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Managing Higher Education

Institution A Perspective 1
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"Education is a liberating force, and in our

age it is also a democratising force, cutting
across the barriers of caste and class,
smoothing out inequalities imposed by birth
and other circumstances. "
- Indira Gandhi
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MES-046
1CfJ)1 !~~o~~
~ UNIVERSITY
Higber Education
Indira Gandhi
National Open University
School of Education
Block
1
MANAGING HIGHER EDUCATION INSTITUTION:
A PERSPECTIVE
UNITl
Higher Education: Historical Perspectives 7
UNIT 2
Globalisation of Higher Education 20
UNIT 3
Major Emerging Policy Initiatives 30
Expert Committee
Prof. B.N. Koul Prof. S. Y. Shah
Former PVC Group of Adult Education
IGNOU, New Delhi School of Social Sciences
JNU, New Delhi
Prof. c.R.K. Murthy
STRIDE Prof. Neerja Shukla
IGNOU, New Delhi NCERT, New Delhi
Prof. Nalini Puneja

Prof. Kalpana Mishra
NUEPA, New Delhi
Director, Planning Division
IGNOU, New Delhi Dr. Sailja
Reader, Dept. of Education
Prof. G Natesan DU, Delhi
Head (Education), Distance Education
Madurai Kamaraj University Dr. Savita Kaushal
Madurai, Tamil Nadu NUEPA, Delhi
Course Team
Unit Writers Course Coordination
Prof. D. Mukhopadhyaya (Unit 1) Prof. C.B. Sharma
Professor of Education (Retired) School of Education
University of Kalyani IGNOU, New Delhi
West Bengal
Content Editing
Prof. C.B. Sharma
Ms. Roma Banerjee (Units 2 & 3)
School of Education
Independent Consultant
IGNOU, New Delhi
Social Development
Language Editing Unit Design & Format Editing

Ms. Roma Banerjee Prof. c.a Sharrna
Independent Consultant School of Education
Social Development IGNOU, New Delhi
Secretarial Assistance
Ms. Kamlesh
School of Education,
IGNOU
Material Production
Prof. N.K. Dash Mr. S.S. Venkatachalam
Director, School of Education A.R. (Publication)
IGNOU, New Delhi SOE,IGNOU
October, 2015
© Indira Gandhi National Open University, 2014
ISBN: 978-93-85911-19-4
All rights reserved. No part of this work may be reproduced in any form, by mimeograph or any
other means, without permission in writing from the Indira Gandhi National Open University.
Further information on the Indira Gandhi National Open University courses may be obtained
from the University's Office at Maidan Garhi, New Delhi-l10068.
Printed and published on behalf of the Indira Gandhi National Open University, New Delhi by
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MES-046 HIGHER EDUCATION
Block 1 Managing Higher Education Institution: A Perspective

Unit 1 Higher Education: Historical Perspective
Unit 2 Globalisation of Higher Education
Unit 3 Major Emerging Policy Initiatives
Block 2 Structure of Higher Education

Unit 4 Higher Education Institutions; The Structural Basis at
Macro Level
Unit 5 Higher Education Institutions: Governance at University
Level
Unit 6 Higher Education Institutions: Governance at College
Level
Block 3 Management Process and Leadership

Unit 7 Emerging Leadership
Unit 8 Management Processes in Higher Education Institutions
Block 4 Contemporary Aspects on Institutional Management

Unit 9 Management of Infrastructure and Financial Resources
Unit 10 Management 'of Human Resources and Instructional
Planning
Unit 11 Management of Material Resources
Unit 12 Emerging Concepts of Management
Course Introduction
Higher education (HE) has expanded in India at an unprecedented rate during
this century. One reason for this increase in demand for HE is the success of the
Educationfor All project. Many times more students were enrolled, retained and
passed the school and are now knocking the doors of HE institutions. HE was
not prepared to accommodate all the school passers. Many times more institutions
were required to provide a place to all those who passed the schools and wished
to pursue HE, however as there was no matching preparation all those who aspired
to go for HE could not be accommodated. A developing nation like India aspiring
to be a 'developed' nation would require many times more the professional and
technical work force it has at present. We have only about 12 percent of the
appropriate age group in HE. We need to increase it at least three to four times to
meet the national demand of intellectual and professional work force.
Every nation requires different types of human personnel to undertake different

types of jobs so that all school graduates may not be required to undertake the
same type of courses and degrees. Institutions are required to provide professional,
vocational as well as general degrees to the school passers so that they can go for
a course/degree matching each individual's capability and interest. In the absence
of an appropriate course or institution students go for a general or a professional
degree which often is not suitable for himlher. Efforts are being made to establish
more and more institutions public funded. as well as through private initiatives
so that the demand can be met.
We would require teachers and administrators to undertake the teaching as well

as administrative responsibilities to run the HE institutions. We have acute
shortage of personnel and in the coming years we are going to face more shortage.
Management of HE is different to management of other establishments and it
requires not only managerial capabilities but also intellectual achievement.
Learners in HE institutions listen to the principal, the vice-chancellor or the

director not because they occupy high offices but they often have high intellectual
achievement. Management and administration of HE institutions would require
learned personnel who can manage the youth to be prepared to take the nation
forward. After going through this course some of the expectations from you
would be that you should be able to:
• explain the needs and requirements of HE in the light of past developments;

• discuss the managerial, administrative, leadership and other requirements
and expectations from He personnel;
• understand the management concepts applicable to educational management;
• inform about the different types of institutions (i.e. general, professional,
vocational etc.) and difference in their management and administration;
• provide guidelines for a robust future of HE through case studies of successful
institutions in India and other parts of the world, and,
• mention and discuss the strengths and weaknesses of the policy formulations
which have influenced the growth and development of HE in India.
BLOCK INTRODUCTION
This is the first block of the course on higher education. Through this course we
wish to make you aware of the many issues confronting higher education of our
country. Indian education has been influenced by various rulers and governments
as India has a tradition of education more than five thousand years old. India
boasts of a culture of education which gave the world texts like the Vedas. There
is no parallel in the world to the Vedas. However, we also receded to a stage
where we became a nation with the largest illiterates. To be able to present even
a synoptic view of Indian education since the ancient times would require many
volumes.
India, besides being an intellectually rich nation was also economically

prosperous. Unfortunately the plunderers and conquerors attacked India many
times and we fell prey to the foreign -invaders. We were ruled by people who
were neither of Indian origin n,or had interest and respect for our tradition and
knowledge resources.
Our intellectual resource was destroyed. Higher education, of which a mojor

function is to create new knowledge cannot function in isolation. Higher education
will obviously be affected by the processes adopted for providing school education
and the quality of school education. Mahatma Gandhi in his speech in London in
1931 had mentioned that the British education policy in India had reduced the
literacy percentage by more than half. This statement created ripples. As the
indigenous system of basic education in India was so scientific that a large pool
of intellectual resource automatically accumulated.
In the first unit of this block we have tried to present a synoptic view of the
developments in education but you will have to pursue other sources for learning
more about each of the periods of Indian education. In a globalized world no
nation can survive in isolation, especially as education has become a tradeable _
commodity. You may be interested in reading more about globalization of
education and the role of different agencies in education today ..
The second unit deals in detail on different aspects of globalization. Even though
India had always considered education as a resource woth sharing without a
price but in the modem day we have to learn the new rules as we need to suvive
in a 'commercial world'.
We hosted learners from all parts of the wolrd and shared without a price but
today we have to pay heavily to learn from other nations. In the second unit we
have discussed different aspects related to globalization of edcuation.
All sectors of a nation are influenced by the type of policies the nation develops.
Our recent policies which influence our present day education system heavily,
starts with the British policies .
In the third unit we have once again tried to touch upon various policies but
becuase of the paucity of word limit we have not been able to deal with the
different policies in detail. It is expected that the content provided in these units
/
will develop an interst in you about our policies and you would take interest in
the policy formulation with regard to education in India. We have not been able
to make a very laudable achievement in education neither during the last few
centuries nor since independence. Our learners also do not feel proud of belonging
to the Indian tradition. Our education system has failed to make us proud Indians.
This block has raised a number of issues and hopes you would get interested in
different areas of edcuation and contribute to a better education system and
especially higher education .system.
UNIT 1 IDGHEREDUCATION: HISTORICAL
PERSPECTIVES
Structure
1.1 Introduction
1.2 Objectives
1.3 Higher Education - The Concept
1.3.1 Education and Higher Education
1.3.2 The Concept of Higher Education
1.4 Historical Perspectives of Higher Education
1.4.1 Global Scenario
1.4.1.1 Women in Higher Education
1.4.2 Indian Scenario
1.4.2.1 Ancient Age .
1.4.2.2 Medieval Age
1.4.2.3 Colonial period
1.4.2.4 After Independence
1.5 Higher Education in the Modem Social Context
1.5.1 .HE for the Development and Perfection of the Individual
1.5.2 HE for the Fulfillment of the Growing Demand of the Society
1.6 Key Players in the Higher Education in India in the 21 sr Century
1.7 Let Us Sum Up
1.8 Unit End Activities
1.9 Suggested Readings
1.1 INTRODUCTION
History of Higher Education (HE) is important for the students of higher learning
systems as well as for learners and scholars who are engaged in research activities
to know about Higher Education (HE) systems. In this sense it occupies a special
position in the history of education system. HE is the super structure of the
education system because the total education system and its quality depends on
it. The nation also depends upon planning of HE for future manpower planning
and economic enhancement. So it is important to understand the past to plan for
the present and future.
In 1993, UNESCO formed a commission to review the education systems of the

world in the 21 st century. A renowned educationist and social thinker, Jacques
Delor was the Chairman of the Commission. The Commission published its
report in 1996. The report was known as The UNESCO report of the International
Commission on Education for the Twenty first Century or popularly known as th
Delor's Report. At one place of the report (p. 130), the commission made its
observation on HE as follows:
"Higher education is at one and the same time one of the driving forces of
economic development and the focal point of learning in a society. It is both
repository and creator of knowledge. Moreover, it is the principal instrument for
7
Managing Higher passing on the accumulated experience, cultural and scientific, of humanity. In
Education Institution: A
Perspective
a world where resources of knowledge will increasingly predominant over
material resources asfactors in development, the importance of higher education
and of higher education institutions can only grow. Moreover, the effect of
innovation and technological progress means that economies will increasingly
demand competencies that require high level studies. "
So the expectations and demands of the society from HE are many and different
for different times, countries and situations. In this unit we have discussed the
development of HE in these different perspectives,
1.2 OBJECTIVES
After going through this Unit, you will be able to:
• Explain the concept and purpose of HE;
• Analyse the evolutionary nature of HE in India and abroad; and
• Identify the role of HE in different historical and social perspectives.
1.3 HIGHER EDUCATION - THE CONCEPT

You may, perhaps, know that the history of education is as old as the history of
human civilization. Education existed even in the primitive days, but forms and
systems were completely different. Education system has gone through a lot of
changes and has evolved a lot over the years. Earlier education was imparted to
children in order to pass on the moral values and skills required by them to earn
their livelihood and live in the social set up of that place. At that time, education
was non-formal in nature: There were no levels of education as exists now-a-
days. Education was the natural response of early civilisations for the struggle
for surviving and thriving as a culture. Adults trained the young of their society
in the knowledge and skills they would need to master and pass on to the next
generation. When cultures began to extend their knowledge beyond the basic
skills of communicating, trading, gathering food, religious practices, etc, then
formal education and schooling, eventually followed. Schooling in this sense
was already in place in Egypt and India between 3000 BC and 500BC.
Eric Ashby, an educationist, social thinker and a prolific writer, has written many
books on HE.
Ashby (1967) states four revolutions in education and those revolutions gradually
change the education system and different levels of education develop according
to the age and capacity levels of the learners:
1) The first revolution was adults' role in the society and the task of educating
the young was shifted from parents to teachers and from home to school.
2) The second revolution 'was the use of the written text instead of oral
instruction in the classroom only.
3) The third revolution came with the invention in printing process and the.
wide availability of books.
4) The fourth revolution is the development in electronics e.g. radio, computer,
tape-recorder etc.
8
In the present day we are heading for another revolution in education, especially Higher Education:
Historical Perspectives
in the HE system. It is the revolution of Information and Communication
Technology (ICT). The development of ICT has transformed the old education
system, its delivery mode and management of the total education system.
1.3.1 Education and Higher Education

There are many approaches to education. They vary from state to state and country
to country. Even a few decades ago we had not heard of so many types and
systems of education which exist today. We were not much familiar with Distance
Education (Dlij.flexi-Iearning and virtual education etc. At that time, we had no
computers, no Internet systems. There were very few telephone users but a vibrant
postal system. Simply stated, and in the words of Thomas Briggs, the new concept
proposes that "education should attempt to guide young people through
experiences that will maximally develop each one to do better than the otherwise
would or could those desirable things that he will do anyway." Whatever may it
be, education responses the following questions:
What prepares one for effective living? What is fundamental to the development
of the whole man? What is essential to personality growth and social growth?
1.3.2 The Concept of Higher Education

Education is a broad term and includes all modes of transformation of knowledge
and skills. In this sense travelling, drawing, singing, painting etc are all included
in education. For clarifying an example may be given. Perhaps, you have heard
the name of Maxim Gorky, a famous writer, dramatist and political activist of the
erstwhile Soviet Union (now Russia). This author had written an autobiographical
book, My Universities (Autobiography Part Ill, 1923), where he had described
his relationship with people, culture, situations, family etc. These are not learnt
from any educational institution, yet these are also considered as education.
Now, let us come to the development of higher education. Higher-learning

institutions date back to ancient times, give learning an institutional framework.
These institutions were not like the educational institutions of the modern days,
yet they are also considered as educational institutions and such types of
institutions can be found in many cultures all over the world, though ancient
centres of learning were typically institutions for teaching philosophy and
theology.
HE is only a part of the total education system. Before going on to discuss the
history of Higher Education, let us try to understand what the higher education
IS.
Higher education is an institutionalised system of education and is an educational

level that follows the completion of a school providing a secondary education,
such as a high school, secondary school etc. Tertiary education and sometimes
vocational education is also considered as HE. Colleges, universities and technical
or vocational institutes are the main institutions that provide tertiary education.
9
Managing Higher
Education Institution: A Check Your Progress 1
Perspective
Write the answers of the following questions in your own words in the
space provided below (in 50 words each)
1) Discuss the different major changes in the education system from the
early stages.
2). State and explain the different sources of education other than schools,
colleges and universities.
1.4 - HISTORICAL PERSPECTIVES OF HIGHER

EDUCATION
You have understood the concept of higher education. Now let us see the
development of higher education system in India and abroad. History of higher
education has its roots in religion but has seen many changes through the decades
and centuries. It is called higher education because it is the highest stage of
formal education. People can get higher specialisation degrees at this level.
From prehistoric era, societies have faced different changes and thus have also
witnessed changes in the education system, though it was not formal in nature.
Education at that time was general and informal. But societies grew more complex
due to the growing intellectual abilities of human beings. Thus formal education
came into existence and education was growing as institutionalised system more
and more. Specialised training and new and advanced knowledge was required
for the systematisation of societal demands. All the knowledge and information
was not required for all the people and thus clear cut content was developed
slowly and this was the beginning of the curriculum development. In this way
specialised people were engaged for specialised training and imparting specialised
knowledge and information. Thus formal schools were developed and teachers
were entrusted to deliver methodological and systematic information to the
learners.
10
/
1.4.1 Global Scenario Higher Education:
A modern university of the present day is an institution of higher education and
research that awards academic degrees. The Guinness Book of World Records
recognizes 'The University of Al Karaouine' in Fez, founded in 859 by the princess
Fatima al- Fihri, as the oldest degree-granting university in the world. But there
were evidences that universities were established long before that.
There is debate a about exactly where history of higher education began. However,
according to some scholars the oldest institutions of higher learning was started
on the island of Cos, Greece, in about the sixth century B.C. These schools
taught medicine along with other subjects and covered topics concerning the
nature of humanity and the universe.
A group of people, called the Pythagorean School, were the followers of the
Greek philosopher and mathematician Pythagoras (c. 580-500 B.C.). They also
started schools of higher education in Italy. They taught philosophy and
mathematics in Greek. The Greek philosophers Socrates (470-399 B.C.), Plato
(c. 428-348 B.C.) and Aristotle (384-322 B.C.) carried on this tradition in these
institutions. The medieval Islamic world awarded degrees and diplomas in
medicine and various other subjects. The Al-Azhar University founded in Cairo,
Egypt, in 970 A.D. and offered a variety of degrees in graduate and postgraduate
programmes, including theological seminary, law and jurisprudence, Arabic,
astronomy, philosophy and logic. Some other universities of that time (9th century
A.D.) are: University ofSalerno, University of Constantinople, Preslav Literary
School and Ohrid Literary School in Bulgaria. The first formal degree-granting
university in Europe was the University of Bologna (established in 1088). It was
followed by the University of Paris (c. 1150), University of Oxford (1167), and
the University of Cambridge (1209). The Roman Catholic Church was responsible
for the development of a lot of medieval universities in Western Europe. In Europe,
students preceeded to university when they completed their studies of the trivium
(the preparatory arts of grammar, rhetoric, and dialectic or logic) and then the
quadrivium (study of arithmetic, geometry, music, and astronomy). There were
also many notable institutions that were providing education and conferring
degrees even outside Europe, for example the famous Hanlin Academy
(established in 618-907 AD) in China.
By the 18th century, universities published their own research journals, and by
the 19th century, the German and the French university models had arisen. Their
models of education were renowned across the globe. Universities mostly
concentrated on science in the 19th and 20th centuries, and they started to become
accessible to the masses after 1914. Until the 19th century, religion played a
significant role in university curriculum. However, the role of religion and courses
related to it began to diminish in the 19th century in most of the universities and
colleges, and the German university model was adopted by most higher education
institutes.
1.4.1.1 Women in Higher Education

You will be surprised to know that the history and development of higher
education in the western countries is not very old. The history of higher education
for women began in the middle 18th Century with the establishment of female-
only primary and secondary schools. In course of time some of these schools
11
Managing Higher were transformed into colleges with the focus on training unmarried women to
Perspective
become teachers.
The first boarding school for women was established in Bethlehem, Pennsylvania
in 1742 by members ofthe Moravian denomination. This school became known
as the Bethlehem Female Seminary and was granted a charter in 18.63 to award
baccalaureate degrees. Oberlin College (1837) in Ohio was the first college to
allow women to attend classes equally with men. The first state college to accept
women was the University of Iowa (1855), which was quickly followed by several
other colleges in Western states.
The University of Wisconsin went coeducational in 1865, followed by the

University of Kansas (1869). Boston University made every class available to
women except theological programs in 1870. The University of Chicago opened
as a coeducational institution in 1892.
But still then many universities did not allow women until the mid- to late 20th
century. Harvard University allowed women into the classroom on an equal
basis with men in 1943. You will be surprised to know that the first woman
entered Yale University as an undergraduate in 1969 and the University of Virginia
did not become fully coeducational until 1970.
1.4.2 Indian Scenario

In the previous section' we have discussed about the development of HE in the
world. In the following sections we shall discuss the structure and growth of
education in India.
In this section you will get some knowledge about the development of HE in
India. Education in India has always been valued more than mere considering it
as a means towards earning a good living. Education system in India has changed
from different stages and actually it takes its shape according to the political
scenario, social structure, needs and demands of the society. All along the ages,
the influence of education on the society was tremendous but in early days it was
limited for a few. Quality of education was valued most. Naturally, there was
only vertical development in education. Ancient India considered knowledge as
the third eye that gives insight into all affairs. Education was available in
Gurukulas, Agrahars, Viharas and Madarasas, throughout the country.
In Ancient India there were no separate higher education systems, but learners
once got admitted to the Gurus came out as the learners of the highest order in
quality. This is also found in the writings of Max Muller. Max Muller was a
German philologist, ideologist and a Sanskrit scholar. He was one of the founders
of the western academic field of Indian studies and the discipline of comparative
religion. He translated the complete Rig Veda in Sanskrit. Max Muller wrote:
"If I were asked under what sky the human mind has most fully developed some
of its choicest gifts, has most deeply pondered on the greatest problems of life,
and has found solutions to some of them which well deserve the attention of even
those who have studied Plato and Kant, I should point to India" (India, What
can it Teach Us? 1883).
12
/
If we categorise different changes in the Indian society, we will find clearly four Higher Education:
different stages:
1) Ancient India or Pastoral India,
2) Mediaval India,
3) Colonial India, and
4) Independent India.
Categorisation is done here only to understand the changes in the education

systems in different periods. But you may do it in other ways according to your
perception. We will discuss the education system in those periods in the next
sections, but before that you may answer the following questions given below:
Check Your Progress 2

1) Define Higher Education and state its two important properties.
2) Why had Max Muller praised Indian education?
....................................................................... ,
, . .
1.4.2.1 Ancient India

This period is known as Ancient India or Pastoral India. In this period you can
get some information about the education system of that time from the Vedas
and the Upanishads. For example, you may find the following concept in the
Katha Upanishad (iii, 6):
"He who is possessed of supreme knowledge by concentration of mind, must

have his senses under control, like spirited steeds controlled by a charioteer."
Thus it was considered that education can control concentration of mind and
other senses also. In the Vedic age, the central conception of education of the
Indians has been that it is a source of illumination by giving a correct lead in the
various spheres of life. Knowledge was considered as the.third eye of the people.
As per classical Indian tradition "Sa vidya ya vimuktaye" (that which liberates
us is education) was the main aim of education.
13
· Managing Higher The schools, colleges or universities were not structured as we find it in the
Perspective
present days. The learned persons or the Rishis, who lived at a distant place
away from the din and bustle of the urban life, took the charge of education. The
student had to search for a guru (teacher). The guru may accept or reject the
student. If accepted, the student or the shishya had to live with the guru. Learning
was mainly rote memory. No definite instructional systems were there but the
guru generally followed his own teaching method and system. The mode of
instruction was 'word of mouth' through 'face to face' (F2F) instructional system.
Individual learner's attention was given top priority. Management of education
totally depended on the teacher and the learner had to follow the Guru (teacher).
s
'Learner motivation' was very important. Once the guru accepted the shishya
in to his own fold, learning could be taken as granted.
1.4.2.2 Medieval India

With the passage of time, Pastoral society changed into a Feudal society. This
period is considered as the medieval period. The economic structure of the period
changed a lot and complexity of the society develops many times. Naturally it
has' its impact on the education system also. This period may be divided into
different stages. But for the present purpose we will confine our attention into
two stages only: i) Before the arrival ofthe Muslims: we consider it as the Feudal
India I and 11)before the arrival of the British: we consider it as Feudal India Il,
because in these two segments education system had different dimensions, aims
and objectives.
i) Feudal India I
During this period land was the main controlling part of economy. This had
also changed the educational system of the country. Expansion of know ledge
had helped to develop the traditional system of education. Slowly seats of
higher learning were established. These were established in the Gupta era.
The Gupta rulers encouraged higher learning and they had established centers
of higher education at N alanda, Takshila, Ujjain, Vikramshila and Vallabhi
in the seventh and eighth centuries A.D. Each university specialised their
students in a particular field of study. For example, Takshila specialised
students in the study of medicine, while Ujjain on astronomy. Nalanda,
being the biggest centre, handled all branches of knowledge. During this
period India became a centre for higher learning and attracted scholars from
all parts of India and abroad. The aspirants of higher education, after
completing preliminary education, had to reach these institutions after a
long walk and had to face the 'Dwarpal' who were also great scholars:
'Dwarpals' conducted the admission test by asking questions. So the
motivation of the learners was a characteristic of the age. The HE system in
those universities had their own management systems and only specialised
teachers gave instructions to the students in particular theory and practical
field of studies.
ii) Feudal India 11

This period stared after the arrival of the Muslims in India and is characterised
by the establishment of Madrasas along with Pathsalas. In education ethics,
philosophy, astrology, astronomy, linguistics, languages were common to
both the education system but methods of instructions were different. The
characteristics of the age were the desire of the students to be in the high
14 social groups. Education was mainly religion based.
1.4.2.3 Colonial India Higher Education:
This period started after the arrival of the British in India. This is also known as
the modem era in education. The British totally transformed the education system
of the country and introduced Western method of education. English being the
language of the ruler, the medium of instruction became English and inputs from
the British culture was heavily included inthe Indian education system. Subjects
like physics, economics, chemistry etc. replaced traditional subjects. In the new
.era the demand for the upward social mobility of the people was growing rapidly.
This trend was so strong that people wanted to get education by paying fees and
thus private institutions, along with institutions of higher learning, began to grow.
The first such college to impart western education was founded in 1818 at
Serampore near Calcutta (modem Kolkata). The first college is known as
'Serampore College'. Over the next forty years, many such colleges were
established in different parts of the country like Agra, Bombay, Madras, N agpur, .
Patna, Calcutta, Nagapattinam etc. These institutions were privately managed
and established, generally, by the Missionaries. At that Period the objective of
education of the British government for India was to produce a class of
intermediaries between the ruler and the ruled and also "the main aim in starting
of the schools for children as well as the institution of higher learning in the 18th
century was to propagate Christianity, to have competent scholars in the Muslim
and Hindu Law, and to train the British civilians in Indian languages, Indian law,
and Indian history" (Altbach: 2006).
A new management system in Universities and other education institutions

developed after Sir Charles Wood's Dispatch of 1854. This had led to (i) the
creation of a separate department for the monitoring of education in each province,
(ii) the founding three universities in Calcutta, Bombay, and Madras In 1857 and
(iii) the introduction of grants-in-aid system in education. At that time, existing
27 colleges were affiliated to these three universities. Later more universities
were established. At the time of Independence in 1947, there were 19 universities
and several hundred affiliated colleges (CABE : 2005).

1) Why can education of the Medieval India be divided in two parts?
2) What are the special features of the education of the Colonial India?
.15
Managing Higher 1.4.2.4 After Independence
Perspective
After independence, there were 370 general colleges, 208 professional colleges
and 27 universities and in 2004 -2005 these numbers went up to 10377, 3201
and 364 respectively. TIlls rise is no doubt massive but inadequate when compared
to the needs ofthe country. After 1980's of the last century, outlook ofthe policy
makers changed. Gradually 'universalisation of education' and 'equality of
educational opportunity' became popular concepts. It was expressed in the Indian
Constitution too.
The demand of education had further increased with the increase in population,
respect for democratic values, development of trade and commerce and expansion
of information systems.
1.5 HIGHER EDUCATION IN THE NEW GLOBAL

CONTEXT
In the previous section you have learnt about the development of higher education
in India. In this section you will know about the development of higher education
in the present changing social context.
During the last quarter of the Twentieth Century higher education has become a
priority area in most of the nations. This is because human resource development
cannot really happen without development of intellectual capital. As per the
observations made by the World Bank, scientific and technological progress and
enhanced productivity in any nation is closely linked with the investments made
for improvement of human capital and quality of economic environment (World
Bank -2006). This has made several problems within the nations. The UNESCO
report (1996) has identified the following tensions:
• The tension between the global and the local,

• The tension between the universal and the individual,
• The tension between tradition and modernity,
• The tension between long term and short term considerations,
• The tension between the need for competition and concern for equality of
opportunity,
• The tension between the extraordinary expansion of knowledge and human
capacity to assimilate it, and
• The tension between the spiritual and material :
(Source :Learning the Treasure Within, Delor-1996)
So Higher Education has to face the above challenges in this area of liberalisation,
privatisation and globalisation and it should be considered in this context.
1.5.1 HE for the Development and Perfection of the Individual

The University Education Commission (1948) chaired by Dr. S. Radhakrishnan
(a renowned philosopher and academic who later became the President of India)
mentioned:
16
/
"If India is to confront the confusion of our times, she must turn for guidance Higher Education:
not to those who are lost to the exigencies of the passing hour but to her men of
letters and men of science, to her poets and artists, to her discoverers and
inventors. These intellectual pioneers of civilisations are to be found and trained
in the universities, which are the sanctuaries of the minor life of the nation. "
Thus university is a place where right kind of leadership, for all walks of life, is
developed, gifted minds and creative people are identified. It helps the
development of people with physical fitness and high moral values. The
universities should also promote right kind of attitudes, eagerness for furthering
knowledge, rational outlook, and nurture scientific temper among the youths of
the society. University is a place where youth develops a dogma free mind. The
university education can develop youth to distinguish between right and wrong,
good and bad.
The report ofthe Education Commission (1964-66), Chaired by Dr. D.S. Kothari,
also m~ntioned that the universities are the dwelling places of ideas and ideals
and hence all the members, including the students,_ should require to develop
high standards so that they can contribute this in their own societies.
1.5.2 HE for the Fulfillment of the Growing Demands of the

Society
In the previous section you have read, how higher education helps in the
development and perfection of the individual. In this section you will know about
the need of higher education for the growing demands of the society.
Today's youth are the future leaders of the nation. So they should be trained to
know the demands of the society, because the future emerging world is opening
up very fast. Due to the ICT revolution, the world is becoming a 'Global Village',
the world communities are becoming our neighbours. Ithas enhanced different
demands of the society and the individuals in different ways. This has paved the
way to respond to structural changes that can determine the future of the society
and to meet the growing demands of the society.
For higher education, structural change is the result of the confluence of two
forces: one force is the information revolution, which is driving the shift from an
energy-based to a knowledge-based economy. The other is the management
revolution, which itself is being driven partly by changes in our capacity to use
information. But education is a very complex system and at the same time it can
influence the individual and the society in many ways. It also depends on many
other factors of the changing world. So, planners should make future plan of
education in general and of higher education, in particular, considering the future
emerging needs, factors and variables so that it can fulfill the needs and demands
of the new emerging society. It will help to develop a critical faculty among
students, i.e., the ability to question all propositions.
1.6 KEY PLAYERS IN THE·HIGHER EDUCATION

IN INDIA IN THE 21ST CENTURY
In the previous section you have learnt about the higher education in the changing.
global scenario. In this section you will know about the different controlling
17
Managing Higher authorities of higher education in India in the 21st century, because this is important
Perspective
to know the development of higher education in India. This has been discussed
in detail in the other block of this course. So we will give you only a synoptic
idea about it here.
The University Grants Commission (UGC) of India is not only the lone grant
giving agency in the country, but also responsible for coordinating, determining
and maintaining the standards in institutions of higher education. Apart from the
UGC, other key players of professional organisations for recognising courses
and promoting professional institutes are: All India Council for Technical
Education, Distance Education Bureau, Indian Council for Agriculture Research,
Bar Council of India, National Council for Teacher Education, Rehabilitation
Council of India, Medical Council of India, Pharmacy Council of India, Indian
Nursing Council, Dentist Council of India, Central Council of
Homeopathy, Central Council of Indian Medicine and so on.
1.7 LET US SUM UP

In this unit you have got a detailed knowledg~ and information about the
development of HE system in India and abroad. In the first part we have tried to
explain the concept of HE. In early days education was non-formal in nature. It
was the natural response, of early civilizations, for the struggle of surviving and
thriving as a culture. The history of HE has its roots in religion but has seen
many changes throughout the ages. It is a long and old history which dates back
from 580 to 500 B.C.
In India, there was no separate system of HE but learners achieve knowledge up

to the highest level. The Gupta rulers encouraged higher learning and they
established centers of higher education at Nalanda, Takshila, Ujjain, Vikramshila
and Vallabhiin the seventh and eighth centuries A.D.
Systematic HE developed during Colonial Period for the benefit of the rulers,
but it helped the Indian population in subtle ways. The growth of higher education,
after Independence, is quite high but not according to the needs and demands of
the growing population. There is miss-match between the increase of population
and expansion of education. But HE is important for the promotion of the society
and the nation as a whole. To improve the quality and quantity of higher education
different measures have been taken for different sections of HE.
1.8 UNIT END ACTIVITIES'

1) Discuss the growth and importance of higher education in the first half of
the Medieval period.
2) Discuss the importance of education in the Colonial India, keeping the
historical perspectives in mind.
3) Explain the status of higher education in modem India.
4) Mention the key players in Indian Higher Education and briefly mention the
functions of anyone of them.
18
Higher Education: .
1.9 SUGGESTED READINGS Historical Perspectives
1) Ashby, Eric and Mary Anderson (1966): Universities - African. British,

Indian, Cambridge, Mass: Harvard University Press.
2) Altbach, Philip G. (2006): 'The Private Higher Education Revolution: An

Introduction'in University News. January 2-8, 2006. Vol. 44, No.Ol.
3) Delors, J. (1996): Learning the Treasure Within. Report to UNESCO of the

International Commission on Education for the Twenty-first Century.
UNSECO Publishing, Paris.
4) IGNOU (1994): "ES-313: Student Support Services," Post Graduate Diploma

in Distance Education, STRIDE, New Delhi.
5) Keer, C. (1966): The Uses of the University. New York: Harper and Row.
6) Naik, J. P. & Nurullah, Sayed (1974): A Students History of Education in

India: 1800 -1976, New Delhi: Macrnillian.
19
UNIT 2 GLOBALISATION OF HIGHER
EDUCATION
Structure
2.1 Introduction
2.2 Objectives
2.3 Understanding Globalisation
2.3.1 Internationalization of Education
2.3.2 Collaboration Resulting into Brain Drain
2.3.3 Supporting Foreign Students Abroad
2.4 Educational Service under GATS
2.4.1 . Primary Education Services
2.4.2 Secondary Education Services
2.4.3 Higher (Tertiary) Education Services
2.4.4 Adult Education Services
2.4.5 Othe rEducation Services
2.5 Managing Multicultural Institutions
2.5.1 The European Initiatives
2.5.2 Knowledge Vs. Digital Divide
2.5.3 Content of Education
2.5.4 Content Translation
2.5.5 Secular Vs. Religious Content
2.6 Let Us Sum Up
2.1 INTRODUCTION
, The character of higher education institutions is fast changing. The demand for-
higher education has substantially increased because of the successful expansion
of school education. The number of eligible candidates knocking the doors of
higher education has grown more than twice during 2000 - 2010. Similarly other
developing nations have witnessed enhanced enrolment, retention and success
in school education. The higher education sector has been caught napping not
only in India but in other developing nations as well. In most countries neither
the infrasture nor the faculty has been prepared to handle the swollen demand.
The demand has suddenly shot up many times. Interestingly during the same
period the foreign education providers have also become interested in establishing
and/or collaborating with local institutions. Well established and globally known
institutions of higher education have shown interest in collaborating with
instituions in developing world and also in establishing campuses in the
developing countries. Globalisation would require learning the technique of
managing colalboration and content, managing quality, sharing profits and so
on. Higher education institutions in the Developed countries have long experience
of managing international students as well as faculty but institutions in the
Developing world do not have the experience of either hosting foreign students
or foreign education providers.
20
This unit examines a few issues that will affect management of higher education Globalisation ofHigber
Education
institutions in a globalised education situation. As globalisation has come about
as a consequence of the GATS this unit also examines the outcome of the Uruguay
rounds of WTO on education sector. '
2.2 OBJECTIVES
After going through this unit you will be able to:
• Explain the concept and process of 'globalization';
• Explain the process undertaken to make educational services globally
available;
• Participate and develop norms and standards for participating in education
globally, and
•, Explain the various issues related to globalization e.g. curriculum, cross-
border education and so on.
2.3 UNDERSTANDING GLOBALIZATION

Before we examine the implications of globalisation it is important to understand
the concept of globalisation in the educational context. In fact the contemporary
context of globalisation is much influenced by the 'market forces' which sees
studentsllearners as 'consumers' and the discussion on globalisation often turns
into number of students and profits/viability. But the concept of 'globalisation'
of education is really not new. A number of writers have mentioned that in many
cultures including Indian, education has been seen as a resource worth sharing
and not selling. It is no wonder that the fees of education, especially the
government run institutions is nominal.
The modem system of education especially higher education has developed in

the West and the less,de,:eloped nations have largely replicated the system
developed in the West and of late in the USA. The Western unversities have for
many decades been attracting foreign students. But the fees that the home students
have been paying has been much less than the overseas students. It has also been
mentioned that the education of home students has been subsidised at the cost of
overseas students. The universities, especially in the United Kingdon since the
mid 20th Century and the US universities during the late 20th Century attracted
students from the developing, poor nations. The cost of establishing and running
good institution is high and the developing nations neither had the resources nor
the expertise to establish world class universities. The option left with the affluent
and those parents who could afford to spend for the education of their children
was to send their children to the universities in Europe or the US.
Many scholars trace the beginning of globalization of education in the travel of

students baroad since the middle of the twentieth century. But some scholars
have also opined that the early travellers like Fa Hien who came to India and
stayed for nearly six years, during the rule of ChandraGupta 11(375-415) and the
visit of Hsuan Tsang during the rule of Harshawardhan (606-647) to research
and write on the life and preachings of Gautama the Buddha as the earliest
instances of globalisation of education. The great Indian and Chinese civilizations
had already initiated the process of globalization of education much before the
21
Managing Higher concept got currency in the rest of the world. However in the modem day context
Perspective
'internationalization' of education has been the concept, which we will discuss
below.
2.3.1 Internationalization of Education

As mentioned above the most common form of global coperation (during 20th
Century) in education has been of admitting students from foreign countries in
the courses offered by the institutions. The learners had to travel abroad and stay
in the host (foreign) country during the period ofthe course. The cost of travel as
well as stay has been, for most learners exorbitant. The course fee often has been
beyond the reach of most learners, especially as the foreign students have been
charged many times more fees compared to the home students. Only the most
affluent have been able to avail of this option as most learners could not manage
such finances. In spite of the high cost a large number of students belonging to
the elite and the affluent have managed to travel abroad and obtain higher degrees.
Students normally travelled only to obtain higher (tertiary) degree and that too in
areas in which higher education has not been available e.g. Law. This has been
knnown as 'internationalization' of education.
The flow of students has been from poor to the rich countries. It is a dichotomy
that the learners from poor nations, who could ill afford such finances travelled
to the rich nations. The flow of students has been from nations like India, China,
Pakistan to nations like UK, USA, Australia. It is also found that a large number
of institutions in the rich nations are sustained on the fees collected from the
students from the poor nations. The quantum of money transferred is substantial
and could be enough to sustain many universities in the poor nation.
However many countries spent large sums and established 'world class'
institutions but the products of these institutions also did not serve those nations.
We will discuss with this phenominon commonly known as ' brain drain' below.
2.3.2 Collaboration Resulting in Brain Drain

Many nations during the early post-colonial phase established 'world class'
instituions with the financial and know-how proivided by the advanced countries
within the country. In India the Indian Institutes of Technology were established
to train technocrats. The best of the nation were selected and educated and trained
in these institutions. Their education was highly subsidised through public
funding. However the products graduationg from these institutions mostly
travelled abroad to get better jobs and also good quality life.
Financial and intellectual support has also been an established form of

internationalization of education. The IITs were established with the help of the
USA, Germany and other nations. For some periods the faculty members also
stayed in these institutions to initiate the processes and lay the foundation of
good traditions. However we fmd that this also resulted in the best minds educated
and trained through public money also did not stay within the contry. The poor
nations were not only deprived of the best minds but also of the funds they spent
on training the selected few.
With time perhaps we are witnessing a reversal of the process. A large number of
Indians who migrated a few decades back after studying in thses elite institutions
22 are now returning. With them are also coming their children who have got good
education abroad and who would be able to contribute to the national Globalisation of Higher
Education
development. We also find that a substantial number of gradutaes of these
institutions are now staying back in the country. Even foreign students are now
travelling to fast progressing Developing nations like India. In the nest section
we will examine 'scholarships as an established mechanism of internationalisation
of educaiton.
2.3.3 Supporting Foreign Students Abroad

Students who could support their studies abroad travelled to foreign countries to
obtain higher degrees but rich nations have also supported students from the less
developed countries through various scholarship schemes. Countries like the
UK, USA, Germany, France have offered scholarships to students from less
developed countries to travel to those countries for pursuing higher degrees.
Many a times these scholarships are for pursuing a subject ofthe student's choice
but sometimes these are restricted to subjects which these countries want to
promote. A large number of scholarships offered by France and Germany are for
pursuing French and German language courses.
Such scholarships have been of great suppport to individual learners as they

could get opportunity to study in the best instituions and on return to their
respective countries they could excel. However, some critics have also seen
scholarship schemes as continuation of 'colonialism'. Education transforms minds
and scholars educated abroad carry the legacy of the country they are trained in
all their lives. Foreign educated scholars often take an approach which perpetuates
the processes followed in those countries. However this a debatable issue. You
need to discuss with your peer group and also examine existing literature to
form your stand. In the next section we will examine the developments since the
General Agreement in Trade and Tariffs (GATT) changed to General Agreement
in Trade in Services (GATS) more popularly known as the Uruguay Rounds of
discussion.
Collaboration for Profit

Various reports mention that the government's education budget of various
European countries is shrinking and institutions have to find ways to 'generate
resources. Similar is the case with developing countries. Obviously maintaining
the number of participants and increasing the number, if the institution intends
to expand its research activites, becomes the first priority. The fees of the home
students has to be kept low because of the political pressure. Most European
institutions have been charging differential fees to non-home students. In fact
. foreign students have contributed. enormously to the growth of may European
universities. Obviously, the most handy method of generating funds is attracting
more international students. Before going to the next section answer the questions
given in the box to assess your understanding.
-/

1) What should be the main concern in forging an educational
collaboration?
....................................................................... ;-,:.: .
23
Managing Higher
Education Institution: A 2) What has been the major criticism of scholarship schemes for studies
Perspective abroad?
••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• "'"1 •••••••••••••••••••••••••••••••••
2.4 EDUCATION SERVICES UNDER GATS

Since ethe Uruguay rounds the World Trade Organisation included education as
a service and educational services came under the gambit of tradeable service.
Just as the industrial products are classified educational services were also
classified by the WTO for the ease of trade. The educational services are broadly
divided into four categories namely;
Primary Education Services,

Secondary Education Services,
Higher (Tertiary) Education Services, and
Adult Education Services.
Education not covered within the four broad areas have been put under a separate
categoy of Other Education Services.
We will briefly discuss how these educational categories have been defined.
2.4.1 Primary Education Services

The Primary education services includes preschool, and other primary education
services but excludes child care services. The child care is included in the 'social
service' . The preschool or the pre-primary education service which are at present
provided by the nursery schools, kindergartens or such establishedments attached
to primary sections of the schools. These establishments prepare children for the
school environment, are now included in the educational services under the GATS.
2.4.2 Secondary Education Services

Secondary education services includes education of the 14+ what in India is now
covered by the Rastriya Madhyamik ShikshaAbhiyan (RMSA), which includes
the IX to XII classes, in other words the secondary and the senior secondary
levels. However the GATS includes the technical and vocational seconday
education with a separate category for the vocational and technical education for
the handicapped students of this age group.
The secondary education services is visualised as a continuation of the basic

programmes imparted at the primary level but with more specialisation and
concentration on subject specific content. Education during the secondary level
will bifurcate the clientele for the technical or vocational education which will
be more skill oriented and university education which will be more content
oriented. A special mention has been made of the education of the handicapped.
24
2.4.3 Higher (Tertiary) Education Services Glebalisatien of Higher
Education
Two major areas namely the post-secondary technical and vocational-education
services and other higher education services are included in the higher (tertiary)
education services. Post-secondary education refers to sub-degree technical and
vocational education and the vocational education services refers to education
leading to a university degree or equivalent, which put more emphasis on teaching
of practical skills, without compromising on the theoretical knowledge of the
area.
Education under other higher education services are typically provided by the
colleges and universities in India which primarily emphasize theoretical
instruction, but also involve in research training with the objective of preparing
students for generating new knowledge and contributing to the corpus of
knowledge.
The 'branch campuses' established by institutions abraoad are mainly in this

area of education.
2.4.4 Adult Education Services

There is rampant illiteracy in the Developing countries and more than half the
illiterates are in South Asia. It is unavoidable for nations like India, Pakistan,
Bangladesh and many countries of Africa to take up education of the adults on
priority. Adult education would not only include the literacy programmes but all .
those who are not served by the regular institutions also mid-career updation
including acquiring higher degree.
Educational provisions for those who are not.in the regular institutions is covered
by the adult education services. For this group modem means of communication
. ,
like the radio, television ate, provided direcltly at home or at any other designated
places beyond the regular hours as per the convenience of the clientele group,
has been mentioned. Regular school or college buildings may be used for
extending education to the adults.
Distance mode and material especially prepared for this group (i.e. self
instructional material) has been empahsised in the OATS document, under the
adult education.
2.4.5 Other Education Services

To cover all other areas and services not covered by the four major areas OATS
has put' other educational services' as a separate category. For example the 'child-
care services' has been put in this category.
It will be apparent from the five broad categories mentioned above that any
agency of any country can now offer to serve in ay other country. It will depend
upon the country concerned how they regulate the sector and which countries do
they get in collaboration with. We will have to wait to see how the provisions of
OATS are implemented.
In the next section we will discuss the process through which these are to be
provided, but before you read the next section attempt the self assessment
questions to find for yourself how well you have understood the content discussed
above.
25
Managing Higher
Education Institution: A Check Your Progress 2
Perspective
3) How old is the concept of 'globalization' of education? And what was
the motive of globalization?
4) Which are the major areas covered by the GATS under educational
services?
2.5 MANAGING MULTI CULTURAL

INSTITUTIONS
Globalisation necessarily brings in stake holders from diverse cultural and socio-
economic backgrounds together. It is never easy to satisfy learners
Besides the agreements made through the GATS guidelines there have been other
similar group formations on regional basis. In the European Community, which
was initially formed to make economic cooperation, but educational coperation
has become very effective. Amongst the major efforts made are:
Bologna
Cooperation involves exchange of students and teachers but untimately resulting
in exchange of ideas. This phenomenon is not new. Migration of students and
teachers have been taking place between instituions and ideas also get carried.
During 1167-68 students from Paris, who were in fact expelled joined Oxford.
The mass migration took place because the students from Paris were expelled
because Henry 11banned English speaking students from attending University
of Paris. they held strong views about religion which were in contrast to the
existing university administration. This group influenced the contemporary
debates in Oxford and have been guiding ideology of Oxford University.
Also, the practice of affiliating colleges to the university came with the students
who came from Paris.
2.5.1 The European Initiatives

In May, 1998 ministers in-charge of four countries namely France, Germany,
26 Italy and the United Kingdom met at Sorbonne to jointly forge afuture for the
European higher education known as the Sorbonne Declaration. The committee Globalisation of Higher
Education
mentioned that Europe not only stood for Euro and the economy but for a
knowledge society and that they must work together to strengthen the higher
eduction in the Europe. This initiative ultimately fruitioned in the signing of the
Bologna Declaration on 19 June 1999. Twenty nine countries signed the
declaration and now there are more tha 47 countries part of the collaboration
known as the European Higher Education Area.
2.5.2 Knowledge Divide Vs. Digital Divide

Most of the contemporary research in done in the Western universities and those
who have access to the latest knowledge tend to excell. We often talk of digitital
divide but perhaps more important is the knowledge divide. One of the gains of
globalization can be sharing of latest knowledge but most developing world
learners have a suspicion that in spite of paying high fees would learners of off-
campus centres get the same access and learning opportunities that home learners
would get.
Ninety percent of the net connection is in the developed world where only ten
percent of the world population resides. Of the ninety percent population has
only ten percent of the net connection. How would the treatment be equal to all
learners -locationally, and economically. The question which remains unanswered
is would globalization increse or decrease the divide between the ric and the
poor, the urban and the rural.
In this process besides the poor women would be most hit. Two thirds of the
world's women population is illiterate so they would be doubly deprived as they
first do not have education and even those who are educated do not have access
to technology supported knowledge sources.
Most of the prestigious institutions are in the towns and cities. India is a country
of villages and still majority of the people are dependent on agriculture andlive
in rural areas. Institutions which show interest in establishing a campus should
be persuaded, may be through statutory provisions to serve the rural masses
without forcing learners to migrate to the towns and cities. This provision should
also become mandatory for-the Indian agencies which establish institutions for
profit.
2.5.3 Content of Education

A major issue in globalisation of education is the content of education or the
curriculum. Institutions are responsible forteaching content which would produce
a generation which feels proud of its past i.e of its ancestory. Curriculum often
include content about great personalities. Learners feel motivated to imitate those
personalities. There might be contradictions in the curriculum of two different
countries, e.g. General Dyer's life history may inspire British children but would
not inspire Indian children. Similarly Gandhi is considered the father of nation
in India and the person who brought Independence to the nation but learners in
the neibouring country Pakistan may feel the same about Zinnah.
Besides institutions also keep in mind the areas in which human resources may
be required, which deciding on starting courses and degrees. Universitiesin India
may put more emphasis on eradicating caste and social disparities like
27
Managing Higher untouchability but European nations may not have these as their concern in
Perspective
designing courses. In fact the experts may not.even have the feel of the social
realities existing in countries like India.
2.5.4 Content Transaction

There are three most important componets of any good institution - the students,
the teachers and the infrastructure. In the case of global institutions i.e. institutions
established by foreign providers the building would be erected by them but how
would the library and the laboratories be created in a short time. The students
would be pulled from the local population-but from where would the teachers
come. The more popular institutions are known by the faculty on their rolls, but
would the same group of teachers teach. the off-shore students? As the living
conditions in the Developing countries- is not so good the teachers do not want to
migrate to less-developed nations to teach, however the situation in the Developed
countries in not so. Scholars prefer tolive in the Developed countries and teach
there. According to:one report in '20 16 th~te were students from 139 count(ies_in
Oxford, df which 14 percent werefuil_ti~e undergradute students and 6Jpercent
were fulltime graduate.students. Amongst the teaching and research staff 28
percent and amongst the research only staffA3 percent were overseas nationals.
A proper mix of students, researchers and staff makes an institution's community
global. Just offering degree of a foreign instituion would not make a difference.
While deciding on the modalities it must be kept in mind that the learners must
get access to identical support that students of home institution get otherwise
globalisation may become a tool of collecting fees and awarding sub-standard
degrees.
2.5.5 Secular Vs. Religious Content

India is a secular nation besides being a mutilingual and multi ethnic nation, so a
major concern of educational institutions while designing curriculum is the secular
ethos of our Constitution. There are nations which subscribe to one or the other
religious views and the views of a particular religion largely influences the
curriculum of those nations. In globalizing education nations would have to keep
the curriculum under strict scrutiny. We have seen instances where a few
expressions or examples given in texts with religious overtone or obliquely
decrying religious faiths have stirred masses and raked up massive agitations.
Institutions establish a reputation over decades and centuries. Universities like

Paris (estd.), Oxford (estd.), Cambridge (estd. ) have strived hard to establish the
reputation that they now command. If foreign institutions do not have long term
stake in the welfare and development of the nation they may just admit students
without proper scrutiny and also award degree without ensuring 'learning
achievement' of students. Such institutions may not have long term stake and
'fly by night' after amassing large sums of money through student fees.
2.6 LET US SUM UP

We have tried to provide ideas about various processes followed in globalizing
education since the Ancient times. The process of globalisation has undergone
many stages and so has been the terminology. The cover term today is
'globalisation' but the terms used for the same phenomenon has been
28
'internationalization' 'collaboration' and so on. You should be able to-understand Globalisation of Higher
Education
the difference between these terms and also the difference in the processes during
different periods.
2.7 SUGGESTED READING

1) Sharma, Chandra B. and S.v. S. Chaudhary (2001), Institutional
Collaborations in Distance Education: Development and Delivery http://
www.col.org/knowledge/pdflks_institutional.pdf.pdf
2) Sharma, Chandra B. and Amayo Tom Mboya (2001), 'Internationalising

Education: A proposal for Kenya-India Collaboration' (2001), in Staff and
Educational Development International. Vol. 5, no. 3, p.p. 307-317.
3) Shanna, Chandra B. (2001), 'Globalising Education in an unequal world'

in Indian Journal ojOpen Learning, vol. 10, no. 3, p.p. 309-317.
4) Shanna, Chandra B. (2001), 'South Asian Virtual Knowledge Collaboration:

A Proposal' (2001) in Perspectives in Education published by the Center of
Advanced Studies in Education, M.S. University of Baroda, Vadodara:
CASE, pp. 130-134.
29
UNIT 3 MAJOR EMERGING POLICY
INITIATIVES
Structure
3.1 Introduction
3.2 Objectives
3.3 Educational Initiatives in Independent India
3.3.1 Nehru's Vision of Education
3.3.2 Education under British Rule
3.4 Policy Formulation in Education
3.4.1 Quality Assurance in Indian Education
3.4.2 The Mudaliar Commission
3.5 Elementary Education Policies at a Glance
3.5.1 First NPE and Kothari Commission
3.5.2 2nd NPE and Ramamurti Commission
3.6 Impact of Global Goals on Elementary Education
3.6.1 World Conference on Education for All
3.6.2 World Education Forum
3.7 Let Us Sum Up
3.8 Suggested Reading
3.1 INTRODUCTION
The state of Indian Education can be summarized by saying that it is yet to find
the direction it deserves. Before the independence in 1947, the British Education
Policy was obviously planned to serve the government and the people not India
and the Indians. There was a constant tug of war between the government and
the small elite intellectual group which may be called the Congress to wrestle a
system which could be in the interest of the people of this country. The interest
of the government was to gear the system in a manner which could serve the
British people and the nation. Those who could penetrate into that system and
equip themselves through the process of British education could understand the
importance of modem education and pleaded for a pro-Indian system of education.
All said and done the education system available was to serve a small minority
who could serve the foreign interest.
3.2 OBJECTIVES
After going through this unit you should be able to:
• able to critically assess and analyze various policies;
• comment on the major policies and plans undertaken after independence;
and
• know about various plans and policies related to education and be able to
make a critique of the policies.
30
Major Emerging Policy
3.3 EDUCATIONAL INITIATIVES IN Initiatives
INDEPENDENT INDIA
Since India gained independence it was a concern to reduce illiteracy across the
states of the country. The era of educational reconstruction took priority in the
wake of social and economic reconstruction by the National Government. Since
1947 education was regarded as the chief instrument for a significant
reconstruction and transformation of the new born nation. It was therefore
important to take appropriate steps in the direction of educational reconstruction
that took place through the appointment of a series of commissions to survey,
study, review and recommend ways to bring about improvements in the different
sectors of education. To achieve this, the first education commission in the form
of University Education Commission (1948-1949) was appointed by the
Government of India under the Chairmanship of Dr. S. Radhakrishnan. This was
taken up in pursuance of the recommendations of the Central Advisory Board of
Education (CAB E) and also of the Inter-University Board (IUB). Out of the
various recommendations, the commission focused on improving the standard
of university education in the country. It also introduced the three-year degree
course as the first university degree, emphasized on greater use of tutorial system
of instruction, discovering new educational aims, stressed on developing
knowledge and promoting critical thinking rather than mechanical clearing of
examinations, creation of rural universities and introduction of moral education
emerged as some of its salient recommendations. The Commission also brought
to light the the importance of Intermediate Colleges in the Indian educational
systems, which the system lacked. To harmonize University Education in the
country, it also recommended the establishment of the University Grants
Commission. This is when the Commission came into being. Simultaneously
the government also adopted a Resolution on Scientific Policy that supported
the development of high-quality higher education institutions, by setting up the
Indian Institutes of Technology (UTs).
3.3.1 Nehru's Vision of Education

After independence, it was expected that those at the helm of affairs would design
and develop a system which would serve the masses and not only the elite. India
achieved independence on the democratic grounds and there was strong faith
that the system would be pro-people and for the masses. However, if we look at
the scenario during the first four decades after independence we find that there
was an over emphasis on developing a strong higher education system including
technical education. The first Prime Minister of India, Pandit lawaharlal Nehru
was a towering personality and a person with strong ideas. No wonder the initial
decades are known as Nehruvian Era. All policies and plans not only in education
but in other sectors as well were influence by Nehru's ideas. Nehru very strongly
believed that India should become self-reliance in the production of heavy
machinery and so that we could start producing our own industry with our own
machines so that we did not have to import heavy machinery. The impact of his
idea was that we establish premiere technical institutions by the name of Indian
Institutes of Technology and also Regional Institutes of Technology (now known
as the National Institute of Technology). Time has proved Nehru's ideas have
borne fruit and the UTs and the NITs have produced not only quality technocrats
considered the best in the country but also globally. It may be said that because
31
Managing Higher the lIT graduates were too good for the nation and as such most of them migrated
to the affluent Developed nations. However, the 'reverse brain drain' compensates
Perspective
to a great extent our loss in the initial decades of these institutions. Similarly,
establishment of 'expensive institutions of higher education like the University
of Calcutta, Bombay, Madras and also through private initiatives by the people
like, Madan Mohan Malviya, Sir Syed Ahmed Khan of institutions like, the
Banaras Hindu University and the Aligarh Muslim University and others created
a small circle once again to serve a microscopic minority. Higher education had
maximum participation of two to four percent of the relevant age group. No
nation can develop into a progressive nation with that sort of a participation in
higher education.
3.3.2 Education under British Rule

What were the reasons that our planners for nearly half a century were happy
with a small higher education infrastructure and a participation of a small select
group? In the school sector, the policy of the East Indian Company to permit the
Missionaries to establish schools to spread British education and also serve the
underdogs had provided a fairly good school system for those who understood
education, in other words, the most under privileged as well as the most privileged.
The most under privileged were brought into the fold so that could adopt
Christianity and the most privileged so that they could be Baptized into the
Christian faith without formally adopting the religion. For a half a century this
worked because those who walked the corridors of power were served well.
Every time the demand for expansion of education was raised the issue of paucity
of funds was put forward. We could never spare enough funds to provide
education, at least Elementary Education to all in spite of the fact that the
Constitution of India promised elementary education to all its citizen.

1) What do you think was the reason for the poor literacy level in India 7
2) What was the policy adopted during Nehru's era with regard to
education?
32
,
3.4· POLICY FORMULATION IN EDUCATION Initiatives
The policy since 1947 was definitely lopsided and without a vision. No higher
education can produce quality graduates unless and until the school system is all
encompassing and competitive. There was practically no competition in a school
education and every child, from an educated family who went to school had a
place reserved in the higher education institutions. The first generation learners
were mostly 'pushed out'. With the introduction of District Primary Education
Programme (DPEP) in 1990 and later Sarva Shiksha Abhiyan (SSA), the
participation in the elementary education system increased and so did competition.
Now, suddenly there were a large number of students demanding secondary and
senior secondary education. Once again the nation was caught unawares. There
were not enough seats in the secondary schools to accommodate all those who
graduated from the elementary schools. The Government was caught napping
and the Rastriya Madhyamik Shiksha Abhiyan was brought in a hurry. In a effort
to increase participation in elementary education and then in the secondary
education, most of the groups .have been exempted from paying any fees and
also provided for through mid day meal scheme, free books and uniform, etc.
This whole exercise has taken a toll on higher education. The funds were perhaps
diverted from higher education to elementary and secondary education. The
condition of a school education had definitely substantially improved since the
Jomtien Declaration. But the condition of higher education needs a critical look.
It can be expected that with the increasing school participation more adolescence
would knock the doors of higher education institutions but also better quality
children would get into higher education. The implication of this development
should clearly result into better teaching learning and research in higher education.
However, we do not find the quality of higher education improving in the chain
of events narrated above. The three major functions of higher education, (i)
teaching, (ii) research, and (iii) extension, all suffer because of paucity of funds
and poor governance of institutions. We may consider the following as the major
issues which need immediate attention.
3.4.1 Quality Assurance in Education

Time and again, higher education institutions have been questioned why they do
not figure in the list of best institutions of the world, in spite of the fact that we
have nearly 18% of the world population feeding these institutions. The first and
the most important issue in augmenting the quality of higher education is of
governance. By definition, higher education institutions should be 'autonomous'
and it should be most intolerant to interference from the government and the
politicians which have vested interests. However, if we look at the Acts, Statutes,
Ordinances and Regulations of universities, it would become clear that
universities as well as other centers of academic importance under the Central
and the state governments played a subservient role and dance to the tunes of the
politicians and the bureaucrats. We find that the secretaries and other officials
often in the departments of education interfere and pressurize the vice-chancellors
and heads of other institutions. This goes entirely against the ethos of higher
education and we cannot expect higher education institutions to deliver what
they are created for.
33
Managing Higher 3.4.2 The Mudaliar Commission
Perspective The Secondary Education Commission (1952-1953) was also set to develop
proposals to reform India's school education system. The Radhakrishnan
Commission had also surveyed the field of secondary education in a passing
manner and had admitted that secondary education remained the weakest link in
the Indian educational machinery and required urgent reform. Accordingly an
All India Commission for Secondary Education was appointed in 1952 under
the Chairmanship of Dr. A. Lakshmanswamy Mudaliar. This Commission had
offered a number of suggestions that would address the needs of secondary
education with the new goals and needs of an independent India. The focus here
shifted on providing training to Indian youth at the intermediate (school) level
for disseminating democratic citizenship and further providing leadership to the
general m-asses. Concern for quality education was also strongly recommended
at the school level by the commission, further developing individual talent,
curricular offerings were extended and diversified. It also suggested the changes
in methods of teaching to achieve the new aims of education. New trends in
examination, guidance and extracurricular work were brought into the school
programmes. Anew concept of Multipurpose secondary school was recommended
that included craft, social studies and general science in the curriculum, which
was aimed at orienting students towards an industrial and science-centred
democratic life. Later in 1961, the National council for Educational Research
and Training (NCERT) was formed that would function as an autonomous
organization to would advise both the Union and state governments on
formulating and implementing education policies.
3.4.3 National Policy of Education (NPE)

To promote education in the country the National Policy on Education (NPE)
was formulated by the Government of India and reach out to its people with
wide-ranging education policies according to the needs of the diverse communities
in India. The NPE covered policies from elementary education to colleges in
both rural and urban India. The first NPE was promulgated by the government
oflndia (Gol) in 1968, and the second in 1986.
The policies focused on three aspects in relation to elementary education:
• Reach out to all elementary level children by stressing on universal access
and enrollment,
• Ensure that all children enrolled remain in school up to 14 years of age, and
• Make meaningful efforts to augment an extensive improvement while
imparting quality of education, especially keeping in mind the contextual
relevance to enable all children to achieve from the diverse communities,
and
• Focus on the revival of Sanskrit and other classical languages for
contemporary use.
With the formulation of NPE in the country, a wide range of programmes were
launched for achieving the goal of universal education through several schematic
and programme interventions centrally and in a state specific manner. Some of
the centrally sponsored initiatives have been Operation Black Board, District
Primary Education Programme, Mahila Samakhya (for education of rural women)
and certain state specific programmes, especially in Rajasthan e.g. Shiksha Karmi
34 Project in 1987, Lok Jumbish Programme 2002-03, etc.
Check Your Progress 2 Initiatives
3) What were the main recommendations of the Mudaliar Commission?
4) What action did the Plan of Action suggest for school education?
3.5 ELEMENTARY EDUCATION POLICIES AT A

GLANCE
3.5.1 First NPE and Kothari Commission
An education commission was set up under the Chairmanship of Dr. D. S. Kothari,
who was then the Chairman, University Grants Commission that began its task
in October, 1964, which submitted its report in May 1966. Based on this report
and its recommendations the first National Policy on Education was announced
in 1968 by the government of India. This was referred to as a "radical
restructuring" that would bring equity to educational opportunities and strengthen
national integration and facilitate greater cultural and economic development.
The policy targeted fulfilling free and compulsory education for all children up
to the age of 14. The effort would also include better training thereby providing
qualified teachers. The policy also focused on learning of regional languages,
outlining the "three language formula" that was implemented in secondary
education. Thus secondary education would have - the instruction of the English
language, the local language of the area where the school was based as the official
language, and Hindi, the national language. This was seen as essential to reduce
the gulf between the intelligentsia and the masses. The decision to adopt Hindi
as the national language became controversial, as the policy stressed on the
necessity for using and learning of Hindi to be encouraged to promote a common
language for all Indians. The policy also encouraged the teaching of Sanskrit as
a language, which was to be considered an essential part of India's culture and
heritage. The NPE of 1968 recommended that spending on education be increase
to six percent of the national income.
3.5.2 2nd NPE and Ramamurti Commission

After the implementation of the 1st NPE it was envisaged that it would be followed
by a 'five yearly review to progress and strategizing new policies and programmes
35
Managing Higher to reach higher levels of achievement in the field of education. Keeping this in
Perspective
mind, at the time of formulation of each new Five-Year Plan, it has been mandatory
to assess the drawbacks I shortcomings as well as progress lachievements in
elementary education and accordingly to decide plans and programs of contextual
relevance in the current Five Year Plans. Creating effective and relevant policies
and programmes lead to developing sound system of education that meaningfully
helps to relate and promote its unique socio-cultural identity and at the same
time also helps to cope up in meeting the existing challenges of the times. The
National Policy of Education of 1986 is the result of the reviews which were
discussed and adopted during the budget session of 1985. The new policy called
for laying special emphasis on the removal of disparities and to ensuring equal
educational opportunities for the marginalized and backward sections e.g.
women, Scheduled Tribes (ST), Scheduled Caste (SC) etc. To achieve these,
the policy suggested expanding scholarships, promoting adult education, engaging
more teachers from the SCs, motivating poor families to send their children to
schools, expansion of new institutions etc. The NPE recommended a "child-
centric approach" at the primary education level, and also launched the "Operation
Blackboard" to improve primary schools nationwide. The policy also suggested
higher education to reach the difficult and remote population by expansion through
the Open University system, for e.gstrengthening the Indira Gandhi National
Open University (IGNOU) set up in 1985 by the Gol. The policy also suggested
for setting up models for rural universities, based on the philosophy of Mahatma
Gandhi. Later a committee was set up under the chairmanship of Acharaya
Rammurti in May 1990 to review National Policy of Education (NPE) 1986, and
to make recommendations for its modifications. The Committee submitted its
report in December 1990. The modifications presented in the report was further
placed for consideration at the request of the Central Advisory Board of Education
(CABE). Accordingly a committee was set up in July 1991 under the chairmanship
of Shri N. Janardhana Reddy to take into consideration the modifications made
on NPE and other relevant developments that could have possible bearing on the
policy, and come up with necessary recommendations. This Committee submitted
its report in January 1992, which is known as National Programme of Action of
1992. It laid stress on the need for a radical reconstruction of the education system,
to improve its quality at all.stages, and therefore gave much greater attention to
science and technology, the cultivation of moral values and a closer relation
between education and the life of the people.
3.6 IMPACT OF GLOBAL GOALS ON

ELEMENTARY EDUCATION
The nations across the world, communicated through the Universal Declaration
of Human Rights, asserted that "everyone has a right to education". The period
post 1990 saw the coming together of countries across the world and set universal
goals to achieve basic education for all in a step wise manner. To begin with
there was focus on universal primary education that brought in the District Primary
.Education programme (DPEP).
3~6.1 World Conference on Education for All

1990 is the turning point in the history of education. The World Bank organized
a conference on the Universalization of Elementary Education (UEE) at Jomtien,
36
Thailand. The conference was organized to promote elementary education in Major Emerging Policy
Initiatives
countries where large number of children were out of school and adults illiterate.
Asia (specially, South Asia - India, Pakistan, Bangladesh, Nepal, Sri Lanka,
Maldives and Bhutan) had the largest mass of out of school children and also the
illiterates. The World Bank provided funds to start schemes to bring all out of
school children to the schools. 1990 onwards we find the complete focus of the
government switching over from higher education to elementary education.
The 1990s marked a new phase of developments in education in general. It is

during this phase that for the first time international assistance was sought. So
far no external assistance of any kind was sought for primary or any other level
of education by the Government ofIndia. Such assistance for primary education
was first of its kind, and has been the most significant development, as it was for
the first time the education sector was opened to external assistance. It started
with World Bank assistance for primary education in ten districts ofUttar Pradesh
and UNICEF by the name of Bihar Education Project (BPE) in Bihar. During
this period a string of internat~onal aid came in to fund and strengthens primary
education system in India. This led to coming together of educational thinkers
and the World Conference on "Education for All" was held at Jomtien, Thailand,
in 1990. This was jointly convened by the leading international funding agencies
that included World Bank, UNESCO, UNICEF and UNDP. The conference
proposed for the attainment of universal primary education (UPE) by 2000, that
required to be taken up through intensive drives for universal access to education
and ensure quality monitoring through very close monitoring of learning levels
among the learners enrolled in schools.
The conference also indicated that these bold targets would be attainable if
sufficient resources were made available by national governments along with
significant support extended through international aid. This brought about
ambitious contributions from the World Bank and UNICEF in support of primary
schooling. DFID too showed interest to put increased emphasis on the primary
education sector, and emphasized on adult literacy and non-formal education,
and set a trend that defined its approach for the coming decade. India along with
other developing counties made global commitments at Jomtien Conference to
achieve the collective goals of education for all (EFA) and committed its complete
support in attaining these targets.
The delegates adopted a World Declaration on Education for All at Jomtein

Conference, 1990, which reaffirmed the notion of education as a fundamental
human right and urged countries to intensify efforts to address the basic learning
needs of all. The Framework for Action was required to meet the basic learning
needs that defined targets and strategies to meet them by the year 2000. It included
the following goals:
• Ensure universal access to learning;

• To focus on equity in education;
• To emphasise on increased learning outcomes;
• To broaden the means and the scope of basic education;
• To enhance the environment for learning; and
• To strengthen and maximize partnerships by 2000.
37
Managing Higher Keeping in mind the pouring in of external assistance from various international
Perspective
organizations it was important to have a better co-ordination from the point of
view of the government of India and governments of various states and the
international aid organizations. Thus the District Primary Education Programme
(DPEP) was launched by the GoI, as a broad overall umbrella of international
aid programmes in primary education in the country. Thus the DPEP programme
set the ball rolling for the fast pace with which primary education took off in the
past two decades.
3.6.2 World Education Forum

Following the Jomtein Conference the World Education Forum, was held in
Dakkar, Senegal in April 2000. The purpose of the forum was to present global
findings from of the evaluation of the decade of "Education for All" (EFA)
launched at Jomtien. It also focused on adopting a new Framework for Action to
take forward the initiatives of Jomtein. It had emerged from the evaluation that
the six goals set in Jomtien for the year 2000 had yet to be reached. The Dakar
Framework for Action reaffirmed the vision of the goals laid down in Jomtien
and took forward its goals to be achieved in the next 15 years i.e. 2015.
The event was organized by the International Consultative Forum on Education

for All (the EFAForum), which was created in 1991 to monitor EFA. The forum
composed of representatives from five international agencies i.e. World Bank,
UNFPA, UNESCO, UNDP and UNICEF - and of bilateral cooperation agencies,
which included the respective governments and NGOs, and certain education
specialists from different countries.
In the light of the Dakar Framework of Action, the 86th Constitutional amendment
act was introduced in December2002. It inserted Article 21A, after article 21 of
the Constitution, named as, "Right to Education". The article had provisions for
free and compulsory education to all children in the age group six to fourteen
years. Thus the focus of basic education shifted from primary to elementary
level of education. With this change in the target group for education the Universal
Elementary Education was implemented through the Government of India
sponsored "Sarva ShikshaAbhiyan", which was implemented in a mission mode.
The focus for the mission remained the same six point goals mentioned at the
Jomtein Conference.
3.7 LET US SUM UP

Its will be apparent that the policy making since independence has not been very
healthy. The emphasis should have been on primary education or what Gandhiji
called the Buniyadi Shiksha, but the major portion of the budget went to fund
the higher education. There is no doubt the Indian Institutes of Technology (IITs)
and similar other institutions of higher learning established during the early years
of independence at heavy investment have started paying dividends now but it
has often been mentioned that if the same amount was spent on school education
during the early years of independence many more deserving students would
have reached higher education. Higher education was practically monopolized
by a handful of rich and the elite. Only after the emphasis shifted to primary
education and school education that we are witnessing increase in participation
above ten percent of the relevant age group in higher education. The policies
38
monitoring the higher education institutions have also been criticized by most. Major Emerging Policy
We not only have to be more careful in developing policies but also reexarnine Initiatives
the existing policies so that we can strengthen the system of education in general
and higher education in particular.
3.8 SUGGESTED READING

Ministry of Human Resource Development (2009). Reports of the Central
Advisory Board of Education (CABE), Volume II, 'Autonomy of Higher Education
Institutions', 'Financing of Higher and Technical Education'; Delhi: National
Book Trust.
39
Notes
/
Structure of Higher Education
2
/
"fulffi "I'fAq cpl- ~ ~ 1jCRf qmfr ~ 31'R 3lT\Jf ~ "TT
B ill <:ffi" C'll Cl?C1r:lI ~ 'lWflT <PT 3lTtIlX '4T ~ 1 \iF'1 (f2.,",]"
3Rl CflRUlT ~ ~ ~ ~ ~ ~3IT cpl- ~

~ ~ ~ cpl- ~ ~ \3m \3OTCft ~ I"
- ~ 'l'Tttt
"Education is a liberating force, and in our

age it is also a democratising force, cutting
across the barriers of caste and class,
smoothing out inequalities imposed by birth
and other circumstances. r r
- Indira Gandhi
/
•
C:1gnou
l@J
~ THE PEOPLE'S
UNIVERSITY
MES-046
Higher Education
Indira Gandhi
School of Education
Block
2
STRUCTURE OF HIGHER EDUCATION
UNIT 4
Higher Education Institutions: The Structural Basis at S
Macro Level
UNITS
Higher Education Institutions: Governance at 20
University Level
UNIT 6
Higher Education Institutions: Governance at . 32
College Level
-- -------------------
Expert Committee
Prof. B.N. Koul "Prof. S.y. Shah
JNU, New Delhi
Prof. C.R.K Murthy
Prof. Nalini Puneja

NUEPA, New Delhi
Course Team
Prof. KB. Powar (Units 4&5) Prof. C.B. Sharma
Former Secretary General, AIU School of Education
New Delhi IGNOU, New Delhi
Content Editing
Adopted from MES-104
Prof. C.B. Sharma
(Revised by Prof. C.B. Sharma) School of Education
IGNOU, New Delhi
Dr. vr. Rupam (Unit 6)
Deputy Director
RSD,IGNOU
Unit ~esign & Format Editing
New Delhi Prof. C.B. Sharma
School of Education
Language Editing IGNOU, New Delhi
Ms. Roma Banerjee
Ms. Kamlesh
Social Development
IGNOU
Material Production
Prof. N.K Dash Mr. S.S. Venkatachalam
October, 2015
ISBN: 978-93-85911 ~20-0
from the University's Office at Maidan Garhi, New Delhi-ll0068.
Laser Typeset by Tessa Media & Computers, C-206, A.F.E.-II, Okhla, New Delhi.
Printed at: Raj Printers, A-9, Sector B-2, Tronica City, Loni, Ghaziabad (U.P.)


Unit 4 Higher Education Institutions: The Structural Basis
at Macro Level
UnitS Higher Education Institutions: Governance at
University Level
Level

.-._ .•...

Unit 10 Management of Human Resources and Instructional
Planning
. Unit 11 Management of Material Resources
Unit 12 Emerging Concepts of Mana~ement
BLOCK 2 STRUCTURE OF HIGHER
EDUCATION
Higher Education globally denotes education of citizens above the age of 18

years. The learners' groups may consist of 18 to 24 years, or even above that, of
those who may not have been able to pursue education at the relevant age but
returned to colleges or institutions which may have provided opportunities for
them to pursue higher education. Higher education, in this sense is not a
monolithic term which denotes a single system or mode of education but a
combination of different types of institutions and processes. There are institutions
funded and managed by the Central Government and by the State Governments
known as public institutions and there are also institutions funded by Trusts and
Societies known as private institutions. Some institutions were created to pursue
education and research of a particular discipline or area which were granted
aut(;momy and the status of a University and are known as Deemed Universities.
Universities or higher education must involve in creating new knowledge besides

transferring existing knowledge to the young learners. For creating new
knowledge it is of utmost importance that academics venture into new areas and
extended autonomy to independently search for 'truth' and 'new phenomena'.
Autonomy is the cornerstone of a good higher education system. The concept
has been discussed in detail and it is expected you would understand this concept
and contribute to the making of autonomous researchers, institutions and system.
Through the three units included in this block we have tried to provide an
understanding of the higher education system in India. We have discussed the
structure, roles and responsibilities of various agencies and institutions providing
higher education. It is expected that you would not only be able to understand
the system but also be able to make constructive suggestions to further improve
the system.
,
UNIT 4 IllGHEREDUCATIONINSTITUTIONS:
THE STRUCTURAL BASIS AT MACRO
LEVEL
Structure
4.1 Introduction
4.2 Objectives
4.3 Higher Education Structure and Institutions
4.3.1 Structure of Higher Education
4.3.2 The Universities
4.4 Ministries and Agencies in Higher Education

4.5 University Programmes and Schedule
4.6 Financing Higher Education in India
4.7 Role and Function of the UGC
4.8 Administration of Higher Education at the State Level
4.9 Summary
4.1 INTRODUCTION
The term Higher Education, in India, refers to post-secondary (post-plus two) or
tertiary level education. All institutions imparting instruction leading to a university
degree or an equivalent, may be termed as institutions of higher education.
Higher education in India has expanded tremendously during the post-

independence period. The expansion of the system normally refers to one, or a
combination, of the following:
• an increase in the number of institutions;

• a growth in student enrolment;
• an increase in the number of teaching and non-teaching staff;
-. the diversified structure in-terms of courses, institutional structures and
management styles; and I
• an enhancement of expenditure on the operation and development of the
system.
At present, higher education in India is a gigantic enterprise, employing a large
number of personnel, incurring an annual expenditure of millions of rupees and
teaching a large body of students. As of November 2003, there were 330
universities including deemed to be universities, 15 institutions of national
importance over 13,000 colleges (excluding Junior Intermediate Colleges, and
institutions offering Diploma/Certificate courses), and about 9.5 million students
studying in these institutions.
The Indian higher education system though vast in absolute terms caters to only
about 70 percent of the population in the age group of 18-23 years. This is about
5
Structure of Higher the same as the percentage of 6 per cent obtained in low-income countries. In
Education
comparison the middle income countries have enrolment of about 21 percent
and developed countries of over 50 per cent in higher education (World Bank
1994). It is necessary to increase the enrollment to at least 20 per cent; a percentage
that is considered essential for sustained economic development.
The management of such a big system presents a major challenge to education

administrators. The pattern and style of management are, in a major way,
determined by the structure and organisation of higher education in India. In this
Unit an attempt has been made, to give you an overall idea of the structure and
organization of higher education in India.
4.2 OBJECTIVES
After going through this unit, you will be able to:
• acquaint yourself with the structure and organization of higher education
system in India;
• explain the pattern of the financing of higher education in India;
• analyse the roles of functions of the University Grants Commission and
other agencies concerned with higher education; and
• assess the effectiveness of the administrative style of higher education, at
the state and institutional level.
4.3 HIGHER EDUCATION STRUCTURE AND

INSTITUTIONS
Higher education in India is primarily a public funded activity. However, its
structure and organisation are complex and varied. There are different agencies
and departments involved in its operation. The agencies are mainly the Ministries
at the Federal and State levels, autonomous organisations set up by the Ministries
an- the private organisations or trusts. There are also Ministries, other than those
responsible for education, which are involved in higher education in India. Simply
put the Indian higher education system is both vast and complex. The complex
arises from the great variety in the mix of the university level institutions and
from the multiplicity in nomenclature.
4.3.1 Structure of Higher Education

In the Indian system, higher education includes the education imparted after the
10+2 stage - ten years of primary and secondary education followed by two
years of higher secondary education. The first degree, the Bachelor's degree, is
obtained after three years study in the case of liberal arts, and four years in the
case of most professional degrees. The research degrees (M.Phil and Ph.D) take
variable time depending upon the individual student (See Figure). The post
graduate degree programme involves two years of study after first degree. The
minimum period of an M. Phil degree in one and half year and Ph. D a further
two years. However, in most cases a Ph. D degree requires four years. The highest
degrees D. Litt and D. Se are awarded after the Ph. D degree for original
contributions of the highest order.
,
In addition to the degree courses, a number of diploma and certificate courses Higher Education
Institutions: The Structural
are also available in universities. Their range is wide and they cover anything Basis at Macro Level -
from poetry writing to computers. Most of the short-term (3 months to 1 year)
certificate and diploma courses are meant for undergraduate students and have a
vocational bias. Many universities are now offering a variety of ~hort-term courses
to enable the students to pick up additional qualifications that would be helpful
in obtaining empl5'yment. Most universities offer post -graduate diploma courses
. in professional areas. Th,~i;~duration is usually one year, but there are also three
. years programmes, more or less equivalent to masters Programme, for those
who are already employed:
4.3.2 The Universities

The university-level institutions in the Indian higher education system are basically
of three types - the conventional universities, usually referred to simply as
universities; the deemed-to-be universities, or deemed universities; and the
institutions of national importance.
Conventional Universities are tertiary-level institutions that are established

through Acts of Parliament or State Legislatures. They are almost entirely funded
by Governments. The-universities that are established by Acts of Parliament are
funded by the Central Government and are commonly referred to as Central
Universities. The-Universities established by Acts of State Legislatures are funded
by the respective State Governments and are referred to as State Universities.
Examples of central universities are Aligarh Muslim University, Aligarh; Banaras
Hindu University, Varanasi; University of Delhi; Delhi and lawaharlal Nehru
University, Delhi. Examples of state universities are the University of Pune,
Pune and Madnis University, Chennai.
Deemed Universities are institutions that are deemed-to-be-universities for the

purposes of the University Grants Commission Act, 1956. The Deemed University
status is conferred by the Central Government, on the advice of the University
Grants Commission, work of high quality in specialised academic fields.
Examples are the Manipal Academy of Higher Education, Manipal and Tata
Institute of Social Sciences, Mumbai.
Institutions of National Importance are institutions established, or so

designated, by Acts of Parliament that undertake teaching and research in areas
that are critical to national development. Examples are the seven Indian Institutes
of Technology, and Sree Chitra Tirunailnstitute for Medical Sciences and
Technology, Trivandrum.
.
The Universities alone are empowered to grant degrees, and additionally Diplomas
and Certificates, depending upon the nature of the programmes. Other institutions
can only award Fellowships, Diplomas and Certificates. The Fellowship of the
Indian Institutes of Management is generally equated with a Ph.D degree, and
the Post-Graduate Diploma with the MBA.
The Universities are also described as being Unitary or Affiliating. In the case of
Unitary Universities (e.g. Banaras Hindu University) the teaching and research
is conducted on a single campus (sometimes with subsidiary campuses) and
there is a provision for both undergraduate and postgraduate teaching, as also for
research. The best examples are the Banaras Hindu University, Varanasi;
7
Structure of Higher University of Hyderabad, Hyderabad; Pondicherry University, Pondicherry that
"Education
are all Central universities.
Affiliating Universities are those that have central campus on which there are
departments or schools that impart postgraduate instruction and conduct research.
They have a variable number of colleges affiliated to them and these may be
distributed over a number of districts, in accordance with the jurisdiction of the
university. The colleges mostly do undergraduate teaching though some of them
may be permitted to conduct postgraduate classes in select subjects. Most Indian
universities are of the affiliating types with the larger ones like Calcutta, Mumbai,
Osmania and Bangalore having more than 300 affiliated colleges.
The majority of Indian Universities are funded by the' Governments - Central or

State. Some of the deemed universities are sponsored by private trusts. These
include Birla Institute of Technology and Science, Pilani and.the Thapar Institute
of Engineering and Technology, Patiala. Recently, in a few states private
universities have been established under Acts of Legislatures, e.g. the Sikkim-
Manipal University of Health, Media and Technological Sciences in Sikkim and
the Amity University in Chattisgarh.
Colleges
The bulk of undergraduate teaching is done in colleges. These are of two types -
the constituent colleges and the affiliated colleges.
Constituent Colleges, also known as Conducted Colleges, are those that are
established and managed by the University.
Affiliated Colleges are those that are set-up and managed, outside the university
campus, either by the government or by educational trusts.
The power of granting affiliation to a college usually vests with the universities
and this power is generally exercised in consultation with the government
concerned. Most colleges impart education in the liberal-arts including Arts,
Social Sciences, Sciences, and Commerce. However, there are also' many
professional colleges that impart education in one of the professional disciplines
like Law, Medicine, Engineering and Technology and management. Though quite
a few, professional colleges are funded and managed by the government the
majority are now privately managed. As per the Rastriya Uccha ShikshaAbhiyan
52% of higher education learners are pursuing studies from private institutions.
4.4 MINISTRIES AND AGENCIES IN HIGHER

EDUCATION
It is worth mentioning that, higher education in India is not the exclusive
responsibility of the Ministry of Education. There are many other ministries and
agencies directly involved in higher education. We will briefly discuss the
structures at the macro-level.
Ministry of Human Resource Development

The Department of Secondary and Higher Education of the Union Ministry of
Human Resource Development (MHRD) is the major agency concerned with
8
,
higher education. The Ministry operates normally through the UGc. The UGC Higher Education
is a quasi-independent body set up to discharge the responsibility of coordinating Basis at Macro Level
and maintaining standards in the fields of higher education. More specifically,
the UGC takes charge of the general higher education in Arts, Sciences, Commerce
and professional education which are under the multi-faculty universities. It needs
to be noted that Regional Engineering Colleges and IITs which have departments
of Humanities and Social Sciences, are not under the purview of the UGc. A
separate section in this unit, outlines the role and functions of the UGc.
Engineering and Technical education is 'handled by a separate unit in the MHRD.

Important decisions in this area, and on institutions, are taken with the advice
and assistance of the All India Council of Technical Education (AICTE).
Ministry of Agriculture
The Ministry of Agriculture has assumed responsibility of the agricultural
education in India. All the Agricultural Universities function under this Ministry.
In agricultural education, the Ministry operates through the Indian Council of
Agricultural Research (ICAR). The agricultural universities are established by
the Ministry, in co-operation with the state governments. It needs to be noted
that agricultural departments affiliated to various multi-faculty universities come
with the purview of the UGc.
Ministry of Health
The Ministry of Health looks after medical education. The Medical Council of
India (MC I) and the Indian Council of Medical Research (ICMR) assist the
Ministry in the. planning and development of medical educ.:~tioQ. The MCI
determines the minimum standards of medical education necessary for granting
medical degrees. The ICMR strives to promote research in medicine and provides
funds for medical research. Other councils that look after specialise areas of
medicine are the Central Council for Homeopathy (CCH) and the Central Council
of Indian Medicine (CCIM) .
.::?
Ministry of Law
The legal education is under the Ministry of Law. The Bar Council of India
(BCI) is concerned with legal studies in India. Generally BCI is concerned with
the first degree in law, while the post-graduate and research studies are under
universities, and hence these come under the purview of the UGC.
Specialised agencies for promotion of research

A number of bodies have been set up outside the framework of the university
system to direct and support research. The Council of Scientific and Industrial
Research (CSIR), under the Department of Science and Technology, is a planning
and coordiriating body operating through a chain of national laboratories and
institutions. The Council undertakes and supports pure and applied research,
provides junior and senior fellowships, funds research projects and maintains a
record of scientific and technical personnel. Similar functions are performed by
Indian Council of Social Science Research (ICSSR) in the field of Social Science;
Indian Council of Historical Research (ICHR) in the field of historical studies;
Indian Space Research Organisation (ISRO) in the area of space research, etc.
Among the above agencies, the ICSSR has a few branches at the regional level.
9
Stmcture of Higher To sum up, the organisation of higher education in India is a complex one. The
Education
type of universities normally included are - Central universities, State universities
and deemed- to-be universities. Some ofthem fall within the purview of the UGC,
while the others are looked after by the different agencies working under the
respective Min istries. The various Ministries and their specialised agencies are
involved with professional higher. education in the country. However, there are
certain specialised agencies like CSIR, ICMR, ICHR, ICSSR, ISRO, etc. which
have the overall responsibility of planning and coordinating high quality research
in their respective specialised areas.

Note: Answer your questions in the space provided below.
1) What are the affiliation criteria that a college has to fulfill before it is
granted the status of affiliated college by a university?
2) Following are the few statements on the management system of higher

education institutions. Examine each statement and identify whether it
is true or false
a) The Regional Engineering Colleges and IITs which have
departments of Humanities and Social Sciences function under the
purview of the UGC.
b) The All India Medical Council determines the minimum standards
of medical education that are necessary for granting medical
degrees.
c) The post-graduate and research studies in law come under the
overall council of the All India Bar Council.
4.5 UNIVERSITY PROGRAMMES AND

SCHEDULE
.Academic year
In India the academic year usually begins in June or July and ends in March or
April. Institutions located in mountainous areas (about one or two per cent of the
total) follow a different schedule, beginning in March and going on to December.
In most universities, which follow all annual examination pattern, the academic
year is divided into three terms. An increasing number of universities are now
convening to tile semester system. There is no organised teaching during summer
vacations. The accepted norm is that of 180 actual teaching days during the
academic year, but it is not always attained.
10
Medium of instruction Higher Education
In case of the professional courses, and subjects in the Science; the medium of Basis at Macro Level
instruction is almost exclusively English. In the Arts, Humanities, Social Sciences
and Commerce faculties it is both English and the regional language. At the
postgraduate level instructions are usually in English and the regional language.
Educational programmes
The educational programmes generally involve study of a fixed number of course
with little flexibility, at least at Bachelor's level. In the case of liberal education
a student usually takes four subjects in the first year, three in the second, and one
(Honours degree) or three (General or Pass degree) in the third. There may be
restrictions on the subjects that can be chosen. For example, subjects of the
Science stream cannot be taken with those of Arts and Humanities (exception
Mathematics and Geography), and
Within the Science programme it is usually not permissible to take Mathematics

and Physics with Botony or Zoology. The professional courses (except Medicine)
follow the semester pattern. However, efforts are underway to accord greater
flexibility.
Admission
For securing admission to undergraduate programmes in universities a student
needs to have passed a senior secondary school examination taken after twelve
years of schooling. This includes the Senior School Certificate. Examination of
the Central Board of Secondary Education, or the Indian School Certificate
Examination or a Senior Secondary Certificate Examination conducted by one
of the State Boards for Secondary Schools in India. However, adult learners who
have not passed these examinations can obtain admission to programmes of open
universities after passing an entrance examination.
Admission to non-professional colleges is usually not difficult, except in the

case of some selecte~ colleges in metropolitan towns where there is a strong
competition. Entry into professional colleges, e.g. in Medicine, Engineering,
Pharmacy, Dentistry, Architecture, Management or Agriculture is much more
difficult because of the limited number or seats available, and is generally based
on a separate admission test. Admission tests for the seven Indian Institutes of
Technology, the six Indian Institutes of Management, and the All India Institute
of Medical Sciences at Delhi and Post Graduate Institute of Medical Education
& Research, Chandigarh are the most competitive.
At the postgraduate level, admission is restricted and only the above-average

students can hope to get admission. Certain institutions, because of their
reputation, are more sought after than others. In a recent development, some
universities have started their own tests for admission to postgraduate classes.
Admission to M.Phil courses, which were started in the 70s, as pre-Ph.D

programme, is competitive. About 50 per cent of universities have instituted this
course which until recently was the minimum qualification for appointment as a
lecturer. In the M. Phil programme there is an emphasis on course work of
advance-level, thougha dissertation is also required.
11
Structure of Higher Students are admitted to Ph.D courses on satisfying their supervisors as regards
Education
their competence and genuine interest in research. The admission is approved by
the board of studies, in some cases on the recommendation of a Research
Committee, and approved by the Hoard of Teaching and Research of the
University. During the last decade there has been a spurt In Ph.D minimum
qualification for appointment as lecturer or for further promotion for those who
are already lecturers. To ensure (Lecturership) and to pursue research: , the, UGC
and the CSIR now conduct ajoint selection, the National Eligibility Test (NET),
twice a year. At the state-level there are State Eligibility Tests.
4.6 FINANCING HIGHER EDUCATION IN INDIA

The pattern of financing higher education closely follows its organisational
structure elaborated in the previous 'sectious. The financial support to a university
is provided through different sources and channels. Let us first discuss the sources
of university finances in India.
Source of Funding
The income of a university in India, is derived from the following sources:
i) Grants from the Central Government;
ii) Grants from the State Governments;
iii) Contributions from students' fees;
iv) Endowments, donations, etc; and
v) Financial support from different specialised agencies
A general trend that seems to have emerged over the years is the decline of
income of universities from all sources other than the Government. At present,
more than three-fourths of the total income of the universities comes from the
governmental sources. Consequently, the share of contribution to university
finances from other sources such as fees and donations, has declined. Donations
are, by definition, voluntary contributions, and therefore, the public .authorities
cannot exercise coercive measures to increase contribution from this source.
The student fee on the other hand, is a compulsory payment. The share from this
. source has come down, primarily because the fee structure and the amount of
fees levied on students have remained almost unaltered. As noted earlier, the
major share of the expenditure is from the public exchequer. And the funds from
this source are given in the form of grants channeled through different agencies.
Let us see the nature of grants and the channels through which they flow to
universities. A development of recent years is the reluctance of Governments -
Central and State - to loosen their purse strings for higher education because of
the globalization and privatization trends. This has encouraged private providers
to step in.
Channels of funding
The development of university education in India is the joint responsibility of
the Central Government and the State Governments. As mentioned above, there
are four types of institutional structures within the university system in India i.e.
Central universities, State universities, Deemed-to-be universities and Institutes
of National Importance. Of these, the central universities, deemed-to-be
12
universities are largely funded by the federal government and the funds are Higher Education
channeled through the UGc. The institutions of national importance and the Basis at Macro Level
National Open University are directly funded by the Central government.
The responsibility for maintenance of State universities, lies with the State
governments. However, they get grants from the Central government channeled
through specialised bodies like the UGC in the area of general higher education,
the ICAR in the area of agricultural education, the ICMR in the area of medical
education, and so on, which are set up for this purpose. In fact. the mechanism
and pattern of grant allocation reveals the existence of centre-stale relations in
the field of higher education .
Types of grants
It is always interesting to look into the types of grants received by higher education
institutions in the country. The State government grant to the universities can be
grouped into three different heads:
i) MaintenancelBlock Grants: These grants are basically for the day-to-day

functioning of the institutions. Salaries of the teaching and non-teaching
staff constitute the bulk:of the maintenance grant given to a university. These
grants are determined by the State governments for a specified period and
in general, are subject to increase on account of rise in costs. The quantum
of grants on this account is based on the net deficit of the university, on
approved items for the previous year on the one hand, and the increase on
account of rise in costs, on the other.
ii) Non-recurring Grants: These grants are normally used for buildings,
equipment etc. In general, land for a university is given by the State
government.
iii) pevelopment Grants: These are meant for the new schemes sponsored by
¥he federal/state governments and a university generally gets these grants
on a matching basis for various activities by the UGc.
The Central govenunent provides grants to universities and colleges for general
education, and are for the development purposes, which are channelised through
the UGc. Most of these grants are on a matching basis i.e. the UGC provides
only part of the total expenditure required for a scheme. The relative shares of
federal and state governments vary according to the schemes. The federal share
in general education varies between 05% to 100%. For example, for programmes
like development of a post-graduate department or a center of advanced studies,
the UGC assistance may be on a 100% basis, while, for schemes like the
construction of staff quarters and student hostels, the UGC shares come around
50% of the cost. The UGC also make provisions, from time to time, for faculty
development programmes like those which enable teachers to participate in
refresher courses, summer institutes, academic conferences, etc.
One major problem regarding the Central funds channeled through the UGC, is
that these grants are meant for developmental purposes initiated during a plan
period. The continuation of these schemes, after the plan, becomes the
responsibility of the State and many a time the State government finds it difficult
to continue funding the activities which were initiated with the UGC assistance.
13
Structure of Higher An analysis of expenditure of the universities, over the years, shows that the
Education
salaries for teaching and non-teaching staff accounts for nearly two-thirds, of the
total recurring expenditure. This share has increased over the years, which implies
that share of expenditure on equipment, libraries, sports and games etc., has
come down. This trend has serious implications for the quality of higher education
in India.

3) Specify different sources of income of a university in India
•
4) Critically reflect on the scenario likely to emerge in the absence of

government funding to Universities.
4.7 ROLE AND FUNCTION OF THE UGC

As we have seen, the UGC plays an important role in the development of higher
education in the country. Hence, it is necessary to learn more about this body. In
this section, we will discuss in detail, the role and functions of this organization.
What is UGC?
The need for a central level agency to coordinate affairs in higher education was
found long age. The Calcutta University Commission (1917-19), suggested the
creation of a body which would disburse funds, collect and disseminate
information about universities and maintain liaison with foreign universities.
The Sargent Report also echoed these suggestions and recommended setting up
of a British-type University. Consequently, in 1945, a University Grants
Committee was constituted. It was essentially meant to deal with the then existing
central universities. After two years, the committee's scope was
expanded to include all the universities. The committee had no funds of its own
and hence the allocation of grants was not its primary responsibility. The
University Education Commission (1948-49), recommended that the UGC should
be empowered to allocate funds rather than remain merely a recommendatory
body.
14
The Union Ministry of Education suggested a Central Council of University Higher Education
Education with all the functions of the UGC, except the financial responsibilities. Basis at Macro Level
However, the state ministries and the Vice-Chancellors' Conference of 1953,
unanimously recommended the setting up of the University Grants Commission
(UGC). Consequently, the UGC started functioning from December 1953. The
UGC Act was passed by the Parliament in 1956. According to this Act, the major
responsibilities of the Commission are two-fold:
i) the promotion and coordination of university education; and

ii) the determination and maintenance of standards of teaching, examination
and research in universities throughout the country.
Specifically, the major objective of the Commission is to undertake in consultation

with the universities and the concerned statutory council, all such steps as it may
think appropriate for the "promotion and coordination of university education
and for the determination and maintenance of standards of teaching, examination
and research in university ... " ,
The Commission is assisted by a Secretariat which is a semi-profession body.

The Secretariat consists of one Secretary, Additional Secretaries, Joint Secretaries,
Deputy Secretaries. Under Secretaries, Education Officers and Officers dealing
with finance and accounts. The UGC has also established Zonal regional offices
at Hyderabad, Pune Ghaziabad and Calcutta to facilitate the allotment of funds
to colleges those are headed by an officer of the rank of Joint Secretary.
The UGC plans are basically an aggregation of plans prepared by the Universities.
Before the formulation of each five year plan, the UGC sends circulars to
universities and its constituent colleges requesting them to propose their.
development schemes for the next plan. The circular also indicates some priority
programmes which the Commission intends to pursue. Keeping the UGC schemes
and the requirements of the universities in view, the universities/colleges prepare
the plan and submit them to the UGc. The UGC examines these plans and,
taking into account the resource available, makes suggestions on the development
plans of the universities; .and the universities are, subsequently, requested to
revise their plans accordingly. An aggregation of such revised plans become the
five-year plan of the UGc. The UGC also sends visiting teams to the universities,
and at times to colleges, to assess their developmental requirements.
Functions of the Commission

The union government attempts to fulfill its constitutional obligation for higher
education mainly through the UGC. The UGC takes caMof the general higher
education in Arts, Science, Commerce and professional education provided in
the faculties of the universities. Its functions in general are confined to promotion,
coordination, determination and maintenance of the standards of higher education.
Its provides funds for improvement of physical facilities, recruitment of ,staff,
purchase of books and equipment, development of libraries and laboratories and
for the varied programmes designed to raise academic standards on all-India
basis.
More specifically, the functions of the Commission can be stated briefly as

follows:
• to asses the financial needs of the universities;

15
Structure of Higher • to allocate various forms of funds through grants;
Education
• to advise any authority on the establishment of a new university or the
expansion of existing one. However, it may noted in this context that there
are instances where the Commission is not consulted while establishing the
universities at the State level. A new Act has been framed in this regard. In
such a case the UGC is prevented from providing to the university assistance
for a specified period;
• to collect and disseminate information on all matters pertaining to university
education in India;
• to decide on standards and recommend measures necessary to improve
university education in India
The UGC has introduced various faculty improvement programmes which

provide opportunities to teachers to keep abreast with modem developments in
their fields undertake research and exchange ideas with experts in their subject
areas and other related fields. These programmes aim at improving the
professional competence of teachers and to make them better equipped so that
they can offer higher quality instructional programmes, and thus ensure high
standards. It organizes summer institutes, seminars, refresher courses, academic
staff orientation shemes, academic teachers. At times, it provides travel grants to
teachers to travel abroad for conferences or seminars. The UGC has also instituted
National Fellowships, scheme for National Lectures, Visiting Professors/Visiting
Fellow scheme and Associateships to provide opportunities for teachers engaged
in research to visit and work for short periods in various advanced centres or
institutions.
Quality assurance
The responsibility of quality assurance in higher education lies with the University
Grants Commission and Statutory Councils like the All India Council for
Technical Education (AICTE). The UGC established in 1994 the National
Assessment and Accreditation Council ((NAAC) that undertakes institutional
evaluation of universities and colleges. For quality assurance in technical and
management education the All India Council for Technical Education (AITE)
set up, also in 1994, a National Board of Accreditation (NBA) which undertakes
programme valuation. The Distance Education Council, Indira GandhiN ational
Open University (DEC-IGNOU) has the responsibility of monitoring quality in
distance education programme.
The Government oflndia has set up a number of Councils to monitor professional

activity in different professional areas. The Councils also regulate higher education
in their respective areas. These statutory Councils are of two types:
Those with both funding and regulatory powers relating to education e.g., All
India Council for Technical Education (AICTE), Council of Architecture 9CA),
Pharmacy Council of India (PCI), Indian Nursing Council (INC), Bar Council of
India (BCI), Dental Council oflndia (DCI), Medical Council of India (MCI), the
National Council for Teacher Education (NCTE), Central Council for
Homeopathy (CCH), Central Council oflndian Medicine (CCIM), Rehabilitation
Council of India (RCI) and veterinary Council of India (VCI).
16
Higher Education
4.8 ADMINISTRATION OF HIGHER EDUCATION Institutions: The Structural
Basis at Macro Level
AT THE STATE LEVEL
Administrative structure at the State Level
There is no uniform pattern of administration of higher education at the State
level in India. The administrative structure also varies among States. Usually
there are three different structures dealing with educational administration at the
State level. They are:
i) The Secretariat;
ii) The Directorate;
iii) The Inspectorate
Among these, the former two structures are important so far as higher education
is concerned.
The Secretariat is headed by the Education Secretary. Some States have only one
Education Secretary who is responsible for all levels of education. Some States,
on the other hand, have two or more Secretaries looking after the different levels/
sectors of education. In States where there is only one Education Secretary, there
are other functionaries such as Special Secretary/Deputy Secretary, exclusively
dealing with higher education. .
At the union level, only general and technical education fall under the purview
of the Secretary for Secondary and Higher education, Professional education is
looked after by the Secretaries of the respective Ministries i.e., agricultural
education is under the purview of Secretary to the Ministry of Agriculture, medical
education under the responsibility of DepartmentiMinistry of Public Health, etc.

5) As per the Act, what are the two major responsibilities that have been
vested with the UGC? Give your assessment of the performance of
these responsibilities by the UGc.
A few States (Andhra Pradesh, Tamil Nadu, Madhya Pradesh and West Bengal)
have established Higher Education Commissions of which the Chairman is the
Education Minister. An eminent educationist serves as the Vice-Chairman. The
responsibilities of the Commission are:
i) improving the organization and promoting higher education in the State;

and
17
\
Structure of Higher ii) determining and maintaining the standards of teaching, examination and
Education
research in the universities of the state.
The functions of the Commission are similar to that of the UGC at the national
level.
Generally, all the states have directorates of higher education. There are, normally,
two directorates dealing with higher education such as directorates of collegiate
education and directorates of technical education. Each of these directorates is
headed by a director, who takes care of the administration at the collegiate and
technical education level.
Administrative structure at the university level

Universities in India are autonomous institutions. They have their own
administrative structures and management styles. The President of India is the
Visitor of all Central Universities, except the Vishwa Bharati, where the Prime
Minister is the Visitor. In case of State universities, the Governor of the respective
State is the Chancellor. Both the Visitor and the Chancellor, normally do not
have any administrative role in the day-to-day functioning of the University.
The Vice-Chancellor is the most important functionary who is the chief executive
and academic authority of a university. He/she exercises general control one,
and supervision of, the overall functioning of the university. He/she has a
secretariat-the Registrar of the university supervising its work. In certain
universities where academic programmes are. diverse and where the student
strength is large, one may find posts of Pro-Vice Chancellors. There are also
DeanslDirectors of Studies/Schools and Heads of Departments/Centres. Normally,
in most of the universities the Deanship and Headship are available on a rotation
basis. There are certain statutory bodies available in the university structure, for
formulating policies and making roads to implement policies. We will discuss
this in detail in the later unit of this block.
4.9 SUMMARY
In recent years, a lot of pressure has been exerted on the higher education system
in India at two levels. First, to accommodate the increasing numbers of student
population and, secondly, to maintain the quality of education imparted through
the system. These two aspects are always linked with the effective and efficient
management system. In this unit, we began our discussion with the types of
higher education institutions available in the country. As of September 2003,
there were 322 universities including 64 deemed-to-be universities, l3 institutions
of national importance and over 12,000 colleges (excluding junior/intermediate
colleges), both government and private managed, which are responsible for
imparting higher education in the country. We have discussed the broad categories
of tertiary level institutions available in the country like the central university,
the state universities and the institutions of national importance. We have also
identified certain other institutions which are exclusively meant for imparting
higher education in the country. There are certain ministries and agencies which
are concerned with higher education. cThese include ministries like-human
resource development, agriculture, health, law, etc., and agencies su-h as- UGC,
CSIR, ICSSR, ICHR, ICAR and ICMR.
18
The above mentioned organizational structure is closely associated with the Higher Education
financing pattern available in higher education. The sources of income for higher Basis at Macro Level
education are generally based on the grants by the federal and state governments,
student fees, endowments, donations, etc. Over the years, higher education, other
than the government support for higher education has been declined. The Union
and state governments are the major contributors to the funding of higher
education. These funds are channelized to the institution of higher learning in
the form of grants like maintenance/block grants, non-recurring grants,
developmental grants etc. In this context, the UGC has an important role to play.
Hence, we have discussed in detail, its organizational structure, functions and its
responsibilities for the qualitative improvement of the higher education system
in the country. Lastly, in this unit, we highlighted certain aspects of the
administrative structure of the higher education system at the state and university
levels. In unit 3 and 4 of this block, we will discuss in detail, the university
structure and its importance in the higher education system in the country.
4.10 SUGGESTED READINGS

1) Beteille, Andre (2010) Universities at the Crossroads; Delhi: Oxford
University Press.
2) Beteille, Andre (2000) Antinomies of Society; Delhi: Oxford University Press.
3) Powar, K.B.(eds.)(1998), State Funding of Higher Education; New Delhi:
Association of India Universities.
4) Power, K.B.(2002), Indian Higher Education: A Conglomerate of Concepts,
Facts and Practices; Delhi: Concept Publishing Co.
5) Singh, Amrik and GD. Sharma (eds.) (1989) Higher Educationin India:
The Institutional Context; Delhi: Konark Publishers Pvt. Ltd. '
,\.\
6) Singh, Amrik (1988) "Foundation and Role of UGC" in Amrik Singh and
GD. Sharma (Eds )., Higher Education in India: The Social Context; Delhi:
Konark Publishers Pvt. Ltd., pp.234-51.
7) World Bank (1994), Higher Education: The Lessons of Experience;
Washington DC: The World Bank.
19
UNIT 5 mGHEREDUCATIONINSTITUTIONS:
GOVERNANCE AT UNIVERSITY
LEVEL
Structure
5.1 Introduction
5.2 Objectives
5.3 Universities in India
5.3.1 Tertiary Education in India: The Spectrum of Institutions
5.4 Models of Universities
5.5 University as a Unique Social System
5.5.1 A Self-governing Community of Scholars
5.5.2 A Community of Equals and Unequals
5.5.3 Role of Dissent and Discipline
5.6 Governance of university: Some Basic Tenets
5.6.1 Autonomy: The Two Dimensions
5.6.2 Internal Democracy and Participative Management
5.6.3 Accountability and Public Audit
5.6.4 Academic Leadership: Being First Among Equals
5.6.5 University Management as Management of Creativity
5.7 Summary
5.1 INTRODUCTION
In the Unit 4 of this block we have already given you a macro-view of the types,
financing and structure of higher education in India. By describing the overall
structure of universities in India, the present unit will give you information and
analyse the characteristics of university as a community, and deduce from this
analysis the basic tenets governing university management.
There are several avenues open to students passing out of higher secondary classes
for education at the tertiary level. Only a few among such avenues constitute
higher education. Even in higher education, there are several types of institutions
serving distinct purposes. We will, in this unit-discuss the structure and functions
of most of them. We have several notions as to what universities should be like.
These notions have evolved out of our exposure to what a modem European
University has been like. How far do these notions hold good with regard to
Indian Universities? We will examine this question. Finally, in this unit, we will
try to deduce from the basic characteristics of a university, and a set of principles
governing university governance.
5.2 OBJECTIVES
By the end of this unit, you should be able to:
• describe the structure and functions of various types of universities in India;
20
• explain the characteristics of a university as a unique social system; and Higher Education
Institutions: Governance at
• identify the basic tenets underlying university governance. University Level
5.3 UNIVERSITIES IN INDIA

In this section, we will try and see what goes in the name of university education
in India. We will first attempt to differentiate university education from other
forms of tertiary education. For this purpose, first of all we need to enumerate
the whole range of institutions that cater to tertiary education in India.
5.3.1 Tertiary Education in India: The Spectrum of Institutions

First of all, let us discuss what is meant by tertiary education. As you must be
aware, tertiary education refers to post-secondary education. An individual
graduating from higher education stage has several alternative paths to choose
from. He/she can discontinue education, seek admission to a post-secondary
level institution, seek a job, and so on. A good deal depends upon the resources
that he/she has. In the Indian context only a few are able to enter and are able to
complete ever higher secondary stage. Bulk of the young persons enter the "world
of work" in many cases after remaining unemployed for long stretches of time.
Only those few who, because of their social and economic background or
scholarships, can postpone this predicament for a few more years and elect to
continue with their studies. And the institutions they enroll in and the courses
they study are the one which constitute what is known as tertiary education;
Tertiary education is not another word for higher education. Higher education is
a form of tertiary education, although not all tertiary education is higher education.
For instance, there are a number of institutions such as polytechnics offering
non-degree programmes in the various branches of engineering, motor mechanics,
air conditioning, nursery identify the basic tenets underlying university governance
teaching, commercial art, garment designing, and so on. There are also similar
institutions offering programmes in areas like nursing, pharmacy, hotel
management, catering, secretarial practice, interior decoration, printing, and
beauty-culture. All these courses are meant to prepare people for middle-level
occupations. They are usually not counted as higher education, although they do
constitute an important segment of tertiary education. Higher education is the .
other segment of tertiary education, which usually refers to education being offered
in institutions leading to graduate and post-graduate degrees and institutions
preparing people with higher-level skills, knowledge and competencies.
Institutions in this category range from undergraduate degree colleges, medical,
law, veterinary, agriculture, engineering, nursing and secondary teacher training
colleges to post-graduate departments on university campuses, management
institutions, postgraduate institutions in agriculture, engineering and medicine,
and centers of advanced study and research.
5.4 MODELS OF UNIVERSITIES

Powar (2002) has drawn attention to the fact that in terms of traditions, objectives,
organizational structures, disciplines taught and source of funding the Indian
universities vary considerably. They represent different 'models' including:
21
I
)Structure of Higher • The Humbolditan Research University Model, in which there is emphasis
Education
on graduate teaching and research, and a close interaction between these
two functions for their mutual enrichment. Typical examples are the Berlin
University in Germany and amongst others, Stanford and John Hopkins in
the United States. In India university level institutions that approach this
model include the Indian Institute of Science, Bangalore and the University,
of Hyderabad, Hyderabad
• The British Residential University Model, or the 'Oxbridge' Model that

stresses close formal and informal contact between teachers and students
through classroom lectures, tutorials, seminars and other forms of personal
contacts. The British examples are Oxford and Cambridge Universities. In
India these ideals are being sought to be met in the single-campus universities
like Jawaharlal Nehru University, New Delhi and the Banaras Hindu
University, Varanasi. '
• The French Grades Ecoles Model, imparting elitist, professional education,

mainly science and technology, to the most talented, and intellectually select,
students. The Indian counterparts are the Indian Institutes of Technology
and the Indian Institutes of Management.
• The Chicago Liberal Education Model, launched by Hutchins at the

University of Chicago, which has a strong liberal arts orientation that places
emphasis on the development of independent and critical thinking. A few
Indian institutions like the Banasthali Vidyapeeth in Rajasthan, and the St.
Stephen's College in Delh probably replicate this model.
• The Affiliating University Model, based on the University of London of the

nineteenth century, wherein there is a central campus for postgraduate studies,
and research with a number of affiliated colleges spread over the university
area. In spite of an oven central control, the standard of education imparted
by the colleges vary considerably. There are about 120 universities in India
that are based on this model.
The Agricultural University Model, developed on the lines of the land-grant

colleges, of the United States, that concentrate on agricultural studies,
including forestry, horticulture and veterinary sciences. The utilitarian
approach is exemplified by a strong emphasis on extension services. There
are presently around 70 agricultural universities in India.
• The Professional University Model, that provides for higher education is

one of the professional areas like engineering, and medicine and health
services and law. This is a new trend that seeks to separate education in the
professional subjects from the mainstream of higher education. Examples
are the Birla Institute of Technology and Science, Pilani, the Maharashtra
University of Health Sciences, Nashik and the West Bengal National
University of Judicial Sciences, Kolkatta.
• The 'Deemed University' Model, by which institutions noted for their

noteworthy contributions in specialized subjects or disciplines, are granted
the status of universities. Examples are the Deccan College Post-Graduate
and Research Institute, Pune, the Manipal Academy of Higher Education,
Manipal.
22
• The Open University Model, that provides education through the distance Higber Education
mode, to those denied access; and promotes the concept of lifelong education University Level
for all. Typical examples are the UK Open University, Milton Keynes and
the Indira Gandhi National Open University, New Delhi.

1) What do you understand by tertiary education? Give examples to
substantiate your answer .
...............................................................................................................
2) Discuss the different models of universities stating your preference of a

particular model.
5.5 UNIVERSITY AS A UNIQUE SOCIAL SYSTEM

Universities in India today, as we found in the earlier section, have come into
existence as a consequence of a certain set of socio-historical circumstances.
They are, by and large part of India's colonial legacy. They were meant to serve
certain specific, functions, structurally linked to political economy of a colonized
society. The circumstances have changed drastically since India gained
Independence. The Indian university education has grown into a mammoth
system. The universities, however, continue to function sub-optimally. They retain
some of the structural characteristics which are anachronous in modem times;
these structures are mere vestiges of the colonial pattern rather than in tune with
the needs and conditions of a modem India. While the basic human and societal
ideals that university stands for remain largely unaltered, they may have acquired
newer dimensions and meanings, given the Indian reality which again is in a
state of flux. We will, in this section, examine some of the characteristics
associated with the university system.
5.5.1 A self-governing Community of Scholars

One basic notion that we have about university is that it is primarily a self-
governing commuity of scholars. This notion has three premises underlying it.
One, that university comprises of scholars. Two, that university constitutes a
community. Three, the community that comprises university is self-governing.
23
Structure of Higher We will try and articulate these three premises and examine as to what extent
Education
they hold good, and what improvisations they have undergone in their rather
problematic interaction with the Indian reality.
The contention of the first premise is that university is essentially a community

of scholars having congregated for a certain basic purpose. Since this community
is of scholars, the purpose of their congregation is scholarship; this is, perhaps,
more a truism than a fact. If we may explicate this purpose, we will find that the
purpose of the congregation is generating, acquiring and sharing knowledge.
The community comprises teachers, students and administrators of these
categories the first are essentially scholars, since their basic purpose is scholarship.
For the teachers, a university is a place where they generate new knowledge and
share it with their professional peers and students. For the students, it is a place
where they acquire knowledge. The relationship between these two categories
of scholars is symbiotic. Teachers are the primary sources of knowledge for
students; students are often the main inspiration of inducing teachers to articulate
the knowledge they have generated or acquired through communication with
their professional peers.
The second premise is that university is first and foremost a community, in the
sense that it has a certain physical manifestation similar to a community. It is,
thus, assumed that scholars, here the students and teachers, share a community
life; they live on a single physical context, a campus. They are in constant
interaction, and that their interaction is organic to the basic fabric of the campus.
The third premise is that the university community is self-governing. Here one
must add a qualifying rider. They govern themselves, of course, within the
framework which the society or the State determines. Within the broad framework
of the societal mandate, the university community determines the specific
directions it takes and the manner in which it should discharge its social
responsibilities.
When we juxtapose these three basic premises on the Indian reality, we must
bear in mind that there is nothing like one Indian reality. A lot of what these
premises imply fit in snugly with a few Indian universities, while there may be a
few which only remotely fit in this framework. We must, therefore, emphasise
on what the majority of the institutions are like.
We must realise that bulk of the Indian higher education is transacted through
the undergraduate colleges which are affiliated to universities. To what extent
are they acommunity of scholars? To what extent do they constitute a community?
And, how far do they govern themselves? There are no precise and unequivocal
answers to these. All the same, we could see that although many teachers on
post-graduate campuses do engage in research and actively participate in
professional communication, this is perhaps less true in respect of those affiliated
colleges. Facilities and even a general milieu supportive of scholarship are
generally found wanting there. Students also have, so to say, a bread and butter
approach to studies.
And how much of a physical reality is the so called university community? Even
some of India's better known universities situated in metropolitan cities do not
have an ideal campus. Given the housing problems in growing metropolises,
24
students and teachers commute great distance to reach the university every day. Higher Education
With their respective preoccupations concerning a middle class survival in a University Level
metropolis, their participation in the campus life becomes minimal. There are a
few universities which have vibrant campus lives; but they are exceptions rather
than the rule. In a typical affiliated college in a small town, one must expect
more scope for greater interaction of students and teachers. However, in most
colleges there is minimum residential facility, and teachers and students stay
outside the campus, bringing down considerably the possibility of greater
collegiality and of scholarly interactions among teachers and students.
Indian University campuses have never been known for self-governance. There
have always been interventions from outside. Moreover, the self-image oflndian
university teachers has been that of civil servants rather than professionals, making
them less resistant to following governmental dictum. Academic decision-making
in unitary universities and on post-graduate campuses of affiliating universities
have been more participative than in affiliated colleges. A typical Indian teacher
in a higher education institutions, who is an undergraduate college teacher, has
very little control over professional decisions.
In spite of these distortions between what we expect notionally about universities

and what we see around us, the importance of this notion and the premises
underlying it continue to assume importance. They are ideals to be pursued;
after all, Indian university, like most social institutions, is still evolving.
5.5.2 A Community of Equals and Unequals

University community is peculiar in its composition. It is a community of equals
in one sense, and one of unequals in another sense. The community comprises
mostly two categories of scholars, students and teachers. They are equals in the
sense that the basic preoccupation of both is scholarship. They are unequals in
the sense, that the sharing scholarship among them is largely unilateral. With the
instructional methodology followed, it is always the teachers who are the givers
of knowledge, and the students the receivers. Among the teachers themselves,
there is this notion of collegiality which renders them equals. All of them are in
pursuit of knowledge and discharge their professional responsibilities in a similar
fashion. However, hierarchy among teachers, in society like India, is more or
less as rigidly observed as it is among civil servants, both in terms of
privileges and responsibilities, there are more distinctions than commonalities
among teachers of various designations.
Another important dimension of inequality in the academic community is in

terms of the social positions. In pre- Independence days, higher education in India
was more an exclusive privilege of those who belonged to upper caste groups
than presumably it is at present. However, even today the backward communities,
especially the scheduled castes and scheduled tribes "have not b=rome visible or
assumed teachers" (Beteille, 1988: 131). There is clearly a heger 0lly of higher
caste groups in Indian campuses even today.
Women on the contrary, have marked their presence rather visibly on Indian
campuses, especially in contrast to the discrimination they suffer in other walks
of life. However, it must realized that those women who come for higher education
or who join the faculty ate predominantly from the middle class. "The way in
which marked contrast to the continuing gap between the upper castes and the
25
Structure of Higher lower, or between the middle class and other social classes exists, it tells us a
Education
great deal about how far the universities can go in the creation of equality, but it
also tells us something about the ways in which discrimination operates in the
larger society". So far we have been discussing the question of equality, within
academic communities, that is within a university. or within a college. Let us
now turn to the question of equality between institutions. There are different
kinds of institutions of higher learning in India. There are undergraduate affiliated
colleges in small "mofussil" towns, there are also the elite colleges in metropolitan
cities. There are post-graduate departments in some affiliated colleges. There
are also the prestigious ones in some of the unitary universities. There are small
teaching shops in the name of engineering and medical colleges in some of the
states opened by certain enterprising people thriving on 'capitation fees'. There
are also Indian Institutes of Technology and the All India Institute of Medical
Sciences. The kind of education students get in these institutions vary; the kind
of course, the capitation fee for our medical course includes charges for a passport,
visa and emigration formalities.
The facilities the teachers get for their own professional development also vary.
And the way students and teachers distribute themselves among these institutions
vary also along class, caste and gender line.
5.5.3 Role of Dissent and Discipline

Academic community is vested with the responsibility of generating knowledge.
Knowledge generation, we must appreciate, is not an uncritical exercise. It will.
thrive only in such a milieu which allows for a questioning tradition. Dissent in
such a milieu is an accepted practice. One has to have the freedom to disagree,
and pursue alternative paths to truth. At the same time, much of what we see
around us as research is what is known as paradigmatic, in the sense, is commonly
agreed upon concepts and theories, and follows standard methodologies. This
calls for a great deal of rigour and discipline, This interplay of dissent and
discipline is not confined to the conduct of research alone; it applies to the way
of life in an academic community. It also should apply to the way academic
institutions are managed and decisions are made.
Check You Progress 2

3) What are the premises that qualify a university to be called a self-
governing community of scholars?
26
Higher Education
4) Discuss your own opinion regarding university being a community of Institutions: Governance at
equals and unequals. University Level
5.6 GOVERNANCE OF UNIVERSITY: SOME

BASIC TENETS
We have, in the earlier section, seen some of the unique notions attributed to a
university, and also as to how they improvise themselves in their rather
problematic interaction with the Indian reality. In this section, we will try to
derive from these notions a set of tenets or principles based on which should be
devised the governance of university.
5.6.1 Autonomy: The Two Dimensions

That a university should be autonomous is widely accepted. What essentially is
the implication of this autonomy is to be examined. There are two dimensions to
this concept, one external, and the other internal. The external dimension is more
widely recognized, in contrast to the internal.
Autonomy of university is usually understood as its relative immunity as a

corporate entity from interventions from external agencies, such as the State or
one of its manifestations, the Government. This is essentially the external
dimension. It provides for the entitlement of a university to formulate its own
policies and make its own decisions, within the framework of the social
responsibilities vested in it, by the agency which has created it, viz., the State. If
we articulate this principle, it will work out to mean more freedom to make
decisions on the part of those who govern the university. In a narrow sense, it is
interpreted, as is often done, to mean that the vice-chancellor should be vested
with more powers and should be given a free hand. What is usually not considered
sufficiently in this discourse about university autonomy is the fact that university
is not a monolith; it has its own power structures. If a university has to be
autonomous as a corporate entity, it is not sufficient that its decisions are made
well within its own corpus, by say its chief executive, it is also necessary that
such decisions are sufficiently participative. Thus, internal democracy constitutes
the other side of the same coin. They are integral to the concept of autonomy
itself. The autonomy given to the university is in fact the freedom to make
professional decisions vested on a community of professionals. It should not be
presumed that immunity that top administrators of the university enjoy from the
management makes university less vulnerable to external pressures. The reality
of Indian university system is often far removed from this picture, thanks mainly
27
Structure of Higher to the practice of Vice-Chancellor's appointment directly or indirectly by
Education
the Government, larger than necessary representation from among governmental
agencies in the governing bodies of the university, and nomination as opposed to
election of whatever little teacher representation in such bodies.
5.6.2 Internal Democracy and Participative Management

Democratic functioning is integral to the basic nature of any professional group,
especially the academicians. The functional unit of an academic institution is
individual-teachers, and they ought to be making professional decisions about
the discharge of their professional functions. The very operation of a university
is such that each teacher is more or less an autonomous unit within the corporate
framework. Their role is not that of assembly-line workers. To ensure effective
academic functioning of a university, it is essential that the professional decisions
within the university are taken collectively. This is an essential component of
collegiality, which constitutes the basic dynamics of a university. Delegation of
power decisions through committee-deliberations, elected representation of
teachers in important governing bodies, decentralized decision-making, internal
debates and discussions on long-term policies - all these are essential features of
an ideal model of university governance.
5.6.3 Accountability and Public Audit

Autonomy and accountability are two sides of the same coin. Accountability
always accompanies autonomy in any social institution. It is a package-deal.
Like autonomy, accountability also has two dimensions; one external and the
other internal. If university as a corporate entity has to enjoy autonomy from
external environment, it has to be answerable to the latter about how effectively
and efficiently it is operating within the framework of the social mandate with
which it has been created. This becomes all the more necessary since university
operates on public funds, and as such public audit becomes imperative. Thus,
the functioning of the university has always to be open to public scrutiny.
Autonomy does not guarantee immunity from being accountable to public
scrutiny; intact, public audit in no way affects autonomy. It only testifies to the
professional legitimacy of the university community. However, public audit is
often used by the bureaucracy as a means to encroach upon the corporate space
of the university, and it often creates tensions between the university and the
government. All the same, the transparency of the university's corporate
functioning aids in evolving channels through which members of university
community can critically view the functioning of the university, and increasingly
provide informed participation in the university's decision- making process.
The second dimension of accountability is the internal one. It essentially means

the accountability of individual member of the university community to the
university in general. A teacher being accountable to the university does not
necessarily mean that he/she be answerable to his/her superior; it actually means
that individual teacher be accountable to the faculty, meaning the group of
teachers. This is, in fact, how most professional groups function. The decisions
of the collective are paramount in choosing specific directions in discharging
professional functions. The head of a department, dean of a faculty or a vice-
chancellor merely presides over this 'collective'. The powers vested in such offices
are merely the manifestation of the powers and see to their execution on behalf
of the collective. Giving account of what an individual teacher does is in no
28
way an infringement of his or her professional autonomy. This act merely Higher Education
reinforces the legitimacy of their professional status. Appraising the professional University Level
group, here the faculty as a collective, about one's own professional activities
from time to time is a part of the spirit of collegiality. It is an act of assertion of
the legitimacy of one's membership in a professional group; it should not be
seen as seizing one's professional autonomy. At the same time, this concept of
individual teacher's accountability often lends itself to be misinterpreted and
used as a tool to perpetuate the oppressive character of the power hierarchy in
the university community. This often leads to resistance from teachers'
organizations. Just as autonomy does not mean anarchy,accountability does not
mean oppression and tyranny.
5.6.4 Academic Leadership: Being First Among Equals

As we discussed in the earlier section, the officers of a university, whether they
be vice-chancellors, heads of departments, principals of colleges, or deans of
faculties, merely preside over a collective of teachers at various levels. The
authority that has been vested in these offices is merely the authority of the
collective. What is expected from them is academic leadership, and not merely
administration. This is, however not properly understood or appreciated by most
teachers as well as university administrators. The main reason for the
misconception is the predominant self-image of Indian academics as civil servants.
The tendency is therefore, to view officers of the university not necessarily as
leaders of the professions,but as administrators. Providing academic leadership
is a more responsible job much more delicate than merely enforcing law. Power
vested in an academic leader is that of persuasion and inspiring excellence. Power,
unfortunately, is not understood as capacity to influence people; it is often
understood in a narrow perspective as the capacity to issue sanctions. We must
make here a distinction between the academic hierarchy and the power hierarchy
in a university. Often, this distinction is so distinct, and very good teachers feel
reluctant to take up leadership roles; and those who take them up have little time
for academic growth.
It is in this context that it is asserted that academic leadership is merely being

first among equals. The spirit behind this notion was totally missed especially in
the earlier days of Indian university, when a single individual used to remain as
head of department or dean of faculty for decades. This had reinforced the feudal
nature of the university system. The rotation of these positions have drastically
reduced such tendencies. There is also this new trend viewing universities in a
corporate perspective, like an industry viewed. Administrative practices have
been seen scrutinized in the light of practices in corporate management. The
analogy of industry is not really very accurate in this regard, especially because
it views the system in a mechanistic fashion, whereas university as an organisation
involves a great degree of autonomy and creativity at the level of its functional
units, viz., teachers. The merit of this influence of corporate management in
university administration is only that there is a chance of the latter becoming a
little more participative.
5.6.5 University Management as Management of Creativity

As we discussed earlier, the role played by individual teachers in the academic
functioning of the university is not really that of an assembly-line worker of a
production unit. There is considerable amount of autonomy in the functioning of
29
Structure of IUgber each teacher, 'and an element of creativity is involved in it. Unlike in most
Education
corporate organizations where each functional unit faithfully carries out pre-
defined and assigned functions, in a university the functional unit, viz., individual
teacher, enjoys considerable freedom in interpreting the curriculum, and planning
and executing its transaction. The teacher is often given only general guidelines
in selecting syllabus. The space enjoyed by the teacher within the academic set-
up normally gives scope for creativity.
The role to be played by university leadership, therefore, is to essentially manage

the organizational climate in such a manner that this element of creativity is
fostered and reflected in the academic functioning of the university. Leadership
provided by College Principals, Heads of Departments, etc. should not confine
itself to merely enforcing regular attendance of faculty. Teachers ought to be
given a little 'elbow room' within the organizational arrangement to enable
creative choices. This, needless to say, does not imply anarchy. It only emphasizes
individual professional space within the milieu of collective functioning.
Academic institutions will do well to foster collective functioning through
seminars, and debate and discussions on academic policies of the institutions.
This, in fact, is yet another dimension of collegiality. Managing creativity is of
course a problematic proposition. Creativity also brings with it certain
idiosyncrasies. University management may have to cope with this as well.
5.7 SUMMARY
We have accomplished three major things in this unit: one, we have made a
distinction between tertiary education as a generic category and higher education
as a specific category, and we have discussed the structure and function of various
types of universities in India; two, we have articulated the unique characteristics
of university as a community, and explicated certain popular notions about it,
examining the way they have improvised themselves in their problematic
interaction with the Indian reality; and three, we have tried and deduced from
these above notions certain basic tenets or principles of university governance.
These are essentially meant to give you a perspective regarding the dynamics
underlying university management and the role of teachers in it. Not all that is
presented here may be in practice in the university environment you are familiar
with. This perspective will nonetheless help you view the situation critically.
Unit end activities

1) Critically examine the 'autonomy' and 'accountability' criteria that are being
followed in a university or a college that you are familiar with.
2) In the light of managerial principles that have been discussed in this unit,
suggest certain performance criteria, as to what kind of intervention is
necessary to improve the overall performance of the institutions.
Points for discussion

1) The problems of management in any higher education institution have always
been linked with the degree of participation of teachers in the decision-
making process and the implementation of the decisions taken. How far is -
this tru~ in the context of the higher education institution that you are familiar
with? What mechanisms you would like to suggest to improve the
participatory management in your own institution. -
30
mgher Education
5.8 SUGGESTED READINGS Institutions: Governance at
University Level
I} Singh, Amrik and GD. Sharma (eds.) Higher Education India: The Social
Context, Delhi: Konark Publishers
2} Bhalla, Y., Rai Negi U. and Panda, S. (eds.) (1999) Accountability and
Autonomy in Higher Education, New Delhi: Association of indian
Universities.
3}- Bok, Derek (1982) Beyond the Ivory Tower: Social Responsibilities of the
Modem University, Cambridge, Mass: Harvard University Press.
4} Brubachery, John S. (1982) The Philosophy of Higher Education. San

Francisco: Jossey-Bass.
5} Perkins James A. (ed.}(1973) The University as an Organisation. New York:

McGraw Hill.
, 31
UNIT 6 HIGHER EDUCATION
INSTITUTIONS: GOVERNANCE'·A.T
COLLEGE LEVEL
Structure
6.1 Introduction
6.2 Objectives
6.3 Colleges in India: A Historical Perspective ' ,
6.3.1 Recommendations of VariousCommissions During Pre-independence Period
6.3.2 The post-independence period
6.3.3 Recent Developments
6.4 College Administration in India
6.4.1 Types of Colleges
..
6.5 Funding of Colleges
6.6 Let Us Sum Up
6.1 INTRODUCTION
The higher education system of India has witnessed impressive growth since
independence. From 20 universities and 500 colleges in 1947 there are 544
universities and other institutions of national importance and 31324,colleges,
with more than 20 million students. However, even this size of thy)l.bigher
education system has proved to be grossly inadequate, as only about 12.percent
of the student population in the relevant age group has access to higher education
of any kind. Further, higher education provisions are not only inadequate, they
are also iniquitous.
While colleges bear the maximum load of tertiary education, they remain the .
bottom rung in the hierarchy of decision making. You would have also noticed
that most of available literature on management of higher education is engaged
with management at 'macro' level, or at university level. Not much attention
seems to have been given to the management of colleges, which is ironical,
considering that it is education at college level that prepares the ground for higher
studies and research. If colleges fail to impart quality education, it will have a
direct bearing on the quality education at postgraduate level as well as on research.
Are we not observing this phenomenon already?
In order to understand the dynamics of higher education system, it is important

to understand how colleges work; the variety of models of colleges, existing in
the country, their structure, their funding pattern and their governance. This is
the main objective of this Unit.
Higher education has a wide spectrum and it would be difficult to deal with all
the areas in the space of a single Unit. Hence the present Unit deals onLywith
'general' (as opposed to technical) colleges, offering courses in humanities, social
sciences, commerce and science.
32
Higher Education
6.2 OBJECTIVES Institutions: Governance at
College Level.
After going
,
through this unit carefully, you will be able to :
• Describe the evolution and growth of the collegiate system;
• Describe different types of colleges existing in the country;
• Discuss the strengths and weaknesses of various types of colleges;
• Describe various patterns of funding of colleges;
• Analyze the problems faced in management of colleges; and
• Suggest measures to improve the governance of colleges.
6.3 COLLEGES IN INDIA: A HISTORICAL

PERSPECTIVE
The history of higher education in modem India (including the British period)
starts with colleges, and not universities. Prior to the establishment of the first
three universities at Calcutta, Bombay and Madras, there were several colleges
in the country, like Presidency College, Madras, Poona College, Elphinston
College, Hooghly College, etc. These colleges were autonomous institution and
enjoyed academic and administrative freedom. After the establishment of the
above universities, the colleges were 'affiliated' to one or the other university,
depending on their location. The role of the university was largely that of an
examining body. Subsequently, uniform courses were introduced in all the colleges
affiliatedto a particular university. The university conducted common
examinations in all its affiliated colleges and awarded degrees to all those students
achieving the minimum required score. This brought about a degree of uniformity
in the educational offerings by different colleges of a university. While on one
hand it helped in 'standardizing' the educational programmes and providing a
common' framework of courses of studies, it divested the colleges of their freedom.
Colleges' cbuld no longer design courses according to the local needs. The
university became the 'authority', while the college was reduced to being an
appendage of the university, with little or no freedom in matters of teaching and
" r 1
curriculum,
.. ~ policy formulation and administration.
. .
Thus, the affiliating system'
started with the establishment of the first three universities in 1957.
',.'
The affiliating system adopted in India was borrowed from a similar model
existing 'at that time at the University of London. While this model was
discontinued at the University of London in 1882, it continued in India and
continues till date.
The system of higher education that we have today, has evolved over a long
period, and has been shaped by the prevailing socio-political situation and
recommendations made by various Expert Committees constituted before and
after independence. It would be useful to briefly visit them.
, ,
6.3.1 Recommendations of Various Commissions During Pre-
Independence Period
In 1882 the/Government of India appointed a Commission, known as the Hunter
Commission, "to enquire into the manner in which, effect had been given to the
33
Strudure of Higher principles of the Despatch of 1854 and to suggest such measures as it may think
Education
desirable in order to further carrying out of the policy therein laid down". The
Commission, inter alia, recommended the gradual withdrawal of the State from
the direct support and management of institutions of higher education. With .
regard to vocational and technical education, the Commission recommended
that in the particular class of high schools there should be two avenues, one
leading to the entrance examination of the University and the other of a more
practical character intended to fit the youth for commercial, vocational and non-
literary pursuits
The recommendations of the Hunter Commission led to a rapid expansion of

higher education during the next two decades, giving rise to problems which
necessitated the appointment of a Commission on January 27, 1902, "to enquire
into the condition and prospects of the universities established in British India;
to consider and report upon any proposals which have been, or may be made for
improving their constitution and working, and to recommend such measures as
may tend to elevate the standard of university teaching, and to promote the
advancement of learning". The Commission made the following recommendations:
i) Reorganization of university administration;

ii) A much more strict and systematic supervision of the colleges by the
university;
iii) Imposition of more exacting conditions of affiliation;
iv) A much closer attention to the conditions under which students live and
work;
v) Assumption of teaching functions by the university within defined limits,
and
vi) Substantial changes in curricula and in the methods of examination.
,:
You will see that first four recommendations, made more than a century back,
are still relevant in the current higher education scenario.
In 1917 the Calcutta University Commission was constituted under the

Chairmanship of Sir Michael Sadler. This Commission held the view that the
improvement of secondary education was essential for the. improvement of
University education. The Commission made the following important
recommendations:
i) The dividing line between the University and Secondary courses should
properly be drawn at the Intermediate examination than at the Matriculation
Examination.
ii) The Government should, therefore, create a new type of institution called
the intermediate colleges which would provide for instruction in Arts,
Science, Medicine, Engineering and Teaching etc; these colleges were to be
run as independent institutions or to be attached to selected high schools.
iii) The admission test for universities should be the passing of the Intermediate
examination.
iv) A Board of Secondary and Intermediate Education, consisting of the
representatives of Government, University, High Schools and Intermediate
Colleges be established and entrusted with the administration and control
of secondary education.
Many of the universities implemented the suggestions made by the Saddler IDgher Education
Commission. It was also for the first time that a Commission had recommended CoUege Level
the attachment of Intermediate Classes to the high schools and the setting up of
a Board of Education to control High School and Intermediate Education. You
would notice that such Boards exist in most of the states e.g. Board of High
School and Intermediate Education, Uttar Pradesh, Board of School Education,
Haryana, Board of School Education Uttarakhand, Goa Board of Secondary and
Higher Secondary Education etc. Some states however have separate boards for
secondary and higher secondarylIntermediate education e.g. Bihar School
Examination Board and Bihar Intermediate Council, Andhra Pradesh Board of
Secondary Education and Andhra Pradesh Board of Intermediate Education etc.
6.3.2 The Post-Independence Period

The process of strengthening of the Indian education system was set in motion
immediately after independence, as it was clear to the policy makers that education
was the chief instrument for social and economic reconstruction of the nation. A
number of commissions were set up to study the educational system at different
levels and make recommendations for improvement.
Almost immediately after independence, the University Education Commission

was appointed by the Government of India under the chairmanship of Dr. S.
Radhakrishnan, to look into the problems of higher education and to make
recommendations for its improvement so that it could meet the aspirations of
independent India.
The Commission made important suggestions for improving the standard of

university education in the country. Some of them were:
• Introduction of a three-year degree course for the first university degree;

• Greater use of tutorial system of instruction,
• Establishment of Rural Universities
The Commission also recommended that universities should be teaching

institutions rather than being mere affiliating bodies. Thus, it did not favour the
affiliating system. The Commission also underlined the importance of
Intermediate colleges in the Indian education system.
The Commission, appointed under the chairmanship of Prof. D. S. Kothari IN

1986 was to advise the Government on the national pattern of education and on
the general policies for the development of education at all stages ranging from
the primary to post-graduate stage and in all its aspects besides examining a host
of educational problems in their social and economic context.
In respect of colleges, the Commission suggested phasing out of the affiliating

system. It was suggested that colleges having credibility and potential be made
autonomous. These autonomous colleges could develop themselves to become
deemed universities. However, the suggestion evoked lukewarm response from
universities as a result of which very few colleges were given autonomous status.
Apparently universities did not want to let go of their control on the colleges.
In 1969 another Committee under Dr. P. Gajendragadkar was appointed to look

into various issues related to governance of colleges and universities. The
35
Structure of Higher Committee highlighted the problem of affiliating universities burdened with the
Education
problem of managing large number of distantly located colleges. On one hand
universities were stressed, and on the hand colleges did not enjoy any freedom
to take decisions at their level. The Committee emphasized that the affiliating
system was not helpful to any of the partners, and advocated for autonomy of
colleges so as to facilitate decision making and encourage innovation in all spheres
- curriculum, pedagogy and evaluation.
The National Policy of Education, 1986 also supported the idea of autonomy:
'In view of mixed experiences with the system of affiliation, autonomous colleges
will be helped to develop in large numbers until the affiliating system is replaced
by a freer and more creative association of universities with colleges. Similarly, _
the creation of autonomous departments within universities on a selective basis
will be encouraged. Autonomy and freedom will be accompanied by
accountability' .
The UGC Committee on 'Alternate Models of Management' headed by Prof A

Gnanam made several recommendations in 1990. The recommendations of the
Committee were more realistic, acknowledging the fact that affiliated colleges
were so large in number, that it was not easy to phase them out. Hence it suggested
different models for their governance. Some of them were:
• A decentralized model of an affiliating university, having Regional Resource

Centres or Autonomous Regional Campuses to manage and support large
number of affiliated colleges.
• An 'exclusively affiliating' model, where the main function of the university

would be management of affiliated colleges, developing their curriculum
and framing policies of evaluation.
You may like to reflect on the suggestions made above.
6.3.3 Recent Developments

The report submitted by the National Knowledge Commission (NKC) in 2007
was more explicit on the affiliating s¥stem: .
"The system of affiliated colleges for undergraduate education, which may have
been appropriate 50 years ago, is no longer adequate or appropriate and needs
to be reformed. There is an urgent need to restructure the system of undergraduate
colleges affiliated to universities. "
The NKC has recommended the constitution of a Central Board of Undergraduate

Education along with their state counterparts which would decide the curriculum
to be followed and would also conduct examinations for undergraduate colleges.
In essence, NKC has suggested freeing the colleges from university control.
6.4 COLLEGE ADMINISTRATIN IN INDIA ,
The schematic shown below depicts the position of colleges in the educational
hierarchy. As you can see, colleges, which account for a major share of enrolment
in higher education, are at the bottom of the hierarchy.
36
Higher Education
GovemmentJRegulatory bodies at GovemmentIDirectorate of College Level
national level (MHRD, UGC/ Higher Education at
AICTEINCTEIMCI etc.) state level
Central Universities State Universities
In the previous Section you would have noted that different Commissions and
Committees have expressed concern over the efficacy of the affiliating system.
However, in spite of clear recommendations for phasing out of the system and
granting of autonomy to more and more colleges, the situation has not changed
markedly. As per UGC list published in April 20 11 there are only 374 Autonomous
colleges in the country, out of the total number of more than 31,000 colleges. A
large state like Uttar Pradesh has only six autonomous colleges, whereas Bihar
has only one. On the other hand, states like Andhra Pradesh, Kamataka, Madhya
Pradesh, Orissa etc. have granted autonomy to a large number of colleges.
Affiliated colleges continue to exist, and are growing in number. What is more,
there seems to be no alternative in immediate future, thanks to the growing demand
. for higher education coupled with shrinking governmental support. Universities
are preoccupied with their own activities and give scant attention to colleges.
6.4.1 Types of Colleges

The colleges in India are classified into the following categories:
• Constituent Colleges of Universities
• Affiliated Colleges
• Autonomous Colleges
Constituent Colleges
Constituent Colleges are also known as University Colleges. They are an integral
part of the university, even though they are geographically separated. These"
colleges are under direct academic and administrative control of the university.
All their expenses are borne by the university. Colleges of Delhi University are
examples of constituent colleges.
The number of constituent colleges in most universities is small, as the entire

financial burden of such colleges is on the university. On the positive side, such
colleges can focus on quality of teaching since they do not need to worry about
funding. However, this does not mean that constituent colleges are flush with
funds. Even constituent colleges are facing severe resource crunch, crumbling
37
Structure of Higher infrastructure, teacher shortage, ill-maintained libraries and laboratories etc. After
Education
all, they are financially dependent on the universities, which are themselves
dependent on the government.
These arrangements vary from state to state: In Orissa, for example, there are
'Government colleges' 'at undergraduate level, which are directly supported by
the state government. The role of the affiliating university in respect of these
colleges is that of an examining body only. The state government, through the
Directorate of Higher Education maintains direct administrative control over
the government colleges. Teachers of these colleges belong to "Orissa Education
Service' and are transferred from one college to another, like other government
officials.
Affiliated Colleges
Majority of the colleges existing in the country fall in this category. You would
wonder as to how and why we have such a large number of affiliated colleges, in
spite of successive Commissions and Committees over the past century
recommending their discontinuation. This is indeed intriguing. We hope that
you will be able to find some answers after you complete reading this Unit!
Affiliated colleges are private colleges, set up by Societies, Trusts, Foundations,

religious and caste groups, and even by individuals, in the name of their family
members. Reasons for establishment of these colleges vary; they could be
philanthropic, political or commercial.
The UGC has provides guidelines for affiliation of a college to a university. As

per the guidelines,
• The college seeking affiliation should be registered as a Society under the

Society's Registration Act, 1860, or as a Trust, with the Trustee being
appointed and vested with legal powers and duties
• There should be a non-transferrable Endowment Fund in the name of the

Society or the Trust. ,
Once a college is established, it seeks affiliation from the University which has
its jurisdiction over that area. The University arranges to get the college inspected.
If it is found to be fulfilling the prescribed norms, the University sends its
recommendation to the state government for granting affiliation to the college.
Thus, it is eventually the state government that grants affiliation. The university
has only a recommendatory role in the process. In case the college does not
fulfill all the conditions for grant of permanent affiliation, temporary affiliation
may be granted is for a period of not more than two years. If the college does not
fulfill the prescribed conditions even after two years, the affiliation is deemed to
be withdrawn. Unfortunately, the process of granting affiliation to colleges is
plagued with rampant corruption and favouratism. Organizations which set up
colleges with genuine intentions find it very difficult to sustain. On the other
hand, sub-standard colleges having political support get affiliation without any
difficulty.
The number of colleges affiliated to a University should ideally be 25-30, with a

total enrolment not exceeding 25000-30000. In reality, the numbers are far in
excess.
38
In spite of these difficulties, affiliated colleges are running and providing access Higher Education
to higher education to a vast student population across the country. And many of College Level
them have maintained high standards of teaching.
An affiliated college is managed by a 'Governing Body'. The constitution of the

governing body is as per the Statute of the university granting affiliation. Thus,
while the constitution of the governing body may vary from university to
university, in general it has the following members:
• The Principal of the college, as an ex-officio member;

• One or two representatives of teachers, duly elected from among the teachers
of the college;
• Donor, if any;
• A member of the Scheduled Caste/Scheduled Tribe community
• Members nominated by the Institution from among themselves or from
among educationists/persons interested in education in that area, and
• The local Legislator (MPIMLA)
The members of the Governing Body elect the President and the Secretary from
among themselves.
The University as well as the state government has the right to nominate one or
more member( s) to the governing body. This way, they are able to have an indirect
control over the day-to-day administration of the college. Very often this results
in direct interference in the functioning of the college, affecting its performance.
Autonomous Colleges
You have read earlier in this Unit that successive Education Commissions have
emphasized the need for granting more and more autonomy so as to improve the
higher education system.
As the name suggests, Autonomous colleges enjoy a great deal of freedom in

matters of curriculum, pedagogy, evaluation and administration. Autonomy for
a college means that the college and its teachers take full responsibility and
accountability for the academic programmes offered by them, for quality of
teaching and assessment.
Several factors contributed to the genesis of the system of autonomous colleges.

With more and more colleges getting affiliated to the universities, it was becoming
difficult for the universities to manage the affairs. Secondly, some of the colleges
having potential and capability were not able to achieve excellence because of
. rigid university rules. With college affairs becoming more and more complex,
the university were compelled to seek an alternative model of governance of
colleges. Highlighting the importance of autonomous colleges, the UGC
document on the X Plan profile of higher education in India clearly states that
the only safe and better way to improve the quality of undergraduate education is
to delink most of the colleges from the affiliating structure.
AS per the UGC Scheme of Autonomous Colleges, all colleges having permanent
affiliation to a university and falling under 2(f) and 12(B) of the UGC Act are
eligible to apply for autonomous status. As per the Scheme,
39
Structure of Higher An autonomous college will have the freedom to:
Education
• determine and prescribe its own courses of study and syllabi, and restructure
and redesign the courses to suit local needs; and
• prescribe rules for admission in consonance with the reservation policy of
the state government;
• evolve methods of assessment of students' performance, the conduct of
examinations and notification of results;
• use modern tools of educational technology to achieve higher standards and
greater creativity; and
• Promote healthy practices such as community service, extension activities,
projects for the benefit of the society at large, neighbourhood programmes,
etc.
For granting autonomous status, the UGC invites proposals from the eligible
colleges. The UGC follows a two-stage process. In the first stage, the list of
shortlisted colleges is sent to the respective state governments for approval,
wherever required. If no response is received within six weeks, it is assumed
that the state government has no objection to the proposal.
In the second stage, a committee constituted by the UGC visits the applicant
college and submits is report. Based on the report the UGC sends its
recommendation to the concerned University for conferment of autonomous status
to the applicant institution. Autonomous status is initially granted for a period of
six years.
An autonomous college has the following statutory bodies:

• Governing Body
• Academic Council
• Board of Studies
• Finance Committee
Composition of the above bodies has been specified in the Scheme. Besides the
above, the college has non-statutory bodies like the Planning and Evaluation
Committee, Examination Committee, Grievance Appeal Committee, Library
Committee, Admission Committee, Student Welfare Committee, Extra-Curricular
Activities Committee and Academic Audit Committee.
You can see that all the functions hitherto performed by the university are given
to the autonomous college.
Since an autonomous college assumes all the functions of a university you may
be wondering as to what kind of relation exists between an autonomous college,
its parent university and the state government. The role of the parent university
as envisaged in the Scheme is:
• to bring more autonomous colleges under its fold;

• to promote academic freedom in autonomous colleges by encouraging
introduction of innovative academic programmes;
• to facilitate new courses of study, subjectto the required minimum number
of hours of instruction, content and standards;
40
• to permit them to issue their own provisional, migration and other certificates; Higher Education
• to do everything possible to foster the spirit of autonomy; College Level
• to ensure that degrees/diplomas/certificates issued indicate the name of ~e

college; '\
• to depute various nominees of the university to serve in various committees
of the autonomous colleges and get the feedback on their functioning; and
• To create separate wings wherever necessary to facilitate the smooth working
of the autonomous colleges.
The role of the state government as envisaged in the Scheme is:
• avoiding, as far as possible, transfer of teachers, especially in colleges where
academic innovation and reforms are in progress, except for need-based
transfers;
• conveying its concurrence f01;the extension of autonomy of any college to
the Commission within the stipulated time of 90 days after receipt of the
review committee report, failing which it will be construed that the state
government has no objection to the college continuing to be autonomous;
and
• Deputing nominees on time to the governing body of government colleges
and other bodies wherever their nominees are to be included.
It was expected that by the end of the Seventh Five-year Plan (1985-90) there
would be 500 autonomous colleges in the country. However, we are nearing the
completion of the Eleventh Five-year Plan with just 374 colleges having been
granted autonomous status. Some of the reasons for this tardy progress are:
• Lack of clarity of roles;
• Policy-level conflicts between UGC and state governments
• Confusion in working relationship between the stakeholders
• Unwillingness on the part of the state government/university to let go of
their control on colleges, as grant of autonomy invariably diminished their
role.
You may think of many other reasons.

While in principle autonomous colleges enjoy academic and administrative
freedom, in reality they are not able to achieve all the stated objectives. Most of
them remain bogged down by the administrative burden of conducting
examinations and declaring results. Developing need-based academic
programmes, promoting extension activities etc. Take the backseat.
6.S FUNDING OF COLLEGES

There are a variety of arrangements for funding of colleges. Different types of
colleges are funded differently. Also, different states have different funding
arrangements. However, one thing remains common - colleges depend almost
entirely on external support, be it in the form of donation or grant-in-aid from
the state government or UGc. Generally, the responsibility of providing fmancial
support to the colleges is on the state government.
41
,
/
Structure of Higher All the expenses of constituent/government colleges - recurring and non-recurring
Education
are borne by the parent university. The University in turn depends on the state
government. In terms of funding colleges Gave been classified a government
colleges, Aided colleges, Unaided college, Block Grant Colleges, Self-financing
colleges etc.
The University Grants Commission (UGC) provides financial assistance to

eligible colleges which are included under Section 2(t) and declared fit to receive
central assistance (UGC grant) under Section 12 (B) of UGC Act, 1956 as per
approved pattern of assistance under various schemes. The UGC had notified
Regulations for recognition of colleges under Section 2(t) of the UGC Act, 1956.
The colleges are brought under the purview of UGC in terms of these Regulations
as and when the proposals are received from the colleges for inclusion under
Section 2(t) and they are found fit for inclusion as per the provisions contained
in the Regulations. Apart from inclusion of colleges under Section 2(t), the UGC
includes the Colleges under Section 12(B) of its Act in terms of Rules framed
under the Act. This makes the colleges eligible for central assistance from the
Government of India or any organization receiving funds from the Central
Government. The number of colleges included under Section 2(t)/12(B) of UGC
Act 1956 in 2011 is about 14000.
With a view to encourage the Excellence in the Colleges the UGC introduced a
Scheme during X Plan period entitled "Colleges with Potential of Excellence".
A total of 97 colleges were funded during the Xth Plan period. For the Xl" Plan
period 100 more colleges were to be covered.
The funds provided by UGC are primarily for development and capacity building
purposes. For recurring expenses the colleges are dependent on the university/
state government. The affiliated colleges, which are the largest in numeric
proportion, are in a disadvantaged position. In some states there are 'Aided
colleges' which receive partial financial support from the state government. In
some other states, neither the state government nor the university provides any
financial support to the affiliated colleges. Grants-in-aid are occasionally released,
but they are grossly inadequate to meet their requirement. They have no source
of income other than the fee collected from students, which is nominal. In such
cases the teachers are grossly underpaid, and sometimes not paid at all. You can
imagine the plight of such colleges and the quality of teaching they can offer ..
6.6 LET US SUM UP

In this Unit we have touched upon various aspects of college administration.
While colleges account for the largest share of enrolment at tertiary level, they
remain at the bottom of hierarchy. Other than the autonomous ones, colleges
have no freedom in academic or administrative matters, and remain mere' delivery
nodes' . Their position is further weakened by their financial dependence on the
university and state government. Because of these factors, the quality of education
provided by these colleges is seriously compromised.
The government has been making efforts to increase the Gross Enrolment Ratio
(GER) in higher education. However, merely increasing GER will do no good
unless quality concerns are addressed first. The first step in this direction would
be to improve the management of colleges of different types. The scheme of
42 autonomous colleges has to be implemented with greater enthusiasm.
The number of affiliated colleges is so large that it is not possible to phase them Higher Education
in foreseeable future. So efforts should be made to improve the quality of teaching College Level
in these colleges. A rationalized system of funding these colleges and a strong
monitoring mechanism should be put in place to ensure that the quality of teaching
offered by them matches the level of constituent/government colleges. A student
should not receive inferior education simply because s/he is enrolled in a private,
affiliated college.
The very process of management of colleges needs to be restructured. The

potential of information and communication technology (ICT) should be
harnessed to make the system more efficient and transparent. Unproductive
processes should be discarded and the focus should be on development of a
learner-centric teaching -learning system.
6.7 SUGGESTED READINGS

1) Gupta, L. D. (1983), Educational Administration at College Level. New
Delhi: Oxford & IBH Publishing Co.
2) Thyagarajan, S. P. (2010), Governance in Indian Universities: Paper to

Practice. In Khurana, S. M. Pal and P. K. Singhal (Ed), Higher Education:
Quality and Management. New Delhi: Gyan Publishing House
3) Rao, K. Sudha (1999), Management of Autonomy in Autonomous Colleges.

New Delhi: Vikas Publishing House
43
NOTES
,
,
Management Process and
Leadership
11 ma.n ~ cit ~ ~ ~ ~ t. 31:tt 3ml
cf; ~ it <if ~ MlChd:4 Ch1' ~ 7:fiT amtr{ m
il ~ om ~ Chl~orf ~ ~ ~ ~ ~
fqt:t£H113IT cit ~ ~ ~ ~ cit 'f"l ~ ~
~il"
'Education is a liberating force, and in

our age it is also & democratising force,
cutting across the barriers of caste and
class, smoothing out inequalities imposed
,'. by birth and other circumstances"
- Indira Gandhi
..
~.~.
~ I
.' .Ignou
'f"E PEOPLE'S
. UNIVIERSI 'Y
Indira Gandhi
MES-046
Higher Education
National Open University •

School of Education
Block
3
MANAGEMENT PROCESS AND LEADERSHIP
UNIT 7
Emerging Leadership 5
UNIT 8
Management Processes in Higher Education Institutions 18
\
-,
Expert Committee
Prof. B.N. Koul Prof. s.v. Shah
JNU, New Delhi
Prof. c.R.K. Murthy
Prof. Nalini Puneja

NUEPA, New Delhi
Course Team
Prof. C.B. Sharma
Dr. Madhu Chitkara
School of Education
Chitkara University, Punjab
IGNOU, New Delhi
Dr. Sangeeta Pant
Content Editing
Chitkara College of Education
Prof. C.B. Sharma
for Women Chitkara University
School of Education
Punjab
IGNOU, New Delhi
Ms. Preety Chawla
Chitkara College of Education
for Women Chitkara University
Unit Design & Format Editing
Punjab
Prof. C.B. Sharma
Dr. R.S. Grewal School of Education
Chitkara University IGNOU, New Delhi
Himachal Pradesh
Language Editing
Ms. Kamlesh
Ms. Roma Banerjee
IGNOU
Social Development
Material Production
Psef. N.K. Oash Mr. S.S. Venkatachalam
r· rector,
1 School of Education A.R. (Publication)
If J '{OU, New Delhi SOE,IGNOU
February, 2014
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Unit 4 Higher Education Institutions: The Structural Basis at
Macro Level
Level
Le-vel


Unit 9 Management ofInfraStm~iure and Financial Resources
Planning
BLOCK INTRODUCTION
In blocks 1 and 2 of this course you have already read about the various issues
pertaining to the structure and management of higher education institutions.
Emerging issues like latest policy initiatives, governance and impact of
globalization on educational institutions have already been discussed. However,
at this juncture, it is felt that anyone who wants to develop a thorough
understanding of education management shall have to be exposed to the various
management process and leadership concepts applicable to educational
institutions. This block therefore, is dedicated to improving understanding of
the same.
The objective of this block is to familiarize you with the various management
principles, functions and leadership concepts and their implementation in
educational institutions. After going through this unit you will be in a position to
relate management strategies and leadership styles with the various functions
and outputs of educational institutions.
This block consists of two units, unit 7 and unit 8. Unit 7 endeavors to shed light
on the concept of leadership as applicable to educational institutions. Some of
the concepts that have been discussed are the impact of leadership on student
learning, the prerequisites to effective education leadership and the role of the
government in education management. Unit 8 focuses on management processes
in higher educational institutions. In this unit need for implementing appropriate
management techniques in higher educational institutions have been discussed.
The idea is to enable the incorporation of the narrated management concepts in
the strategic thought of the reader first and application henceforth.
UNIT 7 EMERGING LEADERSHIP
Structure
7.1 Introduction
7.2 Objectives
7.3 Defining Leadership
7.4 Leadership Styles and their Influence on the Learning Process
7.5 Leading a Higher Educational Institution
7.6 Traits of a Good Educational Leader
7.7 Impediments to Effective Education Leadership
7.8 Strengthening Education Leadership
7.9 Role of Government in Education Leadership
7.10 Education Leadership in the 21 st Century
7.11 Summary
7.12 Unit End Exercises
7.13 Further Readings
7.14 Bibliography
7.1 INTRODUCTION
During the last decade and half, educators, psychologists, critics as well as policy
makers have accepted the crucial role of effective education leadership in
augmenting classroom learning. In fact, when considering the impact of
educational institutions on the learning process, leadership is considered an
extremely important factor second only to classroom instruction. Effective
leadership is believed to have the capacity to positively influence the attitudes,
behavior, thinking as well as the level of achievement of students. Owing to this
fact many researchers are today engaged in investigating the links between
leadership and student learning.
7.2 OBJECTIVES
After going through this unit you should be able to:
• Explain the impact of leadership on student learning;
•. Discuss the various leadership styles and their influence on the performance
of educational institutions;
• Explain the prerequisites to effective education leadership; and
• Map the government's role in education leadership.
7.3 DEFINING LEADERSHIP

In this section, we shall try to answer the basic question: what is leadership?
The word 'leadership' conjures in our minds images of dynamic and awe-inspiring
individuals who have led nations, revolutions, armies or corporates and have 5
Management Process and inspired fervor among followers. History is replete with stories of their exploits,
Le=dership
though the reasons for their influence remain an unexplored area.
Past researchers have made a number of attempts to define leadership. Some of

the representative definitions have been given in Table 7.1.
Table 7.1: Some representative definitions of leadership

• Leadership is "the behavior of an individual. .. directing the activities of
a group-toward a shared goal." Hemphill and Coons, 1957, p.7.
• Leadership is "the process of influencing the activities of an organized

group towards goal achievement." Rauch and Behling, 1984, p. 46.
• "Leadership is the ability to influence a group toward achievement of
goals." Robbins, 1996.
• "As a process leadership is the use of non coercive influence to direct

and coordinate the activities of group members to meet a goal."
Mooorhead and Griffin, 2009.
• Leadership is "the act of making an impact on others in a desired

direction." Pareek, 2009, p. 551.
• Leadership is "to get. .. people excited about a compelling cause that

contributes to the lives of others." Sharma, 2010.
As can be seen from table 7.1, each author has his / her own individual perspective
on leadership, though most of them agree on one basic premise: they believe
leadership to be a process by virtue of which an individual (the leader) exerts
influence on other individuals (the followers) to intentionally facilitate an end.
They however differ in their opinion of how this influence is exerted or the end
facilitated.
In the context of education leadership, this phenomenon may be described as the

process through which the head of an educational institution, be it the chancellor,
vice-chancellor, director, principal etc., with the help of the teachers facilitates a
change in the behavior of the students, with an aim to augment student learning.
Since diverse views exist on leadership, many researchers have gone to the extent
of calling it an abstraction not worthy of being a scientific construct. Some have
even called it a romantic myth based on false anticipations. However, in spite of
being widely criticized, there exists consensus among researchers on the fact
that effective leadership is mandatory for successful organizations. It is believed
to be a real and powerful influence in organizations, institutions and societies
and a substantial reason for organizational success. One scholar has even remarked
that it is the quality of leadership that distinguishes successful organizations
from the unsuccessful ones.
This unit examines the above claims in the light of education leadership and its
impact on the students.
6
Emerging Leadership
7.4 LEADERSHIP STYLES AND THEIR
INFLUENCE ON THE LEARNING PROCESS
The extent to which a leader allows himself / herself to be influenced by others
determines his / her leadership style. Leaders are considered autocratic if they
don't allow or allow very little participation of others in decision-making. Where
leaders share problems with their subordinates / followers and solicit their opinion
on various alternative solutions and together reach a consensus, their style of
leadership is called participative. In between autocratic and participative, the
style of leadership is called consultative.
In educational institutions there exist many leaders. Experts on the subject believe
that though the heads of the various sections of the institutions are the most
prominent leaders in educational institutions, the leadership styles of other leaders
too, such as instructors, administrators, parents etc. involved in decision making
significantly influence not on~y learning but also achievement among students.
Traditionally, fatter decision making structures (decision making structures which
allow higher participation of all stakeholders in the decision making process)
are known to be more effective. Since the participation of all concerned is invited,
the resultant decisions, which are a corollary of collective leadership, tend to
improve learning in educational institutions. Statistically, such institutions are
known to perform better than those in which the heads practice autocratic
leadership. To cite an example, it has been observed that in educational
institutions, which have bodies such as student council, student welfare
association etc., students are active members of the decision-making process.
Their participation not only improves the quality of the decisions, but also the
acceptance of the decisions among other students.
In the context of higher education, shared leadership deserves special mention

since there isa direct and proportional relation between this style of leadership
and student achievement. Institutions in which it is practiced show a high degree
of trust between the head of the institution and teachers and also between the
teachers and the students. This not only leads to improved instruction and learning
but also higher student achievement.
7.5 LEADING A HIGHER EDUCATIONAL

INSTITUTION
The head of the institution plays a central role in education leadership and hence
learning can significantly improve if the head adopts a leadership style conducive
to effective pedagogic activities. The following are some leadership practices,
which can help achieve this end:
The heads of the institutions are the most important leaders in educational
institutions, but high performing institutions distinguish themselves by drawing
the benefit of the leadership of teachers too. The interest of the students can be
better taken care of, if the inputs of the teachers while taking decisions are sought.
Hence, by encouraging teachers to act as leaders, learning in educational
institutions can be improved.
7
Management Process and Further, the heads of the institutions can also improve the learning environment
Lead •••snip
by creating a "professional learning community," supported by an environment
wherein the teachers share their teaching expertise with each other. Learning
among teachers as well as students in this way can be substantially enhanced and
the institutional head has a crucial role to play in the development of such a
culture. By adopting a participative leadership style and freely sharing information
with the teachers, the head can motivate and encourage teachers to develop
learning communities targeted at academic excellence. This is one of the finest
known methods of developing and sustaining an intellectual talent pool.
Learning inputs also improve substantially, when heads place faith in their
teachers. This enhances the performance of the teachers, which positively
influences student learning. This results in higher student achievement. This
argument is supported by the findings of many researchers across the world.
Furthermore, the heads of educational institutions must focus on the development

of the professional capabilities of teachers to improve student learning. This can
be done by first identifying the gap between the existing and desired skills of
various faculty members and subsequently enrolling them for various professional
development training programs and workshops to bridge the identified gap. The
heads of the educational institutions must also ensure the development of
organizational capabilities necessary to support the professional development of
teachers.
Another aspect, which the educational leaders must take care of, is the morale of
the teachers. They must ensure that the morale of the teachers is high 'at all times.
Constant motivation and incremental improvements in the work settings are
known to be effective and easy ways of improving the morale of the teachers.
Lastly, leaders of educational institutions, by encouraging the development of

sound relationships of the institute with parents and the community can also
solicit the cooperation of both in improving student learning. For example, active
support of the alumni and the industry, which is to ultimately absorb the students,
can prove to be extremely helpful in preparing the students to face the real time
challenges that they are likely to face when employed. They can make the students
conversant with the actual business environment, thereby preparing them better
to be successful professionals.
After having read this section, you have become familiar with the practices,
which make education leadership effective. In the next section, you shall read
the traits of successful educational leaders.

1) Briefly discuss the concept ofleadership as applicable to an educational
institution.
8
Emerging Leadership
2) Assuming yourself to be the director of a management institution, enlist
three ways, which will make your leadership effective.
7.6 TRAITS OF A GOOD EDUCATIONAL LEADER

In the previous sections, we have discussed the importance of good education
leaders. Now, in this section, we shall explore the traits of a good education
leader.
Education leadership is a nascent phenomenon, which has gained the attention

of researchers only recently. As a result, models on traits of successful education
leaders are still evolving. Different researchers have different opinions on the
subject and lack consensus. However, the following seven characteristics are
found to be common among most models:
Instructional leadership
The ability to provide instructional leadership has been identified as the most
important characteristic of an education leader by manyresearchers. Instructional
leadership comprises development of curriculum and assessment systems,
development of instruction and learning strategies, evaluation of programs,
supervision etc. It is therefore important for educational leaders to have an in-
depth understanding of teaching and learning practices, innovative pedagogical
measures, problem solving skills and knowledge assimilation processes. In .
•
addition to' possessing the above skills, they must also be willing to provide
support, guidance and informed feedback to all involved in the process of teaching
and learning.
Management skills
, . ~.,
There is much debate about whether leadership can be separated from ,",
management and most critics feel that both are inseparable. A leader cannot lead
effectively if he / she is not a good.manager and hence much stress is laid onthe i ,";,.
managerial skills of a leader.
It is believed that educational leaders like corporate managers must possess

knowledge of all functional areas of management, such as finance, marketing
and human resources, since it comes handy in taking decisions with respect to
resource allocation, budgeting, staffing, motivation etc. These issues have become
specifically important owing to the latest reforms in education.
" 9
Management Process and Communication competence
Leadership
Good negotiation skills, ability to handle media effectively and sound people
and relationship skills are the halh:!1arkof a good educational leader and all these
skills have their base in good oommunication skills. Needless to say, a successful
education leader must be an effective communicator too.
Collaboration technique
Strong leadership is always "more than hierarchalleadership." This means that
strong leaders have a collaborative leadership style and are not intimidated by
the participation of others. This stands true for education leaders too. Good
educational leaders are known to promote the involvement of teachers and parents
in decision-making. They solicit and consider the views of all possible by
encouraging consultation. Such practices heighten student outcomes and enhance
the respect of teachers, creating a win - win situation for all.
Further, it is believed that collaboration with the community is equally important.

Time and again it has been suggested that successful educational institutions are
characterized by a strong community support and the leader of the institution
has a central role to play in getting this support.
Vision
All successful educational leaders must have a distinctive vision for their
respective institutions, chalk out a realistic plan of how it can be achieved and
finally should be able to effectively share it with others. It is their responsibility
to ensure that their vision is shared and understood in the desired way. Also, they
should be able to communicate their vision in a way that pervades all aspects of
culture and results in the creation of a network of likeminded teachers and parents.
Though specific missions may vary from one institution to another, the existence
of an articulated, well-shared vision is visible in all effective educational
institutions. And in most cases, the credit for it goes to the leader.
Ability to change
Massive reforms in the education sector are expected in the coming decades and
in order to handle them effectively education leaders must have the capability to
initiate and manage change efficiently. They must be adept at creating internal
mechanisms that soften the process of transition. They must have a feel of the
pulse of the teachers, staff and students and utilize that information in anticipating
change and devising strategies to handle it successfully.
Education institutions all over the world have a work force, which is known to
be less flexible than its counterparts in other set-ups. They are typically
characterized by behaviors and beliefs, which are deeply entrenched and hence
difficult to modify. This presents a difficult task for education leaders who must
challenge these behaviors and beliefs to pave way for innovation. Thus education
leaders must not only have the ability to change themselves, but also they must
have the ability to facilitate change in others.
Ability to take risk

Just as it is important for leaders to have managerial skills, so also are
entrepreneurial skills important. In their own right education leaders are also
10
entrepreneurs and must have the ability to take risk, exploit opportunities and Emerging Leadership
develop effective networks of all stakeholders - their juniors, seniors, the
government and the community.
Not only must the education leaders be risk savvy themselves, but also they
must encourage their teachers to take risk. The education industry like any other
industry in order to meet the ever-changing demands of the environment must
constantly innovate and all innovations involve some degree of risk. To cite an
example it can be said that introduction of a new pedagogical style or a new
assessment strategy involves risk - the risk of its acceptance by students, the risk
of its being relevant etc. Hence, the ability of take risks and encourage others to
take risk too makes good education leaders.
There is debate going on at present with regard to which of these traits are intrinsic
and which can be inculcated and developed. Researchers have reached no
consensus since some believe that these traits are inherent and cannot be
developed, while some others believe that these traits can be inculcated through
effective external influence. Owing to this belief, the researchers who belong to
the latter school of thought are constantly attempting to devise training programs
to inculcate leadership traits in education leaders. Some critics have gone to the
extent of suggesting that all education leaders must be made to undergo these
training programs before they are considered fit for being education leaders.
To conclude, it can be said that most researchers believe that in order to be

successful, educational leaders must possess some specific traits, such as the
ability to provide instructional leadership, the ability to collaborate, change and
take risk, effective communication and management skills and a strong and clear
VISIon.
After reading about the traits, of successful leaders in this section, the next section
shall introduce you to the impediments to effective education leadership.

I) In your opinion, which are the traits you need to inculcate in order to
become an effective education leader.
2) Briefly discuss whether or not leadership traits can be inculcated through

external influence.
11
Leadership ·7.7 IMPEDIMENTS TO EFFECTIVE EDUCATION
LEADERSHIP
This section deals with the commonly encountered impediments to the
development and practice of effective education leadership.
Research has shown that there are many reasons why education leadership fails.
Of all the problems cited, the most common education leadership problem is the
high turnover of educational leaders. Though there exists no ideal term for which
the head of an educational institution must serve, a term of five or greater than
five years is preferred. Contrary to this thumb rule, most heads (roughly eighty
percent) serve for a period of less than five years. This nullifies the positive
cultural changes administered by the head. Also, if the turnover of the educational
leader is high, a lot of student time and effort is wasted in continually assimilating
and adapting to the cultural and pedagogical changes initiated by new leaders.
This leads tostunted student learning and achievement.
Further, lack of competent leaders in the education industry has created a severe
"leadership deficit," especially at the lower and middle levels (at the level of
department chairs). This deficiency has been instrumental in minimizing the
overall efficiency of the top leaders, since the top leaders can only successfully
operate if supported suitably by middle and lower level leaders.
Furthermore, in higher educational institutes, more often than not, the heads are
not trained to meet the challenges of participative / shared leadership. This style
of leadership though known to yield better results than any other style; is rarely
practiced, manifestations of which are seen in poor student learning or
achievement.
7.8 STRENTHENING EDUCATION LEADERSHIP

The last section dealt with the commonly encountered hindrances to the practice
of effective education leadership. In continuation with the same, this section
deals with how to overcome these impediments.
Though a large body of researchers has investigated the problem at hand, experts
on the subject, believe that the following four - pronged approach can substantially
improve the quality of education leadership:
Conducive regulatory environment

It is believed that a supportive regulatory environment can go a long way in
improving the quality of education leadership in institutions.
Leadership policies
Education leadership policies at various levels of hierarchy must support and
complement each other. This rules out any possibility of confusion and improves
the effectiveness of education leadership.
Proper selection
Effective leaders are a prerequisite for successful educational institutions. Hence,
-;: 12 they must be selected after due diligence.
Effective training Emerging Leadership
Education leaders must be effectively trained since effective training can

substantially improve the quality of education leadership.
In the last section, we discussed that the scarcity of good educational leaders is
an impediment to effective education leadership. Training is the solution to this
problem. With the help of proper training, leadership traits can be inculcated
among educational leaders. This will help in improving the quality of their
leadership, which will have a direct bearing on student learning and achievement.
7.9 ROLE OF GOVERNMENT IN EDUCATION

LEADERSHIP
After familiarizing you with the various concepts and applications of education
leadership, this section is discusses the role of the government in education
leadership.
In every country the ultimate education leader is the government. Its policy makers
and education leaders, though far away from the seat of actual instruction, play a
pivotal role in the development of education policies, through which they
influence classroom learning. Their primary role is to develop a regulatory
approach, which while focusing on student achievement provides a
comprehensive guidance to educational institutions.
The government is responsible for devising a regulatory mechanism that supports

a system of learning aimed at the holistic development of students. It does this in
conjunction with an acknowledgement of. the requirements of educational
institutions and the student community, thereby providing for a participative
model of leadership. Further, while on one hand it provides educational
institutions, the legal and regulatory framework to which they must comply, on
the. other hand it also regularly monitors the performance of educational
institutions through inspections and checks. However, all through this process,
the government provides educational institutions the flexibility to determine how
to operate.
The government also provides financial aid to meet the requirements of

educational institutions wherever necessary. It singularly provides the maximum
funding to the education sector in India and most other countries worldwide.
Furthermore, it also provides for the professional development of instructors as
well as administrators.
7.10 EDUCATION LEADERSHIP IN THE 21ST

CENTURY
.
Knowledge and skill empowerment are mandatory in order to meet the challenges
of the 21 sI century. Both these can only be acquired through quality education
and effective education leadership tops the list of prerequisites for imparting
quality education. It can thus be said that education leadership is of vital
importance in the 21 st century. .
13
Management Process and There thus exists a need to ensure the presence of effective educational leaders
~eadership
in educational institutions, who should be able to revamp the existing system in
favor of a more learning centric system, better suited to meeting the needs of the
21 st century. Since drastic changes in the pattern of education are expected in the
current century, education leaders must be trained to effectively manage the
dynamics of change while keeping the teachers motivated.

1) Briefly discuss the reasons why education leadership fails.
2) Suppose you have been entrusted the responsibility of devising a training

program to prepare teachers to take up leadership positions in your
institute. Which points would you keep in mind?
•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
. 0 •
3) Suppose you are the head of an educational institution. What help would
you expect from the government.
7.1f--SUMMARY'
Different authors have defined leadership in different ways though they all share
the basic assumption that it is a process, which concerns with exertion of influence
by an individual on other individuals. This influence is aimed at the performance
of a collective task, generally referred to as the outcome of the attempted influence.
It is believed that when atpplied to education leadership, the desired outcome of
this exerted influence is unproved student learning.
14
Different researchers have established a conclusive link between effective Emerging Leadership
education leadership and student learning and achievement. They believe that it
is an important factor influencing learning among students, second only to
classroom instruction.
There exist different styles of leadership depending upon the extent of

participation that a leader solicits while taking decisions, however the best style
suited to education leadership is the participative or collective style ofleadership.
This style encourages participation from all stakeholders: the teachers, parents,
administrators and even students where ever possible. Since the views of all are
incorporated, the overall quality of student learning is enhanced. This style of
leadership is in contradiction to the autocratic style of leadership where in the
head of the institution takes all decisions without consulting others. The results
of this style of leadership manifest themselves in the form of a negative impact
on student learning and achievement.
The most prominent .leader in an educational institution is its head. It is his

leadership that has a maximum influence on student learning as against the
leadership of teachers and other administrators. His leadership is thus crucial
and consequently must facilitate effective learning.
Learning can be significantly improved if the head develops organizational

capabilities that support effective learning. This can be achieved through the
development of learning communities where teachers freely share learning
resources, focus on development of professional competencies among teachers,
constant motivation by the head, existence of a high level of faith between
institutional leaders and teachers, development and sustenance of a positive work
environment and fostering sound relationships between the institution and the
parents.
Most leadership critics opine that effective education leaders must possess six
basic leadership traits, namely: instructional leadership, management skills,
communication and collaboration skills, vision, ability to change and the ability
to take calculated risks. Further, there exist diverse opinions on whether these
traits are inherent in a person's personality or can be inculcated through effective
external training.
The commonly encountered impediments to effective education leadership are

high turnover of the leaders, undertrained leaders / lack of competent leaders.
The ultimate education leader is the government responsible primarily for the
development of a regulatory environment / policy framework which supports
holistic learning among students and professional development among teachers.
Education leadership can be strengthened through careful selection of education

leaders, adequately training them and developing the requisite support structure
to help them effectively discharge their duties.
In the 21 st century drastic changes in the pattern of education are expected making
the role of education leaders crucial. Learning, unlearning and relearning, which
is expected to consistently happen shall present intricate challenges for education
leaders. They must thus be adequately trained and prepared to handle.
15
J _-adership 7.12 SELF ASSESSMENT QUESTIONS
1) Discuss the role of effective education leadership in augmenting student
learning. '
2) Which style ofleadership is most suited to the development of a professional

learning environment in higher educational institutions? Give reasons for
your answer.
3) Which criteria in your opinion can be used to evaluate the effectiveness of

education leadership? Explain in detail.
4) Write a comprehensive note on the impediments to effective education

leadership and how they can be overcome.
5) "The government of. a country is the ultimate education leader of that

country." Do you agree? Discuss in detail.
6) Discuss in detail the role of education leaders in the 21 st Century.
7.13 FURTHER READINGS

1) Moorhead, G. and Griffin R. W., "Leadership." In Introduction to
Organizational Behavior (1st Indian ed.), Cengage Learning India Pvt. Ltd.,
2009, pp. 276 - 313.
2) Pareek, U., "Leadership Theories and Styles." In Understanding

Organizational Behavior (2nd ed.), Oxford University Press, 2009, pp. 550
- 578.
3) Robbins, S. P. "Leadership." In Organizational Bebavior: Concepts,

Controversies and Applications. Prentice Hall.
4) Yulk, G, Leadership in Organizations (6th ed.), Pearson Education Inc., 2008.
7.14 BIBLIOGRAPHY.
Central Office Transformation for District - Wide Teaching and Learning
Improvement. Centre for the Study of Teaching and Policy (University of
Washington), 20'10.
Hemphill, J. 'K. and Coons, A.E. "Development of the leader behavior description
questionnaire" in R. M. Stogdill and A. E. Coons (Eds.) Leader behavior: Its
description and measurement. Columbus: Bureau of Business Research, Ohio
State University, 1957, pp. 6-38.
Knapp, M. S., "Learning - focused Leadership and Leadership Support: Meaning

and Practice in Urban Systems" Center for the Study of Teaching and Policy
(University of Washington), 2010.
Kouzes, J. M. and Posner, B. Z., The Leadership Challenge: How to Get

Extraordinary Things Done in Organizations (2nd ed.), San Francisco: Jossey-
Bass, 1995.
16 ..
Louis, K. S. et al, Learning from Leadership: Investigating the Links to Improved Emerging Leadership
Student Learning. Centre for Applied Research and Educational Improvement
(University of Minnesota) and Ontario Institute for Studies in Education
(University of Toronto), 2010.
Moxley, R. S. and 0' Connor - Wilson, P. "A Systems Approach to Leadership

Development" in C. D. McCauley, R. S. Moxley and E. Van Velsor (eds.), Centre
for Creative Leadership Handbook of Leadership Development. San Francisco:
Jossey - Bass, 1998, pp. 217 - 241. '
Mumford, M. D., "Leadership in the Organizational Context: Some Empirical

and Theoretical Considerations." Journal of Applied Psychology, 16, 1986, pp.
508 - 531.
Nevis, E. c., Dibella, A. J. and Gould J. M., "Understanding Organizations as

. Learning Systems." Sloan Management Review, Winter, 1995, pp. 73 - 85.
Noe, R. A., "An Investigation of the Determinants ·of Successful Assigned

Mentoring Relationships." Personnel Psychology.Al , 1988, pp.A57 - 479.
0' Brien, G. E. and Kabanoff, B., "The Effects of Leadership Style and Group
Structure upon Small Group Productivity: A Test of the Discrepancy Theory of
Leader Effectiveness." Australian Journal of Psychology, 33 (2),1981, pp. 157
'""'158 .
. Rauch, C. F. and Behling, O. "Functionalism: Basis for an alternate approach to

the study of leadership." In Leaders and Managers: International Perspectives
on Managerial Behavior and Leadership (1sted.), Elmsford, NY: Pergamon Press,
1984, pp. 45 - 62.
Rotherham, A. J. and Willingham, D., "Teaching for the 2pt Century."

Educational Leadership, 67 (1),2009, pp. 16 - 21. In Education (University of
Toronto), 2004.
Sharma, R. Leadership Wisdom: The 8 Rituals of Visionary Leaders, Jaico

Publishing House, 2010.
17
UNIT 8 MANAGEMENT PROCESSES IN
HIGHER EDUCATION
INSTITUTIONS
Structure
8.1 Introduction
8.2 Objectives
8.3 Expansion of Higher Education Institutions (HEIs) in India
8.4 Management in Higher Education Institutions
8.5 Understanding the Concept of Management
8.6 Functions of Management in Higher Education Institutions
8.7 Strategies for Managing HEIs
8.7.1 Environmenta1Analysis
8.7.2 Participative Management
8.7.3 Balance Scorecard
8.8 New Paradigms in HEI Management
8.9 Summary
8.10 Unit End Exercise
8.11 Further Readings
&
8.1 INTRODUCTION
Management is desirable in all types of organized activities. Moreover,
management processes are applicable to all types of organizations. Any group of .
two or more people working to accomplish a goal and having resources at its
disposal is engaged in management. With the emergence of global economies it
is now obligatory to gain knowledge on the principles & processes of management
for all kinds of people in all kinds of organizations across the world. In this fast
changing world higher educational institutions are behaving similar like other
business setups, thus, a clear understanding of the managerial function and
management processes is very much required. This unit contains the information
about all management functions and processes in general and management in
higher education institutions in particular. The aim is to develop, in students, a
deeper understanding of management functions and processes, outlining their
basic elements and operating characteristics, and exploring how they are best
influenced and led.
8.2 OBJECTIVES
After going through this unit, you will be able to :
• I
• Understand fundamental concepts of management including the principles,
functions and importance of management processes in any organization,
• Relate management processes in the context of higher education institutions
(HEIs), and
18
• Review the innovations and new paradigms in managing higher educational Management Processes in
Higher Education
institutions (HEIs) Institutions
8.3 EXPANSION OF HIGHER EDUCATION IN

INDIA
India has experienced appreciable growth in the number of institutions of higher
education during last six decades and particularly since 1990. This growth has
already been possible because of the increase in the number of State Universities
and colleges public as well as private. Though the government supported higher
education through public as well as private colleges in the form of grant-in-aid
colleges, yet the private colleges which were managed by committees or trusts
enjoy their autonomy in most of the decisions regarding admission, enrolment,
and awarding the degrees and this autonomy further led to the emergence of
institutions 'Deemed to be Universities'. The period since 1990 has also seen
the emergence of private universities, Between 19S0 and 2008, the number of
universities has increased from 20 to about 431, colleges from SOO to 20,677.
According to an estimate in a UGC report by the year 2012 additional 2S02
colleges would be required during 11th plan in addition to 11699 general colleges
in 200S.(See Table 8.1) With this rapid expansion in higher education institutions
(HEI) there is a need to devise appropriate management processes to run these
educational institutes effectively.
Table 8.1: Number of Universities and Colleges Required-An Estimate

Criteria Restructuring Projection
Total Addi- Total Addi-

tional tional
Enrolment Criteria Norm (i) 20000 per university 646 309 1072 735
(inclusive of VG Norm (ii) 30000 per university 430 93 715 378
and PG) -
College Criteria Norm (i) 20 colleges per 585 248 - -
university
Norm (ii) 30 colleges per 389 52 - -
university
Population Criteria (i) 1 university per 2lakh 619 282 715 378
population in 18-24 year age
Source: UGC Report- Higher Education in India -Issues related to Expansion, lnclusiveness,
Quality and Finance
8.4 MANAGEMENT IN HIGHER EDUCATION

INSTITUTES
In recent years there has been a lot of discussion on managing higher education
institutes. The purpose is to run education institutes efficiently and effectively.
Since the constitution of HEIs is different from other institutes, the implementation
of management processes has to be modified taking into consideration the peculiar
needs of an educational institute. The focus of educational institute has always
been education and research. In this present dynamic world of technological
19
ManagementProcess and innovations, education institute need to understand the importance of effective
Leadership
management as they cannot afford to neglect the relation between good
management and achievement of organizational goals. Before discussing the
management processes in higher education institutes let us first understand the
concept of management, how the management thought has been developed and
what are the various management processes or functions in any organization. In
the next section we shall discuss the management concept, principles of
management, functions of management in general and then we will move on to
understand the application of these management functions and principles in higher
education institutions.
8.5 UNDERSTANDING THE MANAGEMENT

CONCEPT
Management in all business and organizational activities is the act of getting
people. together to accomplish desired goals and objectives using available
resources efficiently and effectively. It is organizational process, which involves
planning, defining the objectives and gathering resources, motivating people to
work towards achieving objectives and reviewing the work for discrepancies
and suggesting correctives measures.
The development of management thought is a result of contribution of

management thinkers, experts from different fields like economics, social sciences
and psychology. The evolution of management thought can be studied in following
three Stages
•
1) Classical Approach
2) - Neo Classical Approach
3) Modem Approach to Management
8.5.1 Classical Approach

The Classical approach to management thought emphasized on development of
functions of management and application of principles of management in
organization. It includes three streams of management thought - Administrative,
Scientific and Bureaucratic. The credit of bringing the administrative concept of
management goes to Henry Fayol. Henry Fayol studied engineering and worked
as chief executive il} a coal mining company. He developed his management
principles and general management theory and published them in a book" General
and Industrial Administration'; in 1916 which He is truly recognized as father of
modem management theory. He suggested five basic functions of management
planning, organizing, staffing, commanding, coordinating and Controlling (The
functions of management are discussed in detail in next section). The fourteen
principles of management suggested by him are related to these basic functions.
of management process and are universally accepted. ( See Table 8.2).
Fedrick W Taylor (1986-1915) who is known as father of scientific management

emphasized on systematic observation and measurement of activities. His
management philosophy is based on four basic principles:
1) The development of science of management to determine the best method

for performing each task..
20
2) The scientific selection of workers so that each worker would be given Management Processes in
Higher Education
responsibility fofthe task for which he or she was best suited. Institutions
3) The scientific education and development of workers.
4) Reward successful performance through proper incentive schemes.
Table 8.2: Henry Fayol's Principles of Management
a) Division of Work: Specialization and division of labour increase

efficiency and productivity.
b) Authority: The right to issue commands, along with which must go

the balanced responsibility for its function.
c) Discipline: Employees must obey, but this is two-sided: employees

will only obey orders if management plays their part by providing good
leadership.
d) Unity of Command, An employee should receive orders from one

superior without conflicting
e) Unity of Direction: People engaged in the same kind of activities must

have the same objectives in a single plan. Unity of command does not
exist without unity of direction.
f) Subordination of individual interest (to the general interest):

Management must see that the goals of the firms are always paramount.
g) Remuneration: Equitable system for giving reward to employees for

their work.
-
h) Centralization (or Decentralization): This is a matter of degree
depending upon the condition of the business and the quality of its
personnel.
i) Scalar chain (Line of Authority): The line of command from top to

bottom should not be over-stretched and consist of too-many levels.
j) Order; Both material order and social order are necessary. The former
minimizes lost time and useless handling of materials. The latter is
achieved through organization and selection.
k) Equi!y: In running a business a 'combination of kindliness and justice'

is needed. Treating employees well is important to achieve equity.
l) Stability of Tenure of Personnel: Employees perform better if job

security and career progress are assured to them. An insecure tenure
and a high rate of employee turnover will affect the organization
adversely.
m) Initiative: Managers as well as employees should be given congenial

environment to be creative and take initiative to achieve given
objectives.
n) Esprit de Corps: Management must foster the morale of its employees.
21
Management Process and Max Weber (1864-1920), who was, a German sociologist, is considered as
Leadership
originator of the term 'bureaucracy' emphasized on organizational structure
having set rules and regulations, division of labour, authority hierarchy and rigid
system for selection and promotion. He emphasized on a formal hierarchy
structure where each level controls a level below and is controlled by a level
above, decision making should be done on centralised basis, control should be
done through strict rules and regulations, and work should be done according to
specialization.
8.5.2 Neo Classical Approach

The neo classical approach is more human oriented and accentuate on creating
best work environment for workers to improve efficiency. It includes human
relations approach and Behavioral approach. George Elton May (1880 - 1949),
who was an Australian sociologist, introduced human relations. approach to the
management thought. He worked as lecturer at the University of Queensland
and University of Pennsylvania, but spent most of his career at Harvard Business
School (1926 - 1947), where he was professor of industrial research. He introduced
the democratic leadership and participative management styles and brought out
the role and importance of people in any organization. According to Elton Mayo,
people who work for an organization should be seen an a group as informal
groups formed at work has a strong influence on the behavior of workers.
Moreover monetary incentives and good working conditions are less important
than their need to belong to the group; so managers must focus on the social
needs of the workers in order to achieve desired outcomes from the workers.
8.5.3 Modern Approach to Management

The modem approach to management consists of quantitative/mathematical
approach, systems approach and contingency approach. The quantitative approach
paid attention to the.use of sophisticated econometric tools to find out a solution
to identified problems. The systems approach postulates the orderly arrangement
of all the parts and activities of management and bringing all the activities together
to make a complete system whereas contingency approach suggeststaking action
plan according to the prevailing situation.
8.5.4 Functions of Management

Management Processes focus on implementation, and the way we work through
processes-series of tasks and activities that unfold over time to move an
organisation forward and achieve results. Management process comprises
planning, organizing, staffing, leading or directing, and controlling an organization
(a group of one or more people or entities) or effort for the purpose of
accomplishing a goal. Management involves efficient utilization of available
resources to achieve pre determined objectives. The main aim of management is
to use the inputs or resources in the form of "six M's" (men, material, money,
machine, markets and methods) in the most effective and efficient manner through
functions of management. Koontz and 0' Donell suggested planning, organizing
staffing, controlling and coordinating as main functions of management. The
management process is depicted in Figure 8.1
22
Outputs:
Inputs : Planning Organizing I Staffing I Coordinating
Ojective~ .
Men ~
"--- /
>
Material
MANAGEMENT PROCESS
Money
Machine
Methods
Markets End Results
t _. --------" 1
Figure 8.1: Controlling
Luther Gullic gave a new formula to suggest the elements of Management Process.
According to him, management process may be indicated by the word
"PODSCORB" where,
P Planning - It is the primary function of management. Planning

involves deciding in advance the course of action to
achieve the desired objectives.
0 Organising - Tthe next step is organizing. It means the bringing
the resources together to achieve the predetermined .
objectives
D Directing - Directing refers to guiding and instructing people to
work according to the predetermined plans. It involves
good leadership, motivation and effective
communication
S Staffing - Staffing involves recruitment, selection, training,
development and appraisal of employees
CO Coordinating - Coordination is essential at all levels of management.
It involves integration of all activities of management
to have smooth functioning.
R Reporting - It is process of keeping informed about the activities
done to functioning.
B Budgeting - It involves preparing plan about allocation of resources

1) Discuss the importance of principles of management in an educational
institute .
................................................................................................................
•••••••••••••• 4 ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
••••••••••••••••••••••••••••••••• 10 •••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
23
Leadership 2) How do you think the functions of management are applicable in colleges
and universities?
................................................................................................................
-c
8.6 FUNCTIONS OF MANAGEMENT IN HIGHER

EDUCATION INSTITUTES
We have discussed so far about the eoacept of management and management
principles and functions in their traditional context. Now the question arises as
to what extent these management principles and processes are applicable in
education institutes. In order to have effective management it is imperative to
have a thorough understanding of the nature of organization of higher education
institutes. Many scholars have attempted to study the structure of universities
and colleges and this section focuses upon understanding the organizational
structure of universities and applicability of management functions in universities
and colleges. One of the distinctive characteristics of higher education institutes
is their autonomy. In India, Universities as well as affiliated colleges thought
being regulated by the government exercise their autonomy in number of
management decisions.· Another aspect of organization of higher education
institutes as explicated by Rodrlgues et al (200:4) is the stretch between two
paradoxical extremes - pedagogical and business. There is no ambiguity that the
main pUrpose of higher education institutes has always been imparting knowledge
through education, at the same time the business side of education institutes
cannot be ignored as one set of scholars who abide by the GATS view have
opined that education is type of service provided by education institutes and thus
must be paid for.
There has been a lot of debate on application of management techniques. in

colleges and universities and lot of researchers who abide by the Gats viewed
showed their concern about lackof proper understanding, among educators, of
management processes and their implementation in education institutes.
Researchers have also focused on understanding the nature of structure of higher
education institutes and implementation of management processes in HEIs. There
is not much evidence seen about the use of management methods in education
institutes till 1950s. Hungate (1964) was perhaps the first researcher who
pioneered this thought of using management techniques in higher education
institutes. _
24
Hungate (1964) has identified four broad areas of the management functions of Management Processes in
Higher Education
higher education institutions. These are: Institutions
1) The delegating and organizing function.
2) The directive function.
3) The operative function.
4) The evaluative function ..
1) The delegating and organizing function - Delegation of authority and
responsibility is one of the most important part in a decentralized form of
organization. In universities and colleges participative culture is more
effective where administrative responsibilities are delegated to involve
employee participation in making plans and policies, preparing budgets,
deciding resource allocation and dealing with students' problems.
2) The Directive Function - In institutions of higher learning, the directive

function comprises of making policies and plans which is generally
performed by the vice chancellor of a university or the principal of a college.
The authority to make plans and policies and responsibility to get them
implemented are generally delegated by the governing board to the head of
the institution. These policies are generally listed in university charter, by
laws or state government regulations. Though the governing board defines
the policies, the onus is on the head of an institute and other staff members
including faculty to get them implemented.
3) The Operative Function- The operative function requires the implementation

of plans through operating activities. The vice chancellor or the head of an
institution further delegates the responsibilities to the heads of various
departments, or administrative staff to perform tasks at operational level so as
to achieve the desired objectives. Here Henry Fayol's first principle of
management that is delegation of work according to the job specialization
comes handy to the needs of educators working as managers.
4) The evaluative Function - The evaluative function in universities and

colleges is done at all levels and in all the departments. It helps the manager
to identify the areas where performance does not meet the required standards;
which further helps to take corrective measures to improve efficiency and
bring smoothness in all the activities in future.
While studying the nature of organization of education institutes and other

organizations Hungate (1964) identified that there are similarities in jobs
performed by a CollegelUniversity head and a business head, but dissimilarities
in activities of an education institute and other organization. Bibbero (1967), on
the other hand, viewed several similarities in management functions of a business
organization and those of education institutes and emphasized on application of
management functions proposed by Koontz and O'Donnnell comprising of
planning, organizing, staffing, directing and controlling. Keller's observation of
similarities in the structure of education institutes and other organizations was
based on "profit maximization". He opined that colleges and universities compete
with other enterprises for resources which they obtain by rendering services to
the society and like any other business, they focus on optimum utilization of
resources. Balridge (1971) advocated the bureaucratic model proposed by Max
Weber for university governance.
25
Leadership Check Your Progress 2
1) Critically analyse the role of various contributors in understanding the
application of management pr.ocesses in educational institutes
8.7. STRATEGIES FOR MANAGING HE Is

For successful management of higher education institutions strategic management
is imperative.A strategic plan envisages systematic route drawn between the perception
and achievement of future goals. We shall now discuss how various strategies play
an important role in effective management of higher education institutes.
8.7.1 Environmental Analysis

•
Environmental analysis is the starting point of strategic management in any
organization. In universities and colleges also a thorough scanning of the
environment helps in formulating effective strategies for achievement of goals.
Environment scanning consists of identification of following four areas which
can influence the business :
1) Strengths
2) Weaknesses
3) Opportunities
4) Threats
The precise understanding of strengths and weaknesses will on the one hand
help higher education institutes to focus on core areas (internal environment),
on the other hand a clear view of opportunities and threats will aquaint them
with external environment. The following chart depicts some of the factors of
environment scanning of a university or college or an institute of higher education.
SWOT Analysis
Internal III Strengths Weaknesses

I
External --+ Opportunities Threats
8.7.2 Participative Management

Higher education institutes should adopt participative management style doing
away with 'top to bottom' route for decision making and encouraging participative
management which promotes involvement of all stakeholders in decision making
process. Participative management encourages employee involvement in all the
stages of decision making beginning from formulating a strategy, developing the
26 right course of action and implementing the strategies.
Management Processes in
8.7.3 Balance Scorecard Higher Education
Balance scorecard is an important strategic management tool developed by Robert Institutions
Kaplan and David Nortan for performance measurement. It has been developed
to overcome the shortcomings of previous performance measurement tools which
focus only on quantitative aspect of performance and lack strategic vision of an
organization .Balance scorecard uses the mixture of financial as well as non-
financial aspects to gauge the performance of an organization.
The four perspectives

Balance scorecard helps organisations to measure performance and implement
their strategic vision from four perspectives.
1) Financial Perspective (How do we look to stakeholders?)
2) Customer Perspective (How do our customers see us?)
3) Internal Business Perspective (What must we excel at?)
4) Learning and Growth Perspective (How can we continue to improve and
create value?)
Through Balance Scorecard an organization is able to define its vision and
strategies, define objectives set targets and formulate measures to achieve those
targets. Balance scorecard provides a balance between external measures such
as stakeholders and customers and internal measures like internal processes and
learning and growth
Financial Perspective
Objectives
Measures
Targets
Initiatives -
-
"'~
Business Process
Customer Perspective Perspective
"'-- --
Objectives Objectives
Vision
Measures and --') Measures
~ Strategy v
Targets Targets
Initiatives Initiatives
.~
7
Learning and Growth
Perspective
p Objectives
Measures
Targets
Initiatives
•
Figure 8.2: Balance Scorecard
Adaptedfrom Robert S. Kaplan and David P.Norton, "Using the Balanced Scorecard as a Strategic
Management System," Harvard Business Review (January-February 1996): 76.
27
Management Process and Balance Scorecard in Universities
Leadership
• The Financial Perspective focuses on identification of a relevant financial
indicators. In universities and colleges source of revenue may include, grants,
state appropriations, endowments, donations and tuition fees. The focus
should be on the proper utilization of these resources.
• The Customer Perspective refers to customer satisfaction and realising

that customer is the most important element in order to increase market
share. In Universities current students and prospective students form a par
of customer perspective as they are the ultimate receivers of education
services provided by institutes of higher learning and their satisfaction in
the form of quality education should be the ultimate aim.
• Internal Business Processes emphasize on the internal operations and

stresses on how well a business is being run and to what extent the mission
or goal of organisation has been achieved. The internal processes in a
university may include academic programmes, and courses that are being
run by the university, enrolment and admission system of students,
examination system, recruitment system of faculty and staff and information
system of various departments. Smooth functioning of all these processes
is essential to have a balanced growth.
• Learning and Growth Perspective underlines the importance of self

improvement A university or college is an institute of higher learning. It has
the responsibility not only to provide quality education but also to contribute
to the society through research and academic excellence. So creating a
congenial environment to encourage research and learning among the
students, scholars as well as teachers could go a long way to achieve the
goal of self improvement.
Table S.2: Balance Scorecard Indicators in a University
Example of the Balanced Scorecard and Associated Objectives

Objectives Indicators
Diversity: How well do we Increase campus diversity Percentage of students,
broaden and strengthen our staff, and faculty by gender
community? and ethnicity
Provide better disability Inventory program needs
access as baseline; improvement
over time
Student learning Improve student progress Retention and graduation
experience: How Increase studentsatisfaction rates
effectively do we transfer Improve graduate program Institute student survey data
knowledge to our students? quality Graduate student placement
Increase research Higher Education Research /
Academic excellence: Increase research Counts of publications,

What is our contribution to productivity citations, grants, and awards
the creation of knowledge? Heightennationalreputation Number of departments in
top quartile of National
Research Council rankings
28
Outreach and engagement: Management Processes in
Increase technology Number of licenses, patents,
Higher Education
How effectively do we transfer Activity and invention disclosures: Institutions
transfer knowledge to the Increase outreach to royalty income
local, national, and community Number of programs and
international communities? services; number of people
erved
Resource management: Increase and diversify Percentage of revenue by
How well do we develop revenues category over time
and manage resources?
Provide incentives for Number of science and
entrepreneurial ini tiati ves technology campus
partnerships
Adaptedfrom Syewart and Rubin, " The Balanced Scorecard - Beyond Reports and Rankings",
Planning for higher Education, (Winter 2000-2001 )pA1
Managing Cultural Diversity

The diversity among students, academic and administrative staff is one of the
peculiar characteristic of an educational institution and managing this diversity
and bringing change in organizational culture is one of the crucial part of strategic
management in higher education institutes, The organizational culture should be
the one which is adaptable enough to adjust to the changing needs of students,
faculty or staff.
Talent Management
Recruitment of the best talent is not the only job of human resource strategy,
retention of talent is equally important. Lack of opportunity for professional
growth and contribution towards the organization result in frequent turnovers.
Developing a career growth path, conducting 'faculty development programmes' ,
facilitating knowledge transfer helps faculty in retaining its enthusiasm and
vigor in doing research, in learning, and in devising new methods of teaching.
Ensuring Quality and Excellence

Ensuring quality education demands structural and institutional reforms in
addition to committing enhanced financial resources, Imparting quality education
would entail better infrastructure; greater use of l'C'T (information and
communication technologies) ; teaching and learning in smaller groups, granting
autonomy to the faculty, department and individual teachers.
Resource Management
The revenue generated through students' fees is just one method of resource
generation in education institutes. Another method is grants from government
which is largely utilized by public universities and colleges. In the present era of
emerging private universities, there is need to build strong private - public
partnership for funding and improving the quality of higher education. For
example, the universities and research institutions can do the research and
innovations which may provide competitive edge to industry and industry may
provide hands on experience to students.
29
Leadership 8.8 NEW PARADIGMS IN HEI MANAGEMENT
In this present era of information explosion and technological innovations, it is
essential for higher education institutes to adapt, update and modernize its internal
processes, teaching methods and management strategies to cater to the needs of
new age customers or students. In order to compete with colleges and universities
within and outside the country, institutions have to make proper use of
technological innovations in managing education institutes and also in imparting
education to students through improvised methods. Studying abroad in foreign
universities had always been a cherished dream of students of developing
countries. But with globalization more and more universities from developed
world are forming collaborations with universities and institutes in developing
countries resulting in collaborative programmes, sharing knowledge and research
through student and teachers exchange programmes about which you have read
in Brlock 1, Unit 2.
Another implication of use of information technology in education institutes is

online education which results in elimination of physical infrastructure. With
the advent of online education, students can learn and earn degrees without even
coming to classrooms. This innovation is especially helpful for the students in
remote areas where due to lack of physical infrastructure students cannot get the
benefits of education. The changing world has changed the dimensions of
management in higher education institutes and for any educational institute it is
essential to bring in new technologies along with implementing traditional
management principles.

1)
8.9 SUMMARY
There has been a lot of debate on the applicability of traditional management
concept~ and principles in managing higher education institutes especially in the
context of its distinctiveness in structure and organization. Many researchers
have attempted to explain the similarities and dissimilarities between educational
I
institutes and other enterprises based on administration, role of the head of insitute
in organization and activities performed. On the-basis of these similarities and
dissimilarities it has been suggested that traditional management processes can
be applied in education institutes in their modified form suiting the needs of an
30
institution. The role of strategic management is equally important. Techniques Management Processes in
Higher Education
of strategic management, if effectively implemented can help education Institutions
institutions in improving performance, optimum utilization of resources, effective
talent management, and ensuring quality and excellence. With the arrival of
globalization and technological innovations, education institutes must take further
steps towards internationalization in order to survive in this ever changing world.
8.10 UNIT END EXERCISE

1) In the present context of growing increase in number of higher education
institutes, discuss the need and importance of effective management in higher
education institutes
2) Discuss the evolution of management thought and contribution of various
management gurus
3) Discuss the principles of management and their applicability in education
institutes. .
4) Discuss the contribution of education scholars towards the understanding

the nature of organization of education institutes and implementation of
management processes
5) What role does strategic management play in managing higher education
institutions? '. .
6) Suggest the steps to be taken by education institutes to modify themselves

in the light of technological innovations
8.11 FURTHER READINGS

Rodrigues, L. C. ; Maccari, E. AM. and Almeida, I. R. de (2004), "Knowledge
Management in Higher Education: the busioness-side performance" THE
INTERNET SOCIETY 2004,
Skiathos (Greece). Proceedings of The Internet Society: Adavances in Learning,

Commerce and Security. Southampton: WIT Press, 2004. v. 1, p.309-318.
Niradhar Dey (2011), "Higher Education Institutions in India and its

Management", International Journal of Academic Research in Business and
Social Sciences, April, YoU, No. 1
Hungate, T. (1964). Management in higher education. New York: Bureau of

Publication, Columbia University.
31
Contemporary Aspects on
Institutional Management
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cfi ~ it oT ~ MlCfi(j~ etT ~ q;r 3lNR m
tl ~ O?IT 3p:f CfiHorf ~ ~ ~ i{Ci~
fqq¥H113fr 'CfiT ~ ~ ~ ~ cm~ ~ ~
~tl"
'Education is a liberating force, and in

our age it is also & democratising force,
cutting across the barriers of caste and
class, smoothing out inequalities imposed
by birth and other circumstances"
- Indira Gandhi
I
. Ignou
III
MES-046
~ lHE PEOPLE'S Higher Education
. . UNIVERSITY
Indira Gandhi
School of Education
Block
4
CONTEMPORARY ASPECTS ON INSTITUTIONAL
MANAGEMENT
UNIT 9
Management of Infrastructure and FinaIlclal Res~urces 5
UNIT 10
Management of Human Resources and Instructional
Planning 18
UNIT 11
Management of Material Resources 35
UNIT 12
Emerging Concepts of Management 57
':
'I
)
Expert Committee
Prof. B.N. KouJ Prof. S.Y. Shah
Former PVC Group of Adult Education'
JNU, New Delhi
Prof. C.R.K. Murthy
Prof. Nalini Puneja

NUEPA, New Delhi
Prof. G Natesan DU,Delhi
Course Team
Ms. Namrata Sandhu Prof. C.B. Sharma
Chitkara Business School School of Education
Chitkara University IGNOU, New Delhi
Punjab
Content Editing
Prof. C.B. Sharma
Dr. Taminder Kaur
School of Education
Chitkara Business School
IGNOU, New Delhi
Chitkara University
Punjab
Language Editing Unit Design & Format Editing

Ms. Roma Banerjee Prof. C.B. Sharma
Independent Consultant School of Education
Social Development IGNOU, New Delhi
Ms. Kamlesh
IGNOU
Material Production
Prof. N.K. Dash Mr. S.S. Venkatachalam
February, 2014
ISBN: 978-81-266-6676-8
Laser Typeset by Tessa Media & Computers, C-206, A.F.E.-U, Okhla, New Delhi.
Printed at : Akashdeep Printers, 20-Ansari Raod, Daryaganj, New Delhi-ll0002


Unit 4 Higher Education Institutions: The Structural Basis at
Macro Level
Level
Unit6 Higher Education Institutions: Governance at College
Level

UnitS Management Processes in Higher Education Institutions

Planning
BLOCK 4 CONTEMPORARY ASPECTS OF
INSTITUTIONAL MANAGEMENT
Introduction
In the earlier blocks of this course you have already gone through the perspectives
of managing higher educational institutions, structure of higher education and
management process and leadership. This block discusses the contemporary
aspects of institutional management. This block will be of interest to those who
have taken upon various issues of management in educational institutions, such
as teachers, principals, administrators and policy makers. This block discusses
the emerging aspects of management in educational institutions. It is essential
for the educational institutions to manage their resources well and look upon the
contemporary aspects of institutional management so as to bring upon total quality
management.
This block has four units. The overall objective of the units is to provide theoretical
basis of institutional management. In Unit 9, we have discussed the Management
of Infrastructural and Financial Resources in educational institutions. This
unit throws light on the need and ways of managing the infrastructure and financial
resources in educational institutions.
The Unit 10 entitled Management of Human Resources and Instructional

Planning discusses the concept of human resource management and instructional
planning. After going through this unit you will be able to explain the role and
importance of the human resources in the educational institutions by enlisting
their functions. Further, it will enable you to give a rationale so as to justify the
need of instructional planning.
Unit 11 entitled Management of Material Resources identifies the various

types of material resources and throws light upon the need of managing these
resources in educational institutions. It also examines the procedures that
educational institutions need to adopt for managing the material resources
efficiently and economically.
Unit 12 deals with Emerging Aspects of Management, we have discussed the

nuances of knowledge management in organisational planning. It further deals
with the essentials of management of diversity and the issues pertinent to ~
management in the present scenario.
We hope you enjoy working through these units and reflect upon various
contemporary aspects of institutional management.
, \,
UNIT 9 MANAGEMENT OF
INFRASTRUCTURE AND
FINANCIAL RESOURCES
Structure
9.1 Introduction - Part-I: Infrastructure Management
9.2 Objectives
9.3 Repair and Maintenance of Assets
9.4 Organisation for Estate and Infrastructure Management
9.5 Outsourcing Facility Management and Repair and Maintenance Operations
9.6 Introduction - Part-II: Management of Financial Resources
9.7 Basics of Financial Accounting
9.8 Budgetary Process
9.9 Monitoring and Re-appropriation of Budgetary Allocations
9.10 Unit-end Activities
9.11 Recommended Reading
9.12 Answers to Check Your Progress
9.1 INTRODUCTION- PART I: INFRASTRUCTURE

MANAGEMENT
The Oxford dictionary defines infrastructure as the basic systems and services
that are necessary for an organization to run smoothly. For example buildings,
transport, water supply and power supply form an integral part of infrastructure
of any organization. With the advent of technology services like Information and
Communication Technology (ICT) also get included under infrastructure. Further
management of infrastructure implies getting optimal value from the existing
facilities. In fact, infrastructure management involves a multi disciplinary
approach encompassing sustaining assets like buildings - both academic and
administrative, utilities like water and power supply, refrigeration and air
conditioning services, communication and internet services etc. In this unit we
would study the Infrastructure Management in a higher educational institution.
Management-of infrastructure has two aspects; firstly to utilize the resources in

an optimal manner to ensure that maximum value accrues to the organization
and secondly to ensure that the assets are maintained at the peak of their efficiency
at all times. Getting the maximum output from the available resources involves
meticulous planning, judicious efforts, employing right resource for the precise
job, building in redundancy to ensure that work of the organization does not
suffer in case of any breakdown. At the same time it is important to ensure that
systems and procedures guarantee flawless operations. It must be made sure that
an resources are maintained with efficiency, involves creating and organizing
for putting in place systems and procedures for repair and maintenance of assets.
In this unit we would be mainly concentrating on repair and maintenance of
assets. .
5
Institutional Management 9.2 OBJECTIVES
After going through this Unit you should be able to:
• Explain the nuances of Infrastructure Management create and manage an
organization for maintenance of assets relating to civil, electrical and
mechanical engineering.
• Have a grasp of management of leT resourcesthat includes their operation
and maintenance.
• Describe the budgetary process.

• Apply latest concepts to generate income from various sources for an
academic institution and plan and control its expenditure.
• Explain the annual statements of account and cash flow statements.
9.3 REPAIR AND MAINTENANCE OF ASSETS

From times immemorial maintenance has been implied to mean the need to
appropriately preserve an asset. Proper maintenance ensures productivity of an
asset is consistently maintained at an optimum level of their efficiency. Thus,
maintenance has developed from just repair jobs to preventive maintenance to
ensure dependability of the systems. Therefore, over a period of time various
procedures have been developed to include regular maintenance, predictive
maintenance and periodic maintenance of assets. The emerging concepts of
maintenance also include system safety, economic viability, quality, and the most
appropriate use of environmental resources.
I
ORGANISATIONAL NEEDS
I
I
!
ASSET MANAGEMENT SYSTEM
• Condition Assessment
• Past Data Collection 41 .: OPERATIONS &MANAGEMENT I

• Maintenance Plan
• Financial Forecast
• Works Management
• Inventory Management
• Customer Service Cell
/
1
I PREDICTIVE MAINTENANCE I I PREVENTIVE MAINTENANCE I
r
,
CAPITAL ASSETS
Acquire/ Construct
Operate and Maintain
Retire/Replace
Fig. 9.1:Asset management model

6
The repair and maintenance of assets in any educational institution would involve Management of
Infrastructure and
a multidisciplinary approach encompassing management of civil, mechanical Financial Resources
and electrical engineering resources. It is imperative for a manager to understand
the concept of preventive maintenance and learn to devise a reliable maintenance
plan based on the needs and the environment of an organization. By virtue of
their nature the ICT assets need altogether a different type of expertise and would
almost always involve the participation of external agencies, apart from the
inherent support of organizational resources. A diagrammatic representation of a
system for management of infrastructure is as given below (Fig 9.1):
9.3.1 Repair and Maintenance of Civil Engineering Assets

Civil engineering assets include buildings, water supply, fire fighting system,
fixtures - such as doors, windows, joinery, blackboards, whiteboards, railings -
roofs, false ceilings, trusses for roofs, flooring, roads, footpaths, drains and other
types of structures that may have been constructed such as boundary walls, gates
and decorative structures. Normally, the concrete or brick masonry structures
have a long life and their maintenance involves periodic maintenance services
like repair to plaster-work, painting, white washing etc. Such repair and
maintenance tasks may also result in inconvenience to users and, therefore, are
best planned to be carried out during vacations in an educational institution.
Similarly, internal periodic maintenance like painting and white washing could
result in serious disruptions and should be planned during vacations. The above
implies that there is a need to prepare a periodic maintenance plan every year"
keeping in mind the academic calendar, weather conditions, physical condition
of assets, the required periodicity of particular type of jobs, and the availability
of resources. The day to day maintenance may mostly require repair to fixtures,
joinery, replacement of window panes, repair to roads, pavements.restoring water
supply, repair to taps and other fixtures, repairing and clearing clogged drains
etc. Personnel like carpenters, welders, masons, painters and plumbers would
need to be hired to support the maintenance services for civil engineering assets.
Water supply has its own peculiar requirements. An organization may obtain
water from municipal sources or it may have its own arrangement to pump water
from underground aquifers or from a surface source like lake, river or spring.
Normally, water obtained from a municipal source would be treated before
supplying to the consumers and may not require any further purification process.
However, water pumped from underground or surface sources would have to be
tested and treated before it is supplied for consumption. In addition, there is
considerable stress on conservation of water as a resource. Thus, an educational
organization may plan for rain water harvesting and use the water so collected
for arboriculture and even treat it and supply it for human consumption. Roof
top solar water heaters also form part of such assets. Such measures, if adopted,
go along way in:conserving the resources and also result in considerable financial
savings.
9.3.2 Repair and Maintenance of Electrical and Mechanical

Engineering Assets
Electrical and mechanical assets include plants and machinery like generators,
power inverters (uninterrupted power supply system - UPS), boilers, air
conditioners, "refrigeration equipment, water coolers, lathes, drilling machines
etc. Specific ~oelectric installations are transformers, power station and the system
7
Contemporary Aspects on for supply of power to the campus. In addition internal electric wiring, fixtures
and electrical appliances are included in this category. All these assets require
constant maintenance to ensure provision of uninterrupted services. Predictive
maintenance based on the knowledge of the plant, equipment and machinery
and the past statistical data should form the backbone of any maintenance system
designed for these types of assets.
The management of electric supply is dependent upon the infrastructure obtaining

in an organization. Invariably, in large higher educational institutions the
requirement of energy is very heavy and the power supply is obtained from state
electricity boards. It is generally from a power station set up by the institution
and thereafter it is distributed to various departments. It involves setting up own
transformers and power distribution panels. The total load required by the
institution needs to be worked out and a suitable power connection is obtained
, from the state electricity board. Standby generators have to be installed to ensure
uninterrupted power supply. The generators invariably cause lot of noise and air
pollution. Thus, their location, especially in an educational institution, needs to
be selected very carefully. There are silent generator sets available which are
ideally suited for educational institutions.
The above considerations are also applicable to other services like the fleet
management services that are dependent on mechanical engineering or allied
disciplines, to ensure reliability and optimum availability of the fleet of vehicles
of the organization.
Electrical and mechanical assets require specially trained manpower like

electricians, vehicle mechanics, refrigeration mechanics, fitters, artificers and
mill wrights etc. The latter two are especially required for workshop equipment.
Efficient usage of the machinery and utilization of electricity are cornerstones of

good management practices. Detailed instructionsfor conservation of energy
and using the machinery only when required are essential components of a
management plan. Use of solar energy for street lighting fitted with photo-voltaic
switches is another method to conserve critical resources and could result in
lower power utility bills.
9.3.3 Maintenance of leT Resources

The rapid advances in technology in the past two decades and the advent of
internet has made the world rely more and more on information technology.
. There was a time when IT infrastructure meant the hardware, software and the
related network. But, with the increasing reliance of the world on IT, it now
encompasses IT policy and strategy, planning and design of IT architecture,
procurement and installation, management of hardware, software and other related
.tools and equipment, IT security, IT personnel and expertise, information services
audit, application development and vendor management. Therefore, there are c
tremendous demands on the performance, capacity and availability of IT

infrastructure. The complexity of what to manage and how to manage optimally.
is compounded by the sheer number of users, who invariably like to experiment
and test the capacity of the system to its limits. That is particularly true in a
higher educational institution. Thus, the IT infrastructure management involves
the following:
8
• Optimization of IT infrastructure to meet the institution's needs. Management of
Infrastructure and
• IT infrastructure monitoring and testing services. Financial Resources
• IT security processes.
• Deployment of Enterprise Resource Planning (ERP) package, its
implementation, maintenance and further development.
• IT infrastructure maintenance services.
Today's higher educational institutions have come to rely on uninterrupted

availability of platforms, applications and data. The impact of down time in a
higher educational institution that has come to rely on its IT infrastructure could
cause serious disruptions in the functioning of the organization. Thus, achieving
high service availability requires a combination of skilled work force, processes
and technology. .
Management of IT infrastructure demands laying down and implementing the

policy for the end users, hiring manpower with requisite skills, developing and
putting in place processes and procedures for upkeep of the systems adapted to
the need of the organization. It invariably involves creating an in-house team of
IT professionals and also requisitioning the support of external agencies on regular
basis. A combination of in-house teams and outsourcing the services generally is
an economical model.
Check Your Progress

Note: a) Space is given below for writing your answers.
b) Check your ans~ers with those given at the end of this Unit.
1) What points would you keep in mind while preparing a periodic
maintenance plan?
2) What environment-friendly measures could be incorporated in an Assets

Management Plan?
.
................................................................................................................ .
9
Institutional Management. 3) What does the management ofIT infrastructure involve?
•••••••••••••••••••••••••••••••••••••••••••••••.••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• '0 •
• • • • • • • • • • • • •• • • & , •••••••• I ••••••••••••••••••• ~ ••••••••••••••• ;, •••••••••••••••••••••••••••••••••••••••••••••••••
• • • • • • • • • • • • • • • • • • & •••• ~ •••••• ~ ••••••••••••••••••••••••••• ;. ••••••••••••••••••••••••••••••••••••••••••••••••••••
9.4 ORGANISATION FOR ESTATE AND

INFRASTRUCTURE MANAGEMENT
The estate management scenario demands closer links between optimum
utilization of resources, their proper repair and maintenance and high quality of
services that are provided. It involves creating a functional organization, good
operational procedures, and a functional repair and maintenance services plan.
The services must meet the expectations of quality, effectiveness and efficiency.
Thus, a strategy that enables appropriate controls and measures the results of
services being provided has to be devised. It involves regular inspections based
on check lists and obtaining feedback from the users. The operations could be
divided into two categories; the day to day operations to maintain the estate,
security and to provide periodic services for operation of equipment and
machinery. Operations involving maintenance of estate comprise of housekeeping
jobs like providing a clean and healthy working environment mainly by
conservancy services and aesthetical aspects provided by arboriculture services.
Security of assets and personnel and protection against fire hazards also form an
integral part of estate management services. Special teams of personnel
comprising managers, supervisors and workers need to be created and standard
operating procedures devised to ensure high customer levels. A complaint
management cell is an integral part of such an organization where the users can
lodge their complaints. The composition and the size of the maintenance teams
would depend on the location, nature of operations, and extent of the estate and
peculiar requirements of the organization. Inventory control is another aspect
that needs to be kept in mind while stocking the repair material and spares for
maintenance. The scale and level of spares required and the stock of maintenance
material required should be worked out in detail to ensure that the functioning of
an organization does get adversely affected because the required spares or
10
.
maintenance material is not available in the stores. A typical organization for Management of
Infrastructure and
repair and maintenance operations could be as given below (Fig 9.2): Financial Resources
ORGANISATION FOR INFRASTRUCTURE MANAGEMENT
(Repair and Maintenance)
In-charge Adm inistration I

+
!
Maintenance Engineer M aintenance Cell
'----'
1 Lift -'"Transport
Electrical & Refrigeration & Air
ICiVil Works CelllCell I Manager
Mechanical Cell Operator
I conditioning Cell
I JE (Civil) 1
Refrigerator &
Air-conditioner
Mechanics
Ma intenance JE (E&M)
I I
Teams*
t " 1i
•
•
•
Maron
Carpenter
Plumber
.-----"-1
Asst. ManagJr
Repair &
1 Asst. o
Manager
Maintenance
Liaison
Electricians
Vehicle Mechanic Tyre

Electricians
Mechanics repair
* No. ofteams depends on the size of the campus

o Liaison with external agencies and extent of infrastructure.
Fig. 9.2: Organisation for infrastructure management
9.S OUTSOURCING FACILITY MANAGEMENT

AND REPAIR AND MAINTENANCE
OPERATIONS
Facility management encompasses multiple disciplines to ensure functionality
of an organization by integrating people, place, processes and technology. Over
a period of time organizations have come up that specialize in facility management
operations. On the other hand more and more organizations have come to the
point of view that they should not deviate their attention .from their core focus
areas and operations like facility management could be outsourced to agencies
IJ
Contemporary Aspects on specializing in that field of operation. The concept is based on the premise that
facility management is the practice of coordinating the physical workplace with
the people and the work of the organization, integrating the principles of business
administration, aesthetics, and behavioural end engineering sciences. Outsourcing
facility management could range from subcontracting some aspects of operations
to complete gambit of facility management being handed over to an outside
agency to manage and operate. Though relying on external sources enables skilled
and qualified personnel to perform various tasks but the outsourcing of these
services has to be carefully assessed and properly managed through appropriate
standards and key performance indicators.
Typically outsourcing is carried out through a contract that lays down the scope
of the services to be provided, the performance levels including time-lines, and
the fee to be paid. The performance levels are denoted by certain Key Performance
Indicators (KPIs) which must be clearly enunciated in the contract. The contracts
invariably have penalties associated for not meeting with the KPIs and sometimes
also have rewards when performance levels are outperformed. Therefore a
maintenance information system needs to be devised and put in place to monitor
and control the performance levels achieved. The duration of the contract should
be clearly specified and any extension clause clearly incorporated. The terms
and conditions for premature closure of the contract also should be clearly
specified. Further, the use of consumables their costing and mode of payment
should be incorporated in the contract. Similarly, the cost of spare parts for
machinery and other equipment and the responsibility to meet the costs should
be built in to the contract. The permissible downtime of equipment and the
penalties associated in case it is exceeded should also be specified. In order to
allow the vendor to perform his tasks satisfactorily the outsourcer would have to
make his premises and equipment available to the former for certain specified
periods. Clauses incorporating such cooperation between the outsourcer and the
vendor would ensure that there is no cause for any dispute later. Service Level
Agreements incorporating the above should be drafted, scrutinized and finalized
to ensure smooth functioning of the outsourced services. It is also always prudent
to seek legal advice before finalizing such agreements.
Check Your Progress

b) Check your :ILi,wers with those given at the end of this Unit.
4) What are the two categories of estate and infrastructure management
operations?
5) What are the essential features of an Infrastructure Maintenance Contract?
12
Management of
9.6 INTRODUCTION - PART-II: MANAGEMENT Infrastructure and
Financial Resources
OF FINANCIAL RESOURCES
"-
It goes without saying that Finance is the cornerstone of the enterprise system.
Good financial management is vitally important to the economic health of all
organisations and hence to the nation and the world. Because of its importance,
finance needs to be widely and thoroughly understood, but this is easier said
than done. The field is complex, and it undergoes constant change due to shifts _
in economic conditions. All of this makes finance management a stimulating
and exciting, but challenging and sometimes perplexing domain. An academic
administrator, therefore, needs to be well versed with the nuances of financial
management to enable him to get optimum value from the funds that would,
more than often, be very scarce.
9.7 BASICS OF FINANCIAL ACCOUNTING

(
Managing financial resources requires knowledge of accounting procedures.

Financial accounting helps in keeping proper books of accounts and also facilitates
the use of this information in preparation of financial reports that are so vital to
decision making. A financial statement provides information about financial
position, performance and financial adaptability of an organisation.
Managing financial resources involves meeting the current expenditures with

receipts while also providing for replacement of any depreciating assets and
acquiring new assets, as the case may be. Obviously, the process has to conform
to the organisation's objectives. The annual accounts presented at the end of a
financial year are knOW:1as the Balance Sheet and a summary statement of cash
movement over the year is known as Cash Flow Statement. It goes without saying _
that financial accounting would need a very reliable data collection system. The
data collection system includes record of income from various sources,
expenditure under various heads like wages and salaries, payments to vendors; it
also includes record of value of physical assets. The accounting system records
such transactions through a process known as double entry book keeping. It
recognizes two types of data entries, a debit and a credit, and the logic of this
process means that the total of debit entries must equal to the total of credit
entries, which signifies the terms, 'balancing the books' and the 'balance sheet'.
As a good administrator you must understand the basic concept of these and
should be able to read a balance sheet properly. While maintaining the books
remains in the domain of the accountants or the finance department they must
provide information to the administrators for the process of decision making,
planning and control. The above implies that as an administrator you must have
a good understanding of the budgetary process to control the finances effectively
and, thereafter, should be able to allocate the funds, monitor their utilization and
at the end of the year you should be able to read the balance sheet to get a grasp
of the financial health of your organization. We will discuss the Balance sheet
after we understand the Budgetary Process.
9.8 THE BUDGETARY PROCESS

A budgetary process assists an organization in-creating and approving a budget.
A budget is basically a record of the likely income and expenditure in a particular
13
Contemporary Aspects on year and also gives the allocations of funds under various heads. It is a process
that follows a 'bottoms up' approach. It implies that the departments of an
organization work out the details of their likely incomes and expenditures and
submit those to the higher authorities. Data received at the top level of the echelon
is then analysed and discussed and, thereafter, based upon the organisation's
objectives and the availability offunds the budgetary allocations are made. A
typical budgetary process in a higher education institution may follow the
following steps:
• The Finance Department prepares worksheets to assist the department heads

in preparation of departmental budget estimates
• The head of the institution calls a meeting of the department heads and they
present and discuss plans for the following year's projected level of activity.
• The department heads work with the Financial Department, or work alone
to prepare an estimate for the department's ensuing year.
• The completed budgets are presented by the department heads to the head
of the institution for review and approval.
• The budget is thereafter-approved in a meeting of the statutory body like the

Finance Committee of the institution and budgetary allocations for the
ensuing year are made.
Budgeting needs to be done in a proper and meaningful way so that it covers all
the objectives of the institution. A successful budgeting process will ensure that
these objectives are achieved for the success of the organization. Example of a
typical Capital Expenditure Budget for a higher education institution is given
below:
Table 9.1: Capital Expenditure Proposal for 2010-11

Description Budget Budget Actual up Estimated' Actual up
2010-11 2009-10 to Dec 2009 2009-10 to 2008-09
Buildings
Furniture & Fixtures
Plant & Machinery
Computers & UPS
Total
An Operating Budget gives out the balance between income and expenditure
while the, surplus if any, is devoted to the capital expenditure. Income is generally
derived from the academic fees collected, the hostel fees, sale of prospectus,
grants received from government or private agencies, registeration charges for
seminars or workshops conducted by the institution, examination fee, rent from
staff for accommodation, rent from vendors who may be running shops in the
campus and so on. The expenditure would be on salaries of academic and
administrative staff, remuneration to guest faculty, overtime allowance,
expenditure .on seminars/workshops and other events, rent paid, insurance of
assets and also of employees, local travel expenses, advertisements/admission
notifications, stationary charges, telephone and internet charges, electricity and
14
water bills, cost of consumables, .repair and maintenance of assets, postage Management of
Infrastructure and
expenses, expenditures by different departments, loan repayment and interest Financial Resources
paid on outstanding loans and so on. It may be noted that the purpose of preparing
a budget is to work out the anticipated income and, thereafter, plan the expenditure
so that it remains within limits. A budget would also give an indication of surplus
or deficit likely to be encountered at the end of the financial year. The layout of
a typical Operating Budget for a higher education institution is as given below:
Description Budget Budget Actual

2010-11 2009-10 Upto 31. Estimated Estimated
Dec2009 Jan-Mar 2010
2010
Income
Fees
Grants from DST
Seminars &
Workshops
Total Income
Expenditure
Salaries
Consumables
Electricity & water
charges
Repair & Maintenance
Total Expenditure
Surplus/Deficit
Note: Items listed under 'Description' are only for the sake of illustration. These would vary
from institution to institution based on its environment and needs.
It may be noted that the budgetary process for a financial year would usually
start by the month of October of the previous year and the. budget proposals
would be finalized by the month of February of the previous financial year.
Budgetary proposals are prepared keeping in mind the requirements of the ensuing
financial year and the availability of funds. Past expenditure is usually reflected
to serve as a guide. Please note that in the Operating Budget shown above the
actual expenditure up to December 2010 has been reflected because in the months
of January/February figures would be available up to that period. Anticipated
expenditure for the remaining months of the financial year 2009-10 has been
shown. Thus, estimated expenditure up to March 2010 would then be available
to serve as a guide for the financial year 2010-11.
A Cash Flow statement, though not an essential part of an Operating Budget,

helps in assessing when funds could be expected and, thus, when the expenditure
could be planned. Thus, it is a good decision making tool.
15
Institutional Management 9.9 MONITORING AND RE-APPROPRIATION OF
BUDGETARY ALLOCATIONS AND AUDITING
After the budgetary allocations have been made to various departments the
utilization of funds must be monitored very closely at regular intervals. Normally,
budgetary allocations are made before the beginning of financial year on April
1", Thereafter, the utilisation of the funds must be monitored after every two
months. At the end of October, a meeting of the Finance Committee should be
convened to review the position of utilization of funds. In case required, the
funds must be re-appropriated between various departments keeping in mind
their requirements and their ability to gainfully utilize the funds allocated to
them. The funds allocated after such a review meeting are termed as final
budgetary estimates. These should then form the basis on which the expenditure
at the end of the financial year must be reviewed, audited and a balance sheet
prepared. .
,
The process of auditing starts after the process of,accounting. It implies that all
expenditures have been incurred and accounted for. An auditor would verify the
transaction and check if it is as per the rules and norms and also check if the
organizational interests have been catered for. The auditor critically analyses the
accounts and financial statements prepared by the finance department. Audit is
generally carried out by certified chartered accountants. Auditors in government
departments are specifically nominated. They may belong to the university or
may be from the Department of Audits of the government. An audit report is
prepared after the completion of the process of audit. The auditor comments on
the truthfulness and fairness of financial statements and transactions.
Check Your Progress

b) Check your answers with those given at the end of this Unit.
6) What steps are generally followed while preparing a budget?
••••••••••••••••••••••••.••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 11:
...............................................................................................................
,
••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 8 ••••
7) What considerations are taken in to account while preparing an operating

budget?
16
Management of
9.11 SUMMARY Infrastructure and
Financial Resources
Infrastructure resources require lot of capital expenditure to build and their proper
utilization and upkeep add to the efficiency of an organization. Thus, detailed
planning, a proper organization for repair and maintenance and efficient systems
for the functioning of the repair and maintenance organization would go a long
way in achieving satisfaction of the users. Financial resources are always scarce
and proper budgetary control and good implementation of the budget will ensure
in getting the right value for the money.
9.12 UNIT END ACTIVITIES

1) Suggest an organizational chart for maintenance of your institution.
2)' Prepare a draft of an MOU to be signed with an outsourcing agency for
carrying out maintenance your campus.
3) Prepare an Operational Budget for the next year for your institution.
9.11 REFERENCES
1) 'Recent Advances in Maintenance and Infrastructure Management' by
Roberto D. Cigolini, Abhijit V. Deshmukh, Lorenzo Fedele, Sara A ..
McComb; Editors; Springer- Verlag, London
2) 'Fundamentals of Financial Management' by Eugene F. Brigham and Joel F.

Houston, University of Florida; South-Western Cengage Learning
9.12 ANSWERS TO CHECK YOUR PROGRESS

1) Academic calendar, weather conditions, physical condition of assets, the
required periodicity of particular type of jobs, and the availability 'Jf
resources.
2) Rain water harvesting, use of recycled water for arboriculture, roof top solar
water heaters, use of solar energy for street lighting fitted with photo-voltaic
switches.
3) Ref Sec 9.3.3
4 Day to day operations to maintain the estate and security etc.; periodic services
for regular maintenance of the infrastructure.
5) Ref Sec 9.5·
6) Ref Sec 9.8
7) Ref Sec 9.8
17
UNIT 10 MANAGEMENT OF HUMAN
RESOURCES AND INSTRUCTIONAL
PLANNING
Structure
10.1 Introduction
10.2 Objectives
10.3 Meaning, Scope, Objectives of Human Resource Management
10.4 Policies and Functions of Human Resource Manager
10.5 Human Resource Management Practices in India.
10.6 Planning-Institutional and Instructional
10.7 . Human Resource Planning: Definition, Objectives, Process and Importance
10.8 Job Analysis, Description, Specification and Job Evaluation
10.9 Recruitment, Selection, Placement and Induction Process.
10.10 . Staff Development, Motivation, Supervision and Performance Appraisal
10.11 Challenges Faced by the Institution Head/Manager in Educational
Institutions
10.13 References
10.1 INTRODUCTION
In the present era of knowledge economy the management of Human Resources
is an issue of paramount importance because of its reliance on intellectual capital.
It assumes still higher importance in the field of education because the human
beings - both the faculty and the students -like to impress upon their individual
personalities, traits and outlook towards the profession. It is a crucial factor in
determining the growth and prosperity of any educational institution. The complex
technological advancements in almost every sphere of educational research and
training make it imperative on the part of the leaders of educational institutions
to understand the role of intellectuals - human resources - and to ensure optimum
output from this vital resource. Effective planning of instructions for the human
resources of an educational institution is the key to motivating students' academic
growth. Instructional Planning on the part of the faculty of the educational
institution involves the preparation necessary to meet the individual needs. The
purposeof Instructional Planning is to support faculty in the process of analyzing -
student learning needs, designing instructional material and activities, developing
effective methods for implementation, recognizing quality and assisting in
continuous strengthening and improvement of the academic/learning processes
as well as the support services in the instruction component. Instructional and
institutional planning are the core functions of education management. Success
and failure of the management is success and failure of the manager. An
educational organization has to abide by all important management functions
i.e; planning, coordinating, supervision, material and financial management. This
unit examines the concept, needs and objectives of management of human
18 resources vis-a-vis the importance of instructional planning.
Management of Human
10.2 OBJECTIVES .Resources and Instructional
Planning
After going through this unit, you should be able to:
• Define Human Resource Management •

• Identify the nature and objectives of Human Resource Management
• Elaborate upon the importance of Human Resource Management in educational
organisation
• Enlist the Functions of Human Resource Manager
• Understand the rationale of Instructional and Institutional Planning
• Apply the knowledge of Human Resource Management in your organization
10.3 MEANING, SCOPE, OBJECTIVES OF HUMAN

RESOURCE MANAGEMENT
Human resources are certainly the key resources in an organization and depending
upon the environment and particular situation are the easiest and also the most
difficult to manage. It goes without saying that an organization's success or failure
depends more on the effectiveness of its human resource management than on
any other single factor.
Human resource may be defined as the total knowledge, skills, creative abilities,
talents and aptitudes of an organizational workforce, as well as the values, attitudes
and benefits of an individual in the affairs of the organization. According to
Oliver Wendell Homes (was Professor at Harvard University), "the greatest
tragedy in America is not the destruction of our natural resources, though-the
tragedy is great, the truly great tragedy is the destruction of our human resources
by our failure to fully utilize-our abilities, which means that most men and women
go to their graves with their music still in them". Therefore, it follows that effecti ve
human resource management is the key to effective operations of any organization.
It must also be remembered that a significant part of the operational budget of
any organization is spent on its people and their associated costs. Therefore, it
follows that human resources can effectively add value to an organization. The
activities of any organization are dependent on the effective choice, allocation,
deployment and motivation of its people.
Human resource management (HRM) has come to be recognized as an inherent

part of management, which is concerned with the human resources of an
organization. Its objective is maintenance of better human relations in the
organization by the development, application and evaluation of policies, procedure
and programmes relating to human resources and to optimize their contribution
towards the realization of organizational objectives. In other words, HRM is
concerned with integration; getting all the members of the organization involved
and working together with a sense of common purpose.
The scope of HRM is very wide and may encompass the following:
• Personnel aspects: This is concerned with manpower planning, recruitment,

selection, placement, transfer, promotion, training and development and
retrenchment, remuneration, incentives, productivity, etc.
19
Contemporary Aspects on • Welfare aspects: It deals with working conditions and amenities such as
canteen, creches, housing, transport, medical assistance, education, health,
safety and recreational facilities, etc.
• Industrial Relations aspect: This covers trade union management, relations,

joint consultations, collective bargaining, grievance management and
disciplinary procedures, settlement of disputes, etc. In our case, we are dealing
with educational institutions as an industry. Teachers unions and relations
with other stake holders cover the industrial relations aspects in education.
Thus, the objectives of HRM are to achieve maximum individual development,

conducive working relationship between employers and employees, and to effect
the moulding of human resources as contrasted with physical resources. The
overriding objective ofHR..M.is to contribute to the realization of organizational
goals. However, the specific objectives of personnel HRM are:
.' To ensure effective utilization of human resources. Once the human resources
are effectively utilized all other organizational resources will tend to be
optimally utilized by the people in an organization.
• To ensure alignment of individual goals with those of the organization. It

would bring about a synergy in all the activities and operations of an
organization.
• To achieve and maintain high morale among employees.
• To provide the organization with well trained and well motivated employees.
• To increase to the fullest the employees' job satisfaction and self actualization.
• To develop and maintain a quality of work life balance that is so important

in today's hectic work environment,
• To be ethically and socially responsive to the needs of the society.
• To develop overall personality of each employee in its multi dimensional

aspect. After all each employee has his/her own personality with different
needs to nurture it. Special endeavours are needed to identify the specific
needs of the employees and measures instituted to meet those.
• To enhance employees'. capacities to perform the present job. This involves

skill Cevelopment. The requirement would also be different at different
hierarchical levels. Thus, identification of skills that are required to be
developed and strategies needed to inculcate those assume major importance.
• To inculcate the sense of team spirit, team work and inter-team collaboration.
• To identify and satisfy the needs of individuals by offering various monetary

and non-monetary rewards. It also implies that achievements need to be
recognized and rewarded. Thus, measures like performance based increment
system are some of the means adopted to reward employees based on their
performance.
20
Management of Human
10.4 POLICIES AND FUNCTIONS OF HUMAN Resources and Instructional
Planning
RESOURCE ]\tIANAGER IN AN
EDUCATIONAL INSTITUTION
India has one of the largest higher education systems. Though, as per the Indian
constitution, education is on the concurrent list, the central government generally
lays down the major policies relating to higher education in the country. The
Ministry of Human Resource Development (MHRD) plays an important role in
this field. The benefits of preparing policies are as follows:
• Policies facilitate better administrative control

• Policies help heads of educational institutions to act with confidence without
the need for consulting the superiors' every time.
• It is easy for the' management to frame the objectives in tune with the
guidelines of the institution,
• Policies save time and effort by pre-deciding problems in repeti.ive situations.
Educational institutions need to frame policies with regard to academics,

administration, admissions, recruitment, service rules, welfare policies, etc. These
institutions should take in to account the norms and regulations of regulatory
bodies while framing the policies.
The top management, while deciding personnel policies must take the human
resource manager or the personnel manager into confidence because he/she is
the person who is mainly concerned with supporting the human resource functions
and implementation of human resource programmes' and policies. Personnel
policies must cover all areas of HRM like:
• Employment policy.
• Training and development policy.
• Transfer and promotion policy.
• Compensation policy.
• Integration and human resource policy.
• Performance Appraisal
• Reward and Punishment policy
• Working conditions and welfare policy.
In most reputed organizations, personnel department is set up under the leadership

of personnel managers who have specialized knowledge and skills. The personnel
managers perform managerial, operative and advisory functions. The managerial
aspect involves preparation of the personnel policies and laying down directions
for their implementation. The operative part, as the name implies, includes
implementing those policies that may include recruitment, training and
development, remuneration, compensation, conducive working conditions,
maintaining of service records, performance appraisals and promotion! increment,
reward and punishment redressing grievances, dispute resolution, and finally
modalities for retirement, retrenchment or for contingencies when an employee
decides to leave an organization. It must be 'remembered that managing human
21
Contemporary Aspects on resources is a very complex task because of the various intangible factors that
In stitutional Management
are involved in managing the same. It requires peculiar skills and understanding
of human psychology. A diagrammatic representation of functions of human
resource manager is as given below:
FUNCTIONS OF HUMAN RESOURCE MANAGER IN

EDUCA110NAL INSTITUTION
j
Managerial
I Operative
I Advisory I
~ ~ .~.
• Employment
• Advice to top
• Planning • Training & development
management
!• Organizing • Remuneration
• Advice to
• Directing • Working condition
departmental heads
• Controlling • Motivation
• Personnel records
• Industrial relation
I
• Separation
• Performance appraisal and
promotion / increment
• System of reward and punishment
10.5 HUMAN RESOURCE ]VIANAGEMENT

PRACTICES IN INDIA
The art or the science of HRM has been practiced by organizations since times
immemorial. In the Bhagavat Geeta, Lord Krishna not only makes Arjuna
spiritually enlightened, but also teaches him the art of self management, anger
management, stress management, conflict management, transformational
leadership, motivation, goal setting and many other aspects which are now
essential part of the functions of HRM in organizations.
The outlook of human resource management in India has witnessed sea change
in the last two decades, Economic liberalization in 1991 created a hyper
competitive environment. The influx of international companies into the Indian
market brought with them innovative and fierce competitiveness. Indian
companies were forced to adopt and implement innovative changes in their HR
practices. Increasing demand for skilled performance forced the companies to
shift focus to attract and retain high performing employees in a competitive
marketplace. In 1974, Engineer Sudha Murthi (She is an Indian social worker
and author: She was thefirst female computer engineer employed at Tata motors)
wrote a letter to JRD TATA to protest against gender discrimination in job
assignments in TELCO. Today most Indian companies are committed to providing
22
equal employment opportunities for all. The employers are realizing the value of Management of Human
Resources and Instructional
trained human resource, especially women, in India. Some organizations are Planning
changing their HR policies to retain, motivate and inspire their sincere employees.
Over the -last decade, India's vast manpower has played an ever increasing role
in its economic success story. Indeed the success of Indian companies is based
not on better access to raw materials or technology or patents, but, fundamentally,
upon human skills and their intellectual capital.
The effect of the liberalized economy has been felt in the education sector also.
It has expanded exponentially and is still expanding. The requirement of Industry
for skilled manpower has increased. Initially, the industry needed only process
managers and skilled work force for carrying out the operations because the
technology was mostly imported and all that was required was to establish the
enterprises and manage the processes. However, the environmen: has changed
now. and the industry needs problem solvers and knowledge creators. The R&D
set up in the industry is also developing very fast. Thus, the education sector in
India not only needs to expand quantitatively but also qualitatively.
Check Your Progress

1) Mention the nature of human resource management in your organization.
"
...•....•...••.•••.....••...•.•....•.......•.•...•..••..•.•..•.......•.•..•.•••••.....•. -t: •.. !. •••••••••••••••••
...........................................................................................................
, .
...
,
2) If you were the HR manager, how would you implement the policies of
your organization?
•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 1 •••••••••••••••• , •••••••••••••.
10.6 PLANNING-INSTITUTIONAL AND

INSTRUCTIONAL
Planning- Planning is an important aspect related to execution of any task. It is
rightly said "well planned is half done".
According to Koontz and O'Donell (Authors of the book- Principles of

Management), "Planning is deciding in advance what to do, how to do and who
is to do it. Planning bridges the gap between where we are and where we want to
go. It makes possible things to occur which would not otherwise occur".
23
Contemporary Aspects 011 Planning is needed in teaching and learning, in organization, in administration
and in business, etc. In educational institutions planning takes place in two ways.
I) Instructional Planning
,2) Institutional Planning
1) Instructional Planning: The purpose of instruction is to help the student
learn. The objective of instructional planner is to make learning easier, quicker
and more enjoyable. Planning helps the teacher in organizing teaching
learning environment effectively. The teacher plans instructions in orderto
realize instructional objectives set by him. The main purpose behind teaching
is to match the subject content with the abilities of students to enable them
to realize the learning outcome.
2) Institutional Planning: A plan which is prepared by the institution on the
basis of its felt needs for its own development and improvement is called
, intuitional plan. Two main factors are involved in Institutional planning: -
a) Human Resources: Teaching and Non-Teaching employees and students
are the Human Resource in an educational organization. In a higher
education institution include several functionaries viz. Vice Chancellors,
Principals, Deans, Heads of Departments, Teachers, Educational Planners
and Administrators play an important role.
b) Material Resources: Material resources are required for smooth
functioning of academic and co-curriculur activities of an educational
institution. Material resources include laboratory equipment, audio visual
aids and cultural aids, sports and games equipment, library, computer
centre, etc. You will read about material resources in detail in Unit 11
All educational institutions have a structured organization. The organizational
struction is based on a number of factors such as the goals and objectives of the
organization, level of the-institution, and other environmental factors. A manager
entrusted with planning (instructional and institutional), must be aware of the
organizational structure of his institution. A typical organizational chart of a
higher educational institution is shown below: -.
Organizational Chart of a Typical Higher Educational Institution
Chancellor
Vice- ~
Chancellor
I
I I I I I I I I
Dean Deans of Dean Dean Dean Dean
Chief Finance Examination Research and P!anning& Student's
Registrar Administra- Schools
Officer Development Development Weflare
tion
-1 HOD,
The growth and prosperity of an education' organization depends on skills;

capabilities and competence of human resources. Teacher is most important
human resource because he/she is directly involved in instructional planning
24 and sometime directly or indirectly involved in institutional planning.
Management of Human
10.7 HUMAN RESOURCE PLANNING: DEFINITION, Resources and Instructional
Planning
OBJECTIVES, PROCESS AND IMPORTANCE
According to Decenzo and Robbins (Authors of the book- Fundamentals of
Human Resource Planning) "Human resource planning is the process by which
an organization ensures that it has the right number and kind of people, at the
right time, at the right place, capable of effectively and efficiently completing
those tasks that will help the organization achieve its overall objectives"
HR planning is a continuous process of developing and determining objectives,

policies and programs that will procure, develop and utilize human resources so
as to achieve the goals of the organization. The major objectives of HR planning
in an organization are as follows: -
• To ensure optimum use of human resources currently employed.

• To avoid imbalances in the distribution and allocation of human resources.
• To assess or forecast future skill requirements for accomplishment of the
organization's overall objectives.
• To control the cost aspect of the human resources.
• To formulate policies for transfer and promotion.
It, therefore, follows that manpower planning should be given very careful
thought. Getting trained manpower is a difficult task. Moreover, it takes time to
train personnel to the desired level of their performance and to equip them with
requisite skills. Thus, it involves a lot of planning and forethought. The process
of manpower planning involves the following steps:
• The determination of objectives of manpower planning.

• Preparation of current manpower levels.
• Demand forecasting.
• Supply forecasting.
• Estimating the net manpower requirement.
• Action plan for redeployment or redundancy.
• Determination of job requirement of positions to be filled.
• Employment plan.
• Training and development programme.
• Motivation and guidance to ensure achievement of the full potential of the
employees and also to ensure retention of good manpower.
An appraisal of manpower planning must be carried out at regular intervals.
Corrective action should also be taken wherever it is necessary to remove
deficiencies in manpower planning.
Manpower planning is an important function of H~ as it helps in the following
ways:
• Manpower planning results in reduced human cost as it helps the management
to anticipate shortages or surplus of manpower and correct these imbalances
before the same become unmanageable. 25
Contemporary Aspects on • It forms the basis for planning employee development that is designed to
make optimum use of workers' skills within an organization.
• It enables identification of the gaps in the skill sets ofthe existing manpower
so that corrective training could be imparted. Moreover, improvement in
skills is an ongoing process and, therefore, requires a continuous effort in
that direction.
10.8 JOB ANALYSIS, DESCRIPTION,

SPECIFICATION AND JOB EVALUATION
Job analysis is an important component of HRM system. It is a detailed and
systemic study of jobs to know nature and characteristics of people to be employed
for each job. It provides important information which adds in redesigning jobs
and organization structure, planning staffing procedure, designing training and
appraisal programmes.
Job description is a written statement of the duties, responsibilities, required

qualifications, and reporting relationship of particular job. The job description is
based.on objective information obtained through job analysis, an understanding
of the competencies and skills required to accomplish needed tasks, and the
needs of the organization to produce work. Job description set clear expectations
for what you expect from people. Ferdinand Fournies in Why Employees Don't
Do What They Are Supposed To Do And What To Do About It (1999) says that
you need to ensure that the employees clearly understand your expectations.
This understanding starts with the job description.
Job specification specifies the minimum acceptable qualifications required by

the individual to perform the task efficiently. It also specifies not only educational
qualifications but also certain personality characteristics that may be required
specifically for ajob. Past experience is another aspect that assumes significance
in laying down job specification.~
Job Evaluation basically specifies the relative value of each job in an

organization. It serves the purpose of compensation procedure. Job evaluation is
something more than job analysis. Job analysis is only concerned with the
collection of data concerning a particular job whereas job evaluation follows the
job analysis which provides the basic data to be evaluated. In short, job evaluation
aims at measuring the value of job descriptions. So the process of job evaluation
starts from job analysis and ends with the classifications of jobs according to
their worth.
Check Your Progress

.. Note: a) Space is given below for writing your answers .
3) What do you mean by human resource planning?
26
Management of Human
4) What is the difference between job analysis and job description? Resources and Instructional
Planning
"...to •••••••••••••••••••••••••••••••••••• '" •••••••• ~ •••• 9 ••••••••••• <0 ••••••• , •••••••••••••••••••••••••••••••••••
10.9 RECRUITMENT, SELECTION, PLACEMENT

AND INDUCTION PROCESS.
Recruitment is considered as one of the most important functions of HRM in an
organization. It is defined 'as the art of discovery and procuring potential applicants
for actual and anticipated organizational vacancies. Various stages involved in
hiring an employee and before he/she starts working are as follows: -
• Selection: The purpose of the selection process is to select the most suitable
candidate who would meet the requirements of the job. The most suitable
person is selected after eliminating the unsuitable applicants through
successive stages of the process of selection.
Process of selection
" . ~
Advertisement for vacancy t
q\ki
TestlInterview
·1
Checking References
I
Medical Check -up
. Appointment Letter n
27
Contemporary Aspects on A typical procedure for selection of a candidate in an educational institution is
explained as follows:
Advertisement-According to the job requisite, the advertisement is published

in the leading newspapers, journals or website of the institution and internet by
the educational institution. It clearly mentions the norms and requirements of
the educational institution. Advertisement is essential for people to know about
the vacancies in an institution and also for following a transparent system of
recruitment.
Screening-Screening is very fruitful for identifying the candidates. This eliminates

not only ineligible candidates but also reduces wastage of time. After the initial
screening, eligible and potential candidates may be called for an interview
Test! Interview -. In addition to the educational qualification and past experience,

it is very essential that the candidate possesses a positive attitude and has the
requisite aptitude for the work expected to be performed by himJ her. This test
also checks the Intelligence Quotient and Emotional Q~otient of the candidates.
In some organizations/ institutes attitude and aptitude tests are taken for selection
of the candidates before interview. These are followed by interviews which are a
face to face interaction with the candidate; it helps us to know about the subject
knowledge, technical and communication skills, body language, patience and
other qualities. Interview in educational institutions if followed by resume writing
will help us to know about the writing skills of the candidate.
Checking References- Like corporate sectors, some of the educational institutions

in private sector are facing the problem of retention of employees and the attrition
rate is high. Individuals tend to change jobs frequently for personal growth neither
bothering much about the student nor institution welfare. To counteract this, the
institutions can make use of references and inquire about the candidate at their
own level.
Medical check up- This is an important step of selection procedure so as to get

information about the physical well being of the candidate.
Appointment Letter- After successful completion of all the above steps in the
process of selection, if the candidate is selected he/she may be kept on probation
for et. stipulated period of time. This period is allocated to the candidate for
checking his/ her competence in that job. If the candidate meets the requirement
of the institute, he /she may be confirmed. -If the criteria is not fulfilled the
candidate may be sacked or his/her probation period may be extended further.
. '
Placement: Placement refers to the actual procedure wherein an individual is
assigned a job suited to his/her abilities and specialisation. Placement is an
important HR activity. When handled carefully, it reduces absenteeism and
employee turnover, prevents accidents, and classifies expectations.
Induction Programme- The selected candidate is issued the appointment letter

and, in most of the educational institutions, directed to attend an induction
programme. This is essential to acquaint the newly recruited candidates with the
aims, objectives, vision and mission of the institution. The educational tour of
the institution for the newly recruited candidates helps him/her to get an overview
of the infrastructure and the working environment of the institute. The institution
28
acquaints him! her with the welfare schemes provided by the institution. This is Management of Human
also a stage which would provide training for various skills needed by the Planning
employees during their work at the institution like designing the lesson plan,
keeping a record of students' attendance, tests, marks online, etc. The time period
of this induction programme can be one or two weeks depending on the nature
and size of the educational institution and the nature of job. This programme
should be very well planned and can have motivational lectures, subject related
lectures, workshops from experts, online library access, etc.
Induction is the process of integration of the new employees appointed by the

organization. Each organization develops its own procedure as per its needs. It is
the responsibility of the HR department to execute induction programme. An
induction programme executed by the HR department informs a new employee
of the various organizational issues, employee benefits, and job duties and
responsibilities.
10.10 STAFF DEVELOPMENT, S~AFF

MOTIVATION, STAFF SUPERVISION,
PERFORMANCE APPRAISAL
Training Programme- While performing various tasks in our daily life, we
undergo training and this is a continuous process. Training is an act which not
only increases the knowledge but also enhances skills of a person for doing a
particular job. In an educational institution, training is essential both for staff
and faculty for smooth conduct ofthe teaching-learning process. The head ofthe
institution should ensure that training programs should be such that they increase
the knowledge and skills of the individuals, bring positive change in them and
simultaneously be useful for the institution. Training is useful and essential both
for newly recruited and in-service employees of the educational institution.
University Grant Commission (UGC) - Academic Staff Colleges are established
in many universities across India. These academic staff colleges organise many
orientation and refresher courses for the in-service faculty from time to time.
The Orientation programmes are intended to inculcate in the young teachers the
quality of self-reliance by making them aware of the social, intellectual and moral
environment as well as to discover potential and confidence. The orientation
programmes contribute to the teacher awareness of the problems of the Indian
society and the role of education, higher education leaders and educators in the
resolution of these problems to achieve desired goals in national development.
The Refresher courses provide opportunities for the serving teachers to exchange
experiences with their peers and mutual learning from each other. It will be a
forum to keep the teachers abreast with the latest advances in the subjects and
technology. With the advent of technology in education, training of staff members
of educational institutions is assuming far great importance.For example, for
designing of brouchers for seminars, inter college competitions, preparing mark
sheets, etc. the staff needs to be trained and updated with the latest technology.
In the same way, training for supportive staff is also essential for updating them
with the use of new and better equipments and methods to perform their task.
I
29
Institutional Management Objectives of Training
After achieving the above objectives the trainee gets confidence, self satisfaction
and it gives a feeling of security and belongingness for the work place. The new
skills developed in the individual transforms him! her into a valuable asset for
the educational institution. It would also help him! her to get promotions and
higher earnings. These training programmes also break the monotony of the
routine tasks in the institution.
Motivation-Motivation is what makes people do things. In another sense it is

what makes them put real effort and energy into what they do. For any meaningful
development motivation and ,Participation of people is important. Our
development system has so far concentrated excessively on developing the
infrastructure, technologies, financial resources and other inputs without giving
due thought to the development of its people, the human resources who ultimately
are responsible for utilising these resources and opportunities for developmental
purpose. It is essential to build and develop capacity of individuals to match and
avail the opportunities and the potentials inherent in man. Unless people
participate and are motivated to perform well in their chosen area to work not
much progress can be effected. The theories propounded by Hertzberg, Maslow
and McClelland impress uponmotivanon as a prime mover of the individual's
approach and contribution to work.
Motivation is vital in any job if people are to give their best to it. Assuming that
employees are given opportunity for good performance and have the necessary
skills, then effectiveness depend on their motivation.
It is the job of work-group leaders or team leaders to motivate their teams. It is

very important to place the right person at right place to create the correct
environment in which people will grow and give best in their work. It has to be
recognized that certain factors are often outside their control or influence, e.g.
pay, status, terms and conditions of employment. However, practical experience
has shown that these people can provide recognition, responsibility and work
which is challenging. - all of these having proved to be among the greatest
motivating factors.
30
Signs of Motivation Management of Human
The attitudes and behaviour of employees very often reflect motivation or the Planning
lack of it. Examples of the signs of motivation are:
• high performance and results being consistently achieved

• the energy, enthusiasm and determination to succeed
• generous co-operation in overcoming problems
• the willingness of individuals to accept responsibility
• willingness to accommodate necessary change.
Lack of Motivation
Conversely, employees who are de-motivated or who lack motivation often
display:
• apathy and indifference to the job
• a poor record of time-keeping and high absenteeism
• an exaggeration of the effects/difficulties encountered in problems, disputes
and grievances
• a lack of co-operation in dealing with problems or difficulties
• unjustified resistance to change
Rewards for Motivation can be given in the form of monetary awards, trophies,
recognition pins, picnics, challenging new assignments, freedom to choose own
work activity, recognition and praise, expression of appreciation, wall plaque
indicating accomplishments, etc.
Supervision-As a head of the committee, department or educational institute,

you will have to monitor lot many tasks in your educational institution. These
tasks may be academic, administrative, financial, etc. It is a difficult task to
monitor all the aspects simultaneously. Therefore, it is necessary that you
streamline the work by appointing various committees. Your task will be to
distribute the work as per the requirements and check and review the progress
and completion of work after the stipulated period of time. You can periodically
check the progress of the work with the head of the committee at given interval
of time. As it has been realised during the course of work in educational institutions
a lot of time is spent in conducting and attending meetings, planning, etc. The
division of work by appointing various committees helps in proper monitoring
of tasks and does not involve all the members of the institution in the meetings
atthe same time, thereby itdoes not affect the teaching-learning process. This
also encourages a sense of responsibility, belongingness and accountability of
the members of various committees who have been allocated a particular
assignment. The head can supervise the functioning of the committees by calling
a meeting, checking the performance, visiting classrooms/ laboratories/ offices
and by studying the appraisal reports.
Supervision is a process and involves some steps that a head of the educational
institution has to follow. These steps include specifying objectives of the activity,
deciding the time schedule in which the activity has to be carried out, setting
norms to be followed, assigning activities to various members of the faculty and
staff, monitoring the conduct of the activity and corrective actions to be taken
after the feedback.
31
Contemporary Aspects on The first step as stated above involves specifying objectives of.the activity. The
objectives should be in synchronization with the goals of the activity and should
be seen in a longer time frame perspecti ve.
The second step is deciding the time schedule in which the activity has to be
carried out. This should be done keeping in mind other activities carried out in
the educational Institution. The various tasks should be prioritized in the given
time frame keeping in mind the completion ofsyllabus, conduct of examination
and maintenance of the educational institution.
The norms and standards are decided after analyzing the main requirements of
the regulatory bodies. The norms should be decided only after considering the
objectives, budget, resources (human and material), time table, etc.
After deciding the various activities to be organised during the program, it is

essential to consider how the activities will be conducted, where they should be
organised and when, who would conduct these activities, etc. The tasks should
be assigned well in time and the workload of the activities should be distributed
proportionately to the teachers.
The penultimate step involves monitoring. It can be done through observing the
activities, interacting with the staff, students, parents and reviewing the documents
of periodical progress reports. Monitoring should help in reviewing the system
rather than putting a check on all members of the systems.
The last step that needs to be performed for conducting an activity efficiently is
taking corrective actions after .getting feedback regarding the activity. It helps in
modifying and improving the gaps found during conduct of the activity.
Performance Appraisal- As humans, we feel elated on getting a positive feedback

from the individuals related to us. Similarly in the educational institution where
you are working, it is essential that a feedback or appraisal is given on the
performance of the individual
.
in order to guide .and develop the employee's
potential. The importance of periodical appraisals lies in providing a sensation
to the employee that his / her contributions are valued by the institution and they
are interested in knowing how well is the job being performed.
The main objectives of the performance appraisal are to provide feedback and
guidance to the employees about their performance in the allocated tasks, to set
performance goal for the forthcoming events, to identify training needs in the
requisite functional areas, to provide inputs to the management for promotion
and rewards.
The steps involved in the process of preparing performance appraisal are:

• Specification of the role of each member of the staff in various activities
and tasks carried on in the educational institution.
• Designing criteria of evaluation on the basis of set norms to provide a
benchmark of evaluation.
• Developing a system of appraisal that is objective in nature. It should not be
very lengthy but should cover all the aspects of evaluation.
• Self appraisal by the individual should be the first step in the appraisal
process.
32
• The duration of appraisal should be mentioned that whether the appraisal Management of Human
would be half yearly or annually. Planning
A very important aspect on performance appraisal is not to keep and finding

faults with the employee but to have a co-operative and supportive approach in
understanding the employee's problems in achieving the goals and objectives
and to help in solving their problems, so as to keep him/her in achieving the
aforesaid goals and objectives.
10.11 CHALLENGES FACED BY HEADS/

MANAGERS IN EDUCATIONAL
INSTITUTIONS
Conflicts in the Institution- All educational or non-educational organisation are
a part of the society. Conflicts and stress are the common features experienced in
any organisation. The conflicts in an educational institution are either between
individual(s) or individual and the hierarchy in the organisation. Conflicts are
not always harmful for the organisation because the same help to know about the
problems of the organisation. It is the duty of the educational manager or the
head to know in time about the conflicts, their reasons and they should work to
find a solution to resolve of these conflicts.
Many times, we can see that teachers are in a state of stress as their work involves
full time devotion, if the role is executed honestly and with full dedication.
Teachers have to update themselves regularly for efficient progress in teaching-
learning process. On one hand, where leT has made the accessibility of knowledge
easy, it has also made things difficult on the part of the teacher who has to prepare
powerpoint presentations, prepare animations, etc as this requires a lot of time
and not all teachers are very trained and competent in the use of technology i.1
teaching. Apart from this the teachers are members of various committees of 'he
institution like academic, examination, eo-curricular activities, library, N.S.S,
etc. Sometimes teachers are seen to be stressed because oT'tompilation of a large
amount of paper work or if they have been allocated work which is not in their
flair. This adversely affects their efficiency in academics and research. The
discrepancy in the workload produces negative vibes and unhealthy environment
in the institution, resulting neither in the growth of the teacher nor of the
institution.
In educational institutions, teachers demand autonomy for the smooth conduct

of teaching- learning process, but sometimes, a few of them fail to realise the
importance of abiding by their duties and responsibilities towards the institution.
If all individuals give preference to their own work and needs and want the
fulfillment of the same at any costs, then there arises conflict in the institution
because of the limited resources, difference in the views of the individual(s) and
the organisation.
Here, it is imperative to think that there is no fixed model for finding a solution
to these kinds of problems in the educatiol]al institutions. The head himself/
herself has to analyse the situation and work to find the best solution whrch is
acceptable to all individuals and is in the best interest of the institution.
33
Institutional Management Check Your Progress
5) How far is money an effective motivator?
••••••••••••••••••••••••• ' •••• 1 •••• 10 ••• ' •••••••••• ,"1 ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
'1 ••••••••••••••••••••••• i ••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
6) What are the objectives of performance appraisals?

1) Prepare organizational chart of your institution
2) On what lilies would you recommend modifications in the performance
appraisal system of your institution?
10.13 REFERENCES,
Chhabra,T.N.(2005). Human Resource Management, Dhanpat Rai's
Company,Delhi
IGNOU(2009): Management of Human and Administrative Resources;

Institutional Management (MES-044 Block 3)
IGNOU(2009): Educational Management .Meaning and Scope; Educational

Management planning and finances (MES-053 Block 1)
Jyothi, P. &Venkatesh D.N:(2007) Human Resource Management, Oxford

University Press, New Delhi.
34
UNIT 11 MANAGEMENT OF MATERIAL
RESOURCES
Structure
11.1 Introduction
11.2 Objectives
11.3 Material Resources - Meaning, Need, Types of Resources
11.4 Managing the Material Resources in Education Institution
11.4.1 Objectives of Material Resource Management
11.4.2 Elements, Purposes, Principles and Functions of Material Resource Management
11.5 Planning and Forecasting the Requirement of Material Resources

11.6 Procurement of Material. Resources
11.7 Storage of Material Resources
11.8 Maintenance and Repair of Equipment
11.9 Management of Resource Centres
11.10 Safety Precautions
11.12 References
11.1 INTRODUCTION
The creation and maintenance of infrastructure is an important aspect for any
educational institution. The efficient functioning of any system is dependent of
the proper functioning of its constituent systems. Though it is true that
infrastructure alone is not sufficiently enough for the successful implementation
of the policy for spread of education but still it has a very crucial role to play.
There are great many resources that are utilized in an educational institution.
The need for effective utilization of resources in educational institutions has
greater importance due to paucity of funds and new policies. The constituent
resources in educational system are human resources, material resources and
financial resources. Thus, in any higher educational institution, proper planning
and management of these resources is essential for achieving the desired
institutional goals. The management of these resources is further more important
in Higher Education as it has undergone vigorous expansion in terms of number
of institutions, departments and course of study and management system.
India is a vast country and thereexists wide socio- economic conditions in different
parts of our country. Thus it is common to come across many educational
institutions that do not have adequate resources, whereas there also exists many
that have no dearth of resources but do not use these optimally. So it is necessary
to have management systems in place to make optimum use of the material
resources at all the levels of administrative set up.
In this unit, we will discuss the management: of material resources in the

educational institutions, the operational aspects related with the functioning of
resource centres and other essentials of material management.
35
Institutional Management 11.2 OBJECTIVES
After going through this unit, you will be able to:
• Explain the meaning and importance of Material Resources and their

management.
• Differentiate between the various types of material resources utilized in

Educational Institutions.
• Identify the requisites of procurement and management of various Material

Resources.
• Participate in managing the resources for effective implementation of the

curriculum.
• Discuss the importance and management of various resource centres in an

. educational institution.
• Enlist the various safety precautions that should be taken for management
of resources in educational institutions.
11.3 MATERIAL RESOURCES - MEANING, NEED,

TYPES OF RESOURCES
In our daily life, we use different objects to perform various tasks. The objects
that have material value or use are owned by a person or educational institutions
are referred as material resources. In other words, the assets in the form of
material possessions are called material resources. Material resources include
a
the equipment or material used by people to execute project or perform a task.
Examples of material resources are equipment, computers, constructional
materials, materials required for day to day operations and maintenance, spare
parts for machinery etc.
A material resource is a physical commodity which is available in limited quantity

and needs to be consumed to obtain a benefit by using it. The value of these
material resources depend on the demand and purchase ratio. In most cases,
commercial or even non-commercial factors require resource allocation through
resource management. The management of material resources is an innovative
and comprehensive solution to service and delivery needs of institutions. AY.
resources have three main characteristics: utility, quantity and consumption. Based
on these basic characteristics the resources can be classified as consumable
resources and non- consumable resources.
The resources which could be repeatedly used are called non-consumable'

resources. These may include furniture, computers, printers, scanners, chalk
boards, books, electrical goods, etc. On the other hand, resources that get
consumed or get exhausted in the process of their usage are called consumable
resources. These may include stationary items such as paper, cartridge ink,
chemicals, chalk, items for cleaning and maintenance of buildings, spare parts
for various types of equipment, hygiene chemicals etc. It is important to maintain
demand and supply cycle of these resources for smooth functioning of an
educational institution.
36
You have now understood the meaning of material resources. Below is given a Management of Material
Resources
set of questions which you may like to attempt and find for yourself if you can
find an answer to these questions.
Check Your Progress

1) Define material resources in about 30-40 words.
2) Classify the material resources on the basis of their main characteristics

in about 50-100 word's.
3) Give two examples each of consumable and non- consumable resources .

...............................................................................................................
11.4 MANAGING THE MATERIAL RESOURCES IN

EDUCATIONAL INSTITUTIONS
We all know that there is an influential relationship between learning, material
and financial resources utilized in an institution. In India, with the introduction
of Right to Education Act and promotion of Higher Education, the number of
students getting enrolled in various courses is increasing at all levels of education.
This is posing a tremendous challenge for teachers, educational planners and
administrators to manage various resources being used in the institution. It has
become even more challenging with privatization in education.
Physical infrastructure in the context of education applies to the teaching-learning

space and the equipments necessarily utilized for carrying out the development
of teaching-learning process. You will agree that the process of planning of
infrastructure depends upon the developmental stage of the institution. The
process of management starts with the procuring of land for the institution,
preparing plans to establish the institution and courses to be run.
37
Contemporary Aspects on Material resource management is concerned with the integrated approach to
planning, organizing, controlling of the flow of materials as per the demands,
purchase through internal operations to the service point through distribution to
the consumers. If the institution has a system for proper inventory management
of materials, it results in increased productivity of capital by preventing large
amount of blocked capital for long periods of time. The proper management of
goods and services facilitates as well as increases the efficiency along with posing
a challen~e to the mindset of economy of consumption. You can well imagine
that this would involve great amount of coordination, sometimes even at the
peril of being dubbed as centralization because the same resource may be utilized
by different entities in an educational institution concurrently. It would be difficult
for any educational institution to have separate procurement, storage and
utilisation of each item by each entity and it would also not be cost effective. It is
thus important to maintain a balance between the conflicting requirements of
the various entities so as to achieve the optimum results and to get full value for
the money spent on the resources.
The reasons why we need material resource management in educational

institutions are as follows:
• Management of material resources aims at reducing the cost of production

so as to help an educational institution increase its profits and outputs.
• An educational institution can expect innumerable benefits from effective

planning of material resource management.
• Material resource management provides creative ways to take up the

unintended impacts of the core services and put them out of sight. In such
an integrated set up, the material manager's role (taking care of management
of material resources in the educational institute) is to facilitate the
functioning of various units and departments.
• This integration is also helpful in faster and effective functioning that involves
a large amount of data to be used for planning.
• Integrating various functions in which material resources are used involves

greater coordination at all levels of management for the sake of better
performance.
You have now understood the meaning and need of material resource
management. A set of questions is given below which you may like to attempt
and carry out self assessment.
Check Your Progress

1) Discuss the meaning of material resource management in about 50-60
words.
38
Management of Material
2) Explain the need of material resource management in educational Resources
institutions in about 100-150 words .
...................................................... ················································e·····
...
11.4.1 Objectives of Material Resource Management

The objectives of material resource management are to get the right quality of
material resources, optimum quantity of supplies at the right time, at the right
place for the right cost. The objectives of material resource management can be
classified as primary and secondary objectives.
The primary objective of material resource management includes determining

the right price of the material resources and procuring therri at low prices. At the
same time, it should be taken care that these resources should be bought in a
manner that these are not over-stocked, and thus, storage of material resources
does not increase the cost of operations of an institution. There should be a
continuous supply of the material resources at all times with consistency in the
quality of these material resources. It implies that an important factor in ensuring
desired output is management of material resources. To achieve the desired goals,
proper selection and handling of material resources is imperative. Thus, the
primary objectives of material resources management are high turnover, low
procurement and storage cost, continuity of supply, consistency in quality, good
suppl~:r relations, development of personnel and good information system.
The secondary objectives of material resource management are forecasting, inter-

departmental harmony, product improvement, standardization, make or buy
decisions, new materials and products and favorable reciprocal relationships. .
Thus, it can be said that proper management of material resources in an educational

institution ensures the economic availability of material resources (by making
proper purchases) of right quality (after proper inspection and quality control of
the materials purchased at every stage) in right quantity (neither excess nor less
than requirement and well managed by the finances of the institute), at appropriate
time (at well suited time) in place for economic utilization (by controlling the
causes of wastes) for different jobs with a maintained record about their purchase,
receipt, issue, finished goods, wastages, etc. for future reference. Thus, an effective
plan of material resource management builds from and enhances the worth of an
institution by filling the gaps and producing effective outcome, which at the
same time is favourable to the environment.
We have now discussed the objectives of Material Resource Management. Check

your progress by answering to these questions.
39
1) Describe briefly the primary and secondary objectives of Material
Resource Management w.r.t an educational Institution.
11.4~2Elements, Purposes, Principles and Functions of Material

Resource Management
The elements of material resource management are demand estimation,
identification of the required items and calculation of the items required from
the trends of consumption in the educational institution during last two years
along with review of resource constraints. Its purpose is to economize, to satisfy
the demand during period of replenishment, to maintain a reserve stock to avoid
stock out, to stabilize fluctuations in consumption" and to provide good client
services. Thus, we see that the four basic purposes of material resource
management in educational institutions are:-
• To have adequate materials on hand when needed

• To pay the lowest possible prices, consistent with quality and value
requirement for purchased materials
• To minimize the inventory investment
• To operate efficiently
The basic principles of material resource management are effective management

and supervision. These are dependent ·on managerial functions of planning,
organizing, staffing, directing, controlling, reporting and budgeting. In addition
there is a need for adopting sound methods of purchasing the resources, making
skillful and hard poised negotiations so as to get the cheap and best commodities.
For this one needs to establish an effective purchase system. Various functions
of material resource management are:
• Planning and Forecasting of the requirement of material resources.

• Procurement of material resources.
• Storage of material resources.
• Maintenance and repair of equipment and other assets.
You have now understood the elements, PUrpOSl;S,principles and functions of'
material resource management. Below is given a set of questions which you may
like to attempt and find for yourself if you can find an answer to these questions.
40
l\1apagemept ofMawrhd
Check Your Progress . Q.~!!9\1rl;~

I) Give an outline of the elements of material resource management in an
educational institution in about 30-40 words .
............................................................................................................... o • • ,
2) Identify the purposes of material resource management in an educational

institution in about 20-30 words.
3) Recall the basic principles of material resource management w.r.t.

educational institutions in about 20-30 words .
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............ !, ..........................................................•............•........•.•.••.•......•..
4) Enlist the various functions of material resource management in an

educational institution .
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~~••••.•.•.•
In the above sections, we have discussed the basics of material resource

management. In the next section of this unit, we will be conferring about the
various functions of material resource management in. educational institutions
elaborately. The discussion of these functions will be done considering the case
of management in educational institutions ..
41
Institutional Management 11.5 PLANNING AND FORECASTING THE
REQUIREMENT OF MATERIAL RESOURCES
Planning of the material resources is a scientific way of determining the
requirements of equipments, components and other items for fulfilling the needs
the educational institution within the economic investment policies. The essence
of successful material management lies in timely planning of the material
resources. This would involve calculating the consumption patterns of the
institution. It encompasses taking account of the available stock, requirements
of the institution, listing the sources of supply available and economic ordering
quantity. It further involves maintenance of information system for the necessary
details for better functioning of the educational institution.
. The complete cycle (flow) of planning and control of resource materials, and the
associated flow of information includes functions of identification, cataloguing,
standardization, need determination, scheduling, procurement, inspection, quality
control, storage, inventory control, distribution, and disposal.
One of the main functions of a head of the institution is material planning and
controlling. It is very important for the head to carry out the planning and
budgeting in an integrated manner. Thus, planning for resource materials and
working out a realistic budget helps as a control measure and also motivates
people associated with its implementation. Different committee in charges are
employed to plan Programmed (Routine) and Non- Programmed Decisions.
Usually, the head of departments/ institutions is involved in large number of
non- programmed discussions in material planning, while the teachers/ incharge
of various committees/ laboratory and library involved for routine and
programmed decisions.
Material planning is a subsystem of planning of an activity. The essence of

successful planning of material resource management is its timely provision. It
involves regulating the consumption standards of the requirements of material
resources required for an institution, considering all relevant factors, i.e. regarding
specifications of the material required in the various departments of the institution,
sources of supply, availability of stock, etc. Material Planning also involves
maintenance of a feedback system so as to obtain necessary details for the better
functioning of the system in future. .
Material resource planning involves the use of two concepts depending upon the
category of material resources. The materials those are non- consumable. These
materials are planned on requirement basis like furniture, books, computers,
. projectors, printers, chalk boards, laboratory apparatus etc. while the stock items'
are planned on the basis of norms of consumption like stationary items, chemicals
(in case where laboratories are extensively used), answer sheets, etc.
The planning of material resources is further linked with purchase section. The
purchase section starts its process of purchase only after the concerned I
departments give their requisition about the material required, quantity needed,
procurement programme and the financial provisions of the departments. This
process needs to be initiated at the right time so as to ensure the delivery at the
appropriate time. The factors governing material planning can be categorized
infecting to External and Internal factors.
42
/
The external factors are related to the overall activity of the institution affecting Management of Material
Resources
the internal policy of the departments towards the material management. It
includes:
• Price trends of the material resources in the market

• Government policy regarding export
• Credit policies of the banks
The internal factors comprise of the activities related to the institution. These
factors include: -
• Quality Policy, mission, vision and objectives of the institute, on which

entire material resource planning depends.
• Programme schedule of the course like time allocated for practical, exam
schedule, etc.
• Lead time decides the inventory level that is essential for planning material
requirements.
• Working capital requirements and its availability i.e. finances of the
institutions.
• Purchasing policy of the institute.
In any educational institution, material resource planning is beneficial to ensure

that materials and components required for executing tasks such as conducting
practical classes, day to day maintenance of the institution, upkeep of the
classrooms, laboratories and other infrastructure. Material resource planning is
essential in educational institutions for improving teaching-learning process,
quicker response to the change in demand (in education the change may be in
the use of technological aids in teaching various subjects and globalization of
education).
Thus, forecasting the requirement of material resources is very important for the
successful conduct of teaching- learning process in any institution. Proper
forecasting can facilitate the operations of the institute and help in execution of
the plans. The techniques of forecasting will depend upon the manner in which
the basic data is collected.
After reading the above section, you have now understood about planning and
forecasting the requir~ment of material resources. Below is given a set of questions
which you may like to attempt and find for yourself if you can find an answer to
these questions.
Check Your Progress

1) What is meant by planning of material resources?
43
Institutional Management 2) Plan the cycle at planning and control of resource material in the context
of your educational institution .
..................................•...............................................................................
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3) State the role of head of the institution in material planning and.

controlling .
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4) Explain briefly material planning as a subsystem of planning as an

activity .
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•••••••••••• .-•••••••••••••••••••••••••••••••••••••••••••••••••••••••.•••••••••••••••• a.ii ••• '$ •••••••••••••••••••
•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• i ••••••••••••••••••••••••••••••
••••••••••••••••••••••••••••••••••••••••••••••••••••• •••••••••••• 10 ••••••••••••••••••••••••••••••••••••• ~ ••••••••••
5) Give examples to differentiate material resource planning based on

requirement.
..................................................................................................................
................................................................................................................
...................................................................................... , , .
.. ........ .... ~ .
..... ......... .. .... .. ~ .
6) Analyze the relation between planning and purchasing of material
resources .
...............................................................................................................
...............................................................................................................
•••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• ! ••••••
............................................................................................................ ' ..
44
.................................................................................................................
7) Identify the factors governing material resource planning. Resources
8) Why is forecasting and planning of material resources essential in an

educational institution?
11.6 PROCUREMENT OF MATERIAL RESOURCES

Procurement which in simple words refers to purchasing is the next step to
planning. Procurement is the activity responsible for placing the right quantity
of material to the right place at the right time for right price.
Procurement phase of the material resource management cycle starts from the
time when a teacher/ coordinator put forward a requisition for an item till the
time it is delivered. It also includes selecting the vendors from where the material
can be procured, negotiating price for quality, receiving and inspection and
inventory control.
..
The basic objective of procurement function is to ensure procuring the best
material resources at the lowest amount and to put it into use in the most
constructive manner so as to achieve maximum output. There are a large number
of purchase parameters that are to be considered jointly. These purchase
parameters are purchasing best quality of required material in appropriate quantity
at right time from reliable source at right cost.
The activities that purchase department needs to carry out are: -

• Keep records of the material resources that are used by the institute.
• Maintain a record of the reliable sources from where the material resources
can be procured.
• Keep an update of the fluctuations in price of the various material resources.
• Review material resource specifications.
• To prepare purchasing budget.
• Make and maintain contacts with the various suppliers.
• Procure quotations from various suppliers and analyze the same.
• Placement and follow up of orders. 45
Contemporary Aspects on • Maintenance of records of various purchases.
• To maintain an uninterrupted supply of resources.
• To prepare an update of material resources required by different departments
of the institute within a specific period of time within the financial resources
available.
• To maintain good relations with the vendors and prompt payments to be
made to the vendors in interest of good public relations.
Care should be taken that while purchasing, the focus should be on obtaining
defect-free material resources, strategic cost management, time management,
latest technology and continuity of supply. In educational institutions, the level
of purchases can vary between a few thousands to lakhs of rupees depending on
the type of operation. Thus, there is a need for a formal system of procurement
to be followed by the purchase department.
Different stages during the procurement cycle can be classified as:

• Pre-purchase stage
• . Ordering stage
• Post-purchase stage
The Pre-purchase stage involves the action for purchases after seeking requisitions
of material resources from various departments of the institute, selecting suppliers,
inviting quotations and evaluating them. A format of requisition form is given
below:
Material Resource Requisition Form

Institute
Department:
Name of the Intendor:
Requisition Reference Number: Date:
Description of Quantity Quality/ Suggested Purpose Approximate
the Material Required Brand Supplier date when the
Resource and Rate material
resource IS
required
46 Requisition by: Approved by:

The second stage involves placing the orders to the vendors for supply of items. Management of Material
Resources
After the purchase department has finalized the suppliers, rates of the material
resources required and terms and conditions, the contract is finalized and the
details of the purchase order are furnished. The details include: -
• Reference number of the purchase order

• Description of the material resource and detailed specification
• Quantity required and delivery schedule
• Price and Discounts
• Shipping Instructions and address of the buyer
• Signature of the Authority
• Detailed terms and conditions
• Acknowledgement copy sent by the supplier( for follow-up)
It is important to identify fast moving items of consumption to enable laying

down the appropriate stock levels of these. Normally one month's requirement
of fast moving items should be stocked.
Post-purchase is the third stage which includes follow-up, receipt and checking
invoices. The follow-up procedure differs for various material resources
depending upon their pattern of consumption. The purchase department needs to
keep a systematic record of the consignments of material resources received and
details of the inspection of the items prior to acceptance. The last step in purchase
of material resource is checking the invoice sent by the supplier against the receipt
details, quantity accepted and rejected so that the payments can be made according
to the terms and conditions.
You would have procured material resources for your educational institution
and after going through above section you would have now understood the process
of procurement of material resources. Below is given a set of questions which
you may like to attempt and find for yourself if you can find an answer to these
questions.
Check Your Progress

l) Describe the meaning of procurement of material resources .
. .......................................................~
............................................... .
47
Institutional Management 2) State the objective of procurement function in material resource
management.
...............................................................................................................
...............................................................................................................
................................................................................................................
...............................................................................................................
...............................................................................................................
3) Enlist the activities conducted by purchase department.

...............................................................................................................
...............................................................................................................
...............................................................................................................
...............................................................................................................
...............................................................................................................
. 4) Name the stages of procurement cycle .

...............................................................................................................
...............................................................................................................
................................................................................................................
...............................................................................................................
...............................................................................................................
5) How would you put the materials to be procured in record form?

...............................................................................................................
...............................................................................................................
...............................................................................................................
...............................................................................................................
...............................................................................................................
6) What details regarding material resources are finalized in the 2nd stage
of procurement cycle?
...............................................................................................................
...............................................................................................................
...............................................................................................................
...............................................................................................................
.....................................................................•. ~ .
...............................................................................................................
48 ...............................................................................................................
7) Point out the functions of purchase department in the procurement of Resources
materials.
8) Explain the third stage of the procurement cycle .

................................................................................................................
•••••• •• ••••••••••••••••••••••••••••••••••••••••••" •••••••••••••••••••• ~•••••••••••••••••••••••••••••••• !' ••• !
•••••••••••••• t • ~••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••
11.7 STORAGE OF MATERIAL RESOUBCES

As we keep things at proper place in our houses and work place, similarly stora~e
is an important function to ensure that materials are maintained in proper shape
and condition and that there is no wastage. Moreover, it also helps in proper
identification and retrieval of items at the right time without any wastage of time
and effort. The success of the operations of any educational institution is
dependent to a large extent on the storage of material resources, besides other
factors. Storage management deals with keeping the materials safely without
deterioration, pilferage or theft and in a cost effective manner. The various
functions exhibited by store management are: -
• Planning the space layout for the items to be stored

• Receipt of material resources ordered by the purchase department
• Inspection of the purchased material resource
• Proper placement of material resources
• Safety of items from damage, pilferage and deterioration
• Issue of material resources on requisition from authorized signatory
• Maintenance and update of record of material resources
• .Valuation of stock
• Disposal of obsolete items
• To inform purchase department for initiating purchase department
• To arrange inspections at regular intervals
Material resources need different storage techniques and conditions. Different

types of material containers are designed for storing different material.resources.
A variety of systems of codes are used for codification of material resources.
49
Contemporary Aspects on In order to keep an efficient track-record of stores , some books and records are
maintained and these are different for different types of material resources. Some
of the records that are maintained are.-
• Inward and Outward Registers: A register maintained by the storekeeper

to maintain a record of material received by the institution is called Inward
Register. The register used to maintain a record of materials sent out of store
to other places is called Outward Register.
• Stock Registers: These registers are used to keep an account of the material
resources present in the stock. These are of two types:
Consumable Items Register: The register maintained by the store keeper that
contains a record of consumable items/articles such as chemicals, salts, stationary
items, etc. Entries of different items are done on different pages. All transactions
about a particular item are supposed to be made on the page allocated to it.
Non Consumable Items Register: The register maintained by the store keeper
that contains a record of non-consumable items/articles such as furniture,
equipments, machinery. The register gives a complete account of articles with
their accessories. The entries of different articles are done on different pages. All
transactions about a particular item are supposed to be made on the-page allocated
to it.
• Daily Receipt Registers: This record can be in the form of register or loose
sheets bound in a file. Whenever any material comes in the store, it is entered
date wise in the daily receipt register. The material is then inspected and if
found suitable is entered in the stock register, In case of defective or damaged
material, it is rejected or reported to the suppliers. The incidental charges
that are incurred are also be noted in the daily receipt register.
• Issue Register: This record can also be in the form of register or loose sheets
bound in a file. All materials issued are entered date wise by the store-keeper.
• Surplus Stock Register: Sometimes some purchases are not consumed for
a long time. Such materials are declared surplus and are recorded in Surplus
Stock Register. The material is also then removed from the Stock Register
after obtaining order for its disposal from the competent authority.
• Suspense Register: The defective materials or the items received in excess

are 'placed in Suspense cell and details of such material are maintained by
the store keeper in the Suspense register.
• Condemned Articles Register: Obsolete or unserviceable material

authorized by signatory to condemn is entered in Condemned Article Register
till it is disposed off. The balance of condemn article is taken from the store
ledger and is shown as condemned.
• Loan Register: The details of non-consumable it€IUSwhen issued on lo,an

are entered in this register for a temporary period. Authorization of proper
authority is entered in the loan register. The material when returned back is
received and details are entered in the register.
50
You would now be clear about the importance of storage of material resources Management of Material
Resources
and the various functions that need taken care of during store management. Below
is given a set of questions which you may like to attempt and find for yourself if
you can find an answer to these questions.
Check Your Progress

I) Elucidate the importance of storage of material resources in educational
institutions.
2) Identify the various functions of store management in educational

institutions.
3) Name the various registers you would use in your institution for storage
management. Also mention the functions that each register would fulfilL
11.8 MAINTENECE AND REPAIR OF EQUIPMENT

The material resources and other facilities tend to deteriorate due to their use
and exposure to the environmental conditions. Thus, timely maintenance of these
material resources is essential. Maintenance is responsible for smooth and _efficient
functioning of the material resources and maximum efficiency of an institution.
It is important that Planning for 'preventive maintenance is done for smooth
conduct of teaching- learning process. This helps in reduction of maintenance
cost and to keep material resources in functional state. Preventive maintenance
locates the trouble and removes it before breakdown takes place. It is like
51
Contemporary Aspects On lubricating a machine before it breaks down. It is important to have periodical
_inspections of material resources to find the wear and tear, reasons leading to
breakdown and to rectify them at the right time. Thus, repairs are beneficial and
economical in terms of time and finances. Proper maintenance leads to greater
safety of users because of reduced break downs.
The main functions of preventive maintenance programme are:
• Periodical inspections or checkups.
• Servicing of apparatus and equipments
• Planning and scheduling of the maintenance work
• Checking of expiry of chemicals, fire extinguishers, RO systems, etc
• Maintenance of records and analysis
• Training of maintenance personnel
• Storage of spare apparatus and equipments
Maintenance management constituting maintenance planning and conducting

repairs is thus basically a system for planning and controlling the accomplishment.
It should be such planned that a balance is maintained in the maintenance and
repair works as over-maintenance as well as under- maintenance are uneconomical.
You would now have understood about the importance of maintenance and repair
of apparatus and equipments of material resources in an educational institution.
Below is given a set of questions which you may like to attempt and find for
yourself if you can find an answer to these questions.
Check Your Progress

1) Signify the importance of maintenance and repair of equipments and
apparatus in an educational institution.
2) Prepare a list of functions of preventive maintenance 'programme in an

educational institution .
.•.
52
11.9 MANAGEMENT OF RESOURCE CENTRES Resources
After discussing the steps of managing material management in educational

institutions, we would discuss the physical infrastructure that would need this
management. It includes management of building in which the institute is running,
library, laboratories, playgrounds, class rooms and resource rooms. The
management of these physical resources would require taking care of architectural
aspects, administrative and environmental norms laid down by regulatory bodies,
cost limits, building materials, construction techniques used, space required for
carrying on teaching-learning process. The material resources generally utilized
in an educational institution are furniture, books, apparatus and equipments used
to impart instructions, computers, printers, etc. The optimum utilization and
management of physical and material resources go hand in hand. The management
system is effective only if the planning, management and utilization of the human,
physical and material resour~e management complement each other.
Resource Centres are place where learning materials are available for use of
teachers and students. The various resource centres in higher education institutes
include library, science and mathematics education resource centre or laboratories,
information and communication technology resource centre, health and physical
education resource centre, psychology resource centre, art and craft resource
centre, etc. It is mandatory for all educational institutes to establish the resource
centres according to the norms prescribed by regulatory bodies. It is further more
important that besides initial mobilization, the materials resources are properly
utilized, well managed and are continually augmented. All the resource centres
in educational institutes need management of human resources and material
resources. One of the most important assets of any educational institutions is its
library and the books. Libraries are depositories of information and knowledge
from time immemorial. Libraries have a tremendous role to play in developing
spirit of inquiry among the learners. The organizational and management structure
of a library in an institute is unique, which has inter linkages with the management
with the other departments of the institution. The resource centres established in
an educational situation should be such maintained that optimum and maximum
utilization of resources is made. It is important to maintain and repair the furniture
needed in an educational institution. The library furniture includes book racks,
display racks for books, journals, periodicals, computer tables, reading room
tables and chairs, circulation counter, etc. The furniture in other resource room
should be made to cater the needs of the subject. The material resources other
than furniture that need to be taken care in a library include books, journals,
periodicals, furniture, etc. It is the duty of the librarian to manage the material
resources, maintain and upgrade the study material including books, journal,
and periodicals in the library. It would also include procuring and upkeep of the
print material and e-material, The equipments in library that need maintenance
include photocopying machine, scanner, fire extinguishers, projectors, computer
system, bar code machine, etc.
The management of various resource rooms is dependent on the objectives that

need to be fulfilled through the resource room. For example, Information and
communication technology(ICT) resource centre deals with the technology that
helps in creating, transmitting, storing, sharing and exchanging information by
electronic means. Managing ICT resource centre involves maintenance of
53
,!
Contemporary Aspects on computer systems- hardware and software, projectors, updating the systems with
new versions of the software, enhancing multimedia resources. The management
of material resources in ICT resource centre includes the maintenance of furniture
and other basic requirements that are needed for smooth functioning of the
resource centre. Similarly, various resource rooms have material resources that
would cater those particular needs and management of each would be done in
accordance to the norms, budget and procedure of management of material
re,~o~~es.It should be taken care that optimum and maximum use of material
resources should be made as things get obsolete in this fast world of change. It is
for this reason that sharing of material resources among various departments
should be encouraged. This should be done taking care that efficiency of no
course programme is affected.
YO\l would now have understood about the management of resource centres in
an educational institution, Below is given a set of questions which you may like
to .attempt and find for yourself if you can find an answer to these questions.
Check Your Progress

1) Name the various resource centres that are established in a higher
education institute .
...................... .•.- ;. ~;. .

.. ..... .....~.' .
•
.................................................................. , .- .
............... , ". . .
2) Enlist the various material resources available in library resource centre
that should be managed by the librarian.
3) Why s~ould the material resources be shared by various departments of

an institute?
54
Management of l\1l!teri~
11.10 SAFETY PRECAUTIONS Resources
The use of material resources in an educational institution is done to perform

various activities to carry on the teaching-learning process. During the conduct
of these activities, it may happen that some mishap takes place due to negligence
or accidentally. Activities performed to reduce any kind of risks, may be in terms
of health, accidents, losses, etc. are termed as safety precautions. Safety refers to
preventing any type of accident, damage, error, any undesirable activity that may
lead to any type of loss in physical, financial, social or psychological terms.
Institutions need to set safety precautions caused due to various accidents, unsafe
physical conditions like unsafe clothing during working in laboratories, personal
factors like lack of knowledge, fatigue, unsafe acts such as not abiding to the
norms of the machines or procedures to use ap. equipment, electrical causes or
environmental causes.
It is important to prevent accidents as a measuf~ of safety precautions. Some of

the common safety precautions that can he adopted by the institutions are:
• Proper layout of equipment depending on its use. Care should be taken

regarding the placement of equipment in laboratories, canteens, stairs,
pantries, etc.
• The building should be earthquake resistant and according to laws.
• Sufficient illumination and ventilation should be provided.
• The floors should be non-slippery.
• Inflammable material should be stored separately.
• Safe material handling should be encouraged.
• Use of Aprons, gloves, tongs, etc. should be made mandatory.
• Safety measures should include appropriate clothing for the required work
condition.
• Repair work of the machines should be carried on in time.
• The material resources should be properly placed and labeled as per the
safety manuals and precautions that need to be adopted.
• Mock drills for ensuring safety.
• Display of laboratory safety measures.
• Training for first aid and disaster management.
• Training for using various devices like Fire safety, devices etc.
• Helpline numbers should be displayed.
You would now have understood about the safer¥ precautions that should be
taken care of for proper management of material fe~ou~c~s in an educational
institution. Below is given a set ofquestions which you may like to attempt and
find for yourself if you can find an answer to these questions.
55
1) Why is it necessary to take safety precautions in an educational
institution?
2) .Enlist some safety precautions that should be taken by educational

institutions.

11
Visit a college and name the various resource centres that the college possesses.
Enlist the various material resources available in the resource centres. Prepare a
project report to explain the steps you would follow for management of these
material resources. Discuss it with your friends and differentiate the needs and
procedures in a postgraduate college for arts and sciences.
11.12 REFERENCES
Gopalakrishnan, P. & Sundaresan, M. (2003) Materials Management - An
integrated approach, Prentice Hall, India
Sharma, S.C. (2000) Materials Management and Materials Handling, Khanna

Publishers, Delhi
Verma, A.P. & Mohan, N. (2004) Industrial Management, Kataria and Sons,
New Delhi, ed.S.
56
UNIT 12 EMERGING CONCEPTS OF
MANAGEMENT
Structure
12.1 Introduction
12.2 Objectives
12.3 Knowledge Management
12.4 Technology and Innovation Management
12.5 Diversity Management and Higher Education
12.6 Performance Management
12.7 Summary
12.9 Reference
12.1 INTRODUCTION
Any organization, whether new or old, small or big needs to run smoothly and
achieve its stated goals and objectives. This entails planning, organizing, directing
and controlling of various activities. To achieve the laid down goals and objectives
an organization has to develop its own management concepts. The process of
development of these concepts is affected by numerous factors, both internal
and external. Moreover, in the present era of knowledge economy there has been
a paradigm shift on emphasis from material resources to intellectual capital. It is
not that the former is no longer rele 'ant but intellectual capital plays a very
crucial part in all business operations. In addition, the fast pace of developments
in science and technology has resulted in an ever shrinking globe demanding the
managers to acquire skills to keep up with the latest in not only their own domains
but also in other associated fields. Diversity is another aspect that needs attention
of managers. Diversity itself has numerous facets ranging from human resources,
to types of operations, to nature of organizations and so on. Thus, a manager has
to acquire knowledge and skills to deal with a workforce from diverse ethnic,
social, geographical and educational backgrounds th~t could meet the
organizational goals. Similarly, the variety of operations and organizational
concepts demand skills that can keep pace with a dynamic environment. There
are a large number of tangible and intangible factors that affect the performance
of humanresources. Management of performance of employees in such an
environment requires systems and techniques that meet their intellectual and
material needs. Therefore knowledge management, innovation; managenient of
diversity, setting individual goals that align with those of the organization,
measuring those in a pragmatic manner and the ability to think and operate at
global levels are some of the challenges facing managers today.
12.2 OBJECTIVES
After going through this Unit you will be able to:
• Explain the nuances of Knowledge Management and apply these to
Organisational learning. 57
Contemporary Aspects on • Explain the process of manageinent of technology and innovation in an
organization and how these could be harnessed to achieve organizational
goals.
• Explain the essentials of management of diversity.
• Apply latest performance management concepts.
• Have a grasp of issues impacting management processes due to rapid
globalization of the environment.
12.3 KNOWLEDGE MANAGEMENT

In the present era. the promise of technology is prevalent in 'all that we do, see,
heat, and touch. Technology IS the driving force behind all operations big or
small. It demands an ever greater reliance on know ledge and management of
knowledge. Fot the past few years there has been an increasing level of hype
around the term 'knowledge management'. Therefore, we need to understand
what we mean by 'knowledge' and what is 'knowledge management' and whether
knowledge can really be managed.
12.3.1 What is Knowledge?

The Oxford dictionary describes knowledge as "knowing; what one knows; all
that is or may be known". Webster's new Collegiate Dictionary defines knowledge
as "the fact or condition of knowing something with familiarity gained through
experience or association." Therefore we need to ponder over what is meant by
the term 'knowing'. The word 'know' has been descubed in Webster's dictionary .
as "to perceive directly; have direct cognition of." And, 'cognition' is defined as
"the act or process of knowing including both awareness and judgment."
Therefore, we may deduce that knowledge implies cognition, and cognition
implies awareness.
That highlights the importance of human element in the modem era of technology
wherein computers rule the roost. But then, computers do not have 'awareness' .
Thus, it is people with knowledge who are still key elements or driving force for
utilization and maximisation of knowledge. Today, the age old critical sources
of competitive environment like cost, quality etc are not adequate to ensure success
and growth of organizations. Knowledge is emerging as powerful tool of achieving
competitive advantage. In the modem era of 'knowledge society' knowledge
determines the success and growth of economies. Thus, global business economy
is moving away from material elements to an economy driven by knowledge and
ideas. There are tremendous pressures and challenges that workers have to face
in terms of generating knowledge and transferring it.
12.3.2 Nature and Scope of Knowledge Management

The successful conduct of any operation typically depends upon acquisition of
knowledge by personnel responsible for its execution and the expertise that they
possess to take it to its logical conclusion. Further, whatever is learnt in the
process can be captured, communicated and shared with others to enable
subsequent practitioners to build on earlier experience. In all successful modem
organizations the most valuable knowledge - knowhow in terms of what can be
done to achieve success and produce results - often resides in people's minds.
58
Thus, interactive knowledge-sharing mechanism that enables individuals to share Emerging Concepts of .
Management
what they know with others is a key element that determines the success of any
venture .
.Knowledge is a fluid mix of experience, values, contextual information, expert

insight and grounded intuition that provides an environment and frame work for
evaluating and incorporating new experiences and information. It originates in
the minds of 'knowers' . Renowned authors Davenport and Prusak, in 1998 stated
that in organizations, kowledge often becomes embedded not only in documents
or repositories, but also in organisational routines, processes, practices and norms.
Therefore, knowledge management can be defined as a process that.enhances an
organisation's ability to take effective action by proper management of knowledge.
Knowledge Management to be effective has to rely on three essential elements,
Knowledge creation.. Knowledge sharing and Knowledge application. It
encompasses management strategies, methods, and technology for leveraging
intellectual capital and know-how to enhance productivity and competiiiveness.
To be effective Knowledge Management requires technology, business strategy,
and people. It also refers to focused approach of an organisation to accumulate,
acquire, develop and utilise knowledge. Therefore, an organisation, ifit aims to
acquire and retain a competitive edge, has to lay stress on skills, competencies,
innovation and creativity. The rate of learning and application has to be more
than that of the change in its business environment.
A higher educational institution often faces a dilemma about the role of its faculty.
Teaching and research are the two areas which require special expertise and skin
sets. The dilemma is, should a faculty member concentrate on teaching skills or
should he be a researcher? In the modern era he requires to develop expertise in
both. In short instead of being just a teacher or a researcher a faculty member has
to be a knowledge worker. Only, then can he claim to be contributing to the
process of knowledge management and to the bank of intellectual capital of an
educational organization.
12.3.3 What is Intellectual Capital?

Intellectual Capital of an organization is a product of the interaction of its human
capital and knowledge management. At the macro level it could be said that it
denotes its holistic capacity and capability to meet challenges and exploit
opportunities present in its business environment. It is directly related to an
organisation's current growth and performance, and 'its potential to grow and
perform in the future. Of course, the knowledge resources and the appreciating
human capital have a direct bearing on it. Thus, intellectual capital of an
organization is the outcome of its ability to create value through innovative
products and services and by incorporating improvements to the existing ones.
Both human capital and knowledge repositories of an organization mutually
augment each other and together these enhance the competency levels and potency
. of its intellectual capital. And the intellectual capital thereafter, sets off a chain
reaction to attract human capital and also adds to the process of knowledge
management. All these are affected by and have the capability to influence the
business environment. Diagrammatically the dynamics involving the Human
Capital (HC), Knowledge management (KM) and the intellectual capital (IC) of
an organization and the impact on these of the business environment and the
reverse of that could be depicted as shown in Figure 12.1.
59
Institutional Management Business Environment
B B
U U
S S
I I
N N
E HUMAN KNOWLEDGE E
5 S
S CAPITAL MANGEMENT S
E E
N N
V V
I I
R R
o o
N N
M M
E E
N N
T T
Business Environment
Fig.121: Dynamics of Intellectual capital, Human capital, Knowledge management and

Business environment
A healthy interaction amongst these in an organization enhances the learning
capability of an organization. Rather, a learning organization makes a deliberate
effort to ensure the development of its intellectual capital and to have processes
in place to also learn from its environment, own performance, human capital
and processes. Further, the environment gets affected by the performance and
achievements of an organization.
12.3.4 Learning Organisation

Organisational learning is a process that a..Tl orga: .ization builds based on its
environment to enhance its knowledge management process to further improve
its adaptation and competitiveness. It involves continuous adjustments and
changes in the manner in which it utilizes and enriches its organisational
knowledge resources in an effort to adapt to its external and internal environmental
changes. Organisational learning helps an organization in maintaining its
competitive advantage. It is dependent on various factors as described below: -
• Discovering and Obtaining Feedback: It is essential for an organization
to build a discovering system that helps it to monitor and discover changes,
problems, challenges and opportunities in its external and internal
environments. Sensitivity to environmental changes would help in its learning
process and to come up with new ideas or to refine existing ones.
• Innovating: In addition to discovering an organization must innovate and
fine new ways to deal with changes. It can build upon its core competencies
and develop new products and services only through innovation. Focus and
improvement in management processes and systems are critical in this
direction.
• Selecting: An organization must devise its own selecting system that enables
it to make the right choice from various innovative ideas. After all not every
innovative idea may be in congruence with the objectives of an organization.
Sound selecting methodologies, processes and activities would help in the
decision making process of the organization.
60
• Executing: Organisation learning is incomplete if it has only 'discovering', I
Emerging Concepts of
Management
'innovating' and 'selecting' but no action. It can be enhanced only if newly
selected ideas can be executed and put in to practice effectively. It may involve
not only changes in perception but also changes in behavior. The trick is to
learn how to quickly get things done and how to turn knowledge in to action.
• Transferring: Individual learning needs to be transferred to team learning
and organizational learning by sharing ideas, practices, and experiences.
Instead of being local and driven by goals and concerns of individuals and
groups the learning process should serve organizational goals.
• Reflecting and Adopting: The purpose is to help the organization to learn
from its past experience. It does not matter whether the experience was
successful or not. The most important thing is that the organization can use
this formal reflecting to get knowledge and lessons from experience. In
addition, an organization can benefit by borrowing and adopting best practices
from other organizations.
• Acquiring knowledge from Environment: An organisation must adopt an
open system to survive wherein there is a continuous exchange of information
and knowledge from its environment. The acquiring system is crucial for an
organization to learn faster and build competitive advantage.
• Contributing Knowledge to Environment: As mentioned above there
should be continuous exchange of information and knowledge between
organization and its environment. It has to be a two way process. Apart from
enriching the environment from where fresh ideas could flow in, it also helps
in the brand building process of the organisation.
• Building Organizational Memory: It is the ability to capture, store and
retrieve knowledge and expertise. Ability to build on past successes and to
avoid repeating failures is an attribute of organizational memory. Creating
knowledge banks and incubation centres are examples of this.
INNOVATION
DISCOVERINGI SELECTING
FEEDBACK
ACQUIRING KNOWLEDGE FROM

ENVIRONMENT
-. CONTRIBUTING KNOWLEDGE
TO ENVIRONMENT
EXECUTING
EXPLOITING &
EXPLORING ) •••••• n ••••••••••••••••••••••••••••••••••••••••••• " ••••••••••••••••••••••••• n •••••••••••••• " ••••••• "' •••••••••
Fig 12.2: Concept of Organisational Learning 61

Contemporary Aspects on In today's complex and dynamic environment, organizational learning capability
is vital to organizational performance and sustainable competitive advantage.
Consequently, higher levels of the capacity of factors described above would
result in higher levels of organizational performance and competitive advantage.
These would therefore enhance the capability of an organization in 'knowing
and doing', 'exploiting and exploring', 'taking and giving' and in 'ethical
practices' .A diagrammatic representation of a learning organization is as depicted
in Figure 12.2.
12.3.5 Knowledge Management and Institutions of Higher

Learning
The present era of knowledge economy where multi-disciplinary approach
dominates all walks of life knowledge management assumes significance in
institutions of higher learning. An institution of higher learning has to pay attention
not only to teaching but also to research so that aspects related to knowledge
creation are not ignored. The approach should be to teach students 'how to think'
rather than 'what to think' . Further knowledge sharing should not only be limited
. to classroom teaching but should form part of all the operations of the institution.
It should flow from teacher to mentor, teacher to teacher, one department to
another, and from one institution to another. Rather, there should be no boundaries
for information sharing and dissemination. The institution should also lay
emphasis on learning-centric approach to ensure that students imbibe what is
being taught, are able to critically analyse, and develop the capability to apply
the knowledge they acquire. The institution should endeavour to become a
learning organization where its repository of knowledge - the organizational
memory - is constantly being updated- through the processes of reflecting,
discovering, innovating, selecting and executing. It should have systems to acquire
knowledge from its external and internal environments and also should be ever
ready to share knowledge within and outside its environment. Then only would
it be able to achieve the noble objectivesof exploring and exploiting, knowing
and doing, taking and giving, with an ethical approach and with a sense of
responsibility.
Check Your Progress

Note: a) Space is given below for writing' your answers.·
1) Explain the terms "knowledge" and "knowledge management" .
................................................................................................................
62·
2) List the factors that affect organisational learning. Management
12.4 TECHNOLOGY AND INNOVATION

MANAGEMENT
The second half of the 20th century ushered in an era of short innovation cycles.
Unlike the innovations like the water power, steam engine, electricity, internal
combustion engine, etc of the 18th and 19th century the innovation cycles in the
second half of the 20th century have been shortening rapidly. The industrial
revolution of the late 20th century based on semi -conductors, fibre optics, software
and genetics is approaching the stage of maturity. It is evident that the innovation
life cycles have shortened from 50-60 years to around 30-40 years. Institutions
of higher learning, at least those with the objective of being counted amongst the
top institutions, have to develop the expertise to manage the rapid technological
developments and innovations. Technology development projects are the
foundations for new products and processes and, therefore, are vital to the
prosperity and growth of an institution of higher learning.
The term 'technology development' implies either creation of either new

knowledge, or new technology, or new processes, or new technical capability or
a new technological platform. These may come about either through fundamental
research or basic or application-oriented research. Projects related to these need
to be properly managed to ensure that these provide attractive returns on the
funds invested in these. Technology development projects need to be handled
carefully and care needs to be taken that the teams working on these are not
bound by traditional management processes but are given a free hand to be
creative. The traditional new-product processes are designed for fairly well defined
and predictable projects whereas technology development projects are by nature
high-risk projects with many unknowns and uncertainties. The high risk and
uncertainties invariably result in incorporation of tight controls' resulting in
sacrificing of creativity. Senior leadership in any organization has to guard against
such tendencies. Rather, the role of senior leadership should be to help create an
environment of innovation and creativity.
12.4.1 Managing Innovations and Technology Development

Projects
Innovations could be of two types; product innovations and process innovations.
Normally these are inter-dependent. However, any innovation or technological
advancement would succeed' only if it is relevant to the industry. Thus,
organizations have to encourage and nurture an innovation driven environment
that leads to products and processes that are beneficial to the society.
63
Contemporary Aspects on In his book "Innovation and entrepreneurship", the famous management expert
Peter Drucker lists seven sources of opportunity for innovative organizations as
follows:
• The unexpected success that makes a company happy.

• The incongruity between what actually happens and what was supposed to
happen.
• The inadequacy in an underlying process that is taken for granted.
• The changes in industry or market structure that catch everyone by surprise.
• The demographic changes caused by wars, medical improvements and even
superstition.
• The changes in perception, mood and fashion due to the ups and downs of
the economy.
• .The changes in awareness caused by new knowledge.
Any organization that encourages creativity and innovation would take up the
challenge, try and see an opportunity and go deeper in to any of the above
contingencies to ,give direction to its research projects. Team members with
creative ideas would invariably reflect on the situations and would tend to decipher
what new can be done to develop a product or process to benefit the mankind.
That is where technology and innovation management comes in. it is all about
nurturing new concepts and introducing these to the market in the most efficient
way.
•
12.4.2 Stages for Commercialisation of an Idea
An idea passes through a number of stages, each difficult from its predecessor,
before it is commercially successful. These stages need to be managed successfully
and adequate funds allocated for each stage.
• Imagining: The first stage involves imagining .i.e. to sense market

opportunities. Senior leaders in an organisation must possess the instinct
and the capability to spot talented persons in their organizations who have
that penchant to think out of the box and can 'dream'. It is a very nebulous
stage where the chances of pursuing a wrong lead are very high. But any
organization that encourages creativity must be prepared to take that risk.
Moreover, any idea that may not fructify may throw up some other leads
which could be followed successfully.
• Incubating: It involves nurturing a new idea and technology sufficiently to

help its commercialisation. There may be a requirement to create an
organization for helping in the incubation process where potential
entrepreneurs could visit and assess its efficacy. However, it may not be
possible to manage it by laying down stringent controls and targets. But, a
facilitation process has to be put in place wherein an incubation centre attracts
entrepreneurs and also provides feedback to the organization for product I
improvement.
• Demonstrating: Demonstration implies building prototypes that could

display the salient features and cap~bilities of the product. A product before
it is finally accepted for commercial production may go through a number
64
of models of prototypes based on suggestions of investors and users. Emerging Concepts of
Management
Obviously, it involves financial outlays without any guarantee of return on
the investment. Ajudicious decision making process could help at this stage.
• Promoting: It involves convincing the potential investors and users to adopt

the innovation. To be successful this stage needs to be backed by sound
logic and a convincing business plan.
• Sustaining: After a product has been launched in the market it needs to be

sustained through the process of product improvement. It would ensure that
the product or the process has as long a life as possible in the market. It
would also help in generating confidence of the investors in all future products
of the organization.
The above stages for commercialization of an idea are equally applicable to an

institution of higher learning that is engaged in research. Leading universities in
the world maintain very close contacts with the industry to identify the areas of
research and also to assess the market requirements. Setting up innovation centres
in the institutions goes a long way in promoting research that could finally result
in new products or processes. Incubation centres in institutions also help in
commercialization of the products developed through innovations. Moreover,
such activities help attract funds that the universities and institutions of higher
leaming need so desperately to engage in research.
Check Your Progress

b) Check your answers with those given at the end ofthis Unit.
3) List the sources of opportunity that an organization may encounter.
4) What are the important stages for commercialization of an idea?
65
Institutional Management 12.5 DIVERSITY MANAGEMENT AND HIGHER
EDUCATION
The shrinking globe, advancements in the means of communication, regional
economic disparities, diminishing gender disparities, human migrations, varying
intellectual capabilities and skill sets, and many other sociological factors are
making today's work place increasingly more diverse. Diversity has different
meaning for different people. It depends upon the nature of their work, cultural
environment and the type of activities their organization is engaged in. Some
people may lay emphasis on gender diversity, while others may feel ethnic and
regional diversity is more relevant whereas there may be others who feel that
work specialization and physical ability are more important as far as diversity is
concerned. Apart from people or the work force, diversity is also applicable to
nature of operations of an organization and also to the types of organizations.
For example, a company may have its R&D facilities in a developed country, its
manufacturing facility in a region where cheap raw material and/or labour is
available and it may have its on-line technical support services outsourced to a
country where skilled manpower is available at lower wages. Similarly, there
could be a government owned organization or a private organization or a joint
venture engaged in the same business.
The education sector also has its own versions of diversity. Co-educational
institutions, institutions having students from different regions or socio-economic
backgrounds. institutions having a mix of domestic and foreign students,
institutions engaged in teaching or in research or in loth, institutions engaged in
imparting er'ucation in specific disciplines or thos having different faculties,
institutions providing educations through the regu ar mode and those dealing
with distance education or a mix of both are all ex, .nples of diversity.
It is felt that increase of diversity of a higher education system should form an

important part of the strategy to meet the student needs. A diversified system
affords better access to students with different backgrounds and capabilities. By
offering varied environments a diversified system would be able to offer different
options to students to study with their peers with similar background. Diversity
also offers different modes of entry in to higher education system and also provides
multiple forms of transfer thereby ensuring social mobility. Modem society needs
an increasing variety of specializations for the skilled manpower and diversity
caters for that. Diversity also serves the political needs of different interest groups
by combining the elite and mass higher education. Further institutional
specialization allows higher education institutions to focus their energy and
attention, thereby ensuring higher levels of effectiveness. Finally, diversity permits
low risk experimentation by offering to the institutions the possibility to explore
innovations created by other institutions. Seniors leaders in educational
institutions today face the challenges thrown up by diversity and need to have
the skills to manage and realize the benefits offered by it.
12.5.1 Factors Affecting Diversity in Higher Education System

There are five factors which influence the diversity of a higher education system,
<, namely the environment, policy intervention, funding, competition and
cooperation and ranking.
66
• The Environment: The main conditions that influence the higher education Emerging Concepts of
Management
institution are the student choice, stakeholder influence, the economy, the
local government and history. The variation in these conditions promotes
response from the higher education system and fosters diversity. It provides
prospective students with genuine choices and also affords opportunities to
stake holders such as minority groups, industry and local- government to
have their own different types of institutions.
• Policy Intervention: It is an obvious fact that policies of the government.

have the most profound effect on systemic diversity. Policy interventions by
the government could establish a binary system of higher education
institutions that guarantees that at least two distinct types of institutions exist
within a higher education system. For example there could be institutions of
higher studies forming part of the university system and the polytechnics
catering to the developments of technical skills in a higher education system.
• Funding: Providing financial incentives could be a very powerful policy

intervention that could maintain differences between institutions. A funding
policy based on achievements of institutions could promote a healthy
competition and could also usher in the concept of accountability. It could
also differentiate higher education institutions in to research intensive and
teaching only institutions.
• Competition and Cooperation: A competitive environment, especially when

the availability of funds is limited, could promote systemic diversity. But.
there have also been instances wherein competition has resulted in
convergence because all institutions try to follow the same approach by
emulating those who are performing well.
• Ranking: A trend that is fast catching up amongst the institutions of higher

learning is ranking of the institutions by various agencies for the benefit of
the stakeholders. Though, not all ranking systems and methodologies may
be reliable and represent the true measure of the standards of an institution.
Ranking may be official and carried out by a government body to rank
institutions based on criteria like research performance or quality etc. It could
be unofficial and promoted by reputed business organizations. The ranking
of institutions exists in most higher education systems thereby categorizing
the institutions based on their ranks. However, there is also a school of thought
that there is no obvious relationship between ranking and institutional
diversity. But it must be conceded that, despite its reliability or otherwise, a
ranking system creates a hierarchy of institutions wherein it becomes
extremely difficult for newer institutions, particularly those trying to be
distinctive and offer a kind of education than that provided by well established
highly ranked institutions, to establish and gain credibility. On the other
hand the hierarchy of institutions created by a ranking system brings in
diversity that satisfies the needs of students with different capabilities.
Diversity affects almost every aspect of higher education namely access and
equity, pedagogy, student learning, quality of research, academic governance,
social relevance and economy of effort etc. Encouraging diversity helps in
increasing the choices available to students, matching the needs and abilities of
individual students, enabling institutions to have their own character and
67
Contemporary Aspects on objectives, and in enabling institutions in responding to socio economic needs.
Finally, it could be said that diversity is an important factor enabling freedom
and autonomy of universities.
Check Your Progress

b) Check your answers with those given at the end ofthis Unit.
5) Give some examples of diversity in education sector.
6) Which are the factors that affect diversity in an education system?

................................................................................................................
12.6 PERFORMANCE MANAGEMENT

Effectiveness of organizations depends upon their strategic planning, organization
structure, recruitment and retention of staff, effectiveness of internal control,
and a good communication and feedback system. Performance management is
carried out to provide insight in to the strong and weak areas of an employee in
terms of effective performance, style of functioning, traits, qualities, competencies
and impact on others and many other aspects. It also helps in generating data to
serve as a basis for rewards and other personnel decisions. Identification of
development needs of employees could be another objective of performance
management. A good appraisal system could also serve as a basis for performance
linked pay and rewards.
A good performance management system helps in' aligning individual and

organizational vision, goals, objectives and values. It, therefore, has a direct
impact on the culture and ethos of an organization. Team building and leadership
development are considered to be important objectives of an effective performance
management system. At the individual level, it helps in career planning and
development and at the organizational level it s.erves as a good tool for succession
planning, providing role clarity and inculcating a culture of accountability.
68
12.6.1 Performance Management and Higher Education Emerging Concepts of
Management
Institutions
Performance management as ~ concept has not taken proper roots in higher
education system in India. There have been attempts in recent years to carry out
performance appraisals of faculty and staff in educational institutions but, these
have been rare and mostly have not been very consistent. Moreover, a reliable
performance appraisal system that could stand scrutiny by incorporating various
tangible and intangible factors has not yet developed in higher education
institutions. Some good performance appraisal systems incorporate different
aspects of the role of a teacher like performance in the class, achievements of
students, contribution to organization building at the department and institutional
levels, own qualification enhancement, contribution to research activities, sharing
of administrative responsibilities and introduction of innovation in teaching styles.
In addition, personality traits like team effort, interaction with different stake
holders and social interaction etc also form part of performance appraisal of the
faculty.
Stray attempts have also been made to bring in objectivity in performance

appraisals. Some institutions have developed empirical criteria to assess the
faculty based on the factors outlined above. Reports by superiors and student
feedback are generally the main stay of such performance appraisals. Some
institutions have also introduced performance based compensation systems to
motivate the faculty to give in their best. However, performance management
system as a whole has not made inroads in to the higher education sector and a
deliberate effort needs to be made to usher it in. many new concepts such as
Multi Source Feedback System (360 degree Feedback System) and Balanced
Score Card System have been devised and introduced in the industry. In this
section you would be introduced to Balanced Score Card as applicable to an
institution of higher learning since this is one of the latest innovations in the
field of human resource development.
12.6.2 What Is Balanced Score Card?

The concept of ~alanced Score Card (BSC) was first introduced in 1992 by
• Robert S Kaplan and David P Norton from the Harvard University in their article
'The Balanced Score Card - Measures that Drive Performance' in the Harvard
-Business Review. It is called 'Balanced' because it balances on both the financial
and operational measures. They argues that there are other performance
managemerit systems in place but these suffer from a major drawback that they
do not align the worker's objectives with those of the organization. Kaplan and
Norton propounded four perspectives as the drivers of an organizations's
performance. These are: -
• Customer perspective: It implies how the customer perceives an

organization.
• Internal perspective: What should an organization excel at?
• Innovation and learning perspective: Can an organization continue to
improve and create value
• Financial perspective: What can be done to meet the expectations of the
stake holders?
69
,I
Contemporary Aspects on The scorecard endeavours to translate an organisation's strategic objectives into
a set of performance measures. BSC is not only a measurement system; it is a
management system that makes the workers aware of the objectives of the
organization and motivates them to work to achieve those objectives by assigning
measures to different activities and also linking those with the financial objectives.
Instead of focusing on the past performance it concentrates on the future .
. Moreover, it adopts an empirical framework to give measurable targets. The
success of the BSC can be gauged from the fact that almost 50 percent of the
Fortune 1000 companies have adopted this. However, in India the industry has
been slow in adopting this concept.
The process involved in the BSC framework starts with drawing up a Strategy
Map. It passes through four stages (Figure 12.3):
• Formulating the vision of the organization and translating it in to operational

goals
• Communicating the vision to the organization and linking it to individual
performance .:
• Converting it in to a business plan and setting targets.
• Obtaining feedback and learning and adjusting the strategy accordingly.
Plan the Strategy Develop the Strategy
• Strategy Map/Themes
.. - • Mission, Values, Vision ... - - ...
• Measures/Targets • Strategic Analysis
• Initiative Portfolios • Strategy Formulation
.r
Align the Organisation
• Institutions
L Strategic Plan
• Strategy Map Performance
Test and Adapt
• Placement Analysis
• Support Groups
• Employees-
- • Balanced Score Card A
Measures
•• • Strategy Correlations
• Emerging Strategies
", .. t
-.- 1
Plan Operations
, A'~~ ..;i.
•••.
1 Results
t
-
Operating Plan Monitor and Learn
• Key Process Improvement
-
• Reports
~ • Strategy Reviews
• Admission Plan ''P
• Resource Allocation
• Operating Reviews
• Academic Delivery • Budget
• Budgeting
~ Execution t Results
\
.£L
Processes
- --)
;; Initiatives
,-
Fig. 12.3: Balanced Score Card - Process Flow Chart
12.6.~Balanced Scorecard and Higher Education Institutions

Though some renowned universities like Harvard University, University of
.Southern California and the University of Leeds have adopted the Balanced
Scorecard System to great advantage. the education sector has not embraced it
enthusiastically. However, it could go a long way in helping higher echelons in
not only just monitoring but also managing. At a time when higher education Emerging Concepts of
Management
institutions face financial resources crunch it is imperative that they employ a
management system that combines their objectives with their financial. The
measurement of objectives in higher education is based on both tangible and
intangible parameters, The tangible parameters include variables like faculty/
student numbers, demographics, student pass percentages and dispersion of
scores, absorption of students by industry after graduation, faculty teaching load,
faculty research publications, patents, physical assets etc. The intangible
. parameters include student, faculty and staff expectations and satisfaction levels,
alumni network and industry expectations. Thus, any strategy in a higher education
institution must be based on managing knowledge that creates and deploys an
institution's tangible and intangible assets. The nature of business in an higher
education institution is such that financial perspective instead of being at the top
gets a lower priority. The Strategy Map for a higher education institution could
be developed based on five perspectives as explained below:
• Learning and Growth Perspective: It should include growth of faculty,

academic infrastructure including IT etc.
• .Financial Perspective: It should be based on growth of revenue base and
diversifying it and also means of generating additional revenue.
PRODUCT PERSPECTIVE
Sustained Brand image
CONSTITUENT PERSPECTIVE
Service Attributes Relationship Image
Admissions Placement Diverse Academic Additional Alumni, Brand
Research &.
& Student Deliveryse Offerings Parents Development
Internships Population Cost
PROCESS PERSPECTIVE
Pedagogical Innovation & Academic Admin Regulatory & Social

Processes Research Process Processes . Processes
.I""'-- F_IN_A_N_C_IA_L_P_E_R_S_P_E_C_T_IV_E -'
Grow and diversify .Related Student

Revenue Base Process Sales
LEARNING AND GROWTH PERSPECTIVE
Existing Faculty Mentor Faculty Academic Infra IT Systems

FDP •
Fig. 12.4: A Typical Strategy Chart for Academic Institution
71
Contemporary Aspects on • Process Perspective: It is based on pedagogical, research and innovation,
academic administrative and regulatory and social processes. .
• Constituent Perspective: It is the equivalent of customer perspective and
includes service attributes, relations ships and image.
• Product Perspective: Product of any educational institution is its graduates
from where an institution derives its image.
It is a approach from bottom to top wherein the Learning and Growth perspective
deals with the faculty, its development and also the infrastructure required for
the organizational growth. Getting the financial support for the organization is
the next step. That is defined in the Financial Perspective. Thereafter, the processes
that would help in attaining the organizational objectives need to be identified in
the Process Perspective. The effect of the perspectives already defined on the
constituents need to be considered next and thus Constituent Perspective is
formulated. All the above perspectives lead to the Product Perspective. It implies
the quality of the students and how various stake holders perceive the product. .
Based on the above perspectives a Strategy Map as shown at Figure 12.4 can be
drawn.
The strategy map shown helps in arriving at the objectives based on various
perspectives. Thereafter, measures need to be assigned to each objective so that
an empirical assessment can be carried out.
An interesting aspect of BSC is that it is convenient and easy to comprehend,

relates to all levels of hierarchy, and is an easy to understand approach for
performance measurement, review and evaluation. It is an ideal mechanism to
communicate strategy and strategic objectives to all levels of management.
Check Your Progress

b) Check your answers with those gfven at the end of this Unit.
7)' Name the four perspectives propounded by Kaplanand Norton that
affect the performance of an organization.
8) List the four stages for drawing up a Balanced Score Card strategy map .
................. ; .
72
12.6 SUMMARY Management
A significant feature of Knowledge Economy is that unlike the conventional

economy the more we use the resources available the more they grow. Therefore,
the emphasis is on Intellectual Capital the basic resour-ce of knowledge economy.
Knowledge management 'therefore is assuming ever increasing importance in
the present era. The environment today is characterized by technology
development and only those organizations can hope to prosper that have the will
and the capability to manage technology and innovation. Creating suitable
organizations to manage this aspect would go a long way in helping its proper
management. The globe is shrinking and mass migration of population in search
of employment highlights the importance of management of diversity. In addition
the varieties of organizations with their own distinctive roles add another
dimension to diversity demanding skills from mana~ers to manage it. The present
day environment is very competitive and complex and demands a performance
management system that not only builds in accountability but also rewards
performance and aligns the objectives of the workers with those of the
organization. Balanced Score Card has emerged as an effective management
tool for performance management and can be gainfully employed in a higher
education institution.

1) Prepare a knowledge management plan for your institution.
2) Assign some projects to your students. Select an innovative idea from amongst
those and prepare a road map for its incubation and commercialization.
3) Prepare a Balanced Score Card strategy map fOfYOUinstitution and assign
objectives and targets to key functionaries.
12.8 REFRENCES
1) Davenport T and Prusak L, Working Knowledge: How Organizations Manage
What They Know. Harvard Business School Press, 1998
2) Armstrong Michael: Performance Management. Kogan Page, 200&..
3) Kaplan RS and Norton DP: Using the Balanced Score Card as a Strategic '~
Management System. Harvard Business Review, January-February 1996.
4) Managing Diversity: Harvard Business School.Press, 2007
5) Raman AT: Knowledge Management. Excel New Delhi, 2007.
6) Tidd, JQ~,Bessent, John and Pavit Keith: Managing Innovation, John Wiley,
New Delhi, 2008
12.9 ANSWERS TO CHECK YOUR PROGRESS

1) Knowledge is the fact or condition of knowin.~ something with familiarity
gained through experience or association. The process of knowing includes
both awareness and judgment. It implies that knowledge is associated with
cognition, and cognition implies awareness. Knowledge is a fluid mix of
experience, values, contextual information, expert insight and grounded
73
Contemporary Aspects on intuition that provides an environment and frame work for evaluating and
incorporating new experiences and information.
Knowledge management can be defined as a process that enhances an

organisation's ability to take effective action by proper management of
knowledge. Knowledge Management to be effective has to rely on three
essential elements, Knowledge creation, Knowledge sharing and Knowledge
application.
2) Factors affecting organizational learning are: Discovering and Obtaining

Feedback; Innovating; Selecting right innovative ideas; Executing;
Transferring individual learning needs to team needs; Reflecting and Adopting
-learning from past experience; Acquiring knowledge from environment;
contributing knowledge to environment; Building organizational memory.
3) The seven sources for opportunity for innovative organization are: The
- unexpected success that makes a company happy; the incongruity between
what actually happens and what was supposed to happen; the inadequacy in
an underlying process that is taken for granted; the changes in industry or
market structure that catch everyone by surprise; the demographic changes
caused by wars, medical improvements and even superstition; the changes
in perception, mood and fashion due to the ups and downs of the economy;
and the changes in awareness caused by new knowledge.
4) Stages for commercialization of an idea are: Imagining - it involves

identifying market opportunities; Incubating - it involves nurturing a new
idea and technology sufficiently to help its commercialization; Demonstrating
- it implies building prototypes that could display the salient features and
capabilities of the product; Promoting - it involves convincing the potential
investors and users to adopt the innovation; and Sustaining - it means that
after a product has been launched in the market it needs to be sustained
through the process of product improvement.
5) Some of the versions of diversity in the education sector are - - Co-educational

institutions, institutions having students from different regions or socio-
economic backgrounds, institutions having a mix of domestic and foreign
students, institutions engaged in teaching or in research or in both, institutions
engaged in imparting education in specific disciplines or those having
different faculties, institutions providing educations through the regular mode
and those dealing with distance education or a mix of both are all examples
of diversity.
6) Factors affecting diversity in education sector are: The Environment - the

main conditions that influence the higher education institution are the student
choice, stakeholder influence, the economy, the local government and history;
Policy Intervention, implying that policies of the government have the most
profound effect on systemic diversity; Funding meaning whether aid{d or
unaided institutions or government owned institutions; Competition and
Cooperation - a competitive environment, especially when the availability
of funds is limited, could promote systemic diversity; Ranking - a ranking
system creates a hierarchy of institutions.
74
7) Four perspectives that act as drivers of an organisation's performance are: Emerging Concepts of
Management
Customer perspective implying how the customer perceives an organization;
Internal perspective - asking what should an organization excel at; Innovation
and learning perspective - checking if an organization can continue to
improve and create value; and Financial perspective analyzing what can be
done to meet the expectations of the stake holders.
8) The four stages of drawing up a strategy map for a Balanced Score Card are:
Formulating the vision of the organization and translating it in to operational
goals; Communicating the vision to the organization and linking it to
individual performance; Converting it in to a business plan and setting targets;
Obtaining feedback and learning and adjusting the strategy accordingly.
75

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'.

Managing Higher Education

"Education is a liberating force, and in our

Prof. Nalini Puneja

Language Editing Unit Design & Format Editing

Block 1 Managing Higher Education Institution: A Perspective

Block 2 Structure of Higher Education

Block 3 Management Process and Leadership

Block 4 Contemporary Aspects on Institutional Management

Every nation requires different types of human personnel to undertake different

We would require teachers and administrators to undertake the teaching as well

Learners in HE institutions listen to the principal, the vice-chancellor or the

• explain the needs and requirements of HE in the light of past developments;

India, besides being an intellectually rich nation was also economically

Our intellectual resource was destroyed. Higher education, of which a mojor

In 1993, UNESCO formed a commission to review the education systems of the

1.3 HIGHER EDUCATION - THE CONCEPT

1.3.1 Education and Higher Education

1.3.2 The Concept of Higher Education

Now, let us come to the development of higher education. Higher-learning

Higher education is an institutionalised system of education and is an educational

1.4 - HISTORICAL PERSPECTIVES OF HIGHER

1.4.1.1 Women in Higher Education

The University of Wisconsin went coeducational in 1865, followed by the

1.4.2 Indian Scenario

Categorisation is done here only to understand the changes in the education

Check Your Progress 2

2) Why had Max Muller praised Indian education?

1.4.2.1 Ancient India

"He who is possessed of supreme knowledge by concentration of mind, must

1.4.2.2 Medieval India

ii) Feudal India 11

A new management system in Universities and other education institutions

Check Your Progress 2

1.5 HIGHER EDUCATION IN THE NEW GLOBAL

• The tension between the global and the local,

(Source :Learning the Treasure Within, Delor-1996)

1.5.1 HE for the Development and Perfection of the Individual

1.5.2 HE for the Fulfillment of the Growing Demands of the

1.6 KEY PLAYERS IN THE·HIGHER EDUCATION

1.7 LET US SUM UP

In India, there was no separate system of HE but learners achieve knowledge up

1.8 UNIT END ACTIVITIES'

1) Ashby, Eric and Mary Anderson (1966): Universities - African. British,

2) Altbach, Philip G. (2006): 'The Private Higher Education Revolution: An

3) Delors, J. (1996): Learning the Treasure Within. Report to UNESCO of the

4) IGNOU (1994): "ES-313: Student Support Services," Post Graduate Diploma

6) Naik, J. P. & Nurullah, Sayed (1974): A Students History of Education in

2.3 UNDERSTANDING GLOBALIZATION

The modem system of education especially higher education has developed in

Many scholars trace the beginning of globalization of education in the travel of

2.3.1 Internationalization of Education

2.3.2 Collaboration Resulting in Brain Drain

Financial and intellectual support has also been an established form of

2.3.3 Supporting Foreign Students Abroad

Such scholarships have been of great suppport to individual learners as they

Collaboration for Profit