5499.44 20300 5500.46 12590 5500.73

Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs55croresforeach
institution.
Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed
(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.Theinstitutional
planwillbeappraisedandevaluatedattheStatelevelandobjectivedecisionwillbetakentosupport
reasonableplans
Note3:Equipment,fixturesandfurniturearepartoftheestimate
Note4:Staff
(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinorderto
achievetheidealteachingtononteachingratioof1:1.1.
(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswitha
StudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditionalpositionsin
ordertoachievethetargetof15:1
Note5:Adetailedconversionplanmustbesubmittedbytheinstitution.
Note6:Minimumsizeofaclassroomshouldbe80SM.
Note7:Statesensurethattheuniversitywouldcreateatleastthreeschools(includingtheexisting
schools)withatleasttwodepartmentsineachschool.

Component3

InfrastructureGrantstoUniversities

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.20croreeachduringthecurrentPlanperiod.
22

FundingPriorities:

Universities will be prioritized for purposes of funding according to; (a)

universities which have not been included under section 12B. These
universitieswillbefurtherprioritizedonthebasisofinterseantiquity(year
of establishment; (b) universities included under section 12B but have not
receivedfunding.

Within each of the above categories (a) and (b), those universities which
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/given
commitmenttoimplementreforms.

Priority will also be accorded to universities on the basis of their NAAC

accreditation on the factors that have a direct impact on teachinglearning
process. If the institution is not accredited, its status while applying for
accreditationwillbeconsidered.

Prioritytouniversitieshavingspecialattributes,characterandantiquity.

FutureCommitments

InstitiutionsshallagreetoabidebyaDisclosureManagementFramework.

FinancialNorms
Item
Academicbuilding
Administrativebuildings
Campusdevelopment

Laboratories
Library

ComputerCentre/ecampus

Norms
Newconstructionnotpermitted
Newconstructionnotpermitted
Beautification,amenities,water
supply,drainage,water
harvesting,alternateenergysources,etc.
Repair/newequipments
Renovationofbuildings,digitizationof
books,journals,theses
Newconstructionandupscalingof
existingnetworktoenableWiFi,
23

LAN,etc.)

newconstructionpermitted

newconstructionpermitted

newequipmentspermitted

Hostels;separateforboysandgirls
Toiletblocks,separateforboysand
girls
Sportsequipment/playfacilities

Note1:Theinstitutionmaychoosefromthecomponentsaboveforupgradingthe
existingfacilities.ItemcostswouldberestrictedtothosementionedinComponents1
and2above.
Note2:Repairsandmaintenancecostshallnotexceed10%oftotalcost
Note3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedon
theirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctional
university.TheinstitutionalplanwillbeappraisedandevaluatedattheStateand
TechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupport
reasonableandbalancedplans

Component4

NewModelColleges(General)

Summary
DistrictsthatarelistedasEducationallyBackwardDistrictsundertheexisting374
ModelCollegeSchemeandhavenotbeensupportedsofarwouldbeconsideredfor
funding.60newmodelcollegeswillbesanctionedduringthecurrentPlanperiod.

I. FundingPriorities:
EducationallyBackwardDistrictswillbegradedintocategoryA&Bonthebasisof
followingcriteria;CategoryAdistrictswillbewillbegivenpriority

Districtwith01collegesCategoryA

Districtwith24collegeCategoryB

DistrictsinCategoryAwillbegivenpriorityoverCategoryB.However,within
CategoryBprioritywillbegivenonthefollowingbasis:

LowCPI(CollegePopulationIndex,NoofCollegesper1,00,000studentsof1823
24

agegroup).

Highproportionofsociallyandeconomicallybackwardpopulation

LowGERforfemalestudents.

LowGER(SC/ST).

II. FutureCommitments
CollegesthatwillbeestablishedusingRUSAgrantswouldhavetofulfilthefollowing
requirements:

Girlshostelsandgirlstoilets.

50%ofthecapacityofnewhostelswouldbeusedforsociallyandeconomically
weakersections.

Makethecampusdisabledfriendly.

Ensurespecialfacilities/equipmentsforthedisabled.

Financial No
Norms

Item

Administrative
Buildings,
Facultyrooms
2 Laboratories
3 Classrooms
4 Library
5 Computer
Centre/Ecampus
6 ToiletBlocks
separateforboys
andgirls
7 Miscellaneous
Total
No
Item

TIER1 Cities

Area Total
(SM)
Cost
PerSM
33371
Rs.In
Lakh

TIER2 Cities

HillyAreas

Area Total Area Total

(SM)
Cost (SM) Cost

PerSM

PerSM
31622

44650

Rs.In
Rs.In
Lakh
Lakh

800

266.96

800

410
810
350

136.82
270.3
116.79

500
870
400

158.11
275.11
126.48

525
300
730
300

234.41
133.95
325.94
133.95

175

58.39

175

55.33

100

44.65

175

58.39

175

55.33

100

44.65

95
31.7
95
30.04
50
22.32
2815
939.35 3015
953.37 2105 939.87
TIER1
TIER2
TIER3

Area Total Area Total Area Total

(SM)
Cost (SM)
Cost (SM) Cost
25

252.97

PerSM
26096
Rs.In
Lakh

PerSM
24722
Rs.In
Lakh

PerSM
32581
Rs.In
Lakh

Hostelfor100
students
separateforboys 1000 260.96 1000 247.22 800 260.64
andgirlson
60:40ratio

GrandTotal
3815 1200.31 4015 1200.59 2905 1200.51
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs12croresforeach
institution.
Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed
(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
levelsandobjectivedecisionwillbetakentosupportreasonableplans
Note3:Equipment,fixturesandfurniturearepartoftheestimate
Note4:Staff
(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinorder
toachievetheidealteachingtononteachingratioof1:1.1.
(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswitha
StudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditional
positionsinordertoachievethetargetof15:1
Note5:AdifferentialfundingmethodwillbefollowedwithregardtoinstitutionslocatedinTier
1,Tier2andhillyareas.

Component5

UpgradationofexistingDegreeCollegestoModelDegreeColleges

Summary
Out of the 640 districts in the country, 288 districts would be covered under the New
ModelCollegeScheme.Fundswillbeprovidedfortheupgradationof54collegesinthe
12thplanperiod.

I. FundingPriorities

PrioritywillbegivenonthebasisofCollegePopulationIndex(CPI);districtswithlower
CPIwillgetpreference.Amongstsimilarlyplaceddistricts,followingcriteriawillbe
usedtogradetheinstitutionsinA,BandCcategories:

26

Highproportionofsociallyandeconomicallybackwardpopulation

LowGERforfemalestudents

LowGER(SC/ST)

II. FutureCommitments

Collegesmusthavetofulfilthethefollowingrequirements:

Hostelsandtoiletsforgirls.

50%capacityofthenewhostelsforsociallyandeconomicallyweakersections

Makethecampusdisabledfriendly.

Ensurespecialfacilities/equipmentsforthedisabled.

Item
Academicbuilding
Administrativebuildings
Campusdevelopment

Norms
Newconstructionpermitted
Newconstructionpermitted
Beautification,amenities,water
supply,drainage,water
harvesting,alternateenergysources,etc.
Laboratories
Repairworksandnewequipments
Library
Renovationofbuildings,digitizationof

books,journals,theses
ComputerCentre/ecampus
Newconstruction,upscalingof

existingnetworktoenableWi
Fi,LAN,etc.)

Hostels;separateforboysandgirls
newconstructionpermitted

Toiletblocksseparateforboysand
newconstructionpermitted
girls

Sportsequipment/playfacilities
newequipmentspermitted
Note:Theinstitutionmaychoosefromcomponentsabove.Itemcostswouldberestrictedtothose
mentionedinComponent4above.

27

Component6 NewColleges(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
collegesforeachstatewillbebasedontheevaluationoftheproposalssubmittedbythe
States.40newengineeringcollegeswouldbesanctionedinthe12thPlanperiod.States
which are oversaturated in terms of institutional density and vacant seats will not be
consideredforgrants.

I. FundingPriorities
DistrictswillbegradedintocategoryAandBonthebasisofthefollowingcriteria:

Districtwith0professionalcollegeCategoryA
Districtwith1professionalcollegeCategoryB

DistrictsincategoryAwillbegivenpriorityoverB;withincategoryB,prioritywill
begiventoproposalsthatclearlyspellouttheareaswherenewprofessionalcolleges
willbeestablished.Proposalsmustalsojustifythelocationofthenewproposed
collegekeepinginmindthefollowingfactors:

Districtswithoutcolleges

Highproportionofsociallyandeconomicallybackwardpopulation

LowGERforfemalestudents

LowGER(SC/ST)

StudentPopulation

II. FutureCommitments

Collegesmusthavetofulfilthefollowingrequirements:
Hostelsandtoiletsforgirls.
50%capacityofthenewhostelsforsociallyandeconomicallyweakersections
Makethecampusdisabledfriendlywithrampsandtactilepathways.
28

Ensurespecialfacilities/equipmentsforthedisabled
Financial No
Norms

Item

Administrative
Building
SeminarRoom
Library
AcademicBlock
(classroomsetc)
ElectronicsLab
ITLabElectrical
CNCLab
Mechatronics
Lab
ChemicalLab
CivilLab
Instrumentation
Lab
Workshop
Computer
Centrecum
CyberCaf
Conference
Room
Confidential
Room
Committee/Synd
icateRoom
CommonRoom
forstudents
ToiletBlock
Cafeteria
Total
Item

2
3
4
5
6
7
8
9
10
11
12
13

14
15
16
17
18
19

No

TIER1 Cities

Area Total
(SM)
Cost
PerSM
33371
Rs.In
Lakh

HillyAreas

Area Total Area Total

(SM)
Cost (SM) Cost

PerSM

PerSM
31622

44650

Rs.In
Rs.In
Lakh
Lakh

1200
300
300

400.45
100.11
100.11

1200
300
300

379.46
94.86
94.86

800
200
300

357.2
89.3
133.95

1000
300
300
250

333.71
100.11
100.11
83.42

1000
350
350
250

316.22
110.67
110.67
79.05

1000
200
200
200

446.5
89.3
89.3
89.3

300
200
200

100.11
66.74
66.74

350
250
250

110.67
79.05
79.05

200
175
175

89.3
78.13
78.13

300
250

100.11
83.42

350
250

110.67
79.05

200
250

89.3
111.62

700

233.59

700

221.35

400

178.6

250

83.42

250

79.05

250

111.62

200

66.74

200

63.24

150

66.97

300

100.11

300

94.86

150

66.97

150
50.05
200
66.74
90
30.03
6790 2265.82
TIER1Cities

29

TIER2 Cities

150
47.43
220
69.56
100
28.45
7120 2248.22
TIER2Cities

150
66.97
150
66.97
50
22.32
5200 2321.75
HillyAreas

Area
(SM)

Total Area Total Area Total

Cost (SM)
Cost (SM) Cost
PerSM

PerSM

PerSM

26096
24722

32581

Rs.In
Rs.In
Rs.In
Lakh
Lakh
Lakh
1 Hostel
1280
334.02 1420
351.05
855 278.56

GrandTotal
7690 2599.84 8140 2599.27 5750 2600.31
Note1:Thesecostsareillustrative;thegrantissubjecttoamaximumofRs26croresforeach
institution.
Note2:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedontheirneed
(supportedbyevidence)inorderforthemtoconvertintoafullyfunctionaluniversity.The
institutionalplanwillbeappraisedandevaluatedattheStateandTechnicalSupportGrouplevel
andobjectivedecisionwillbetakentosupportreasonableplans
Note3:Equipment,fixturesandfurniturearepartoftheestimate
Note4:Staff
(a)NonteachingTheStateGovernmentswillfill/appointadditionalnonteachingstaffinorder
toachievetheidealteachingtononteachingratioof1:1.1.
(b)TeachingStateGovernmentswillfillvacantpositionsandcreateadditionalpositionswitha
StudentTeacherratioof20:1orbelowcanapproachRUSAforsupportoftheseadditional
positionsinordertoachievethetargetof15:1
Note5:Adifferentialfundingmethodwillbefollowedwithregardtoinstitutionslocatedin
urban,hilly,andnormalareas.

Component7 InfrastructureGrantstoColleges
Summary
Infrastructuregrantscanbeutilizedbythecollegestoaddresscriticalneedsin
institutionalinfrastructure,especiallyforcreating/upgradinglaboratories,libraries,
hostels,toiletsetc.3500collegeswillbegivengrantofRs.2croreeachduringthe12thPlan
period.
FundingPriorities

Colleges will be prioritized for purposes of funding according to; (i) colleges
whichhavenotbeenincludedundersection12B.Thesecollegeswillbefurther
prioritizedonthebasisofinterseantiquity(yearofestablishment;(ii)colleges
includedundersection12Bbuthavenotreceivedfunding.

Withinthecategories(i)and(ii)collegeswillbedividedintocategoryA,B&Conthe
basisoffollowingcriteria:

30

NoofStudents
YearofEstablishment
%ofSC/ST/OBCandWomenstudents
PrioritywillbegiventocollegesonthebasisofNAACgrade.

If the institution is not accredited, its status while applying for accreditation
willbeconsidered.

CollegesnotcoveredbyUGCgrantswillbepreferred.

FinancialNorms
Item
Academicbuilding
Administrativebuildings
Campusdevelopment

Norms
Newconstructionpermitted
Newconstructionpermitted
Beautification,amenities,water
supply,drainage,water
harvesting,alternateenergysources,etc.
Laboratories
Repair/newequipments
Library
Renovationofbuildings,digitizationof

books,journals,theses
ComputerCentre/ecampus
Newconstructionandupscalingof

existingnetworktoenableWi
Fi,LAN,etc.)

Hostels;separateforboysandgirls
newconstructionpermitted

Toiletblocks,separateforboysand
newconstructionpermitted
girls

Sportsequipment/playfacilities
newequipmentspermitted
Note1:Theinstitutionmaychoosefromthecomponentsaboveforupgradingthe
existingfacilities.ItemcostswouldberestrictedtothosementionedinComponents1
and2above.
Note2:Repairsandmaintenancecostshallnotexceed10%oftotalcost
Note3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitemsbasedon
theirneed(supportedbyevidence)inorderforthemtoconvertintoafullyfunctional
university.TheinstitutionalplanwillbeappraisedandevaluatedattheStateand

31

TechnicalSupportGrouplevelsandobjectivedecisionwillbetakentosupport
reasonableandbalancedplans
Component8 Research,Innovationandqualityimprovement

Summary
Duringthecurrentplanperiod,10Stateswillreceivefundsunderthiscomponentto
facilitateresearchandinnovations.

Componentstobefunded(thislistisonlyillustrative.Allinnovativeschemeswill
befundedasperthedecisionofthePAB)

Statesthathaveeitheralreadyimplementedreformsorgiventhecommitmentto
the earliest implementation of reforms that would facilitate research and
innovationatinstitutionallevel.

Plansforprovidingfacilitiesthatsupportresearchhubs/parksetc.

Adoption of metauniversity 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

Support different types of research programs Base Research, Key Technology

(R&D),Highend(R&D),etc.
32

DevelopanetworkoftopqualityUniversityConvergencemodel

Outreachandpublicengagementfacility

StaffExcellenceandorganizationalStewardship

Supportinbifurcatingundergraduate,postgraduateandresearchprogrammes

Identifyafewdepartmentsorfieldsofcriticalimportanceandmovethemintoa
positionofworldleadershipwhileworkingtopreventothersfromlosingsuch
stature.

Specialgrantstofacultyforconductingoutstandingresearch.
AnamountofRs.120croreswouldbegiventoeachofthe10States
whichmeettheprerequisites.StateswillhavetoprepareaResearchan
InnovationPlan(RIP)withcomponents.

Note1:Expenditureonhardcomponentswouldberestrictedto60%ofthe
totalcostoftheestimate.40%wouldbetowardsexpenditureonsoft
components

Financial
Norms

Note2:Buildings/constructionshouldnotexceed10%ofthesanctioned
amount.
Note3:Eachinstitutionhastheflexibilityofchoosingtheappropriateitems
basedontheirneed(supportedbyevidence)inorderforthemtoconvertintoa
fullyfunctionaluniversity.Theinstitutionalplanwillbeappraisedand
evaluatedattheStateandTechnicalSupportGrouplevelsandobjectivedecision
willbetakentosupportreasonableandbalancedplans
Note4:Statesmaydecidetheaboutunitofimplementation.Itcanbeeitherthe
Stateasawholeorafewselectinstitutions.

Component9

EquityInitiatives

Summary
Duringthe12thPlanperiod,20Stateswillreceivefundsunderthiscomponent.AllState
universitieswillbeeligibletoreceivegrantsforequityinitiatives.Innovative
approach/schemestoensuregreaterinclusionwillbeconsideredonpriority.

FundingPriorities

33

Better participation rate of SC/ST/OBCs against specified percentages of

reservationsininstitutions.

Thenumberofinstitutionsthathave/plantocreate:

Equalopportunitycells

Remedialclasses,languagelabs,etc.,

Financialaidandscholarshipsforsociallyandeconomicallybackwardstudents

Equityandgendersensitizationcampaigns

Innovativeschemes/programmestoenhanceequityandinclusion

Financial
Norms

EachStatewouldbegivenanamountofRs.5crores.Stateswillbeat
libertytodesignStatespecificstrategies.Eventheunitofimplementation
canbeeithertheStateasawholeorafewselectinstitutions.

Component
10

FacultyRecruitmentSupport

Summary
SupportwillbeprovidedtofillpositionsinthecategoryofAssistantProfessoror
equivalentcadreagainstvacancies.5000suchpositionswouldbesupportedduringthe
currentplanperiod.AlltheStateuniversitieswillbeeligibletoreceivegrantsunder
thisprogramme.TherecruitmentprocesswillhavetoadheretoUGCnormsand
regulations.

FundingPriorities:

Commitments of States to take over the liability of faculty

positionsattheendofthescheme(afteryears)

Prioritywillbegiventothosestateswheremorerecruitmenthas
takenplaceintheuniversitiesduringthelast3years

Lowestnumberofunfilledfacultypositions.

Betterstudentteacherratio

Prioritywillbegiventonewinstitutions.

Secondpriorityshallbegiventothosestateswhichhaveafaculty
studentratiobetween15:1to20:1.

States with more than 20:1 ratio will have to first commit to
sanctionandfillpositionstobringdownthefacultystudentratio

34

ratioto20:1.

Financial
Norms

Component11

Rs.5.8lakhforeachfacultypositionperyear.

FacultyImprovement

Summary
AcademicStaffCollegeswillbegivenfundstoimproveinfrastructureandresourcesfor
trainingandcapacitybuildingactivities.

FundingPriorities

Prioritywillbeaccordedbytakingthefollowingfactorsintoconsideration:

%vacancyinpermanentstaffpositions.

Number of refresher courses organized and the number of teachers who had
undergonetraininginthepasttwoyears.

Extent of employment of technologyenabled innovative teaching and learning

practices.

Financial
Norms

Asperneed.Rs.10croreswillbegivenforeachoftheidentifiedstates.

Component12

VocationalisationofHigherEducation

Summary
FundsforvocationalisationwillbegiventoalltheStates/Stateuniversities.

FundingPriorities
ImplementingNationalVocationalEducationQualifications
Framework(NVEQF)

35

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,
implementationandmanagement

Developing educational standards and core curriculum as the basis for the
institution to design new program, preparation of teachertraining programs for
designanddeliveryofcompetencybasedandmodularizedcurriculum

Enhancing skills delivery including development and delivery of competency

basedtrainingandcontinuousskillupgradation

Counselingforchoiceoftrainingandcareerplanning

Infrastructuresupporttowardsthecreationanddeliveryofnewprograms

Curriculumreformswithbackwardandforwardlinkagessoastointegrateschool
curriculumwithjobmarketdemand

Careerorientedcourses

Financial
Norms

Rs.15croreswouldbegiventoeachoftheidentifiedStates.

Component13

LeadershipDevelopmentofEducationalAdministrators

Summary
Thisisacentrallyadministeredprogramforprofessionaldevelopmentforthe
professionaldevelopmentofeducationaladministrators/academicleaders/policy
makers.Thisschemewillsupportleadershipdevelopmentprogrammesfor
departmentheads,deans,registrars,principals,viceprincipals,vicechancellors,pro
vicechancellors,SHECmembers,stateprojectdirectors,commissioners,secretaries,etc..
Besides,capacitybuildinginitiativeswillbeprovidedtoStatelevelpolicymakersand
membersofgoverningbodiesattheinstitutionallevel.

I.

FundingPriorities

Allstates/StateUniversitiesandColleges(governmentandgovernmentaided)will
beeligible.

FundstomeetthegovernanceprerequisitesspecifiedunderRUSA.
InstitutionswhichhaveagoodNAACaccreditationstatus(GradeA)

36


II. FutureCommitments

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
theinstitutionallevel.

Preference in selection for training shall be given to those faculty/educational

administrators who are below the age of 50 and have demonstrated leadership
skillsintheirrespectiveinstitutions.

Womenfacultyshallbehighlyencouragedtoparticipateinthisprogram.

Financial
Norms

AnamountofRs.100croreshasbeenearmarkedforcentrally
administeringleadershiptraininganddevelopmentprogrammes.

Component14

InstitutionalRestructuringandReforms

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/strengtheningStateHigherEducationalCouncils,StateResourceCentersandState
ProjectDirectorate.

FundingPriorities

CreationofSHEC

CreationofStateAccreditationagencies.

Stateswhichhavealreadyundertakensectoral,academicandgovernancereformsor
havecommittedtoundertakethemasapartoftheirwillingnesstoparticipatein
RUSA.

EachStatewillbegivenRs.10croreeachintwoinstallments.20States
FinancialNorms willbeeligibletobecoveredduringthe12thPlanperiod.
Note:StatesthathavealreadyestablishedSHECswillhavetogivea
37

detailed proposal detailing the funds required for strengthening the

existingonesandtheactivitiestobecarriedoutinthenexttwoyears.
FinaldecisionontheamounttobesanctionedwillbetakenbythePAB
onthebasisofadifferentialfundingmethod.
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
CentersandStateProjectDirectorate.

Component15

CapacityBuildingandPreparation,DataCollectionandPlanning

Summary
FundswillbegiventoStatesandUnionTerritoriesto

Undertakebaselinesurveys

Datacollectionandcompilation.

Organisemeetings,consultations,workshops,trainings

Hireconsultants

PreparationofStateperspectiveplans/strategyreports

UtilizationofFunds
FundswillbegivenupfronttoalltheStateswhichagreetoparticipateinRUSAto
undertakebaselinesurveys
Baselinesurveyshallbeabletoidentifycriticalgapsinhighereducationandwhich
wouldhelpinundertakingcapacitybuildingexercisestoprepareSHEPs

EachStatewillbegivenatotalamountofRs.5croreeachintwo
Financial
Norms

installments

Component16

ManagementInformationSystem

Summary
FundswillbeprovidedtocreateandmaintainstrongdatasystemsattheStatelevelfor
38

surveysandanalysisthatcouldprovideinformationtothethenationalMIS.

UtilisationofFunds

TheMISshallbecentrallydesigned,developedandimplemented.

Itshallcoverallparticipatingbodiesandinstitutions.

Acommontoolshallbedevelopedtogeneratestandardizedinformationthatwould
helpinmonitoringprogressofreforms,utilizationofresourcesetc.

Universitiesandcollegesshallbeprovidedadequateinfrastructuralsupportto
installtheMISandrequiredtrainingtothepersonnelforusingthesystem.

Financial

EachStatewouldbegivenanamountofuptoRs.2crorefor
coveringrecurringexpenditure/maintenance,etc.

DesignandDevelopmentofMISincludingStateandinstitutional
levelmoduleswillbedonecentrally.

Equipmentswouldbeprocuredcentrally.

Norms

Component17

SupporttoPolytechnics

Summary
InconsonancewiththePlanningCommissionguidelines,theexistingschemeregarding
SubMissiononpolytechnicswillbemergedwithRUSA.

FundingPriorities

Settingupofnewpolytechnics

Strengtheningofexistingpolytechnics

Constructionofwomenshostelsinpolytechnics

Schemeofcommunitydevelopmentthroughpolytechnics(CDTP)to
providenonformal,shortterm,employmentorientedskill
developmentprogrammesthroughAICTEapprovedpolytechnics.
39

1.SettingupofNewPolytechnics
FinancialassistancewillbeprovidedtoStates/UTs,limitedtoRs.12.30crore
perinstitutiontomeetthecostsofestablishingapolytechnicindistrictswhich
donothaveanygovernmentpolytechnicandalsounderserveddistricts;
subjecttotherespectiveState/UTGovernmentsprovidinglandfreeofcost,
meeting100%recurringexpenditureandalsononrecurringexpenditure
beyondRs..12.30crore.

2.StrengtheningofexistingPolytechnics

Financial
Norms

Financialassistancewouldbeprovidedtoupgradeinfrastructuralfacilitiesof
500existingdiplomalevelpublicfundedpolytechnicsby(i)providing
financialassistanceformodernequipmentsandreplacementofobsolete
equipments,(ii)providingmodernfacilitiesforapplicationofITinteaching,
learningandtestingprocessesand(iii)introductionofnewdiplomacourses.
TheSchemeprovidesamaximumofRs.2croreperpolytechnic.

3.ConstructionofWomensHostelsinPolytechnics
Onetimefinancialassistance,subjecttoamaximumofRs.1.00foreach
polytechnic,tobeprovidedto500existingAICTEapprovedgovernment/
governmentaidedPolytechnics.

4.SchemeofCommunityDevelopmentthroughPolytechnics(CDTP)
Annual recurring grantsinaid upto a maximum of Rs 17.00 lakh and a one
time nonrecurring grantsinaid of Rs 20.00 lakh (Rs.13.00 lakh for old
Community Polytechnics) would be provided to the select AICTE approved
DiplomaLevelInstitutions.

Component18

ManagementMonitoringEvaluationandResearch(MMER)

Summary
Thisschemeisenvisagedtoprovidesupporttoresourcecentresandsupportgroupsfor
theeffectiveimplementationofvariousprogrammesunderRUSA

40

KeyFeature
AllStateswhichqualifyforfundingunderRUSAbymeetingtheprerequisiteswouldbe
eligibleforMMERfunds.

Financial
Norms

1%ofthetotaloutlayofRUSAwillbegiventotheStatesas
MMERfundsformeetingtheexpenditureoncreationand
maintenanceofTechnicalSupportGroup(TSG)attheStatelevel.

AninitialamountofRs.2crorewillbegiventothoseStatesthat
areeligibletoparticipateinRUSA.

Thebalanceamountwillbedecidedonthebasisofthefinal
outlaydecidedforeachStateandwillbereleasedannually.

10. GuidingPrinciples
RUSAisstructuredonthefollowingguidingprincipleswhichareinviolable.These
tenets constitute the foundational premise for funding and all the decisions taken
undertheschememustbeguidedbythem.

Performancebasedoutlaysandoutcomebased
reimbursements
Incentivizinganddisincentivising
Apoliticaldecisionmaking
Disclosurebasedgovernance
Autonomy
Equitybaseddevelopment
Qualityandresearchfocus
(seesection4.7ofRUSAdocumentformoredetails)
11. Timeline
Thebeginningofthefinancialyear(1stofApril)wouldbethecommencementdate
of the State Annual Plans. Hence, the budget needs to be approved and
communicatedatalllevelsbeforethisdate.Thisimpliesthatitneedstobesentfor
approvalandconsentedatalllevelsofauthoritybefore1stofApril.Thesuccessof
budgeting exercise would be dependent on adherence to time schedules. Delays in
41

submissions and approvals would delay the finalization of the SHEPs. The tabular
representationofthetimescheduleisplacedatAnnexureIV.

12. ImplementationModalitiesattheCentral,StateandInstitutionallevels
RUSA would be implemented and monitored through an institutional structure
comprising various bodies at the central, state and institutional levels with clearly
definedrolesandpowers.
InstitutionalStructureforRUSA

(seechapter5oftheRUSAdocumentforthedetailedcompositionandfunctionsofthe
thesebodies).

13. FundingStrategy
13.1.NormbasedFunding

CentralfundingunderRUSAwouldbestrategic,basedonSHEPs.

Funding under RUSA would necessarily have to be expended in the higher

educationsectorintheStateandwouldnotsubstituteStatefunding,since
the state government would also have to necessarily increase its annual
investmentbyafixedpercentage.

42

Central funding is linked to certain sectoral academic and governance

reforms.

Institutions would also be encouraged to raise their own funds through

variouslegitimatemeans.

The overall normbased funding schema should apply filters at the primary,
secondary and tertiary levels to determine the eligibility of institutions to
receivefunding.

The norms, which would determine the eligibility of institutions to receive

funding,wouldalsogradetheinstitutionsbasedontheirlevelofcompliance
toregulationstodeterminethequantumoffunding.Institutionswillbegiven
an objective score against these norms and it will decide the quantum of
fundstheywillbeeligiblefor.

13.2. Performancebasedfunding

SHEPsserveasthebenchmarkagainstwhichtheperformanceofaStateand
itsinstitutionsaregraded.

The funding for the future would be decided on the basis of level of past
achievements.

14. ResourceAllocation
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
processrunsthroughatwowaymechanism:

BudgetaryDemandsemanatingfromInstitutionstotheMHRDthroughthe
StateCouncils(viaStategovernments).

Budgetary Approvals/ Allocations conveyed from the MHRD to the State

Councils/Stategovernmentsandinturntotheinstitutions

The overall allocation will be made on the basis of an equalisation

formula/entitlementindexplacedatAnnexureV.
43

Anadditionalweightagehasbeenassignedtoensureenhancedallocationof
resourcestoStateswithweaksocioeconomicandhealthindicators.

Sociodemographic variables like rural/urban distribution; proportion of

SC/ST and vulnerable groups; districts with adverse education indicators;
difficult,most difficultand inaccessibleareas, left wingaffecteddistrictsetc.
wouldbeconsideredwhileallocatingresourcestothedistricts.

ResourceAllocationPattern
States

Center:StateContribution

Assam,Manipur,Meghalaya,
ArunachalPradesh,Nagaland,
Mizoram,Tripura,Jammu&

90:10

Kashmir,Sikkim,Himachal
PradeshandUttarakhand

OtherStatesandUTs

65:35

14.1.Demandforadditionalfunds

After the finalization of the SHEP, the states may place a demand for additional
funds for various components of RUSA to the Ministry.After review and feedback
fromtheconcernedprogramdivisions,theMinistrymayapproveordisapprovethe
request. In case of an approval, a letter/corrigendum shall be issued to the State
notifyingtherevisedapprovedamount.Incasethedemandforadditionalfundsis
not approved, the states may submit the proposal for consideration the following
year.
14.2. ResourceEnvelope

44

TheresourcesallocatedtoaparticularStateforanygivenfinancialyearistermedas
the Resource Envelope. The resource envelope for a financial year would consist
of:

UncommittedUnspentBalance.

GoIAllocationproposedfortheyear.

Statesshareduefortheyear.

15. ApprovalProcessandFlowofFunds
The Project Approval Board (PAB) at the MHRD would undertake a detailed
reviewoftheSHEPssubmittedbythestates.Itwillalsoassesstheperformance
of the State and look at the targets that have been set. The SHEP will then be
approvedbythePABandfundswillbereleasedtotheStatesaccordingly.

15.1.KeySourcesofFundsandFinancialOutlays

GrantsinaidmadebyorthroughtheMHRD

ContributionbytheStateGovernment.

CentreStatefundingintheratioofratioof90:10intheNorthEasternstates,
Sikkim,J&KHimachalPradesh&Uttarkhand,and65:35forotherstatesand
UTs.

The State contribution made by the State Government will be booked as

expenditure in the State Budget at the time of its release to the
SHEC/Institutions

The States would have to ensure availability of sufficient land for new
constructionactivitiesfreeofcost.Thecostoflandacquisition,ifanycannot
bemadeapartofthetotaloutlays.

For reporting, the same may be reflected separately in the periodical FMRs
andStatementofFundsPosition(SFPs)andaseparateUtilizationCertificate
45

of the total amount utilized along with unspent balance, if any, would be
requiredtobefurnishedattheendofthefinancialyear.

15.2. FundFlowfromMHRDtoStates

TheFMGattheGoIlevelputsaproposaltotheIntegratedFinanceDivision
(IFD)forfundrelease.

Approval of appropriate Authority would be taken for fund release to

State/UTsconcerned.

FundswillflowtotheStateConsolidatedFund.OnlyuponreceivingtheState
contributionintothisaccount,resourceswillflowtoSHECandfromSHECto
institutionsbasedontheapprovedStateHigherEducationAnnualPlan.

After the approval, sanctions are issued to respective States after uploading
onthewebsiteoftheControllerGeneralofAccounts(CGA).Afterthisfunds
aretransferredonlinetothestates/UTs.

TheStatesshouldcontributetheirsharealongwithcentralsharetotheSHEC
within15days.Noncompliancewillleadtochargingofinterest.

ThefundswiththeSHEC/Institutionsdonotlapseatthecloseoffinancialyear.
SHEC/Institutionsareempoweredtoutilizetheunspentbalanceduringthenext
financial year for the same purpose for which the funds were allocated. The
amountshallhoweverbetakenintoaccountwhilereleasinggrantsinaidsforthe
nextyear.Also,theamountremainingunutilizedatthecloseoftheprogramshall
either be refunded or utilized in a manner as decided by the Government of
India.

States will open and administer a main group bank account for receiving and
creditingfundsunderRUSA.

46


15.3. FundFlowfromStatetoInstitutions(UniversitiesandColleges)

State/SHEC should transfer the funds to the districts/institutions/executing

agencieswithin15daysofthereceiptoffundsfromCentralGovernment.

Noncompliance of release of money by the State to the State

Council/Institutions within the stipulated period shall lead to charging of
interestandmayfurtheraffectallocationofgrantsinthefuture.

ThereleasesmadetoinstitutionsshouldbeaspertheapprovedInstitutional
Development Plans and after adjusting unspent balances from the previous
year.

15.4. FrequencyofFundRelease

The 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 take
placethroughtheCentralPlanSchemeMonitoringSystemportalsoastoensurethe
following:

TracktheflowofFunds
Onlineinformationofbankbalance
Tracktheutilizationofmoney
Ultimateepaymenttothebeneficiary
Disseminationofrelevantinformationtotheendusers
DecisionSupportSystemforalllevelsofprogramheads
Enhancetransparencyandaccountabilityinpublicexpenditure

47


16.1OperatingthemainBankAccount

ThefollowingpointsshouldbetakenintoaccountwhileoperatingtheGroupBank
Account:

The main Group account shall be utilized for crediting funds received from
theGoIforvariousprogrammesunderRUSA.

Chequesigningmandateshallbegiventothebankasperguidelinesissued
on14122006andinlinewithdelegationofpowersissuedbyMinistryand/or
StateGovernment.

The number of bank accounts at the institutional level may be kept at

minimum so as to discourage scattered maintenance of RUSA funds as this
resultsinweakfinancialmanagementandpoorinternalcontrols

No funds shall be kept in the form of a Fixed Deposit or any other

investments of any nature other than the savings bank account. Moreover,
savings accounts should be simple savings bank accounts and not smart
savingsbankaccounts.

Accountsatalllevelsmaypreferablybekeptingovernmentapprovedbanks.
In case there are no approved banks in the region then accounts can be
maintainedwiththepostoffice.

No funds other than GoI releases and States contribution should be kept in
RUSA bank Accounts. Separate Bank Account to be maintained for funds
receivedfromothersources.

48


16.2SignatoriestotheBankAccount

AsetoffourdesignatedsignatoriesatStateanddesignatedsignatoryatInstitutional
levelshouldbenotified.Anytwoofthemcanjointlysigncheques/issueelectronic
instructionforebankingtooperateallbankaccounts.

17. Detailedcomponentwiseallocationsfortargetachievement
Detailedcomponentwiseallocationsandphysicaltargetsforthe12thPlanisplaced
atAnnexureVI.

18. Flowofinformation
SinceRUSAsbasicprincipleisnormbasedfunding,itsbackboneistheavailability
of timely, relevant and uptodate information on the basis of which normbased
andperformanceappraisaldecisionscanbetaken.TheInformationcollectedona
StatewisebasiswouldbesenttotheRUSANationalImplementationAgency.At
thislevel,theinformationwillbeusedtoascertaineligibilityoftheinstitutionsfor
furtherfundingforthenextfinancialperiod.
The role of universities and State highereducationcouncilsinthisprocess areas
follows:
a. University

The basic units for the collection of information are universities. They shall
collectnecessaryinformationfromaffiliatedandconstitutedcolleges.

InformationwillbecollectedthroughtheManagementInformationSystem.

All universities and colleges will have to upload data and information to
RUSAportalaswellasAISHEportal.

b. StateHigherEducationCouncil(SHEC)

TheSHECwillcollatetheinformationcollectedbytheuniversities.

49

Theresponsibilityoftimelyandaccuratedatacollectionandmaintenanceofthe
MIS systems is one of the major responsibilities of the SHEC. This information
wouldhavethreefolduse:
1. Assesstheperformanceofeveryuniversityonanyearlybasis,intermsofthe
normssetbyRUSA
2. Assesstheperformanceofuniversitiesagainstspecificgrantsorprojectbased
funding
3. Formulation of the five/ten year state education Plans on the basis of the
currentperformanceandpossiblefuturegrowth

19. ManagementInformationSystem(MIS)
The firststep towards implementation of RUSA would be the installation of a new
ManagementInformationSystemtocapturetherequireddatainatimelyfashion.A
commontoolwouldbedevelopedtogetstandardizedinformationthatwouldhelp
in the calculation of norms. Universities and colleges will be provided adequate
infrastructuralsupporttoinstalltheMISandtherequiredtrainingtothepersonnel
forusingthesystem.

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 a
regular basis and shall provide guidance for improving the performance of
theinstitutionsinprojectimplementation.

EachinstitutionwillhavetoformaProjectMonitoringUnitwithappropriate
representation from academic officials of the institution, faculty, senior
administrative officers, technical and nontechnical support staff and

50

students.TheUnit,headedbytheHeadoftheInstitution,willberesponsible
forthemonitoringoftheprojectattheinstitutionallevel.

TheProjectMonitoringUnitwillperformthefollowingroles:
1. Procurementofgoods,worksandservices
2. Financialmanagementandperformanceaudit.
3. Implementationoffacultyandstaffdevelopmentprograms
4. PeriodicallyupdatetheMIS.

State governments shall regularly monitor and evaluate the progress of

institutions.

TheProjectAppraisalBoard(PAB)atthenationallevelinMHRDwillreview
theprojectannually.

Monitoringwillbebasedonactionplanspreparedbyeachprojectinstitution
andachievementsmadewithrespecttoasetofnorms,whicharedefinedin
the Institutional Development Plans. It will focus on implementation of
reforms by institutions, achievements in project activities under dierent
components, procurement of resources and services, utilization of financial
allocations and achievements in faculty and sta development and
managementdevelopmentactivities.

21. InformationRegardingStatelevelFunctionaries

IftheStateagreestoparticipateinRUSA,itshallprovideinformationregardingthe
StatelevelfunctionariesintheformatplacedatAnnexureVII.

51

Annexure1
MHRDLetteraddressedtoStates
R.PSisodia
JointSecretary(HigherEducation)&
MissionDirector,RashtriyaUchchatarShikshaAbhiyan

Dear
As you would be aware, on 3rd October, 2013, the Cabinet approved the new Centrally Sponsored
SchemeofRashtriyaUchchatarShikshaAbhiyan(RUSA)forimplementationinthe12thPlan.
2.

RUSA is not merely a new funding mechanism to support institutions in the State higher education

systembutalsotheprimevehicleforimplementingacomprehensivereformagendaatboththeinstitutionaland
Statelevels.ThequantumoffundingandfurthersupportunderRUSAwouldbedependentuponthecommitment
tothisreformprocessandtheefficacywithwhichitisimplemented.
3.

Thefocusinthecurrentyearwillbeonpreparatoryworksuchascapacitybuilding&preparation,data

collection & planning, training, ongoing programmes likeModel DegreeColleges etc.Work ofsubstantial nature
wouldbetakenupfromthesecondyearonwards.Withonlyafewmonthsleftinthecurrentyear,itiscriticalthat
thatwecommencetheseactivitiesrightawaysothatavailableresourcesareoptimallyandefficientlyutilisedand
thePlanofActionfornextyearisready.
4.

Inordertokickstarttheprocess,thestatesandUnionTerritorieswouldberequiredtocommunicateto

the RUSA Mission Authority its willingness to participate in RUSA by committing to undertake the apriori
prerequisitesandotherreformactivities.Itisthereforerequestedthattheenclosedundertakingmaybesignedand
the accompanying checklist completed and returned for us to take further action in the matter. The undertaking
maybesignedbyanofficernotbelowtherankofSecretarytoState/UTGovernment.
5.

GuidelinesonRUSAforhelpingStatesandinstitutionsconductvariousactivitiesundertheSchemeare

underpreparationandwillbecirculatedshortly.
6.

Theundertakingalongwiththefilledinchecklistmaybesubmittedby31.10.2013.Ifitisnotreceived

bythisdate,itwillbepresumedthattheconcernedState/UTisnotkeentoavailofthegrantsavailableunderRUSA
andfurtheractionwillbetakenaccordingly.
With
Enclo:Asabove
Yourssincerely,
sd
(R.PSisodia)
To,
AllChiefSecretaries(exceptStatesofMizoram,MadhyaPradesh,Chhatisgarh,DelhiandRajasthan)
Copyto:

52


All Principal Secretaries, Higher Education (except States of Mizoram, Madhya Pradesh, Chhatisgarh, Delhi and
Rajasthan)

UNDERTAKING
The Government of.. (mention State or Union Territory here) hereby
conveysitswillingnesstoparticipateintheRashtriyaUchchatarShikshaAbhiyan(RUSA)andcommits
tofulfilalltheprerequisitesundertheScheme.TheGovernmentoffurther
commitstoacceptandabidebyalldecisionsoftheRUSAMissionAuthorityandtheProjectApproval
Board.

Dated:

Place:

(Signaturewithofficialseal)
Name:
Designation:

53

CHECKLIST
1. 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) Ifso whether orders for removing the ban have been issued?If so please attach copy of the Government
order.

7. Whether it commits to carry out accreditation reforms, affiliation and examination reforms, governance and
administrativereformsatStateandinstitutionallevelincludinginstitutionalgovernancereforms?
(asperencloseddocument)

8. Whetheritcommitstoensurecomplianceofinstitutionstotheprerequisitesandotherreforms?
(Signaturewithofficialseal)
Name:
Designation:

54

AnnexureII
FormatofInstitutionalDevelopmentPlan
(fordetaileddescriptionofchaptersandsubchapters,pleaserefertopages200to
208ofRUSAdocument)

ExecutiveSummaryoftheIDP.

2. Provide the details of SWOT analysis carried out (in terms of

methodology used, analysis and information and data as

collected and inferences derived with respect to strengths,
weaknesses,opportunitiesandthreats).
Based on SWOT analysis, provide the strategic plan
developed for institutionaldevelopment.
How the key activities proposed in the Institutional Development
Proposal are linkedwiththeresultsofSWOTAnalysis.
3.

State the specific objectives and expected results of your proposal (in
terms of, Institutionalstrengtheningandimprovementsinemployability
and learning outcomes of graduates. These objective and results should
belinkedtotheSWOTanalysis.

4.

Provideanactionplanfor:(max1pageeach)
a) Improvingemployabilityofgraduates
b) Increasedlearningoutcomesofthestudents
c) Obtainingautonomousinstitutionstatuswithin2years
d) Achieving the targets of 60% of the eligible UG and PG programs
accredited within two years of joining the Project and 100%
accreditationobtainedandappliedforbytheendoftheProjectofthe
eligibleUGandPGprograms
e) Implementation of academic and non academic reforms (details
given in R U S A D o c u m e n t )
f) Improvinginteractionwithindustry
g) Enhancementofresearchandconsultancyactivities

5.

Provide an action plan for organizing a Finishing School and for

improving the academic performance of SC/ST/OBC/academically weak
55

students through innovative methods, such as remedial and skill

development classes for increasing the transition rate and pass rate with
theobjectiveofimprovingtheiremployability.
6. Provide an action plan for strengthening of PG programs and
starting of new PGprograms.
7.

Attach a summary of Training Needs Analysis carried out.Also, provide

Faculty DevelopmentPlanforthefirst18monthsforimprovingtheir
teaching, subject area and research competence based on Training
Needs Analysis in the followingareas.
Basicandadvancedpedagogy
Subject/domainknowledgeenhancement
Attendanceinactivitiessuchasworkshops,seminars
Improvementinfacultyqualifications
Improvingresearchcapabilities

8. Provide an action plan for training technical and other staff in functional
areas.
9.Describe the relevance and coherence of Institutional Development
Proposal with States/National (in case of CFIs) Industrial/Economic
DevelopmentPlan.
10.Describe briefly the participation of departments/faculty in the IDP
preparation.
11. Describe the Institutional project implementation arrangements with
participation of facultyandstaff.

56

AnnexureIII
FormatofStateHigherEducationPlan
(fordetaileddescriptionofchaptersandsubchapters,pleaserefertopages186to
199ofRUSAdocument)
TableofContents
ExecutiveSummary
Chapter1:Introduction
a. .Mission
b. .Vision
c. .Goals

Chapter2:Background
a. ..DemographicProfileoftheState
b...HigherEducationProfile
c. ..Privatesectorplan
d. .SWOTAnalysis
e. ..AcademicInformation

Chapter3:Analysisofpastperformance
a. ..Summary
b...DetailedAnalysis

Chapter4:PreparationoftheStatePlan
a. ..Methodology
b...StakeholderConsultation

Chapter5:FiveyearPerspectivePlan
Chapter6:SnapshotoftheAnnualPlan
a. ..PriorityAreas
b...Strategy
(1).Sourcesoffunds
(2).Majortargetsandfinancialoutlays
(3).Prerequisites:EssentialcommitmentsfromtheState
(4).Currentlevelandtargetsforthenextyear

Chapter7:DetailedPlan
a. ..Overviewofthemajorinitiatives
b...Privatesectorparticipation
c. ..Detailedcomponentwiseallocations

Chapter8:Universitywiseplansandfinancialimpact
a. .Outlaysforalluniversitiesandcolleges
b. .Universitywisebreakup
c. .Collegewisebreakup
d. .DetailedAllocationsforUniversities

Annexures
AnnexureI:StateBaseline

57

AnnexureIV
DetailedTimelines
Milestone

Timeline

CommunicationofResourceEnvelopetoStatesbyPAB
PreparationofInstitutionalPlansbyInstitutions
SubmissionofInstitutionalPlanstoSHEC
PreparationofSHEPsbyStates
ReceivingSHEPinMHRD
Preappraisalmeeting(andresubmission,ifany)
To be decided by
FinalisationofSHEP

PAB in its First

Meeting.

EvaluationbyPAB
Communication of Approved Plan and Allocation to
States
ReleaseofFirstInstallmentbyNPD
SubmissionofUtilisationCertificatesby
States/Institutions.
ReleaseofStatesShare

58

AnnexureV
EntitlementIndex

Sl.No. Criteria

Weights

1 Population(AgeGroup:1823)
(CriteriareflectingEqualPerCapitaTransfers)

+40

10

PerCapitaIncome
(CriteriaReflectingFiscalDeficiency)

GrossEnrolmentRatio
3 (CriteriaReflectingShortfallinEnrolment)
4 Performance

10

A.ImprovementinGER(over5Years)(200607to

201112)

A.1GERAllcategories

A.2GERSCs

+5

A.3GERSTs

+5

+10

A.4GenderParityIndex(Over5Years)(200607to

201112)

A.4.1GPIAllCategories

A.4.2GPISCs

+5

A.4.3GPISTs

+5

B.ExpenditureonHigherEducation

B.1PerCapitaExpenditure

+10

B.2Expenditureas%ofNSDP(1)

+10

+10

59

C.CollegePopulationIndex

D.InstitutionalDensity

E.TeacherStudentRatio

F.ResearchOutput

+10

5 SpecialProblems

+25

TOTAL

100

(+)Positivemeanshighervaluelargerentitlement
()Negativemeanshighervaluelowerentitlement
Researchoutputwillbedeterminedbyindicatorssuchasnumberofresearchpaper
publishedinNational&InternationalJournals,numberofM.Phil.,Ph.Ds.guided,
numberofcollaborativeresearchprojects,patentsgeneratedcitationimpact

60

AnnexureVI
ComponentwiseAllocationsandPhysicalTargetsforthe12thPlan

Noof
Component

Unitcost

Universities/

(RsCrores)

Colleges/
States/Units

Outlay
(Rs.
Crores)

1. Creation of Universities by way of

upgradation of existing autonomous 55

45

2475

55

35

1925

3. InfrastructuregrantstoUniversities

20

150

3000

4. NewModelColleges(General)

12

60

720

54

216

26

40

1040

3500

7000

120

10

1200

9. Equityinitiatives

20

100

10. FacultyRecruitmentSupport

0.58

5000

2900

11. Facultyimprovements

10

20

200

12. VocationalisationofHigherEducation

15

20

300

20

100

20

20

400

10

20

200

16. ManagementInformationSystem

10

20

200

17. SubTotal

21976

879

colleges
2. Creation of Universities by conversion
ofcollegesinacluster

5. Upgradation

of

existing

degree

collegestomodelcolleges
6. New

Colleges

(Professional

&

Technical)
7. Infrastructuregrantstocolleges
8. Research, innovation and quality
improvement

13. Leadership

Development

of

EducationalAdministrators
14. Institutionalrestructuring&reforms
15. Capacity building & preparation, Data
collection&planning

18. 4%

Management,

Monitoring,

Evaluation&Research

61

19. Total

22855

20. CentralShare

16227

21. StateShare

6628

62

AnnexureVII
InformationonkeyStateFunctionaries
Designation

Name

EmailAddress

PhoneNumber PostalAddress

StateProject

Director
Nodal
Information
Officer(State)
Nodal
Information
Officer(SHEC)
OtherRUSA
staff

63