UNIT 8.

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INTRODUCTION TO INSTITUTIONAL MANAGEMENT

Contents Page No.

Broad Objective 3
Learning Outcomes 3
Introduction 3
8.1.1 Institutional Management 4
(A)Concept of an institution 4
➢ Characteristics of an Institution
➢ Institution Vs Organization
➢ Types of institutions
➢ What is management?
➢ Management as a process
➢ Management as an Activity
➢ What is Institutional Management?
➢ Components of Institutional Management
➢ Objectives of Institutional Management
(B)Importance of Institutional Management 8
➢ Aspects of Institutional management
❖ Management of Curriculum
❖ Management of Human Resources
❖ Management of Finances
❖ Management of Infrastructure

Practice Task 20
Feedback 21
8.1.2 Administration 22
(A)Concept of Administration 22
(B)Difference with Institutional Management 23
➢ Based on Functions
➢ Based on Usage/Applicability
Practice Task 24
Feedback 24
8.1.3 Institutional Management Process 25

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 ➢ Planning
➢ Organizing
➢ Staffing
➢ Directing
➢ Controlling

Practice Task 29
Feedback 29
Conclusion 31
Bibliography 31

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 UNIT 8.1
INTRODUCTION TO INSTITUTIONAL MANAGEMENT
Author: Dr Rakesh K Wats
NITTTR, Chandigarh
Broad Objective
The broad objective of this unit is to make the participants
aware about the importance of institutional management
and its scope in the smooth, efficient and effective running
of an educational institution.

Learning Outcomes
After going through this unit the learner will be able to :
• Define the concept of Institution, Management and institutional management and their
importance.
• Explain different aspects of institutional management and identify components of management in
each of them.
• Facilitate in management of curriculum implementation, Human resources, Finance and
Infrastructure in his own institution.
• Differentiate between institutional management and administration.
• Explain institutional management process.

Introduction
Institution is a fundamental form of social organisation to meet a broad social goal,e.g. an educational
institution like a college, university or deemed to be university.Management is a tool of getting work
from others for achieving the specified objectives through productive and optimum use of scarce
resources while institutional management helps in developing harmonious co-ordination amongst
different programs, activities, functions and people so that the institution as a whole becomes capable of
achieving its targets, goals and objectives effectively and efficiently. For the smooth running of an
institution, scientific principles of management play a very significant role. Be it the curricular or co-

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curricular processes, optimisation of scarce resources like finance, competent humans or the adequate and
up-to date infrastructure, proper management and its defined processeshave a role to play.

In this unit, learners you shall understand the concept, need, importance and scope of institutional
management. You shall become aware about the broad difference between institutional management and
administration for the effective functioning of an institution. Understanding of the institutional
management process shall be another important input for you.

8.1.1 Institutional Management

To understand Institutional management, we need to understand the two terms independently, so we start
with

(A)Concept of an institution

The term institution has become widespread in the social sciences in recent years, reflecting the growth in
institutional economics and the use of the institution concept in several other disciplines, including
philosophy, sociology, politics, etc. The term has a long history of usage in the social sciences, dating
back at least to GiambattistaVico in his Scienza Nuova of 1725. However, even today, there is no
unanimity in the definition of this concept. (Hodgson, 2006)
A commonly accepted definition of institutions is that they are the formal and informal rules that organise
social, political and economic relations (North, 1990). They are the systems of ‘established and prevalent
social rules that structure social interactions’ (Hodgson, 2006, p. 2).
“Institutions are the ways in which the value patterns of the, common culture of a social system are
integrated in the concrete action of its units in their interaction with each other through the definition of
role expectations and the organisation of motivation” (Parsons and Smelser, 1956)
Institutions operate in all spheres of life and can affect access to economic, legal, political, and social
rights and opportunities.

➢ Some common characteristics of an institution are as follows:

❖ Distinct purpose expressed in a goal or a set of goals- every institution has a particular
goal for which it has been incorporated for ex a school is formed to impart education to
students, a hospital to serve healthcare facilities to patients etc.
❖ People come and work together to achieve the institutional goal through a set of decisions
and work activities.

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 ❖ A deliberate and systematic structure that defines and limits the behavior of its members

➢ Institution Vs Organization
People often use the two terms synonymously but they are distinct.The term ‘institution’ is
sometimes used to refer to organisations or associations and sometimes to designate a normal
principle that defines clusters of important behaviour, such as marriage or property.
An organisation is a group formed to meet a specific goal, e.g., a college or a hospital. An
institution, however, is not an actual group or association. It is a system of beliefs, norms,
values, positions, and activities that develop around a basic societal need. The concept of
institution is-abstract and is used to refer to a fundamental form of social organisation that
meets a broad social goal. In the present context however, institution will refer to an
educational institution imparting higher education like a college, university or deemed to be
university.

➢ Types of institutions
E.W. Burgess has given the following classification of institutions
❖ Cultural institutions for transmitting social heritage like family, school, church (religious
institutions).
❖ Economic institutions for organising of services of utility like bank, labour union,
commercial and industrial enterprises.
❖ Recreational institutions for satisfying human desire of enter­tainment, amusement and
play etc.
❖ Social control institutions for solving social problems of society and personality. (As
cited by GauriDushi in article Institutions: Definition, Types and Functions of
Institutions, http://www.preservearticles.com/sociology/institutions-definition-types-and-
functions-of-institutions/30474)

After understanding what is an institution, its time now to know

➢ What is management?
The term Managementis considered to be a universal phenomenon which is involved in every
sphere of life,be it the tangible ones like an educational institution or the intangibles like time
and stress.

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 According to Harold Koontz, “Management is an art of getting things done through and with
the people in formally organised groups. It is an art of creating an environment in which
people can perform asindividuals and can co-operate towards attainment of group goals”.
According to F.W. Taylor, “Management is an art of knowing what to do, when to do and see
that it is done in the best and cheapest way”.
The above quoted definitions clearly indicate that “management” is a tool of getting work
from others for achievingthe specified objectives through productive and optimum use of
scarce resources. It is generally believed that resources will always be scarce and it is the
responsibility of the head of the institution to manage these scarce resources in the most
effective and efficient manner, not compromising on the quality, yet achieving the goals and
objectives.
Management is a purposive activity. Every institution big or small, rural or urban is existing
to fulfill its objectives through 'management' E.g.: For one institution it may be admitting
quality students and for other it may be imparting quality education by recruiting quality
teachers.

➢ Management as a process
Management, as a process, involves a series of inter-related functions which create, operate
and direct a purposive organisation through systematic, coordinated and co-operated human
efforts. According to George R. Terry, “Management is a distinct process consisting of
planning, organising, actuating and controlling, performed to determine and accomplish
stated objective by the use of human beings and other resources”. As a process, it has three
aspects:
❖ Social aspect- Since human is the most important factor among other factors,
management is concerned with developing relationship among people. It is the role of
management to make interaction among people – highly productive and useful for
achieving institutional goals.
❖ Integrating aspect–Bringing together human, physical and financial resources, so as to
achieve institutional objectives, is one of the important activities of management. Thus, it
is an important aspect of management to bring harmony between various factors.
❖ Continuingaspect–One of the major roles of management is the identification of
problems and finding their solution. As problems are part and parcel of the functioning of
any institution, finding solution and implementing them is a continuous activity for the
management of any institution.

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➢ Management as an Activity
Like many other activities performed by a human being, management is also an activity
undertaken by a manager while performing his role of accomplishmentof objectives by
directing the efforts of others. According to Koontz, “Management is what a manager does”.
In case of an educational institution, the manager would be the principal or anyHOD.

Management as an activity includes -

❖ Informational activities -This refers to those activitieswhich help in giving and

receiving information orally or in written form for the smooth, effective and efficient
functioning of the institution.
❖ Decisional activities -All types of managerial activities are based on some type decision.
Principals/HODsin an institution are continuously involved in decisions making of
different kinds since the decision made by one becomes the basis of action to be taken by
other. For ex the decision taken by the principal not to admit students below a particular
cut-off percentage will lead to the HODs working in admission procedure to admit only
those students that fulfill the said criteria and send back the others.
❖ Inter-personal activities - Management means achieving the goals through the
involvement of others where his inter-personal skills play a vital role.Principals/Directors
interact with their superiors as well as the HODs and faculty. For the smooth running of
the institution,they must maintain good relations with them. The inter-personal activities
include meeting with various HODs and faculty to understand their needs etc.

➢ What is Institutional Management?

Institutional Management is a process designed to achieve an institution’s objectives by using
its resources effectively & efficiently in a changing environment.Institutional management
helps in developing harmonious co-ordination amongst different programs, activities,
functions and people so that the institution as a whole become capable of achieving its
targets, goals and objectives effectively and efficiently.

➢ Components of Institutional Management:

Institutional management has two broad components:
❖ Organisation and management of curricular activities and
❖ organisation and management of co-curricular activities.

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 In the total programme of education, curricular and co-curricular activities occupy the central
position. Curricular and co-curricular activities are complementary to each other. These
activities help in developing integrated human personality. There was a time when the whole
purpose of the educational institution was conceived to be confined to the teaching of
prescribed syllabus. Other activities were regarded as additional.Participation in social and
sports activities or outside the classroom activities was looked down upon as a mere side
show. It was thought that these activities had no link with the actual teaching programme. But
in today’s scenario, the role of co-curricular activities is considered to be complementary to
curricular activities in developing a total human being.As we know, curricular activitiesare
those activities which are organised in a classroom (e.g. teaching of different subjects by the
teacher/classroom teaching., practical work in the laboratory, workshop, library reading etc.),
while co-curricular activities include the activities having indirect reference to actual
instructional work undertaken in the classroom. Now a days, both theseactivities have equal
weightage in the life of a student in an educational institution.

➢ Objectives of Institutional Management

❖ Achievement of the institutional objectives.
❖ Improvement in planning, organising and implementation of institutionalactivities,
processes and programmes.
❖ Ensure optimum utilization of human resources(teachers, non- teaching staff and
students)
❖ Enhance the efficiency and effectiveness of institutional infrastructural facilities.
❖ Enhance employees’ job satisfaction
❖ Manage interpersonal conflicts effectively.
❖ Improve communication.

(B)Importance of Institutional Management

Institutional is becoming very important in today’s scenario as it helps in understanding various

aspects of management at institutional level, like:
❖ Defining and describing roles and responsibilities of the educational manager
❖ Defining, describing and developing managerial skills.
❖ Understanding and facilitating educational planning at macro levels, its goals,
principles, approaches and procedures
❖ Understanding and facilitating institutional planning and educational administration.

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 ❖ Facilitating in decision making, problem solving, communication and managing
information and building effective teams.
❖ Facilitating in planning of curricular and co-curricular activitiesvand preparation of
time-table.
❖ Helping in the maintenance of essential records, evaluating students’ achievements.
❖ Helping in financing and budgeting of the institution.

➢ Aspects of Institutional management

• Management of Curriculum
• Management of Human Resources
• Management of Finances
• Management of Infrastructure

❖ Management of Curriculum

A “curriculum is aprogramme of activities by teachers and learners – so designed that

learners will, asfar as possible, achieve specific educational and other school
objectives”. Barrow (1984)

It may be stated that curriculum is anextensive concept which includes all planned
activities and subject courses which are undertaken in an institution. Planned
activities meanactivities relating to societies, clubs, committees, sports etc. These all
take place within a specific system which is constantly evaluated and aims to lead the
child to become a responsible citizen of the nation.

"Curriculum management is a structured set of activities designed to assess and

adjust the curriculum to the changing needs of students". Developing a perfect
curriculum that fulfills the needs of the students and facilitates the institution attain
its objectives is a difficult task. There are certain other challenges as well in
curriculum management.Firstly, as new research is published, you willhave to make
updates in curriculum content. Secondly, abnormal assessment scores will force you
to re-examinethecontent sequencing and assessment approach. Unavoidably, you will
be faced with 'curriculum drift'. For example the Changein IS building codes,
Company Law,1956 to be replaced with the Company Law,2013. Similarly, The
Goods and Sales Tax, 2017 to replace all the Indirect taxes that were levied earlier. If

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these new topics are not incorporated in the curriculum then it is called a curriculum
drift. How can you ensure that a carefully designed curriculum adapts properly in the
changing educational scenario? You can do this by applying a structured set of
activities designed to assess and adjust the curriculum, in other words, with
curriculum management.

An effective curriculum management approach includes following activities:

1. Curriculum mapping-is the first and fore-most step inthe curriculum

management endeavor. It is a process in which structural elements of a
curriculum (phases, years, courses, sessions, etc) are tagged and linked with each
other as well as with learning outcomes and content areas. The most important
aspect of curriculum mapping is that it helps in giving an accurate presentation of
an institutional curriculum by transforming a series of documents and
experiences into a searchable database, without which all other steps in
curriculum management shall be of much less value.

2. Content & structure analysis–After the mapping of curriculum, analysis is

done to find whether the content is still relevant, and if the curriculum structure
supports the anticipated learning goals. Some of the common methods of doing
thisare:

Gap/redundancy analysis-a report of content gaps or redundancies in a

curriculum. For example, redundancy in curriculum exists when similar content
e.g. teaching a topic, “cement as a building material” is being taught in several
different course areas. While content gap in a curriculum comes when any one of
the eleven engineering graduate attributes remains under-represented in the
curriculum.

Teaching types analysis - a report providing an overview of the teaching types

and frequency of their use in the program. Often, this type of analysis report is a
part of an accreditation review, but can also be used to ensure whether content
is being taught most accurately by providing varied learning experiences to
students.

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Sequencing analysis- a report presenting sequencing of topics throughout the
curriculum. In this tagging of learning outcomes or content areas as per Bloom’s
taxonomy is analysed. Based on this, a report of the sequencing of content across
the content area is prepared.

To prevent curriculum drift, content & structure analysis play a significant role in
curriculum management as these help in identifying missing, inappropriate and
obsolete content which can be replaced with more appropriate one

3. Student assessment

The ultimate outcome of any curriculum is student assessment results. They act
as an important input to curriculum management process.Assessment results
provide a glimpse of curriculum problems which otherwise may not be visible
through other result areas.It is important to mention here that all the problems in
student assessment may not be curriculum problems. Some of the issues may be
linked with individual students, particular faculty or other non-curriculum things.
Systemic assessment problems (like missed/low results in a key content area;
over-performance in another area), may however, help inidentifying issues that
would have otherwise remained hidden.

4. Program evaluation

Another important aspect in curriculum management is program evaluation. It

provides a real time feedback about the curriculum to the faculty and staff.
However, it is important to understand that all program evaluation results may
not provide inputs about curriculum problems. For example, a poor teacher
evaluation is not necessarily a problem of curriculum management.

There are eight principles that guide the assessment of any curricular activity in
an institution. They are as listed below:

• Teachers need to be aware of their student's progress level.

• Students need to know about their learning progress.
• Assessmentis a bidirectionalphenomenon. On one hand it measures student’s
achievement, on the other teacher’s performance

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• Assessment process should help in enhancing teaching effectiveness along
with intellectual and psychological growth of students.
• Assessment provides input data and evidence for students’ attainment and
teachers performance
• Assessment is a continuous process. Continuous monitoringis required to
check the progress of the plans and activities implemented for promoting
desired behaviour
• Successful assessment process incorporates reflection and self assessment as
these help in developing in students necessary skills for assuming greater
ownership of their own learning.
• Facilitating student learning and assessing his progress in that learning are
the responsibility of a teacher and he is, or should be held accountable for the
same

5. Research, review, revise

This is the final step in curriculum management where the data collected from
content and structure analysis, student assessment results, and program
evaluation feedback is used to decide whether or not changes in curriculum are
needed. This is one of the main jobs of the curriculum committee and it is not to
be taken lightly. This may uncover many issues e.g. a deep-seated curriculum
issue found through low student assessment scores etc. These may require more
research for deciding how to proceed.

When the curriculum is finally drafted, ask the following questions:

• Relevance- Is the curriculum relevant in terms of content in the changing

environment.
• Utility- Will the knowledge or skills imparted to students enhance long‐term
employment or make them employable in future.
• Social Responsibility- Does this curriculum make the students socially
responsible citizens of the nation who are aware of their social,
environmental and ethical responsibilities.
• Fundamental value of knowledge- Does the content have persistent cultural
implication?

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 • Critical thinking- does the content of the curriculumcompel the students to
think critically?
• Student Enrichment: Will the content enhance the inimitable experiences
and values of student life?

❖ Management of the Human Resources

Human resource is an increasingly broadening term that refers to

managing'humancapital', the people of any institution. It is a strategic function of
management that recognises the inter-linkage between talented and engagedpeople
andinstitutional success.

Human resource management is the process wherein the emphasis is on recruitment,

compensation, performance, training and development, motivation, communication
and providing directions to the people who work in an institution. According to
Dessler (2008)” the policies and practices involved in carrying out the people or
human resource aspects of a management position, including recruiting, screening,
training, rewarding, and appraising comprises of HRM”.

Human Resource of an educational institution comprises of faculty, teaching and

non- teaching staff, students and other elements such as parents, members of the
community, members of the governing body, etc.. The management of human
resource is of vital importance to achieve the educational objectives.

The management of two types of human resources is discussed in this section:

• Management of Student Support system

• Management of other human resources

1. Management of Student support system

Students incorporate an essential component of human resource of an

educational institution. They not only provide the financial resources that help in
running the institution but also are the future representatives of the institution.

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Educational institutions are established to impart quality education, for which
they have to come up with programmes and courses of study, design and develop
curricula and learning outcomes, evolve suitable teaching-learning strategies, and
formulate the criteria of assessment and certification. The system and mode of
instruction of the institution has to be in conformity with its mission and goals.
There are various aspects of the programmes being offered by the institutions.
One aspect is, the extent of flexibility and autonomy exercised while deciding the
programmesand content and the second is being responsive to the needs of
society/country, like starting skill development courses to make the youth self
reliant. Thesemay vary from one institution to the other and each decides on the
programmes to be offered and their content. However, programmes from
variedinstitutions need to be comparable in terms of intensity of content,
standards of assessment and achievement so that equivalence of qualification
may be ascertained.

The instructional system should integrate all possible channels to enhance

learning like,classroom teaching, laboratory work, group work, projects, self
studyetc..This multiple media approach to instruction optimises learning
outcomes.

Effective management of student support in higher education is also dependent

on assessment of the learning component. Since teaching-learning is affected
over a long period oftime, educationists vouch for a system of continuous
evaluation of the learning outcomes rather than only a terminal assessment
system.

The important considerations in regard to student learning and its assessment are:

i) Appropriate content, structure and provision of flexibility in the choice of

content.

ii) Instructional procedures clearly spelt out.

iii) Well defined assessment procedure.

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These points determine the learning contract between the student and
theinstitution and should therefore be conveyed to the student clearly and
objectively, before the student makes a choice.

The student support services normally provided by higher education institutions

can be categorized as follows:

• Provision of information about programs and courses, teachers and their

qualifications, admission procedure, teaching learning methods, assessment
procedures, criteria of assessment, awarding grades, procedures for setting
disputes about assessments, admissions, etc. about the teacher schedules, library
work, laboratory work, tutorial, examination schedules etc. This will help them to
gauge the academic rigour of any particular program.

• Provision for other curricular activities like sports and games, cultural and
social activities, community activities, group works, travels and competitions.

• Residential facilities available and participation in their management

• Participation in student association activities.

• Financial support provision like loans, scholarships to meritorious students etc

• Guidance and counseling services, including provision for placement of

successful students.

Management of student support services poses a big challenge for the

administrators and faculty of the educational institution.

2. Management of other human resources

Human resources in educational institutions include several people namely

faculty and, Principals, Vice Chancellors, Heads of Institutions, Heads ofDeptts.,
Heads/Directors of Research units, Deans, Directors of Higher Education
Department, Heads of Training Institutions, local and regional Administrators,
Educational Planners and Administrators at national level. Each of these

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individuals requires different kinds of knowledge, skills and aptitudes to
discharge their duties well.

In order to be effective and efficient, an educational institution has to ensure that

there are right kind of people, in the right place and at the right time for carrying
out various jobs and services.For this purpose, human resource needs are to be
identified and assessed. Proper selection and recruitment proceduresare to be
followed. This must be in accordance with the guidelines of the statutory bodies
like UGC, AICTE, etc as the case may be. There are challenges like working
conditions, promotion prospects, training and development, transfers, motivation
and security, career development and so on. These are to be handled with
empathy and co-operation on one hand and sense of commitment and
accountability on the other hand.

• The Need to have Human Resource Management

Human resources management is a process of positive change linked to the

enhancement of the capacity of each individual in an institutional set up. It is a
strategic approach of selection, recruitment, motivation, training and
development and management of the institution's human resources which ensures
the achievement of the objectives of the institution. Similar to the managers and
CEOs of big corporate houses, the heads of educational institutions also apply
many familiar techniques of HRM such as manpower planning, selection and
recruitment, staff development and motivation, performance appraisal, etc. for
management of human resources. Institutional leaders must understand that:

1. People are an integral part of any institution as the latter cannot exist in
isolation. Without people an institution has no meaning. It is for the
administrators to understand that people constitute the central part of the
institution.

2. People working in the institution are considered to be resources because of

their special qualities and characteristics. Every individual be it the faculty, the
lab technician, the librarian or the office clerk have a contribution to make
towards the achievement of institutional goals. Thus, they cannot be treated like

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 material resources and there is a need to introduce humanistic values and human
approach to deal with them.

3. Since people are an asset, care must be taken to develop them from time to
time, keeping them up-to-date with the changing needs of the society. Moreover,
they must be rewarded, recognised and remunerated according to the guidelines
set by the government from time to time.

Thus, management of human resource in an institution, necessary to achieve its

desired goals successfully, can be achieved by following ways:

i) Selecting and retaining qualified talent through effective human resource

planning i.e. recruitment, selection, placement, compensation and promotion
policies.
ii) Developing and building required skill competency and capabilities through
training, orientation and performance appraisal, etc.
iii) Securing support and cooperation of employees through motivation,
participation, grievance handling, etc.
iv) Ensuring that the institution will have a team of competent and dedicated
employees in future.

❖ Management of Institutional Finances

Finances are considered as the life blood of any institution and accordingly its proper
management is one of the important aspects of institutional success as it is important to
understand that the basic purpose of any educational institution is to impart education to
the students which it is not possible without appropriate quantum of money.

Finance isthe science ofthe management of money and assets. It not only deals with
resource acquisitions but also its allocation. Presently,education is being provided
through different modes such as formal, non-formal,distance and online (e-learning). For
providing different levels of education through different modes a variety of physical
resources (buildings, equipment, materials) and human resources (teachers,
administrators and custodians) are needed. These resources cannot be without adequate
finance.

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Therefore, money becomes very important for the survival of any system. Secondly, it is
not just the availability of money can solve all the problems but allocating this money to
various heads is equally important.

So, let us define educational finance as the management of money and assetswhen
physical and human resources are allocated for educational purpose. The next question
would be what are the various sources of finance.

• Contribution of Governmentand Household in Educational Financing

Government meets the institutional costs of education to a large extent up to

secondary level. In tertiary level, especially in technical and professional
education, the role of private players have increased significantly during the past
few years.

It will be pertinent at this point to examine the role of University Grants

Commission (UGC) as a funding body in higher education institutions. UGC
provides funds to colleges and universities for the development of higher
education and research. It receives grants-in aid from the Central Government
under both non-plan and plan heads. The non-plan grants are meant essentially to
meet the maintenance costs of the central universities, some deemed universities,
colleges of Delhi and some ongoing schemes of the UGC both in Central and
State universities. The plan grants are used for general development of every
university in terms of creating infrastructural facilities - construction of
buildings, purchase of furniture equipment for laboratories development of
libraries and other academic and administrative needs. UGC also provides plan
grants under special scheme programmes for promotion of quality, excellence,
teaching and research.

Generallya large amount of household investment especially in technical and

other professional education isfavoreddue to following three main reasons:

o Government does not have adequate budget to finance education

and thus households have to necessarily put in their resources for
their education, at least partly;

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 o It is believed by some that household expenditure, specifically
fees, would make children more serious about their studies, and
thus result in enhancing the efficiency and effectiveness of the
system
o Household expenditure reflects both ability to pay and
willingness to pay for education. It is argued that this thought of
people need to be fully exploited.

In fact, , dual system of education -public education system (usually considered

to be of poor quality) for the poor, and fee charging private education (of better
quality) for those who can afford, is mainly applicable up to secondary level.
However, in case of higher education, government subsidies are three fourths of
the total recurring expenditure, in the country as a whole. Fees from student,
endowments, and others meet the rest more or less in equal proportions. But in
therecent years, given the changing economic and educational policies, this
proportionseems to be rapidly increasing to significant levels in many
Universities.

• Contribution of Foreign Aid in Educational Financing

Foreign aid is one important source of finances for education. Its importance gets
enhanced in developing countries like India where public budgets for education
become very tight with the adoption of structural adjustment policies. A large
number of foreign aid projects especially in primary education and a few
especially for enhancing the quality of higher technical education (TEQIP) are
presently operational in the country with the assistance by several international
agencies, such as the World Bank, the Swedish International Development
Agency, the UNICEF, the European Economic Community,etc. Thus the external
aid is both bilateral flowing from countries, and multi-lateral flowing from
international- UN and other organisations.

In most colleges and universities over 90 percent of the expenditure goes towards
paying salaries of teachers and staff. Therefore, the institutions are not left with
many choices but to enhance the fees from students, leading to public ire, even
some of the dual mode universities have been resorting to distance education.

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 Thus, management of finance in today’s scenario, when government contribution
to education is declining and the cost ofeducation continuously increasing, is one
of the most important difficult issues for any institutional manager.

❖ Management of Institutional Infrastructure

Physical structures required to run an institution are called infrastructure.Physical
infrastructure, in the context of education implies the teaching learning space and
equipments necessary for effective teaching-learning process. These include, classrooms,
libraries, laboratories, furniture, social space, IT network and other support needs, like
special provisions for disabled etc (Rose, G.M., 2006). It is important to understand some
basic concepts which determine the planning and management of physical facilities in
educational institutions.
Proper planning for management of these constituents of an institution is required and is
essential for the effective achievement of the institutional goals. Hence, management of
infrastructure both human and physical particularly in the context of Indian higher
education assumes tremendous significance. This is primarily because Indian higher
education has undergone expansion in terms of number of institutions, courses of study,
departments, teachers and students.

Practice Task
Q. I. Fill in the blanks
a) Kinds of institutions may be ____________ , _______ ,________ and _________

b) Management as an activity includes _________ , ____________ and __________ decisions.

c) In the total programme of education, _______and ___________ activities occupy the central
position.
d) "______________ is a structured set of activities designed to assess and adjust your
curriculum".

Q. II. Short answer questions

1. What are the objectives of Institutional management?

2. What are the various aspects of institutional management?
3. Name the two types of human resources in institutional management.
4. Name the various sources of institutional finances.
5. Briefly discuss the importance of institutional management.

20
Feedback
A1 a) Cultural, Economic, Recreational and Social control
b) decisional, interpersonal and informational
c) curricular and extra-curricular
d) Curriculum management

AII. Short answers

1. Objectives of IM-
a. Achievement of the institutions’ objectives.
b. To improve the planning, organizing and implementation of the institutions activities and
processes.
c. To ensure appropriate utilization of human resources (teachers, non- teaching and
students)
d. To enhance the efficiency and effectives of institutional infrastructural facilities.
e. To enhance job satisfaction among employees
f. To manage interpersonal conflicts, manage stress and use time effectively.
g. To improve interpersonal communication.

2. Various aspects of institutional management are:

a. Management of Curriculum
b. Management of Institutional Human Resources
c. Management of Institutional Finances
d. Management of Infrastructure

3.The two types of human resources in institutional management are:

a. Faculty (Teaching and non Teaching)
b. Students
4. The various sources of institutional finances are
a. Contribution of Government and Household
b. Contribution of Foreign Aid
5 Importance of IM:
a. It includes the study of various theories of management science which define and describe
the roles and responsibilities of the educational manager and develop managerial skills.
b. It includes the study of educational planning at macro levels, its goals, principles,
approaches and procedures. At a micro level it helps in understanding and facilitates:
Institutional planning and Educational administration.
c. It helps in decision making and problem –solving, communication and managing
information and building effective teams.
d. It helps in planning of curricular and co-curricular activities, and preparation of time-table.
e. It helps in the maintenance of essential records, evaluating students’ achievements.
f. Financing and budgeting of the institution.

21
8.1.2 Administration
(A)Concept of Administration

The two terms management and administration have been used in different connotations by
different writers.

According to Theo Haimann, “Administration means overall determination of policies, setting of

major objectives, the identification of general purposes and laying down of broad programmes
and projects”, literally meaning activities of higher level including laying down basic principles
of an institution. According to Newman, “Administration means guidance, leadership & control
of the efforts of the groups towards some common goals”. On the other side, management
involves conceiving, initiating and bringing together the various elements; coordinating,
actuating, integrating the diverse institutional components while sustaining the viability of the
institution towards some pre-determined goals. In other words, management is an art of getting
things done through & with the people in formally organised groups.

In other words, management carries out the decisions taken by administration. The functions of
administration are legislative and largely determinative and those of management are executive
and largely governing. This view presents administration at a higher pedestal andmanagement at a
lowerpedestal.
Some other authors like Oliver Sheldon, Florance, Lansberg, and Haiman are also of the view that
administration involves decision-making and policy formulationwhile management deals with
executive and supervisory work. According to them administration is the process and agency
which is responsible for the determination of the aims for which an organisation and management
are to operate, and which gives general oversight to the continuing effectiveness of the total
operation in reaching the objectives sought. Management is the process and agency which directs
and guides the operations of an organisation in the realizing of established aims.
Another view is that administration and organisation are a part of management.Brech has
advocated this view. In his words, "Management is the generic termfor the total process of
executive control involving responsibility for effectiveplanning and guidance of the operations of
an enterprise. Administration is thatpart of management which is concerned with the installation
and carrying out ofthe procedures by which the programme is laid down and communicated and
theprogress of activities is regulated and checked against plans." The Europeanschool of thought
considered administration as a part of management.

22
 Some authors are of the view that management and administration are usedinterchangeably and
there is no distinction between the two. In the words ofNewman, "Management or administration
is the guidance, leadership and controlof the efforts of a group of individuals towards some
common goods." Otherauthors such as George Terry, AlIen, Koontz and O'Donnell also feel that
boththe terms mean the same thing. In general practice administration is used more ingovernment
or other public organisations while management is used in the businessworld.

(B)Difference with Institutional Management

The difference between administration and management can be summarised under twobroad
categories viz. Functionsand Usage / Applicability

➢ Based of Functions

Basis Management Administration

Meaning Management is an art of getting things done Administration concerns formulation

through and with other people by directing their of broad policies, plans and
efforts towards achievement of objectives. objectives.

Nature Management involves execution. Administration involves major

decision-making.

Process Management decides who should do it & how it Administration decides what to do &
should be done. when to do.

Function Management is a doing function because managers Administration is a thinking function

get work done under their supervision. because plans & policies are
determined under it.

Skills Human skills and Technicalskills Human skills and Conceptual Skills

Level Lower level and Middle level function Top level function

➢ Based on Usage/Applicability

23
Basis Management Administration

Applicability It is broadly applicable to business/profit It is applicable to non-business /non

makingorganisations profitorganisations

Influence Manager’s values, opinions, beliefs & Govt. policies, public opinion, religious
decisions of the managers influence beliefs, customs etc. influence the
management decisions decisions of administration

Status Paid Employees of the organisation are the Owners of the enterprise who earn return
constituents of management on investment & profits represent
administration.

Thus, management and administration terms are used interchangeably in the educational
institute parlance, which must be understood based on their principles and their
applicability for achieving the goals and objectives of the institution.

Practice Task
Q1 Differentiate between Management and Administration on the basis of usage.

Feedback

Basis Management Administration

Applicability It is applicable to business concerns i.e. It is applicable to non-business concerns i.e.

profit-making organization. clubs, schools, hospitals etc.

Influence The management decisions are The administration is influenced by public

influenced by the values, opinions, opinion, govt. policies, religious
beliefs & decisions of the managers. organizations, customs etc.

Status Management constitutes the employees Administration represents owners of the

of the organization who are paid enterprise who earn return on their capital
remuneration (in the form of salaries & invested & profits in the form of dividend.
wages).

8.1.3 Institutional Management Process

This sub unit will briefly discuss the management process that involves the following

24
 Pl
an
ni
Organisin
ng
g
Staffing
Directing
Controlling
We have understood by now institutional management is a social process and involvesthe
responsibility for effective and efficient planning & regulation of the operations of an educational
institution towards the fulfillment of defined purposes. Management is a dynamic process and
consists of various elements and activities. These activities are common to most of the managers
despite difference of their levels.
Different experts have classified functions of management. According to George & Jerry, “There
are four fundamental functions of management i.e. planning, organising, actuating and
controlling”.
According to Henry Fayol, “To manage is to forecast and plan, to organize, to command, & to
control”. Whereas Luther Gullick has given a keyword ’POSDCORB’ where P stands for
Planning, O for Organizing, S for Staffing, D most widely accepted are functions of management
given by KOONTZ and O’DONNEL i.e. Planning, Organizing, Staffing, Directing and
Controlling.
For theoretical purposes, we may separate the function of management but practically speaking
these functions are overlapping in nature i.e. they are highly inseparable. Each function blends
into the other &each impacts the performance of others.

25
➢ Planning

It is the basic function of management. It deals with chalking out a future course of action &
deciding in advance the most appropriate course of actions for achievement of pre-determined
goals. According to KOONTZ, “Planning is deciding in advance - what to do, when to do & how
to do. It bridges the gap from where we are & where we want to be”. A plan is a future course of
actions. It is an exercise in problem solving & decision making. Planning is determination of
courses of action to achieve desired goals. Thus, planning is a systematic thinking about ways &
means for accomplishment of pre-determined goals. Planning is necessary to ensure proper
utilization of human & non-human resources. It is all pervasive, it is an intellectual activity and it
also helps in avoiding confusion, uncertainties, risks, wastages etc.

➢ Organizing

It is the process of bringing together varied resources i.e. physical, financial and human resources
and developing fruitful relationships amongst them for the achievement of institutional goals.
According to Henry Fayol, “To organize a business is to provide it with everything useful for its
functioning i.e. raw material, tools, capital and personnel’s”. Smooth running of an educational
institution involves identifying and providing human and non-human resources to the its
organisational structure. Organising as a process involves:
❖ Identifying activities.

26
 ❖ Classifying and grouping of activities.
❖ Assigning duties.
❖ Delegating authority and creating responsibility.
❖ Coordinating authority and responsibility relationships.

➢ Staffing

It is the function of manning the organization structure and keeping it manned. Staffing has
assumed greater importance in the recent years due to advancement of technology, increase in
size of business, complexity of human behavior etc. The main purpose o staffing is to put right
man on right job i.e. square pegs in square holes and round pegs in round holes. According to
Kootz&O’Donell, “Managerial function of staffing involves manning the organization structure
through proper and effective selection, appraisal & development of personnel to fill the roles
designed un the structure”. Staffing involves:
❖ Manpower Planning (estimating man power in terms of searching, choosing the right
person and giving the right place).
❖ Recruiting, Selecting and Placing.
❖ Training and Developing.
❖ Fixing remuneration.
❖ Appraising Performance
❖ Promoting and transfering.

➢ Directing

It is that part of managerial function which actuates the organizational methods to work
efficiently for achievement of organizational purposes. It is considered life-spark of the enterprise
which sets it in motion the action of people because planning, organizing and staffing are the
mere preparations for doing the work. Direction is that inert-personnel aspect of management
which deals directly with influencing, guiding, supervising, motivating sub-ordinate for the
achievement of organizational goals. Direction has following elements:
❖ Leadership: Leadership is the process of influencing the actions of a person or a group
o to attain desired objectives. A manager has to get the work done with and
throughpeople. The success of an organisation depends upon the quality of leadership
shown
o by its managers.

27
 ❖ Motivation: Motivation is the work a manager performs to inspire, encourage andimpel
people to take required action. It is the process of stimulating people to takedesired courses of
action. In order to motivate employees, manager must provide acongenial working
atmosphere coupled with attractive incentives.
❖ Communication: Communication is the transfer of information and understandingfrom one
person to another. It is a way of reaching others with ideas, facts, andthoughts. Significantly,
communication always involves two people: a sender and areceiver. Effective communication
is important in organisations because managerscan accomplish very little without it.
❖ Supervision: In getting the work done it is not enough for managers to tell thesubordinates
what they are required to do. They have also to watch and control theactivities of the
subordinates. Supervision is seeing that subordinates do their workand do it as directed. It
involves overseeing employees at work

➢ Controlling

It implies measurement of accomplishment against the standards and correction of deviation if

any to ensure achievement of organizational goals. The purpose of controlling is to ensure that
everything occurs in conformities with the standards. An efficient system of control helps to
predict deviations before they actually occur. According to Theo Haimann, “Controlling is the
process of checking whether or not proper progress is being made towards the objectives and
goals and acting if necessary, to correct any deviation”. According to Koontz &O’Donell
“Controlling is the measurement & correction of performance activities of subordinates in order
to make sure that the enterprise objectives and plans desired to obtain them as being
accomplished”. Therefore controlling has following steps:
❖ Setting standards of performance
❖ Measuring actual performance
❖ Comparing actual performance against the standard and
❖ Taking corrective actions to ensure goal accomplishment.

Systematic application of these functions of management can facilitate an education institution in the
achievement of its objectives.

28
Practice Task
Q. I. Fill in the blanks

a)The four fundamental functions of management are _________ , _______ , _________ and
__________ i.e. planning, organizing, actuating and controlling.

b) __________ deals with chalking out a future course of action & deciding in advance the most
appropriate course of actions.

c) The main purpose o staffing is to put _________ on ____________ .

d) “____________is the measurement & correction of ______________of subordinates in order to

make sure that the enterprise objectives and plans desired to obtain them are being accomplished”.

Q. II. Short answers

1) What does the acronym PODSCORB stand for?

2) What are the steps involved in controlling?
3) What do you understand by Organising? Discuss the organising process
4) Discuss briefly the elements of Directing.

Feedback
A. I. Fill in the blanks:

a) planning, organizing, directing and controlling

b) Planning
c) right man, right job
d) Controlling, performance activities

A II. Short Answers

1) PODSCORB stands for Planning, Organising, Directing, Staffing, Coordinating, Reporting and
Budgeting

2. Controlling has following steps:

(a) Setting standards of performance
(b) Measuring actual performance
(c) Comparing actual performance against the standard and
(d) Taking corrective actions to ensure goal accomplishment.

29
3. According to Henry Fayol, "To organize a business is to provide it with everything useful or its
functioning i.e. raw material, tools, capital and personnel".
It is the process of bringing together physical, financial and human resources and developing
productive relationship amongst them for achievement of organizational goals
Organizing as a process involves:

• Identification of activities.
• Classification of grouping of activities.
• Assignment of duties.
• Delegation of authority and creation of responsibility.
• Coordinating authority and responsibility relationships

4. Elements of directing are:

(a) Leadership: Leadership is the process of influencing the actions of a person or a group to
attain desired objectives.

(b) Motivation: Motivation is the work a manager performs to inspire, encourage and
impel people to take required action. It is the process of stimulating people to take
desired courses of action.

(c) Communication: Communication is the transfer of information and understanding

from one person to another. It is a way of reaching others with ideas, facts, and
thoughts.

(d) Supervision: Supervision is seeing that subordinates do their work

and do it as directed. It involves overseeing employees at work

30
Conclusion
Successful institutional management involves active participation of all the stakeholders by appropriately
applying the above basic managerial functions. These functions are interlinked and most managers use
them in combination or sometimes simultaneously to solve the problems facing theinstitutions. Thus, the
thorough understanding of the principles and practices behind these functions is a must for the triumph of
any institutional manager in today’s fast changing and competitive scenario.

Bibliography:
1. Anyamele, S.C., 2004. Institutional management in higher education: A study of leadership
approaches to quality improvement in university management-Nigerian and Finnish Cases.
2. Carnegie, D., 2017. How to win friends & influence people. e-artnow.
3. Covey, S.R., 2004. The 7 habits of highly effective people: Powerful lessons in personal change.
Simon and Schuster.
4. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.
5. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.
6. Geoffrey M. Hodgson (2006) What Are Institutions?, Journal of Economic Issues, 40:1, 1-
25, DOI: 10.1080/00213624.2006.11506879
7. Koontz, H., O'Donnell, C. and Weihrich, H., 1986. Essentials of management (Vol. 18).
NewYork: McGraw-Hill.
8. Kumar, S. and Dash, M.K., 2011. Management education in India: trends, issues and
implications. Research Journal of International Studies, 18(1), pp.16-26.
9. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and application.
USA: Harper and Row Publisher
10. North, D. (1990). Institutions, institutional change, and economic performance. New York:
Cambridge University
11. Prakash, V., 2007. Trends in growth and financing of higher education in India. Economic and
Political Weekly, pp.3249-3258.
12. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
13. Rue, LW and Byars, LL (1995). Management - skills and application. 7th Edition. Chicago:
Irwin, 350- 366p. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi:
Prentice-Hall of India Pvt. Ltd.437-468p.

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14. Sinha N and Singh S, (2017) Institutional Management, OSN Academy
15. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata McGraw-Hill
Publishing Company Ltd., 208-222p.
16. Wadkar, A (2016). Life Skills for Success. New Delhi: SAGE Publications India Pvt. Ltd., 29 –
43p.
17. https://archive.org/details/in.ernet.dli.2015.13518, General And Industrial Management, Fayol
Henri, Book Source: Digital Library of India Item 2015.13518
18. www.preservearticles.com/sociology/institutions-definition-types-and-functions-of-
institutions/30474
19. www.one45.com/curriculum/what-is-curriculum-
managementwww.slideshare.net/geminorumgem/concept-of-educational-management
20. www.yourarticlelibrary.com/educational-management/institutional-management-meaning-and-
components/63726
21. Dushi, G. Institutions: Definition, Types and Functions of Institutions, available at
http://www.preservearticles.com/sociology/institutions-definition-types-and-functions-of-
institutions/30474

Supportive learning resources: by Dr. Rakesh K Wats

Videos on
• Institutional Management- Concept and its importance
• Administration - Concept and its Difference with Institutional Management
• Institutional Management Process (Planning, Organising, Staffing, Directing,
Monitoring and Controlling) - An Overview
Web resources:
o Institutional Management to Missional Leadership
https://www.youtube.com/watch?v=UlcWYl7ZtkY
o Aspects of Institutional Management
https://www.youtube.com/watch?v=t1inVRr56-U

o Four Functions of Management Planning, Organizing, Leading

controlling https://www.youtube.com/watch?v=KBfp4pzBIm8

32
 UNIT 8.2
INSTITUTIONAL MANAGEMENT PROCESS:
INSTITUTIONAL PLANNING
Content Page No
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.2.1 Planning: Concept and Importance 4
➢ Characteristics of Planning
➢ Importance of Planning
➢ Importance of Planning
Practice task 8
Feedback 9
8.2. 2 Institutional Planning 10
➢ Objectives of Institutional Planning
➢ Need and importance of Institutional Planning
➢ Scope of Institutional Planning
➢ Prerequisites of an Institutional Plan

Practice task 16
Feedback 16
8.2.3 Types of Planning- Strategic and Operational 18
➢ Strategic Plans
➢ Tactical Plans
➢ Operational Plans
Practice task 21
Feedback 21
Conclusion 22
Bibliography 22

33
 UNIT 8.2
INSTITUTIONAL MANAGEMENT PROCESS:
INSTITUTIONAL PLANNING
Author Dr Rakesh K Wats
NITTTR, Chandigarh
Supportive team Ms. Kamakshi Malik
DAV College, Chandigarh

Broad Objective
The broad objective of this unit is to
make the learners aware about the
importance of institutional planning and
its scope in the smooth, efficient and
effective running of an educational
institution

Learning Outcomes
After going through this unit the learner will be able to:
1. Understand the concept of planning and its importance for an institution.
2. Identify the steps and characteristics of planning.
3. Appreciate the need, importance and scope of institutional planning in today’s scenario.
4. Identify the pre-requisites for an effective institutional plan.
5. Understand the types of planning and their application in smooth running of an institution.

Introduction

Confucius, an eminent educationist has once said that, “A man who does not think and plan long ahead,
will find trouble right at his door.” Today we are living in an uncertain, volatile and complex world
where, change is the only permanent thing. This has made the working of institutions not only difficult
but also challenging. To survive in such an environment and to achieve competitive advantage the mantra
that can help is- proper planning in an institution. This unit, broadly, covers concept, importance and
characteristics of planning. Important steps involved in planning, role and importance of institutional

34
planning, pre-requisites for an effective institutional plan also form the constituent of this unit. Types of
plans required for the smooth running of an educational institution are the important inputs of this unit.

8.2.1 Planning: Concept and Importance

We often use the word planning everyday for our activities to be done in the entire day. In other words it
is looking ahead and deciding on the future course of action. It is a systematic activity but exhaustive
program which determines when, how and who is going to perform a specific job. It is often said “Well
planned is half done”, thus highlighting the importance of planning in achieving success. While planning,
we consider the available & potential resources (like human and physical) of the institution to get
effective co-ordination and contribution. It is the basic management function which includes formulation
of one or more detailed plans to achieve balance between needs or demands with the available resources.
Urwick states, “Planning is a mental predisposition to do things in an orderly way, to think before acting
and to act in the light of facts rather than guesses”. Planning is deciding the best alternative among a
number of other alternatives, to perform different functions in order to attain predetermined goals.
Koontz & O’Donell opine, “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, where we want to go. It makes possible, the things to
occur which would not otherwise occur”.

35
➢ Characteristics of Planning: some of the most important features of planning are-

Fig. 8.2.1 Steps of planning in an institution

❖ Planning is forward looking or futuristic-Planning is always done for the future, involving,
analysing and predicting the future using quantitative and qualitative techniques helping
the institution to adjust and face the challenges in future.

❖ Planning is goal-oriented-- Every institution has a set of goals and objectives that they wish
to achieve in the near future for which a sound planning is done. The goals established
should be of general acceptance otherwise individual efforts will go misdirected.

❖ Planning is an intellectual process-Planning is not a guess work but involves a number of

mental abilities like creative thinking, sound judgment and imagination. It is always based
on facts, figures, estimates, and exact calculations rather than anticipations.

❖ Planning involves choice & decision making- after setting the objectives, the assessment of
alternatives and choose amongst them, the best possible one, keeping in mind the available
resources and the environmental opportunities and challenges is done. Planning, basically
involves selecting the best amongst various alternatives.

36
 ❖ Planning is the primary function of management / Primacy of Planning- planning is the basic
or fundamental function of management that provides the platform for other functions of
the management, like organising, staffing, directing and controlling. The latter are
performed within the framework of the formulated plans

❖ Planning is a Continuous Process- Planning is a never ending function due to the dynamic
environment. Although, plans have a specific period like, five yearly, annual, biannual,
quarterly plan etc. but the process does not stop when it is implemented or executed. New
opportunities, concerns, challenges keep on emerging and they have to be tackled by
planning effectively.

❖ Planning is all omnipresent-Planning occurs at every level of management, in every

organization and in every sector like education, hospitality or healthcare etc. Although, its
scope may differ from one level to another and from one sector to other but planning is
definitely omnipresent. The top level may be more concerned about the holistic planning of
the organisation, whereas the middle level more specific in departmental plans and the
lower level plans the implementation of the same. For example, the principal or head of the
institution may plan what new courses to be introduced from the new session or new
faculty to be appointed, the head of the department may plan the time table, the seminars
and workshops to be held in the session while a teacher may plan how to complete the
syllabi in stipulated time period by way of lesson planning.
❖ Planning is designed for efficiency- planning helps the institution in saving time, effort
and money and other physical resources by promoting adequate and optimum utilisation of
these resources.
❖ Planning is Flexible—as the future is uncertain and unpredictable thus planning must
include plans flexible enough to keep the chances of incorporating the on spot changes.
They should not be rigid and unalterable. Thus, plans must provide enough opportunity to
cope up with the changes like student’s demand, industry needs, government policies etc.

➢ Importance of Planning

❖ Planning facilitates management by objectives-

• The process of planning sets in motion with setting of objectives.

37
• It emphasises the reason for which various activities are to perform.
• Planning makes objectives more clear and specific.
• Planning helps in focusing the attention of faculty on the objectives or goals and once this
focus is developed the employees will stick to their plan.
• Planning compels the planners to prepare a blue-print of the courses of action to be followed
for accomplishment of objectives.
• Planning makes the institution more organised and disciplined.

❖ Planning minimizes uncertainties-

• Planning play a strong role in minimising the risk of various types of uncertainties
• Planning helps the management to anticipate future and prepare for risks

❖ Planning facilitates coordination-

• Planning invites various stakeholders of the institution to share common platform to give
their ideas and suggestions on issues related to the institution, hence integrate them for a
common reason
• It facilitates coordination and synchronisation of work, avoid duplication of efforts.

❖ Planning improves morale of all stakeholders

• Planning team up all departmental heads, the faculty, the non teaching staff or the students
where every stakeholder is aware of the expectations of team from them
• This encourages them to show their best and work whole heartedly towards the achievement
of goals and objectives of the institution.
• Planning creates a healthy work environment and positive institutional culture that enhances
the morale of all stakeholders and brings them together.

38
 ❖ Planning facilitates controlling

• Planning cannot be successful if there is no control or vigil over the changing environment so
that the plans do not go haywire or become obsolete.
• Planning and controlling co-exist and are considered to be two sides of the same coin

❖ Planning provides competitive advantage

• An effective planning involves changing in work methods, quality, bringing technological
advancements, extension of work, redefining of goals, etc.
• Forecasting help the institution secures its future but at the same time it is able to estimate the
future motives of its competitors, which helps it in facing future challenges.

➢ Steps in Planning Process

Planning is an essential managerial function that requires a lot of time, effort and skills so that the
desired goal is achieved. There is no room for guessing, planning works with experience, logic and
rationality of the planner. While making an effective plan for the institution the following steps are to
be followed:

❖ Setting of goals and objectives

The goals and objectives provide a direction to the efforts and are the central part of the planning
process. The objectives should be clear, precise, easily understandable, and clearly communicable
to the planners so that they can act accordingly.

❖ Developing the Planning Premises

• Premises are the assumptions about the environment in which plans are formulated and
executed. Premises determine where we have departed from the actual plan and the
reasons behind this deviation. This helps in identifying the potential obstacles and threats
in our planning so that steps can be taken to avoid them in future.
• Planning premises may be internal controllable (include capital investment policy,
management labor relations, philosophy of management, etc.) or external uncontrollable
(socio- economic, political and economical changes).

39
 • Plans must be formulated by keeping in mind the limitations posed by the internal and
external premises.

❖ Assessing the alternatives and subsequently choosing the best-

• After the premises are developed the planner will assess all the possible alternatives.
• Every alternative will be evaluated by considering its advantages and disadvantages with
reference to the resources available and requirements of the institution.
• After objective and scientific evaluation of the alternatives, the best alternative is finally
chosen.

❖ Formulating derivative plans-

• Formulation of the secondary plans to support the basic plan.

• Secondary or derivative plans will flow from the basic plan and are meant to support and
accelerate the achievement of basic plans.
• Derivative plans include policies, procedures, rules, programs, budgets, schedules, etc.
For example, to fulfill the basic plan of imparting quality education to students the
institution will formulate the derivative plan of recruiting quality teachers.

❖ Ensuring support and participation-

• After the basic and derivative plans, faculty and the ones who have to implement these
plans are made to come on the same page by taking them into confidence
• Confidence can be attained by making them feel valued, let them participate in all
decision making activities.
• According to Koontz, ‘plans have to be set in an atmosphere of close participation and a
high degree of concurrence’.
• Participation enables employees to give their best to the plans. They are also motivated
to carry out the plan to the best of their ability.

❖ Follow up/Appraisal of plans-

• Reviewing and revising is important to assess and review the effectiveness of plan as
the environment in which institutions operate is volatile and uncertain that makes the

40
 plan to adjust in existing situation. So, continuous reviewing and revising is
important.
• This can be done on the basis of feedback or information received from students,
faculty and other stakeholders concerned.
• The assessment of plans helps the management to rectify the deviations, if any and
modify the plan.
• Without a regular follow-up, there are chances that the plans may become obsolete
and insignificant. Moreover, appraisals ensure the implementation of plans in the
right direction and avoiding mistakes in the future planning.

Practice task
Q1. Fill in the blanks

a) ____________ are the assumptions about the environment in which plans are formulated and
executed.

b) Without a _____________ there are chances that the plans may become obsolete and insignificant.

c) Planning begins with ___________.

d) The plans derived for various departments which help in the achievement of main plan are called
__________ .

Q2. Short answers

a) Briefly state the steps of planning process

b) Mention any four characteristics of planning

c) What do you mean by premises?

d) Define derivative plans

Feedback
A. 1 Fill ups:

a) Planning Premises

b) A regular follow-up

c) Setting of objectives

d) Derivative plans

41
Q2. a) Steps of planning process are

1. Setting of goals and objectives

2. Developing the Planning Premises

3. Assessing the alternatives and subsequently choosing the best

4. Formulating derivative plans

5. Ensuring support and participation

6. Follow up/Appraisal of plans

b) Characteristics of planning are

1. It is goal oriented

2. It is forward looking and futuristic

3. It is present in all levels of management

4. It is an intellectual process.

Ans. c) Premises are the assumptions about the environment in which plans are formulated and executed.
The development of these premises determines where we have departed from the actual plan and the
reasons behind this deviation.

Ans. d) The plans derived for various departments, units, activities, etc., which help in the achievement
of main plan are called the derivative plans. These derivative plans include policies, procedures, rules,
programs, budgets, schedules, etc

8.2. 2 Institutional Planning

Planning in education is an extremely important activity as it forms the basis of all programmes of
quantitative and qualitative improvement in education. Without planning, an individual, a society, an
institute or a nation cannot prosper. Similarly, any educational institution, cannot achieve the targeted
goals unless it opts for proper planning.

Educational planning implies taking of decisions for future actions with a view to achieving
predetermined objectives through the optimum use of scarce resources. Institutional planning is a part of

42
educational planning. It is confined to a particular institution and functions keeping the goals of that
particular institution in mind. It ensures better and most favorable use of the resources which the
institution has or can have. It is the institution that knows best its needs and problems that have to be
solved. Hence, it is through institutional planning that an institution can attain welfare and development.

Institutional planning can be best explained in the words of M.B.Buch (1964) “An institutional planning
is a programme of development and improvement prepared by an educational institution on the basis of
its felt needs and resources available and likely to be available, with a view to improve the formal
educational institutional program and practices constitutes a plan for an institution”.

Institutional planning is an effective method to enhance the institutional mission of ensuring high quality
teaching, training of young generation with employable skills contributing in national development within
the framework of present institutional arrangement. Buch further states "Institutional planning is a (i) plan
for development as a whole (ii) plan for the improvement of the existing situation (iii) plan for felt needs,
necessity of the institution (iv) plan for an effort to make a balance between available resources and
planning (v) an effort to find out to be available resources (vi) a plan to be made without hampering the
educational programs and practices".

➢ Objectives of Institutional Planning

The institutional planning should be based on certain predetermined objectives. All activities planned
should ultimately help to achieve these ends. Depending upon the circumstances and needs of the
institution, the objectives may be short term and long –term.
Mr. J.P. Naik, Former Education Advisor, Government of India, has listed the following four
objectives of institutional planning: "Giving freedom to the teacher, making the good teacher
effective, involving every teacher in the formulation and implementation of institutional plans,
emphasizing what can be done here and now by mobilising our existing resources".

However, in general, aims and objectives of institutional planning are:

❖ On the academic side:

• Qualitative improvement
• Providing more amenities to teachers, students and local community
• Maintaining the educational standards, when students number increases and if the number
remain static then focus should be on the improvement

43
 • Reducing and eliminating the incidence of wastage and stagnation.
❖ On the knowledge and skill side:
• Developing latest and up-to-date knowledge and skills
• Developing temperament for industrial processes and practices and
• Inculcating a liking for learning new techniques, gaining hands on experience on new
equipment and machines, craft work etc.
❖ On the attitude side:
• Promoting better students-teacher and teacher-parent inter personal relationships
• Inspiring the teachers to give their best to the pupils in particular and the institute in general.
• Developing a taste in the students for extracurricular activities like dramatics, athletics and
hobbies.
• Creating a feeling of belongingness to the institution in both the students, teachers and staff.
❖ On the economic side:
• Reducing the cost of education
• Optimum utilisation of existing resources
• Utilizing all the economic resources belonging to local community
• Procuring all types of grants viz. plan and non-plan, recurring and nonrecurring
• Exploring other sources of helps and donations like help from the philanthropic associations
as scholarships, teaching aids and institutional amenities etc.
❖ On the social side:
• National integration
• Cultural integration
• Emotional integration
❖ On the political side:
• Developing democratic attitudes in faculty, staff and students

➢ Need and importance of Institutional Planning

❖ Overall progress of the institution
All institutions have some plans; all the heads of institutions/principals make plans as to how to
maintain discipline in the institution and every teacher also plans. Planning may be routine
planning of the syllabus, time table, placement drive and examination etc. and it may not exist in
a definite or regular form and it may be repeated from term to term and from session to session

44
 without any extra effort. Institutional planning undoubtedly improves the working of the
institution and makes it future ready thereby leading it to the path of progress.

❖ Provides direction to educational objectives

Institutional planning gives the right direction to the educational objectives of the country. The
direction of planning in the customary trend today, is from top to bottom. Institutional planning
recognises the contribution of administrators, teachers, parents, students, educationists and social
reformers in the process of planning of education in the country.

❖ Optimum utilisation of institutional resources

Every institution has limited resources be it human, physical and monetary resources. Institutional
planning helps the management to make optimum use of the existing resources by applying the
basic principles of organizing and controlling. As a nation, India has a great shortage of resources
with increasing needs and demands from every quarter. It is responsibility of every individual and
institution to systematically plan for the maximum utilisation of these scarce resource.

❖ Aligning institutional goals with national development

Educational planning must fit into the overall national planning for developmental purposes. Its
significance can be highlighted from the need for collective efforts of the people. In the words of
B.D. Nag Chaudhari, "Since the implementation of plans and programs is as important and vital
as plan formulation. Institutional planning has a special contribution to make in the national
development". Every institution must strive to align its objectives with the national objective of
education and development. For example, institutions must try to take up such courses which
inculcate skill development among students so that they can become employable and contribute
towards the nation's development with their expertise.

❖ Encouraging and motivating every teacher

Institutional planning takes into confidence the faculty members and take their views before
implementing the plans. This makes them value their job and their institution. They are
encouraged to work for the excellence and overall development of the students and institution.
This is a win- win situation for both the teacher and the institution.

➢ Scope of Institutional Planning

45
Institutional Planning covers every aspect of an institution be it planning for resources, curricular and
co-curricular activities, projects and programmes etc.

❖ Improvement of institutional campus/premises

• Construction, maintenance and repair of institutional buildings must be done from time to
time
• Library books, magazines, journals, instructional materials and audiovisual aids must be
maintained in the institution library
• Facilities like drinking water supply, sanitary, medical facilities etc. must be provided to the
faculty, staff and students

❖ Improvement of curricular activities

• The curriculum of each subject can be divided into small and comprehensible units.
• Use of the state of the art teaching techniques
• Transformation of teaching into effective learning
• Use of effective assessment tools for formative and summative assessment
• Arrangement of tutorial to deal with personalized teaching, discussions and doubt clearances
• Organization of seminars, workshops, conferences etc. to help students and faculty get the
hands on and up-to-date knowledge on recent trends.
• Faculty development programs like in-service training, refresher courses, and orientation
courses etc. for the up gradation of knowledge and skills amongst teachers and staff.

❖ Improvement of co-curricular activities

• Organization of physical activities like sports day, athletic meets etc. in the institution to
enhance physical health of students and teachers.
• Organization of literary activities like preparation of institution magazine, newsletter,
teaching aids and equipment.
• Social service projects like NSS, NCC to help in inculcation national responsibilities in
students
• Collaboration with local NGOs to make students socially responsible nationals

❖ Improvement of Investigation and Research activities

46
 • Project works to be part and parcel of curriculum to improve the analytical skills amongst
students of higher education
• Teaching of courses like research methodology, application of tools, data analysis, scientific
writings etc.
• Encouraging post graduate students to pursue PhD, so as to supply technically competent and
skilled work force to research institutes and industry
• Research topics oriented towards the problems of industry, society and country in general

➢ Prerequisites of an Institutional Plan

Buch (1968) has identified the following characteristics of an institutional plan. He states them as:

❖ Need-based- An institutional plan must be based on the needs and requirements of the staff,
students and other stakeholders of the institution. It may incorporate needs in the area of
institutional organisation, curricular and co-curricular programs, support services, etc.

❖ Intensifies Human Efforts- An institutional plan makes persistent efforts to involve more of
human efforts by utilising faculty’s initiative, imagination and creativity. It should not just
depend on the financial and infrastructural support.

❖ Specific- Every institution has its own image and unique selling proposition (USP) in terms of its
goals and objectives. This must be highlighted while planning for development and improvement.
Thus, every institution needs to have its own unique and specific plan which makes it different
from others in the same business.

❖ Goal-oriented -An institutional plan is directed towards pursuing the national goal of attaining
excellence with fairness. This requires not only continuous improvement but also development of
an institution that may attain higher goals each time.

❖ Optimum Utilisation - Its major criterion is to utilize human, financial and other non-material
resources in a way which facilitates maximum benefits

❖ Flexible – An institutional plan must be flexible and open to alterations as demanded by changing
needs and situations.

47
 ❖ Two-fold focus - Each institutional plan has a two-fold focus: (a) improvement based on human
efforts and (b) development necessitating support and assistance of the management, community
and the government.

❖ Enhanced Motivation - Through its successful implementation with visible output, it should
motivate students, teachers, management and the community, create enthusiasm and a sense of
commitment and affiliation in these groups.

❖ Co-operative Endeavour - It should be prepared by participation and involvement of teachers,

parents, students, principal and the management in the planning process.

❖ Democratic Preparation - Its planning and implementation must involve the entire stakeholder
group; who share their opinions and ideas and this enhances their sense of dignity and worthiness.

❖ Duration of Plans - An institutional plan can be of a long-term plan for 10-15 years or it could
be of five years’ duration coinciding with the national/state five-year plans. Within the broad
frame-work of long-term plan, an institution can prepare a number of projects or programs for a
shorter duration of one or two years.

❖ Relation with State and National Plans - An institutional plan should be prepared within the
State level and National level educational plans and need to reflect the National Policy on
Education. However, the institutional plan can be prepared in the spirit of educational plans, still
the institution can have the freedom to modify, change, add or reject them.

❖ Community Support - Community involvement in institutional planning is a pre-condition and

an absolute necessity as it ensures community support in the implementation of the plan and helps
in building a rapport between the institution and the community".

Practice task
Q1. Fill in the blanks

a) ______________ is a programme of development and improvement prepared by an educational

institution.

b) An institutional plan must be based on the needs and requirements of _____________ .

48
 c) Institutional planning is important as it leads to the _____________ of the institution

d) Depending upon the circumstances and needs of the institution, the objectives may be ___________
or ____________

Q2. Short questions

a) Define Institutional Planning?

b) What are the main prerequisites of an institutional plan?

c) What is the scope of institutional planning?

d) Give four points to discuss the importance of Institutional planning.

Feedback
Ans. 1. Fill in blanks

a) Institutional planning

b) the staff, students and other stakeholders of the institution

c) overall progress

d) short term or long –term

Ans.2 Short answers

a) Institutional planning is a part of educational planning and is confined to a particular institution and
functions keeping the goals of that particular institution in mind.

b) Prerequisites of an institution plan are

• It must be based on the needs and requirements of the staff, students and other stakeholders of
the institution.
• It should not just depend on financial and infrastructural support but consider human effort.
• It must be unique and specific which makes it different from others in the same business.
• It must be directed towards pursuing the national goal of attaining excellence with fairness.

c) Scope of inst. planning:

49
 • Improvement of institutional campus/premises
• Improvement of academic facilities
• Improvement of co-curricular activities
• Investigation and Research

d) Importance of institutional planning

• Institutional planning undoubtedly improves the working of the institution and makes it future
ready thereby leading it to the path of progress.
• It provides direction to educational objectives and recognises contribution of administrators,
teachers, parents, students, educationists and social reformers in the process of planning of
education in the country.
• Institutional planning helps the management to make optimum use of the existing resources.
• It helps in aligning institutional goals with National Development

8.2.3 Types of Planning- Strategic and Operational

Different types of plans may be adopted by institutions to supervise and direct institutional activities.
There are three most commonly used plans namely Strategic, Tactical and Operational Plans. All the three
are somehow interrelated as operational plans lead to the accomplishment of tactical plans, which in turn
lead to the accomplishment of strategic plans

50
 Figure : Types of Plans

➢ Strategic Plans
A strategic plan is a summary of various steps to be taken keeping in mind the goals of the entire
institution, rather than the goals of individual units. It begins with formation of the institution’s mission.
The plans look ahead for about five years or more and focus on progress of the institution in the years to
come.
The plans involved many stakeholders, hence an accord and synchronisation amongst them is needed.
e.g. A plan to introduce new technology will be effective only if all the faculty members understand its
importance. Top-level management develops the directional objectives for the entire institution, while
lower levels will develop attuned objectives and plans to achieve them. Top management’s strategic plan
for the entire institution becomes the outline premise of activities for the lower level planning.
Some features of strategic plans are:
❖ They determine the long term objectives of the institution and deal with allocating resources and
deciding on the alternatives to be chosen that best suit the interest of the institution and the
stakeholders.
❖ They are made by the top management as they deal with the holistic development of the entire
institution

51
 ❖ They are forward looking as they focus on what we are today and what we wish to be in future.
Thus, ideally they shall be effective if they are flexible enough to adjust to the changing needs
and aspirations of its stakeholders.
❖ These plans provide the framework and direction of planning at the lower level

➢ Tactical Plans
Tactical plans are the strategies that the head of the institution adopts to achieve the objectives set in
the strategic plan. A tactical plan is concerned with what the lower level units within each department
must do, how they must do it, and who is in charge at each level. Tactics means the way in which the
means needed to activate a strategy and make it work are decided. Tactical plans have narrower scope
and shorter time frame than strategic plans. These plans usually span one year or less because they are
considered short-term goals. Long-term goals, on the other hand, can take several years or more to
accomplish. Normally, it is the departmental responsibility to take the broad strategic plan and identify
specific tactical actions.
Some features of Tactical plans are:
❖ These plans are for a shorter time duration (time frame usually less than 3 years) and are
usually developed by departmental heads.
❖ These plans help in the implementation of strategic plans by defining activities to be
performed by various departments.
❖ These involve allocating resources and work among faculty of each department.

➢ Operational Plans
Operational plans are the ones developed for short term, may be even less than one year. The function
of these plans is to determine actions or activities to be performed so as to maintain strategic and
tactical plans. Thus, an operational plan is one that a faculty member uses to accomplish his or her job
responsibilities. Operational plan can be a single-use plan or a continuing plan.

❖ Single-use plans: These plans apply to the activities that have one time occurrence or those
that do not recur or repeat. For example, a lecture delivered in a class is a single-use plan
because it deals with the who, what, where, how, and how much of a lesson to be taken in a
lecture.
❖ Continuing or ongoing plans: These are usually made once and maintain their value over a
certain period but undergo periodic reviewing to avoid it from becoming irrelevant or
obsolete.

52
Examples:
• A policy: "it is a past or current statement or series of statements which explain,
recommend or exclude a course of action or actions to be taken to run the institution.
These statements are usually written, but they could be oral".
It provides a broad guideline to head of institutions to follow while dealing with
important decisions. Typical human resources policies like faculty recruitment,
terminations, performance appraisals, pay increases, and discipline are all policy matters.
Policies are important because they help an institution establish rules and procedures that
can produce not only standards of quality for learning, but also expectations and
accountability.
• A procedure: it explains how activities are to be carried out. For example, most
institutions have procedures for purchasing books in the library or equipments in the
laboratory. This procedure will have steps to be taken at various levels. By defining
these steps and the sequence in which they are to be taken, procedures "provide a
standardized way of responding to a repetitive problem".
• A rule: it tells the faculty members or students what should be done and what not to be
done. Rules are “dos” and “don’ts” statements put in place to promote the uniform
treatment and behavior of employees. For example, students who do not have 75%
attendance are barred from sitting in the final exam. This rule is uniform for all students
irrespective of their stream, year or department.

Practice task
Q. 1 Short questions
a) Discuss the various types of plans
b) Define a policy and procedures

53
 Feedback

Ans. a)There three types of plans

Strategic, Tactical and Operational Plan

• A strategic plan is a summary of various steps to be taken keeping in mind the goals
of the entire institution. Strategic planning begins with formation of the institution’s
mission.

• Tactical plans are the strategies that the head of the institution adopts to achieve the
objectives set in the strategic plan. A tactical plan is concerned with what the lower
level units within each department must do, how they must do it, and who is in charge
at each level.

• Operational plans are the ones developed for short term, may be even less than one
year. The function of these plans is to determine actions or activities to be performed
so as to maintain strategic and tactical plans.

b) Policy -it is a past or current statement or series of statements which explain, recommend or
exclude a course of action or actions to be taken to run the institution. These statements are
usually written, but they could be oral.
Procedure it explains how activities are to be carried out. This procedure will have steps to
be taken at various levels. By defining these steps and the sequence in which they are to be
taken, procedures "provide a standardized way of responding to a repetitive problem".

Conclusion
Change and advancement of knowledge are inevitable in any society and to live up to the expectations of
the new needs, a futuristic approach to planning is very important. It is must for the efficient functioning
of an educational institute to plan to upgrade its all activities, curricular, co-curricular, R & D etc. to work
for developing the integrated human personalities. The Institutional Planning helps in meeting its

54
objectives by reducing duplicities of efforts, reducing uncertainties, increasing controls, providing
competitive edge. Effective planning always makes basis of an efficient institute.

Bibliography
1. Carnegie, D., 2017. How to win friends & influence people. e-artnow.
2. Edgar F. Huse, Management, West Publishing Company, Minnesota, 1995.
3. Harold Koontz and Cyril O’Donnel, Essentials of Management, Tata McGraw Hill, 2000.
4. L.A. Allen, Management and Organisation, Tokyo, McGraw-Hill, 1980.
5. MISHRA, V., PUNDIR, V., INSTITUTIONAL PLANNING: THE WORKING PRINCIPLES,
ZENITH International Journal of Multidisciplinary ResearchVol.1 Issue 6, October 2011, ISSN
2231 5780 avl at www.zenithresearch.org.in 241.
6. Planning and Management in Higher Education. Study material for the course of PGDHE.
IGNOU, New Delhi
7. Robert Albanese, Management toward Accountability and Performance, Richard D., Irwin,
Homewood, Illinois, 1990.
8. Sinha N and Singh S, (2017) Institutional Management, OSN Academy
9. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.437-468p.
10. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata McGraw-Hill
Publishing Company Ltd., 208-222p.
11. http://www.preservearticles.com/education/what-are-the-main-aims-and-objectives-of-
institutional-planning/6687
12. http://www.shareyouressays.com/knowledge/what-are-the-important-characteristics-of-
institutional-planning/100341
13. https://www.tutorialspoint.com/management_principles/management_principles_types_plans.htm
14. http://www.yourarticlelibrary.com/educational-management/institutional-management-meaning-
and-components. Institutional Management: Meaning and Components, Diksha Kashyap
15. http://ebooks.lpude.in/management/mba/term_1/DMGT402_MANAGEMENT_PRACTICES_A
ND_ORGANIZATIONAL_BEHAVIOUR.pdf
16. http://www.managementhelp.org/plan_dec/mbo/mbo.htm

Supportive learning material: by Dr. Rakesh K Wats

Videos on-

55
 • Planning : Concept and Importance
• Importance of Planning in Institutions
• Types of Planning- Strategic and Operational

Web resources:
• An Overview of Institutional Planning
https://www.youtube.com/watch?v=eEqyh0r3WSw

• Institutional Planning by Peeyush Malhotra Gurdaspuria

https://www.youtube.com/watch?v=4PCByqocGdc

56
 UNIT – 8.3
STRATEGIC PLANNING FOR FUTURE GROWTH
AND DEVELOPMENT
Contents Page No.
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.3.1 Need and importance 4
➢ Strategic Planning: Concept
➢ Definition of Strategy
➢ Strategic Planning Vs Long Range Planning
➢ Need for Strategic Planning (Why Do It?)
➢ When should it be done?
➢ Who should do it?
Practice Test 7
Feedback 8
8.3.2 Strategic Planning Process 9
➢ A Model for Strategic Planning
➢ Steps in Strategic Planning
Practice Test 17
Feedback 17
8.3.3Swot Analysis 18
➢ Purposes of SWOT analysis
Practice Test 22
Feedback 22
8.3.4 Vision And Mission Formulation 24
➢ Mandate
➢ Examples of Mandate
➢ Criteria for Validation of Mandate
➢ Outcomes of Mandate Clarification
➢ Mission
➢ Length of Mission Statement
➢ Example of Mission Statement
➢ Our Core Values
➢ Envisioning - Developing a Vision for the
Institution
➢ Concept of Vision
➢ Envisioning
➢ Shared Vision
➢ Reasons for Envisioning
➢ Four Approaches to Planning

57
 ➢ Components of A Vision Statement
➢ Attributes of an Inspirational Vision
➢ A Process for Developing the Vision Statement
➢ Examples of Vision Statements
➢ Excerpts from the Vision Statement of Birla
Institute of Technology, Mesra, Ranchi- 835
215
➢ Benefits of Vision Statements
Practice Test 37
Feedback 37
Conclusion 39
Bibliography 39

UNIT – 8.3
58
 STRATEGIC PLANNING FOR FUTURE GROWTH
AND DEVELOPMENT
Author: Dr Rakesh K Wats
NITTTR, Chandigarh
Broad objectives
The broad objectives of the unit are to make participants
appreciate the importance of strategic planning for the growth
and development of any institution. Vision and mission
formulation based on the SWOT analysis and future goals
form important input for the learners.

Learning Outcomes
After going through this unit, you will be able to:
• Define Strategic Planning
• List the eight steps involved in the strategic planning process
• Identify the Strengths, Weaknesses, Opportunities and Threats to a sample educational
institute
• Distinguish between “Mandate “and “Mission” and design a Mission statement for his
institute
• Specify the components and attributes of a Vision statement
• Describe the procedure to be followed for developing a Vision statement for his / her
organisation

Introduction
Strategic Planning is one of the key elements of successful management in higher education
institutions. It is a means of establishing major directions for the institution, department or the unit.
Strategic Planning process relies on the theoretical frame work of institutional management theory of
examining inside and outside the environment for taking decisions regarding institutional goals of
future. Strategic visionary actions and planning process are a way to systematically plan the
development of open education resources and practices for the future. Strategic planning processes are
considered to be a powerful tool and guideline for helping all levels of higher education institutions to
develop their strategic plan, and to find their competitive advantage and place within their
environment.

59
In this unit, you shall understand the need and importance of strategic planning for any educational
institution. You shall also understand the systematic process involved in making a strategic plan,
using SWOT analysis as a base for the same. The unit shall also help you in formulating the mission
and vision statement for your institution.

8.3.1 Need and importance

➢ Strategic Planning: Concept
Strategic Planning is a future oriented process wherein an organisation specifies what it
wishes to become and how it proposes to get there.

How do we get
there ? Where we want
Where are we
to be in the
now ?
STRATEGIES future

Now Future

% Graduated
%Employed
Awards Received
What Revenue Generated
Industry Linkages

Strategic Planning helps an organisation to proactively shape its future and determine the path
and milestones that determine actual performance. Strategic Planning is a continuous,
participatory and systematic process of clarifying the organisation’s direction, that is, its
mandate and mission, assessing its internal resources in terms of its strengths and weaknesses
and its external environment in term of its opportunities and threats, setting goals and
identifying viable strategies.

➢ Definition of Strategy: Strategy is a way of using the organisation’s internal resources to

respond to its external environment I order to be successful.

➢ Strategic Planning Vs Long Range Planning

Strategic Planning (S.P.) and Long Range Planning (L.R.P.) for organizations are often used
synonymously. However, they differ in the following five fundamental aspects.

❖ Basis for Planning

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 Strategic Planning emphasizes assessment of the environment outside and inside the
organisation far more than long-range planning does. Long Range Planning was the
predecessor of Strategic Planning. Strategic Planning advanced planning process across
another threshold. Planning became more externally oriented than previously, with
environment scanning including increased focus on markets and competition. Resource
audits or assessments were conducted more realistically with resources being allocated to
areas where present and future opportunities to succeed were found rather than by
traditional approaches based on past practise.

❖ Focus
While both L.R.P. and S.P. focus on what an organisation should do to improve its
performance, Strategic Planning relies more on identifying and resolving issues, while
L.R.P. focuses more on specifying goals and objectives and translating them into
Budgets.

❖ Methodology
Strategic Planners picture an idealised version of the organisation- “Vision of Success”
and design ways of achieving it. While long-range plans typically are linear
extrapolations of the present, Strategic Plans often represent Qualitative shifts in
direction. Unlike L.R.P., in Strategic Planning there are more rigorous evaluations of
Strategic alternatives. Strategic Planners usually consider a range of possible futures and
as a result consider a variety of possible actions and try to keep the Organisation’s
options open as much as possible so that it can respond promptly and effectively to
unforeseen contingencies. Long- range planners, tend to assume a most likely future, and
then work backward to map out the sequence of decisions and actions necessary to reach
the assumed future.

❖ Stakeholders involved in Planning

Long Range Plan is usually prepared by the Chief Executive Officer and Senior Managers
(Top Down Model). Strategic Planning is done involving all the staff of the organisation
and its customers (Bottom Up model). It nurtures participatory management.

❖ Frequency
Long Range Planning is usually done once in three or five years. Strategic Planning is
done continually and hence it adapts to reality.

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➢ Need for Strategic Planning (Why Do It?)

In the past few decades, Strategic Planning has become a standard part of managerial thinking
and practice in the business world. However, only recently, the public and non-profit
organisations including educational institutions have become aware of the benefits of
Strategic Planning.

The following are the benefits of Strategic Planning :

• It enhances an institution’s capability to proactively anticipate the changes

needed, cause the changes and manage them. So, Strategic Planning is the most
suitable approach to manage an institution, which operates in a changing
environment. The changes may result in offering new products and services as
well as modifying the institution’s systems and processes.

• Strategic Planning is not a top down approach. It is a bottom up approach, which

requires participation of all the STAKEHOLDERS in the planning process. This
involvement, in particular, of the employees of the organisation makes them co-
owners of the plan and increases their commitment to the implementation of the
plan.

❖ Definition of Stakeholder: Any person, group or organisation that can place a claim
on an organisation’s attention / resources / output OR is affected by the output.

• It enables an organisation to optimally utilise its resources to maximise its

performance and power.

❖ Stakeholders
• DTE
• Principal
• Professors/ Heads of Depts.
• Teachers& Support Staff
• Students & Families
• Employers &Community at large

❖ Definition of Power: The ability to cause change. As Strategic Planning is done

continually, it adapts to reality.

62
 ➢ When should it be done?
Strategic Planning should be done CONTINUALLY. Documented plans are produced
periodically (One or Two or Three Years) for Communication purposes. As the plan must
adapt to reality, planning has to be continuous. Strategic THIKING and ACTING must be
always present.

Strategic Planning should not be done under the following circumstances:

1. When there is no top down support for planning, and

2. When facing an immediate crisis where action is the only alternative.

➢ Who should do it?

Every one in the institution should be involved in the Strategic Planning Process. Since all the
operational Personnel in an organisation contribute to the Strategic Planning process, the
process itself is considered to be BOTTOM-UP. Strategic Planning cascades through the
entire institution from highest authorities to lowest level staff in the institution.

Aligning the people in the organisation with the Strategic plan is a must for effective
implementation of the plan.

Thus, strategic planning will enable an institution to clarify its future directions, establish
priorities and make decisions across levels and functions in order to serve its stakeholders
effectively, efficiently and responsibly.

Practice Task
Q1. Fill in the blanks
a) _____________ helps an organisation to proactively shape its future and determine the path and
milestones that determine actual performance.
b) Strategic Planning is a ________ , __________ and __________ process of clarifying the
organisation’s direction.
c) Aligning ____________ in the organisation with the strategic plan is a must for its effective
implementation.
d) Any person, group or organisation that can place a claim on an organisation’s attention / resources /
output OR is affected by the output is known as a __________ .
Q2. Short questions
a) What do you understand by Strategic Planning?

63
b) How is strategic planning different from long range planning? Mention any two points of
difference.
c) Give any two benefits of strategic planning

Feedback
A. 1. Fill in the blanks
a. Strategic Planning
b. continuous, participatory and systematic
c. people
d. stakeholder
A. 2. Short answers
a) Strategic Planning is a future oriented process wherein an organisation specifies what it
wishes to become and how it proposes to get there.
b) Two points of difference between strategic planning and long range planning are:
• Strategic Planning emphasizes assessment of the environment outside and inside the
organisation far more than long-range planning does. Long Range Planning was the
predecessor of Strategic Planning.

• Strategic Planning relies more on identifying and resolving issues, while L.R.P. focuses
more on specifying goals and objectives and translating them into Budgets.
c) The following are the benefits of Strategic Planning:
• It enhances an institution’s capability to proactively anticipate the changes needed, cause
the changes and manage them.

• It is a bottom up approach, which requires participation of all the STAKEHOLDERS in

the planning process. This involvement, in particular, of the employees of the
organisation makes them co-owners of the plan and increases their commitment to the
implementation of the plan.

8.3.2 Strategic Planning Process

Dear friends, I am sure that by now you must have understood the need and importance of Strategic
Planning for any educational institution for planning the directions of its growth and development.
You must have also understood that the preparation of a strategic plan is the responsibility of each and
every individual in the institute i.e. top management to the lowest level staff. In this section, we shall
understand the process involved in framing a strategic plan for an institution.

64
➢ A Model for Strategic Planning
Bryson (1988) developed a model for carrying out Strategic Planning in Public and Non profit
organisations. This model represents Strategic planning as a cyclical process consisting of
eight steps. An adapted version of this model is presented in figure.

➢ Steps in Strategic Planning

❖ Step 1 : Initiate a Strategic Planning Process

The first step involves three activities listed below :

1. Agreeing on a Strategic Planning Process and committing to it.

2. Constituting a Strategic Planning Group.
3. Training the members of the Strategic Planning Group.

65
• Activity 1 : Agreeing on a Strategic Planning Process and committing to it

Negotiate agreement with key internal (and perhaps external) decision- makers or
opinion leaders about the overall Strategic Planning effort and the key planning steps.
Their support and commitment are vital if Strategic Planning is to succeed.

STEPS IN THE
STRATEGIC PLANNING
PROCESS Core
1. Initiate1SP Process
Values
2.Clarify Mandate & Mission Key Stakeholders

3. Internal & External Assessment

SWOT Analysis
4. Thrust
4.Thrust Areas(Prioritized)
Areas
En 5.Formulate Goals & Identify
ha
n cin Issues
gL
ink 6.Formulate Projects
ag
es 7.Work plan /
Action Plan

SP

• Activity 2 : Constituting a Strategic Planning Group

A Strategic Planning Group (S.P.G) has to be constituted for carrying out the various
tasks involved in formulating the Strategic Plan. The size of the group should not be
very large, 10 to 12 is ideal. The Strategic Planning Group may consist of the
following persons.

1. Director or Principal or his / her designate

2. Secretary (Process Champion)
3. All or a few Heads of Departments
4. One person having great writing skill
5. One person having great facilitation skills

Note: The SPG may also include at least one-woman representative.

Definition of Process Champion : Process champion is a person selected to act as the

chief coordinator of the entire strategic planning process. He / she will serve as the
Secretary of the Strategic planning Group.

66
 The role, functions and membership of the Strategic Planning Group have top be
specified. The resources necessary to proceed with the Strategic Planning effort have to
be provided.

• Activity 3 : Training the members of the SPG

All the members of the SPG should be trained in (i) developing a Strategic plan and
(ii) Strategic management

❖ Step 2 : Clarify Institutional Mandate and Mission

• Activity 1 : Clarify the mandate

Mandate refers to what the institution is required to do by the outside authorising
body i.e., the legitimate higher authority (Govt./Board of Governors). Thus, mandate
is a set of externally sourced requirements and restrictions.
Actually, it is surprising how few organisations know precisely what they are
mandated to do and not do. Many organisations make one or both of two
fundamentals mistakes. Either they believe they are more tightly constrained in their
actions than they are; or they assume that if they are not explicitly told to do
something they are not allowed to do it.

Hence the mandate of the organisation has to be clarified.

• Activity 2 : Clarify Institutional Mission

The Mission statement highlights what the organisation wishes to do and become
within and beyond its mandate.

Mandate
Mission

The mission statement is developed by the people who work in the institution, i.e Director /
Principal, faculty and staff.

The mission statement indicates institutional purpose, the general services it will provide to
respond to the needs of its stakeholders and its core values.

❖ Step 3 : Conduct ‘SWOT’ Analysis

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 “SWOT” is a simple acronym for Strengths, Weaknesses, Opportunities and Threats. SWOT
analysis consists of the following two activities:

1. An assessment of the organisation’s internal Strengths and Weaknesses and

2. An assessment of the Opportunities and Threats posed by its external environment

SWOT analysis provides a framework for strategic planning by helping the planners to
identify and prioritise their GOALS based on their MISSION. Further it helps in identifying
the ISSUES involved in achieving those goals as well as providing input for strategies to
resolve issues.

• Activity 1 : Assessing the Internal Environment

Internal scan or assessment of the internal environment of the institutional involves

identification of its strengths and weaknesses i.e., those aspects that help or hinder
accomplishment of the institution’s mission and fulfilment of its mandate with respect to
the following Four Ps:
1. People (Human Resources)
2. Properties (Buildings, Equipments and other facilities)
3. Processes (Such as student placement services, M.I.S etc.)
4. Products (Students, Publications etc.)

• Activity 2 : Assessing the External Environment

External scan refers to exploring the environment outside the institution in order to
identify the opportunities and threats it faces. This involves considering the following:

1. Events, trends and forces in the Social, Technological, Economics, Environment

and Political areas (STEEP).
2. Identifying the shifts in the needs of customers and potential clients and
3. Identification of competitors and collaborators.

❖ Step 4 : Identify Thrust Areas

Based on the Mandate and Mission and using the SWOT analysis information the Strategic
Planning Group through a participatory process based on consensus has to identity a few
Strategic directions or Thrust areas for the development of the Organisation.

A thrust area is an important functional area of the organisation requiring change. It

will be related to an important output of the organisation. Unlike micro-level operations

68
 (small activities), a thrust area will represent a major functional area like the examples given
below.

• Industry Institute Linkages

• Curriculum Development
• Continuing Education Programmes
• Management Information System
• Staff Development
• Facilities Development
• Student Services
• Environment Development
• Women in Development

Social, Economic,
Environmental,
Demographic,
Environment Technological Political
Legal, Competitive

Strategic Decisions d

Institution People Finances

Programs Facilities Image
Values Culture
Climate

❖ Step 5 : Formulate Goals and Identify Issues

Under each thrust area, a number of goals can be identified. The planners have to develop
goal statements for each goal. The goal statement should indicate what the organisation wants
to achieve and the reasons (rationale).

Further, for each goal, a number of “issues” can be identified. Issues are the problems to be
solved or overcome in achieving the goals. Issues are usually framed as questions starting

69
 with “How will we…”or “How can we…”?”. Issues can be identified by asking a series of
questions such as Why, What, Who, When, Where and With what resources etc.

❖ Step 6 : Formulate Strategies and Projects

Strategy is a way of using the organisation’s internal resources to respond to its external
circumstances in order to be successful. As effective strategy will build on strengths and take
advantage of opportunities while it minimizes or overcomes weaknesses and threats.

Strategy development begins with identification of practical alternatives for resolving the
issues. The planning team should also identify the barriers in resolving the issues. A focus on
barriers at this point helps to assure that the strategies chosen deal with implementation
difficulties directly rather than haphazardly.

After identifying a number of alternatives for resolving each issue, the planners have to
choose the most appropriate strategy by applying well –defined criteria. An effective strategy
will meet several criteria. It must be technically workable, politically acceptable to key
stakeholders and must be consistent with the institution’s philosophy and core values. It
should be ethical, moral and legal.
• What makes the planning process Strategic?
Those actions that enable us to continually adapt, innovate, resolve issues and overcome
barriers. Strategies lead to ACTION, which leads to CHANGE.

Each Strategy chosen may be subdivided into a number of projects. i.e., a strategy can
be thought of as an integrated list of projects selected to achieve a goal.
For each project, the objectives or expected results have to be specified.

❖ Step 7 : Develop Work Plan and Action Plans

A work plan is a chart that shows the list of projects related to each of the goals in a thrust
area and indicates the time frame for each project (when each project should start and end).
Work Plan is used to develop more detailed plans called Action plan.

70
 WORK PLAN
Thrust Area 1 . Curriculum Development
o2019- 2020 2020 - 2021
Course Projects o M D J F M A M J J A SO M D J F M

1.1 Need Analysis

1.1.1 Identity and
Prioritize
Disciplines
1.1.2 Interview
Stakeholders

1.2 Organize DACUM

Process

An Action Plan deals with the major tasks to be performed in order to complete a project. For
each task it specifies who will do it, how it will be done, when it will be done and what major
resources are needed to carry it out. It will also include indicators of success for the results
expected from the project.
Note: After developing the work plan and action plans, the planners have to compile all the
outputs of the seven steps of the planning process into a strategic plan of the
organisation. The plan should be disseminated to all the stakeholders before its
implementation.

Structure of the Mandate

Strategic Plan Mission

SWOT

Thrust Thrust
Area 1 Area N

Goal 1.1 Goal 1 N

lan
kP

• Project between
Interrelationship 1.1.1 Work PlanProject 1.1 N Plan and Goals and Projects
and Action
or
W

In the action plan,Plan

Action each task we have Action
for 1.1.1 Planwho
to specify 1.1. will
N do it, how it will be done, when
it will be done and what major resources are needed to carry it out. We must also specify the

71
 indicators of success for each action plan. Indicators of success are criteria like Products,
Services, or Decisions that are observable (and time bound) and show that a project has been
achieved.
A format for action plan is given in figure below :

ACTION PLAN

Thrust Area:___________________________
Goal: _________________________________
Project No. & Title:______________________
Project Leader: ________________________
Indicator of Success: ___________________

Task Who Start Finish Resources

❖ Step 8 : Develop a Vision for the Institution

A vision statement is future oriented, setting the direction for the institution from a long-term
perspective. In the final step of the Strategic Planning process, the institution develops a
description of what it should look like as it successfully implements its strategies and
achieves its full potential. This description can be called as institution “VISION OF
SUCCESS”. Typically included in such description are the institution mission, its Strategic
goals, its performance criteria, basic approach to Strategic Management, core values and the
ethical standards expected of all employees. A Vision that motivates people will be
challenging enough to spur action, yet not so impossible to achieve that it demotivites and
demoralises people.

However, most organisations will be able to develop a “VISION OF SUCCESS”only after

two or more cycles of Strategic Planning. Going through several iterations of Strategic
Planning enables the planners to develop a vision of success.

Strategic Planning is a reiterative process. The simultaneous and ongoing procedures of

planning and implementing plans will require scrupulous monitoring and evaluating and the
flexibility to adapt, modify and update whenever necessary.

Practice Task
Q1. Short questions
a) What makes the planning process Strategic?
b) Mention briefly the various steps in strategic planning process

72
Feedback
A 1. Short answers
a. Those actions that enable us to continually adapt, innovate, resolve issues and overcome
barriers make the planning process strategic.
b. Various steps in strategic planning process are
A. Initiate a Strategic Planning Process
• Agreeing on a Strategic Planning Process and committing to it.
• Constituting a Strategic Planning Group.
• Training the members of the Strategic Planning Group.

B. Clarify Institutional Mandate and Mission

C. Conduct ‘SWOT’ Analysis

D. Identify Thrust Areas
E. Formulate Goals and Identify Issues
F. Formulate Strategies and Projects
G. Develop Work Plan and Action Plans
H. Develop a Vision for the Institution

8.3.3Swot Analysis

➢ Purposes of SWOT analysis

SWOT analysis is conducted in order to identify an organization’s internal Strengths and
Weaknesses and also the Opportunities and Threats posed by its external environment.

It enables the planners to identify the following:

(1) Strengths : Internal things we have that are good OR do well

(2) Weaknesses : Internal things we do not have OR d not do well

(3) Opportunities : External factors that may help in the achievement

of our Mission.

(4) Threats : External factors that may be barriers to the

achievement of our Mission.

73
❖ Internal Scan

For the internal scan the guide is to examine the four Ps- People, Properties, Processes and
Products.

(i) People (Human Resources)

,

• Teaching Staff
• Administrative Staff
• Technical Supporting Staff
• Number of staff available
• Their qualifications, commitment, motivation etc.

(ii) Properties
Infrastructure, Buildings, Labs, Libraries, Workshop, Auditorium, Guest House,
Equipment, Machinery, Tools, Vehicles, Furniture etc.,

(iii) Processes
• Governance
• Management & Administration
• Curriculum Development
• Teaching- Learning
• Student Support Services
• Staff Development
• Information System (M.I.S.)
• Communication

(iv) Products
• Students
• Percentage of Pass in the Examination
• Percentage of Job-Placement
• Publications
• Items manufactured/fabricated in the Production Centre

74
 In
Ex

People
Properties
S W Processes
Weaknesses Products
Strengths

❖ External Scan

For the external scan the planners have to identify and evaluate the Social, Technological,
Economic, Environmental and Political factors (STEEP) in the environment outside the
organization, which affect its success or survival.

(i) Social Factors : Demographics, Participation of

Women, Opportunities and access to
training for disadvantaged people.

(ii) Technological factors: Impact of Computers, Modern

Communication technologies etc.

(iii) Economic factors : Liberalisation, Privatization and

Globalisation of Economy, Development
of specific industries, Unemployment and
Underemployment, Development of
Entrepreneurs etc.

(iv) Environmental Factors: Depletion of Natural resources,

Environmental sustainability, Pollution
control, Energy consumption, Regulations
of World Trade Organisation.

(v) Political Factors : Legislation affecting education and t

training, Control of Curriculum,

75
 Budgets and teacher qualification, Degree
of central versus local control etc.

In
Ex

Social
Technological
Economic
Environmental O T
Political
Threats
(STEEP)
Opportunities

❖ Information Sources

Conduct a brain storming session to identify the sources of information for

(i) Internal scan and
(ii) External scan

Discuss the difference between “Population” and “Sample” and the use of different
techniques for sample selection and select an appropriate percentage of the population as the
sample for data collection.

❖ Information Sources

• Questionnaires
• Suitable for conducting confidential written surveys on large
Numbers such as students
• Interview Schedules
• Suitable for small number of powerful individuals.
• Observation Schedules
• Suitable for assessing (i) the infrastructural facilities and their
maintenance and (ii) the various institutional processes like Teaching-learning,
Student services etc.

❖ Methods of Collecting Data

• Mailing the Questionnaire

• Personally administering the Questionnaire
• Conducting interviews
• Making on-site visits for observation

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 ❖ Data Analysis

The data collected through above sources is analysed to finalise the results. For this purpose
various statistical tools are used for finding the inference from the collected data.

Thus, for finding the strengths, weaknesses, opportunities and threats to an institution, the
strategic planning team need to answer the following questions.

QUESTIONS

STRENGTHS - What makes us special?

- What resources (input) strategies (Processes) and performances
(outputs) do we handle well? (Focus on the “Four Ps”)
- What are our major internal strengths ?

WEAKNESSES - What are our soft spots?

- What resources (inputs) , strategies (Processes) and performances
(outputs) do we not handle well or at all ? (Focus on the “Four
Ps”)
- What our major internal weaknesses?

OPPORTUNITIES - What trends and events can help us?

- What are the positive social, technological, economic,
environmental and political forces on us? (Focus on the
“STEEP”)
- What are our major external opportunities?

THREATS - What trends and events can hinder us?

- What are the negative social, technological, economic,
environmental and political force3s on us? (Focus on the
- “STEEP”)
- What are our major external threats?
-
The answers of the above questions gives an incite to the strategic planning team about the
strengths, weaknesses, opportunities and threats to the institution.

Practice Task

77
Q1. Fill in the blanks

a) SWOT analysis is conducted in order to identify an organization’s internal ___________ and

___________ along with ________ and __________.

b) For the internal scan the guide is to examine the four Ps _______ , _________, ___________ and
__________ .

Q2. Short questions:

a) Why is SWOT analysis done?
b) What are the four Ps in Internal scan?
c) What are the external factors affecting organisational environment?
d) Name various sources of information for internal and external scans?

Feedback

A.1 Fill ups:

a. Strengths and Weaknesses , Opportunities and Threats
b. People, Properties, Processes and Products.

A.2. Short answers

a) SWOT analysis is done in order to identify an organization’s internal Strengths and

Weaknesses and also the Opportunities and Threats posed by its external
environment.
b) The four Ps in internal scan are People, Properties, Processes and Products.
c) The external factors are Social, Technological, Environmental, Economic and
Political
d) The various sources of information for internal and external scans are
• Questionnaires
• Interview Schedules
• Observation Schedules

78
8.3.4 Vision And Mission Formulation
Vision and Mission statement gives an institution the direction to work in future. Based on the
vision of the institutional leaders, an institute prepares its goals and targets and also prepares
strategies to achieve these goals. Institute also formulates work plan and action plan and
identifies various issues involved in the fulfilment of planned goals and targets. In this
section we shall discuss how vision and mission statement is formulated in an institution.
While formulating the mission statement the intuitional planners also need to understand,
what is the mandate of the institution
➢ Mandate
Mandate is a brief description of what the organisation must do and is permitted to do by the
legitimate higher authorities in their formal statements, policies and communications.
Mandate is a set of externally sourced requirements and restrictions.
While clarifying and preparing the mandate always ask and be aware of:

What is and is not ruled out by the mandate ?

emandate?

79
 Some Educational organisations do not know precisely what they are mandated to do or not
do. They make one or both of two fundamental mistakes. Either they believe they are more
tightly constrained in their actions than they are; or they assume that if they are not explicitly
told to do something they are not allowed to do it.

➢ Examples of Mandate
Illustrative example of mandate is given below:

Government College of Engineering Pune, Maharashtra State

Mandate

The college is affiliated to the University of Pune and offers AICTE approved Under Graduate, Post
Graduate and Research Programmes in Engineering to candidates selected according to State prescribed
norms, using the curriculum prescribed by the University to meet the requirements of technical manpower.

The institution is administered by the Director of Technical Education and is funded by the State
Government.

The College has the responsibility to fulfil the human resource development needs of industry, business, the
service sector and society at large.

➢ Criteria for Validation of Mandate

❖ Does it include all the major responsibilities and duties of your organisation (if not,
include them and make it comprehensive).
❖ Does it contain certain things, which you wish to do? (if so, delete them from the mandate
and include them in your mission statement).

➢ Outcomes of Mandate Clarification

❖ Increased awareness of the actual mandate by the staff of the organisation and its other
stakeholders.
❖ Increased possibility of developing a mission that is not limited by a perception of what
the mandate is thought to prohibit.

➢ Mission

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Mission refers to what the organisation wishes to do and become within and beyond its
mandate. The mission statement indicates organisational purpose, the general services it will
provide to respond to the needs of its stakeholders and a declaration of its core values.

A Mission Statement consists of four basic elements listed below: Purpose, Stakeholders,
Goals and Values.

❖ Purpose

Why the institution exists? – This is derived from and should summarise the mandate.
Every institution exists to serve the needs of some external client. This external focus
should be reflected in the statement of purpose.

❖ Stakeholders

A stakeholder is defined as any person, group, or organisation that can place a claim
on an organisation’s attention, resources, or output, or is affected by that output.

Before developing a mission statement, an organisation should complete a

stakeholder analysis.

Stakeholders of an engineering Institute are :

Student parents Teachers Staff.

A complete stakeholder analysis will require the Strategic Planning team to identify
the organisation’s stakeholders, their criteria for judging the performance of the
organisation, and in general how important the various stakeholders are. The
stakeholder analysis will enable the planners to decide how they should respond to
meet the expectations of their key stakeholders.

❖ Goals

What an institution aspires to do or become? Goals should be expressed in terms and

contexts that are relevant to the client and should add qualitatively and quantitatively
to the purpose of the institution.

❖ Core Values

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 Values are basic convictions about what is right or wrong, good or bad, desirable or
undesirable. The core values (most important values) of an organisation have to be
specified in the mission statement.

Examples:

• Equity • Staff development

• Quality • Environment development
• Innovation

The core values will help an organisation maintain its integrity. They will also
indicate “What makes the organisation distinctive or unique?”. If there is nothing
unique or distinctive about the organisation, perhaps it should not exist.

Values drive the organisation.

➢ Length of Mission Statement

The mission statement has to be brief; however it should be long enough to reach the target
audience.

➢ Example of Mission Statement

GOVERNMENT COLLEGE OF ENGINEERING

PUNE, MAHARASHTRA STATE

MISSION STATEMENT

The College is committed to provide quality technical education and research & development
services to meet the needs of industry, business, the service sector and society at large.

The College aims to

❖ Become a Centre of Excellence in specific areas of engineering such as Biomedical

Engineering, Information Technology, Computer Aided Manufacturing and Non
Conventional Energy Sources.

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 ❖ Deliver training using IT Enabled services.
❖ Provide continuing education opportunities in a dynamic learning environment.
❖ Facilitate the all round development of the students.
❖ Serve the changing needs of industry, including research and development
organizations, by establishing linkages and partnerships for providing training and
consultancy.
❖ Establish strong linkages with Alumni for the development of this heritage institution.
❖ Get autonomous status to ensure the relevance of the curricula.

➢ Our Core Values

• Openness
• Equity
• Staff Development
• Development of Women
• Environmental Sustainability

➢ Envisioning - Developing a Vision for the Institution

Developing a Vision statement is the final step in the Strategic Planning process. This is done
when the Strategic Planning process and implementation have achieved some degree of
success i.e., after two or more cycles of Strategic Planning. Going through several iterations
of strategic planning enables. the planners to gain the maturity needed to develop a Vision of
success for their orqanisatton. The consensus on key decisions and the ability to resolve
conflicts constructively (both necessary to develop an effective Vision statement) are likely to
emerge only after several cycles of Strategic Planning.

➢ Concept of Vision

A Vision statement describes how the organisation will look when it is functioning well
(Vision of Success / Vision of Excellence). It is a guiding image of success formed in terms
of contributions to society. If a Strategic Plan is the 'Blue print' for an institution's work, then

83
the Vision is the "artist's rendering" of the achievement of the plan. A Vision statement is
future oriented, setting· the directions for the organisation from a long-term perspective. A
Vision of success should not be merely an extension of the present. It should picture an ideal
and inspirational future.

If you want to move people, it has to be toward Vision that is

positive for them, that taps important values, that gets them
something they desire and it has to be presented in a
compelling way that they feel inspired to follow.
Martin Luther King, Jr

The Vision of an institution is a concise word picture of the institution at some future time,
which sets the overall direction of the organisation. It is what the organisation strives to be. A
Vision is something to be pursued, while a mission is something to be accomplished. A
Mission is a statement that specifies an organisation's purpose or "reason for being". The
organisation's plans & programmes will be prioritised and designed to achieve the mission
within a specified time. A Mission statement .enables an organisation to integrate its short-
term goals with longer-term goals highlighted in the Vision. Thus, a mission statement helps
an organisation to achieve its Vision in a phased manner. A Vision will be enduring; for a
single Vision statement, an organisation may have to formulate number of Mission
statements. Each Mission leads to number of programmes and projects.

A Vision provides an organisation with a forward-looking, idealised image of itself and its
uniqueness. It provides members of the organisation with a view of the future that can be
shared, a clear sense of direction, a mobilisation of energy and a sense of being engaged in
something important.

A Vision provides an organisation with a sense of how things can be - what the promised land
looks like - and a belief that it is possible to arrive safely in that promised land. It gives
members of the organisation a sense of pride and purpose - a sense of uniqueness that instills
an esprit and a level of motivation that allows the organisation to function at a higher /
different level than was previously thought possible.

A Vision must be both comprehensive and detailed. A Vision of an organisation as "World

Class" or as "the industry leader" lacks the specificity that triggers aspiration in ways that
energise actions.

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 Vision without action is merely a dream
Action without Vision merely passes the time
Vision with action can change the organisation

➢ Envisioning

Envisioning is the process by which individuals or groups develop a Vision or dream of a

future state for their organisation that is both sufficiently clear and powerful to arouse and
sustain the actions necessary for that dream to become a reality.

In traditional long-range planning the assumption is one of a continuous future and there is
not a need to regard the future state of the organisation as substantially different from its past
and present state. Envisioning assumes that the organisation has or is experiencing a need for
transformation, that is, the organisation now understands that its future must be discontinuous
from its past and present.

Envisioning is a creative act. Visions are developed much like the playwright's script, starting
with an idea and then elaborating more and more.

Envisioning requires a different kind of mind-set than is typically involved in solving the day-
to-day operational problems in an institution. The planners should be open to new ideas and
understand and accept the need and opportunity for change.

➢Shared Vision

Having a Vision statement is not enough. The Vision must be shared; the Vision comes alive
only when it is shared. The Vision must directly involve the followers and empower them.
The reiterative process of excitement and commitment occurs at the moment of sharing the
Vision as well as throughout the process of implementing the Vision.

Envisioning focuses on the end goal (the desired future state), not the means to reach the goal.
Indeed, one way for the followers to develop a sense of ownership for the Vision .is to
develop the mission, the means by which the Vision will be fulfilled.

➢ Reasons for Envisioning

85
 What are the motives for developing a Vision statement for an organisation ?

❖ A perceived need for a common Vision and a sense of teamwork

❖ An experienced desire to control the organisation's destiny
❖ A wish to obtain / generate more resources for the operation
❖ A realisation that the organisation's current operational success was
no guarantee for the future
❖ The desire to exploit a new opportunity or deal with a new threat
❖ The need to pass the torch and carry it

➢ Four Approaches to Planning

There are four different approaches to planning (Ackoff, 1981) :

❖ Reactive Approach
• Planning through the rear-view mirror
• Occurs in historically static environments where the organisations
have a long history of success
• Focuses on the past. rather than the future
• Resistance to change

❖ Inactive Approach

• Going with the flow

• Ignores the need for planning
• Involves a high degree of risk

❖ Preactive Approach

• Preparing for the future

• The organisation assumes that the future is a given and its best
strategy is to figure out the shape of that future and prepare for it

❖ Proactive Approach

• Designing the future and making it happen

• The organisation believes that its own actions can shape its future. (The
future is not pre-ordinated or fixed)
• Focus is on the question of what the organisation must do differently in the

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 future (What should you be doing in your organisation that you are not doing
today?).
• Although an organisation will need to respond to opportunities and threats
beyond its control, shaping its future can be an interactive effort and allows the
organisation to proactively shape its best possible future

For envisioning, "Proactive approach to planning" has to be adopted.

➢Components of A Vision Statement

A Vision statement has to provide suitable guidance and motivation. Hence it should include:

❖ Mission Statement
❖ Strategic Goals
❖ Effectiveness Indicators
❖ Core Values and Ethical Standards
❖ Basic approach to Strategic Management
❖ Decision making process
❖ Short statement or slogan

The Vision should include a promise that the institution will support its members in pursuit of
the Vision.

The Vision statement should be short - not more than five double-spaced typewritten pages -
and inspiring.

➢Attributes of an Inspirational Vision

An inspirational Vision has the following attributes:

❖ Focuses on a better future

❖ Encourages hopes and dreams
❖ Appeals to common values
❖ States positive outcomes
❖ Emphasises the strength of a united group
❖ Uses word pictures. images and metaphors

87
 ❖ Communicates enthusiasm & kindles excitement

➢ A Process for Developing the Vision Statement

❖ The Strategic Planning Group (SPG) that has been deeply involved in the Strategic
Planning process and the implementation should meet for a day to develop the first
draft of the Vision.

❖ The facilitator should create an image of an ideal future and then map back to the
present. An effective Vision will embody the appropriate degree of tension to prompt
effective organisational change. Too much tension will cause paralysis. On the other
hand too little tension will not produce the challenge necessary for outstanding
performance.

❖ Each member may be asked to write a Vision statement for the organisation and then
share it with the group. The facilitator can summarise and synthesize the statements.
❖ The task of drafting a Vision should be assigned to an individual; an inspirational
document rarely is written by a Committee.

❖ The draft must be reviewed by the group at the end of the day.

❖ Consensus on the substance and style of the Vision statement must be sought with
other groups of stakeholders through workshops and discussions.

❖ The final draft must be approved by the apex Governing body of theorganisation.

❖ The Vision statement has to be published as a booklet and given to every

organisational member and to key external stakeholders. Discussion of the statement
should be made a part of orientation programmes for new employees.

➢ Examples of Vision Statements

❖ Vision Statement of a Typical Indian Polytechnic

The area served by the polytechnic will have a community-based education

and training system that will provide certificate, diploma, associate degree,

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and non-credit programmes and courses to young adults and employees of
private and public sector organisations focused on those groups who are most
in need.

Learning centres and facilities, both fixed and mobile, will assist both rural
and urban communities to assess their own needs with respect to learning
services and provide those services in a variety of delivery modes. These
modes will include paper, audio-visual and electronic media as the materials
for learning, while the methods will include distance-education by post and
the electronic highway, traditional classroom and shop instruction, field
placements and on-the-job training. These services will be offered in a cost-
effective way on a cost-recovery basis to maximize access by all who need
and want these learning services. Loans and grants will be made available to
those most in need from revenue generated by the Continuing Education Cell
and other marketable services.

A specialized service to train volunteer instructors and facilitators will

increase the training capabilities of the communities linked to the
polytechnic. Local and community councils will be formed or consulted with
respect to their needs.

Workshops on how to form partnerships will further increase the capabilities

of these community based groups to garner the resources needed to enhance
the lives of their respective local populations.

The polytechnic will initiate and maintain partnerships with local community
agencies, business and industry associations and societies, government
agencies, Non-Government organisations, labour unions and specific
businesses and industries to keep the curriculum up to date, find job
placements for students and graduates, secure equipment, materials and guest
lecturers and build the image of the polytechnic. The concepts of "customer
service" and "meeting the customer's needs" will be foremost in the design,
development, delivery and follow-up of all learning services.

The centres of excellence in each major occupational area being taught will
be developed with appropriate partners.

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 The highest standards of moral and ethical behaviour will be demonstrated by
all staff, thus demonstrating what is expected of all students in terms of their
behaviour.

The development of the competence of the staff in technical, professional,

academic and personal skills will be supported, encouraged and rewarded.

A system of continuous improvement will characterize the changing and

innovative practices of the polytechnic. Teams and task forces comprised of
cross-functionand cross-skill members will continuously assess and improve
the systems and processes of the polytechnic.

All governors, managers and supervisory personnel will be directly involved

in supporting all other staff to take initiatives to realize this Vision of success.

❖ Priority Actions to Realize the Vision of Success

• Provision of education and training for all staff in the principles and
practices of customer service, continuous improvement, team building, problem-
solving,
and setting and meeting standards of performance.

• Collaboration with Industries, Business establishments, Commercial

organisations, Government Departments, Service organisations, Non-
Government organisations, associations and individuals to develop partnerships,
joint ventures, projects and learning service activities meeting the assessed needs
of the various target groups.

• Development and implementation of fixed and mobile training centres

whileworking with community groups, volunteer teachers, and a student-loan
system.

• Provision of professional development opportunities for all staff and special

curriculum and instructional development training for teaching staff
incorporating: employer-needs-based approaches; self-paced,
individualizedinstruction; video and computer conferencing; and the design and

90
 development of distance education and industrial training.

❖ Our Short Vision Statement is :

"We Bring Quality Learning Opportunities to the Community"

Other Examples of Short Vision Statements

''Training - Anything. Any time, Any place"

"Our Graduates Excel on the job"
"We develop a Globally competitive Workforce through partnerships"
"Meeting unmet student needs"

➢ Excerpts from the Vision Statement of Birla Institute of Technology, Mesra,

Ranchi- 835 215

❖ In order to assimilate the changing needs of the times, our quest is to integrate a" the
perspectives into a well-designed Curriculum that results in more creative and logically
aware citizens.

❖ Nurturing Technocrats and managers for the New Millennium.

❖ Development. of individuals who can completely and confidently manage our

nation's resources with personal integrity and social responsibility.

❖ Establishing linkages with corporate giants in the Industry for arranging

training and Campus interview.

Our Short Vision Statement is :

"LEADERS IN TECHNICAL EDUCATION"

➢ Benefits of Vision Statements

A number of benefits flow from a clear, inspiring and widely shared Vision of
success :

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 ❖ Provides direction.
❖ Reduces time and discussion on what to do next.
❖ Creates a focus for human energy, talent and performance.
❖ Encourages personnel to take initiative and be self-directed. A Vision of success
provides important permission, justification, and legitimacy to the actions and
decisions that accord with the Vision, at the same time that it establishes boundaries
of permitted behaviour.
❖ Motivates the staff of the organisation.
❖ Helps to recognise the potential barriers to be overcome
❖ Serves as an effective substitute for leadership

Practice Task

Q1. Fill in the blanks

a) ____________ refers to what the organisation wishes to do and become within and
beyond its mandate.
b) ___________ are basic convictions about what is right or wrong, good or bad, desirable
or undesirable
c) Four approaches to planning are _________, _________ ,___________ and _______.

Q2. Short questions

a) Define a mandate.
b) How do you validate a mandate?

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 c) What do you understand by Envisioning?
d) What are the features of Proactive planning?
e) What are the components of Vision statement?

Feedback

A1. Fill in the blanks

a. Mission
b. Values
c. Reactive, Inactive, Preactive and Proactive.

A2. Short answers

a) Mandate is a brief description of what the organisation must do and is permitted to do by

the legitimate higher authorities in their formal statements, policies and communications.

b) Criteria for Validation of Mandate

• Does it include all the major responsibilities and duties of your organisation (if
not, include them and make it comprehensive).
• 2. Does it contain certain things, which you wish to do? (if so, delete them from
the mandate and include them in your mission statement).

c) Envisioning is the process by which individuals or groups develop a vision or dream of a

future state for their organization that is both clear and powerful to arouse and sustain the
actions necessary for that dream to become a reality.

d) The features of Proactive planning are

• Designing the future and making it happen
• The institution believes that its own actions can shape its future.
• Focus is on the question of what the institution must do differently in the
future.
• Although an institution will need to respond to opportunities and threats
beyond its control, shaping its future can be an interactive effort and allows
the institution to proactively shape its best possible future

e) Components of Vision statement are the following:

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 • Mission Statement
• Strategic Goals
• Effectiveness Indicators
• Core Values and Ethical Standards
• Basic approach to Strategic Management
• Decision making process
• Short statement or slogan

Conclusion
Strategic planning is an important tool for an institution to clarify its future directions. It facilitates the
institution to establish priorities and make decisions at varied levels and functions in order to serve its
stakeholders efficiently, responsibly and effectively. A Vision and Mission statement should be
realistic and credible, well articulated and easily understood, appropriate, ambitious and responsive to
change. It should orient the institute energies and serve as a guide to action. It should be consistent
with the institutional values. In short a Vision should challenge and inspire the institutional people to
achieve the strategic goals.

Bibliography:
1. Ackoff, R.L. and Ackoff, R.L., 1981. Creating the corporate future: Plan or be planned for.
University of Texas Press.
2. Brahadeeswaran, D., Charlebois, J., Harvey, D., Heise, B., Hodson, T., and Sarkar, G., (2001)
Power Point Presentation on Strategic Planning &Management, Pune:
3. Bryson, J.M., 1988. A strategic planning process for public and non-profit organizations. Long
range planning, 21(1), pp.73-81.
4. Goodstein, L.D., Nolan, T.M. and Pfeiffer, J.W., 1993. Applied strategic planning. McGraw-Hill.

94
5. Pahl, N. and Richter, A., 2009. SWOT Analysis-idea, methodology and a practical
approach. Grin Verlag.
6. Rea, P.J. and Kerzner, H., 1997. Strategic planning: a practical guide. John Wiley & Sons.
7. Sinnet, W.E (1995), Strategic Planning Workshop Manual, New Delhi: ISTE and ACCC.
8. http://dev.orgwise.ca/sites/osi.ocasi.org.stage/files/resources/Strategic_Planning%20Organization
al%20Development.pdf Series -1, Organisational Development-strategic development
9. https://govinfo.library.unt.edu/npr/initiati/mfr/managebk.pdf Denise Lindsey Wells, Strategic
Management for Senior Leaders: A Handbook for Implementation
10. https://books.google.co.in/books+swot+analysis Nadine Pahl and Anne Ritcher, Swot Analysis -
Idea, Methodology and a Practical Approach

Supportive learning material: by Dr Rakesh K Wats & DR S.S. Pattnaik

Videos on
• Need and Importance
• Strategic Planning Process
• SWOT analysis
• Vision & Mission Formulation
Web resources:
• Strategic Planning: A Model for Higher Education
https://www.youtube.com/watch?v=7ZSHFPwYFso

• Strategic Planning and Types of Strategic Planning

https://www.youtube.com/watch?v=OUHSejudhOs

• Strategic Planning Overview https://www.youtube.com/watch?v=qCbSos76_Io

• Strategic Planning and SWOT Analysis
https://www.youtube.com/watch?v=VTH_WsyoEeM
• How to create your strategic plan. https://www.youtube.com/watch?v=_Q5VwDCpszY

***********

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 UNIT- 8.4
ORGANISING FOR OPTIMISATION
Contents Page No
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.4.1 Organising: Concept & Process 4
(A) Organising Concept 4
➢ Characteristics of Organising
➢ Importance of Organising
(B) Process of Organising 6
➢ Identification and enumeration of activities
➢ Division of activities
➢ Grouping-up of activities
➢ Assignment of group of activities
➢ Granting necessary rights
➢ Coordinating the functioning of various departments
Practice Test 7
Feedback 7
8.4.2 Organisation Structure and Design 8
(A)Organisational Structure 8

(B)Organisation Design 8
➢ Bureaucracy basics
➢ Mechanistic structure of an institution
➢ Organic structure of an institution
➢ Factors affecting organisational design in an institute
➢ Approaches to Organisational Design in an institute

Practice Test 19

96
Feedback 19
8.4.3Role of Responsibility, Authority and Delegation in 21
Institutional Effectiveness

➢ Delegation of Authority
➢ Management triad - of Authority, Responsibility
and Accountability
➢ Principles of Delegation
➢ Process of delegation
➢ Advantages of Delegation
➢ Barriers to Delegation
➢ Guidelines for Effective Delegation
Practice Test 27
Feedback 28
Conclusion 29
Bibliography 29

UNIT- 8.4
ORGANISING FOR OPTIMISATION
Author: Dr Rakesh K Wats
NITTTR, Chandigarh

Broad Objective

97
The broad objective of this unit is to make the learners aware
about the importance of organising for optimisation of
institutional resources. This learning material shall also make
them aware about the concepts of organisational design and
structures using the triad of delegation of authority-
responsibility and accountability for the effectiveness of an
educational institution.

Learning Outcomes
After going through this unit the learner will be able to :
• Explain the concept of organising and its role in the optimisation of institutional resources.
• Explain the process of organising.
• Understand the concept of organisation design and organisational structure.
• Identify relevant organisational structure for his own institution based on application, advantages
and disadvantages of different organisational structures.
• Understand the importance of delegation of authority for enhancing the effectiveness and
efficiency of the institution.
• Identify the importance of authority , responsibility and accountability in the management of an
institution and correlate the same in his own institution.

Introduction
Organising in an institute involves coordination of activities, integration of actions and balanced approach
of all individuals working for achieving institutional objectives. It focuses on the optimum utilisation of
all types of resources present in and around the institution. To achieve the desired goals, the people
belonging to various hierarchical levels are delegated powers and responsibilities. The institutions are
designed differently on the basis of nature of responsibilities, delegations of authorities and size of
institution.
In this unit you will be have the understanding of the importance organising, its features and the process
in an institution. You shall learn the concept of the organisational structure of an institution along with the
delegation of authority and responsibility - accountability relationship for the smooth running of an
educational institution.

8.4.1Organising: Concept & Process

(A) Organising Concept:
Organising means collective working of two or more individuals. It involves coordination of activities,
integration of actionsand balanced approach of various people working in unison for the achievements of
common goals of an institution. It’s the function of an institutional management which incorporates
univocally all varied inputs from institutional resources like human, physical, financial and informational
in synchronisation, combination and coordination. The ultimate objective of organising is to achieve
institutional objectives by optimum utilization of institutional resources.

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According to Chester Barnard, management guru, “Organising is a function by which an institute is able
to define its role positions, the jobs related and the co-ordination between authority and responsibility”.
Hence, it become imperative for an institutional head to organise all possible resources required in
performing his role in an effective and efficient manner.

“Organising” in an institute involves the establishment of a healthy working relationship amongst the
employees, delegation of tasks/duties alongwith adequate authority to undertake those tasks. Thus,
“organizing” establishes a network of authority and responsibility relationship amongst the members like
Director/Principal, Heads of units or departments, faculty, staff etc.. The person who delegates the
authority is considered as ‘superior or boss’ and other following the instructions and to whom the
authority are referred as ‘subordinates’.

➢ Characteristics of Organising:some of the important feature of organising are-

❖ Basic function of any institutional management
❖ Sub-process of any institutional management
❖ Continuous process
❖ Collective functioning of all authorities
❖ Involve coordination of all resources
❖ Goal oriented
❖ Team effort
❖ Lay foundation of authority-responsibility relationship

➢ Importance of Organising

The organising function is an establishment of a network amongst various members of the institute
for playing their specific roles by owing responsibilities for achieving institutional objectives
collectively. It’s a mechanism which is undertaken by the collective efforts of a team to reach up to
predetermined and planned institutional goals.

❖ Importance of organising in an institution:

• Provides framework: for various functions of institutional management to work in efficient

and effective way by establishing cordial relationships between “Superiors” and
“Subordinates” by directing, controlling, monitoring and planning.

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 • Facilitates coordination:amongst various resourcesof an institution. In educational institute
each department has its designated role and organising function will help in polling the
efforts of all departments in one common output in the form of an objective of that institute.
• Leads to specialisation:division of work also leads to specialization of tasks amongst
different competent people or departments in an institute as per their resources and
competencies. This help in establishing specialised departments or human resource.
• Helps in achieving efficiency:division of roles leads to efficient use of all types of resources,
be it human or physical resource and there by enhance overall efficiency of institute
• Promotes Employee development:decentralization of powers strengthen and develop each
faculty member to take independent decision, solve problems at his/her own level, tackle
problems single handedly and all these individual contribution ultimately leads to overall
growth of the institute
• Well defined jobs–are demarcated by institutional structure by placing “Right Man for Right
Job’, as per their qualifications, skills and experience. Thus roles and responsibilities become
clear of every individual in the institution.
• Increases clarity of authority and responsibility:duty without delegation of authority de-
motivates faculty in any institute but this problem can be overcome by the process of
organising. Precision of roles helps in generating precise ideas and sense of responsibility
which can be materlised within given authoritative frame
• Facilitates adaptation to change:as the change is inevitable, hence new setting and resetting
of institutional structure, process and goals are matter of routine. This change can be easily
coped up with organising functions.

(B) Process of Organising

The process of organising in an institution involves the following steps, where all leads to achievement of
the goals/objectives of an institution.:

➢ Identification and enumeration of activities:It is the first stage

❖ Identification and determination of broad objectives
❖ Identification and determination of broad activities
❖ Identification and determination of common goals.

100
 ❖ E.g. student’s admission, teaching learning, evaluation, placement, budgeting and finance,
purchase, staff development etc.

➢ Division of activities:
❖ Division and sub-division of broad activities into smaller fractions
❖ Each fraction is called as “jobs or tasks”

➢ Grouping-up of activities:
❖ Jobs or tasks are grouped on the basis of similarity and relationships
❖ E.g. teaching and learning group- includes all jobs and taskspertaining to teaching

➢ Assignment of group of activities:

❖ Specific groups with allocated jobs are assigned specific department/faculty/staff
❖ Allocation of department/faculty/staff is based on the competence and resources

➢ Granting necessary rights:

❖ Dissemination of power/authorities/rights to department/faculty/staff to undertake the given
task effectively
❖ Powers/authorities/rights are delegated from highest to the lowest level of management.

➢ Coordinating the functioning of various departments:

❖ Organising deals with making all possible co ordinations at every level till the common goals
of the institute are achieved
❖ E.g. coordinating the working of individuals with their departments and those of departments
with institutional head

Practice Test

Q1. Short Questions

a)What is Organising in an institution?
b) Mention briefly the characteristics of Organising.
c) What is the importance of organising in an institute?

Feedback

101
Ans. a) Organising means collective working of two or more individuals. It involves coordination of
activities, integration of actions and balanced approach of various people working in unison for the
achievements of common goals of an institution.
Ans.b) Characteristics of Organising are:
• It is the basic function of any institutional management
• It is a continuous process
• It involves collective functioning of all authorities
• It involves coordination of all resources
• It is goal oriented
Ans.c) Importance of Organising in an institution
• Provides framework for superiors and subordinates to work effectively
• Facilitates coordination: amongst various resources of an institution.
• Leads to specialisation or division of work amongst different competent people.
• Helps in achieving efficiency of the institute

8.4.2 Organisation Structure and Design

(A) Organisational Structure of an educational institution is the formal arrangement of roles of

faculty and staff in a hierarchical way. It’s an institutional configuration showing relationships amongst
different departments and positions. The structure follows a set trend to descend information or
instructions or guidelines where every unit or department has its organized role and activities to
undertake. Each organisation has its own structured “Organisational Chart” indicating its formal split up
of composition, official lines of communication and authoritative positions.

(B) Organisation Design is a change in the organisational structure, showing its intension to
respond to change, incorporation of new ideas, techniques, procedures, approaches to have an edge over
in changing and challenging society. The design of an organisation or institute is a sequentially followed
procedure, wherein all existing misfits in the institute like work flow, procedures, structures and systems
are identified which are realigned in new frame to achieve institutional goals or targets. The design of any
institute focuses on the improvement and empowerment of work force (faculty, staff and administrator)
and technical resources of that institute. The design should have a holistic approach towards institutional
improvement.

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➢ Bureaucracy basics

Bureaucracies are age old system of administrative hierarchy, based on formal authorities, used to
delegate orderly, fair and logical instructions to subordinates. Such a set up has clear cut division of
roles, authorities, rules, promotional avenues, but based on competencies.

Although, bureaucracies are highly structured due to clearly defined rules and procedures, but the
success of such rigid set up in today’s fast changing environment is comparatively less. The non
flexibility of this system makes it slow responsive, less adaptable and inefficient to rapidly changing
scenario. Following the system in its original fixed frame may make the institute to perish or lag in
the long run.

Like two sides of the coin, the bureaucratic structure has also been advocated by many experts. They
are of the opinion that in all the situations, the system is no failure and if the institution does not
follow such a system, do we have any other suitable alternative available? The answer of this question
was given by research in 1960, which indicated that an organization’s environment impacted the way
it is managed. Accordingly a structure of the institution which may be suitable for the stable
environment may not be the same for a constantly changing one. While for the former a bureaucratic
set up is effective, the later requires a system which is continuously evolving, responsive and creative.
Based on the above analysis, two distinct frameworks viz. the mechanistic structure and organic
structure were identified.

➢ Mechanistic structure of an institution- has following features

❖ Resembles bureaucratic structure
❖ Follows a clearly outlined formal framework of authority
❖ Precisely outlined tasks/jobs
❖ Clearly defined rights and obligations of its faculty and staff
❖ Clear demarcation of line and staff positions with formal relationships amongst them
❖ Communication in such an organisation structure is primarily formal communication

Mechanistic set up is found in most of the Indian educational institutions or universities which
tend to follow a very rigid and formal rules and regulations because such institutions are to deal
with very large number of students. So to provide them uniform and equitable treatment they
have to follow clearly defined rules and standard operating procedures. Though such operational
procedures need investment of more time, have slow pace due to stringent hierarchical decision

103
 making processes so ultimately make the system inefficient and irritable to many stakeholders.
This also sometimes delays the start of the teaching learning process in the institutions.

Mechanistic organisational set up are fairly appropriate in those situations when the external
environment is quite stable where clearly defined rules and regulations help them in streamlining
their activities, but when external situations are regularly changing and there are ongoing new
challenges for the system to meet the newly cropping needs, then lack of flexibility may make
result in collapse of such rigid systems.

➢ Organic structureof an institution: has following features

❖ Work better in dynamism and mutual cooperation
❖ Based on cooperation of all members of an institution
❖ Has knowledge based heads or team leaders
❖ Less formal in composition
❖ More flexible and less reliance on formal authorities
❖ Has power decentralization
❖ Roles of members may flip but remain defined
❖ Continuous feedback help in reframing roles of individuals
❖ Promptness in decision making
❖ Has informal environment

➢ Factors affecting organisational design in an institute: design of organisation structure is

multi factorial but the more important ones are-

❖ Size of the institute - larger organizations have more complex structure than smaller ones

Small institute Large institute

• Don’t have formal structure
• Don’t have organisational chart or
specified job functions
• Individual role is based on abilities, likes
and dislikes or need of the organisation
• Rules and regulations make boundaries
within which members can work freely
• Have formal structure of organisation
• Clearly formed organisational chart with
specified job functions
• Tasks are specialized and training based
• Clearly laid rules and regulations dictate
work procedures
• Communication within the organisation

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• Generally have organic system follow proper hierarchy
• Works on the principle of harmony • Authorities are well designated
• Works on the principle of efficiency
• Generally have mechanistic system

❖ Life cycle of institution: just like human beings, the organizations also take birth, grow and
mature. Each stage is characterized by its own features. Mostly organisation undergoes
sequentially into each stage but sometimes the phase may be skipped or mutually swiped by
changing its structure. The stages of life cycle shows relationship between its size and age.
With every progressive stage of life cycle, the organisation become more specialized and
move from its organic to mechanistic structure.

105
 Birth
inception stage
without formal structure
no specific delegation of
authoroties

Maturity Youth
focus on stableility and steady growth of
security institution

losses innovation and Life cycle main focus is to become

alarge organisation
creativity of it becomes customer
focus on profits and institution oriented
efficiancies develop organic structure
gradually undergo delegation of authorities
sanility stars

Mid-life
with a large and comple
organisation
structure becomes more comple
and formal
hierchy becomes more comple
gradually becomes mechanistic

Fig. Stages of life cycle of institution and their features

❖ Strategy of an institute - gives it smart move to go ahead in the current race and place itself
in top position in giving product or service. Any of the following strategies can be followed,
based on its structure:
• Differentiation strategy: may be opted to the newest and best service or product. It
helps the organisation to quickly respond to societal changes and needs. This
approach can be opted by organizations with organic structure

106
 • Cost-leadership strategy: may be opted to provide already existing services or
products more efficiently and at lower cost. This is mainly followed by the
organisation with mechanistic structure.

❖ Environment in an institute: conditions which influence the environment of an organisation

includes-
• Its economic status
• Surrounding socio-cultural conditions
• Legal and political conditions regulating its functioning
• Natural environmental conditions

There are generally two types of environment for the organisation to work in: -

1. Stable environment
• Need and desires of the customers are clear and well understood
• Need and desires of the customers probably will remain consistent for a relatively
long time.
• Working and administrative structure remain constant
• Find mechanistic structure more suitable for their functioning
• Focuses on long term performances

2. Dynamic environment
• Needs and desires of customers’ continuously keep on changing
• Working and administrative condition generally remain in turbulent.
• Regular up gradation of technology
• Find organic structure more suitable for their goals
• Make organisation proactive for change

➢ Approaches to Organisational Design in an institute:

Organisational design of any institute is to make efficient team to meet institutional goals. The best
design incorporates plus points of both mechanistic and organic structure. In today’s scenario the
most acceptable design includes more of organic and lass or bureaucratic features with lesser and

107
 flexible rules and regulations, decentralized authority structure etc. Team making or departmental
grouping revolves around five main approaches:

❖ Functional organisational design- works on the principle of clubbing specialized working

people in a unit called department. It has features like:
• Functional groups are designated as departments
• Departmental categorization is based on skills, expertise and resources, hence specialized
• Duties and responsibilities are fixed as per departmental strengths
• Single authority of each department
• Departments are further regulated by another top authority
• It has well defined channels of communication
• Categorical delegations of authorities and responsibilities
• Avoid duplication of roles, resources, hence enhances institutional productivity

Functional Structure

► Grouping of people by similar work specialty

► In a functional structure, people with similar
occupational specialties are put together in formal
groups
Director Structure for
an Educational
Institute
Dy. Director Dy. Director Dy. Director Dy. Director
Administration Finance Academics R&D

Fig. Functional organisational design in an institution

The approach has both advantages and disadvantages, like:

108
 Advantages Disadvantages
• Each department becomes a specialized • Non performers don’t get fixed
group of members and head responsibility
• Proper division of labor, hence clarity of • Division of authority may interfere with
orders and instructions institutional discipline
• Economic approach due to optimum • Delayed decision making owing to many
utilization of resources experts in ach department

• Provide environment of skills development • May leads to conflict, lack of coordination,

and scope for growth blame games and trend of disowning

• Lessens the burden of top management responsibility

• Due to specialization of heads, effective • Inter departmental clashes may arise

and efficient planning and execution is • Feeling of subordination may hamper the

possible achievement of organisational goals

❖ Divisional organisational design – works on the principle of grouping of people based on

similarity of purpose. Its main features are:
• Formal groups are made by clustering people with diverse occupational specialties
• Divisions of departments are as per their product or service outputs
• This design is generally found in large organisation
• Heads of departments are mainly concerned with results and resources
• The design is pro-change
• Division of work make goals achievable
• Monitoring of progress is easy

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 Divisional Structure of an Edu. Institute
Service
Director Based
divisional
structure
Consultancy
Education & Instructional
Research and and
Training Material
Development Community
Programmes Development
Services

Customer
Director
divisional
structure
Industrial Foreign
Fresh Students Community
Manpower Students
Training Training
Training Training

Geographic
Director
divisional
structure
Western Northern Southern
Eastern Region
Region Region Region

Fig. Divisional organisational design in an institution

The design, too have advantages and disadvantages, like:
Advantages Disadvantages
• Development of variety of skills in one • Not a cost-effective approach
department • Duplicity of resources or facilities for
• Ample autonomy to work without pressure each division
• Fast decision making and better operational • Differential allocation of resource lead
efficiency to conflict
• Diverse enrichment of head’s experience in • Duplication of activities waste time,
respect to their product or service energy and resources
• Make heads accountable • Lack of functional specialization leads
• Divisional head only being accountable to dissatisfaction of functional
• Gauging of performance measurement is specialists
possible

❖ Matrix organisational design- is based on grouping people in an institution on the basis of

their functions and divisions. Like:
• It makes a of functional & divisional structure

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 • It forms two chains of commands
• Provide provision of cross-functional teams
• Integrate functional expertise of many people
• Reporting to two authorities, a functional group and a team head
• Motivate people working in the department
• Proper technical and general management training with focus on functional areas

Matrix Structure President Functional

An example of an industry Structure

Vice President, Vice President, Vice President, Vice President,

Project Engineering Finance Production Marketing
Structure

Project
Manager,
I

Project
Manager,
II

Project
Manager,
III

Project
Manager,
IV

Subordinate reports to both VP of Marketing (above) and Project Manager IV

Fig. Matirx organisational design in an institution

The design, too have advantages and disadvantages, like:

Advantages Disadvantages
• Better cooperation • Two boss system leads to power clash
• Better problem solving • Task confusion by two sets of
• More flexibility. instructions
• Better customer service • Splitting of teams under two bosses
• Efficient performance accountability. will lead to loss of institutional
• Better strategic management objectives
.

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 ❖ Team organisational design– works on making groupings by elimination functional barriers.
It is characterized by:
• Formation of both temporary or permanent teams
• Teams work in harmony, improve horizontal relationships and solve institutional
problems in any department
• These teams are designated as “cross‐functional teams”
• Existence of effective relationships in an institute, without departmental barriers

Team-based structure of an
industry
President
Functional
structure
Vice President, Vice President, Vice President, Vice President,
R&D Design Engineering Marketing

Project Team Project Team Project Team

Project Manager, Manager, Manager,
teams Manufacturing Manufacturing Manufacturing
Product I Product II Product III

Project team
members

Fig. Team organisational design in an institution

The design, too have advantages and disadvantages, like:
Advantages Disadvantages
• Break down of intradepartmental barriers • Conflict of loyalties among faculty
• Faster decision‐making and response times members
• Employees are motivated. • Problem of time management
• Elimination of levels of authorities • Much time gets wasted in meetings.
• Its cost-effective Administration

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 ❖ Networking organisational design- is based on inter-organisational networking or “Virtual
Organisation”. It is featured by:
• Involve complex networking of institutions by computer connections
• Many independent institutions work in unison
• The working principle is hiring or delegating specialized role to specific institute
• Duties are on contract basis
• Distribution of specified duties with no duplication
• Accountability of role by each institution for its job

Network structure
Example of a personal computer company

Parts
Design Office:
assembly:
USA
China

Core of
Computer
Company
Engineering USA
Distribution
company:
Unit: Sweden
Germany

Accounting &
finance: India

Fig. Networking organisational design in an institution

Like other design, this too has some advantages and disadvantages. Like:

Advantage Disadvantage
➢ Small sized ➢ Unpredictability of supply
➢ Flexible in functioning, due to ➢ Lack of control over out-sourced agencies
independence ➢ Contractual workers may not be aware of

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 ➢ Reduction of overhead expenses actual institutional goals
➢ Easy to operate, owing to specific role ➢ Technical snags may interfere with target
➢ Specialized role of each institution dates
➢ Accountability is delegated ➢ Interpretation of date from multiple sources
in varied formats

Practice Test
Q1. Fill in the blanks:
a) The __________ of an educational institution is the formal arrangement of roles of faculty and staff
in a hierarchical way.
b) The organisational design should have a _____towards institutional improvement.
c) _________are age old system of administrative hierarchy, based on formal authorities, used to
delegate orderly, fair and logical instructions to subordinates.
d) An institution may have a __________ or a __________ structure.
Q2. Short questions
a) What is Organisational structure?
b) What do you understand by organisational design?
c) Define Bureaucracies.
d) Name three factors affecting Design of an institution.
e) What are the features of Organic structure (mention any three)

Feedback
Ans. 1. Fill in the blanks
a) Organisational Structure
b) A holistic approach
c) Bureaucracies
d) Mechanistic structure, organic structure

Ans. 2 Short answers

Ans. a) The Organisational Structure of an educational institution is the formal arrangement of roles of
faculty and staff in a hierarchical way. It’s an institutional configuration showing relationships
amongst different departments and positions.

Ans. b) Organisation Design is a change in the organisational structure, showing its intension to
respond to change, incorporation of new ideas, techniques, procedures, approaches to have an edge
over in changing and challenging society.

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 Ans. c) Bureaucracies are age old system of administrative hierarchy, based on formal authorities,
used to delegate orderly, fair and logical instructions to subordinates. Such a set up has clear cut
division of roles, authorities, rules, promotional avenues, but based on competencies.

Ans. d) Factors affecting organisational design in an institute:

• Size of the institute
• Life cycle of institution
• Strategy of an institute

Ans. e) Features of organic structure

• It works better in dynamism and mutual cooperation
• It is based on cooperation of all members of an institution
• It has knowledge based heads or team leaders
• It is less formal in composition
• It is more flexible and less reliant on formal authorities

8.4.3Role of Responsibility, Authority and Delegation in

Institutional Effectiveness
➢ Delegation of Authority- means subletting your authority and powers downwards, from
superior to subordinates. It means that someone else is entrusted to do part/parts of your job.

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 In an education institution, the process of delegation starts from the top i.e. Director/Principal
who has the total responsibility for the achievement of institutional goals. In order to fulfill the
responsibility of accomplishing goals, he or she delegates the work to subordinates.These
subordinates can further assign some portion of it to their own subordinates and so on, if they find
that the work assigned to them by their superior is exceeding their “Span of Control”.Delegation
is the descending movement of formal authority from one superior to next subordinate(s) for the
completion of the given task.
In view of Koontz and O’Donnell:
❖ Delegation of authority is always result oriented
❖ Delegation of authority includes assignments of tasks
❖ Delegation of authority makes one responsible for task accomplishment
❖ Delegation of authority raise expectations from subordinates

➢ Management triad - of Authority, Responsibility and Accountability-

These three features in any educational institute revolve around one goal, achieving institutional
goals

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 •The legal right of superior to command his subordinates.
•The power and the right of a person to use and allocate resources
•The power to take decisions and give orders
•I should be clearly defined and not misused
•Flows downward in hierarchy
Authority – •Facilitates superiors to get the work from subordinates as per their directions, desires and expected goals
•It should be always bonded to responsibility

•An individual’s duty to complete allocated task

•Responsibility with appropriate authority leads to successful accomplishment of tasks
•Responsibility flows in ascending manner, from bottom to top.
Responsibility •It lies more with middle level and lower level managements.
–

•It’s an explanations for any gap between actual performance and desired expectations
•It comes naturally with delegation and arise from responsibility
•Ultimate accountability always lies with top authority like director or principal
•Accountability cannot be delegated.
Accountability •It cannot be escaped
•E.g., ‘X’ is given a task with sufficient authority, and she delegates this to ‘Y’ and asks her to ensure that task
– • is done well, responsibility lies with ‘Y’, but accountability still lies with ‘X’.

➢ Principles of Delegation:are theguidelines for effective delegation of authority in an

institution. It should have following characteristics:
❖ Functional Clarity: there has to be an absolute clarity from senior to subordinate
about three main aspects of task: what to do, why to do and how to do?
❖ Matching Authority with Responsibility:Authority and responsibility are
interlocked; hence it is very important to check that subordinates are given enough
authority as per their capabilities to perform the delegated tasks. There should not be
any mismatch between the delegated authorities, assigned responsibilities and
personal capabilities.
❖ Unity of Command:“Unity of Command” makes a clear bridge between a
subordinate and one superior. There should be single voice to control, means that
subordinates should be answerable or accountable to a single authority who has
delegated him or her authority to perform a set of tasks/.

117
 ❖ Principle of Communication:The line of communication between seniors and
subordinates should be clear and live to avoid any kind of misunderstanding. No
instructions should have a generalised format. There should be an absolute clarity
and boundaries of delegated authorities and responsibilities. There should be an open
communication to have regular flow of feedback.
❖ Responsibility not Delegatable:Responsibility always lies with top administrator, in
the accomplishment of any project. So it cannot be delegated to subordinates. While
delegating authority, it becomes job of the superior to choose capable subordinate to
whom clear and achievable goals are given. After delegating authorities, he or she
cannot turn a blind eye towards the progress and accomplishment.
❖ Limits of Authority to be Well Defined:To avoid any ambiguity in delegating
authorities, there should a well documented administrative manual to be followed in
an institution that can give clear guidelines to delegators the scope and extent of
authority he or she can give to subordinates.
❖ Principle of Management by Exception:To undertake each and every task,
delegation of authority is not necessary. Certain activities, for which the senior
people of the organisation have their specailised niche, must not be delegated. To
reduce the physical and mental load to superiors, the subordinates must try to develop
their own problem solving attitude. This will prepare them to face higher challenges
and responsibilities and ultimately growth on an institute.
➢ Process of delegation-occurs by following given three steps:

1. Assignment of tasks and duties

2. Granting of authority
3. Creating responsibility and accountability

❖ Assignment of Duties–is the most important role of any senior person of an institute
for which following points should be taken care of:
• Proper definition of tasks and duties
• Matching of task given with capability of subordinate
• Clarity about expected outcome
❖ Granting of authority–is very important for the execution of any task. Extent of
authority depends upon the level of senior in administrative hierarchy. It can take
place by:

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 • Division of authority of senior faculty of head of the department or institution
with the subordinates.
• Delegation of enough independence to undertake the given task
• Appropriate division of powerto get effective results from the subordinates.
❖ Creating Responsibility and Accountability– while delegating powers a sense of
obligation, responsibility and accountability has to be inculcated amongst
subordinates. These three aspects are interlinked. It is charaterised by:
• Responsibility cannot be shifted
• It gives effectiveness to authority

•delegation of powers
Responsibility •obligation of an
by senior faculty individual to work as
•obligation of an
downwards to per standerds of the
individual as per
undertake task institute
insturctions given by
senior faculty

Authority Accoutability

Fig. Interrelationship between authority, responsibility and accountability

For maximum efficiency and quality growth of an institute, it is mandatory to design an

appropriate system to execute the delegation process. In order to make it unambiguous
the delegate’s role should be clear in terms of his responsibility and accountability.
➢ Advantages of Delegation:in an institute results in its efficiency and qualitative growth,
by:
❖ Effective functioning • Division of work load of senior faculty
• They get ample time for jobs like policy
planning, co ordinations, leaderships etc.

119
 ❖ Quick decision making: • Subordinates with qualities like willingness,
competence and knowledge can hasten the
process of decision making, as they are also
authorized to take decisions
• Timely decisions are taken
❖ Reduction in managerial • Reduce routine work load of senior faculty
load • Reduce routine minor duties of senior faculty
• Senior faculty gets time to perform major and
important responsibilities
❖ Specialised Service: • Delegation of authority enable harnessing of
specailised skills, knowledge and expertise of
subordinates
❖ Enhanced Motivation: • Delegation of authority boost motivational level
of subordinates
• They feel proud of being assigned authority and
responsibility
• Develop positive attitude, team work culture,
dedications and responsible temperament
❖ Employee development: • Delegation of authority and responsibility
encourage subordinates to undertake new and
more challenging tasks.
❖ Training Ground for • Delegation of authority help the subordinates to
Executive Ability: learn the ability of critical analysis of situation
during task execution and decision making
which will help them in future
• Make them capable candidates to work at higher
level in management
➢ Barriers to Delegation:
Many a times there has been seen reluctance in giving and accepting delegation of authority
and responsibility from both sides, from senior faculty or heads and subordinates. Various
reasons for this reluctance are:
❖ Reluctance of senior faculty or heads-
• A feeling of superiority amongst them

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 • Underestimation of subordinate’s capabilities
• Lack of patience amongst them, as delegation process is time consuming and lot
of time is to be invested for explaining, supervising and correcting
• Lack of trust and confidence in subordinates, as he or she is ultimately
accountable
• Incapability to coordinate subordinates
• Feeling of insecurity, fear of loss of power, fear of completion from subordinates
• Lack of control system in the institute to provide early warnings and corrective
measure, if need be

❖ Reluctance of Subordinates:
• Lack of confidence to accept additional responsibilities.
• Fear of criticism or dismissal in case of wrong decision
• Lack of incentives and appreciations
• De-motivated subordinates
• Unavailability of adequate information and resources

➢ Guidelines for Effective Delegation:

The following guidelinesmay help an institution in effective delegation of authority:
Type of task to be delegated: ✓ Tasks requiring minor decisions
✓ Repetitive occurring tasks
✓ Demanding and challenging tasks, as these may lead to the
development of subordinates
Complete and clear delegations: ✓ What, why and how of the task should be clear and precise
✓ Instructions should be clear to avoid repetition of instructions
To whom task must be ✓ Clarity of vision of senior faculty while delegating a task
delegated?: ✓ Based on competency, appropriateness and relevance of
subordinate
✓ Availability of time with subordinate
Provide sufficient resources: ✓ For effective delegation of task, provision of necessary and
suitable resources are required
Provide relevant information: ✓ Provision of all the relevant information on the task help in clear
understanding of action plan and its expected outcome

121

Establish a feedback system:
✓ Clarity of vision and goal leads to free and open communication
✓ Feedback gives checkpoints
✓ Feedback keep superiors aware of progress of the assigned task
✓ Feedback help the seniors to offer advice or mid course
adjustments

Thus, by following some specific guidelines while delegating authority to faculty and staff at
varied levels in its hierarchy, the efficiency and effectiveness of any educational institution can be
attained. It will keep the employees motivated and enhance their level of sincerity and dedication
towards the objectives of the institution.

Practice Test
Q1. Fill in the blanks
a) ____________ means sub letting your authority and powers downwards, from superior to
subordinates.
b) __________ , ____________ and ____________ in any educational institute revolve around
achieving institutional goals.
c) Subordinates should be answerable or accountable to a single authority who has delegated him, this
is nothing but ____________.
Q2. Short questions
a) What is delegation? State the features of delegation
b) What do you understand by Matching authority with delegation?
c) "Responsibility cannot be delegated"- Comment.
d) Give the steps of delegation.
e) Enlist four main advantages of delegating.

Feedback
Ans. 1. Fill in the blanks

a) Delegation of Authority
b) Authority, Responsibility and Accountability-
c) Unity of command

Ans. 2. Short answers

Ans. a) Delegation of authority means sub letting your authority and powers downwards, from superior to
subordinates. It means that someone else is entrusted to do part/parts of your job. It features are:
• Delegation of authority is always result oriented
• Delegation of authority includes assignments of tasks
• Delegation of authority makes one responsible for task accomplishment

122
Ans. b) Matching authority with delegation means that authority and responsibility are interconnected
with each other, hence it is very important to check that subordinates are given enough authority as per
their capabilities to perform the delegated tasks. There should not be any mismatch between the
delegated authorities, assigned responsibilities and personal capabilities.

Ans. c) Responsibility always lies with top administrator, in the accomplishment of any project. So it
cannot be delegated to subordinates. Only authority can be delegated not responsibility.

Ans. d) Steps in the delegation process:

• Assignment of tasks and duties
• Granting of authority
• Creating responsibility and accountability

Ans. e) Delegation helps in

• Effective functioning of the institution
• Quick decision making
• Reduction in managerial load

Conclusion
In today’s scenario, every institution has to show a competitive edge by using its resources to the
maximum. Organising is the best way to achieve this goal. Based on the objectives of an institution,
institutions can design their organisational structure. This structure should have clearly defined lines of
delegation of authority linked with responsibility and accountability so that every member of the
institution is clear what to perform and within which boundaries, leading to the enhancement of
institutional affectivity.

Bibliography:
1. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.
2. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.
3. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and application.
USA: Harper and Row Publisher.
4. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.

123
 5. Rue, LW and Byars, LL (1995). Management - skills and application. 7th Edition. Chicago:
Irwin, 350- 366p.
6. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.437-468p.
7. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata McGraw-Hill
Publishing Company Ltd., 208-222p.
8. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational Behaviour,
7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
9. https://www.cliffsnotes.com/study-guides/principles-of-management/organizational-design-and-
structure/five-approaches-to-organizational-designFive Approaches to Organizational Design,
Houghton Mifflin Harcourt
10. https://www.managementstudyguide.com/organizing_importance.htmImportance of Organizing
Function
11. https://www.managementstudyguide.com/importance_of_delegation.htm Importance of
delegation

Supportive learning material: by Dr. Rakesh K Wats

Videos on:

• Organising : Concept & Process

• Organizational Design and Structure
• Role of Responsibility, Authority and Delegation in Institutional Effectiveness

Web resources:

• Organizing Function of Management https://www.youtube.com/watch?v=3yVsOSbbPhc

• Organizing - Concept & Process https://www.youtube.com/watch?v=PDvkj7zBiOw
• Organisation Structure - Line & staff, Functional, Committee
https://www.youtube.com/watch?v=dXHPqYGWIkg
• Meaning, Process and Types of Organisational Structure |#1| Organising
https://www.youtube.com/watch?v=XrmJG_8d9Cg
• Delegation of authority | organising | https://www.youtube.com/watch?v=Tsj9EcAWwnE

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 UNIT 8.5

ORGANISING: PARTNERING FOR SUCCESS

Contents Page No
Broad Objective 3
Learning Outcomes 3

Introduction 3
8.5.1Working in Teams for Projects and Programmes 4
➢ Understanding Team
➢ Team
➢ Difference between group and team
➢ Team members
➢ Team size
➢ Team Development
Practice Test 8
Feedback 8
8.5.2 Building Effective Teams 9

125
 ➢ Characteristics of a good/effective team

➢ Team models

➢ Types of Teams

➢ Team Work - Meaning and Tips for better Team Work

➢ Steps for a better team work

➢ Factors Determining Success for Teams

Practice Test 15

Feedback 15
8.5.3 Networking And Partnering With Stakeholders 16
(Employers, Alumni, Community Etc.) For Success
➢ Networking and Partnering with Alumni
➢ Networking and Partnering with industry and
Potential Employers
Practice Test 19
Feedback 19
Conclusion 21

Bibliography 21

126
 UNIT 8.5:

ORGANISING: PARTNERING FOR SUCCESS

Author: Dr Rakesh K Wats
NITTTR, Chandigarh

Broad Objective
The broad objective of this unit is to make the
participants aware about the importance of
working in team for handling different projects
and programmes in an institution. Participants
shall also appreciate the role of networking and
partnering with stake holders for the success of
the institution.

127
Learning Outcomes
After going through this unit the learner will be able to :
• Understand the role of team work in the success of any institution.
• Identify different stages of team formulation in an institution and use the characteristics of an
effective team to make the process valuable for the institution.
• Understand team models and use the same for different projects and programmes of his own
institution.
• Understand the importance of networking and partnering with different stakeholders (employers,
alumni, community etc.) for making the institution responsive and up to date.
• Adopt different strategies for networking and partnering with different stake holders of the
system for enhancing the quality of the projects and programmes of the institution.

Introduction

In today’s scenario, when educational institutions are facing a lot of challenges due to diversity of
knowledge, when no individual is self sufficient to execute the assigned job, programmes and projects,
role of teams become very important. Team work brings in diversity of thoughts, opinions, experiences
and specializations, much needed for multifaceted projects and programmes of today. Understanding of
group dynamics is the important need of any educational institution. In addition to teaming for internal
efficiency, networking and partnering with external stakeholders of system is equally importantto
become responsive to their needs and expectationsof the quality output and recognized brand at the
national and international levels.

Through this unit, you, the learners shall understand the concept and importance of team work, team
dynamics, team models and characteristics of an effective team for handling various projects and
programmes in an institution. You shall also learn the importance of networking and partnering with the
alumni, potential employers, parents and society for enhancing the quality of services provided by the
institution by incorporating the interventions proposed by them.

8.5.1Working in Teams for Projects and Programmes

➢ Understanding Team -One is single but two ones make eleven. No single individual can perform
all tasks on his own, in spite of his best efforts. Team has always a multiplier impact on one’s
performance and efficiency.
➢ Team – can be defined as group of people with similar thought process, common goals and
interests, common objectives and line of action, and work in harmony. The members of a team
should have similar if not the same interests, working style, thought processes, attitude,
perception and likings.

128
➢ Difference between group and team- a group is a heterogeneous assemblage of people
having varied interests and goals or objectives, different working styles, and independent attitude
and thought processes. But the group of people with common goal to achieve makes a team. The
team members should always work together harmoniously and strive towards the achievement of
a common objective. Every group is not necessarily a team. E.g. in a cricket team, players with
different roles (batsman, bowler, wicket keeper, captain) have a common goal and play for a
common objective of winning. Teaming can be seen in entire animal kingdom
➢ Team members- people working in a group towards a well defined single aim are called team
members. Success of the team depends upon its members. The members of a team should have
following characteristics:
❖ They should be act in a complementary way
❖ They should work in unison and help each other
❖ They should not watch their personal interests on priority
❖ They should not argue with each other
❖ They should show egoistic behaviors
❖ They should do their best to achieve the team’s common objectives
❖ E.g. teams in an educational institute are admission, curriculum, research, placement
team etc.
➢ Team size- depends on the complexity of the task and the length of time till the task is to be
undertaken. Ideally, a team should consist of 5-10 members for maximum individual
contributions. More than 10, indicates more retiring members and dominated by a few
vociferous individuals. Too many members also lead to confusions and misunderstandings.
Less than 5, lacks combination of talents and ideas of a well balanced group.
Size of a team is dependent on the roles to be performed by the individual team members,
i.e. leader, specialist, achiever, player and challenger. One person can perform more than
role, or one role may be performed by more than one person, it is dependent on the quality of
objective to be achieved by the team.
❖ Leader: to lead the group towards a common objective
❖ Specialist: having expert knowledge of the area in which team is working
❖ Achiever: monitor the progress of work against targets and requesting team members
to act to achieve the objectives
❖ Team Player: concerned with the effectiveness of the team from the stance of inter-
personal relations
❖ Challenger: always questions assumptions and targets of the team.

129
➢ Team Development
Effective teams are a key to success in today’s competitive world. Efficiency of an institution
depends on the effectiveness of its teams. The employees of the institution remain motivated,
if work in harmonious teams. Teams are not permanent in nature. Teams have the potential to
immediately amass, organise, relocate, and disperse. Team development creates a captivating
atmosphere by encouraging co-operation, teamwork, interdependence and by building trust
among its members.

Stages of team development:

❖ Forming stage- is the budding stage of team formation, where the members are in
process of knowing and getting at ease with each other. The stage is charaterised by
following features where:
• Members are anxious and show wait and watch attitude
• Members lack clarity of goals, vision, expectations and respective roles
• They will have formal inter-personal relationships with less trust and openness
• Team prepares itself for operation or task to undertake
• Team writes its charter, mission statement, clarifies objectives and establishes
boundaries to work within
• Neither ideas are generated nor shared and polled
• Expectation from each member gets clarified
❖ Storming stage: is the one when team members begin to show their actual styles, other
features of the stage are:
• Pouring of new ideas to the accomplishment of goals
• Bit of conflicts also arise, sometimes due to mismatch of ideas
• Team undergoes fluctuation in its composition, as some members may drop out
mentally or physically.
• Recognition and publically acknowledgment will motivate the members are this
initial stage of working
• Strategic communication skills will help reducing tensions, irritations, frustrations,
impatience amongst team members
• Frequent meetings will help in discussing all minor and major issues to run smooth in
the times to come

130
 ❖ Norming stage: belong to conflict resolutions and it featured by:
• Mutual recognition of each other’s ideas and efforts
• Feeling of togetherness increases
• Get more socialized, may forget the focus and need to be trained
• Need regular encouragement, motivation, faithful and loyal to each other
• The stage is characterised by the feeling of “we: than “I” amongst members
❖ Performing stage- is the final and mature stage of self controlled performing people,
whose efforts need to be acknowledged and recognised. It has:
• Well trained, empowered people having self-problem solving capabilities
• Self-motivated people, capable of accepting new challenges
• Focused, performing, productive and loyal group of people with an absolute clarity of
goals

Practice Test
Q1. Fill in the blanks
a) A group of people with similar thought process, common goals and interests is called a
___________
b) Team size depends on the ___________of the task and the __________ till the task is to be
undertaken.
c) _______________ is the budding stage of team formation
d) Teams can be ___________ or ___________
Q1. Short questions
a)What are the characteristics of team members?

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 b) What are the characteristics of an effective team?
c) What are the stages of development of teams?
Feedback
Ans.1. Fill in the blanks

a) Team

b) complexity, length of time

c) Forming stage

d) temporary or permanent

Ans. 2. Short answers

a) Characteristics of team members are

• They should be act in a complementary way
• They should work in unison and help each other
• They should not watch their personal interests on priority
• They should not argue with each other
• They should show egoistic behaviors
b) Characteristics of an effective team are:
▪ A clear defined goal
▪ A results-driven structure
▪ Competent members
▪ Unified commitment
▪ Principled leadership
▪ A collaborative climate

c) Stages of team development:

• Forming stage
• Storming stage
• Norming stage
• Performing stage
8.5.2 Building Effective Teams

➢ Characteristics of a good/effective team

In today’s scenario, success in any institutional workplace depends on your ability to build a
team, as well as to interact with others on that team. Together, people are able to accomplish
what one person alone cannot. This is known as synergic effect.

Following are some of the characteristics of an “Effective team”:

❖ A clear defined goal: This is the goal which has been communicated to all.

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❖ A results-driven structure:The goal has been jointly decided by all the team members.
They all should be fully committed towards achieving it.
❖ Competent members: Each team member has the required skill set to achieve the team
objectives.
❖ Unified commitment: Nothing can be achieved working in silos. With the total
commitment from team members, achievement of institutional goals becomes easier.
❖ Principled leadership: Leadership defines a team. An able leader can chart the team’s
path to success
❖ A collaborative climate: Commitment from team members and an effective leadership
leads to a collaborative team with a productive work environment.
❖ Standards of excellence: Quality orientation is vital to the success of any institution.
❖ External support and recognition: Appreciation as well as timely appraisal is required
to keep the morale of the team high.
❖ Team goals are clearly understood by all: Communication is vital for achieving
successful completion of any project.
❖ Thinking out of box: Individual members have thought about creative solutions to the
team’s problem. Thinking out of the box is vital in today’s techno- economic scenario.
❖ Effective listening: Members are listened carefully as well as given a thoughtful
feedback. Listening to fellows and leader is an important skill for any team. The thoughts
and ideas of every member have to be listened to, with respect, no matter how silly they
may sound at first. Everyone is equal in the team, irrespective of the level of the
individual. His/her knowledge and skills are to be respected rather than his level.
❖ Understanding individual responsibilities: Everyone takes the initiative in order to get
the things done. There is no concept of passing the buck. This is an indication of clear
communication, leading to understanding of individual responsibilities.
❖ Each team member trusts the judgment of others: Mutual trust and respect is highly
important for the team. This is the only way to achieve institutional goals.
❖ The team has to be willing to take risks: Risk taking is an attitude which comes with
confidence. Confidence on yourself as well as on your team, besides the ability to face all
consequences is the basic foundation of success for a team.
❖ Supportive attitude: Everyone has to be supportive of the project as well as of others. A
team is one unit. Unless these cohesive forces are there, the team will never be able to
work efficiently enough.

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 ❖ Team decisions: Decisions are taken by using organised as well as logical methods.
Dissenting opinions are never ignored. In fact, they are always recorded in order to be
revisited in case the future situations dictate so.
❖ Teams are given realistic deadlines: Team working should be target oriented. External
support as well as aid is vital to the success of any team.

An efficient team needs support from both inside and outside. It needs to meet the individual
needs of its members in order to achieve the institution’s goals.

➢ Team models: effective teams are the principal building blocks of the strategy of any
successful institution, be it private, non-profit or government sector. Team always remains
central methodology in any institution working towards social service or quality or value or
efficiency or performance or any other similar goals. Alignment amongst the team members
often leads to harmonization, complementarities of action and thought, quicker and better
achievement of expected outcome.

There are various types of teams, like:

❖ The Traditional Model-

• Has a traditional boss, who shares part of his responsibility and authority, based on
the type of issues and assignment
• Other person of the team can take the role of boss under selective situations
❖ The Team Spirit Model-
• Has one boss and team members work under his directions
• There seems perfect harmony and team spirit
• There is no sharing of authority or responsibility, hence no true team exists in real
sense
❖ The Cutting Edge Model-
• Self-directed work team
• No single authority
• Team members are managing themselves.
• Eachmember has the authority as well as responsibility and capable to undertake any
decisions required.
❖ The Task Force Model-
• Task force is also called committee

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 • Here a group of people comes together only for a specific time
• The group is designed to work on a special project or a task.
• The group may also include quality circles as are used in TQM efforts.
❖ The Cyber Team-
• Also known as “ Virtual team”
• Membersrarely meet each other;even do not see each other at all, except at the
beginning of the project.
• Members interact via e-mail, telephone or through video conferencing only.
• Very popular amongst techno oriented educational institutions
• Best way to work with distant placed team members, nationally and internationally
• Help the partners in optimum utilization of costly resources for mutually beneficial
gains.

It is important to decide the kind of models, teams in your institution fits in order to achieve
the institutions’ goals.

➢ Types of Teams

In every institution, there are varieties of projects, small or big; simple or complex; short term
or long term. In order to accomplish them with total success a few or too many employees are
to work together, in well set harmony, complementing each other’s role. Depending upon the
need, teams can be formed anywhere, anytime, of any size and type.

Various types of teams are:

❖ Permanent teams-don’t get dissolved even after the particular assigned tasks are over
for which these teams were designed. E.g human resources teams, operation teams,
administration teams always function effectively throughout the year and hence are
permanent teams.
❖ Temporary teams –most of the times, teams are raised to help and assist either
permanent teams or the members of permanent teams are busy or on leave. Such teams
lose their importance and existence, once the task is accomplished. This kind of set up is
formed, when some important and time bound assignment is to be accomplished by the
institution.

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 ❖ Task Force - are formed for a special purpose or project or finding a solution to a very
critical issue/problem.The task force works on fire footings,explores all the possible
means to resolve the problem within a given deadline.
❖ Committee–is formed of a group of people with common interests, more or less from the
same academic, technical and experience background, attitude placed together on a
common platform to undertake a particular assignment. The committee can be of
permanent or temporary nature. E.g. cultural or sports or academic or discipline or
admission or examination committee.
❖ Work Force – group of people working under the guidance of expert constitute a work
force. Team selects its own leader amongst themselves and all work for a common goal.
Leader own responsibility, try to keep team motivated to get the best out of all, avoid
conflicts, appreciate one and all
❖ Self Managed Teams –is a team, where there is no boss or leader or supervisor, every
member is responsible and accountable to himself for his performance. Such a team
works on the principle of faith, confidence, respect and self accountability
❖ Cross Functional Team –has people from different areas, working for a common
objective. Such teams can come out of novel solutions of problems as they think
differently, pool knowledge from their own interest areas, join their heads and hands to
work most effectively and efficiently
❖ Virtual Teams –has distantly placed people but wirelessly connected. Institution and
people have technical edge work by making such teams.

➢ Team Work - Meaning and Tips for better Team Work

The collective efforts by the team members undertaken to achieve of the team’s objective are
called team work. Though there is a predefined role of each and every individual in a team
but individual performances do not count in a team and it is the collective performance of the
team members which matter the most. In a team, everyone has to work equally for the
maximum output. The best team work is based on some qualities of team members like
healthy interpersonal relationships, hard work, commitment, adjustable and flexible nature
etc.
➢ Steps for a better team work:

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❖ Think about your team first - Every individual should think of his team first than his
personal interests. Do not mix your personal issues with your professional life. Keep
them separate.
❖ Never underestimate your team member- Do not neglect any of the members, instead
work together and also listen to each other very well. Never try to impose your ideas on
any member. Avoid downgrading any team member.
❖ Discuss - Before implementing any new idea/decision, it must be discussed with each and
every member on an open platform. Never ever discuss with anyone separately as the
other person may feel left out and reluctant to perform and contribute to the team.
❖ Avoid criticism - Stay away from negative criticism and making fun of your team
members. Help each other and be a good team player. Be the first one to break the ice and
always create a friendly environment. If you do not agree with any of your team
members, make him understand his constructively and in a polite tone. Avoid negativity
within the team.
❖ Transparent and effective communication - The communication must be effective,
crystal clear and precise so that every team member gets a common picture. Effective
communication also nullifies misunderstandings and confusions. Confusions lead to
conflicts and individuals waste their time and energy in fighting rather than working.
❖ Quality leadership - The team leader must take the responsibility of encouraging the
team members to give their level best and should intervene immediately in case of
conflict. The personality of the leader should be such that every team member should
look upon him to take his advice whenever required. He should not be partial to any
member. It is the duty of the team leader to extract the best out of his team members.
❖ Understand your team members- For better team work try to understand your team
members well. Do not just always talk business, it is okay if you sometimes go out with
your team members for lunch or catch a movie together. It improves the relations and
strengthens the bond among the team members. The team members must trust each other
for maximum output. Always try to remember the scene of the movie” 3 Idiots” where
the coach takes his quarreling women hockey team members for eating in a food joint.
❖ Avoid conflicts in your team- Don’t fight over petty issues and find faults in others. One
should be a little adjusting with each other and try to find an alternative best suited to all
the team members.
❖ Rewards and Recognition - Healthy competition must be encouraged amongst team
members. The performance of team members must be evaluated timely and the best

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 performer should be rewarded suitably so that the other members also get motivated to
perform. Recognitions like “The Best Team Player” or the “The Best Performer” go a
long way in motivating the team members.

➢ Factors Determining Success for Teams:

There are many factors that ensure a team’s success or failure. Among them, the three most
important factors are:

❖ Nature of Leadership:It is always said, “A team is as good as its leader and a leader is
as good as the team”. There cannot be good leaders without good team and vice versa.
Thus a leader should not be selected on the basis of seniority only but his hard skills,
competencies along with soft skills necessary to handle the tasks successfully.
❖ Team Collaboration: when team members’ work for individual goals, neither the team
can win nor the institution can rise. Goals of team should be treated above personal ones.
In this situation, it becomes sole responsibility of team leader to formulate strategies to
make a clear understanding between team collaboration and competition.
❖ Empowerment of team members:successful teams are those where the individual
member can act independently, decide on his own and should have freedom to take
decisions in the interest of institution. He should act as a leader in his own way and of
himself. Hence, a good leader and an effective institution would ensure that the “boots on
the ground” are empowered enough to act as the representatives of the team or the
institution

Practice Test

Q 1: Fill in the blanks:

a) Effective teams are characterised by ------- goals and -------members.
b) Creative solution comes, when members of effective team think ------- box.
c) In ---- teams, members don’t not come in direct contact with each other
Q II. Write short questions:
a). Write characteristics of different types of “Team Models”.
b). Classify teams on the basis of their longevity.
c). What are various factors determining the success of a team?

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Feedback

Ans-1 Fill ups

1. Clearly defined, committed
2. Out of
3. Virtual
Ans. II.
a). Various team models are:
• The Traditional Model
• The Team Spirit Model
• The Cutting Edge Model
• The Task Force Model
• The Cyber Team Model
b). Classification of teams on the basis of their longevity:
• Permanent team- don’t get dissolved after the task gets finished
• Temporary team- raised for short while, till the particular task for which the team has been
raised , is going on.
c). Factors determining success of team:
• Nature of leadership
• Team collaboration
• Team members empowerment

8.5.3 Networking And Partnering With Stakeholders (Employers,

Alumni, Community Etc.) For Success
“The richest people in the world look for and build networks; everyone else looks for work. Marinate on
that for a minute.” – Robert Kiyosaki

The distance between you and your goal can diminishes with the company and guidance of appropriate
people. The proximity level to successful people correlates to your own individual success. Successstories
of any individual or institution are determined by not only connect with successful people but

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the right people who will help catapult you to achieving your personal and professional goals. So it’s
crucial to grow your network and overall circle of influence.

There are two kinds of stake holders of educational institution, internal (teachers, other officials and staff)
and external (alumni, potential employers, industry and society in general).Involvement and contribution
of these external stakeholders behave as potential helpful groups in today’s socio-economic scenario
when customers’ demands are changing, market is changing from sellers to buyers, technology, processes
and products are also changing at a split of a second. The role of these stakeholders become extremely
vital for an institution to stay relevant, competitive and abreast. Networking and partnering with these
stakeholders can prove to be a valuable asset for the institutions.

➢ Networking and Partnering with Alumni- “An institution succeeds, if its alumni succeeds”,
a single line clearly indicates that creating an engaged and supportive alumni network is crucial
for an institution’s success. After the completion of graduation, alumni leaves the institution and
remain ignorant about their own institute, it’s the line of communication of networking with them
can keep them aware of institutional information, its strengths and weaknesses in current
scenario. It is essential for the rise of institute that, they should be kept informed so that they can
remain engaged and keep abreast on the progress of the institution. Good alumni relationships
bring many benefits to both the institution and the alumni. Various roles, alumni can play for the
institutes are:
❖ Institutional supporters-As graduates of the institution, alumni have a special connection
with the institution and as a result are likely to be some of its more loyal supporters. An
engaged alumni network allows the institute to benefit from the skills and experience these
people have, by offering their support to the students and the institution. If we keep them
properly informed and involved, they are the most loyal supporters and best brand
ambassadors, offering invaluable marketing and promotion across their personal and
professional networks.
❖ Expertise: Talented alumni will likely have a wealth of experience and skills to share with
current students via talks and newsletters. In certain cases, this could go even further with
alumni offering to practically support students in work placements and help them launch their
careers. They always want to “give back” to the institute by coming back and sharing their
experiences, giving right guidance to prospective and current students.
❖ Global partners: many a times alumni can acts as international brand ambassadors and help
out or facilitate current student’s placements, they can also help the institute in getting foreign
faculty and experts to enrich it.

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 ❖ Mentors: by acting as role models, alumni can also be asked to offer practical support to
fresh carrier entrants.
❖ Counseling and networking: with distinguished alumni can help current students in their
career path and will benefit the institute too n getting new feathers in its cap.
❖ Employability: Alumni can be asked of bringing real world corporate exposure for current
students where the students can be enriched with from the experiences of their seniors in
terms of job trends;skill sets required, referrals etc.
❖ Financial help: as alumni always feel immense gratitude for their alma mater, wants to stay
connected with it, look ways to give back, hence with pleasure in raising funds for the
improvement and up gradation of infrastructure for teaching and pioneering research.

From above, it is quite clear that alumni have to play a very important role in the success of their
alma mater. Their engagement and whole hearted involvement in the affairs of an institution can
really make a difference in the stature and quality of the institution. Different means need to be
adopted for this depending on their skills, interests and where they are currently in their life. Even
a small gesture like a birthday e mail can make them realise that the institution still thinks of
them. With this techno savvy generation, use of social media, with photos, quotes, motivational
stories from the past can be quite popular. Celebrating the successes of alumni, dedicated alumni
blogs sharing alumni stories, triumphs and news can connect them with the institution. e-
netwoking system can be another innovative way in this direction.

Innovative, tech-friendly advances like the examples given above are likely to appeal to
millennial and are increasingly becoming important now as millennial now make a significant
portion of today’s alumni. A very meaningful line says about the importance of the alumni, “The
sense lies in making alumni a part of the institute’s future and not just its past”

➢ Networking and Partnering with industry and Potential Employers

Industry and academia have a symbiotic relationship. Industry looks to academia for qualified
candidates to add to its workforce, while educational institutions admit the brightest minds with
the promise of gainful employment. Curricula are often altered and customized to prepare
students for challenges after graduation and to suit the needs of industry. Academic research
impacts industry, and in some cases, receives funding from it.

Despite these interconnections, a gap exists between the two due to differences in their
approaches, missions, and customers. To bridge the gap, there is a great need to bridge

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 partnerships from both sides for mutually beneficial gains. Some of the ways to enhance the
collaboration between the two are:

❖ Collaborative research and development projects between industry and academic institutions

❖ Facilitating easy mobility of personnel among institutes, R&D laboratories and industry
(including R&D institutions connected with industry)

❖ Promoting institute-industry linkages by diverse means, including adjunct positions for

necessary personnel;

❖ Involvement of industry in multi dimensional academic assignments like finalizing skill set,
up to date curriculum, industry supported labs, industrial internships etc.

❖ Involvement of faculty and students in industrial problem solving and training of manpower

❖ Using academic labs as incubators for long-term and exploratory research. Academic
incubators are strategic areas designed by institutes to promote entrepreneurship, innovation,
and research. The incubators are spaces for exchanging new ideas and collaborating on
projects, as well as effective tools for workforce development. Industry can look to the
startups and research projects developed in these incubators as valuable investment
opportunities.

From above, it can be summarised that the relationship between both the partners is of
interdependence. Institutions need to adopt innovative strategies to engage industry and potential
employers for its success and socio economic development of the country.

Practice Test

Q1. Fill in the blanks

a) A group of people with similar thought process, common goals and interests is called a
___________

b) Team size depends on the ___________of the task and the __________ till the task is to be
undertaken.

c) _______________ is the budding stage of team formation

142
 d) Teams can be ___________ or ___________

Q1. Short questions

a)What are the characteristics of team members?

b) What are the characteristics of an effective team?
c) Name the various teams models
d) What are the factors determining success of teams?

Feedback

Ans.1. Fill in the blanks

a) Team
b) complexity, length of time
c) Forming stage
d) temporary or permanent

Ans. 2. Short answers

a) Characteristics of team members are

• They should be act in a complementary way
• They should work in unison and help each other
• They should not watch their personal interests on priority
• They should not argue with each other
• They should show egoistic behaviors
b) Characteristics of an effective team are:

▪ A clear defined goal

▪ A results-driven structure
▪ Competent members
▪ Unified commitment
▪ Principled leadership
▪ A collaborative climate

c) Various team models are:

• The Traditional Model
• The Team Spirit Model
• The Cutting Edge Model
• The Task Force Model
• The Cyber Team

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 d) Factors determining success of teams
• Nature of Leadership
• Team Collaboration
• Empowerment of team members

Conclusion: from the above content it becomes evident that an institute can scale any height if the
employee of the institute are adhered together as an effective team and the leaders have also delegated
them enough authority to take decisive steps for the progress and achievement of institutional goals.
Institutional goals and objectives can also be met by establishing meaningful relationships with its
stakeholders like alumni, potential employer, community etc.

Bibliography:
1. Arrey, O.B., 2014. Team Building as an Organization Development Strategy. Global Journal of
Management And Business Research.
2. Carnegie, D., 2017. How to win friends & influence people. e-artnow.
3. Committee on Guidance on Implementing the Next Generation Science Standards; Board on
Science Education; Division of Behavioral and Social Sciences and Education; National Research
Council. Guide to Implementing the Next Generation Science Standards. Washington (DC):
National Academies Press (US); 2015 Mar 27. 7, COLLABORATION, NETWORKS, AND
PARTNERSHIPS. Available from: https://www.ncbi.nlm.nih.gov/books/NBK285705/
4. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.
5. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.

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 6. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational Behaviour,
7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
7. https://www.academia.edu/23444478/Assignment_No_-
2_Organizational_Development_Interventions-
_Team_Building_Activities_Organization_Development Sana Parveen Assignment No: - 2,
Organizational Development Interventions- Team Building Activities
8. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and application.
USA: Harper and Row Publisher.
9. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
10. Rue, LW and Byars, LL (1995). Management - skills and application. 7th Edition. Chicago:
Irwin, 350- 366p.
11. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.437-468p.
12. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata McGraw-Hill
Publishing Company Ltd., 208-222p.

Supportive learning material: by Dr Rakesh K Wats

Videos on
• Working in Teams for Projects and Programmes
• Building Effective Teams
• Networking and Partnering with stakeholders (Employers, alumni, Community etc.) for
Success

Web resources:

• Why Team Building is Important !! https://www.youtube.com/watch?v=H_vOfqIpD60

• Type of Teamwork https://www.youtube.com/watch?v=hf3C5rci_z4
• How To Build A Winning Team - 5 Best Team Building Practices | Robin Sharma
https://www.youtube.com/watch?v=ckEOQKmZPlI
• Build a great TEAM - Steve Jobs Rule #5 of 10 https://www.youtube.com/watch?v=r3c7uAJRx3U
• Success Mantra for Effective Team Building
• https://www.youtube.com/watch?v=G_r5SvYGbmg
• 5 Golden Rules for building a Great Team https://www.youtube.com/watch?v=CYRpK9HBlIY

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146
 UNIT 8.6
INSTITUTIONAL MANAGEMENT PROCESS: STAFFING
WITH RELEVANT HUMAN RESOURCES
Content Page No
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.6.1 Staffing - Concept & Process 4
➢ Definitions of Staffing
➢ Nature of Staffing Function
➢ Importance of staffing
➢ Process of staffing function
Practice test 9
Feedback 9
8.6.2 Recruitment & Selection (Rules & Regulations) in 10
Educational Institutions
➢ Types of Recruitment
➢ Process of Recruitment
➢ AICTE in its gazette notification, dated March 1, 2019:
➢ Employee Selection Process
➢ Selection Process
➢ Orientation and Placement
➢ Constitution of Screening cum Evaluation / Selection
Committee
➢ Selection Proceedings
➢ Selection Committee Composition for Assistant Professor,
Associate Professor and Professor both for Direct
Recruitment and Promotion
Practice test 27
Feedback 28
8.6.3 Training & Development (Rules & Regulations) of faculty 29
and staff
➢ Need of training
➢ Importance of training
➢ Training is given on four basic grounds

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 ➢ Features of training and development process
➢ Broad objectives of a training programme
➢ Benefits of training
➢ Methods of training
➢ Types of trainings
➢ Planning for training
➢ Guidelines for the development of training program
➢ Training and development Programmes for Faulty
/Teaching Staff
➢ Mandatory Teacher Trainings
➢ Training Requirements for Promotions of Teachers from
all the Disciplines
Practice test 36
Feedback 36
Conclusion 37
Bibliography 37

UNIT 8.6
INSTITUTIONAL MANAGEMENT PROCESS: STAFFING
WITH RELEVANT HUMAN RESOURCES

148
 Author: Dr Rakesh K Wats
NITTTR, Chandigarh
Broad Objective
The broad objective of this unit is to make the
participants about the process of staffing the
institutions with relevant human resources (faculty
and staff).Participants shall also be aware about the
rules and regulations of Government and statutory
authorities about the above procedures.

Learning Outcomes
After going through this unit the learner will be able to :
• Appreciate the importance of staffing and its role in providing relevant human resources in an
institution.
• Identify the steps involved in the process of staffing in an institution.
• Understand the concept of recruitment and selection and identify different types and sources for
recruitment
• Use appropriate process of staffing in his own institution for facilitating the recruitment of
faculty/staff.
• Appreciate the need and importance of training in developing up to date faculty and staff.
• Identify different types of training and their applicability in different situations.
• Understand rules and regulations of Government and statutory authorities for recruitment and
selection and training and development of faculty and staff in technical institutions.

Introduction
Competent and adequate human resource is the life line of any institution. For this institutions adopt
varied practices and spend a big fortune first for their recruitment and selection, and then for their training
and development. Thus, staffing function of the institutional management is a highly professional
phenomenon for placing right type of people at right place and in right time. Right type of people help an
institution in raising its bar of excellence.

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This unit covers the basics of staffing function in terms of its concept, nature, importance and process in
any educational institution. Basics of recruitment and selection process and the rules and regulations of
government and statutory authorities governing the same are also important inputs of this unit.
Fundamentals of Training and development and its process which are very important for the faculty and
staff of any institution for keeping them up-to-date is the important contribution of this unit.

8.6.1 Staffing - Concept & Process

The institutional performance mainly depends on the quality of its faculty and staff who are its most
important asset. The faculty and the staff working in an institute supply the talent, skills, knowledge,
expertise and experience to achieve the goals and objectives of an institute. Acquiring, deploying and
retaining such a work force is very crucial management function in an institute, so as to create a positive
impact on the effectiveness of the institution. This entire process is called as staffing. To make concept
clear, staffing can be taken as “putting right people at the right positions and at the right time”.
Staffing is a continuous process in every institute. Sometimes people leave the institute or institute fires
them or there is creation of new posts or seniors get retired. Hence the process of staffing is a never-
ending process in any institution.
Staffing in an institute can be defined in general, with the perspective of accomplishment of tasks
effectively and efficiently, as:-
• filling and keeping filled the positions
• identification of work-force requirements
• Making inventory of the people available
• Recruitment, selection, placement, promotion, appraisal, planning the careers, compensating,
training, developing existing staff or new recruits
There are four main building blocks for the staffing function in any institution:
• Division of work
• Departmentalization
• Hierarchy establishment
• Coordination

➢ Definitions of Staffing: as given by the different management experts are-

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 ❖ Koontz and O’ Donnell- “The managerial function of staffing involves manning the
organisational structure through proper and effective selection, appraisal and development of
personnel to fill the roles designed into the structure.”
❖ Theo Haimann-“Staffing relates to the recruitment, selection, development, training,
compensation of subordinate managers.”
❖ McFarland-“Staffing is the function by which managers build an organisation through the
recruitment, selection, and development of individuals as capable employees.”

➢ Nature of Staffing Function

❖ Important managerial function- planning, organizing, directing and controlling are four
important managerial acts and all these depend upon the manpower which is made available
through the staffing function.
❖ Pervasive activity-or extensive activity, carried out by all levels of managers in each and
every institute.
❖ Continuous activity-transfers, promotions, retirements, firing, evolution of institute, popping
up of new challenges, generation of new posts make staffing function continues and life long
process
❖ Efficient management of personnel- a proper procedure of recruitment, selection,
placement, training and development, providing remuneration can be efficiently managed by
human resources only.
❖ Placement of right men at the right job- proper recruitment procedures followed by
selecting the most suitable candidate as per the job’s requirements will enable each staff to fit
into its own square hole.

➢ Importance of staffing:

❖ It helps in getting right people for the right job at the right time.
❖ It enables the management to understand qualitative as well as quantitative requirement
of employees with desired qualifications and experience.
❖ It enhances institutional productivity which can be further stepped up through proper
training of staff
❖ Regular training and development programmes for staff improves their efficiency and
effectiveness that gives them a feeling of employment assurance and scope of promotions
and finally boost up their morale

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 ❖ Recruitments, selections, appraisals, promotions in staffing have to follow harmoniously
decided and uniformly communicated procedures. This action fosters peace and harmony
in an institute
❖ Optimum utilisation of man power in staffing results in cost effective approach of an
institute
❖ It facilitates the continuous growth, survival and diversification of the institution.

➢ Process of staffing function

The process of staffing consists of the following steps (Fig 1)

Fig. 1 Process of staffing function

❖ Manpower planning –

• Involves calculating and forecasting manpower requirement of the institution.

• It is the quantitative and qualitative measurement of work force.
• It creates and evaluates the manpower inventory after analyzing the required skills amongst
the existing employees through their promotion and advancement.
❖ Recruitment –

• Recruitment is a positive process in which prospective and potential employees are searched
and excited to apply for the concerned job

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 • Invitation and solicitation of applications from the desirable candidates.
• Creation of application pool to open options for quality search from quantity
• Scientific and appropriate recruitment results in enhanced productivity, better salaries,
motivated and consistent employees with higher morale, and better institutional reputation
• It does not need specialised skill to recruit the employees

❖ Selection –

• Screening out of undesirable and picking up of the best candidates from the application pool
• It needs authorities with appropriate skills to find fit ones for jobs
• Aims for the best candidate selection
• Needs précised guidelines and a well planned selection procedure, designed for achieving
institutional goals through right selections.

❖ Placement and orientation –

• Selection is followed by appointment of selected candidates

• Placement of right person at right post
• Orientation or introduction of the appointed employees to make them familiar with the
structure and functions of the institution

❖ Training –

• Training of newly appointed employees to make them aware to the new developments
• Training is based on needs and goals of occupation/institute
• It helps the new appointees to get the deepest knowledge of their specialised niche
• In the absence of formal training, hits and trials by new appointed employees may increase
cost and risks

❖ Development–

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 • Well designed staffing policy helps in developing the employees to take higher
responsibilities
• Development helps in preparing the employees for variety of jobs
• It widens the outlook and enhances skills
• It opens gates for individual’s as well as institutional growth
• Reduces frustration and keeps new appointees motivated.
• Enhances their output

❖ Promotion –

• Upgrading an employee to a higher position

• Rank, prestige and/ or status gets enhanced
• Hike of pay, powers and responsibilities
• May lead to transfer to other departments with similar job profile

❖ Transfer –

• Movement of employees from one to another job without any increase in pay, status or
responsibilities.
• Transfer may place the employee in different work units/departments/ branches of the
institution.
• It may be coupled with promotion
• Employees get a chance to learn the intricacies of the functioning of different departments.

❖ Appraisal –

• Helps in judging the employee’s effectiveness, efficiency, aptitude and other qualities in
conducting his role in an institute
• Helps in keeping a track/record of the performance, behaviour, attitudes of the employees
while performing their job
• Helps in enhancing the efficiency and effectiveness of the employees
• It evaluates following attributes of an employee-
(i) Ability to do work (iv) Discipline and sincerity
(v) Managerial ability
(ii) Spirit of cooperation
(vi) Self-confidence
(iii) Job knowledge (vii) Initiative

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 (viii) Problem solving abilities (x) Intelligence etc.
(ix) Inter personal behavior

❖ Remuneration-
• Monetary compensation to the employees for their work performances.
• It is as per the nature of job (skilled or unskilled, simple or complex, physical or mental, etc.)
• Fixation of remuneration is the most difficult and complex process
• In India (Government sector) employees categorised in different groups/levels and their
remuneration/ salary fixed accordingly.

Practice task
Q1) Staffing includes:
a) Work load estimation
b) Appointments of personnel
c) Placement and induction
d) Termination
e) All of these
Q2) Manpower planning is compulsory for:
a) Reduction in industrial unrest through correct planning
b) To make the employee development programmes effective
c) To provide a solid base for recruitment
d) To provide a solid base for selective policy
e) All of these
Q3) Job analysis is a systematic procedure for securing and reporting information defining a:
a) Specific product
b) Specific job
c) Specific goods or service
d) All these
e) None of these
Q4) What is the use of Job analysis?
a) Organisation and Manpower Planning
b) Recruitment
c) Selection
d) All of these
Q5) Job specification includes:
a) Psychological characteristics
b) Physical characteristics
c) Personal characteristics
d) Responsibilities
e) All of these
Feedback
Answer:
1-e, 2-e, 3-b, 4-d, 5-e
8.6.2 Recruitment & Selection (Rules & Regulations) in Educational
Institutions
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Recruitment is a positive process to attract maximum number of potential candidates to apply for vacant
jobs that is followed by a negative process of elimination to reject all except those candidates found right
for the position

➢ Types of Recruitment: there are two types of recruitments

❖ Internal Recruitment –takes by transfers or promotions or re-employment of ex-employees

leading to enhanced institutional productivity as it always leads to employee’s motivation. It
takes place within the institution. The process is economical from the point of view of time,
money and efforts as the sources are readily available within the organisation. It leads to
institutional refreshment and add new vigor in its working style. This type of recruitment is
not sufficed to fulfill all manpower requirements.
Internal sources of recruitment
Transfer Promotion Re-employment
• No change of rank and • Change of rank, position, • Invitation and
responsibility powers and employment of retired or
• Shift from one to another responsibilities ex-employees in the same
job • Movement to the upper institution to fill
• Gives opportunity to work levels of the institution concerned vacancies.
under varied conditions • Quicker and easier process • May appoint them against
• Make the employee well to fill senior vacant posts part or full time vacancies
versed with different units • Motivates other • Both employee and
of institution employees too institute are well versed of
• May help him or her for • Both employee and each other
promotions institute are well versed of • Application has to come
each other from employee
• As its reward for the • Quicker, easier and
previous job done , economical process to fill
employee work further vacant posts
with more enthusiasm • Experience enriched
people become a
knowledge resource for
institute

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❖ External Recruitment –is a process of recruitment where employees are recruited from
outside the organisation and the new ones recruited have no previous belonging to the
institute.
• Advertising—
✓ The most common method of recruitment is by giving advertisement in leading
newspapers and periodicals, which should be locally available
✓ Mainly used to fill up posts of managerial or technical personnel
✓ Advertisement should provide all details related to a job, like educational
qualifications, desired experience, salary and other perks, duties and responsibilities
etc.
✓ It can help in the self-screening by the prospective candidates, as it has given wider
view of requisites, expectations and offers by the institute
✓ It helps in getting bigger application pool to allow better selection process
✓ Due to large pool of applications, the process of selection becomes time consuming
and increase the financial burden on the institute
• Employment Agencies—
✓ Employment agencies are the kind of service providers
✓ These can be small or large scale organisations which help in matching personnel
demand and supply to the institutions.
✓ These can be run by both government as well as private agencies, catering the needs
of local or wider areas
✓ These agencies help in getting the employment seekers registered with them and help
in making bridges between employment seekers and givers
✓ In bigger cities or metropolitans, private consultancy firms provide recruitment
facilities. E.g. Tata Consultancy Service for the technical and professional employees

• Gate Hiring-
✓ It is a more suitable option to hire unskilled work force by industries
✓ A small write up a industry gate will help in recruitment of interested candidates
✓ Its quick and cheap way of recruitment
✓ It is the best way to get substitutions against absentees or leave vacancies
• Campus recruitment drives—
✓ Direct recruitment from educational institutes like colleges and universities

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 ✓ Recruiting groups of big organisations develop a close liaison with educational
institutions
✓ Regular conduct of formal campus recruiting programmes
✓ Short listing of desirable candidates by holding preliminary on-campus interviews
✓ Final interview of short listed candidates takes place mostly at their offices.
• Leasing—
✓ It is a way to hire people to meet short term fluctuations in personnel needs on
leasing basis
✓ It is a kind of borrowing faculty and staff for specified time period with a provision
to go back to parent institution. Though at the end of leasing term an open option is
given to the employee to opt for either current or parent institution
✓ Mainly practiced in public sector organisations which generally face faculty and staff
crunch
• Waiting Lists –
✓ While selecting the most suitable candidates, a list of the best found people is made
✓ The number of people asked to join are as per the number of vacancies
✓ The remaining people in the waiting list may be called to join when ever that need
arises
✓ It is another way to recruit desirable people in fast and economical way as they have
been already scrutinised
• Unsolicited applications or casual callers—
✓ These applicants send their request applications to the institute to call them, as and
when the vacancy arises
✓ By appointing such casual callers, the cost of advertisement, selection and training
expenditures along with other financial benefits (pension, insurance and fringe
benefits) can be cut down by an institution.

• Ex-empIoyees-
✓ Ex-employee are those persons were earlier working in the institute but has either
retired or left due to one or another reason but wants to come back and serve
✓ Such ex-employees with skills, experience and good records can be again employed
✓ Such employees are well versed with the institutional structure and function setup,
hence do not require any formal initial training, except for the latest progresses the
institution has undergone

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 • Walk-Ins-
✓ It’s a kind of direct recruitment
✓ It needs proper advertisement of vacancies, specifying date, venue and time of
interface
✓ It does not opt for process of submission of application forms prior to selection
• E-recruitments-
✓ Like employment agencies, various online job portals ( naukri.com, monstor.com,
shine.com, indeed.co etc. helps in providing suitable candidates to the organisation
✓ These portals have lots of curriculum vitae or resume of interested candidates with
them, high lighting their skills in different areas

➢ Process of Recruitment: An ideal recruitment process not only invites large number of
desirable and qualified applicants, but also attracts those candidates who can undergo selection
process successfully and join the position, if offered. The process is comprised of five related
stages

❖ Planning- is the first stage in the recruitment process wherein following calculations are
taken into consideration:
• How many vacancies are likely to fall in coming time?
• What will be nature of these jobs?
• What objectives or targets of institution are likely to meet, if these recruitments take
place?
• How many applicants are to be contacted?
• Which type of applicants should be contacted for?

❖ Strategy development- after clearing two main points of planning, how many and what
types of recruits are needed, the next step is to focus on following points:
• Make or buy-Whether to hire less skilled employees ( MAKE EMPLOYEE) and later
institution should invest time and money on their training and education or opt for fully
skilled people (BUY EMPLOYEE). For latter category the perks have to higher than
former ones while working efficiency of institute will be higher in latter case.
• Technological sophistication- decides the methods to be used in recruitment and selection.
Use of computers, online modes, e-recruitment widens the scope of job seekers and

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 providers to scan wide range of self-screened applicants. Source of applicants, like
agencies, companies, open advertisements etc., will help the institute to look into their
target employees. E.g. recruitment companies or national sources can provide better
managerial and professional employees while local markets are good source of technical
staff (clerks and all blue-collar worker)
• Source of recruitment- help the institution to opt for either internal or external recruitment

❖ Searching- involve two steps-

• Source activation- where applicants are excited to send their application, though no actual
recruitment is taking place. This step will help in searching the most desirable candidates
for a particular post from a very pool of applications.
• Selling- involves the identification and selection of the appropriate means of
communication, both in terms of appropriate media for advertisement and explicitly of
the content of advertisement, for reaching the footsteps of potential candidates.

❖ Screening- involved post scrutinisation and short listing process of suitable candidates.
Screening is done primarily to remove visibly unqualified candidates. The guidelines of the
process should be legislative.

❖ Evaluation and control- plays an important role in recruitment, as it involves large amount
of finances as advertisement cost, administrative expenses, recruiter’s wages, over time and
outsource costs etc. The process designed should be effective and valid in terms of time, cost
and energy investments.

➢ AICTE in its gazette notification, dated March 1, 2019:

Has given following mminimum qualification for recruitments-
Minimum qualification, experience, research contributions, feedback and requisite training
requirements for different levels for direct recruitment and promotions for the faculty members are
as follows:

❖ Minimum Qualifications for direct recruitment as an Assistant Professor (Level – 10, Entry
Pay

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57700/-)
(a) Engineering / Technology
B. E. / B. Tech. / B. S. and M. E. / M. Tech. / M. S. or Integrated M. Tech. in relevant branch
with first class or equivalent in any one of the degrees.
(b) Management
Bachelor’s Degree in any discipline and Master’s Degree in Business Administration /
PGDM /C. A. / ICWA/ M. Com. with First Class or equivalent and two years of professional
experience after acquiring the degree of Master’s degree.
(c) Pharmacy
B. Pharm. and M. Pharm. in the relevant specialization with First Class or equivalent in any
one of the two degrees.
(d) MCA
B. E. / B. Tech. / B. S. and M.E. / M. Tech. / M. S. or Integrated M. Tech. in relevant branch
with First Class or equivalent in any one of the degrees.
OR
B. E., B. Tech. and MCA with First Class or equivalent in any one of the two degrees.
OR
Graduation of three years’ duration with Mathematics as a compulsory subject and MCA
with First Class or equivalent with 2 years of relevant experience after acquiring degree of
MCA.
(e) Hotel Management and Catering Technology
Minimum 4 years Bachelor’s Degree in HMCT and Master’s Degree in HMCT or in relevant
disciplines with First Class or equivalent in any one of the two degrees.
OR
Minimum 4 years Bachelor’s Degree in HMCT with First Class or equivalent and minimum
of 5years of relevant experience at a managerial level not less than Assistant Manager in a 4
– star Hotel or in a similar position in the hospitality industry/ tourism industry.
(f) Architecture
B. Arch. and M. Arch. or equivalent Master’s degree in an allied field with First Class in any
one of the two degrees, and minimum 2 years’ experience in the Architecture profession.
OR
B. Arch. with First class or equivalent and minimum of 5 years’ experience in the
Architecture profession.
(g) Town Planning

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 Bachelor’s degree in Architecture / Planning / Civil Engineering or Master’s degree in
Geography / Economics / Sociology or equivalent AND Master of Planning or equivalent
with First class or equivalent in either in Master of Planning or any above degrees with 2
years of relevant experience
(h) Design
Bachelor’s Degree or minimum 4 year Diploma in any one of the streams of Design, Fine
Arts, Applied Arts and Architecture or Bachelor’s degree in Engineering with First class or
equivalent
AND
Master’s degree or equivalent Post Graduate Diploma in relevant disciplines with First Class
or equivalent in a concerned / relevant /allied subject of Industrial Design / Visual
Communication /Fine Arts / Applied Arts / Architecture / Interaction Design / New Media
Studies / Design Management / Ergonomics / Human Factors Engineering / Indian Craft
Studies and related fields of Engineering or Design.
AND
Minimum 2 years of professional design experience in Industry / research organization /
Design studios.
(i) Fine Arts
Bachelor’s and Master’s degree in the relevant branch with First Class or equivalent in any
one of the two degrees and minimum 2 years of relevant professional experience.
(j) Qualifications for Faculties in Science and Humanities:
The qualifications for recruitment and promotions for faculty in the disciplines of Basic
Sciences, Social Science and Humanities shall be as per the UGC Notification No. F.1-
2/2017(EC/PS) Dated 18th July, 2018 and UGC guidelines issued from time to time.
Note: Candidates who have done Ph.D. after the Bachelor’s Degree from institution of
National
importance with GATE/ GPAT/ CEED shall be eligible for the post of Assistant Professor.

❖ Minimum Qualification Norms for Direct Recruitments / Promotions for Stage –II to Stage –
VI

(a) Qualification for Assistant Professor (Senior Scale, Level – 11, Entry Pay 68900/-)
For Promotion of Incumbents
a. Qualifications prescribed for the post of Assistant Professor

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 AND
b. Should have completed minimum training requirements as per Annexure - III.
AND
c. Should have satisfied any one of the below mentioned set of requirements.

Set Additional To have acquired in the cadre of Assistant Professor

No. Qualification Experience Research publications in SCI Avg. 360⁰ feedback
(Years) journals /UGC /AICTE score (out of 10)
approved list of journals
1 - 4 2 8 to 10
2 - 5 1 8 to 10
3 - 5 2 5 to < 8

(b) Qualifications for Assistant Professor (Selection Grade, Level – 12, Entry Pay 79800/-)
For Promotion of Incumbents
a. Qualifications as prescribed for the post of Assistant Professor (Senior Scale)
AND
b. Should have completed minimum training requirements as per Annexure - III.
AND
c. Should have satisfied any one of the below mentioned set of requirements.

Set Additional To have acquired in the cadre of Assistant Professor (Senior Scale)
No. Qualification Experience Research publications in SCI Avg. 360⁰ feedback
(Years) journals /UGC /AICTE score (out of 10)
approved list of journals
1 - 4 1 8 to 10
2 - 4 2 5 to < 8

(c) Qualifications for Associate Professor (Level – 13A1, Entry Pay 131400/-)
i. For Direct Recruitment
a. Ph.D. degree in the relevant field and First class or equivalent at either Bachelor’s or
Master’s level in the relevant branch
AND

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 b. At least total 6 research publications in SCI journals / UGC / AICTE approved list of
journals.
AND
c. Minimum of 8 years of experience in teaching / research / industry out of which at least 2
years shall be Post Ph.D. experience.
Note: In case of HMCT, 8 years of industry experience at a managerial level not below the
position of Head of Department handling a team of 20 persons or more in a 4 star hotel or
above category or in a similar position in the hospitality industry / tourism industry.
ii For Promotion of Incumbents
a. Ph. D. degree in relevant field and First class or equivalent at either Bachelor’s or Master’s
level in the relevant branch.
AND
b. Should have completed minimum training requirements as per Annexure – III.
AND
c. Should have satisfied any one of the below mentioned set of requirements.

Set Additional To have acquired in the cadre of Assistant Professor (Senior Scale)
No. Qualification Experience Research publications in SCI Avg. 360⁰ feedback
(Years) Journals UGC AICTE score (out of 10)
approved list of journals
1 - 3 2 5 to < 8
2 - 3 1 8 to 10

(d) Qualifications for Professor (Level – 14, Entry Pay 144200/-)

(i) Direct Recruitment
a. Ph. D. degree in relevant field and First class or equivalent at either Bachelor’s or Master’s
level in the relevant branch.
AND
b. Minimum of 10 years of experience in teaching / research / industry out of which at least 3
years shall be at a post equivalent to that of an Associate Professor.
AND
c. At least 6 research publications at the level of Associate Professor in SCI journals / UGC
/AICTE approved list of journals and at least 2 successful Ph.D. guided as Supervisor / Co-
supervisor till the date of eligibility of promotion.

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 OR
At least 10 research publications at the level of Associate Professor in SCI journals / UGC
/AICTE approved list of journals till the date of eligibility of promotion.

(ii) For Promotion of the Incumbents

a. Ph. D. degree in relevant field and First Class or equivalent at either Bachelor’s or Master’s
level in the relevant branch.
AND
b. Should have satisfied any one of the below mentioned set of requirements.

Set Ph.D. Guided Total To have acquired in the cadre of Assistant Professor (Senior Scale)
No. Experience Experience Research publications in SCI Avg. 360⁰ feedback
(Years) (Years) Journals UGC AICTE score (out of 10)
approved list of journals
1 1 15 3 6 8 to 10
2 2 15 3 6 5 to < 8
3 - 16 3 4 8 to 10

Note: 360° Feedback

1. The feedback obtained every year, till the date of eligibility of next stage, shall be taken as
an average of all the preceding years added together required for promotions.
2. In case the candidate fails to achieve the maximum feedback score, the subsequent year’s
may be taken into consideration while dropping the lowest feedback score in any one of the
year.

(e) Qualifications for Promotion to Senior Professor (Level –15, Entry Pay 182200/-)
a. Ph. D. degree in the relevant field
AND
b. Minimum ten years of experience in the cadre of Professor
AND
c. At least 8 research publications in SCI journals / UGC / AICTE approved list of journals,
should have at least 2 successful Ph. D. guided as Supervisor / Co-Supervisor as a Professor.
OR

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 c. At least 8 research publications in SCI journals / UGC / AICTE approved list of journals,
should have provided academic leadership as institution head at least for 3 years at the level
of Professor.
OR
c. At least 8 research publications in SCI journals / UGC / AICTE approved list of journals,
should have provided educational leadership at state / national level at least for 3 years at the
level of Professor.
AND
d. At least one patent awarded
OR
d. Development of one MOOC course applicable at national platform
Notes:
1. The selection of Senior Professor shall also be based on academic achievements, favourable
review of academic, research and administrative work from three eminent subject experts not
below the post of Senior Professor or a Professor of at least ten years of experience.
2. The selection shall be based on ten best publications and award of Ph. D. degrees to at least
two candidates under his / her supervision during the last 10 years and interaction with the
Selection Committee constituted as per this regulation.

(f) Qualifications for Direct Recruitment of Principal / Director (Level – 14, Entry Pay
144200/- with the special allowance of Rs. 6750/- per month)
a. Ph. D. degree and First Class or equivalent at either Bachelor’s or Master’s level in the
relevant branch
b. At least two successful Ph.D. guided as supervisor / Co-Supervisor and minimum 8 research
publications in SCI journals / UGC / AICTE approved list of journals.
c. Minimum 15 years of experience in teaching / research/ industry, out of which at least 3
years shall be at the post equivalent to that of Professor.
Notes:
1. This position shall be of contractual in nature for 5 years and can be extended for one more
term depending upon the performance.
2. Performance assessment shall be carried out through a committee appointed by the
affiliating university.

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 3. After completing the final term, the incumbent shall join back his / her parent organization
in the previous designation from where he / she has proceeded with the designation as
Professor /Senior Professor as the case may be.

❖ Minimum Qualifications for Direct Recruitment and promotion of other

staff
Workshop Superintendent
Initial recruitment of Workshop Superintendent shall be at par with Assistant Professor with the
qualification as prescribed for the Assistant Professor in Mechanical/ Production Engineering.
Upward movement and designations shall be as per stage I to stage V of the present notification
indicated in Table 3.
Table 3: Stages of Promotion and Designations for Workshop Superintendent

Stage Designation
Entry Level, Stage-I Workshop Superintendent
Stage-II Workshop Superintendent(Senior Scale)
Stage-III Workshop Superintendent (Selection Grade)
Stage-IV Associate Professor (Workshop)
Stage-V Professor (Workshop)

Qualifications for Training and Placement Officer

a. Qualifications, service conditions and Pay scales of Training and Placement Officer shall be
same as Professor in Engineering & Technology or concerned Technical Program.
b. One of the Professors in the Institute shall be entrusted with additional responsibility of
Training and Placement Officer on rotation basis.
c. If Professor is not available, Associate Professor / Assistant Professor may be identified for
this post.

Minimum Qualifications for direct recruitment of Assistant Librarian (Level – 10, Entry
Pay 57700/-)
a. Master’s Degree in Library Science/Information Science/ Documentation Science or an
Equivalent Professional Degree with at least First Class or equivalent and a consistently good
academic record with knowledge of computerization of library.

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 b. Qualifying in the National Level Test conducted for the purpose by UGC or other equivalent
test as approved by the UGC.

❖ Additional Requirements
Research Publications
In order to ensure quality of publications for promotions, a minimum standard would be ensured
through the following.
a) For the purpose of promotions, candidates must have published research papers in SCI
journals
OR UGC approved Journals OR AICTE approved list of journals OR jointly approved by
AICTE with respective councils / institute such as Council of Architecture / Pharmacy Council
of India /Institute of Town Planners, India.
b) In case of HMCT, 1 live case study or 1 live industry project as research / consultancy having
credential of very high standing would be recognized as equivalent to 1 publication.
c) In case of Design, Architecture and Town Planning, 1 live case study, 1 live industry project
as research / consultancy or 1 exceptional design having credential of very high standing /
obtained high level recognition would be recognized as equivalent to 1 publication.

➢ Employee Selection Process

Employee Selection is very important tasks as it works on “The best fit principle”. Where by the right
men are put against the right job. Effective selection process is based on the “best matching” criteria in
which those candidates are selected who fulfills institutional requirements and have desirable skills to
perform their given responsibilities. The effective selection leads to institutional efficiency, reduces
absenteeism, decline drop outs and save money and time. Selection is a negative process in which all
inappropriate candidates are dropped and the best ones with abilities, skills, experience and qualifications
are picked up.

➢ Selection Process: takes place in following order-

❖ Preliminary Interviews-or screening interview are less formal and casual interaction with
candidates and are meant for eliminating those candidates who do not meet the minimum
eligibility criteria mentioned by an institution. These help in examining basic skills,
competencies, interests and academic and family background of the candidates. These includes

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 briefing up of candidates about the company and their job profile and also help the selection
board to understand, how much the candidate knows about the institution.
❖ Application blanks-are the second step in selection process where it is asked from the
candidates, who have cleared the preliminary interview, to fill application blank with their details
like age, qualifications, reason for leaving previous job, interest in current job, justification for
selection, claim of candidature, experience, etc.
❖ Written Tests-are unbiased and written tests, conducted to objectively assess the potential
candidate, like aptitude test, intelligence test, reasoning test, personality test, etc.
❖ Employment Interviews-is generally the final testing of the candidate to check his or her
suitability to the institute and is based on personal interaction of employee and employer. Such
interview should be conducted honestly and religiously with unbiased approach. Conventionally
conducted interviews can not a clear picture of candidate’s competencies.
❖ Medical examination-are carried out to ensure physical fitness of the selected candidate. Such
tests, if conducted properly will reduce employee absenteeism.
❖ Appointment Letter-is the last and formal step where the selected employee is finally allowed to
join the institution on a specific date.

➢ Orientation and Placement

Selection is a genralised process and is as per the qualifications of candidates while placement is
fitting the selected person at the right job or place. It is followed by entrusting him his roles,
responsibilities and authorities in an institution. In order to make the newly appointed employees well
versed with institution’s mission and vision structure and function, an orientation programme is
conducted with to built up the confidence level, morale and trust of fresh appointees following for
their institute. Such programmes focus on explaining:

❖ Institution’s mission and vision

❖ Employee’s and institution’s layout
❖ Modus operandi of the institution
❖ Departmental goals or objectives
❖ General rules and regulations
❖ Policies and programmes of the institution
❖ Standing Orders
❖ Grievance system or procedure

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➢ Constitution of Screening cum Evaluation / Selection Committee

The AICTE has evolved following guidelines on:

❖ Constitution of Selection Committees for selection of Assistant Professor, Associate

Professor, Professor for direct recruitment and for promotions.
❖ Specified selection procedures for direct recruitment and promotions for Teachers in
Universities and Colleges.
➢ Selection Proceedings:

All the selection procedures of the selection committee shall be completed immediately after the
selection committee meeting itself, wherein, minutes are recorded along with the scoring Performa
and recommendation made on the basis of merit with the list of selected and waitlisted candidates
/Panel of names in order of merit, duly signed by all members of the selection committee.

➢ Selection Committee Composition for Assistant Professor, Associate Professor and

Professor both for Direct Recruitment and Promotion:

❖ For University Faculty Members:

• The Selection Committee for the post of Assistant Professor in the University shall have
the following composition:

(i) The Vice Chancellor or Acting Vice-Chancellor to be the Chairperson of the

Selection Committee.

(ii) Three experts in the concerned subject nominated by the Vice Chancellor or Acting
Vice-Chancellor out of the panel of names approved by the relevant statutory body
of the university concerned.

(iii) Dean of the concerned Faculty, wherever applicable.

(iv) Head / Chairperson of the Department/School

(v) An academician nominated by the Visitor / Chancellor, wherever applicable.

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 (vi) An academician representing SC / ST / OBC / Minority / Women / Differently-abled
categories to be nominated by the Vice Chancellor or Acting Vice-Chancellor, if any
of the candidates representing these categories is the applicant and if any of the
above members of the selection committee does not belong to that category.

• To constitute the quorum for the meeting, five minimum members out of which at least
two must be from the total three subject-experts.

❖ For Faculty Members in Technical Institutions:

• The Selection Committee for the post of Assistant Professor /Associate Professor and
Professor in Colleges, including Private Colleges shall have the following composition:

(i) Chairperson of the Governing Body of the college or his/her nominee from among
the members of the Governing body to be the Chairperson of the Selection
Committee.

(ii) The Principal/ Director of the College.

(iii) Head of the Department of the concerned subject in the College.

(iv) Two nominees of the Vice-Chancellor or Acting Vice Chancellor of the affiliating
university of whom one should be a subject-expert. In case of colleges notified /
declared as a minority educational institution, two nominees of the Chairperson of
the college from out of a panel of five names, preferably from the minority
communities, recommended by the Vice-Chancellor or Acting Vice-Chancellor of
the affiliating university from the list of experts suggested by the relevant statutory
body of the college, of whom one should be a subject-expert.

v) Two subject-experts not connected with the college to be nominated by the

Chairperson of the governing body of the College out of a panel of five names
recommended by the Vice Chancellor or Acting Vice Chancellor from the list of
subject experts approved by the relevant statutory body of the University concerned.

(vii) An academician representing SC / ST / OBC / Minority / Women / Differently-abled

categories, if any of candidates representing these categories is the applicant, to be

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 nominated by the Vice-Chancellor or Acting Vice Chancellor, if any of the above
members of the selection committee does not belong to that category.

• To constitute the quorum for the meeting, five of which at least two must be from out of
the three subject experts shall be present.
• For all levels of teaching positions for Government / Government Aided Colleges /
Government Autonomous Colleges, the State Public Services Commission / Teacher
Recruitment Boards wherever applicable must invite three subject experts, for which the
concerned University be involved in the selection process, by respective appointing
authority. The states, where selection in autonomous institutes has been authorized to
respective Board of Governors, shall continue but constitution of committee shall be
same as directed by AICTE.

❖ Senior Professor
• The Selection Committee for the post of Senior Professor shall consist of the following
persons:

(i) Vice Chancellor who shall be the Chairperson of the Committee.

(ii) An academician not below the rank of Senior Professor/Professor with minimum ten
years experience who is the nominee of the Visitor/Chancellor, wherever applicable.

(iii) Three experts not below the rank of a Senior Professor/Professor with a minimum of
ten years’ experience in the subject/field concerned nominated by the Vice-Chancellor
out of the panel of names approved by the relevant statutory body of the university.

(iv) Dean (not below the rank of Senior Professor/Professor with minimum ten years
experience) of the faculty, wherever applicable.

(v) Head/Chairperson (not below the rank of Senior Professor/Professor with minimum ten
years experience) or Senior-most Professor (not below the rank of Senior
Professor/Professor, with a minimum of ten years’ experience) of the
Department/School, in case Head/ Chairperson does not fulfil the above requirement, if
any.

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 (vi) An academician (not below the rank of a Senior Professor/Professor with minimum ten
years experience) representing SC/ST/OBC/ Minority / Women / Differently-abled
categories, if any of candidates representing these categories as the applicant, to be
nominated by the Vice Chancellor, if any of the above members of the selection
committee do not belong to that category.

• Four members, including two outside subject experts, shall constitute the quorum.

❖ Technical Institution Principal / Director

• The Selection Committee for the post of College Principal shall have the following
composition:

i) Chairperson of the Governing Body as Chairperson.

ii) Two members of the Governing Body of the college to be nominated by the
Chairperson of whom one shall be an expert in academic administration.

iii) One nominee of the Vice-Chancellor who shall be an expert in Management of

Higher Education.

iv) Three experts consisting of the Principal/ Director of a college, a Professor and an
accomplished educationist not below the rank of a Professor (to be nominated by the
Governing Body of the College) out of a panel of six experts approved b0y the
relevant statutory body of the affiliating University concerned.

v) An academician representing SC/ST/OBC/Minority/Women/Differently-abled

categories, if any of candidates representing these categories is the applicant, to be
nominated by the Vice-Chancellor of the affiliating University.

• To constitute the quorum for the meeting, five of which at least two must be from out of the
three subject-experts shall be present.

Practice task
Q-1) Recruitment is the process of searching for prospective employees and stimulating them to
apply for _______ in organisation.
a) Jobs
b) Wage

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 c) Cost
d) Product
e) Termination
Q-2) Which is the source of recruitment in India?
a) Employment exchange
b) College recruitment
c) Employee reference
d) All of these
Q-3) Recruitment deals with:
a) Identification of existing source of applicants and developing them
b) Creation of new source of applicants
c) Identification of mew source of applicants
d) All of these
e) None of these
Q-4) Selection procedure includes:
a) Application form
b) Reception
c) Employment test
d) Medical test
e) All of these
Q-5) Selection includes:
a) Framing and developing application blanks
b) Checking of references
c) Formulating interviewing techniques
d) All of these
e) None of these

Feedback

Answer: 1-a, 2-d, 3d-, 4-e, 5-d

8.6.3 Training & Development (Rules & Regulations) of faculty and
staff
According to Armstrong, M.(2001) “Training is perceived as “the systematic development of the
knowledge, skills and attitudes required by an individual to perform adequately a given task or job”.
Training is followed after the orientation of employees. In this there takes place enhancement of skills,
capabilities and knowledge to perform a particular job. A well designed training programme will help in
enhancing employee performance. Training process is continuous and never ending phenomenon.

➢ Need of training:
For achieving a level of excellence in today’s knowledge based and fast changing environment,
every institution has to strength its core competencies so as to achieve strategic advantage that

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 can be done by continuous up gradation of knowledge and skills of its faculty and staff by
different types of training. Training of employees takes place after orientation takes place.
Training needs also arise when there are job changes or person changes or performance
deficiency. Training needs can be identified through variety of assessment tools like self-
appraisal, assessment by head, peer review, assessment sheets and other investigations.
Training is the process of enhancing the skills, capabilities and knowledge of employees for
doing a particular job. Training process moulds the thinking of employees and leads to quality
performance of employees. It is continuous and never ending in nature. Training is crucial for
organizational development and success. It is fruitful to both employers and employees of an
organization. An employee will become more efficient and productive if he is trained well.

Fig 1 Process of training and development

➢ Importance of training:
Training of an employee bears double benefit, to an individual as well as to institution. It
increases the efficiency and productivity of both. The main objectives of training programme are:

❖ To make the new employees familiar with the organizational mission, vision, rules and
regulations and the working conditions.
❖ To refresh and enhance their knowledge.
❖ To make them aware of any updations and amendments in existing technology or equipment
in the institute

❖ To prepare them for promotion and career growth (for previously employed candidates)
➢ Training is given on four basic grounds:

❖ New candidates who join an organization are given training. This training familiarise them
with the organizational mission, vision, rules and regulations and the working conditions.

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 ❖ The existing employees are trained to refresh and enhance their knowledge.
❖ If any updations and amendments take place in technology, training is given to cope up with
those changes. For instance, purchasing new equipment, changes in technique of production,
computer impartment. The employees are trained about use of new equipments and work
methods.
❖ When promotion and career growth becomes important. Training is given so that employees
are prepared to share the responsibilities of the higher level job.

➢ Features of training and development process:

❖ Should focus on the improvement in the performance of the individuals.

❖ Should be an organised activity to enhance the knowledge and skills of its faculty and staff.
❖ It’s a systematic way to transfer both hard and soft skills to the employees.
❖ Its mutually beneficial to both parties, employees and institution
❖ Training facilitates the employees in learning specific hard skills and the development
facilitates the enrichment of his personality and management skills.

➢ Broad objectives of a training programme:

❖ Keep institute updated with current changes in knowledge and technological advancements
❖ Update knowledge and skills levels of faculty and staff
❖ Bring about attitudinal changes in faculty and staff to deal with upcoming challenges, they
learn to work out of comfort zones
❖ Bring about improvement in the overall performance of the institution
❖ Sensitize faculty and staff towards other social and environmental issues like resource
conservation, environment protection and pollution, other regulatory and statutory rules and
regulations
❖ Develop high end managerial skills for future promotional avenues
➢ Benefits of training:

❖ Honing of skills- expansion of knowledge and evolution of technology are too fast that
timely and technically programmed training will help in attaining and honing both hard and
soft skills amongst faculty and staff

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 ❖ Improves morale of employees- Training helps the employee to get job security and job
satisfaction. The more satisfied the employee is and the greater is his morale, the more he will
contribute to organizational success and the lesser will be employee absenteeism and
turnover.
❖ Less supervision- A well trained employee will be well acquainted with the job and will
need less of supervision. Thus, there will be less wastage of time and efforts.
❖ Fewer accidents- Errors are likely to occur if the employees lack knowledge and skills
required for doing a particular job. The more trained an employee is, the less are the chances
of committing accidents in job and the more proficient the employee becomes. This makes
the work place safer.
❖ Chances of promotion- Employees acquire skills and efficiency during training. They
become more eligible for promotion. They become an asset for the organization.
❖ Increased productivity- Training improves efficiency and productivity of employees. Well
trained employees show both quantity and quality performance. There is less wastage of time,
money and resources if employees are properly trained.

➢ Methods of training: there are generally two ways to provide training to employees-
❖ On the job training-or learning by doing training
• Are training methods given to the employees within the everyday working
• Are simple and cost-effective methods
• The best method of training to in-proficient and proficient employees
• In –vivo training
• E.g. job-rotation, coaching, temporary promotions etc.

❖ Off the job training-or vestibule training

• A training given away from the actual working condition but in the areas where actual
working conditions can be duplicated like halls, reception area, entrance or any vestibule
• Training can be given via workshops, seminars, conferences, etc.
• Generally meant for new employees
• Training methods are costly and effective, provided trainee are large in number and
needed to be trained within a short time period.

➢ Types of trainings: on the basis of the scope of training, it can be following types-

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 ❖ Short term learning program
❖ Long term learning program
❖ Limited training
❖ Substantial training
❖ Practical training
❖ Theoretical training
❖ On-job training
❖ Class room training
❖ Technical training
❖ Managerial training
❖ Induction or apprenticeship/internship/refresher training etc.

➢ Planning for training: an effective training should be well planned and organised, it should be
focus on-
❖ Clear identification of objectives
❖ Appropriate content selection
❖ Procurement of relevant and expert trainers
❖ Strategies of training
❖ Pre-training and post training assessment techniques
❖ Trainee’s previous knowledge, learning capability, interpersonal relationships
❖ Instructional methods and use of appropriate aids

➢ Guidelines for the development of training program:

❖ Trainees should be motivated to learn
❖ Training should provide diverse and novel experience
❖ It should ne need based
❖ Training content should be relevant, meaningful, well organised and based on real life
experiences
❖ Sessions should be short and crisp
❖ Regular feedback from trainees will help in program improvement

➢ Training and development Programmes for Faulty /Teaching Staff:

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 ❖ Faculty Development Program: - helps in strengthening and encouraging the intellectual
capabilities, enhancing core expertise, hone their teaching skills and enhance their abilities to
undertake quality research activities
❖ Management Development Program: - helps in enhancing the managerial skills of faculty
and staff members where academicians and corporate world come and share a common
platform, encourage faculty and staff members in gaining new insights and help in their
learning and their career advancement.
❖ Orientation Program (OC) and Refresher Courses (RC) – helps young and experienced
faculty to orient themselves about current educational and societal issues, updated
themselves with the latest advancements in their core disciplines, improving their API
score required for promotions, career advancements. These are conducted by UGC-Academic
Staff Colleges (UGC-ASCs) and National Institute of Technical Teachers Training and
Research (NITTTRs) on a regular basis by the support from AICTE/ UGC.
❖ Seminars, Workshops and Conclaves: - helps the faculty members to learn and share their
research work, experiences and knowledge related to the subject and contemporary issues on
a common platform. These learning and training tools also help in their elevation of career
graph.
❖ Training and Learning Resource Centers – are primarily meant for in-situ training , where
programs like FDPs, MDPs and other similar courses are conducted by these specialised
centers of universities/Institutions and NITTTRs to update the knowledge and skills of their
faculty members regularly for their holistic development.
Thus, different methods and strategies adopted by an academic institution helps it upgrading and
updating the knowledge, skills and attitudes of its faculty and staff making them relevant to the
needs and expectations of the biggest customer of the institution, i.e. the students.

➢ Mandatory Teacher Trainings

❖ Every teacher appointed / promoted to any position here onwards with effect from the
publication of this gazette shall have to mandatorily undergo 8 online modules of
MOOCs in SWAYAM as per the AICTE teacher training policy preferably within first
year of service.
❖ No newly appointed faculty member shall be completing the probation without getting
the certification of completion of these 8 modules. The teacher training policy
document may be downloaded from AICTE website.

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 ❖ The requirement of completing these modules as envisioned in this gazette is applicable
to all the incumbent teachers also while applying for promotion / selection to next
higher cadre only once in the career.
❖ Those who are eligible for promotions after the date of publication of this gazette, shall
have to meet the necessary conditions such as additional qualification, undergoing
industrial training, pedagogical training, faculty induction program, publishing research
papers etc. However, these requirements shall be permitted to be fulfilled till 31st July,
2022 so as to enable faculty members in equipping them for requisite mandatory
requirements of this gazette to avail the benefit of promotion retrospectively from the
date of eligibility.

➢ Training Requirements for Promotions of Teachers from all the Disciplines

❖ For Assistant Professor (Senior Scale): Completion of following training requirements at

the level of
Assistant Professor.
Two weeks of Faculty Development Programme (FDP) in the relevant area out of which at least one
of the FDP shall be in advanced pedagogy recognised by AICTE / UGC / TEQIP / NITTTR
/PMMMNMTT / IISc / IIT / University / Government / DTE / Board of Technical Education / CoA
/IIA / SPA / ITPI / NRCs / ARPIT research organization / other institute of National Importance
/Design Studio.
OR
One week faculty development programme as above and one eight weeks duration MOOCS course
with E-Certification by NPTEL-AICTE
OR
Completed two such eight weeks duration MOOCS courses with E-Certification by NPTEL-AICTE
AND
Completed minimum two weeks of relevant Industrial Training / Professional Training

❖ For Assistant Professor (Selection Grade): Completion of following training requirements at

the level of Assistant Professor (Senior Scale)
Two weeks of Faculty Development Programme (FDP) in the relevant area recognised by AICTE
/UGC / TEQIP / NITTTR / PMMMNMTT / IISc / IIT / University / Government / DTE / Board of
Technical Education / CoA / IIA / SPA / ITPI / NRCs / ARPIT / research organization / other
institute of National Importance / Design Studio.

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 OR
One week faculty development programme as above and one eight weeks duration MOOCS course
with E-Certification by NPTEL-AICTE
OR
Completed two such eight weeks duration MOOCS courses with E-Certification by NPTEL-AICTE.
AND
Completed minimum two weeks of relevant Industrial Training / Professional Training

❖ For Associate Professor: Completion of following training requirements at the level of Assistant
Professor(Selection Grade)
Two weeks of Faculty Development Programme (FDP) in the relevant area recognised by AICTE
/UGC / TEQIP / NITTTR / PMMMNMTT / IISc / IIT / University / Government / DTE / Board
ofTechnical Education / CoA / IIA / SPA / ITPI / NRCs / ARPIT / research organization /
otherinstitute of National Importance / Design Studio.
OR
One week faculty development programme as above and one eight weeks duration MOOCS
coursewith E-Certification by NPTEL-AICTE
OR
Completed two such eight weeks duration MOOCS courses with E-Certification by NPTEL-AICTE.
AND
Completed minimum two weeks of relevant Industrial Training / Professional Training.

Practice task
Q-1) Which is a technique of training?
a) Demonstration method
b) Vestibule training
c) On the job training
d) Training at training center
e) All of these
Q-2) Training involves:
a) Identification of training needs of the individuals and the institutes
b) Developing suitable training programmes
c) Evaluating the effectiveness of training programmes
d) All of these
e) None of these
Q-3) What is the objectives of training?
a) Increase in employee morale, confidence skill and productivity
b) Awareness of the problems

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 c) To arouse loyalty towards the institution
d) Better work decisions
e) All of these
Q-4) On the Job Training Methods means:
a) Providing study matters
b) To arrange conference
c) Development of institute
d) To work on the site
e) All of these
Q-5) Which of the following is not benefits of training and development?
a) Improve communication between groups and individuals
b) Improve Morale
c) Make the organisation a better place to work and live is morale
d) Development is a sense of growth in learning
e) Helps employees adjust to change
f) None of these

Feedback

Answer: 1-e, 2-d, 3-e, 4-d, 5- f

Conclusion
Competent faculty and staff are the important assets of any institution. Every institution applies varied
strategies to attract potential candidates and uses different types of recruitment methods to recruit, select
and retain this relevant resource. Application of the rules and regulations of the government and statutory
agencies gives them the defined path for adopt and practice. Analysis of the right training needs, design
of appropriate training programmes and relevant training strategies help an institution to keep its faculty
and staff motivated and up-to-date to meet the challenges of present and the future and facilitate the
institute in achieving its objectives.

Bibliography:
1. Satyendra, Sept 1, 2015 Staffing – A Function of Management
2. Worku Fentie and Tariku Sime (2016). Staffing: Practices and Challenges International Journal of
Scientific and Research Publications, 6 (4):251-258
3. Lawrent, G. and Ndibalema, P., 2012. Staffing in Educational Institutions: Experiences from
Tanzania. GRIN Verlag.

182
 4. Breaugh, J.A., 2009. Recruiting and attracting talent: A guide to understanding and managing the
recruitment process. SHRM Foundation’s Effective Practice Guidelines Series, pp.1-33.
5. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.
6. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.
7. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational Behaviour,
7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
8. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and application.
USA: Harper and Row Publisher.
9. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
10. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.
11. https://businessjargons.com/external-sources-recruitment.html
12. https://www.managementstudyhq.com/stages-of-recruitment-process.html
13. https://www.aicte-india.org/bureaus/administration/rules-regulations AICTE regulations on pay
scales, service conditions and minimum qualifications for appointment of teachers and other
academic staff in Technical Institutions and measures for the maintenance of standards in
Technical Education – (Degree) Regulation, 2019
14. http://www.tmv.edu.in/pdf/Distance_education/BCA%20Books/BCA%20V%20SEM/BCA-
525%20Principles%20and%20Practice%20of%20Mgmt-II.pdf

Supportive learning material: by Dr Rakesh K Wats & Dr R.K. Sharma

Videos on:
• Staffing - Concept & Process
• Recruitment & Selection (Rules & Regulations) in Educational Institutions
• Training & Development (Rules & Regulations) of faculty and staff

Web resources:

183
• Staffing- An Overview https://www.youtube.com/watch?v=jT8N6nXG6Co
• Management Function Staffing and How to Staff?
https://www.youtube.com/watch?v=s4JYhIAt8iE
• Staffing Process https://www.youtube.com/watch?v=FxyJWf_PsQU
• Elements of staffing function.
• https://www.youtube.com/watch?v=bEDxZ1MsX-w
• Staffing & human resource mangement https://www.youtube.com/watch?v=CysuC_kXbP4

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 UNIT 8.7
STAFFING: PROMOTION AND COMPENSATION FOR
JOB SATISFACTION

Content Page No
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.7.1 Promotion of Faculty & Staff 4
➢ Definition
➢ Types of Promotion
➢ Purpose of Promotion
➢ Who Want Promotion?
➢ Promotion Policy
➢ Basis for Promotion
➢ Promotion Programme
➢ All India Council for Technical Education Notification in
its gazette notification dated March 1, 2019 has
prescribed following procedure for the promotion of
faculty in the technical institutions
Practice test 17
Feedback 18
8.7.2 Employee Compensation (Rules and Regulations) 19
➢ Time Rate Method
➢ Piece Rate Method
➢ Types of Compensation
➢ AICTE , New Delhi Gazette Notification, dated March 1,
2019, regarding pay scales and other benefits to teachers in
technical institutions
Practice test 26
Feedback 27
8.7.3 Conduct Rules 27
Practice test 32
Feedback 32
Conclusion 32
Bibliography 33

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 UNIT 8.7
STAFFING : PROMOTION AND COMPENSATION FOR
JOB SATISFACTION
Author: Dr Rakesh K Wats
NITTTR, Chandigarh
Broad Objective
The broad objective of this unit is to make the learners
appreciate the role and importance of promotion and
compensation for job satisfaction of the faculty and staff in an
academic institution. They shall also be aware about the rules
and regulations of Government and statutory authorities in
terms of promotion, compensation and conduct of faculty and
staff in an educational institution.

Learning Outcomes
After going through this unit the learner will be able to :
• Understand the concept and importance of promotion of employees in an institution.
• Understand and apply the rules and regulations for promotion of faculty and staff of Government
and statutory authorities.
• Appreciate the importance of compensation in motivating faculty and staff in an institution.
• Understand and apply the rules and regulations of compensation of faculty and staff of
Government and statutory authorities.
• Appreciate the importance of do’s and don’ts of conduct of employees for maintaining proper
work environment in an institution.
Introduction
The most precious resource of any institution is its faculty and staff. Hence, retaining these is highly
necessary for the success of the institution. It benefits both, the institution as well as the faculty and staff.
Employees’ retention is important because the cost of replacing and re-training new employees is very
high, especially when they are highly talented and possess specialized skills that are hard to get.
Committed and competent faculty and staff are valuable to an institution because they can ensure that
good education is being delivered to their students. It also facilitates in enhancing the reputation of the
institution. Thus, to promote the worthy individuals and compensating them with appropriate packages is
one the important personnel policies of best institutions. Recognition of their value, motivate the
individuals to give their best to the institution.
The present unit covers different aspects of promotion starting with its concept, purpose, types, process
and personnel promotion policy of an institution. The unit throws some light on the role of compensation
in keeping the employees morale high and tries to give inputs on types of employee compensations and
the basis for the same. In addition do’s and don’ts of conduct of employees which are very important for
keeping healthy work environment and discipline in the institution are also the main constituents of this
unit.

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8.7.1 Promotion of Faculty & Staff
Promotion or internal recruitment or is an important means of selection in an institution. It helps to meet
the aspirations and expectations of faculty and staff from their institution. It provides a ready supply of
qualified and experienced human resource to the institution. The employees put in hard and dedicated
effort in their job, when they know that it will lead to their institutional promotion .
➢ Definition:
Different authors have defined promotion in different ways:
According to Scott and Clothier “A promotion is the transfer of an employee to a job which pays
more money or one that carries some preferred status.”
Pigors and Myers defines promotion as“ the advancement of an employee to a better job in terms of
greater responsibilities, more prestige or status, greater skill and especially, increased rate of pay or
salary”.
Thus, Promotion is vertical movement of faculty and staff within their own institution. It is the
upward movement of employees from one job to another higher one, which is usually associated with
an increase in salary, status and responsibilities. Promotion of an employee may be permanent or
temporary depends on the requirements of the institution.
In-built motivational value is an important feature of promotion of any employee in an institution as it
elevates his authority, power and status. e.g. Assistant Professor promoted to Associate Professor and
so on.
Policy of an institute to fill in higher position vacancies through promotions from within is considered
to be a very good personnel policy. This provides inducement and motivation to the employees to
work hard, on one hand, and removal of feelings of stagnation and frustration on the other.

➢ Types of Promotion:
In an institution, promotion given to employees can be classified into three categories:
❖ Horizontal promotion:
It is a type of promotion in which an employee is shifted in the same category, e.g. a
junior clerk promoted to senior clerk. It is important to note that in such a promotion an
employee may be shifted from one department to another within the same institute, or
from one institutional campus to another campus.
❖ Vertical Promotion:
This is a type of promotion in which an employee is promoted from a lower category to
higher category. This involves increase in salary, status, authority and responsibility. In
broader terms, promotion means ‘vertical promotion’.

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 ❖ Dry Promotion:
When a higher level job is assigned to an individual without increase in salay, it is called
a ‘dry promotion’. An example of ‘dry promotion’ is a University Professor made Head
of the Department with no increase in salary. A lower level manager promoted to senior
level manager without increase in salary or pay.
Such promotions are made when there is resource/fund crunch in the institution or some
employees give more weight age to status or authority than money.
➢ Purpose of Promotion:

❖ Recognise employees knowledge, skills and expertise and utilise the same to enhance
institutional effectiveness.
❖ Reward employees for higher productivity.
❖ Develop competitive spirit and inculcate the zeal in employees to acquire better knowledge,
skills and attitudes.
❖ Boost employees morale and satisfaction.
❖ Build loyalty towards institution.
❖ Promote good human relations.
❖ Increase sense of belongingness.
❖ Retain skilled and talented people.
❖ Attract competent, trained and hard working people.
❖ Impress the other employees that opportunities, too, are available for them if they also
perform well.
According to Dale Yoder, “Promotion provides incentive to initiative, enterprise and ambition;
minimises discontent and unrest; attracts capable individuals; necessitates logical training for
advancement; and forms an effective reward for loyalty and cooperation, long service, etc.”
➢ Who Want Promotion?
Employees differ greatly in their aspirations. Although, most of the employees want promotion, but
there may be a few who do not want to be promoted. Some of the reasons for refusing a Promotion
may be:
❖ A ‘dry promotion’ may be refused by the employee as it does not provide any monetary gain
❖ Many employees are not desirous of moving ahead as it would separate them from ‘their
fellow colleagues. They may not like to forego the association with their colleagues.
❖ Some employees may not avail a promotion as it may lead to their transfer away from family
station or the place of their liking.

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 ❖ Promotion involves ‘risk’ which many employees do not want to take. A person holding
technical position may not like to avail administrative position. Fear of failure on the higher
position or sometimes, even loss of present employment due to same may be the one of the
reasons of employees refusing promotion.
Nevertheless, it is the duty of any good institutional administration to provide an opportunity for
promotion to every employee. Individual may not accept the promotion due to his personal
reasons but still it gives him a motivation and satisfaction that his work and experience is being
recognized. Employees feel contended if the promotion goes to the individual who really deserves
it.
➢ Promotion Policy:
Promotion benefits both the employees and the employer as it motivates the former and the later
gets a qualified and competent human resource. However, it must be done with a great caution, as
one wrong promotion may invite implications of one type or the other for the institution. So to
say, it is like a double-edged weapon. Every institution needs to design and implement a suitable
promotion policy for its employees, which may incorporate some of the following features to
make it sound and effective policy:
❖ Provide equal opportunities for promotion across all jobs, departments, and regions.
❖ Applicable uniformly to all the employees irrespective of their background.
❖ Fair and impartial.
❖ Basis of promotion clearly spelt out and made known to employees.
❖ Correlated with career planning. Both fast (bunching) and delayed promotions must be
avoided as these adversely affect the institutional effectiveness.
❖ Entrusting appropriate authority with the task of making final decision.
❖ Trial based promotion. The performance of the employee must be monitored. In case, the
promoted employee does not show the desired performance, provision must be there in the
promotion policy to revert him/her back to the former position.
❖ Good mix of promotions made from both inside and outside the institution.

➢ Basis for Promotion

In an education institution the promotion of the faculty and staff can be made on the following
basis:
❖ Seniority i.e., length of service
❖ Merit, i.e., performance
❖ Educational and technical qualification

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 ❖ Potential for better performance
❖ Career and succession plan
❖ Vacancies based on institute’s organisational chart
❖ Motivational strategies like job enlargement.
❖ Training
As a matter of fact, no single basis of promotion is acceptable and applicable to all the
institutions. Every basis has some strengths and weaknesses. For example, while promotion on
the basis of seniority gives satisfaction to the senior faculty/staff, it causes frustration to the junior
talented ones.
Similarly, promotion based on merit motivates competent faculty and staff to work harder while
employees unions oppose it on the justification of its subjectivity. In India, promotion in the
government institutions is mostly made on the basis of seniority of the employees. In case of
private institutions, merit is given due weightage in promoting employees. Here, the promotion
policy is to promote the best one available.
➢ Promotion Programme—:
Every educational institution, whether big or small, should have a sound and systematic
promotion programme. This programme may have a uniform mix of both viz. Promotion from
within and Promotion from outside sources as both of these types have their own pros and cons.
❖ Promotion from within
The ladder of employees promotion must be clearly drawn and communicated to all the
employees. Dead end jobs must be clearly indicated in such ladders. It is better for the institution
and its employees if a ‘promotion chart’ is prepared for the purpose. It is the duty of institute to
inform the employees, whenever a vacancy arises. Interested individuals must be motivated to
apply within the specified time. In no case, promotion should be forced on employees.
The following arguments can be given in the favour of promotion from within the institution:
• The internal employees are already familiar with the set up and the environment within
the institution and can handle new assignments/jobs without any difficulty.
• It provides motivation to employees to work hard. The morale of employees of such
institution is pretty high.
• It will also improve institution’s inter- personal relations. The recognition of the abilities
of the employees for promotion is a fundamental factor for job satisfaction.
• The cost involved on training will also be less as internal employees are mostly
acquainted with the institutional objectives, policies, practices and standards.
• The possibility of selecting an undesirable employee is completely eliminated.

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 ❖ Promotion from outside sources:
When a vacant post is filled up from the sources outside the institution, it infuses new blood and
also keeps the institution dynamic. For top managerial positions, the outside sources are
invariably tapped as every new individual joining the institution brings a set of new skills,
knowledge and attitude to fill the skill gaps existing in the institution, benefitting the institution in
the long run. However, if all the vacancies are filled up from outside, the existing internal staff
will have no motivation to work hard. Thus, it is very essential for the success of an institution to
have a promotion policy which is a blend of growth opportunities for the employees of the
institution as well as the potential to infuse fresh talent from outside.
➢ All India Council for Technical Education Notification in its gazette notification dated
March 1, 2019 has prescribed following procedure for the promotion of faculty in the
technical institutions
Annual Process of Promotion:
Every University / College / DTE shall ensure that the selection process for direct recruitment for
various positions is carried out annually so as to maintain required faculty numbers and cadre ratio
as per AICTE norms so that no loss is caused to students. Interviews for the promotions of the
faculty members shall be carried out at a regular span annually to avoid any stagnation in career
growth of faculty members.
Candidates who do not fulfil the minimum requirement proposed in the Regulation, will have to be
re-assessed after a period of one year. The date of promotion shall be the date on which he / she
satisfies all the minimum requirements and successfully reassessed.
The constitution of the selection committee as applicable to these appointments / promotions of the
Assistant Professor to Associate Professor and Associate Professor to Professor or Professor to
Senior Professor is enumerated in Annexure-II. Various stages of promotions/ direct recruitment
and mode of selection are given in Table 2.
A teacher who wishes to be considered for promotion may submit in writing in the prescribed
proforma as evolved by the concerned University / College duly supported by all credentials to the
Principal / Director of the College, within three months in advance of the due date, that he / she
fulfils all requisite qualifications.
The entry level and consecutive stages of promotions are shown in Table 2
Table 2: Stages of Promotion/ Direct Recruitment and mode of selection
Stage Designation
Entry Level, Stage-I Assistant Professor
Stage-II Assistant Professor (Senior Scale)
Stage-III Assistant Professor (Selection Grade)
Stage-IV Associate Professor

Stage-V Professor
Stage-VI Senior Professor

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Constitution of Screening cum Evaluation / Selection Committee

The AICTE has evolved following guidelines on:

(a) Constitution of Selection Committees for selection of Assistant Professor, Associate Professor,
Professor for direct recruitment and for promotions.

(b) Specified selection procedures for direct recruitment and promotions for Teachers in
Universities and Colleges.

Selection Proceedings:

All the selection procedures of the selection committee shall be completed immediately after the
selection committee meeting itself, wherein, minutes are recorded along with the scoring Proforma
and recommendation made on the basis of merit with the list of selected and waitlisted candidates /
Panel of names in order of merit, duly signed by all members of the selection committee.

Selection Committee Composition for Assistant Professor, Associate Professor and Professor both
for Direct Recruitment and Promotion:

I. For University Faculty Members:

(a) The Selection Committee for the post of Assistant Professor in the University shall have the
following composition:

(i) The Vice Chancellor or Acting Vice-Chancellor to be the Chairperson of the Selection
Committee.

(ii) Three experts in the concerned subject nominated by the Vice Chancellor or Acting Vice-
Chancellor out of the panel of names approved by the relevant statutory body of the
university concerned.

(iii) Dean of the concerned Faculty, wherever applicable.

(iv) Head / Chairperson of the Department/School

(v) An academician nominated by the Visitor / Chancellor, wherever applicable.

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 (vi) An academician representing SC / ST / OBC / Minority / Women / Differently-abled
categories to be nominated by the Vice Chancellor or Acting Vice-Chancellor, if any of
the candidates representing these categories is the applicant and if any of the above
members of the selection committee does not belong to that category.

(b) To constitute the quorum for the meeting, five minimum members out of which at least two
must be from the total three subject-experts.

II. For Faculty Members in Technical Institutions:

(a) The Selection Committee for the post of Assistant Professor /Associate Professor and
Professor in Colleges, including Private Colleges shall have the following composition:

(i) Chairperson of the Governing Body of the college or his/her nominee from among the
members of the Governing body to be the Chairperson of the Selection Committee.

(ii) The Principal/ Director of the College.

(iii) Head of the Department of the concerned subject in the College.

(iv) Two nominees of the Vice-Chancellor or Acting Vice Chancellor of the affiliating
university of whom one should be a subject-expert. In case of colleges notified / declared
as a minority educational institution, two nominees of the Chairperson of the college from
out of a panel of five names, preferably from the minority communities, recommended by
the Vice-Chancellor or Acting Vice-Chancellor of the affiliating university from the list of
experts suggested by the relevant statutory body of the college, of whom one should be a
subject-expert.

v) Two subject-experts not connected with the college to be nominated by the Chairperson of
the governing body of the College out of a panel of five names recommended by the Vice
Chancellor or Acting Vice Chancellor from the list of subject experts approved by the
relevant statutory body of the University concerned.

(vii) An academician representing SC / ST / OBC / Minority / Women / Differently-abled

categories, if any of candidates representing these categories is the applicant, to be

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 nominated by the Vice-Chancellor or Acting Vice Chancellor, if any of the above
members of the selection committee does not belong to that category.

(b) To constitute the quorum for the meeting, five of which at least two must be from out of the
three subject experts shall be present.

(c) For all levels of teaching positions for Government / Government Aided Colleges /
Government Autonomous Colleges, the State Public Services Commission / Teacher
Recruitment Boards wherever applicable must invite three subject experts, for which the
concerned University be involved in the selection process, by respective appointing authority.
The states, where selection in autonomous institutes have been authorized to respective Board
of Governors, shall continue but constitution of committee shall be same as directed by
AICTE.

III. Senior Professor

(a) The Selection Committee for the post of Senior Professor shall consist of the following persons:

(i) Vice Chancellor who shall be the Chairperson of the Committee.

(ii) An academician not below the rank of Senior Professor/Professor with minimum ten years
experience who is the nominee of the Visitor/Chancellor, wherever applicable.

(iii) Three experts not below the rank of a Senior Professor/Professor with a minimum of ten
years’ experience in the subject/field concerned nominated by the Vice-Chancellor out of
the panel of names approved by the relevant statutory body of the university.

(iv) Dean (not below the rank of Senior Professor/Professor with minimum ten years
experience) of the faculty, wherever applicable.

(v) Head/Chairperson (not below the rank of Senior Professor/Professor with minimum ten
years experience) or Senior-most Professor (not below the rank of Senior
Professor/Professor, with a minimum of ten years’ experience) of the Department/School,
in case Head/ Chairperson does not fulfil the above requirement, if any.

(vi) An academician (not below the rank of a Senior Professor/Professor with minimum ten
years experience) representing SC/ST/OBC/ Minority / Women / Differently-abled

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 categories, if any of candidates representing these categories as the applicant, to be
nominated by the Vice Chancellor, if any of the above members of the selection
committee do not belong to that category.

(b) Four members, including two outside subject experts, shall constitute the quorum.

IV. Technical Institution Principal / Director

(a) The Selection Committee for the post of College Principal shall have the following composition:

i) Chairperson of the Governing Body as Chairperson.

ii) Two members of the Governing Body of the college to be nominated by the Chairperson
of whom one shall be an expert in academic administration.

iii) One nominee of the Vice-Chancellor who shall be an expert in Management of Higher
Education.

iv) Three experts consisting of the Principal/ Director of a college, a Professor and an
accomplished educationist not below the rank of a Professor (to be nominated by the
Governing Body of the College) out of a panel of six experts approved b0y the relevant
statutory body of the affiliating University concerned.

v) An academician representing SC/ST/OBC/Minority/Women/Differently-abled categories,

if any of candidates representing these categories is the applicant, to be nominated by the
Vice-Chancellor of the affiliating University.

(b) To constitute the quorum for the meeting, five of which at least two must be from out of the three

subject-experts shall be present.

Government of India, Modified Assured Career Progression Scheme(MACPS) for Staff

There shall be three financial up-gradations under the MACPS, counted from the direct entry grade on
completion of 10, 20 and 30 years’ service respectively. Financial up-gradation under the Scheme will
be admissible whenever a person has spent 10 years continuously in the same grade-pay.

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The MACPS envisages merely placement in the immediate next higher grade pay in the hierarchy of the
recommended revised pay bands and grade pay as given in Part-A of the first schedule of the CCS
(Revised Pay) Rules, 2008. Thus, the grade pay at the time of financial upgradation under the MACPS
can, in certain cases where regular promotion is not between two successive grades, be different than
what is available at the time of regular promotion. ln such cases, the higher grade pay attached to the
next promotion post in the hierarchy of the concerned cadre/organisation will be given only at the time
of regular promotion.
The financial upgradations under the MACPS would be admissible up-to the highest grade pay of Rs.
12000/ in the PB-4. Benefit of pay fixation available at the time of regular promotion shall also be
allowed at the time of financial upgradation under the Scheme. Therefore, the pay shall be raised by 3%
of the total pay in the pay band and the grade pay drawn before such upgradation. There shall, however,
be no further fixation of pay at the time of regular promotion if it is in the same grade pay as granted
under MACPS. However, at the time of actual promotion if it happens to be in a post carrying higher
grade pay than what is available under MACPS, no pay fixation would be available and only difference
of grade pay would be made available. To illustrate, in case a Government Servant joins as a direct
recruit in the grade pay of Rs.1900 in PB-l and he gets no promotion till completion of 10 years of
service, he will be granted financial upgradation under MACPS in the next higher grade pay of Rs. 2000
and his pay will be fixed by granting him one increment plus the difference of grade pay (i.e. Rs. 100).
After availing financial upgradation under MACPS, if the Government servant gets his regular
promotion in the hierarchy of his cadre, which is to the grade of Rs. 2400, on regular promotion, he will
only be granted the difference of grade pay between Rs. 2000 and Rs. 2400. No additional increment
win be granted at this stage. 5. Promotions earned/upgradation~ granted under the ACP Scheme in the
past to those grades which now carry the same grade pay due to merger of pay scales/upgradations of
posts recommended by the Sixth Pay Commission shall be ignored for the purpose of granting
upgradations under Modified ACPS. The pre-revised hierarchy (in ascending order) in a particular
organization was as under: -
(a) A Government servant who was recruited in the hierarchy in the pre-revised pay scale Rs. 5000-
8000 and who did not get a promotion even after 25 years of service prior to 1.1.2006, in his case as on
1.1.2006he would have got two financial upgradations under ACP to the next grades in the hierarchy of
his organization, Le., to the pre-revised scales of Rs. 5500-9000 and Rs. 6500-10500.
(b) Another Government servant recruited in the same hierarchy in the pre-revised scale of Rs. 5000-
8000 has also completed about 25 years of service, but he got two promotions to the next higher grades
of Rs. 5500-9000 & Rs. 6500-10500 during this period. ln the case of both (a) and (b) above, the
promotions/financial upgradations granted under ACP to the pre-revised scales of Rs. 5500-9000 and

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Rs. 6500-10500 prior to 1.1.2006 will be ignored on account of merger of the pre-revised scales of Rs.
5000- 8000, Rs. 5500-9000 and Rs. 6500-10500 recommended by the Sixth CPC. As per CCS (RP)
Rules, both of them will be granted grade pay of Rs. 4200 in the pay band PB-2. After the
implementation of MACPS, two financial upgradations will be granted both in the case of (a) and (b)
above to the next higher grade pays of Rs. 4600 and Rs. 4800 in the pay band PB-2. ln the case of all
the employees granted financial upgradations under ACPS till 01.01.2006 ,their revised pay will be fixed
with reference to the pay scale granted to them under the ACPS. ln the case of ACP upgradations
granted between 01.01.2006 and 31.08.2008, the Government servant has the option under the CCS (RP)
Rules, 2008 to have his pay fixed in the revised pay structure either (a) w.e.f. 01.01.2006 with reference
to his pre-revised scale as on 01.01.2006; or (b) w.e.f the date of his financial upgradation under ACP
with reference to the pre-revised scale granted under ACP. ln case of option (b), he shall be entitled to
draw his arrears of pay only from the date of his option i.e. the date of financial upgradation under ACP.
ln cases where financial upgradation had been granted to Government servants in the next higher scale in
the hierarchy of their cadre as per the provisions of the ACP Scheme of August, 1999, but whereas as a
result of the implementation of Sixth CPCs recommendations, the next higher post in the hierarchy of
the cadre has been upgraded by granting a higher grade pay, the pay of such employees in the revised
pay structure will be fixed with reference to the higher grade pay granted to the post. To illustrate, in the
case of Jr. Engineer in CPWD, who was granted Ist ACP in his hierarchy to the grade of Asstt. Engineer
in the pre-revised scale of Rs.6500-10500 corresponding to the revised grade pay of Rs.4200 in the pay
band PB-2, he win now be granted grade pay of Rs4600 in the pay band PB-2 consequent upon
upgradation of the post of Asstt. Enggs. ln CPWD by granting them the grade pay of Rs.4600 in PB-2
as a result of Sixth CPC's recommendation. However, from the date of implementation of the MACPS,
all the financial upgradations under the Scheme should be done strictly in accordance with the hierarchy
of grade pays in pay bands as notified vide CCS (Revised Pay) Rules, 2008. With regard to flxation of
his pay on grant of promotion/flnancial upgradation under MACP Scheme, a Government servant has an
option under FR22 (1) (a) (1) to get his pay fixed in the higher post/ grade pay either from the date of his
promotion/upgradation or from the date of his next increment viz. Ist July of the year. The pay and the
date of increment would be fixed in accordance with clarification no.2 of Department of Expenditure's
O.M. N0.1/1/2008-1Cdated 13.09.2008. Promotions earned in the post carrying same grade pay in the
promotional hierarchy as per Recruitment Rules shall be counted for the purpose of MACPS.
Consequent upon the implementation of Sixth CPCs recommendations, grade pay of Rs. 5400 is now in
two pay bands viz., PB-2 and PB-3. The grade pay of Rs. 5400 in PB-2 and Rs.5400 in PB-3 shall be
treated as separate grade pays for the purpose of grant of upgradations under MACP Scheme. 'Regular
service' for the purposes of the MACPS shall commence from the date of joining of a post in direct entry

197
grade on a regular basis either on direct recruitment basis or on absorption/re-employment basis. Service
rendered on adhoc/contract basis before regular appointment on pre-appointment training shall not be
taken into reckoning. However, past continuous regular service in another Government Department in a
post carrying same grade pay prior to regular appointment in a new Department, without a break, shall
also be counted towards qualifying regular service for the purposes of MACPS only (and not for the
regular promotions). However, benefits under the MACPS in such cases shall not be considered till the
satisfactory completion of the probation period in the new post. Past service rendered by a Government
employee in a State Government/statutory body/Autonomous body/Public Sector organisation, before
appointment in the Government shall not be counted towards Regular Service. 'Regular service' shall
include all periods spent on deputation/foreign service, study leave and all other kind of leave, duly
sanctioned by the competent authority.
The MACPS shall also be applicable to work charged employees, if their service conditions are
comparable with the staff' of regular establishment. Existing time-bound promotion scheme, including
in-situ promotion scheme, Staff' Car Driver Scheme or any other kind of promotion scheme existing for
a particular category of employees in a Ministry/Department or its offices, may continue to be
operational for the concerned category of employees if it is decided by the concerned administrative
authorities to retain such Schemes, after necessary consultations or they may switch-over to the MACPS.
However, these Schemes shall not run concurrently with the MACPS.
The MACPS is directly applicable only to Central Government Civilian employees. 1t will not get
automatically extended to employees of Central Autonomous/Statutory Bodies under the administrative
control of a Ministry/Department. Keeping in view the financial implications involved, a conscious
decision in this regard shall have to be taken by the respective Governing Body/Board of Directors and
the administrative Ministry concerned and where it is proposed to adopt the MACPS, prior concurrence
of Ministry of Finance shall be obtained.
lf a financial upgradations under the MACPS is deferred and not allowed after 10 years in a grade pay,
due to the reason of the employees being unfit or due to departmental proceedings, etc., this would have
consequential effect on the subsequent financial upgradation which would also get deferred to the extent
of delay in grant of first financial upgradation.
On grant of financial upgradation under the Scheme, there shall be no change in the designation,
classification or higher status. However, financial and certain other benefits which are linked to the pay
drawn by an employee such as HBA, allotment of Government accommodation shall be permitted..
The financial upgradation would be on non-functional basis subject to fitness, in the hierarchy of grade
pay within the PB-1.Thereafter for upgradation under the MACPS the benchmark of 'good' would be

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applicable till the grade pay of Rs. 6600/- in PB-3. The benchmark will be 'Very Good' for financial
upgradation to the grade pay of Rs. 7600 and above.
ln the matter of disciplinary/ penalty proceedings, grant of benefit under the MACPS shall be subject to
rules governing normal promotion. Such cases shall, therefore, be regulated under the provisions of the
CCS (CCA) Rules, 1965 and instructions issued thereunder. T
he MACPS contemplates merely placement on personal basis in the immediate higher Grade pay /grant
of financial benefits only and shall not amount to actual functional promotion of the employees
concerned. Therefore, no reservation orders/roster shall apply to the MACPS, which shall extend its
benefits uniformly to all eligible SC/ST employees also. However, the rules of reservation in promotion
shall be ensured at the time of regular promotion. For this reason, it shall not be mandatory to associate
members of SC/ST in the Screening Committee meant to consider cases for grant of financial
upgradation under the Scheme.
Financial upgradation under the MACPS shall be purely personal to the employee and shall have no
relevance to his seniority position. As such, there shall be no additional financial upgradation for the
senior employees on the ground that the junior employee in the grade has got higher pay/grade pay
under the MACPS.
The 7th CPC of its report has recommended inter-alia as follows:
MACP will continue to be administered at 10, 20 and 30 years as before in the new Pay Matrix. The
employees will move to immediate next level in the Pay Matrix as given in PART A of schedule of the
CCS (Revised Pay) Rules, 2016. Fixation of pay will follow the same principle as that for a regular
promotion in the Pay Matrix. MACP will continue to be applicable to all employees’ upto Higher
Administrative Grades (HAG) level except members of Organised Group A Services.
Benchmark for performance appraisal for promotion and financial upgradation under MACPs to be
enhanced from Good to Very Good. Therefore for grant of financial upgradation under MACPs, the
prescribed benchmark would be @Very Good for all the posts. The changes will come into effect
from 25th July 2016.
Thus, following these norms any institution can conduct the promotion of faculty and staff in an
effective and transparent manner

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 Practice Task
1. Which of the following is not usually a characteristic of employee promotion?
a) Upward movement b) Decrease in authority and responsibility
c) Permanency d) Merit or seniority as basis
2. Find the odd man out on the basis of information about kinds of promotion.
a) Horizontal promotion b) Vertical promotion
c) Open system of promotion d) None of these
3. All the following are sources of internal recruiting except:
a) Transfers b) Promotions
c) Advertisements d) Retrained employees
4. Promotion which does not receive any increase in salaries is called:
a) Zero promotion b) Horizontal promotion
c) Dry promotion d) None of these

Feedback
1. b 2. d 3. c 4. c

8.7.2 Employee Compensation (Rules and Regulations)

Compensation is the total cash and non cash payments that are given to the faculty and staff in lieu of the
work they do for any educational institution. It is one of the biggest expenses of any institution.
Compensation provides basic attraction to an employee to perform his job efficiently and effectively. It

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leads to employee motivation. Salaries constitute an important source of income for the employees and
are the major part of employees’ compensation. These also determine their standard of living. Salaries
affect the employees’ productivity and work performance.
Compensation is more than employees’ regular salaries. It also includes many other types of wages and
benefits. Thus, the amount and method of compensation are very important for both the management and
the employees of any institution.
Broadly, there are two basis of fixing an employee’s compensation

1. Time Rate Method

2. Piece Rate Method

These methods of employee compensation are explained below in detail

➢ Time Rate Method: Under time rate system, compensation is directly linked with the time
spent or devoted by an employee on his job. The employees are paid a fixed pre-decided amount
on hourly, daily, weekly or monthly basis irrespective of their output. It is a very simple method
of compensation. It leads to minimum wastage of resources and lesser chances of accidents. Time
Rate method leads to quality output. This method is very beneficial to new employees as they can
learn their work without any reduction in their salaries. This method encourages employees’ unity
as employees of a particular group/cadre get equal salaries. In India most of the permanent faculty
and staff members in education institutions get their salaries based on this method. Most of their
salaries are on monthly basis.

There are some drawbacks of the Time Rate Method. This may lead to tight supervision,
indefinite employee cost, less efficiency of employees as there is no distinction made between
efficient and inefficient employees, leading to lesser motivation to talented and efficient
employees.
Time rate system is generally more suitable in those situations where the work is non-repetitive in
nature and emphasis is more on quality output rather than quantity output as in educational
institutions in India.

➢ Piece Rate Method: It is a method in which compensation is made on the basis of units or
pieces produced by an employee in an industry or classes/periods taken by a teacher in an
educational institution. In this system emphasis is more on quantity output rather than quality
output. Under this system the identification of employee cost per unit is not difficult because

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 salaries differ with output. There is less supervision required under this method. This system
improves the morale of the hard working employees as the salaries are directly related with their
work efforts. There is greater work-efficiency in this method. Many educational institutions,
especially in private sector pay salaries to teachers/ staff on this basis i.e. per class/period of
teaching or output per period/hour.

There are some drawbacks of this method, such as it is not easily computable, leads to
deterioration in work quality, wastage of resources, lesser unity of employees and insecurity
among the employees.

Piece rate system is more suitable where the nature of work is repetitive and quantity is
emphasised more than quality.
➢ Types of Compensation
In India, some of the compensations given to employees for their work are as follows:
❖ Base pay (salary or hourly wages)
❖ Dearness allowance
❖ House rent allowance
❖ Overtime wages
❖ Travelling allowance
❖ Bonus pay
❖ Children education allowance
❖ Paid maternity leave to women
❖ Other no-cash benefits

❖ Base pay
Base pay is the initial pay given to faculty and staff in an institution. The base pay is essentially the
minimum amount an employee can expect to receive before taxes and other deductions. Base pay
includes an employee’s base salary or hourly wages.
• Base salary vs. total compensation
An employee’s base pay does not include compensation that might raise the wages above the base
level. For example, dearness allowance, house rent allowance, bonus, over time wages, and other
allowances are not part of base pay of an employee. These types of allowances are included in the
employee’s total compensation.

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 ➢ AICTE , New Delhi Gazette Notification, dated March 1, 2019, regarding pay scales
and other benefits to teachers in technical institutions
Categories of Institutions to whom the regulations apply
These regulations shall apply to all diploma level technical institutions imparting technical
education and such other courses / programs approved by AICTE and areas as notified by
the council from time to time.
Date of Effect
a) Pay Scales and DA: The revised pay-scales shall be effective from 1.1.2016.
b) Other Allowances: Allowances such as Leave Travel Concession, Special Compensatory
Allowances, Children's Education Allowance, Transport Allowance, House Rent Allowance,
Deputation Allowance, House Building Allowance, Travelling Allowance etc. shall be applicable
from the date as notified by the Central Government / respective State and UT Government from
time to time.
Revised Designations and Mode of Appointments
There shall be only three designations in respect of teachers in degree level technical institutions as
far as cadre structure is concerned, namely Assistant Professor, Associate Professor and
Professor as given below in Table 1. Also there shall be no change in the present designations in
respect of Library, Physical Education and Training & Placement Personnel at various levels.
Following mode of appointment shall henceforth be used:
Sr. Designations of Entry Level Mode of Appointment
No. Teaching Faculty Pay
Faculty
1 Assistant Professor (Rs
57700 10 Direct Recruitment
.)
2 Assistant Professor (Senior 68900 11 Promotion
Scale)
3 Assistant Professor (Selection 79800 12 Promotion
Grade)
4 Associate Professor 131400 13A1 Promotion / Direct Recruitment
5 Professor 144200 14 Promotion / Direct Recruitment
6 Senior Professor (HoD) 182200 15 Promotion
7 Principal / Director 144200 14 Direct Recruitment

New Pay Structure

The new pay structure shall involve a pay matrix with an ascending series of levels and ascending
cells in each level. The new pay matrix shall subsume the pay band and grade pay in one simple
chart as given in Annexure - I. The pay matrix shall comprise of two dimensions – a horizontal
range of levels starting from the lowest level in the hierarchy and ascending to the highest level,
with the levels being numbered from 10 to 15 covering the entire gamut of Teachers and other
Academic Staff. Within each level, the salary increases as one goes down vertically, with each
progression of going down represented by a “Cell”. Each Cell within that level represents the steps
of annual financial progression of 3%. On recruitment / promotion, an employee shall join at a
particular level and progress within the level as per the vertical range. The movement shall be based
on annual increments till the time of his /her next promotion. When the employee will receive a
promotion, he/she will progress to the next level in the horizontal range till it exhausts.
Levels and Cells
The method followed by the 7th CPC shall be adopted in the academic pay structure also, moving
from the concept of Pay Band and Academic Grade Pay to that of Levels and Cells. The changes

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 will appear only due to the existing difference between the two streams in terms of Academic Grade
Pay vis-à-vis the corresponding Grade Pay. The levels for academic pay shall be numbered as per
the corresponding non-academic level. Thus, the levels are numbered as 10, 11, 12, 13A1, 14, & 15
corresponding to the present AGP of Rs. 6000, 7000, 8000, 9000, 10000 and 12000 respectively.
Pay Matrix and Fixation of Revised Pay
For Fixation of pay of an Employee in the Pay Matrix as on 1st January 2016, the existing pay (Pay
in Pay Band plus Academic Grade Pay) in the pre-revised structure as on 31st December, 2015 shall
be multiplied by a factor of 2.57, rounded off to the nearest Rupee, and the figure so arrived at, will
be located in that level in the Pay Matrix and if such an identical figure corresponds to any cell in
the applicable level of the Pay Matrix, the same shall be the pay, and if no such cell is available in
the applicable level, the pay shall be fixed at the immediate next higher cell in that applicable level
of the Pay Matrix. If the figure arrived at in this manner is less than the first cell in that level, then
the pay shall be fixed at the first cell of that level of Pay Matrix.
If more than two stages are bunched together, one additional increment equal to 3% may be given
for every two stages bunched, and pay fixed in the subsequent cell in the pay matrix.
Date of Increment
(i) Annual increment is given in the Pay Matrix at 3%, with each cell being higher by 3% over the
previous cell in the same level, rounded off to nearest 100. Annual increments to each
employee would move up in the same academic level, with an employee moving from the
existing cell in the academic level to the immediate next cell in the same academic level.
(ii) There shall be two dates of increment i.e. 1st January and 1st July of every year, provided that
an employee shall be entitled to only one annual increment on either one of these two dates
depending on the date of appointment, promotion or grant of financial upgradation.
(iii) The increment in respect of an employee appointed or promoted during the period between the
2nd day of January and 1st day of July (both inclusive) shall be granted on 1st day of January
and the increment in respect of an employee appointed or promoted during the period between
the 2nd day of July and 1st day of January (both inclusive) shall be granted on 1st day of July.
Pension, Gratuity, Family Pension, GPF, Leave Encashment and Other Pensionary Benefits
All pensionary benefits including leave encashment shall be extended to faculty members and
otherstaff such as Library, Physical Education and Training & Placement Personnel as per the revised
norms recommended by the 7th CPC and implemented by the Government of India / State and UT
Governments.
Incentives for New Entrants
New entrants as well as existing faculty members of degree level institutions should be provided with
a desktop computer / laptop / office furniture and a printer with internet connectivity in their office so
as to make a faculty member computer savvy and to enable them to have access to the latest
technology.
Grant for Professional Development
All teachers may be given a grant up to Rs.75,000/- per year on a reimbursement basis, which may be
permitted to be accumulated up to 3 years towards acquiring the membership of Professional
Societies and for participating in national / international conferences/workshops etc.
Sabbatical Leave for faculty
To encourage interface between technical education and industry, the faculty members shall be
entitled to sabbatical leave of six months for working in industry / professional development, subject
to the condition that the faculty has a teaching experience of minimum five years. Such leave,
however, shall be available to a teacher only twice in his / her teaching career.
Incentives for Ph. D. and other Higher Qualification
(i) Five non-compounded advance increments shall be admissible at the entry level of a recruitee
as an Assistant Professor possessing a Ph.D. awarded in a relevant discipline by the recognized
University following the due process of admission test, course work and external evaluation as

204
 prescribed by the UGC or the admission process adopted by the institutes established under the
Act of Parliament or students having valid GATE / GPAT score for admission to Ph.D. or
students selected for Ph.D. program under National Doctoral Fellowship program of AICTE /
Prime Minister’s Research Fellowship program.
(ii) Those possessing Post-graduate degree in M.Tech. / M. Arch. / M. Plan. / M. E./ M. Pharm. /
M. Des. / M. S. etc. recognized by the relevant statutory body / council shall be entitled to two
non compounded advance increments at the entry level.
(iii) Teachers who complete their Ph.D. degree while in service as Assistant Professor shall be
entitled to three non-compounded increments fixed at increment applicable at entry level as
Assistant Professor only if such Ph.D. is in a relevant discipline of the discipline of
employment and has been awarded by a recognized University following the due process of
admission test, course work and external evaluation as prescribed by the UGC or the admission
process adopted by the institutes established under the Act of Parliament or students having
valid GATE / GPAT score for admission to Ph.D. or students selected for Ph.D. program under
Quality Improvement Program (QIP) / Teacher Research Fellowship (TRF).
Fixation of Pay
The fixation of pay and designations of incumbents in the revised pay scales shall be as
given in Annexure- I.
Incumbent faculty members / principals who are in AGP of 10,000/- as per 6th CPC, shall be
fixed in the appropriate cell corresponding to Level 14 of pay matrix table recommended by 7th
CPC.
Annexure-I
Pay Matrix Table for Degree Level Technical Institutions
(All figures are in Rupees ( ₹ ))
Pay Band in VI 15600 – 39100 37400 - 67000 67000-79000
CPC
Cadre Title Assistant Professor Associate Professor Senior
Professor Professor
Grade Pay in 6000 7000 8000 9000 10000 0
VI CPC
Entry Pay 21600 25790 29900 49200 53000 67000
Cell No. Level 10 11 12 13A1 14 15
1 57700 68900 79800 131400 144200 182200
2 59400 71000 82200 135300 148500 187700
3 61200 73100 84700 139400 153000 193300
4 63000 75300 87200 143600 157600 199100
5 64900 77600 89800 147900 162300 205100
6 66800 79900 92500 152300 167200 211300
7 68800 82300 95300 156900 172200 217600
8 70900 84800 98200 161600 177400 224100
9 73000 87300 101100 166400 182700
10 75200 89900 104100 171400 188200
11 77500 92600 107200 176500 193800
12 79800 95400 110400 181800 199600

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 13 82200 98300 113700 187300 205600
14 84700 101200 117100 192900 211800
15 87200 104200 120600 198700 218200
16 89800 107300 124200 204700
17 92500 110500 127900 210800
18 95300 113800 131700 217100
19 98200 117200 135700
20 101100 120700 139800
21 104100 124300 144000
22 107200 128000 148300
23 110400 131800 152700
24 113700 135800 157300
25 117100 139900 162000
26 120600 144100 166900
27 124200 148400 171900
28 127900 152900 177100
29 131700 157500 182400
30 135700 162200 187900
31 139800 167100 193500
32 144000 172100 199300
33 148300 177300 205300
34 152700 182600 211500
35 157300 188100
36 162000 193700
37 166900 199500
38 171900 205500
39 177100
40 182400

Note: The end-points of any column do not signify the end points of the pay received at that
level. As was the case in the earlier provision of traditional pay scales, the last point does not
represent the maximum pay of that level for calculation purposes. The end-points of the
column should not be treated as the maximum and minimum of a pay scale to calculate the
average pay for any level.
Practice Task
Q1. Which is the method of wage payment?
a) Time wage c) Both of these
b) Piece wage d) None of these

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Q2. Under ___________system of compensation is directly linked with the time spent or devoted by an
employee on his job.
a) Piece wage b) Time rate
c) Basic pay d) Both of these
Q3. Which of these is an incorrect statement?
a) Base pay means minimum basic salary
b) Base pay includes traveling allowance
c) Total compensation includes base pay and fringe benefits
d) Total compensation is more than base pay
Q 4. Compensation management consists:
a) Job evaluation
b) Wages and salary administration
c) Fringe benefits
d) All of these

Feedback
1. c 2. b 3. b 4. d

8.7.3 Conduct Rules

The Central Civil Services (Conduct) Rules, 1964 impose various restrictions on the Government
servants. These rules shall apply to every person appointed to a civil service or post (including a
civilian in Defence Service) in connection with the affairs of the Union. Every Employee holding a
supervisory post shall take all possible steps to ensure the integrity and devotion to duty.

For an efficient administration an efficient civil service is necessary. Efficient civil services depends
upon the method of recruitment, security of service, payment of good salaries and opportunity for
further promotion. Keeping this end in view our constitution has empowered the Central / State
Governments to regulate recruitment and conditions of service of persons appointed to public service
under Article 309, 310, 311, 312, 312-A and 313 of the Constitution.

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Under rule 3 of the above said Conduct Rules, every Government employee shall at all times:

• Maintain absolute integrity

• Maintain devotion to duty; and
• Do nothing which is unbecoming of a Government employee.

A Government employee holding a supervisory post shall take all possible steps to ensure the integrity
and devotion to duty of Government employees under his control. The direction of the official
superior shall be in writing. Oral directions to subordinate shall be avoided as far as possible. Where
oral direction becomes unavoidable, the official superior shall confirm it in writing immediately
thereafter.

A Government employee who has received oral direction from his superior shall seek confirmation of
the same in writing whereupon it shall be the duty of the officer to confirm the directions in writing.

Employment of near relatives of Government employees in private undertakings enjoying

Government patronage

No government employee shall use his position or influence to secure employment for any member of
his family in any company and firm.

No Government employee shall in the discharge of his official duties deal with any matter or give any
sanction or contract to any company / firm where a member of his family is interested in such matter /
contract.

Taking part in Politics and Elections

No Government employee shall be a member of or be associated with any political
party/organization which takes part in politics. It shall also be his duty to ensure that no member of his
family takes part in any political party / movement. Similarly, he shall not canvass, interfere or take
part in any election to any legislature or local authority. He can however, exercise his right to vote.

Joining of associations by Government Employees

No Government employee shall join or be a member of an association the objects of or activities of
which are prejudicial to the interest of the sovereignty and integrity of India or public order or
morality.

Demonstration and Strikes

No Government employee shall participate in any demonstration which is prejudicial to the interests of
the sovereignty and integrity / security of India, public order / decency or morality or resort to any
form of strike in matter pertaining to his service.

Criticism of Government
No Government employee shall in any radio broadcast or in any document published in the press shall
criticize any policy or action of the Government.

Gifts:

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No Government servant shall accept any gift which shall include free transport, boarding, lodging or
any other service from any person other than a near relative or personal friend having no official
dealings with the Government.

Private trade Employment

No government employee shall except with previous sanctions engage in any trade, business or any
other employment.

Movable / Immovable and valuable property

Every Government employee is required to file property return at such intervals as may be specified
by the Government. Such a return shall show his assets / liabilities of his movable / immovable
property and assets.
No Government servant shall except with the previous knowledge of the prescribed authority acquire
or dispose of any immovable property by lease, mortgage, purchase, sale, gift, etc. in his own name or
in the name of any member of his family.

Canvassing of non-official or other influence

No Government employee shall bring any political or other influence upon any superior authority to
further his interests in respect of matter pertaining to his service under the Government.

Restriction regarding Marriage

No Government employee who has a wife living shall contract another marriage without first
obtaining the permission of Government.

No female Government employee shall marry any person who has a wife living without first obtaining
the permission of the Government.

Consumption of intoxicating drinks and drugs

A Government employee shall:
➢ Strictly abide by any law relating to intoxicating drinks or drugs in force in any area in which he
may happen to be for the time being;
➢ Not be under the influence of any intoxicating drink or drug during the course of his duty and;
refrain from consuming any intoxicating drink or drug in a public place;
➢ Not appear in a public place in a state of intoxication.

Prohibition of Sexual Harassment of Working Women

No Government Employee shall indulge in any act of sexual harassment of any woman at her work
place.

Every Government employee who is incharge of a workplace shall take appropriate steps to prevent
sexual harassment to any woman at such workplace.

Prohibition from employing children below the age of 14 years

No Government employee shall employ to work any child below the age of 14 years.

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 Any breach of the aforesaid provisions of the conduct rules shall be construed as a misconduct on the
part of a Government employee for which he shall liable to be proceeded against under the Civil
Services (Punishment and Appeal) Rules for minor or major penalty.

Do’s and Don’ts for Central Government Employees as per CCS (Conduct) Rules

Do’s

1 Maintain absolute integrity at all times.

2 Maintain absolute devotion to duty at all times.
3 Maintain independence and impartiality in the discharge of your duties.
4 Maintain a responsible and decent standard of conduct in private life.
5 Render prompt and courteous service to the public.
6 Observe proper decorum during lunch break.
7 Report to your superiors the fact of your arrest or conviction in a Criminal Court and the
circumstances connected therewith, as soon as it is possible to do so.
8 Keep away from demonstrations organized by political parties.
9 Maintain political neutrality.
10 Manage private affairs in such a way as to avoid habitual indebtedness or insolvency.

11 If any legal proceedings are instituted against you for the recovery of any debt or for
declaring you as insolvent, report the full facts of such proceedings to the competent
authority.

12 Act in accordance with the government policies

13 Observe courtesy and consideration to Members of Parliament and State Legislatures.

14 In performance of duties in good faith, communicate information to a person in accordance

with the ‘Right to Information Act, 2005′ and the rules made there under.

Don’ts:

1 Do not enter into any private correspondence with Foreign Embassies or Missions/ High
Commission.
2 Do not accept lavish or frequent hospitality from any individual, industrial or commercial
firms, organizations, etc., having official dealings with you.
3 Do not accept any offer of the cost of passage to foreign countries or hospitality by way of
free board and lodging there, if such offers are from foreign firms contracting with
Government.
4 Do not accept invitations to you and members of your family for free inaugural flights
offered by Air India, Indian Airlines Corporation or Foreign Airlines.
5 Do not accept any gift from any foreign firm which is having official dealings.
6 Do not engage yourself in canvassing business of Life Insurance Agency, Commission

210
 Agency or Advertising Agency owned or managed by the members of your family.
7 Do not lend money to or borrow money from or deposit money as a member or agent, with
any person, firm or private company with whom you are likely to have official dealings. Do
not otherwise place yourself under pecuniary obligation with such person, firm or private
company.
8 Do not approach your subordinates for standing surety for loans taken from private sources
either by you/your relations/friends.
9 Do not undertake private consultancy work.
10 Do not speculate in any stock, share or other investment.
11 Do not purchase shares out of the quota reserved for friends and associates of Directors of
Companies.
12 Do not bid at any auction of property where such auction is arranged by your own officers.
13 Do not stay as guest with foreign diplomats or foreign nationals in India.
14 Do not invite any Foreign Diplomat to stay with you as your guest in India.
15 Do not accept or permit your wife or dependants to accept passage money or free air
transport from a Foreign Mission / Government or Organization.
16 Do not bring any political influence in matters pertaining to your service.
17 Do not consume any intoxicating drinks or drugs while on duty
18 Do not appear in public place in a state of intoxication.
19 Do not indulge in any act sexual harassment of any women at her work place.
20 Do not employ children below 14 years of age.
21 Do not accept award of monetary benefits instituted by Private Trusts / Foundations, etc.
22 Do not make joint representations in matters of common interest.
23 Do not indulge in acts unbecoming of a Government servant.
24 Do not be discourteous, dishonest and partial.
25 Do not adopt dilatory tactics in your dealings with the public.
26 Do not convey oral instructions to subordinates. If any oral instruction is issued due to
urgency, confirm it in writing as soon as possible.
27 Do not practice untouchability.
28 Do not associate yourself with any banned organizations.
29 Do not join any association or demonstration whose objects or activities are prejudicial to
the interest of the sovereignty and integrity of India, public order and morality.
30 Do not give expressions to views on Indian or foreign affairs, while visiting foreign
countries.
31 Do not get involved in unauthorized communication of any official document or any part of
thereof or classified information to any Government servant or any other persons to whom
you are not authorized to communicate such document or classified information.
32 Do not join or support any illegal strike.
33 Do not give or take or abet giving or taking of dowry or demand any dowry directly or
indirectly from the parent or guardian of a bride or bridegroom.

211
34 Do not address the higher authority prematurely on the same issue unless it is established
that all the points or submission made earlier have not been fully considered by the
immediate superior head of office or any other authority at the lowest level competent to
deal with matter.
35 Do not use your official position or influence directly or indirectly to secure employment for
any number of your family in any company or firm.

Although, these conduct rules are applicable to the employees working in government institutions, but
they are equally valuable for the employees in private, semi government or other types of institutions as
these are the do’s and don’ts of the right behavior, moral values and conduct guidelines for any individual
to follow for a disciplined and professional approach to work and life.

Practice task

Q.1 Fill up the followings:

1. Oral directions to subordinate shall be ---------- as far as possible.
2. No Government employee shall be a ---------of or be associated with any political party
3. No Government employee shall employ to work any child below the age of-----------.
4. Conduct rules are applicable to the employees working in government institutions as well as in ---
--------.
5. There should ------ be any type of ------- against woman in the working place

Feedback:
1. Avoided
2. Member
3. 14 years
4. Government aided institutions
5. Not, sexual harassment

Conclusion
Promoting faculty and staff is one of the personnel policies of the best institutions. This way they are able
to retain their employees who are competent, specialized and well accustomed with the working and work
environment of the institute. This also, on one hand, leads to a great saving of cost which may have to be
spent on employing and training new employees, and on the other enhances the overall efficiency of the
institute due to higher work motivation of the retained employees. Appropriate compensation also
enhances the morale of the employees to work hard for enhancing the quality of services and the
institutional output. Application of conduct rules gives the clear guidelines about the do’s and don’ts for
better working, facilitating in better work culture in the institutions, and thereby an enhanced reputation in
the world outside.

Bibliography:
212
 1. Palwasha BIBI et.al. “ The Impact of Compensation and Promotional Opportunities on
Employee Retention in Academic Institutions: The Moderating Role of Work Environment”
International Journal of Economic Perspectives, 2017, Volume 11, Issue 1, 378-391.
15. Satyendra, Sept 1, 2015 Staffing – A Function of Management
16. Worku Fentie and Tariku Sime (2016). Staffing: Practices and Challenges International Journal of
Scientific and Research Publications, 6 (4):251-258
17. Lawrent, G. and Ndibalema, P., 2012. Staffing in Educational Institutions: Experiences from
Tanzania. GRIN Verlag.
18. Breaugh, J.A., 2009. Recruiting and attracting talent: A guide to understanding and managing the
recruitment process. SHRM Foundation’s Effective Practice Guidelines Series, pp.1-33.
19. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.
20. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.
21. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational Behaviour,
7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
22. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and application.
USA: Harper and Row Publisher.
23. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
24. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.
25. https://businessjargons.com/external-sources-recruitment.html
26. https://www.managementstudyhq.com/stages-of-recruitment-process.html
27. https://www.aicte-india.org/bureaus/administration/rules-regulations AICTE regulations on pay
scales, service conditions and minimum qualifications for appointment of teachers and other
academic staff in Technical Institutions and measures for the maintenance of standards in
Technical Education – (Degree) Regulation, 2019
28. http://www.tmv.edu.in/pdf/Distance_education/BCA%20Books/BCA%20V%20SEM/BCA-
525%20Principles%20and%20Practice%20of%20Mgmt-II.pdf

Supportive learning material: by Dr R.K. Sharma

Videos on:
• Promotion of Faculty & Staff
• Modified Assured Career Progression Scheme
• Conduct Rules
213
Web resources:
• Basics: Compensation https://www.youtube.com/watch?v=wZoRId6ADuo

214
 UNIT 8.8

STAFFING: FINANCIAL AND PURCHASE PROCEDURES FOR

INSTITUTIONAL MANAGEMENT

Content Page No
Broad Objective 3

Learning Outcomes 3

Introduction 4

8.8.1 Financial Procedures 4

➢ Guidelines for Financial Management in Institutions

➢ Need of Financial Management in Educational Institutions:-
➢ Stake holders to Educational Institutions
➢ Financial Information required by educational institution
➢ Sources of Financial Information
➢ Financial Management of Educational Institute
➢ Functional aspect of financial management
➢ Importance of financial planning in educational institute
➢ Financing Higher Education in India
➢ Accounting Standards in Higher Educational Institutions
➢ Accounting Practices in Educational Institutions
➢ Setting Accounting Standards for Education Institutions
➢ Responsibilities of Government Auditor and Internal Auditor
➢ Objectives of financial planning
Conclusion 18

Practice task 19

Feedback 19

8.8.2Purchase Procedures 20

➢ General Financial rules procedure regarding procurement and

inventory
➢ Public Account
➢ Finance Accounts
➢ Presentation of Annual accounts
➢ Administrative Ministries / PSUs / Subordinate / Statutory /
Autonomous
➢ Annual Accounts
➢ Proforma Accounts

215
 ➢ Capital And Revenue Accounts
➢ Conversion of outstanding loans into equity investments or grants-
in-aid
➢ Procurement Of Goods And Services
➢ E-Publishing
➢ E-Procurement
➢ Recommendations for effective control to adopt General financial
rules for procurement of goods and services procedure in
Educational Intuitions
Practice task 34

Feedback 34

Conclusion 35

Bibliography 35

216
 UNIT 8.8

STAFFING: FINANCIAL AND PURCHASE PROCEDUR

ES FOR INSTITUTIONAL MANAGEMENT

Author: Mr. JS Bali

NITTTR, Chandigarh
Broad objective:
After going through this unit, the learner shall be able
understand the importance of financial management in an
academic institution by following applicable rules and
procedures regarding financial and purchase management as
provided in General Financial Rules, 2017.

Learning outcome:
After going through this material the learner shall be able to:

• Understand the Concept and salient features of financial planning

• Appreciate the need of financial management in educational institutions

• Understand the financing of higher education in India

• Understand the functional aspect of financial management

• Understand accounting standards in higher educational institutions

• Understand Important terminology in GFR 2017

• Know about Annual accounts and capital and revenue accounts

• Know and apply procedure for procurement of goods and services
• Apply E-Publishing and E- Procurement
• Use recommendations for effective control to adopt General financial rules for procurement of
goods and services procedure in Educational Institutions

217
Introduction:
Management of finances is one of the most important activities which lead to the success or failure of
any institution because this is the resource which gets going every activity undertaken by any
institution. For this purpose government has given some guidelines which act as a road map in the
management of finance. Although these guidelines are applicable for government/government aided
institutions, but private institutions can also use these as a fundamental basis for their financial
management.
The inputs in this unit have been designed to provide learners the fundamentals of General Financial
Management based on GFR 2017. This unit also provides inputs regarding procurement of goods and
services by the institution.

8.8.1 Financial Procedures

➢ Guidelines for Financial Management in Institutions

Concept and Salient features of Financial Planning

The concept of finance in educational institution is much different than conventional business or
profit making organization. The educational institution looks at finance from a different point of
view. They consider financial functions as a basic activity to manage funds for research,
development and maintenance of institute Educational institute often do not have adequate
sources of funds, balance between receipts and payment are hardly matched. Often the dearth of
funds is major constrain in development of these institutions. The need for efficient financial
management arises due to resources scarcity, inadequacy of funds and limited sources of revenue.
Therefore every educational institute must go for efficient and systematic financial management.
Following are the characteristics of finance function in educational institution.

❖ Financial planning is focused at systematic acquisition and development of funds

❖ The purpose of finance planning is stabilization of financial position.

❖ Sources of finance in educational institution are restricted by nature. It is because of

regulatory frame work for governance the educational institute.

218
 ❖ The principle source of revenue for educational institute are related with internal resource i.e.
fees / charges and external sources are like Grant in aid, donations etc.

❖ The fees are defined by the regulatory institution. As such the education institution cannot
change fees more than as what is guided by regulatory institute or bylaws of institute. It is
not the discretion of the institute to revise the fees at will. Educational institution cannot take
unspecified fees without prior permission of the regulatory bodies. Especially fees like
capitation fees or fees based on donation or donation related objectives. Often it is not
permitted by regulatory authority without prior sanctioned.

Other fees and sources of revenue like Grants in aid are decided a formula set by the government.
The grants are offered for the specific purpose and cannot use for the purpose other than specified
purpose.

The salient features of financial management in educational institute are as under :-

❖ Anticipating financial needs – To prepare estimate of financial requirements for specific

scheme.
❖ Acquiring financial resources – To procure funds through select sources of receipts.

❖ Allocating funds to scheme – To ascertain requirements and allot funds.

❖ Administrating the allocation of funds – To maintain control of process, fund utilization.

❖ Analyzing the performance of funds – To measure the extent of achievements of goals.

❖ Accounting and reporting to management – To justify the fund utilization and supplies the
report of the same.

➢ Need of Financial Management in Educational Institutions:-

The term finance is indicated explaining importance of finance, funds and money in particular
institution or for a particular activity. Nothing can be simply achieved unless and until every
institute works out for efficient financial management.

The function of finance is usually comprises of their basic activities; These are:-

❖ Acquisition

❖ Allotment

219
❖ Distribution of profit or surplus

• Acquisition – Unless and until an institute acquires fund, it cannot allot it to any
activity as we all know sources of funds are limited. Money surplus is restricted and
no one can generate money at will. Acquisition of funds therefore is a tough and
critical task. More the sources of finance better will be the scope of acquisition of
funds.

However, no institution can acquire finance and funds at will. The capacity to acquiring
funds depends on following factors:-

❖ Nature of the Institute / business

❖ Tenure of services

❖ Reputation and credibility acquire

❖ Types of services offered

❖ Cost of production and generation of services most likely set of users or

beneficiaries

❖ Type and nature of stake holders

❖ Willingness and ability of users and beneficiaries to pay for the services offer

❖ Continuity or perpetually of demands for services

❖ Internal strength of institute to generate its own funds

❖ Patronage or benevolent assistance available

The acquisition of fund is also determined by certain other features such as

❖ Philosophy of the institute

❖ Vision, mission and goals of the institute

❖ Regulatory from work

❖ Competitive environment

220
The concept of acquisition thus has many dimensions. It will be difficult to relay on own
particular factor to decide the sources of fiancés or mode of acquisition of funds.

• Allotment of Fund - Educational institution and even other institute not working for
profit find it difficult t make a rational, judicious and adequate allotment of funds to
variety of activities. There are men constraint and factors that restrict proper
allotment funds. The tangible factors restricting allotment of funds are

❖ Nature of activity undertaking

❖ Revenue and capital aspects of expenditure

❖ Needs for various departments or services

❖ Availability of funds

❖ Requirement and expectation of beneficiaries and users

❖ Regulatory requirements

❖ Managerial requirements

❖ Necessary expenses for effective organization and working of the system.

• Distribution of Funds - It is one of the important aspects of financial management.

The institute has to be rationale while distributing its profit and surplus. It is
especially for institute not working for profit because such institute usually has
limited sources of earnings. These institutes cannot sustain the pressure of shortage
or scarcity of funds. These institutes have selective priorities which they need to
satisfy into order to sustain of grow. Therefore these institutions have to design their
strategies for survival and development.

Educational institutions have to be more cautions and judicious while distributing of

funds. Following are the determinants that decide the distribution aspect of financial
management.

❖ The educational institutions usually do not have sustainable long term financial
sources. Often they have to depend upon earning on certain revenue sources. As such,
their choice of earnings is restricted.

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 ❖ The sources of revenue are determent and specific. It is very difficult for educational
institutions to change these sources.

❖ The heads of earnings are often regulatory system. Therefore educational institutions
have limited heads to enhance the earning sources.

❖ The heads of expenditure are also predetermined. Educational institutions can not
reduced expenses on certain basic areas of activities. This is also restricting their
freedom of distribution.

❖ The volume of surplus of educational institution is often very scanty; as such

allocation of funds is definitely challenging issue.

❖ The margin of surplus has to be allocated to capital reserves and general reserves
funds. Often the bylaws of such institution do not permit distribution of funds unless
and until the provision is made for such reserve.

❖ Though educational institute do not pay a part of profit to their stake holders in form
of dividend or share of profit. However, there is a limited surplus available even for
general welfare.

❖ For educational institution distribution of funds or welfare and general development or

expansion is one option. However, there are limited chances for diversification and
expansion of educational activities.

➢ Stake holders to Educational Institutions

There are different types of stake holders in educational institutions. The set of stake holders is
quite diversified and multiform in nature. The stake holders do not have contradictory approach to
perceive. Now every where there is limited interaction and cohesiveness in the activities of these
stake holders.

The important stake holders in educations are back bone and have valuable impact on the
financial Planning enlisted as below:-

❖ The management – It is the principle stake holders in educational institutions without lead
role of management or its representation educational institution do not come in to existence.
Management can be group of person from same or different walks of life which comes

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 forward to establish the institute with particular motive, cause or purpose. The stake holders –
Management are pioneer for establishing of institute, trust or body.

The principle purpose for establishing an educational institute by the management is to

perceive a cause promote and justify or expand the scope of educational activity for
particular class or mass.

❖ Administrators and Managers of governing bodies – Any institute whether it may be

educational or other are organized, administered or managed by people who administrated
these institutes with the help of certain select skills and abilities. The administration includes
Director, Board of Governors, Principal, Registrar, Establishment and Accounts Officers etc.
or all those who are involved in governance of these institutes. Administrators usually are
people who set policy and procedures and programs for the development of healthy
educational culture.

❖ Faculties – The faculties can be rightly known as backbone of educational institutions. They
offer their skills, ability and talent as well as work for a particular educational cause. No
educational institute can be imagining without faculties It helps in development of
curriculum, education system, activities and programs.

❖ Non Teaching Staff – It includes officers, clerks and support staff that work for
implementation of policies of educational institutes. Institute cannot run effectively and
efficiently without proper contribution of non – teaching staff. It is a crux to maintain
discipline and order. Most of the policy regarding planning, governance and achievement of
goals are effectively deployed only through administrative staff.

❖ Students – The sole purpose of educational institution is to help and served the student. It is
the focal point of entire education system. The whole system revolved around him. He is the
principle stake holder of the entire system. Education system works for promotion,
development and advancement of education culture which ultimately enriches the quality of
the learners. Hence, principle purpose of educational institute is to develop a learner friendly
plan.

❖ Parents – Parents are the intermediate beneficiaries. They are indirectly benefited through
development of their wards. Educational development of children leads to their concern and
personally enhancement, which in term enhance their chances of success in life. Therefore
every person as parents wants his wards to take good education.

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 ❖ Potential employees – Getting quality persons as employees is the key issue before every
employer unless and until the employers get trained educated employees or potential
employees. They cannot maintain efficiency of the unit, providing skilled and caliber
employees is the one of the principle purpose of educational institute. From this view
employees are major stake holders of educational institute.

❖ Society – society has the great stake in educational institute. Building of good citizenship
cannot do with appropriate and quality education. Society needs citizen with character,
competi tance and society cannot grow without good citizenship competent employee’s
caliber like scientist, engineers, architects, farmers and workers, artisans. Hence, society has a
great stake in educational institutions.

➢ Financial Information required by educational institution

The success of institute mainly depends on swiftness, acumen prudence ability to acquire and used
financial information. In true sense well managed educational institution are the institute that
maintained right set of required financial information.

Getting desired, necessary and timely information is the principle challenge before most of
educational institution. The roll of finance department in acquiring this information is very critical
unless and until educational institute acquire this financial information, their survival cannot be
ensured.

Following are the various types of financial information required by educational institute.

❖ Information regarding financial challenges happening in economy at large.

❖ Information regarding various rules and regulations influencing functioning of financial

information.

❖ Deciding the right sources to procure financial information.

❖ Ascertaining the accuracy and reliability of financial information.

❖ Deciding the utility and application of information so procure.

❖ Establishing appropriate system of information processing setting.

❖ Establishing right procedure of management reporting system.

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 ❖ Identifying the important information required by management and providing necessary data
inputs.

❖ Benefiting the information to meet regulatory requirement and developing suitable reports as
well as formats.

➢ Sources of Financial Information

There are different sources websites/internet sites Government /Department /UGC/AICTE/PFMS

etc. rom where the requisite financial information derived by the Institute regarding :-.

❖ Directives, circulars, notifications, government resolutions and other orders issued

government agencies from time to time.

❖ Directives and reports of the educational department.

❖ Published annual reports and other financial data of the educational institute.

❖ Internally generated financial report receipts, pay statements and other financial statement.

❖ Observation, reports and articles published in journals related with education.

❖ Guidelines issued by UGC /AICTE and other apex educational institute.

➢ Financial Management of Educational Institute

Financial management is the core aspect of the management. Educational institute acquire funds
from certain select and define sources.

These sources cannot be modified and enhanced with each case. On the contrary there are still
many limitations on procurement of funds.

Whereas educational institute are expected to provide multiple educational services for which
huge amount of funds is required, this cannot be rightly meet. Thus there is a significant gap
between sources of finance and their application in educational institute which demands a more
systematic and rational concept of financial management.

➢ Functional aspect of financial management

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Financial management is a process, discipline and techniques of effective fund utilization. As
such financial management covers a large number of functional areas related with different
activities of the institute.

•• Functional
FunctionalAreas
Areasof
ofFinancial
FinancialManagement
Management
Functional
Areas of
Financial
Management

Determining financial needs

Determining sources of funds

Financial analysis

Optional capital structure

Fixed assets management

Capital budgeting

❖ Determining financial needs – Ascertained various purposes for which funds will be
utilized.
❖ Determining sources of funds – Identifying the sources like fees, donation, grants
etc.

❖ Financial analysis – Ascertained areas where funds shall be deployed.

❖ Optional capital structure – To design suitable capital structure that meets current as
well as future requirements of institute.

❖ Fixed assets management – To identify various equipments and their effective

utilization.

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➢ Importance of financial planning in educational institute

Educational institute need to perform will and they are the backbone of modern society. For
efficient and perpetual good performance, it is necessary that educational institute must
maintained financial soundness. This is not possible without having a good successful financial
planning.

Good educational institute develop appropriate provisions for systematic fund management. This
requires proper understanding of funds and utilization of funds. Educational institute cannot
maintain the health and strength, it the funds are scarcity and therefore these institutes need to
work for development of a suitable financial planning.

Financial planning can be addressed many challenges before educational institute Features of
sound financial planning for educational institute.

Though financial planning is required an essential by every educational institutions. However, it

must be based on sound principles and appropriate policy. A soundness and appropriateness of
financial system of planning depends upon variety of factors. The principle features of good
financial planning in educational institute can be identified as follows.

❖ Philosophical basis of financial management – Every organization works with a

particular philosophy and set of principles. Educational institutions are not exception to
it. They usually established and work with philosophy of service towards society. Profit
making is not the criterion.

❖ Estimating objectives – It is another critical area. It is estimating goals and objectives.

Every financial function has to have certain goals. These goals are tune in philosophy of
the organization. It goals gives a direction to the functioning of the organization and its
approaches to address functional and operational products.

❖ Policy formulation – Finance is a matter of perpetual monitoring and performance, as

such it is necessary. It is that policy be formulated to execute the decision.

❖ Forecasting - This involves estimation of demands, fund requirement and management

in which the funds shall be utilized. Forecasting minimize risk and gap in demand for
funds.

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 ❖ Development of procedures – functional aspect cannot be rightly executed without
efficient, systematic and well-defined procedures. That is now the financial function is
rightly performed

➢ Financing Higher Education in India

After Independence higher education in India has been largely financed by the government with
the social institutions progressively withdrawing. The government's share has steadily increased
from 49% in 1950-51 to about 90% today.
It is widely accepted that there is an acute shortage of resources in the education sector in India.
Economic reforms and associated requirements of fiscal discipline have aggravated the situation.
By contrast, however, official sources claim that significant progress has been made in financing
education. In India over the last sixty years there have been major changes in the level of
financing of higher education and in priorities attached to different sectors within it. Higher
Education had been rather neglected by the early planners.
The empirical study reveals that the various recommendations as also Five Year Plans and Policy
statements recommend and emphasize to increase the percentage of plan expenses on higher
education. However, policy statements and implementation do not always go together. Actual
expenditures in the education sector have fallen far short of these targets. These recommendations
repeatedly emphasize the need for higher investment in education and the importance of different
levels of government in its financing.
The government is unable to make large allocations for higher education Private initiatives
become necessary and society in general, and industry in particular will have to play a larger role
in higher education.
Industry should come forwards to finance and design institutions that meet its specific
requirement. It is hoped that an early decision will be taken on the Private Universities Bill that is
on the agenda before Parliament.
While mobilization of resources from private sources is a necessity, it should not be forgotten that
higher education is integrally related to socio-economic development and no government can
afford to allow it to languish for want of funds in this context, the suggestion.
The UNESCO has rightly taken a view that education including higher education, significantly
contributes to the development of nation-states. The World Conference on higher education held
in Paris in October 1998 firmly stated that higher education is 'a public service'.
Thus, any nation-state treating it otherwise may seriously affect its ability to face the challenges
of knowledge society of the 21st century.

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➢ Accounting Standards in Higher Educational Institutions
Admittedly, accounting is a language of a college or university, It speaks about the state of the
financial management whether an institution is appearing well or not as the institutions have been
financed by Government, UGC, industries, business houses, donors, general public, so on and so
far. What is required is complete transparency in accounting methods and standards. Accounting
standards setting exercise has been initiated and persuaded by accounting bodies all over the
world, during the past three decades. In India the Accounting Standard Board constituted by
ICAR shoulder the responsibility on formulating the accounting standards for various
organizations in general and for business and industries in particulars.
It is necessary to understand the major users and their requirements with reference to education
institutions.
A set of standards for accounting information and guidelines for its communication depends upon
an examination of who are the major users of accounting information and for what purpose they
require such information.
Following are the stakeholders, who have every right to the access of accounting information.

❖ State Government:
The State Government provides maintenance grant for salary and non salary expenses to
colleges and universities. The Government through its Regional Joint Director Office carries
out yearly assessment and periodical audit.
Therefore, the state government requires information about the receipts of tuition fee, other
fees etc. and salary and non-salary expenses with reference to grantable criteria as laid down
in grant-in-aid code, and the utilization of other fees such as library fees, gymkhana fees,
magazine fees, extension activities fees etc.

❖ UGC/AICTE and other Funding Agencies such as S & T Department:

UGC and other agencies provide financial assistance for development of under graduate
education and post graduation departments which satisfy the conditions laid down by UGC &
such funding agencies. The UGC and such funding agencies require information as per their
requirements about the grants sanctioned, released and utilization thereof, compliance of
terms & conditions, completion of work, target etc.

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❖ Trustees, members of the Society, Donors, etc.:
They provide initial finance for establishment of colleges and fulfilling deficit in running the
colleges. They require information about receipt of funds, donations, utilization thereof and
reasons of deficit. 2015

❖ Industries, Business houses, Alumni associations, NRIs, etc.: With a view to mobilize
external resources for various development plans and projects through participation,
contributions from individual Indians or non residential Indians, Alumni Associations, public
and family trusts, industries, business houses, co-operatives, professional associations,
employees unions/associations, Municipalities, municipal corporations, are often contacted
and funds are raised. This category of funding persons/agencies require information about the
beneficiary of project/plans, funds raised and received utilization thereof and achievement of
goals, targets, … etc.

❖ Employees' and Teachers' Organization: Employees and Teachers are concerned with the
financial stability and sound financial management of the educational institutions. It indicates
the scope for possible wage and fringe benefit increases and security of employment and
retirement benefits, etc.

❖ Parents, Students: They are the backbone of every educational institution. Students pay
tuition fees and other fees to college; and eligibility fee, examination fee etc. to universalities.
They are concerned with the effective utilization of their fees and returns thereof with
reference to quality teaching, good extension activities, souvenir/magazines, seminars,
cultural activities, conduct of examination, timely declaration of eligibility and examinations
results, timely issue of mark lists and degree certificates and counselling guidance and
placement services, if possible.

❖ Society at Large: As higher education is main instrument of social transformation and the
government funds are given to educational institutions out of taxes paid by the society at
large, it is concerned with the effective and proper utilization of funds and scarce resources
by the educational institutions, universities and colleges.

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 ➢ Accounting Practices in Educational Institutions
There are defiantly gaps in accounting practices in mainly educational institutions, universities and
colleges. It is unfortunate to state that there is no transparency in financial management and
accounting practices in educational institutions.
It is also unfortunate that there is no mechanism to detect such gaps, misappropriation of funds and
changes in utilization of funds.

➢ Setting Accounting Standards for Education Institutions

The main aim of setting Accounting Standard is to bring about uniformity in financial reporting and
to ensure consistency and comparability in the data submitted by educational institutions. Standards
for accounting information ought to be attended by an accounting system in providing information
needed by the aforesaid seven types of users.
The standards determine the quality of information. Hence usefulness of accounting data is to be
ensured. While standards are closely related to accounting theory, there is difference between two
in that accounting theory is concerned with attributes of the accounting system itself, whereas
accounting standards are concerned with the quality of the information generated by that system.
43 As there are gaps in accounting standards laid down by Institute of Chartered Accountants of India
(ICAI), standards may be set either by the government, university and/or management of the
colleges or educational institutions. The concepts and standard underlying accounting for financial
reporting purpose are called generally accepted accounting principles. There may be a number of
approaches. The determination of certification of current major practice: a common law approach
i.e. case by case as a distillation of experience and the use of an implicit or explicit conceptual
frame work is needed.

➢ Responsibilities of Government Auditor and Internal Auditor

It is often noticed that these two agencies carry out their responsibility without any preset
accounting standards. The entire task of auditing the accounts and financial management of
educational institutions is taken very lightly. The control over effective utilization of scarce
resources is often diluted.
It is, therefore, high time to define the role and responsibilities of auditors of educational
institutions and the accounting standards and practices.
No doubt the interest of all the aforesaid users of educational institutions must be safeguarded.
Internal audit system must be implemented with quality and seriousness; management control
system must be perfect and effective. Misappropriation, frauds, misrepresentations must be

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 detected and curbed at their initial stage. Auditions must see whether the accounting standard
have been strictly followed by the educational institutions or not.

➢ Objectives of financial planning :

The purpose of financial planning are :-

❖ To understand the concept of financial management and its importance.

❖ To examine the need for financial management in educational institutions.

❖ To study the silent features of financial management of educational institutions.

❖ To understand the process and practices of financial management in educational

institutions.

❖ To know various financial systems implemented in the institutions.

❖ To enlist the limitations and weaknesses of prevailing financial system.

Conclusion
The Financial management of higher educational institution does include the aforesaid issues and
problems pertaining to financing pricing, accounting standards and gaps in practices in
universities and colleges. In the fast changing socio-economic context, the higher education
system will be exposed to greater pressure for expansion, which needs effective pricing of the
higher education so as to provide comprehensive finances to university & colleges.
At the same time utilization of finance & funds must be strictly in accordance with the set terms
and conditions, rules and regulations. The accounting standards must be widely accepted in
practice in which the statutory obligation should be increased and ensured in consultations with
the professional and regulatory bodies including ICAI, UGC, NAAC etc.
The gaps in practices should be seriously detected and checked so as to safeguard the interests of
the persons and bodies financing the higher education. The effective information system should
be ensured to satisfy the aforesaid users of accounting information.

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 Practice Task
1. The function of finance is usually comprises of their basic activities; These are:-
a) Acquisition
b) Allotment
c) Distribution of profit or surplus
d) All of the above
e) None of the above.
2. Functional Areas of Financial Management

a) Determining financial needs & sources of funds

b) Financial analysis
c) Fixed assets management
d) Capital budgeting/ Optional capital structure
e) All of above
f) Only Sr. No ii) & iii) of above
3. The main aim of setting Accounting Standard in Institution is to bring about:-
a) Uniformity in financial reporting and
b) to ensure consistency and comparability in the data
c) None of the above
d) All of the above

4. The important stake holders in educations are back bone and have valuable impact on
the financial Planning enlisted as below:-

a) The management/ Administrators and Managers of governing bodies

b) Faculties/ Non Teaching Staff
c) Students/ Parents
d) Potential employees/ Society
e) All of the above

Feedback
1. d 2. e 3. d 4. E

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8.8.2 Purchase Procedures
➢ General Financial rules procedure regarding procurement and inventory
As we are aware that in the Government departments as well as in Institutions who generally
functioning with financial assistance i.e. Grant-in- aid/ Loans and advances /subsidies etc .are
required to follows the rules and procedure as defined under GFR-2017 for the procurement of goods
and services, incurring contingent expenditures, Pay and allowances wages and advances to
Government servants etc. as per sanctions and instructions received from time to time form the
concerned administrative departments. Therefore, It is mandatory to knows basic concepts /
Classification of Government functions at each level as defined below :-
❖ Short Title and Commencement:
These rules may be called General Financial Rules, 2017 and they shall come into force at once
and shall be applicable to all Central Government Ministries/Departments, attached and
subordinate bodies. The provisions contained in GFRs are deemed to be applicable to
Autonomous Bodies except to the extent the bye-laws of an Autonomous Body provides for
separate Financial Rules which have been approved by the Government.
❖ Definition :
In these rules, unless the context otherwise requires-
• “Accounts Officer” means the Head of an Office of Accounts or the Head of a Pay and
Accounts Office set up under the scheme of departmentalization of accounts;
• “Administrator” means Administrator of a Union Territory, by whatever name
designated;
• “Appropriation” means the assignment, to meet specified expenditure, of funds
included in a primary unit of appropriation;
• “Audit Officer” means the Head of an Office of Audit;
• “Competent Authority” means, in respect of the power to be exercised under any of
these Rules, the President or such other authority to which the power is delegated by or
under these Rules, Delegation of Financial Power Rules or any other general or special
orders issued by the Government of India;
• “Comptroller and Auditor General” means the Comptroller and Auditor General of
India;
• “Consolidated Fund” means the Consolidated Fund of India referred to in Article 266
(1) of the Constitution;
• “Constitution” means the Constitution of India;

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 • “Contingency Fund” means the Contingency Fund of India established under the
Contingency Fund of India Act, 1950, in terms of Article 267 (1) of the Constitution;
• “Controlling Officer” means an officer entrusted by a Department of the Central
Government with the responsibility of controlling the incurring of expenditure and/or
the collection of revenue. The term shall include a Head of Department and also an
Administrator;
• “Department of the Government of India” means any of the Ministries, Departments,
Secretariats and Offices as notified from time to time and listed in the First Schedule to
the Government of India (Allocation of Business Rules);
• “Drawing and Disbursing Officer” means a Head of Office and also any other
Gazetted Officer so designated by a Department of the Central Government, a Head of
Department or an Administrator, to draw bills and make payments on behalf of the
Central Government. The term shall also include a Head of Department or an
Administrator where he himself discharges such function;
• “Ministry of Finance” means the Ministry of Finance of the Central Government;
• “Financial Year” means the year beginning on the 1st of April and ending on the 31st
of March
• “Government” means the Central Government;
• “Government Account” means the account relating to the Consolidated Fund, the
Contingency Fund and the Public Account; as defined in these rules;
• “Head of the Department’ means an authority or person (not below the rank of a
Deputy Secretary to the Government of India), declared by the concerned Department in
the Government of India as a Head of Department in relation to an identifiable
establishment or establishments to exercise the delegated financial powers under these
Rules;
• “Head of Office” means (a) (a) a Gazetted Officer declared as such in the Delegation of
Financial Powers Rules and (b) any other authority declared as such under any general
or special orders of the competent authority .

➢ Public Account- in the part-III, transactions relating to debt (other than those included in Part-
I), reserve funds, deposits, advances, suspense, remittances and cash balances shall be recorded.

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❖ Classification of transactions in Government Accounts.
As a general rule, classification of transactions in Government Accounts, shall have closer
reference to functions, programme and activities of the Government and the object of revenue
or expenditure, rather than the department in which the revenue or expenditure occurs Major
Heads (comprising Sub-Major Heads wherever necessary) are divided into Minor Heads.
Minor Heads may have a number of subordinate heads, generally known as Sub Heads. The
Sub Heads are further divided into Detailed Heads followed by Object Heads. The Major
Heads of account, falling within the sectors for expenditure heads, generally correspond to
functions of Government, while the Minor Head identify the programmes undertaken to
achieve the objectives of the functions represented by the Major Head. The Sub Head
represents schemes, the Detailed Head denotes sub scheme and Object Head represent the
primary unit of appropriation showing the economic nature of expenditure such as salaries and
wages, office expenses, travel expenses, professional services, grants-in-aid, etc. The above
six tiers are represented by a unique 15 digit numeric code.

❖ Public Financial Management System (PFMS) :—

• Public Financial Management System (PFMS), an integrated Financial Management
System of Controller General of Accounts, Government of India, shall be used for sanction
preparation, bill processing, payment, receipt management, Direct Benefit Transfer, fund
flow management and financial reporting
• All the ministries sanctioning grant-in- aid shall register all implementing agencies till last
level of implementation on PFMS to track fund flow and unspent balances.
• All the payment, to the extent possible shall be released ‘just-in-time’ by the Ministries
through PFMS.
• Detailed Demand for Grants (DDG), as approved, must be uploaded on PFMS at the start
of each Financial Year.
• All the re-appropriation orders, surrender order shall be generated through PFMS system.
• All grantee institutions shall submit Utilization Certificates on PFMS.

➢ Finance Accounts.
Annual accounts of the Government of India (including transactions of Department of Posts
and Ministries of Defence and Railways and transactions under Public Account of India of
Union Territory Governments), showing under the respective Heads the annual receipts and
disbursements and statement of balances for the purpose of the Union, called Finance

236
 Accounts, shall be prepared and signed by the Controller General of Accounts countersigned
by the Secretary (Expenditure), Ministry of Finance.

➢ Presentation of Annual accounts.

The Appropriation and Finance accounts mentioned above, shall be prepared by the respective
authorities on the dates mutually agreed upon with the Comptroller and Auditor General of
India, in the forms prescribed by the President on the advice of the Comptroller and Auditor
General of India and sent to the latter for recording his/her certificate. The certified Annual
Accounts and the Reports relating to the accounts shall be submitted by the Comptroller and
Auditor General of India to the President in accordance with the provisions of Section 11 of
the Comptroller and Auditor General’s (Duties, Powers and Conditions of Service) Act, 1971
and Clause (1) of Article 151 of the Constitution of India.

➢ Administrative Ministries / PSUs / Subordinate / Statutory / Autonomous Bodies

may have financial stakes in Public Private Partnerships (PPP)/ Production Sharing Contracts
(PSCs)/ Joint Ventures (JV’s)/ Subsidiary companies etc. In such case details of the financial
stakes of the Government or other entities mentioned above, should be disclosed in the Annual
Report of the Administrative Ministry.

• Ministries/Departments will use PFMS platform for processing of payments for cash / in
kind transfers to individual beneficiaries as per framework laid down by Department of
Expenditure, Ministry of Finance.
• Implementing Agencies shall generate Electronic Utilisation Certificate (E-UCs) on
PFMS portal and submit them online. E-UCs shall be used to certify that money was
actually utilized for the purpose for which it was sanctioned to eliminate the need for
physical generation of UCs.
• Transaction charges for the financial intermediaries facilitating DBT payments shall be
paid as stipulated by Ministry of Finance by the department.

➢ Annual Accounts

❖ Appropriation Accounts. Appropriation Accounts of Central Ministries (other than

Ministry of Railways) and of Central Civilian Departments (excluding Department ofn

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 Posts and Defence Services) shall be prepared by the Principal Accounts Officers of the
respective Ministries and Departments (under the guidance and supervision of the
Controller General of Accounts) and signed by their respective Chief Accounting
Authorities i.e., the Secretaries in the concerned Ministries or Departments. Union
Government Appropriation Accounts (Civil) required to
❖ Maintenance and submission of subsidiary accounts and statements by department
units.
The Head of the unit shall arrange to obtain the orders of Government regarding the nature
and form of subsidiary accounts and statements, if any. Such accounts and statements shall
be submitted to the Accounts Officer on such date as may be required by him. The same
shall be appended to the Appropriation Accounts of each year.

➢ Performa Accounts

❖ Subsidiary Accounts of Government Departments undertaking commercial activities.

Where the operations of certain Government Departments working on a commercial or
quasi-commercial basis e.g., an industrial factory or a store cannot be suitably brought
within the cash based Government accounting system, the Head of the units shall be
required to maintain such subsidiary proforma accounts in commercial form as may be
agreed between Government and Comptroller and Auditor General of India. This includes
the maintenance of suitable Manufacturing, Trading, Profit & Loss Accounts and Balance
Sheet.

➢ Capital And Revenue Accounts

❖ Capital Expenditure.
Significant expenditure incurred with the object of acquiring tangible assets of a permanent
nature (for use in the organisation and not for sale in the ordinary course of business) or
enhancing the utility of existing assets, shall broadly be defined as Capital expenditure.
Subsequent, charges on maintenance, repair, upkeep and working expenses, which are
required to maintain the assets in a running order as also all other expenses incurred for the
day to day running of the organisation, including establishment and administrative
expenses, shall be classified as Revenue expenditure. Capital and Revenue expenditure
shall be shown separately in the Accounts.

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➢ Conversion of outstanding loans into equity investments or grants-in-aid.

Government takes from time to time, suitable measures to strengthen/ restructure the Capital
base of public sector enterprises so that these enterprises can improve their performance and
productivity. As a part of the package scheme, financial relief in the form of conversion of
outstanding loans into equity investments or grants-in-aid are also agreed to. Where loans
outstanding against Public Sector Undertakings are proposed to be converted into equity
investments in or as grants-in-aid to the Public Sector Undertakings, the approval of the
Parliament to such proposals, shall be obtained by including a token provision in the relevant
Demands for Grants or Supplementary Demands for Grants as may be found expedient. The
details of such conversion of loans may be explained in the relevant Budget/Supplementary
Demand documents. After obtaining the approval of the Parliament, the balances under loans
and the progressive expenditure of the Capital Heads of Accounts shall be corrected
proforma in the relevant Accounts of the Union broad principle that Revenue should pay or
provide a fund for the adequate re- placement of all wastage or depreciation of property
originally provided out of capital grants. Only the cost of genuine improvements, which
enhance the useful life of the asset whether determined by prescribed rules or formulae, or
under special orders of Government, may be debited to Capital. Where under special orders
of Government, a Depreciation or Renewals Reserve Fund is established for renewing assets
of any commercial department or undertaking, the distribution of expenditure on renewals
and replacements between Capital and the Fund shall be so regulated as to guard against over
capitalization on the one hand and excessive withdrawals from the Fund on the other.

Expenditure on account of reparation of damage caused by extraordinary calamities such as

flood, fire, earthquake, enemy action, etc., shall be charged to Capital, or to Revenue, or
divided between them, depending upon whether such expenditure results in
creation/acquisition of new assets or whether it is only for restoring the condition of the
existing assets, as may be determined by Government according to the circumstance of each
case.

Expenditure on a temporary asset cannot ordinarily be considered as a capital expenditure

and shall not, except in cases specifically authorized by the President on the advice of the
Comptroller and Auditor General of India, be debited to a Capital Head.

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➢ Procurement Of Goods And Services

As in above Para’s , the efforts made to explain accounting procedure ,definitions

terminology being applied in accounting system recalled to refresh the practical knowledge
of all concerned, for their awareness, how the Government or Institutions accounts are to
be maintained . Now we are going to explain the General financial rules and procedure
regarding procurement of the goods and services

❖ Authorities competent to purchase goods. An authority which is competent to incur

expenditure may sanction the purchase of goods required for use in public service in
accordance with provisions in the Delegation of Financial Powers Rules, following the
general procedure contained in the following rules.
Procurement of goods required on mobilisation Procurement of goods required on
mobilisation and/ or during the continuance of Military operations shall be regulated by
special rules and orders issued by the Government on this behalf from time to time
.
❖ Powers for procurement of goods.
The Ministries or Departments have been delegated full powers to make their own
arrangements for procurement of goods. In case, however, a Ministry or Department does
not have the required expertise, it may project its indent to the Central Purchase
Organisation (e.g. DGS&D) with the approval of competent authority. The indent form to
be utilised for this purpose will be as per the standard form evolved by the Central
Purchase Organisation .

❖ Rate Contract.
DGS&D shall conclude rate contracts with the registered suppliers for such goods, which
are not available on GeM, and are identified as common use items and are needed on
recurring basis by various Central Government Ministries or Departments. DGS&D will
furnish and update all the relevant details of the rate contracts on its website. The
Ministries or Departments shall follow those rate contracts to the maximum extent
possible.

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❖ Government e-Market place (GeM) provided under Rule 149 of GFR-2017 - That
DGS&D or any other agency authorized by the Government will host an online
Government e-Marketplace (GeM) for common use Goods and Services. DGS&D will
ensure adequate publicity including periodic advertisement of the Items to be procured
through G-e-M for the prospective suppliers. The Procurement of Goods and Services by
Ministries or Departments will be mandatory for Goods or Services available on G-e-M.
The credentials of suppliers on GeM shall be certified by DGS&D. The procuring
authorities will certify the reasonability of rates. The G-e-M. portal shall be utilized by
the Government buyers for direct on-line purchases as under :-
• Up to Rs.50,000/- through any of the available suppliers on the G-e-M, meeting
the requisite quality, specification and delivery period.
• Above Rs.50,000/- and up to Rs.30,00,000/- through the G-e-M. Seller having
lowest price amongst the available sellers, of at least three different
manufacturers, on GeM, meeting the requisite quality, specification and delivery
period. The tools for online bidding and online reverse auction available on G-e-
M. can be used by the Buyer if decided by the competent authority.
• Above Rs.30,00,000/- through the supplier having lowest price meeting the
requisite quality, specification and delivery period after mandatorily obtaining
bids, using online bidding or reverse auction tool provided on G-e-M..
• The invitation for the online e bidding/ reverse auction will be available to all the
existing Sellers or other Sellers registered on the portal and who have offered
their goods/services under the particular product/service category, as per terms
and conditions of GeM.
• The above mentioned monetary ceiling is applicable only for purchases made
through G-e-M.. For purchases, if any, outside G-e-M. relevant GFR Rule shall
apply.
• The Ministries/Departments shall work out their procurement requirements of
Goods and Services on either “OPEX” model or “CAPEX” model as per their
requirement/ suitability at the time of preparation of Budget Estimates (BE) and
shall project their Annual Procurement Plan of goods and cycle from date of
issuing the tender to date of issuing the contract should be published when the
tender is issued.
• The Government Buyers may ascertain the reasonableness of prices before
placement of order using the Business Analytics (BA) tools available on GeM

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 including the Last Purchase Price on G-e-M, Department’s own Last Purchase
Price etc.
• A demand for goods shall not be divided into small quantities to make piecemeal
purchases to avoid procurement through L-1 Buying /bidding reverse auction on
G-e-M or the necessity of obtaining the sanction of higher authorities required
with reference to the estimated value of the total demand.

❖ Registration of Suppliers
• With a view to establishing reliable sources for procurement of goods commonly
required for Government use, the Central Purchase Organisation (e.g. DGS&D)
will prepare and maintain item-wise lists of eligible and capable suppliers. Such
approved suppliers will be known as “Registered Suppliers”. All Ministries or
Departments may utilize these lists as and when necessary. Such registered
suppliers are prima facie eligible for consideration for procurement of goods
through Limited Tender Enquiry. They are also ordinarily exempted from
furnishing bid security along with their bids. A Head of Department may also
register suppliers of goods which are specifically required by that Department or
Office, periodically. Registration of the supplier should be done following a fair,
transparent and reasonable procedure and after giving due publicity.
• Credentials, manufacturing capability, quality control systems, past performance,
after-sales service, financial background etc. of the supplier(s) should be carefully
verified before registration.
• The supplier(s) will be registered for a fixed period (between 1 to 3years)
depending on the nature of the goods. At the end of this period, the registered
• Performance and conduct of every registered supplier is to be watched by the
concerned Ministry or Department. The registered supplier(s) are liable to be
removed from the list of approved suppliers if they fail to abide by the terms and
conditions of the registration or fail to supply the goods on time or supply
substandard goods or make any false declaration to any Government agency or
for any ground which, in the opinion of the Government, is not in public interest.
• The list of registered suppliers for the subject matter of procurement be exhibited
on the Central Public Procurement Portal and websites of the Procuring Entity/ e-
Procurement/ portals.

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❖ Debarment from bidding.
• A bidder shall be debarred if he has been convicted of an offence—
o under the Prevention of Corruption Act, 1988; or
o the Indian Penal Code or any other law for the time being in force, for causing
any loss of life or property or causing a threat to public health as part of
execution of a public procurement contract.
• A bidder debarred under sub-section (I) or any successor of the bidder shall not be
eligible to participate in a procurement process of any procuring entity for a period not
exceeding three years commencing from the date of debarment . Department of
Commerce (DGS&D) will maintain such list which will also be displayed on the website
of DGS&D as well as Central Public Procurement Portal.
• A procuring entity may debar a bidder or any of its successors, from participating in any
procurement process undertaken by it, for a period not exceeding two years, if it
determines that the bidder has breached the code of integrity. The services on GeM
portal within 30 days of Budget approval.
• The bidder shall not be debarred unless such bidder has been given a reasonable
opportunity to represent against such debarment.
• Enlistment of Indian Agents. As per the Compulsory Enlistment Scheme of the
Department of Expenditure, Ministry of Finance, it is compulsory for Indian agents, who
desire to quote directly on behalf of their foreign principals, to get themselves enlisted
with the Central Purchase Organisation (eg. DGS&D). However, such enlistment is not
equivalent to registration of suppliers as mentioned under Rule 150.
• Reserved items another Purchase/Price Preference Policy.
(i) The Central Government, through administrative instructions, has reserved all items
of hand spun and hand-woven textiles (khadi goods) for exclusive purchase from
Khadi Village Industries Commission (KVIC). It has also reserved all items of
handloom textiles required by Central Government departments for exclusive
purchase from KVIC and/or the notified handloom units of Association of
Corporations and Apex Societies of Handlooms (ACASH).
(ii) Ministry of Micro, Small and Medium Enterprises (MSME) have notified
procurement policy under section 11 of the Micro, Small and Medium Enterprises
Development Act, 2006.
(iii) The Central Government may, by notification, provide for mandatory procurement of
any goods or services from any category of bidders, or provide for preference to

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 bidders on the grounds of promotion of locally manufactured goods or locally
provided services.
• Rule 154 provide that Purchase of goods without quotation Purchase of goods up to the
value of Rs. 25,000 (Rupees twenty five thousand) only on each occasion may be made
without inviting quotations or bids on the basis of a certificate to be recorded by the
competent authority in the following format.
“I am personally satisfied that these goods purchased are of the requisite quality and
specification and have been purchased from a reliable supplier at a reasonable price.”
• Rule 155 of GFR provide that Purchase of goods by Purchase Committee. Purchase of
goods costing above Rs. 25,000 (Rupees twenty five thousand only) and upto
Rs.2,50,000/- (Rupees two lakh and fifty thousand only) on each occasion may be made
on the recommendations of a duly constituted Local Purchase Committee consisting of
three members of an appropriate level as decided by the Head of the Department. The
committee will survey the market to ascertain the reasonableness of rate, quality and
specifications and identify the appropriate supplier. Before recommending placement of
the purchase order, the members of the committee will jointly record a certificate as
under:-
“Certified that we, members of the purchase committee are jointly and individually
satisfied that the goods recommended for purchase are of the requisite specification
and quality, priced at the prevailing market rate and the supplier recommended is
reliable and competent to supply the goods in question, and it is not debarred by
Department of Commerce or Ministry/Department concerned.”
• Rule 156 (1) provide that Purchase of goods directly under Rate Contract. In case a
Ministry or Department directly procures Central Purchase Organisation (e.g. DGS&D)
rate contracted goods from suppliers, the prices to be paid for such goods shall not exceed
those stipulated in the rate contract and the other salient terms and conditions of the
purchase should be in line with those specified in the Rate Contract.
• Rule 157 also provide that a demand for goods should not be divided .into small
quantities to make piecemeal purchases to avoid the necessity of obtaining the sanction of
higher authority required with reference to the estimated value of the total demand.
• Rule 158 provide that Purchase of goods by obtaining bids. Except in cases covered
under Rule 154,155, and 156(1), Ministries or Departments shall procure goods under the
powers referred to in Rule 147 above by following the standard method of obtaining bids
in :

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 (i) Advertised Tender Enquiry
(ii) Limited Tender Enquiry
(iii) Two-Stage Bidding
(iv) Single Tender Enquiry
(v) Electronic Reverse Auctions

➢ E-Publishing
• It is mandatory for all Ministries/ Department s of the Central Government, their
attached Subordinate Offices and Autonomous/Statutory Bodies/Institutions to
publish their tender enquiries, corrigenda thereon and details of bid awards on the
Central Public Procurement Portal (CPPP).
• Individual cases where confidentiality is required, for reasons of national security,
would be exempted from the mandatory e-publishing requirement. The decision to
exempt any case on the said grounds should be approved by the Secretary of the
Ministry/Department with the concurrence of the concerned Financial Advisor. In the
case of Autonomous Bodies and Statutory bodies’ approval of the Head of the Body
wi th the concurrence of the Head of the Finance should be obtained in each such case.
Statistical information on the number of cases in which exemption was granted and
the value of the concerned contract should be intimated on a Quarterly basis to the
Ministry of Finance, Department of Expenditure.
• The above instructions apply to all Tender Enquiries, Requests for Proposals,
Requests for Expressions of Interest, Notice for pre Qualification/ Registration or any
other notice inviting bids or proposals in any form whether they are advertised, issued
to limited number of parties or to a single party.
• In the case of procurements made though DGS&D Rate Contracts or through any
other Central Procurement Organizations (CPOs) only award details need to be
published.
• These instructions would not apply to procurements made in terms of provisions of
Rules 154 (Purchase of goods without quotations) or 155 (Purchase of goods by
purchase committee) of General Financial Rules.

➢ E-Procurement
• It is mandatory for Ministries/ Departments to receive all bids through e-procurement
portals in respect of all procurements.

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 • Ministries/ Departments which do not have a large volume of procurement or carry
out procurements required only for day-to-day running of offices and al so have not
initiated e-procurement through any other solution provided so far, may use e-
procurement solution developed by NIC. Other Ministries/ Departments may either
use e-procurement solution developed by NIC or engage any other service provider
following due process.
• These instructions will not apply to procurements made by Ministries / Departments
through DGS&D Rate Contracts.
• In individual case where national security and strategic considerations demands
confidentiality, Ministries/ Departments may exempt such cases from e-procurement
after seeking approval of concerned Secretary and with concurrence of Financial
Advisers.
• In case of tenders floated by Indian Missions Abroad, Competent Authority to decide
the tender, may exempt such case from e-procurement.

➢ Recommendations for effective control to adopt General financial rules for

procurement of goods and services procedure in Educational Intuitions:-

❖ Sources of finance to Institute :-

• External – Grants in Aid / Loans/Capital /Revenue receipt
• Internal --- Collection of fees/ consultancy charges for services rendered /Rents .
• Other Misc receipts
❖ Preparing periodical Estimate to procure Goods and services :-
• Centralized Periodical Assessing the requirement of goods and services as per
services being rendered by the Institute.
• Assessment to procure goods made strictly according to optimum level of
quantity of said items used in the last three years in the departments as per stock
registers maintained in the department.
• The procurement of Excess quantity, over stocking should be avoided as it
resulted into to blockage of funds /space with the said material in the stores.
• Periodical physical verification of the stores and disposal of obsolete and
unserviceable material with the approval of the competent authority.

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 ❖ Budget allocation and Sanction of the competent authority as per Delegations of
power :-
• Major head/detail head/scheme and item wise amount provided for specific
requirements in Annual Budget prepared by the Institutions.
• Specific sanction of the Competent authority as per delegation of power obtained
prior to placing purchase orders.
• Single tender system procedure should be adopted after obtaining Proprietary
Article Certificate in the prescribed form under the provisions of Rule 166 of
GFR-2017 from competent authority. ,where it is knowledge of the user
department that only a particular firm is manufacturer of required goods .
• Always procure the items goods as per as per DGSD standardized Descriptions
and specifications should be clearly mentioned in the tenders documents showing
the nature ,quantity ,time and period and place of delivery.
• Two stage bids system adopted where character and subject matter of
procurement is subject to rapid technological advances or market fluctuations or
both or
• To enter in contract for the purpose of research, experiment ,study or
development
• Purchase from the G-e-m portal is mandatory as per GFR provisions under Rule
149 specifies items/goods and services available in the G-e-M portal.

Thus, by applying these rules in letter and spirit will help an institution in effectively and transparently
procuring goods and services and thus leading to appropriate utilisation of public money.

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Practice Task

Answer the following Questions

1. Procurement of ……………or enhancing the utility of existing assets, shall broadly be defined
as ……………..
2. Statutory Bodies/Institutions to publish their tender enquiries, corrigenda thereon and details of
bid awards on the…………… …………………
3. Proprietary Article Certificate(PAC) in the prescribed form issued under the provisions of
GFR-2017…………………… from competent authority.
4. It is mandatory for Ministries/ Departments to receive all bids through …………………portals
in respect of all procurements.
5. Ministries or Departments shall procure goods under the powers referred to in Rule 147 above
by following the standard method of obtaining bids in :
(i) Advertised/ Limited Tender Enquiry
(ii) Two-Stage Bidding/ Single Tender Enquiry
(iv) Single Tender Enquiry/ Electronic Reverse Auctions
(v) All of above
(vi) None of above

Feedback
Answer:
1. i) Assets ( ii) Capital expenditure
2. Central Public Procurement Portal (CPPP).
3. Rule 166
4. E-procurement
5. (v) All of above

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Conclusion
General Financial rules provide guidelines to the institutions for better financial management, absolutely
necessary for the success of the institution. These also provide the basis for planning future projects and
programmes as these can also be used as the measures for controlling any ambiguity in budgeting,
financing, procurement and purchase of goods and services.

Bibliography
• Financial Management ----- Extracts from - "International Journal
of Higher Education Management (IJHEM) "
• GFR-Procurement Procedure & Accounting Extracts from-- "Swamy's Compilation of General
Fianacial Rules -2017"
• http://vnit.ac.in/academic/wp-content/uploads/2018/08/Purchase_Procedure.pdf
• http://www.iitk.ac.in/centralstores/old/store_purchase_manual.pdf
• http://www.bpswomenuniversity.ac.in/pdf/PurchaseProcedureRegulation.pdf,chapter-12,
Purchase Procedure Regulation
• http://sps.iitd.ac.in/PDF/SGP.pdf, Study on Government Procurement by Devika Malhotra, Jan.,
2012
Supportive learning material: by Dr. Kalyan Bhattachariya
Videos on-
• Inventory control
• Physical verification
• Financial procedures
• Procurement procedures
********

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 UNIT 8.9
INSTITUTIONAL MANAGEMENT PROCESS:
ACADEMIC LEADERSHIP
Content Page No
Broad Objective 3
Learning Outcomes 3
Introduction 3
8.9.1 Academic Leadership – Concept & Importance 4
➢ What is leadership?
➢ What is Academic Leadership?
➢ Leaders Vs. Manager or Leadership Vs Management
➢ Qualities of a good Academic Leader
➢ Importance of Academic Leadership
➢ Challenges for Academic Leaders
Practice test 10
Feedback 10
8.9.2 Theories of Leadership 12

➢ Trait Theory of Leadership

➢ Behavioral Theory of Leadership
➢ House’s Path Goal Theory
➢ Fiedler’s Contingency Model of Leadership
➢ Leadership-Member Exchange (LMX) Theory
➢ Transformational Leadership Theory
➢ Transactional Leadership Theory
Practice test 21
Feedback 22
8.9.3 Styles of Leadership 23
➢ Autocratic leadership style
➢ The Laissez Faire Leadership Style
➢ Democratic / Participative leadership style
➢ Bureaucratic leadership
Practice test 24
Feedback 25
Conclusion 26
Bibliography 26

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 UNIT 8.9
INSTITUTIONAL MANAGEMENT PROCESS:
ACADEMIC LEADERSHIP
Author Dr Rakesh K Wats
NITTTR, Chandigarh
Supportive team Ms. Kamakshi Malik
DAV College, Chandigarh

Broad Objective
The main objective of this unit is to highlight the importance
of academic leadership for any educational institution.
Through theories and styles of leadership, the learners shall
also become aware to handle different situations and
individuals

Learning Outcomes
After going through this unit the learner will be able to:
6. Appreciate the importance of academic leadership for the growth and development of any
institution.
7. Understand the challenges for an academic leader in today’s scenario.
8. Understand the theories of leadership and their applicability in academic institutions.
9. Understand and apply different models of leadership based on theories for the growth and
development of an institution.
10. Understand and apply different styles of leadership on diverse subordinates and in varied
situations

Introduction
By now, you must have understood role and importance of different aspects of management in fulfilling
the goals and objectives of any educational institution. If now, a simple question is asked, what is the
single most important factor, which can lead to success or failure of any institution? Some of the replies
will be: clear vision, total commitment of employees, team work, positive attitude, effective
communication or highly motivated staff etc. etc…..

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However, the research says, the single most important factor for the success or failure of any institution is
the quality of leadership. Although, all the other factors indicated above are very important for any
institution/organisation, but they all come under the one big umbrella, i.e. the quality of leadership. It is
the leader, who creates an environment, for all to become committed; it is his effective communication
which makes the goals look easy; it is he who motivates everybody to perform the best; and so on.

If, quality of leadership is so important, then we must need to understand what is the quality of
leadership? Even before understanding this, it is equally important to know what leadership is. Why is it
so important for any academic institution? What are the basic theories behind quality of leadership? What
and why people use different styles of leadership in different situations and with different individuals?
In this unit, we shall try to find the answers of all the above questions. The answers will make you
appreciate the importance of a leader in the life of any academic institution.

8.9.1 Academic Leadership – Concept & Importance

➢ What is leadership?

Leadership is a process by which a manager can direct, guide and influence the behavior of his
subordinates towards the achievement of goals in a given situation. It is the ability of a manager
to encourage the subordinates to work with commitment, confidence and vigor.

Leadership is an interpersonal influence exercised in a situation for the achievement of objectives.

It is the capacity of an individual to influence a group towards the realisation of a goal. Leaders
are required to develop future visions, and to motivate the organisational members to want to
achieve the visions.

According to Keith Davis, “Leadership is the ability to persuade others to seek defined objectives
enthusiastically. It is the human factor which binds a group together and motivates it towards
goals.”

Effective leadership is based upon ideas, but it won't happen unless those ideas are communicated
to others in a way that engages them enough to act, as the leader wants them to act.

➢ What is Academic Leadership?

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 Academic leadership is the name given to the leadership in an academic setting or institution as a
special subdivision of leadership. It includes roles of creating vision and mission, setting goals
and objectives, formulating policies and programmes, guiding, directing and motivating faculty
and staff, and organising the resources for the growth and development of an academic
institution.
In an academic setting, leadership may refer to the following:
• Head of the institution i.e. the principal or director leading the institution
• Head of the department leading his department and
• Faculty leading group of students in a class
Roles of each and every academic leader are equally important for the overall success of an
academic institution.

➢ Leaders Vs. Manager or Leadership Vs Management

These two terms are mostly used synonymously, but have different connotation
It is important to understand that leadership is an essential part of effective management. As a
crucial component of management, remarkable leadership behaviour emphasizes on building an
environment in which each and every member develops and excels. As discussed above,
Leadership is the potential to influence and drive the group efforts towards the accomplishment of
goals. This influence may originate from formal sources, such as that provided by acquisition of
managerial position in an organization/ a principal’s/director’s position in an academic institution.

A manager must have traits of a leader, i.e., he must possess leadership qualities. Leaders develop
and initiate strategies that build and sustain competitive advantage. Institutions require robust
leadership and robust management for optimal efficiency.

Leadership differs from management in a sense that:

Managers/Management Leaders/Leadership
Managers lay down the institutional structure and Leaders provide direction by developing the
delegate authority and responsibility institutional vision, they communicate it to the
employees (faculty and staff) and inspire them to
achieve it.
Management includes planning, organising, Leadership is main part of directing function of

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staffing, directing and controlling; management. Leaders focus on building
relationships, promoting teamwork, listening and
motivating the followers.
Managers get their authority by virtue of their Leaders gets their authority from their followers
position in the institution.
Managers follow the institutions' policies, The leaders follow their own instinct.
programmes and procedures
Management is more of science as the managers Leadership is an art. In an institution, if the
are systematic, analytic, planned, standard, logical managers are required, then leaders are essential.
and more of mind
Management deals with the technical dimension in Leadership deals with the 'people' aspect in an
an institution institution.

Management is reactive Leadership is proactive.

➢ Qualities of a good Academic Leader-An academic leader must have multidimensional

traits which shall make him effective and efficient and thus, a liking of every individual in an
institution. However, for making him a welcome personality, it is important that he may have
most of the following qualities:

❖ Physical appearance- A leader must have a pleasing appearance. Physique and health are
very important for a good leader.
❖ Vision and foresight- A leader should has farsighted vision and be able to sense the scenario
of future in terms of socio-economic, industrial, technological changes. He should be able to
forecast the educational trends and predict the requirements and envision the future of his
institution. A leader cannot influence others, unless he exhibits these capabilities to his
subordinates. Based on this forecasting, ha can plan and initiate logical projects and
programmes in an institution.
❖ Intelligence- An academic leader should be intelligent enough to identify problems and
difficult situations and based on his analytic capabilities be able to find the solutions to take
the institution towards the path of success. Therefore, a positive bent of mind and mature
outlook is very important.

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 ❖ Communicative skills- A leader must have a clear thought process and be able to
communicate the policies and procedures clearly, precisely and effectively and thus influence
his subordinates i.e. faculty and staff to follow the goals and objectives of the institute.
Effective communication shall also be helpful in persuasion, stimulation and inspiration of
others in tough and changing times.
❖ Fair and Just- An academic leader must have a fair outlook, free from bias and without
reflecting his willingness towards a particular individual. He should develop his own opinion
and base his judgments on facts and logic.
❖ Knowledge of work- A leader should be master of his own area and very precisely knowing
the nature and intricacies of the work of his subordinates. By providing right guidance, he
shall be able to win the trust and confidence of his subordinate faculty and staff.
❖ Sense of responsibility- Responsibility and accountability towards an individual’s work is
very important to bring a sense of influence. A leader must have a sense of responsibility
towards institutional goals, only then he can exploit the maximum of the capabilities of his
colleagues. By arousing himself to give the best, he can motivate and inspire others to give
their best to the common goal of giving best quality output in terms of competent students.
❖ Self-confidence and will-power- Confidence in self is important to earn the confidence of
others. An academic leader should be trustworthy and able to handle the difficult situations
with full vigor and will power.
❖ Humanist-Human are the most important resource of any institution, be it teachers, technical
and supporting staff, and students. Dealing with such a resource is different than material and
machines. This resource has emotions, feeling and attitudes which keep on changing from
time to time. An academic leader with humanistic approach knows best, how to be personal,
caring, considerate and attentive to the needs and expectations of subordinates to win their
hearts and thus the minds for the best output of the institution.
❖ Empathy- It is an old saying “Stepping into the shoes of others”. This is very important
because fair judgment and objectivity comes only then. A leader should understand the
problems and constraints of employees and also have a complete view of their needs and
aspirations from him and the institute. This helps in improving human relations and personal
contacts with the employees.

➢ Importance of Academic Leadership

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Leadership is an important function of institutional management which helps in maximising effectiveness
and efficiency to attain institutional goals. The following points justify the importance of leadership in an
institution

❖ Setting of Goals: One of the most important duties of an academic leader is to clearly define
goals of the institution and thus, laying down the foundation for the goals, policies and
procedures for the individual departments and their members. By doing this, he sets the clear
roadmap for each individual in the institution to follow towards the achievement of overall
institutional objectives. He also acts as a guide in interpreting the goals, policies and procedures.
❖ Initiates action- By setting the clear goals, policies and procedures and unambiguously
communicating the same to his subordinates, an academic leader sets the ball rolling for action
by himself and his subordinates towards the path of institutional excellence.
❖ Organisation of activities: An effective leader assigns the tasks to his subordinates and delegates
them the authority to complete those within the defined boundaries of institutional rules and
regulations. He gives them the autonomy to adopt innovative ways and means for the completion
of those tasks and activities. By following objectivity in assigning tasks and activities among his
subordinates, he reduces the chances of conflict between them and thus developing a harmonious
working environment in the institution.
❖ Achieving Coordination: By integrating the goals of the institution with the goals and interests
of individuals, an academic leader is able to inculcate a sense of commitment and pride in the
members of the institution to collaborate work for achieving the mission of the institute of
providing world class education to its students.
❖ Motivation- A good leader acts like a catalyst in the development of institution. With his
catalytic energy, he is able to able to motivate himself as well as his subordinates to give their
best for the institution.
❖ Builds work environment- Often a leader is held responsible for maintaining a good and
amiable work environment for his employees. By maintaining a cordial and healthy work
environment, he is able to generate a sense of belongingness and pride in institutional members
and thus enhancing their engagement, leading to better work output.
❖ Providing guidance- A good leader not only supervises the activities of his subordinates but acts
as a guide and a mentor in undertaking challenging projects and programmes. Guidance here
means instructing the subordinates the way they have to perform their work effectively and
efficiently.

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 ❖ Creating confidence - Confidence is an important factor which can be achieved through
expressing the work efforts to the subordinates, explaining them clearly their role and giving
those guidelines to achieve the goals effectively. It is also important to listen to the grievances
and problems and take necessary action(s) in removing the same. By this effort any academic
leader can create confidence about him in the minds of subordinates.
❖ Building morale- Morale denotes willing co-operation of the employees towards their work and
winning their trust. An effective academic leader boosts the morale of his subordinates and
colleagues during tough times so that they give in their best for the achievement of goals.

The importance of leadership can be summed up by the following quote, “I am more afraid of an
army of 100 sheep led by a lion than an army of 100 lions led by a sheep" - Talleyrand

➢ Challenges for Academic Leaders

Just like in business world, which cannot survive without effective leaders, in today’s scenario an
educational institution also needs a dynamic leader to help it sail through the tough times of change
and groom it for achieving the goal of excellence. The importance of effective and efficient leaders in
academics has arisen more due to some of the following reasons:
❖ Higher education is a becoming complex phenomenon, characterised by reduced public
funding and increased reliance on institute-industry partnership to generate funds for
research and other development activities.
❖ Increasing administrative and reporting requirements to statutory, affiliating and accrediting
agencies are making it increasingly difficult for higher education institutions to strike a
balance between meeting the demands of both corporate and academic worlds.
❖ Industrial and global requirements are changing faster than one can think of. Today we need
such dynamic curriculum that can meet the needs of industry and global world of today and
tomorrow.
❖ Faced with increasing internal and external regulations, building and retaining the academic
rigor, is one the most pressing challenges for the academic institutions today
❖ Starting of the process of rating of Indian academic institutions and universities by
national/international credit rating agencies and reputed industry associations and
professional bodies have kept them on toes to update and upgrade their systems and processes
continuously. A strong rating system will give rise to healthy competition amongst
institutions and universities and help improve their performance.

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 To meet the above mentioned challenges, we need a strong leader who has a vision for his
institution and a strategic plan for meeting the challenges of above changed requirements.

Practice task
Q1. Fill in the blanks:
a) __________ is the potential to influence and drive the group efforts towards the accomplishment
of goals.
b) __________gets his authority by virtue of his position while _________gets his authority from his
followers.
c) _____________ is the name given to leadership in an academic setting or institution as a special
subdivision of leadership.
d) A leader must have ____, _____ and ___________ . (Mention any three traits of a leader)

Q2. Short questions

a) Define leadership
b) State any two differences between a leader and a manager
c) What is academic leadership?
d) Mention any four qualities of a good leader.

Feedback
Ans. 1. Fill in the blanks

a) Leadership
b) Manager, leader
c) Academic leadership
d) Vision, pleasing personality, communication skills
Ans. 2. Short answers

a) Leadership is the ability to persuade others to seek defined objectives enthusiastically. It is the
human factor which binds a group together and motivates it towards goals.

b) Difference between leader and a manager

• Managers lay down the structure and delegate authority and responsibility whereas leaders
provide direction by developing the institutional vision. They further communicate it to the
employees and inspire them to achieve it.
• Manager gets his authority by virtue of his position in the organization. while leader gets his
authority from his followers
c) Academic leadership is the name given to leadership in an academic setting or institution as a
special subdivision of leadership. It includes such roles as creating vision and mission based on
science and research data for the organization, setting up creative ideas and managing
teamwork.
d) Qualities of a good leader
• Must have vision and be futuristic

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 • Must have good communication skills
• Must be empathetic
• Must have a sense of responsibility and accountability
8.9.2 Theories of Leadership

A lot of research, particularly by behavioural scientists, have been undertaken to find out the answer to
the question: What makes a leader effective? Is his/her success due to his/her personality, or his/her
behaviour, or the types of followers he has, or the situation in which he works, or a combination of all
these? These researches, however, could not give a satisfactory answer to the question. However, these
researches have resulted in various theories or approaches on leadership. The prominent among these are
trait theory, behavioural theory and situational theory. Each theory has its own contributions, limitations,
assumptions, and frame work of analysis. The understanding of these theories of leadership provides a
guideline to judge as how a leader emerges.

➢ Trait Theory of Leadership

Trait is a relatively enduring quality of an individual. The trait approach of leadership seeks to
determine ‘what makes a successful leader’ from the leader’s own personal characteristics. From the
very beginning, people have emphasized that a particular individual was a successful leader because
of his certain qualities or characteristics. This approach was quite popular between the years 1930 to
1950.

This theory of leadership is based on the concept that “leaders are born and not made”. People are
born with certain traits in them which make them leaders in their life. This model of leadership is
based on the characteristics of, both successful and unsuccessful leaders, and is used to predict
leadership effectiveness. The resultant list of traits is compared with those of potential leaders to
assess their likelihood of success or failure.

Scholars working on the trait approach attempted to correlate physiological (appearance, height, and
weight), demographic (age, education and socioeconomic background), personality (self-confidence,
and aggressiveness), intellective (intelligence, decisiveness, judgment, and knowledge), task-related
(achievement drive, initiative, and persistence), and social characteristics (sociability and
cooperativeness) with leader emergence and leader effectiveness.

Successful leaders definitely have interests, abilities, and personality traits that are different from
those of the less effective leaders. Through many research studies conducted, a set of core traits of

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successful leaders have been identified. These traits are not responsible solely to identify whether a
person will be a successful leader or not, but are essentially seen as preconditions that endow people
with leadership potential.

Among the core traits identified are:

❖ Achievement drive: high levels of ambition, high level of effort, energy and initiative
❖ Leadership motivation: an intense desire to lead others to reach shared goals
❖ Honesty and integrity: trustworthy, reliable, and open
❖ Self-confidence: Belief in one’s self, ideas, and ability
❖ Cognitive ability: Capable of exercising good judgment, strong analytical abilities, and
conceptually skilled
❖ Knowledge of business: Knowledge of industry and other technical matters
❖ Emotional Maturity: well adjusted, does not suffer from severe psychological disorders.
❖ Others: charisma, creativity and flexibility
The trait approach gives rise to questions: whether leaders are born or made; and whether leadership
is an art or science. However, these are not mutually exclusive alternatives. Leadership may be
something of an art; it still requires the application of special skills and techniques. Even if there are
certain inborn qualities that make one a good leader, these natural talents need encouragement and
development. A person is not born with self-confidence. Self-confidence is developed, honesty and
integrity are a matter of personal choice, motivation to lead comes from within the individual, and
the knowledge of business can be acquired. While cognitive ability has its origin partly in genes, it
still needs to be developed. None of these ingredients are acquired overnight.

On critically examining this theory, it can be observed that, this theory of leadership is very simple.
It fails to provide clear cut results. It does not consider the whole environment of the leadership, of
which trait may be one factor. Moreover, no generalisation can be made about various traits for
leadership as there are considerable variations in traits established by various researchers.

This approach of leadership presents the following problems:

❖ There cannot be generalisation of the traits for a successful leader.

❖ No evidence about the degree of the various traits has been given as people have
different traits with varied degrees.

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 ❖ Measuring the traits is a problem. Though, various tests to measure the personality traits
are there, however, no definite conclusion can be drawn based on them.

❖ There are many people with the traits specified for leaders, but they are not good leaders.

This theory, however, gives clear indication that leader should have certain characteristics. This may
help the management to develop such qualities through training and development programmes in
future managers.

➢ Behavioural Theory of Leadership:

This theory emphasises that effective leadership is the result of strong role behaviour of an individual.
Leadership is shown by a person’s actions/ acts more than his traits. Though, traits influence actions,
these are also affected by other factors like followers, goals, and the environment in which these
occur. Thus, there are four basic elements of leadership – leader characteristics, follower
characteristics, goals and environment – which affect each other in determining a suitable behaviour.

Leadership acts may be viewed in two ways. Some acts are functional (favourable) to leadership and
some are dysfunctional (unfavourable). The dysfunctional acts are also important in leadership
because these de-motivate subordinates to work together. As such a leader will not act in this way.
The dysfunctional acts are inability to accept subordinate’s ideas, display of emotional immaturity,
poor interpersonal relations, and poor communication.

A leader uses his skills (technical, human, and conceptual) to lead his followers. Technical skill refers
to a person’s knowledge and proficiency in some process or technique. Human skills are the ability to
interact effectively with people and to build team. Conceptual skill deals with ideas and enables a
manager to deal successfully with abstractions, to set up models , devise plans etc. Behaviour of a
manager in a particular direction will make him good leader while opposite of this would discard him
as a leader. Setting goals, motivating people for achieving goals, raising the morale, building team
spirit, effective communication, etc., are the functional behaviours for a successful leader.

The basic difference between trait approach and behavioural approach of leadership is that the former
emphasises some particular trait of the leader while later emphasises particular behaviour by him. It is
true that favourable behaviour provides greater satisfaction to the followers and the person can be
recognised as a leader. However, this approach suffers from one weakness - a particular behaviour

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may be effective at a time, while at the other time same may not be effective. This means the time
factor becomes a crucial element which has not been considered in this theory.

➢ House’s Path Goal Theory

This theory was developed by Robert House and has its roots in the expectancy theory of motivation.
The basic premise of this theory is that an employee’s perception of expectancies between his effort
and performance is greatly affected by a leader’s behavior. The leaders help their team members/
employees in attaining rewards by clarifying them the paths to goals and removing the obstacles to
their performance. They do so by equipping them with appropriate information, timely support, and
the resources which are required by them to complete the job/task.

Robert House’s theory advocates servant leadership. As per this servant leadership theory,
leadership is not viewed as a position of power, rather, leaders are expected to act as coaches and
facilitators to their subordinates. According to House’s path-goal theory, a leader’s effectiveness
depends on several employee and environmental contingent factors and certain leadership styles. All
these are indicated in the figure 1 below:

Fig.9.1 House’s Path Goal Theory

➢ Fiedler’s Contingency Model of Leadership

E. Fiedler’s contingency theory of leadership effectiveness was based on a wide range of group
effectiveness studies, and concentrated on the relationship between leadership and organisational
performance. This is one of the earliest situation-contingent leadership theories given by Fiedler.

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According to him, if an organisation attempts to achieve group effectiveness through leadership, then
there is a need to assess the leader according to his underlying trait, the situation faced by the leader,
and construct a proper match between the two.

❖ Leader’s trait
In order to assess the attitudes of the leader, Fiedler developed the ‘least preferred co-worker’
(LPC) scale in which the leaders are asked about the person with whom they would least like to
work. The scale consisting of 16 items is used to reflect a leader’s underlying disposition toward
others. The items in the LPC scale are pleasant / unpleasant, friendly / unfriendly, rejecting /
accepting, unenthusiastic / enthusiastic, tense / relaxed, cold / warm, helpful / frustrating,
cooperative / uncooperative, supportive / hostile, quarrelsome / harmonious, efficient / inefficient,
gloomy / cheerful, distant / close, boring / interesting, self-assured / hesitant, open / guarded.
Each item in the scale is given a single ranking of between one to eight points, with eight points
indicating the most favourable rating.

Friendly Unfriendly
--------------------------------------------------------------------
8 7 6 5 4 3 2 1
Fiedler states that leaders with high LPC scores are relationship-oriented and the ones with low
scores are task-oriented. The high LPC score leaders derived most satisfaction from interpersonal
relationships and therefore evaluate their least preferred co-workers in fairly favorable terms.
These leaders think about the task accomplishment only after the relationship need is well
satisfied. On the other hand, the low LPC score leaders derived satisfaction from performance of
the task and attainment of objectives. Only after tasks have been accomplished, these leaders work
on establishing good social and interpersonal relationships.

❖ Situational factor
According to Fiedler, a leader’s behavior is dependent upon the favorability of the leadership
situation. Three factors work together to determine the favorability of a situation is to a leader.
• Leader-member relations – determine willingness of the group members to follow the
leader’s guidance, the degree of trust and likeness by the group members
• Task structure – determine the clarity of the group’s task, (structured or unstructured),
and the extent to which the assigned task can be carried out by detailed instructions

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 • Position power – is determined by his organisational position that influence his authority
on group members so that his order can be complied with and accepted.

With the help of these three variables, eight combinations of group-task situations were
constructed by Fiedler. These combinations were used to identify the style of the leader
(Figure.9.1.3)

Table 9.1 : Breakdown of Most Effective Leader Style

Leader-Member Leader's Position Most Effective

Task Structure
Relations Power Leader

Good Structured Strong Low LPC

Good Structured Weak Low LPC

Good Unstructured Strong Low LPC

Good Unstructured Weak High LPC

Poor Structured Strong High LPC

Poor Structured Weak High LPC

Poor Unstructured Strong High LPC

Poor Unstructured Weak Low LPC

❖ Criticism of Fiedler Contingency Model:

• Lack of flexibility
• Matrix results does not give any scope of adoption of another leadership style
• Matrix results favor only replacement with another type of leader
• The middle range results do not give clarity of type of leadership

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➢ Leadership-Member Exchange (LMX) Theory

Informal observation of leadership behaviour suggests that leader’s action is not the same towards all
subordinates. The importance of the potential differences in this respect is brought into sharp focus by
Graen’s leader-member exchange model, also known as the Vertical Dyad Linkage theory. According to
this theory leadership consists of a number of dyadic relationships linking the leader with a follower. The
quality of the relationship is reflected by the degree of mutual trust, loyalty, respect, support and
obligation.
According to the theory, leader establishes different kind of relationships with various groups of
subordinates on the basis of the perceived similarity with respect to personal characteristics, like age,
gender, or personality.
❖ In-group- favoured by the leader, members receives considerably more attention and has more
access to the organisational resources, these are taken as competent at performers.
❖ Out-group- disfavoured by the leader, they receive fewer valued resources from their leaders
these are taken as incompetent at performers.

. The relationship between leaders and followers follows three stages:

❖ Role taking: it is the assessment of the talent and abilities of new members by providing them
opportunities to demonstrate his capabilities.
❖ Role making: involves informal and unstructured negotiation on work-related factors between
the leader and the member. A leader like member will succeed while the members who betray
may be put out of team.
❖ Routinisation: results in routine interactions between team members and their leaders, a regular
hard work, loyalty and trust will help in making them in-group members

The LMX 7 scale assesses the degree to which leaders and followers have mutual respect for each
other’s capabilities, feel a deepening sense of mutual trust, and have a sense of strong obligation to
one another. Taken together, these dimensions determine the extent to which followers will be part of
the leader’s in-group or out-group.

In-group followers tend to function as assistants or advisers and to have higher quality personalised
exchanges with the leader than do out-group followers. These exchanges typically involve a leader’s
emphasis on assignments of interesting tasks, delegation of important responsibilities, information
sharing, participation in the leader’s decisions, as well as special benefits, such as personal support
and support and favorable work schedules.

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➢ Transformational Leadership Theory

Creating high-performance workforce has become increasingly important, especially in today’s

competitive and fast changing scenario. To do so leaders must be able to inspire institutional
members to go beyond their task requirements. As a result, new concepts of leadership have emerged
- transformational leadership being one of them.

Transformational leadership may be found at all levels of an institution: teams, departments, units,
divisions, and institution as a whole. Transformational leaders are visionary, inspiring, risk-takers,
daring, and thoughtful thinkers. They have a charismatic appeal. But charisma alone is insufficient for
changing the way an institution operates. For bringing major changes, transformational leaders must
exhibit the following four factors:

Fig. 9.2 Transformational Leadership Theory

❖ Inspirational Motivation: The foundation of transformational leadership is the promotion of

consistent vision, mission, and a set of values to the members. Their vision is so compelling
that they know what they want from every interaction. Transformational leaders guide
followers by providing them with a sense of meaning and challenge. They work
enthusiastically and optimistically to foster the spirit of teamwork and commitment.

❖ Intellectual Stimulation: Such leaders encourage their followers to be innovative and

creative. They encourage new ideas from their followers and never criticise them publicly for
the mistakes committed by them. The leaders focus on the “what” in problems and do not

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 focus on the blaming part of it. They have no hesitation in discarding an old practice set by
them if it is found ineffective.

❖ Idealized Influence: Leaders of this type believe in the philosophy that a leader can
influence followers only when he practices what he preaches. The leaders act as role models
that followers seek to emulate. Such leaders always win the trust and respect of their
followers through their action. They typically place their followers needs over their own,
sacrifice their personal gains for them, and demonstrate high standards of ethical conduct.
The use of power by such leaders is aimed at influencing them to strive for the common goals
of the institution.

❖ Individualized Consideration: Leaders act as mentors to their followers and reward them
for creativity and innovation. The followers are treated differently according to their
knowledge and talents. They are empowered to take decisions and are always provided with
the needed support to implement them.

➢ Transactional Leadership Theory

The transactional style of leadership was first described by Max Weber in 1947 and then by Bernard
Bass in 1981. This style is most often used by the managers. It focuses on the basic management
process of controlling, organising, and short-term planning.

Transactional leadership involves motivating and directing followers primarily through appealing to
their own self-interest. The power of transactional leaders comes from their formal authority and
responsibility in the institution. The main goal of the follower is to obey the instructions of the leader.
This style can also be mentioned as a ‘telling style’.

The leader believes in motivating through a system of rewards and punishment. If a subordinate does
what is desired, a reward will follow, and if he does not go as per the wishes of the leader, a
punishment will follow. Here, the exchange between leader and follower takes place to achieve
routine performance goals.
These exchanges involve four dimensions:

❖ Contingent Rewards: Transactional leaders link the goal to rewards, clarify expectations,
provide necessary resources, set mutually agreed upon goals, and provide various kinds of

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 rewards for successful performance. They set SMART (specific, measurable, attainable,
realistic, and timely) goals for their subordinates.
❖ Active Management by Exception: Transactional leaders actively monitor the work of their
subordinates, watch for deviations from rules and standards and taking corrective action to
prevent mistakes.
❖ Passive Management by Exception: Transactional leaders intervene only when standards
are not met or when the performance is not as per the expectations or standards. They may
even use punishment as a response to unacceptable performance.
❖ Laissez-faire: The leader provides an environment where the subordinates get many
opportunities to make decisions. The leader himself abdicates responsibilities and avoids
making decisions and therefore the group often lacks direction.

Table 9.2 Difference between Transactional and Transformational Leaders

Transactional leadership Transformational Leadership

Leadership is responsive Leadership is proactive

Works within the institutional culture Works to change the institutional culture by
implementing new ideas

Transactional leaders make employees Transformational leaders motivate and empower

achieve institutional objectives through employees to achieve institutional objectives by
rewards and punishment appealing to higher ideals and moral values

Motivate followers by appealing to Motivate followers by encouraging them to

their own self-interest transcend their own interests for those of the
group or unit

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Practice task
Q1. Fill in the blanks
a) Trait theory seeks to determine ________________ of effective leaders.

b) ________________ theory advocates servant leadership.

c) Fiedler’s contingency theory of leadership effectiveness was based on the relationship between
_____________ and ____________ .
d) ________________ involves motivating and directing followers primarily through appealing to
their own self-interest

Q2. Short questions

a) What are the core traits identified in leaders, as per the Traits Theory?
b) According to Transformational leadership theory, what are the four characters to be exhibited by
leaders?
c) State two differences between Transformational leader and Transactional leader.

Feedback
Ans. 1 Fill ups:
a) personal characteristics
b) House’s Path Goal
c) leadership and organizational performance.
d) Transactional leadership

Ans. 2.
a) Leaders as per the Traits Theory must have the following traits:
• Achievement drive
• Leadership motivation
• Honesty and integrity
• Self-confidence
• Cognitive ability
• Emotional Maturity
b) Transformational leaders must exhibit the following four factors:
• Inspirational Motivation
• Intellectual Stimulation
• Idealized Influence
• Individualized Consideration

c) Two differences between Transactional leadership and Transactional Leadership are:

• Transactional leadership is responsive while Transformational Leadership proactive

• Transactional Leadership is works within the organizational culture while Transformational
Leadership works to change the organizational culture by implementing new ideas

8.9.3 Styles of Leadership

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Today’s all academic institutions are in a state of flux. They are bound to be in a state of dynamism as
every day a new challenge is faced by them. These are congregation of multicultural, multilingual and
multinational people where people from different walks of life come to work together for teaching
learning process. In order to survive, flourish and lead in these diverse conditions, the leader of such an
institute is bound to play multifaceted roles and use varied styles of leading this diverse group of
individuals in diverse situations. Some of the important leadership styles are as follows:

➢ Autocratic leadership style:

This is the style of leadership where an academic leader has a complete command over his group of
subordinates. The subordinates or his team members cannot put forward their views or opinions or
ideas even though they may be the best in terms of team’s/ institute’s interests. They cannot criticise
or even question the leader’s ideas or way of getting the things done. The leader himself gets the
things done as per his thought process, wishes, ideas, perceptions and styles. Though this style of
leadership may not of much liking of the subordinates, still this style is quite suitable in some
situations, nature of work and individuals. The greatest advantage of this style is speedy decision-
making, even in toughest and emergent situations, and greater productivity under the leader’s
supervision. Some of the major drawbacks of this style of leadership are that it leads to greater
employee dissatisfaction, absenteeism and turnover. This style of academic leadership works quite
effectively when the leader is most competent in performing the identified task, the job is
monotonous, unskilled and routine in nature and the subordinates/team members are quite raw for that
task/assignment or where the project is highly time bound and risky. This style of leadership is
sometimes also called as telling style.

➢ The Laissez Faire Leadership Style:

In this style of leadership, an academic leader totally trusts his subordinates/team members to
perform the job themselves. He just concentrates on the intellectual/rational aspect of his work and
does not focus much on the management aspect of his job. He tells the members about the
boundaries of their authority in dealing with the assigned job, but does not interfere in the ways and
means they adopt in completing the task, meaning thereby that they are given full autonomy in
handling that task themselves. The team members/employees are welcomed to share their views
and provide suggestions which are best for the institutional interests. This style of academic

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 leadership works fairly effectively when the employees (faculty and staff of the institution) are
skilled and knowledgeable, loyal, experienced and intellectual.

➢ Democratic / Participative leadership style:

In this style of leadership, an academic leader invites his subordinates/ team members to participate
in decision making process as equal partners and encourage them to give their opinions,
suggestions, ideas for facilitating the decision making, though the ultimate decision-making power
rests with the leader. The leader guides the employees on what to perform and how to perform,
while the employees communicate the leader their experiences and the suggestions if any. The
major advantages of this style of leadership are that it leads to highly motivated, satisfied, and more
skilled employees. It leads to an optimistic and open work environment and even encourages
creativity and innovation, highly beneficial for the institution in the long run. This leadership style
has the only drawback that it is time-consuming and thus, least applicable in the times of
emergency.

➢ Bureaucratic leadership:

Academic leaders applying this style of leadership strictly adhere to the pre defined institutional
rules, regulations and policies. They also expect and make it sure that the other employees too
strictly follow the rules and procedures. Promotions take place on the basis of employees’ ability to
adhere to the institutional rules. This leadership style develops gradually over time and is most
suitable when safe work conditions and quality in output are required. This style of leadership
discourages creativity and does not make employees self-contented and happy as it prohibits their
free and divergent thinking.

Practice task
Q1. Fill in the blanks
a) _____________is one who centralizes the authority in himself and does not delegate authority to
his subordinates.

b) ____________ style of leadership leads to satisfied, motivated and more skilled employee

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 c) A bureaucratic leader strictly adheres to ___________ and _________.
d) ___________ style of leadership works only when the employees are skilled, loyal,
experienced and intellectual
Q2. Short questions
a) Name the various styles of leadership.
b) What is the advantage of Democratic leadership style?
c) What style of leadership works when employees are non participative, lack initiative and
loyalty?

Feedback
Ans. 1. Fill in the blanks
a) An autocratic leader
b) Democratic
c) Organizational rules and policies
d) Laissez Faire

Ans. 2. Short answers

a) Different styles of leadership are
• Autocratic leadership style
• The Laissez Faire Leadership
• Democratic/Participative leadership
• Bureaucratic leadership

b) Advantage of democratic leadership style is that it leads to satisfied, motivated and more skilled
employees. It leads to an optimistic work environment and also encourages creativity.
c) The style of leadership that works when employees are non participative, lack initiative and loyalty
is Autocratic.
Conclusion
In today’s scenario, when the educational institutions are facing a lot of challenges due changing socio-
economic, technological patterns, when needs of stakeholders are changing and educational scenario is
also becoming highly competitive. In this type of educational world, the role of academic leaders is also
changing from managing the resources to leading the institutes from the front with a new vision and
appropriate response to these requirements. They have to deal with of human resources who are
multicultural, multi skilled and diversified thought processes. One style of leadership fit for which was fit
for all in the past may not be rule with type of multi talented human resource. Learning from the theories
of leadership, they have to adopt different styles with different individuals, varied situations for their
success as well as the success of their institutions.

Bibliography
1. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States of
America: South – Western Educational Publishing, 56-118p.

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 2. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall of India
Pvt. Ltd.
3. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational Behaviour,
7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
4. Hunsaker, PL (2001). Training in Management Skills. 397-426p. New Jersey: Prentice Hall.
5. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
6. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-Hall of
India Pvt. Ltd.437-468p.
7. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata McGraw-Hill
Publishing Company Ltd., 208-222p.
8. Covey, S.R., 2004. The 7 habits of highly effective people: Powerful lessons in personal change.
Simon and Schuster.
9. Pareek, Udai & T. V. Rao(1981). Designing and Managing Human Resources System. New
Delhi: Oxford & IDH.
10. Motivating Employees, Anne Bruce and James S. Pepitone, McGraw-Hill, 1998.
11. Organisational Behaviour, P.G. Aquinas, Excel Books, 2007.
12. Organisational Behaviour, Stephen P. Robbins, Timothy Judge, Seema Sanghi, Person, Prentice
Hall, 2008
13. The Psychology of Leadership, David M. Messick, Roderick Moreland Kramer, Routledge, 2005.
14. https://www.igi-global.com/chapter/strategic-university-leadership-for-aligning-the-worlds-of-
academia-and-business/173626
15. https://www.managementstudyguide.com/leadership_basics.htm
16. http://ebooks.lpude.in/management/mba/term_1/DMGT402_MANAGEMENT_PRACTICES_A
ND_ORGANIZATIONAL_BEHAVIOUR.pdf

Supportive learning resources: by Dr. SS Pattnaik

Videos on

• Academic Leadership – Concept & Importance

• Theories of Leadership (2 Nos)
• Styles of Leadership

Web resources

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• Workshop on Academic Leadership for Leaders and Principals by Dr. Gururaj Karajagi
https://www.youtube.com/watch?v=r6_EheyRuUQ
• Speaking at the National Conference of Academic Leadership on National Education
Policy at AICTE. https://www.youtube.com/watch?v=ToYcAaJLJRk
• Academic Leadership: Changing Conceptions, Identities and Experiences in UK HE
https://www.youtube.com/watch?v=uJT7Mr6Vuqk
• Ten Leadership Theories in Five Minutes
https://www.youtube.com/watch?v=XKUPDUDOBVo
• Leadership Styles https://www.youtube.com/watch?v=T8_jy5gsS48
• Leadership - Theories & styles https://www.youtube.com/watch?v=KNbrtvglBjE

******

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 UNIT-8.10
DIRECTING THROUGH INSTITUTIONAL COMMUNICATION
Contents Page No.
Broad Objective 2
Learning Outcomes 3
Introduction 3
4
8.10.1 Institutional Communication (internal & external)-
Concept & Process

➢ The Communication Process

➢ Importance of Communication
➢ Managing crisis
➢ Types Of Communication
➢ Internal And External Communication
➢ Difference between Communication and Effective
Communication
➢ Features of effective Communication-
➢ Principles For Effective Communication
➢ Role of Effective Communication in an institution
➢ Communication Models

Practice Task 15

Feedback 16

18
8.10.2 Communication Barriers

➢ Role of communication barriers in ineffective communication

Practice Task 20

Feedback 20

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 21
8.10.3Communication Skills for Effectiveness

➢ Written Communication

➢ Speaking Communication

➢ Nonverbal Communication

➢ Reading Skills

➢ Listening Skills

Practice Task 28

Feedback 28

Conclusion 29
Bibliography 29

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 UNIT-8.10
DIRECTING THROUGH INSTITUTIONAL COMMUNICATION
Author Dr. Rakesh K Wats
NITTTR, Chandigarh
Supportive Dr. Meenu Wats
Team DAV College, Chandigarh
Broad Objective
The broad objective of this unit is to
make the learner aware, how an
academic leader directs the activities in
an institution through communication.
The learning material in this unit shall
make the learners aware about the
concept and process of institutional
communication (internal and external)
and enhancing its effectiveness using
relevant communication skills.

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Learning Outcomes
After going through this unit the learner will be able to:
• Appreciate the importance of communication in the life of an institution.
• Identify the different types of communication and their applicability in different situations.
• Identify different models of communication in an institution.
• Enlist barriers in institutional communication.
• Apply relevant communication skills for enhancing the interpersonal relations and overall
effectiveness of the institution.

Introduction

Communication is the life line for the success of any institution as it is provides the basis for all
directions from the academic managers to the lower staff and feedback and suggestions from lower
staff to top management. Institutions use different models for enhancing the effectiveness of
communication. Communication always faces some barriers, which may be physical, emotional,
psychological or others. It is role of the institutional leaders to minimise these barriers by using
appropriate communication skills so that communication flows uninterruptedly for the achievement
of objectives.

The present unit covers all these major issues concerning communication in any institution. The main
inputs covered are, the concept and importance of communication, types of institutional
communication, models of communication in an institution, barriers to communication and
communication skills for the institutional effectiveness.

8.10.1 Institutional Communication (internal & external)-Concept &

Process
Communication is a tool of passing information from one to another person. It has to take place by
some medium involved in the process. This can be between two animate or inanimate objects or
between one animate and or another inanimate or vice-versa. In the process of communication,
SENDER is the one whose direction or information is to be given to another, while the one who
receives, understands, interprets and responds according to it is termed as RECIPIENT or
RECEIVER.

Sender Information Receiver

Fig. 10.1 Process of communication

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Communication and more precisely effective communication is the clarity of thoughts of a sender and
their proper dissemination to the recipient. All living beings on this planet are able to communicate
with each other with the help of one or another means (S. F. Scudder, 1980)
Definitions- some of the important definitions are:
According to Keith Devis, “Communication is the process of passing of passing information and
understanding from one to another person. It is a kind of bridge of meaning between people by virtue
of which a person can cross the ruin of misunderstanding that separates two persons”.
According to Leland Brown, “Communication is the transmission and interchange of facts, ideas,
feelings or course of action”.
According to George Terry, “Communication is a continuous and thinking process dealing with the
transmission interchange of facts, ideas, feelings or course of action”.

➢ The Communication Process

The process involves three phases:

❖ Delivery of information or instructions by sender after encoding as content,
❖ Use of medium/media to pass on the information
❖ Finally response of the recipient after the understanding and interpretation of information and
giving back the feedback via media that the communication has been precisely received.
o Flow of communication process starts with sender and ends up with feedback, as-
Source Encoding Dispatch Reception Decoding Response
Feedback
The process can also be understood in the following way-

• Content -(encoding the information, data,

Sender diagram, analysis, report etc.)

• (Information)↓ ↑(Feedback)
medium

• Decodes & or understands the information

Receiver and responds

➢ Importance of Communication:
The working, efficiency and viability of an institution are based on the type, extent, kind and efficacy
of its communication. The real purpose of communication in any institution is/are:

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 ❖ Exchange of ideas- joining of heads is equally important as joining of hands. Healthy
discussions lead to evolution of the best ideas that are good for faculty as well as institutional
growth.
❖ Reduce work duplicity- intra institutional or departmental discussions will make a common
platform for all faculty members to share their projects, performances, goals and tasks and
once openly and properly communicated, will reduce the duplication load to be taken up by
another people within the same institution.
❖ Framing fixed time frame- teams are built on the bridges formed by communication.
Institutional or departmental communications helps in team building and sharing of loads or
delegation of work amongst faculty members that will result in to fragmentation of work and
leading to the completion of projects on desired time line.
❖ Addressing of grievances and problems- An effective communication opens all doors and
window in an institution and allow air of misunderstanding, congestions of behavior,
misinterpretation of instructions let blow away. Head of institutions or seniors are to play a
pivot role in this kind of interpersonal communication. This can be done by verbal or written
or sometimes non-verbal ways of communication. Such communications should be done
promptly to nip the evil in bud.
❖ Setting up of goals and targets- for the growth of an institution, long term planning with
clear vision is required. Accordingly the targets and goals are settled by the head of institution
by can be achieved by the team work of faculty for which an open communication plays an
important role.

➢ Managing crisis- Ups and downs are part and parcel of every institution but resolution is
done by the joint and sincere efforts of one and all belonging to that institution. In such
situations effective communication amongst all acts as life line for the institution and also
adhere the faculty and staff together.
➢ Types Of Communication
Broadly communication is divided into following types (on the basis of different criteria as
indicated in Fig. 10.2) -

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Fig. 10.2 Various types of communications

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On the basis of parties involved in communication, the communication is of following two types:

➢ Internal and External Communication:

For the successful functioning of an institution, both internal and external communications are
required.

❖ Internal communication- is flow of information or exchange of ideas within any institution,

with respect to or irrespective of the hierarchy. This more frequently used method of
exchange of information that can take place via any medium like personal contact,
telephonic, e-mail, LAN etc. This type of communication in any institution helps making
mission of the institute clear to one and all, resolving day to day issues, clearing some doubts
about any new project to be dealt by that institute, prompt solution of any potential problem

There are many ways to conduct internal communication within any educational or training institute.

• Vertical- follows hierarchical sequence in either direction like-

o Downward- descending flow of instructions from the head of the institution to

lowermost position

o Upward- ascending or flow of certain suggestive steps from lower to higher ranks
in an institution

• Horizontal- the communication between colleagues belonging to same ranks like amongst
professors or associate professors or any other rank

• Diagonal- it s a situational option to fill gaps in vertical communication

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❖ External communication- it is an exchange of information that may happen within as well as
outside the institution. Such a communication can be formal or informal. In external
communication, an institute is to connect itself with its alumni, governing bodies, stake
holders (students), public, social personalities, leaders, artiest, reformers or any personality in
the interest of the institution. The medium can be any like formal letters, web pages, reports,
presentations, posters etc. Formal communication is well designed and regulated while such
riders are not applicable to non-formal one.

INTERNAL EXTERNAL
COMMUNICATION COMMUNICATION

NOTICE, REPORTS LETTERS, FAXES, DIRECT MAILS

MEMOS, FACE TO FACE ADVERTISEMENTS

EMAILS VIDEOS, WEBSITES

TEAM BRIEFING PAMPHLETS , BROCHURES
PRESENTATIONS

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 On the basis of formality, the communication is of following two types:

➢ Formal and Informal Communication:

❖ Formal communication- also known as “Official Communication” is a type of

communication that follows a pre-defined channel. It’s always a reliable type of
communication, having well defined written documentation, always correct, though slow as it
has to follow hierarchical routes.

❖ Informal communication- also known as “Grape-wine Communication” is a type of

communication that has no specific channel. It may not be a reliable type of communication,
as it never has any defined written documentation, may even incorporate rumors. It’s
generally faster than formal communication and stretches in all directions.

On the basis of media involved, the communication is of following types:

➢ Verbal and non-verbal Communication:

❖ Verbal communication-is the most commonly used tool in which the information flow
is through words, speeches, presentations, dialogues, speeches, discussions etc. Such
a means of communication has to be enriched by loudness, speaker’s pitch, clarity of
words and intricate weaving of thoughts, well designed content etc. Verbal
communication become effective only when appropriate words in well intricate
manner are used. Even visual communication is also a type of speechless
communication where the information is passed on to respondent via signboards,
displays, hoardings, banners, maps, charts etc.
❖ Non verbal communication-or speechless communication and is not dependent upon the use
of spoken words. It is aided by gestures, expressions, body part movements, body language,
body postures, eye contact etc. It is the best way of passing instructions during formal or
official meetings. The verbal and non-verbal communication can be of following types, using
different media of expression:

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 Fig. 10.3 Various types of communication media

When communication has no specific criteria of classification, the communication may be of

following two types:
❖ Mass communication- is a type of communication, when information is to be passed
on to the large number of people. It has more influential way of communication in
today’s society. It may use news papers, T.V., internet, social media etc.
❖ Personal communication- it’s a communication between one to another person. It’s
part of social communication. It takes use of SMS, private letters, private emails,
telephone, mobile phone etc. It may be verbal, non-verbal, written, visual etc.
❖ Interpersonal communication- it’s an exchange of information, feelings and meaning
through verbal and non-verbal messages between two or more people. It may be either
formal or informal, depending upon the situation. (Work place or social situation). It
helps in making better relationships at work place. Good inter-personal makes sound
base of team culture.

➢ Difference between Communication and Effective Communication

Passing on of information from sender to respondent via any media is communication but when
the information is properly decoded, understood by the recipient in the way sender wants to pass
on, it is called effective communication. When the content, the sender passing to the recipient are
clear enough to create desirable and appropriate response or consumes more than recommended
time of response or unable to elicit the response is called as ineffective communication.
Effective communication is an important tool for the smooth and efficient working of an
institution as it reduces the chances of misunderstandings, conflicts, errors, repetitiveness, and

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 time spent on decoding by subordinates. Some of the feature of effective communication are as
follows:
➢ Features of effective Communication-
Effective communication is based on the following criteria:
❖ To the choice of words or its content
❖ Precision and crispness the content
❖ Clarity and sensibility of content
❖ Use of meaningful words /phrases for encoding
❖ Loud and clear pitch of speaker
❖ Capture listener’s attention regularly
❖ Keep cross checking by feedback
❖ Correct pronunciation of words
➢ Principles For Effective Communication
The effectiveness of the communication process in an institution is based on certain fixed and flexible
features. These are called as “Seven Cs” of effective communication.
❖ Clarity- follows the principle of KISS (Keep It Short and Straight), simple and concrete
words, short and simple sentences help in conveying the real essence of massage
❖ Concreteness- of the information is supported by well researched data and figures. The
language should be interpreted uni-vocally, no ambiguity, no confusion. Teaching passed
on by such methods of communication will be understood once for all.
❖ Conciseness- be it teaching or passing on of instructions is effective only if the there is
consistency in storyline which is well supported by facts and figures. Variations of
statement lead to confusion in the mind of recipient. Content of communication should be
specific to the target and it leads to generation of expected outcome.
❖ Correctness- be it any language used for communication, it has to be grammatically
correct. It adds to the trustworthiness of the sender and seriousness of the recipient.

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 Fig. 10.4 Seven Cs of communication

❖ Consideration- the content to be passed on to the targets or consideration should be their

need based, related with their age and level of education, should related to their previous
knowledge and relate to them. The content of communication should reflect the benefit, the
recipient going to gain out of it.

❖ Completeness- of the massage or information happens when it is based on facts, full of

explanations, sub divided properly to reach the recipient’s perception. The content must be
encoded to cover all “Ws”. Why are we dealing with this topic, which will be the benefited,
from Where to get its literature, where can you make use of this concept etc.

❖ Courtesy- the approach of the speaker should be friendly and courteous, use of respectful
words make them feel comfortable and better listeners. Follow the 3rd Law of Newton in
using respectful words with your targets.

Over the years two more Cs have been added to make the communication more effective. These are:
❖ Creativity- use of new words, phrases, expressions, citied with appropriate examples, makes
text more and clearly understandable. It’s just putting an old wine in new bottle to sell it
better but it require inputs, lateral thinking of the encoder and a conscious effort.
❖ Credibility- of the content is based on your tone. The clearer it is the better your massage is
conveyed. The confident tone of a teacher or administrator can be trusted.

➢ Role of Effective Communication in an institution:

Effective communication plays an important role in an institution as the clarity of
transmission of thoughts between the head of the institution and faculty or teacher and
students is the pedestal on which the success of any institution stands out. It also helps in
achieving institutional goals. It is able to pass on the clear cut expectations of the team leader
or institutional head to all team members which help in enhancing the productivity of any
institution. In official matters more and clear use of verbal communication should be
preferred. Following theories help in identifying appropriate communication approach based
on the type of organisational structure.
Weber’s Classic Organizational Theory of Fixed Structures- this theory holds well where
institution is working in a bureaucratic manner with clear and defined roles and
responsibilities. In this situation the methods and means of communication should be
hierarchical, structured and clear.

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Deetz’s Managerialism Theory- incorporates democratic approach of communication in an
institution where other people of the institution are taken into the loop of communication and
feedback was given its due importance in decision making process. This theory is more
naturally evolved theory and more suitable in current scenario.

➢ Communication Models

A number of the models of communication have been designed by various workers in the field
enabling clear, easy, comprehensible and proper depiction of an idea, thought or a concept in a
simpler way by using diagrams, pictures, equations etc.

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❖ Aristotle Model – was the first model designed in this direction wherein the sender has been
assigned the key role of communication that is to design the content too meticulously and
carefully that his or her respondents, who are supposed to be passive listeners, must respond
in a desired way. This model gave maximum weight age to all attributes of an effective
communication. This model is generally picked up by public speakers, politicians, sales
people, military commandants, religious leaders etc.

❖ Berlo’s Model- operates on SMCR model (source/sender, message/content, channel/medium

and receiver). It gives weight age to emotional aspect of the message. This model focuses
more on the communication skills, attitude, knowledge, social system and culture of sender
and recipients

❖ Shannon and Weaver Model (1954)- the most accepted model. It works on its 6 components
i.e., source, encoder, noise, decoder, receiver and feedback. The model explains the
importance of noise in creating miscommunications. The model is not applicable in mass
communications and is primarily one way. (Fig. 10.5)

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 Fig. 10.5 Shannon and Weaver Model of communication

Information Source (Thought / message)

↓
Transmitter (Brain to mouth) [Along with noise and distractions-external
barriers]
↓
Signal
↓
Recipient (Receives the signal)
↓
Final Destination (Finally gets the message)

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❖ Schramm’s Model (1954) - He laid importance on the encoding and decoding of the
information for effective communication as the former plays its role in converting though of
the head of the institution into the content and latter helps in the proper and exact
interpretation of the speaker’s mind. According to this model communication is two way
process whereby feedback between faculty and head of any institution determine the efficacy
of the communication. (Fig. 10.6)

Fig. 10.6 Schramm’s Model of Communication

Sender

M↓ ↑M

Receiver

❖ Helical Model (Frank Dance, 1967) and Westley and MacLean’s Model (Bruce Westley and
Malcolm S. MacLean Jr., 1957) (Fig. 10.7)

Helical model Westley and MacLean Model

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 Figure 10.7: Helical Model (Frank Dance and Westley and MacLean’s Model

Both these models are contradictory to each other. The first one believes that communication
is an inherent property while second suggests that it is initiated by external or outside
competitive world induces the institutional head to pass on information to the subordinate
faculty to work as per new targets or guidelines pouring into the system due to regular
evolution of educational systems or policies and work culture. The latest changes are to be
inducted in the current educational system to make it viable and result oriented. An efficient
head of the institution will follow more of second model.

Use of an appropriate model by the institutional managers helps in enhancing the quality of
communication in that institution.

Practice Task
Q1. Fill in the blanks
a) The process of communication involves two parties namely ______________ and
_______________ .
b) ___________ is putting the old wine in the new bottle.
c) On the basis of expressions, communication can be _______or _________ .
d) Flow of information or exchange of ideas within any institution, with respect to or irrespective
of the hierarchy is called _________ .
Q2. Short questions
a) What are the phases involved in the communication process?
b) Why is communication important?
c) Name the 7 Cs of communication.
d) What is non verbal communication?

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 Feedback
Ans. 1. Fill in the blanks
a) Sender, receiver
b) Creativity
c) Oral Communication or Written Communication
d) Internal communication
Ans. 2. Short answers
a) Phases involved in the communication process are
• Delivery of information or instructions by sender after encoding as content,
• Use of medium/media to pass on the information
• Finally response of the recipient after the understanding and interpretation of information
and giving back the feedback via media that the communication has been precisely
received.
b) Communication is important because
• It helps in exchange of ideas that are good for faculty as well as institutional growth.
• It reduces work duplicity and makes a common platform for all faculty members to share
their projects, performances, goals and tasks
• It helps in team building and sharing of loads or delegation of work amongst faculty
members that will result in to fragmentation of work and leading to the completion of
projects on desired time line.
c) The 7c are: Clarity, Concreteness, Conciseness, Correctness, Consideration, Completeness, and
Courtesy.
d) Communication that is not dependent upon the use of spoken words and is aided by gestures,
expressions, body part movements, body language, body postures, eye contact etc.

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8.10.2 Communication Barriers
Any obstacle or barrier that leads to the misinterpretation or misunderstanding of the information sent
from the sender by the receiver is termed as “Communication Barrier”. Such barriers make the
communication ineffective. These can be intentionally or unintentionally created actions by either
sender or recipient. The communication process may be hampered by multiple barriers. Some of these
are:

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 ❖ Linguistic Barriers-due to multilingual nation, use of a particular language or dialect
becomes one of the main barriers, especially in educational institution, where in majority of
the times information from teachers is passed on with the help of linguistic tool.
❖ Psychological Barriers- speech disorders, stage fear, public speaking fear, mental anxieties
also interfere with the effective dissemination of information from teacher to students or
seniors to junior in institutional hierarchy.
❖ Emotional Barriers- like anger, humuor, depression, anxiety hampers the ease and comfort
levels during communication hence decline the IQ of communicator. Such emotions also blur
the decision making capabilities and leads to distorted encoding.
❖ Physical Barriers-like noise, improperly functioning equipment, wrong setting arrangement
etc. are some of the hurdles, which can be easily managed and rectified to enhance effectivity
in communication.
❖ Cultural Barriers-the sender should be well versed with this aspect of its recepients, like
foods, religion, dressings, animals and plants and other values of the society. The knowledge
of these aspects helps in better communication within as well as outside the institution.

❖ Organizational Structure Barriers- are due to lack of transparency within the institution.
Partialities and institutional politics also hamper effective communication within it.

❖ Attitude Barriers- people with introvert or clingy nature or too egoistic or inconsiderate
behaviors are not able to communicate effectively neither during internal nor external
communication.

❖ Perception Barriers- use of very difficult or uncommon or unclear words often leads to
differential perception by recipients.

❖ Physiological Barriers- certain health disorders like voice shrillness, dyslexia becomes
barricade, especially during verbal communication

❖ Technological Barriers & Socio-religious Barriers- lack of pace of a sender or institution

with fast evolving technology also becomes a cause of ineffective communication. A
patriarchal and religiously rigid society puts barriers in front of female communicators or the
ones from lower strata of society.

➢ Role of communication barriers in ineffective communication

❖ Noise- is an external barrier that results in the disfiguring the message. It hampers proper
interpretation of words or idea behind the message. Neither the sender nor the recipient of the
information is to be blamed for this situation

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 ❖ Unorganized thought- when the sender of the information is not clear about the thoughts,
need to be disseminated and the chaos of thoughts leads to improper weaving of ideas and
these haphazard thoughts make the poor communication and results in ineffective
communication. That’s why it is always said think before you speak.
❖ Wrong interpretations- it happens at the end of the receiver. It generally happens either by
misinterpretation of words (generally homophones) or some missing link in communication
❖ Not Understanding the receiver – this happens when the sender is unable to keep pace with
the interest of the listener. Either the anecdotes are not suitable or irrelevant to the recipient.
❖ Ignoring the content- irrelevant and unclear content cannot hold the receiver for a longer
time. For effective communication the content of the information has to be encoded very
properly so as to capture the attention of recipient for long times.
❖ Avoiding the Listener- a bond with the receiver is must for effective communication. A
positive body language plays an important role in creating this bond and listener will never
feel aloof
❖ Not confirming with the recipient- an effective communicator never just flows with rut of
information. One must keep vigilant check whether the information one wants to pass on, is
being fully and rightly caught by recipient.
❖ Not understanding the mood of the recipient – sender of the information should be very
clear about the level of receptivity, both psychologically and physically. Receivers should be
mentally stimulated to receive hundred percent of what sender wants to pass on.
❖ Low pitch and tone- despite of the accuracy of content, crispness and relativity of encoded
thoughts, low pitch spoils the show. Tone of the sender should be clear, sound and well
punctuated.
❖ Different cultural level- is sometime called “Internal Barriers”. Difference of work
pressures, levels of comprehensions and understanding, opacity amongst team workers,
difference of expectations, peer rivalries etc. results in ineffective communication between
institutional administrator and subordinates.

Thus, institutional managers need to initiate appropriate strategies for minimizing the barriers to
communication otherwise the achievement of institutional goals and objectives will become difficult.

Practice task
Q1. Short questions
a) What are communication barriers? Name various barriers in communication
b) What is the role of barriers in effective communication?

Feedback

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Ans. 1
a) Communication barriers are obstacles that lead to the misinterpretation or misunderstanding of
the information sent from the sender to the receiver. Various barriers in communication are
Linguistic barrier, Attitudinal barrier, Emotional barrier, Psychological barrier.
b) Barriers lead to ineffective communication as
• It hampers proper interpretation of words or idea behind the message.
• Leads to Wrong interpretations
• Leads to misunderstanding the receiver
• Does not understand the culture of listener

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8.10.3 Communication Skills for Effectiveness

External and internal communication takes place by variety of means. It can be through
presentations, talks, reports, discussions etc. All types of formal and informal means become tools in
this type of communication. The effective communication should be a mix of more than one mode.

Effective communication happens when all the barriers of communication are broken strategically or
skillfully.

➢ Written Communication

Written communication plays a very important role in institutional communication. It

can be in the form of power point presentations, official circular and notices, online
communication etc. Written communications are preferred over verbal one, as
former is better for the keeping these as records.
❖ Effective presentations: should be meticulously prepared and effectively presented
• Preparation of effective presentation - Making presentations of varied types have
become an integral part in today’s teaching. The presentation should be too effective

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 to convey the communicator’s thoughts and contents. Through presentations all types
of data, results and reports need to be projected, hence should be effectively prepared
and projected. A good presentation can make your or institutional image or otherwise
spoil it. Some important points need to be taken care of while preparing it. Like:
o Should be made on “Microsoft Office Power Point”
o Number of slides, per topic should range between 10-15
o Slides should be kept simple, if these are for formal communication, for students
some images or clips can be incorporated
o Avoid the use of flowery language, it may lead to ambiguities
o Avoid the use of stylish fonts, it may hamper clear reading of text
o Before the start of preparation of slides, do jot down all important points to be
incorporated
o Try to adhere to time allotted to finish the presentation, neither get too fast nor
slow
o Try to use clear words, short sentences which should convey, what you wants
o Support your presentation with charts, graphs, tables and pictures to make it
better explanatory.
o Try to add examples from real life experiences for the assertion of your points
o Should avoid duplication of content, it may make presentation too long to lose
interest of recipients
o Starting slide should be for your and institutional introduction with last one
acknowledgement to listeners.
o Frame the content keeping your target listeners or audience in mind

• Presentation of effective presentation - good presentation must be delivered in the

best way. The content and its communication go hand in hand and should be
complementary in nature. Some use tips are:
o Always greet your target group and begin your presentation with a smile- BANG
ON EFFECT.
o Create a friendly ambience.
o First introducing yourself and your institution
o The introduction should be well prepared and practiced
o Capture the attention of your recipient and try to maintain throughout the session
o Speak clearly and explain confidently with strong conviction
o Explain all figures, data and other details properly by using pointers
o Do incorporate your life time experiences it will help the receivers to related
themselves too with your presentation

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 o Keep audible pitch and pace
o Don’t lose eye contact with listeners, it’s a magic wand
o Pause in between to invite queries and resolve them. This will also break
monotony
o Feel relaxed, calm, comfortable and composed
o Your should be properly dressed, especially during formal communication
o Make appropriate use of non-verbal communication tools like face expression,
hand movements, posture etc.
o Read your presentation before delivery, it add to your confidence
o Check ambience of room, it should be distraction and disturbance free
o Do check your system, on which you intends to give your presentation

❖ Effective circulars and notices:

These are the most commonly used means of written communication in any educational
institution, where directions and information from the higher authorities are sent to all
relevant concerned for necessary actions on the same. Some of the guidelines to enhance
the effectiveness of circular and notices are as follows.

• Guidelines to write effective circulars and notices:

o These should be brief and specific
o Language should be grammatically correct and simple
o These should eb written taking into account the level of target group
o These should be placed on main notice boards
o Even a copy of these can also be sent by email
o Notice or circular should be duly dated
o It must carry all relevant information
o In case of very important notice or circulars, these should be duly circulated and
signed by all concerned

❖ Effective on-line communication:

The most commonly used online communication is by writing emails. It can also be by
writing blogs, video and audio conferencing, through social networks, forums, chat rooms etc.
This mode is most used method of communication in technological times. But these must be
used with great caution and skill, as social media must be used very carefully. Some of the
tips to improve their efficiency are:

• Guidelines to write an effective email-

o Emails should have short, crisp and clear content

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 o It should be self explanatory
o Avoid use of capital letters, unless required
o It should be grammatically correct
o Try use of Arial font with text size 12
o Try to make it simple without glary icons and images
o It should be used as a means of multiple communication

➢ Speaking Communication

❖ Be clear about what you want to say-

▪ Effectiveness of communication is directly dependent upon the clarity of the
thoughts of a speaker
▪ Learn how to mold your message into effective communication
▪ Don’t take much time to come to the main point of agenda
▪ Make use of the best expressible words, phrases and examples
▪ Keep audible tone and pitch and it should be pleasant to listen
▪ Be very clear of the outcome of your talk, accordingly frame your speech or
lecture
▪ Repeat major points in very tactful way using different ways and means to assert
them in the mind of listeners
▪ Speak according to the levels of understanding and receptivity of listeners
▪ Make an outline of your content, fix the frame and jot down points to make the
best and effective sequence
❖ Use of language skills-
▪ Try to use active sentences
▪ Use gender neutral language
▪ Try to use more of plurals
▪ Use short sentences, avoid run-on and rambling sentences
▪ Woman should be addressed with their first name while men with Mr. Surname
▪ Try to use descriptive words, similes, metaphors, stories to stimulate listener’s
sensory channels.
❖ Be confident, speak fearlessly-
▪ Always focus on listeners, your massage and successful outcome instead of fear
of failure
▪ Start your lecture or speech with smile, positive note like greetings and
confidence
▪ Come prepared, it boost the confidence level

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 ▪ Speak with passion and enthusiasm
❖ Stop in between and listen –
▪ Make your conversation like a tennis game, keep delivering and receiving the
thoughts
▪ Don’t push your thoughts, do give respect to other’s viewpoints
▪ Don’t just hear, listen to your listeners
▪ This two way communication resolve so many problems, misunderstanding,
miscommunications between teacher and taught or administrator and faculty
❖ Body Language and overall personality-
▪ Show a positive body language reflecting your confidence and comfort
▪ Dress up nicely, neatly and formally to be followed as a role model for your
pupils or colleagues
▪ Keep smiling to make your listeners feel comfortable, never fume and look
furious
▪ Avoid negative expressions like anxiety, depression, frustration
▪ Show balanced emotions
❖ Be Honest-
▪ As a head of the institution, one should neither hide any fact nor conceal any data
from faculty, it may hinder in creating an appropriate response
▪ As a teacher never pass on half known information, as once a concept get
wrongly engraved it will remain as such lifelong or may take long to reframe it
correctly.
▪ Do cite the source of data for authenticity
❖ Know the need of customer-
▪ Discover the motive of listeners
▪ Deliver the content as per the need of your listeners
▪ Keep asking questions and give then opportunity to fill the gaps or supplement to
content
▪ Frame questions, the way you want to address the generation of response
▪ Never discuss personal issues publically
❖ Avoid listener’s day dreaming-
▪ Due to the time lag between frequency of processing of information (@400-600
words/min.) and speaking speed (@125-150 words/min.), another process of day
dreaming starts in listeners brain
▪ Avoid it by catching their attention by visual clues, humuor, stories, lifetime
examples etc.
▪ Day dreaming interfere with communication efficacy

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 ❖ Know when to communicate-
▪ Right word ant right time hit the target
▪ Be careful about the time of communication, avoid early morning of late hours
call to your colleagues or faculty or staff
▪ Try not to disturb anyone during break times or vacations, unless urgent
▪
❖ Be open and positive to feedback-
▪ Without feedback, the communication loop remains open and the efficacy
remains under questions
▪ Be ready for negative feedback too, don’t lose temper in such situations
▪ Positive feedbacks motivate you while negative ones are for improvement and
corrections, so welcome these.
▪ Don’t keep grudges against students or subordinates, if they give some negative
feedback

➢ Nonverbal Communication

Nonverbal communication is the one which is passed on to recipient by physical cues and has
been proved as one of the best mode for effective communication as it accounts for 55 percent of
perceived communication. The efficacy of this non-verbal communication depends upon:
❖ Correct posture- without slouching and locked arms but with smiling face and eye contact
❖ Over-communicate just to communicate-according to a study “the tappers and the listeners
“communication tapers down gradually with every passing time so for the effective and
efficient communication a clear and over communicate.
❖ Avoid relying on visual aids- non verbal cues like storytelling, citing real time experiences
sometimes become more effective in conveying the message than using power points
presentations always. For effective communication use power points presentations as
supportive tool only.
❖ Request for honest feedback- honest feedback helps in highlighting all those point, which
are making communication ineffective, which the sender have overlooked. Feedback should
be welcomed from all seniors, colleagues and juniors.
❖ Keep your audience engaged- all listeners have limited attention span, to retain their
attentivity make your discussion interactive. Stimulate audience with hypothetical questions;
invite people to call out their thoughts to enrich discussion.
❖ Use the PIP approach- PIP approach to presentation is based on the “Purpose, Importance
and Preview”. Purpose will set the mind of listeners towards the topic, importance will clear

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 the relevance and preview will help the listeners visualize the frame work of topic and help in
exciting the audience.
❖ Master the art of timing- too lengthy or short communications either becomes boring or
ineffective or could not be comprehended. An appropriate length of time frame should be
fixed.
❖ Add novelty to improve audience retention- retention of new ideas is always quicker and
longer than old and previously known concepts. So keep inserting new threads to weave
thoughts colorfully. Insertions should be made with great care like jokes, funny anecdotes or
emotions with facial gestures.
❖ Try to become a likable speaker- with your smile, friendly attitude, by lowering your
defensive tactics, not indulging in arguments, welcome other’s perceptions etc.

❖ Be alert or have presence- while communicating don’t get lost be always in present or be in
the moment. Let your body and mind work in unison. Exude awareness, strength, poise and
confidence. Let your body speak your mind’s language.

❖ Be flexible- in changing your mindset and your opinion, have control over conversation, be
willing to compromise, have an attitude of “get over it and move on”.

❖ Positive touch- if need be and there is no resistance, even physical touch with clear and
positive intensions can convey what words fails to do. The touch must indicate warmth, care
and understanding.

❖ Earn respect than laughs- the beginning of the speech or presentations can be in a lighter
way to warm up the listeners but never end up with laughter. It wash away the impact of
content
❖ Show mannerism- words like thanks, please, excuse me, wonderful create a bridge between
speaker and listener to make a smooth flow of communication. Always try to use those words,
which may hurt someone.

➢ Reading Skills
❖ Keep update with current events- the effective communicator must keep pace with latest
events at local level as well as around the globe. A good speaker should be well read too.
Reading habit will enrich speaker’s vocabulary, expression of language, citation of examples,
appropriate correlations of current events with topic etc
❖ Diverse reading- Reading should not be restricted to text books or learning material, to
capture the attention of your listeners, you need to read and narrate some motivational stories,
success and failure stories, citing good quotes and many more of your and student’s interest.

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 ➢ Listening Skills
Listening enable us to receive accurately the message and also to interpret it as per the
intensions of the sender. It plays an important role in the effective communication. In-
effective listening leads to misunderstanding of the message and that leads to break-down of
communication. Effective listening is the building blocks of success. It differs from hearing
as latter is only the practical aspect while listening is the strategy.

There are mainly 4 types of listening:

1. Appreciative listening- when the listener enjoys the speaker

2. Critical listening- when the listener analyse the speaker, determine the agenda of
talk, identify key points and make his/her opinion.
3. Relationship listening- also called as therapeutic or empathetic listening. It is the
most common type of listening while dealing with people like friends, co-workers,
colleagues to solve their issues, problems, conflicts or to extend support.
4. Discriminative listening- involve looking at body language, tome change, sound
modulations, comparison of past words with present and interpret the underlying
massage.
There are certain important points to attain effective listening skills-

1. Face the speaker and maintain eye contact

2. Be attentive, but relaxed.
3. Keep an open mind.
4. Listen to the words and try to picture what the speaker is saying.
5. Don't interrupt and don't impose your "solutions."
6. Wait for the speaker to pause to ask clarifying questions.
7. Ask questions only to ensure understanding.
8. Try to feel what the speaker is feeling.
9. Give the speaker regular feedback.
10. Pay attention to what isn't said—to nonverbal cues.

Thus, the effective use of these communication skills help in creating the right culture in any
institution where every member contributes to the best of abilities for the achievement of objectives.

Practice task
Q1. Short questions
a) What are the main guidelines to write an effective email?
b) What points should be kept in mind in using verbal communication?

305
 Feedback
Ans. 1
a) Main guidelines to write an effective email are
• Emails should have short, crisp and clear content
• It should be self explanatory
• Avoid use of capital letters, unless required
• It should be grammatically correct
• Try use of Arial font with text size 12

b) Points to be kept in mind in using verbal communication

• Be clear about what you want to say
• Use of language skills-(Try to use active sentences, Use gender neutral language etc)
• Be confident, speak fearlessly
• Stop in between and listen
• Be honest and understand the listener

Conclusion
Academic leaders direct the activities of their subordinates through different communication means
for achieving the institutional goals and objectives. Different types of barriers viz. physical,
emotional, cultural etc. pose hindrances in this communication. For the enhancing the effectiveness,
institutions’ use appropriate communication models. These means help them to effectively reach even
the lowest corners of the institution and thus motivating people to work cohesively for the institutional
goals.

Bibliography

1. Aggarwal, Vir Bala and V. S. Gupta (2001). Handbook of Journalism and Mass
communication. Concept Publishing Company
2. Dalton, M; Hoyle, DG & Watts, MW (2000). Human Relations. 2nd edition. United States
of America: South – Western Educational Publishing.
3. Dessler, G (2000). Human Resource Management. 7th Edition, New Delhi: Prentice Hall
of India Pvt. Ltd.
4. Hersey, P; Blanchard, KH and Johnson, DE (2000). Management of Organizational
Behaviour, 7th Edition, New Delhi: Prentice-Hall of India Pvt. Ltd.
5. Megginson, LC; Mosley, DC and Pietri, PH (1983). Management: Concepts and
application. USA: Harper and Row Publisher.

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6. Mulder, P. (2012). 7 C’s of Effective Communication. Retrieved [insert date] from
ToolsHero:https://www.toolshero.com/communication-skills/7cs-of-effective-
communication
7. Murphy, H.A. et al., (2000). Effective Business Communication. McGraw-Hill.
8. Robbins, SP (1988). Management: Concepts and Application, NJ: Prentice Hall Inc.
9. Rue, LW and Byars, LL (1995). Management - skills and application. 7th Edition.
Chicago: Irwin.

10. Scott M. Cutlip, Allen H. Center (1952). Effective public relations: pathways to public
favor. Prentice-Hall.
11. Stoner, JAF and Freeman, R E (1994). Management. 5th Edition, New Delhi: Prentice-
Hall of India Pvt. Ltd.
12. Tripathi, PC and Reddy, PN (2001). Principles of Management. New Delhi: Tata
McGraw-Hill Publishing Company Ltd.
13. Wadkar, A (2016). Life Skills for Success. New Delhi: SAGE Publications India Pvt. Ltd.

Supportive learning material: by Dr. Rakesh K Wats

• Institutional Communication (Internal and External Communication) –

Concept, and Process
• Barriers in Institutional Communication
• Communication Skills for Effectiveness

Web resources

• What is Organizational Communication?

https://www.youtube.com/watch?v=e5oXygLGMuY
• Communication Skills - The 6 Keys Of Powerful Communication
https://www.youtube.com/watch?v=XCc6-qr0Gww
• DPSI Kickoff - Understanding Institutional Involvement in Student and Faculty
Social Communication https://www.youtube.com/watch?v=ZMfkjCurV14
• WHAT ARE THE TYPES OF COMMUNICATION?
https://www.youtube.com/watch?v=sl_BkpPGZtY
• Barriers to Effective Communication
https://www.youtube.com/watch?v=slq1nAhZuqE
• 7 C's of Effective communication. https://www.youtube.com/watch?v=7JZ1v-VwTXg
• The Art Of Effective Communication - Tony Robbins
https://www.youtube.com/watch?v=KqKAG-hRIyE

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 UNIT 8.11 (b)

MENTORING, COACHING & COUNSELING FOR

HIGHER PERFORMANCE

Contents Page No.

Broad Objective 2
Learning Outcomes 2
Introduction 2
(A) Mentoring – Concept & Significance 3
➢ Who is a Mentor and Mentee?
➢ When and why to mentor someone?
➢ Stages of Mentoring Relationships – the Informational
Mentor to the Guiding Mentor to the Confirming Mentor
➢ Mentoring Process
Practice Task 9
Feedback 9
(B) Coaching – Concept and Significance 10
➢ Who is a Coach?
➢ When and why to coach?
➢ Stages of a Coaching Session
➢ The GROW Model
Practice Task 15
Feedback 15
(C) Counseling – Concept & Significance 16
➢ When and Why to Counsel?
➢ Process of Counseling
➢ Counseling Strategies
Practice Task 19
Feedback 19
Conclusion 20
Bibliography 20

UNIT 8.11.4
1
 MENTORING, COACHING & COUNSELING FOR
HIGHER PERFORMANCE

Author Prof.(Dr.) Sunil Dutt

NITTTR, Chandigarh

Broad Objective:
After reading the learning material, you will be able to:

• Understand the concept, significance and process of

mentoring, coaching & counseling

Learning Outcomes:
After reading the learning material, you will be able to:

• Define mentoring and explain its significance

• Describe the characteristics of a mentor & mentee
• Explain the process of mentoring
• Define coaching and explain its significance
• Explain the stages of a coaching session
• Explain the concept and significance of counseling
• Describe the process and techniques of counseling

It is assumed that the learners are quite familiar with the concept of institutional management and
administration. The learners are also known to significance of institutional management for enhancing
effectiveness and efficiency.

Introduction
Dear learners, as you know that every management (be it an institution, organization or industry) wants
better results. It wants better performance of its employees towards the accomplishment of some pre-
determined institutional objectives.

As a manager, we may require to perform the role of mentoring, coaching, and counseling. By doing this,
we help employees solve problems, make better decisions, that are preventing them to acquire new skills,

2
and otherwise grow in their careers. Many managers use these three terms interchangeably but in reality
mentoring, coaching & counseling are the skills used to achieve different outcomes. The role of a
manager is much more challenging, for example, focusing on achieving better results, providing a
leadership to his/her team, listening to their problems empathetically, and even disciplining the team
when needed. Thus, learning to deal with all these simultaneously and at the same time be effective while
performing various roles is not easy.

The learning material will enable the learner to help his/her employees maximize their contribution
at work through mentoring, coaching & counseling. Therefore, it is important for a leader/manager to
understand these concepts and as well as know when and why to mentor, when and why to coach and
when and why to counsel someone in your team.

(A) Mentoring – Concept & Significance

Mentoring is a learning relationship between individuals who collaborate and share mutual responsibility
and accountability for helping the mentee work toward the fulfilment of clearly and mutually defined
learning goals. It can be used to assist individuals at specific stages of development and lasts for a
sustained but a definite period of time. The mentoring relationship provides an opportunity to both parties
for their growth & development and, thus, can be of mutual benefit. Source: (Zachary, 2002:28).
Especially, for new employees, mentoring sessions can help them gain a better understanding of the
organization, its goals and advancement criteria.

In other words, it is a “voluntary relationship that exists between a person of lesser experience and a
person of greater experience that is based on mutual trust and respect”. Mentoring is normally carried out
to educate employees with high potential for performing bigger roles in future or to share their
experiences with employees who either have to work in their new roles or who have just joined the
organization. Mentoring involves sharing knowledge, experience and offering and receiving guidance and
advice. Its purpose is not to link with employee performance objectives and it is also not done to impact
the mentee’s performance. In fact, Mentoring is..."off-line help provided by one person to another in
making significant transfer of knowledge, thinking or work" (Clutterbuck, D & Megginson, D, 1999).

“There is a great man who makes every man feel small.

But the real great man is the man who makes every man

3
feel great” (G.K. Chesterton). It implies that new
employees or those who are undertaking new roles and are
not performing to meet organizational goal(s), need
someone to identify their potential and show them what
they must do to develop personally and professionally. By
improving their skill sets and appreciating their good work,
a mentor will make the employee feel great.

Mentoring occurs when a more experienced older person extends a helping hand to a younger
employee grow and advance by providing support, advice and encouragement. Many
organizations have started implementing mentoring process with a belief that creating a bond
between a senior and a junior employee helps both and benefits the organization as well. The
younger one can pick up practical knowledge & skills from the mentor and gain insights into the
organizational culture and philosophy that otherwise might take years to discover.

There are a few myths, associated with mentoring which needs to be understood before starting
the mentoring relationship. These are described here:
a) Mentoring is a one way traffic. Here, both mentor and mentee benefit from each others’ strengths
and experiences.
b) A mentoring relationship can only be face-to-face. It may not always be possible. E-mails, ICT or
phones can also be used.
c) Mentoring is a time-consuming process.
d) Expectations are the same for everyone.
e) Mentors must not be a younger. Age is not a criteria from being a mentor.
f) Developing a mentoring relationship is complicated. Training provides a variety of resources to
guide the mentoring process.
g) It can work only with one mentor at a time. Different mentors provide unique knowledge to the
mentee, hence more than one mentor can offer varied learning experiences.
h) Mentoring relationships begin on its own. It is the mentee, who chooses a mentor he/she respects
and trusts to help him/her reach his/her goals.

4
To conclude, a mentor who feels secure in the organization because of a good mentoring
relationship and is thus likely to think about searching for another job. It is an excellent
arrangement for an organization to help manage the career stages of its employees.

➢ Who is a Mentor and Mentee?

❖ Who is a Mentor?
Anyone, who provides knowledge, skill, perspective, insight, or wisdom as helps to another person, in
a relationship irrespective of duty or obligation. By sharing the knowledge and insights that the
mentor learned through the years, he/she facilitates personal and professional growth in an individual.
The characteristics of an effective Mentor are:

• A mentor can identify the Potential in others as he/she views others positively that greatly
increases the chances of transfer of learning.
• He/she has faith in the capabilities of others. He/she believes that the mentee can perform
effectively.
• He/she is a Resourceful & Networked Guide. He/she enjoys a positive reputation and is highly
regarded by others. Being a repository of information, he/she provides just-in-time learning.
• He/she displays Patience and Tolerance. He/she allows mentees to make errors in work and
uses such errors/shortcomings as opportunities to teach/learn.
• He/she inspires others. He/she possesses the ability to build up mentees' self-esteem and
encourages them.
• He/she sees the Big Picture. With a larger perspective, he/she helps mentees produce relevant
suggestions and bring up such suggestions that the mentee would otherwise not consider.

In fact, middle level managers may prove to be best at helping new employees acquire knowledge
and develop specific skills, whereas senior managers may prove to be more effective at providing
organization’s vision.

❖ Who is a Mentee?
A mentee is anyone who wants to learn from someone who knows and provides the valuable advice
for the professional and/or professional and/or personal growth & development of the individual. Or,
he/she is anyone who has the desire to gain from someone else’s experience through guidance and
support. Also known as a protege, refers to the less experienced person who is benefiting from the

5
 acquired knowledge, skills and years of practice of the more experienced individual. The
characteristics of a good Mentee are:

• He/she is goal-oriented and thus focuses on setting and accomplishing goals.

• He/she is not satisfied with goals that he/she can reach too easily and thus seeks for challenges.
• He/she takes Initiative as he/she does not wait for managers to notice his/her abilities.
• He/she shows willingness to Learn. He/she is curious about what he/she does not know and
hence asks for assistance or resources when faced with uncertain circumstances.
• He/she accepts personal responsibility. He/she does not blame others for things going wrong, or
procrastinate, but readily admits and owns the failures and shortcomings.

➢ When and why to mentor someone?

There is hardly a situation in the organization that a manager needs to mentor each person in his/her
team. If the organization has realized the necessity of offering a formal mentoring program, choose
employees to with high potential and pair with mentors whose experiences they wish to imbibe. In
addition, the organizational leaders may choose to mentor those employees who are not on their team
but who may wish to learn something from the identified mentors. A fellow manager who is new to
the organization or to the role may also be mentored. Mentoring is usually carried out with the focus
of developing someone and sharing knowledge to enable the individual to perform his/her current or
future roles effectively. The focus of mentoring is not to influence an individual performance, but it is
to bring a positive and significant effect on the individual’s professional life as a result of mentoring
relationship.

➢ Stages of Mentoring Relationships – the Informational Mentor to the Guiding Mentor

to the Confirming Mentor

Let us understand the various stages of mentoring relationships.

❖ The Informational Mentor (the sage on stage). This is suitable when the mentee is new and
does not have lot of confidence to decide for himself/herself and the mentor relationship is
beginning. A mentor in the role of a sage is one who has wisdom that he/she has acquired with
age and experience. In such a situation he/she draws on experience and acts as a role model, leads
by example. In addition, the mentor provides a step by step to problem solving. At this stage,

6
 communication is more one way, i.e., giving information and advice. The mentor teaches, praises
and helps the mentee get started.

❖ The Guiding Mentor, i.e., Guide on the Side. At this stage, the mentor makes suggestions and
persuades the mentee. He/she probes the mentee and draws out ideas. In addition, the mentor
makes the person accountable and ensures they stay on track. After this stage, the mentee having
the ability and confidence can explore ideas and try out mentor suggestions. There is a rapport
between the participants in the mentoring relationship.

❖ The Confirming Mentor, i.e., empathetic sounding board. The mentee now becomes confident
and proactive. The mentor listens empathically and clarifies goals, directions and ideas;
encourages individual decision making and makes mentee accountable for his/her own decision
making. To conclude, the mentor acts as sounding board, a person whose reaction to something
serves as an indicator of its acceptability.

➢ Mentoring Process

Now let us learn the steps involved in the conduct of a mentoring session.

❖ Step 1: Planning for Mentoring

At this stage, the task is to find or choose a Mentor. When identifying potential mentor, you may
look for the following traits:

• Job performance. Ask questions like: Is he/she recognized as an effective leader? Is he/she
considered role model of character and values? Does he/she develop subordinates well? Does
the prospective mentor have strategic outlook planning and thinking?

• Interpersonal Skills. Ask questions like: Does he/she has a history of positive relationships
with a diverse scope of individuals? Does he/she has a history of freely sharing experiences
and insight with others? Is he/she a trusted resource in his/her own organization? Is he/she
someone you feel you could trust and spend time with?
• Learning Capacity. Ask questions like: Is the prospective mentor aware of his/her strengths
and weaknesses? Is he/she personally committed to continuous growth and receptive to new
ideas and approaches?

7
 ❖ Step 2: Initiation Phase Meetings

Acquaint with each other. Verbalize your vision and purpose of the partnership. Here, mentors
help mentees plan a task or session by asking them to: State the goals of the task or session;
Summarize the task or session. In addition, the mentor clarifies the roles/list the actions of those
involved in the task or session and finally itemize the challenges and opportunities associated
with performing the task or session.

❖ Step 3: Observation

Now, the mentor watches the mentee attentively and gathers information on how well the
mentee’s plan worked followed by sharing of this information by the mentor with the mentee
during the reflective conversation, i.e., consolidation and feedback phase.

❖ Step 4: Reflective Conversation

During this part of the mentoring process, the mentor consolidates the information and provides
feedback on the information gathered in Step 3, and the mentee responds to the mentor’s
summary and feedback.

❖ Step 5: Ending the Formal Relationship: Closure and Evaluation

Review mentee’s goals and progress. Make sure an important goal has not been overlooked. Plan
a formal acknowledgement or celebration of the relationship. Prepare for the final review.
Identify what you have gained. Identify accomplishments as a mentor-mentee pair, and examine
what you have both learned through the process

To conclude, mentoring involves sharing knowledge, experience and offering and receiving guidance and
advice. Its purpose is not to link with employee performance objectives and it is also not done to impact
the mentee’s performance

8
Practice Task:

A. In which of the following Employees 'career hazards' are dealt?

a) Coaching b) Counselling c) Development d) Mentoring

B. A Mentor is one who is:

a) a very smart person
b) giving support and career advice to a less- experienced person
c) a psychologist
d) a counselor

Feedback
A. (d).
B. (b)

9
(B) Coaching – Concept and Significance

As already discussed, a mentor is normally someone who is older

and possess more experience than the mentee, whereas, a coach
does not require to know everything and possess more experience
necessarily. A coach uses questioning and feedback technique to
facilitate an employee’s thought and learning process. Mentoring is
not usually carried out by the person’s manager while coaching is
done by the manager/leader as part of his/her responsibility towards
the team.

Coaching involves two-way communication to help an employee learn more to facilitate his/her
performance at work. Basically, coaching aims at influencing the performance of the employee.
“Coaching is a process that enables learning and development to occur and thus performance to
improve. To be a successful a Coach requires a knowledge and understanding of process as well
as the variety of styles, skills and techniques that are appropriate to the context in which the
coaching takes place" (Eric Parsloe, 1999).

As such, a coach evaluates the employee’s performance; provides insights for improving his/her
performance; offers leadership, reinforcement and supportive climate to help him/her achieve
that improved performance.

➢ Who is a Coach?

In the organization, a coach is can be a peer or manager who motivates employees, helps them acquire
skills through instruction and provides reinforcement and feedback while working with them. Role of a
coach can be performed by:

❖ Providing feedback to employees based on 3600 assessment,

psychological tests or interviews with subordinates, peers &
bosses.
❖ Help employees acquire knowledge & skills for themselves by
providing experts or lecturing them about techniques of obtaining
feedback from others.

10
 ❖ Providing the resources such as mentors, training courses or job experiences to the employees
not otherwise accessible to them.
❖ Withholding judgments and evaluation of employee performance against pre-determined goals.
❖ Influencing employees to change their undesirable behavior through their mutual and active
involvement.

The characteristics of a good coach include: empathetic, supportive, practical and self-confident. On the
other hand, employees who being coached need to be open-minded, willing and interested.

➢ When and why to coach?

Coaching is required when an employee needs help mastering skills and figuring out how to apply
instructions. For example, when an employee does not how to organize a departmental meeting, he is
given input on specific steps involved in the process. Coaching enables the employees to identify:

❖ their own goals

❖ various ways to reach them
❖ present status at work and areas they need to improve
❖ action plan

Coaching is required when you want to improve the performance of an employee, set monthly,
quarterly or yearly performance goals leading to change his/her behaviour for the better.

➢ Stages of a Coaching Session

Coaching process involves: identifying the problem, clarifying the alternatives, deciding on an action
plan and implementing the action plan. The following steps will help you in performing the role of a
coach:

❖ Step 1: Building a Relationship of Mutual Trust.

It is very much essential because conduct of an effective coaching meeting without first building
some degree of trust is impossible.

❖ Step 2: Opening the Meeting

During this stage, the manager needs to clarify, in an anxiety-free and non-evaluative climate, the
rationale of arranging the meeting. In other words, it means restating in a friendly, non-judgmental
manner, the purpose of the meeting that was planned before the schedule of the appointment.

11
❖ Step 3: Getting Agreement
Probably, the most vital step in the coaching process is to get the employee to agree verbally on the
existence of a performance issue. A manager can not commit a mistake of avoiding the performance
issue on the assumption of knowledge of the significance of mistake to the employee. A manager
must persuade an employee about the existence of a performance issue by defining the nature and
significance of the issue and getting him/her to identify the consequences of not changing his or her
undesirable behavior.

The skill of specifying the behavior involves: (a) Citing specific examples regarding the performance
issue; (b) clarifying your expectations on his/her performance in the situation, and (c) encouraging the
employee to agree on the existence of a performance issue.

Likewise the skill of clarifying consequences involves: (a) probing to get the employee to articulate
his or her understanding of the consequences concerning the performance issue, and (b) asking the
employee to agree on the existence of a performance issue.

❖ Step 4: Exploring Alternatives

After getting the employee to agree on the existence of a performance issue, encourage the employee
to identify alternative solutions for improving or correcting the issue. Be cautious not to jump in with
your own alternatives rather help the employee to think of any. Encourage the employee for specific
alternatives rather than making generalizations. Here the purpose of the coach is to let the employee
maximize the number of alternatives and discuss their advantages and disadvantages and not to
choose an alternative as it is the next step.

This stage involves the skill of reacting and elaborating. A manager must acknowledge the
suggestions offered by the employees; discuss the advantages and disadvantages of the suggestion(s).
In addition, employee may be asked to explain the ways of resolving the issue under discussion.

❖ Step 5: Getting a Commitment to Act

This stage will enable the employee choose an appropriate alternative out of many. But be careful
about not forcing upon the employee the choice as solution to the issue/problem. The manager must
ensure a commitment from the employee about what and when the action will be taken. Provide
sufficient support and offer praise to the employee’s choice.

❖ Step 6: Handling Excuses

Employee self-justification for not keeping the promise may occur during the coaching meeting. For
handling such excuses, a manager must rephrase the point by taking a comment, perceived by the

12
 employee to be blaming, and cast it again as reinforcement for him to study his or her behavior.
Ensure to react empathetically to provide back up support to the employee in situation.

❖ Step 7: Providing Feedback

Employees value the importance of performance feedback (both positive and corrective) if given on
continual basis by the manager. Hence, an effective manager must take care of a few critical things
while giving feedback to employees. Feedback should:

• Be given timely, i.e., immediately after the interaction or completion of the project, or
observation is made.
• Be specific. Use those specific words that themselves give direction. For example, statements like
"You did a great job" or "You didn't take care of the clients' concerns very well" are too vague
and don't provide sufficient insight into the behavior you would like to see changed or repeated.
• Focus on the "what," not the "why”. Do not give the judgmental feedback. Begin with "I have
observed..." or "I have seen..." and then refer to the behavior. Criticize the behavior and not the
person. Describe what you saw and heard and how those behaviors influence the team, client, etc.
• Use a sincere tone of voice. Raise the words and not the voice. Use a tone that exhibits
affirmation, love, satisfaction, empathy and not frustration, disappointment or sarcasm.

➢ The GROW Model

Let us now learn framework for structuring the mentoring or coaching sessions, a GROW Model
which stands for: Goal; Current Reality; Options (or Obstacles); and Will.

Originally developed Sir John Whitmore along with

other coaches, the model provides a good way to
think about how you would plan a journey. This
implies that deciding where you are going, i.e., the
goal; determining where you currently are; exploring
various ways (the options) to reach your destination;
and finally establishing the will, you ensure that
you're committed to making the journey, and are
prepared for the obstacles that you could meet on the
way.

The following steps can be undertaken to structure a coaching or mentoring session using the
GROW Model:

13
❖ Establish the Goal

Firstly identify the behavior that you want to change, and then structure this change as a goal. Ensure
that the goal is a SMART one, i.e., Specific, Measurable, Attainable, Realistic, and Time-bound.

A coach may consider the following useful questions in this step:

• How will you know that you have achieved the goal or that the problem or issue is solved?
• Does the goal fit with him/her overall career objectives or with the team's goal?

❖ Examine the Current Reality

Now, encourage your team member to describe the current reality. Analyze the problem and ensure
that you have not missed any information that they need in order to reach their goal effectively. The
solution may start to emerge as soon as your team member describes about his/her current reality.

A coach may consider the following useful questions in this step:

• What is happening now (what, who, when, and how often)? What is the effect or result of this?
• Have you already taken any steps towards your goal?
• Does this goal conflict with any other goals or objectives?

❖ Explore the Options

On exploring the current reality, it's time to encourage employee to determine all of the possible
options for reaching his/her goal. Brainstorming session can be conducted for generating as many
options as possible followed by discussion these options leading to decision about choosing the best
ones. The leader can also offer suggestions in this step. But it is important that the employee should
offer suggestions first, and let him/her do most of the talking while the leader can guide him/her in
the right direction, without actually making decisions for him/her.

A coach may consider the following useful questions at this stage:

• What else could you do to reach the goal? What do you need to stop doing in order to achieve the
goal?
• What if this or that constraint were removed? Would that change things?
• What are the advantages and disadvantages of each option? What obstacles stand in your way?
• What factors or considerations will you use to weigh the options?

14
 ❖ Establish the Will

Examining the current reality and exploring the options is not enough. In fact, your role is to get the
employee to commit to specific actions in order to move forward towards his/her goal. In other
words, help him/her establish the will and boost his/her motivation. Finally, make them accountable
to certain degree by reviewing his/her progress and allow him/her to change his/her approach if the
original plan isn't working.

To conclude, the emphasis of coaching is on facilitating the individuals’ work skills development and
acquisition; and consequently improved personal performance. The main focus is to improve the
individual’s understanding of self and their impact on others; particularly people with different needs
and wants from them.

Practice Task:

C. Which of the following deals with one-to-one collaboration between an external

expert and a manager for developing the leadership skills of the later?

a) Coaching b) Mentoring c) Orientation d) None of these

D. Is it True OR False ‘Coaching is the application of specific True OR False

skills to sustain and improve the performance of employees that managers

supervise’?

E. Which of the following is NOT one of the major Coaching Roles?

a) Coach as Guide c) Coach as Mentor
b) Coach as Judge d) Coach as Motivator

Feedback
(C) (a).

(D) Yes, you are True.

(E) (b).

15
(C) Counseling – Concept & Significance
After learning the concepts of mentoring and coaching, it can be stated that mentoring and coaching are
all one to one activities. Mentoring deals with equipping the employee with requisite knowledge & skills,
coaching deals with ability problems while counseling deals with personal problems. In addition,
counseling can be done in order to resolve the emotional problem of an employee. However, the broad
purpose of mentoring, coaching and counseling is to improve the employee’s performance.

While coaching deals with increasing an employee’s performance, and focusing on tasks, counselling
deals with an employee’s attitudes & behaviour. The employee’s behaviour may directly impact his
performance. But it may also impact the performance or spirit of the team as a whole. Counselling is
needed when the employee’s behaviour is affecting the performance of the team. For example, when an
employee has an attitude, emotional or family problems, or, difficulty in getting along with a co-worker
or frustration over a lack of career progress in the organization, or a drinking problem affecting his/her
performance, he/she needs to be engaged in counseling behaviours. As such counseling provides
employees a useful opportunity to work through problems in a confidential & supportive climate. It
provides employees direct access to basic forms of helping, viz., provision of information, direct action,
lecturing, advice, coaching, feedback, etc. Typically it involves meeting of employee with an advisor
especially on one-to-one basis.

“Counseling is a professional relationship between a professionally trained competent counsellor and an

individual seeking help in gaining self-understanding and improved decision-making and behaviour
changing skills for problem resolution and for developmental growth” (Pietrofesa et al., 1978). It is the
process of giving help to an individual faced by a problem, by making her/him understand and accept
her/his assets and liabilities and then arrive at a solution to the problem and then implement the decision.

Now the question comes to mind is: What Counseling is ‘NOT’? It is neither ‘Advice Giving’ nor is it
dictating to others. It is NOT solving another’s problem, but helping him/her to solve his/her own
problems. It is NOT carrying another person’s burden, but assisting him/her to carry and face his/her own
problems. It is NOT making ‘Decisions’ for others. It is helping them to arrive at their own decisions.

The personal qualities of a good counselor include empathy, warmth, genuineness, positive regard,
concreteness sense of humour, self-awareness etc.

16
➢ When and Why to Counsel?

While coaching can begin with a goal, however, counseling always begins with a problem or issue
that needs to be addressed. Counseling is normally used by people who have personal or professional
issues affecting their work. Coaching is something you will do for employees who are both high and
low performers while, counseling helps the employees gain insight into their feelings, behavior and
alternatives.

Counseling is done when the counselor observes that employee’s behavior is:
❖ causing the team discomfort, i.e., when there is confusion about undertaking projects
❖ affecting his/her output, i.e., when there are concerns about poor performance or disagreements
with performance
❖ affecting the team’s output

It is worth mentioning that out of the mentoring, coaching and counseling skills, it is the counseling
that is probably the most tough as it involves getting to the root cause of a person’s behaviour and
then getting him/her to change it.

Counseling can be directive, non-directive and participative. Directive counseling deals with listening
to the counselee’s problems, deciding with the course of action to be taken and motivating him/her to
work in the direction to solve the problem. Non-directive counseling involves skillful listening and
encouraging the counselee to open up and explain the problem and determine the appropriate
solution. Participative counseling involves a mutual counselor-counselee relationship that establishes
a cooperative exchange o ideas to help the counselee solve his/her problem.

➢ Process of Counseling

Let us now learn the stages involved in the process of counseling. These include: rapport building;
defining the problem; defining the goal; exploring alternatives & confronting incongruity; and
generalization. The detailed description is given below:

❖ Rapport Building. This stage involves building of rapport with the client/employee, i.e., making
him/her feel at ease. Here the focus is on skill of building of TRUST & attending skill.

17
 ❖ Defining the Problem. This stage involves assessment of the problem. This can be carried out
by helping client/employee to do self exploration and analyze the behavior causing
problem. The skills required on the part of the counselor are ‘active listening’ and ‘asking
probing questions’ for understanding underlying emotions of the client/employee. This
process of assessment involves a series of skills of observation, inquiry, recording
information, forming hypotheses, hunches etc.

❖ Defining the Goal. Setting Goal is important to give structure to the entire counselling process.
This involves data analysis by taking stock of the assets and liabilities of the client/employee.
Here, the skills required are Paraphrasing & Empathy.

❖ Exploring Alternatives and Confronting Incongruity. This stage involves selecting and using
counseling strategies to help the client/employee to make ‘action oriented’ solutions and explore
for alternatives and motivation for implementing the decisions. Here, the skill required is decision
making.

❖ Generalization. This implies termination and follow-up, i.e., testing the merits of new
solutions, adopting them and seeing their workability. If satisfactory, then appreciate and
dissolve the counseling relationship. A sudden break in relationship may become
traumatic for a client/employee, therefore, the counselor should prepare the
client/employee for termination. Here, the skill required is learning detached attachment.

➢ Counseling Strategies

As a counselor, you may use the following strategies while counseling the employees:

❖ Maintain confidentiality and show trust that they can open up and share the reasons for many
personal problems
❖ Speak less and briefly paraphrase and clarify.

❖ You have to listen patiently and empathetically if you want to be good in communication.
Empathetic listening inspires openness and trust.

❖ Build positive self-concept. Provide reassurance to them that their problems have solutions and that
they have the ability to improve.

18
❖ Reflect employee feelings. Be concrete- by asking for examples in vivid details of feelings and
thoughts.

❖ Counselor should ask open-ended questions. In addition, when in doubt, focus on feelings and
guide the counselee to find his/her own way to finding solutions to the problems.

To conclude, counseling can identify employee’s serious problems like depression, family disorders,
debilitating phobias etc. requiring professional treatment by a medical practitioner, psychologist etc.

Practice Task

F. The aim of Counseling is to:

a) ensure that clients are on the correct medication

b) promote personal growth and productivity
c) provide a successful diagnosis in psychopathology
d) solely address behaviour

Feedback
F. (b).

19
Conclusion
Mentoring, Coaching and Counseling can provide ample benefits to organizations of all sizes, be it a
small, medium or large businesses. When these are conducted in an efficient and effective manner,
mentoring, coaching and counseling provide employees ways to learn and grow within the organization
and along their own career paths. While mentoring deals with equipping the employee with requisite
knowledge & skills, coaching is about enhancing an employee’s performance, and focusing on tasks,
counseling deals with an employee’s behavior.

Bibliography
1. Blanchard, PN; Thacker, JW and Ram, VA (2012). Effective Training – Systems, Strategies &
Practices. New Delhi: Pearson.
2. Chesterton, GK Quotes. https://www.goodreads.com/author/quotes/7014283.G_K_Chesterton.
3. Clutterbuck, D & Megginson, D (1999). Mentoring Executives and Directors. Butterworth-
Heinemann; 1 edition.
4. http://new.coachingnetwork.org.uk/information-portal/what-are-coaching-and-mentoring/
5. http://pcaddick.com/index.html. Building Effective Partnerships (accessed on 10.03.2018).
6. Hunsaker, PL (2001). Training in Management Skills. New Jersey: Prentice Hall.
7. Jerome, PJ (1998). Coaching through Effective Feedback. New Delhi: Wheeler Publishing.
8. Matt M. Starcevich (2009). Center for Coaching & Mentoring,
Inchttp://www.coachingandmentoring.com/Articles/mentoring.html.
9. Moorhead, G & Griffin, RW (1999). Organizational Behaviour. 5th Edition. Delhi: AITBS Publishers
& Distributors.
10. Noe, RA (2010). Employee Training & development. 5th Edition. New Delhi: Tata McGraw Hill
Education Pvt. Ltd.
11. Parsloe, E (!999). The Manager as Coach and Mentor. CIPD Publishing.
12. Pietrofesa, JJ et al. (1978). Counseling: theory, research, and practice. Chicago: Rand McNally
College Pub. Co.
13. Shookla, MS (2004). A handbook opf Human Relations. Delhi: Macmillan India Ltd.
14. Zachary, LJ (2000). A Manager's Guide to Mentoring. 2nd Edition. Jossey-Bass.
15. Whitmore, J (2010). Coaching for Performance: The Principles and Practices of Coaching &
Leadership. Nicholas Brealey Publishing.

20
Support Learning Resources:
• Video films on ‘Mentoring for Improving Performance’ developed/recorded by Professor
(Dr.) Sunil Dutt, NITTTR, Chandigarh.

• Video film on ‘Coaching for Improving Performance’ developed/recorded by Professor (Dr.)

Sunil Dutt, NITTTR, Chandigarh.

• Video films on ‘Counseling for Improving Performance’ developed/recorded by Professor

(Dr.) Sunil Dutt, NITTTR, Chandigarh.

Web Resources
1. 17 Motivational Quotes to Inspire you to be Successful. https://www.success.com/17-
motivational-quotes-to-inspire-you-to-be-successful/.
2. Mentoring: How to be an effective Mentor - Golden Nugget #6. https://www.youtube.com/
watch?v=3dD2VCsPrsg.
3. What is Mentoring? https://www.youtube.com/watch?v=qoy5MifHuLs
4. Soft Skills - Coaching & Mentoring. https://www.youtube.com/watch?v=ngTPeNdIWAE
5. What coaching is? https://www.youtube.com/watch?v=Esh75mbmucY.
6. Mentoring vs. Coaching. https://www.youtube.com/watch?v=I0z-bVUk_CU.
7. Counselor: Basic Skills of a Counselor. https://www.youtube.com/watch?v=lJXSf-cx8V8
8. Employee Counseling & Wellbeing. https://www.youtube.com/watch?v=FEXPgPMiTI4
9. Counselling for Employees. https://www.youtube.com/watch?v=kTTKDUudl24

*****

21
 Unit- 8.12
Directing through Planned Change & Innovation for
Institutional Growth and Development

Contents Page No.

Broad Objective 3
Learning Outcomes 3
Introduction 4
8.12.1 Managing Planned Change - Need, Importance 4
and Process
➢ Definitions of Change management by various authors
➢ Types of Change Management
➢ Key Objectives behind the Planned Change Management.1
➢ Stakeholders involvement in the Planned Change Management
➢ Need and Importance of the planned change management
➢ Importance of the planned change management for an
educational institution-
➢ Various Planned Change management models
➢ Process for a successful planned change management

Practice Test and Feedback 14

8.12.2Managing Creativity and Innovation 15
➢ Concept of Creativity and Innovation
➢ Levels of creativity
➢ Innovation
➢ Difference between creativity and innovation
➢ Categories of creativity: as per Kaufman and Beghetto (2009)
➢ Characteristics of creative Individual

22
 ➢ Creativity and innovation management models
Practice Test and Feedback 20
8.12.3 Establishing climate for creativity and 21
innovation
➢ Barriers to creativity and innovation
➢ Positive organisational culture
➢ Ways to inculcate creativity
➢ Innovative ideas for teaching
Practice Test and Feedback 26
Conclusion 27
Bibliography 27

Unit- 8.12

23
 Directing through Planned Change & Innovation for
Institutional Growth and Development

Author Dr. Rakesh K Wats

NITTTR, Chandigarh
Supportive Team Dr. Meenu Wats
DAV College, Chandigarh

Broad Objective
The objective of this unit is to make the
participants appreciate the importance of
planned change in the present fast changing
and competitive educational scenario. The
participants shall be also aware of the role of
creativity and innovation in planned change
and sustainable growth and development of
the institution.

Learning Outcomes
After going through this unit the learner will be able to:
1. Appreciate the importance of planned change in the life of an institution.
2. Identify the drivers of change and their impact on an institution.
3. Understand theories and models of planned change and apply the relevant model in
his own institution.
4. Appreciate the importance of creativity and innovation for the growth and
development of institution in today’s scenario.
5. Understand models of creativity and innovation management and their applicability in
an institution.
6. Understand barriers to creativity and innovation in an institution.
7. Identify the ways and means to establish creative environment in the institution.

Introduction

24
When knowledge and technology is moving with leaps and bounds, teaching with old
conventional methods will be an obsolete practice. To make teaching effective both teacher
and student has to think out of box. Creative persons become untiring work forces who are
able to find solution for every problem and able to work under all situations happily. The
rapidly and continually changing education system, in India as well as at the global level,
requires changing trends in educational and institutional management. It requires constant
innovation and development of the pedagogy and faculty as per the required demands of the
market or a need of planned change management, required to achieve the desired goals.
This unit covers the above two issues of managing planned change and creativity and
innovations in institutions. The inputs in the unit are directed towards the concept of planned
change management in changing educational scenario, its means and models of
implementation, creativity, innovation, and the models relating to these two aspects. It also
incorporates the barriers, techniques to break barriers of creativity, ways and means to go for
effective creative teaching.

8.12.1 Managing Planned Change - Need, Importance and Process

In today’s continuedly changing ecosystem, world has malformed into the global village, the
place where institutions must face with the everyday new challenges & competition and in-
order to embrace the persistence and growth, they need to opt with the regularly changing
ecosystem of industry & society demands. Change management is a cumbersome practice for
the education institutions, as it requires constant innovation and development of the pedagogy
and faculty as per the required demands of the market. This involves a detailed study and
practical approach to balance the commercial and social aspects of the establishments. The
leadership plays the significant role towards planning, implementing and managing the
change management within the institution.

In India the need for the First concept/need for the change management can be track down
from 1991.This was the time, when Indian government announced significant liberalization
in the polices. This was the first direct exposure of the Indian economy and ecosystem to the
world market. The second push for the “Change Management” was the time when internet go
introduced in the year 1995 and the Indian population started experiencing the globalization,
although it has been sweeping the world much before the given time period. These reforms
pushed the Indian institutions towards the race of global competition with the
private/government players in the education segment across the globe and made the

25
establishments to cope up with the rapidly changing capabilities and compositeness with the
vastly changing students & faculty needs& expectations, innovation and technology, to
compete in the world of wage base employment and entrepreneurship. In today’s scenario the
institutions have understood the need of Change Management. “Change” is required to
survive the current scenario and with the future trends but this very complex and challenging.
It demands a very effective and careful study of the objectives, stakeholders, principles and
the factors defining the degree of change required. However, if the given scenarios are taken
into consideration and the management equitably contributes, this will germinate the
sustainable grounds for creativity and innovation, which is the key of long-term success and
sustainability.

➢ Definitions of Change management by various authors,

“By definition, progress means change. This is not always comfortable. It may challenge
our assumptions, and the way we are used to doing and seeing things. It asks us to have
faith in the larger picture, the eventual results, and each other. We need energy to deal
with it, and perspective, and sometimes just a sense of humour”.
Sheldon Levy, President’s Newsletter to the Ryerson Community, Spring 2007

“The systematic approach and application of knowledge, tools and resources to deal with
change. Change management means defining and adopting corporate strategies,
structures, procedures and technologies to deal with changes in external conditions and
the business environment.”
SHRM Glossary of Human Resources Terms, www.shrm.org

“A systematic approach to dealing with change, both from the perspective of an

organization and on the individual level...proactively addressing adapting to change,
controlling change, and effecting change.”
Case Western Reserve University

➢ Types of Change Management

In this fast-changing ecosystem, the institutions should be more adaptable and flexible to
survive the globalization change. Many a times the changes are in a planned format by
keeping in view the specific objectives and goals but, in some situations, some are
unplanned changes. However, institutional change can be implemented in any one of the
following ways as described below:

26
 Change
Management

Un-Planned
Planned Change
Change
Management
Management

Fig. 12.1 Explaining types of change management

❖ Planned Change Management: Planned change is defined as a strategic move by the
institutions, implemented with the futuristic objective to achieve the given goals. This
can be administered by changing the pedagogy& types of training, bringing a change
in the administrative system and accountability nature.

❖ Un-planned Change Management: is the immediate response to various unforeseen

implications in the ecosystem due to various reasons. Unplanned change can be
regarded as a change which takes place within an institution not in a planned manner
or as a strategic intervention but introduced in an unplanned manner.

This section of the unit will dowel competencies of planned change management with
discussion on the
• Objectives (Goals) behind the change management (Planned),
• Major stake holders in the process of change management.
• Significant factors for the successful implementation of the planned change
management.
• Few Successful models behind the planned change management.
➢ Key Objectives behind the Planned Change Management.2

27
The concept of planned change management focuses on achieving the key institutional
goals and directing the growth to new heights. The given objectives can be defined in
forms,
❖ Internal Planned Change Objectives.
❖ External Planned Objectives.
Against this background, lets us discuss the key internal &external objectives behind the
planed change management,

External
Objectives

Internal
Objectives

Fig. 12.2 Showing interlinking of internal and external objectives

❖ Internal Objectives for the planned change management-includes

• Developing an Innovative culture in the institutions.
• Setting up of a principle for the modernization culture within the hierarchy.
• Setting up acceptance and positive resistance for the innovative strategies
within the faculty and members of staff.
• Introducing the peer group learning and adapting the best practices model.
• Introducing/setting up of a concept of thoughtful & change leadership.
• Setting up of the accountability & responsibilities and matching it with the
performance review/report.
• Defining and aligning the institution and faculty goals.
• Developing a success model for communication & socialization of change for
reducing resistance to change.

28
 • Addressing the ecosystem changes and improvising the delivery.
• Improvising the faculty and staff acceptance and continuing with the change
motion and prepare them for change. .
• Improving the performance of the human resources
• 12 Measuring the impact/result from the planned change management
• Developing a clear path for sustaining the planned change management.

❖ External objectives for the planned change management

• Vision to follow the cope-up with the administrative setup in the institute.
• Rebuilding the image of the establishments.
• Matching with the changing ecosystem (Industry & Demographic).
• Redefined structure and size of the institution.
• Accelerating with the rapidly changing technology and inventions.
• Adapting with the changing data processing, project management and
communication.
• Adapting and excelling with the market outreach and market capitalization by
the institute.
• Following up with the process of improvising the institute standards with the
international level.

➢ Stakeholders involvement in the Planned Change Management

The stakeholder’s identification plays a vital role towards the success of the planned
change management and after identification, it is equally important to involve them
wisely and seamlessly to achieve the desired result. The stakeholders can be categorised
into four types-

29
 Managment Customers

Influencer/
Teachers/Trainers
Unions/Sup
/Scholars
port Staff

Fig. 12.3 Showing stake holders in planned change management and their interlinks

❖ Management: here represents the leadership of an institute. At the initial

stage they define the vision & mission for an institution. They also levy the
foundation for the inevitable goals needed to be achieve through this plan
change management.
❖ Direct Beneficiaries: in the educational setup includes students and parents or
the society. During the process of planned change management, it is important
to keep in mind their expectation and after process consequence on them. So,
it is advisable to consider them as an integral part of the stakeholder process.
❖ Teachers, Trainers and Research Scholars: at the institute level play a vital
role towards achieving the desired goals for an institute. They also play a
significant role towards implementation process of the planned change
management.
❖ Influencers, employee unions, industry association, Institution
Associations and Support Staff: are the one who either directly or indirectly
get involved towards the decision making. So it becomes equally important to
keep them in the loop towards achieving the desired results.

➢ Need and Importance of the planned change management

An institution’s need to opt for the planned change management can be derived from its
vision and the path to achieve the required goals. On the other hand, planned change
management plays a significant role towards overcoming the competition, developing
compositeness and leading the institution to the sustainable goals. In this section we will
discuss various need driven factors towards the planned change management,

30
 Internal External

s
Institutional Goal

ge
Adapting the chan
Poor Managment
Market
n utreach
Optimum Utilizatio Compitiveness/O
of re so ur ce s
Sustainable
institutional Values Development

Fig. 12.4 Factors involved in planned change management

❖ Internal Factors: are the one which influence through the internal ecosystem
of the institution and need some measures to achieve the desired results.
• Institutional Goals- are expressed as; new achievements institution has
defined to target in the coming future. This can be like introducing new
courses, new stream, increasing the candidate’s intake and many more but,
this is one of the greater needs to opt for the planned change.
• Poor Management-can lead to the failure finally resulting in the shutting
and job loss. In order to revamp the historian methods, it is advisable to
install planned change management.
• Institutional Values/Mandate-with shift or change in the institutional
mandate and can lead to the germination of planned change management
need for the institution.
• Optimum Utilization of resources-are required making the institution
more profitable and result oriented, it is much advisable to change the
current setup with the new setup.

31
 ❖ External factors: are mostly driven by the external ecosystem and with the
ever-increasing competition and race to perform and shine.
• Adapting the Change- with the regular changing environment, it has
become necessity to apply the planned change management to receive the
desired results.
• Market competitiveness and Outreach- with the cut throat competition
and demands of the stakeholders, it is required to do the needful and reach
it to the desired goals.
• Sustainable Goals- most of the institutions have moved towards achieving
the sustainable goals and it is only possible through change management.

➢ Importance of the planned change management for an educational institution-

❖ It helps in building a platform for more successful & sustainable change for
the institution.
❖ Controlling the level of change with the given circumstances, and amount of
change happening, it is good to have a planned change to have control over the
situation.
❖ Controlling the output and results.
❖ Streamlining institutional practice with institutional values. Planned change
management always propel the path of aligning the institutional practice with
institutional values.
❖ Developing the internal capabilities and preparing the institute for the future.

➢ Various Planned Change management models-

There are several planned change management models available to be used for the
purpose of institutional change. In the part of the chapter we will discuss the three
models:
❖ Lewins Model:
This model was developed by Kurt Lewin. The shared in this model depicts that’s
planned change management should be developed in such a manner that the change
induced is permanent. The model has shared the three-dimension modelling.
Phase-1:
• It is unfreezing Stage or reducing forces
• that keep things within an organization the way they are.

32
 • It happens through so-called "psychological disconfirmation."
• For example, running an institution over the wide innovation survey and
evaluating the results.
Phase-2:
• Two is movement (changing) stage
• It is the shifting the organization’s behaviour through initiating and
intervention.
Phase -3:
• Three is refreezing or stabilizing the organization in a new state of steadiness
• This step is not possible without support mechanisms.
• For example, building a solid corporate innovation capability.
❖ Action research model:
Action research activities are typically top-down approach, which happen in series of
research and action and requires considerable collaboration between staff and externals. It
can also be known as self-design model.
Main steps of the action research model:
• Identification of the Problem.
• Acknowledging the behavioural science expert.
• Accumulating the information through (interviews, observation, questionnaire,
performance data) and preliminary diagnosis.
• Feedback from the customers/students/staff/parents.
• Internal & external stakeholders jointly addressing the problem and develop the
joint action plan.
• Jointly conducting the impact analysis through data collection and if required
addressing the action plan.
❖ Positive model
Positive model is the combination of from both Lewin’s model and the specifics of action
research. The positive model focuses on the optimum utilization of the resources to reach
new heights. Main steps of the positive model are:
Step1- initiating the inquiry to address the required details of the problem
Step 2- the identification of the best practices implemented to address the problem
Step 3- Intimating an innovation plan to address the issue.
Step 4- Implementing the new plan of action.

33
 Step 5- revisiting the issues and identifying the gap areas, if any.
➢ Process for a successful planned change management-
Planning plays an important role in the planned management, but it is equally important
to execute the planning in the right ways. Most of the failures happened due to lack of
implementations. In the below process, a step by step procedure to implement the planned
change management has been outlined:

• What Leadership wants to achieve?

Start with the end goal • Identify the stakeholders.
in mind
• Identify the opposition.

• Leaders should understand the

Understand the culture.
institution’s culture • Clear dissemination of the requirment.

• Staff Meatings.
Seamless • Email communication.
Communication • Proper demonstration/one-to-one
meetings.

Understanding the • Open disucussion with the stakeholders.

resistance • Understanding their point of view.
• performing the required amendments.

• Controlling the deviations.

Controlling & • Giving incentives to motivate the
Incentivisation stakeholders.

• Measuring the achievements.

• Learning from mistakes is important.
Learn & Measure

Thus, executing each and every step of planned change very carefully, shall help the
institutions to come out of the chaos of change and get the desired results of planned
change, the institution expects out of it.

34
Practice Task
Q1. Fill in the blanks

a) In the changing educational scenario institutions must be _______ and ______to

survive the globalisation change.

b) Change can be either ________ or ________ .

c) Lewins’s model of change depicts that change management should be ________ .

Q2. Short questions

a) Define Change management.
b) Define the types of change.
c) Name the various stakeholders in the process of change management.
d) Mention any two points to state the importance of planned change management in an
institution.

Feedback
Answer 1. Fill in the blanks
a) adaptable and flexible
b) planned or unplanned
c) permanent

Answer 2. Short answers

a) It is the systematic approach to deal with change both from the perspective of an
organisation and on the individual level.
b) There are two types of change management
• Planned change management- it is a staregic move by the institutions
implemented with the futuristic objective.
• Unplanned change management- it is the immediate response to various
unforeseen implications in the environment due to various reasons.

c) Various stakeholders in the change management process are the management, the
faculty and other staff, research scholars, the students, the society like industry
associations etc.
d) The importance of planned change management in an institution:
• It helps in building a platform for more successful and sustainable change for
institutions
• Controlling the level of change with the given circumstances and amount of
change happening, it is good to have a planned change.

8.12.2 Managing Creativity and Innovation

➢ Concept of Creativity and Innovation

35
Creativity is nothing but to see the same thing from a different perspective or it is a
different way of thinking and doing same thing. Creativity starts when old notions or
boundaries are broken and we start moving in unknown territories. In today’s fast
progressive world, we need to train teachers and students as thinkers who can explore
their own interests rather than stereotyped outputs of the educational system. The career
of a student cannot be visualised the way he conducts in class or does his assignments but
also based on the skills which he or she attains and displays outside the classroom. These
are the real assets of any institution. In the current knowledge society, both creativity and
innovation are in maximum demand and educational institutes are considered as the best
place to unlock the creative potential of the gifted teachers and students.

As per Bilton (2007), creativity is not an individual trait, but a process influenced by
diverse individuals while others like Sternberg, 1988, Mayer, 1995, Madjar, Oldham,
Pratt, 2002, Hennessey and Amabile, 2010) advocated individual’s role in enhancing
institutional creativity where as culture, management processes of an institution and one’s
own intellectual ability, personality, and inner motivation are some of the extrinsic and
intrinsic factors influencing the creativity of an individual. According to some other
authors, the people working in team, where all the members are not very specialised and
have conflicts due of different levels have more chances to evolve out with better ideas
due to creative thinking. Creativity is believed to require integration of diverse knowledge
as it is a multidimensional process and work on the combination of different thinking
styles (Bilton, 2007) and requires collective teamwork than one individual’s talent.
Although, creativity may be defined differently by varied authors but divergent thinking,
novelty, diversity and originality are some of the key words of every definition.

Creativity is a combination of functional knowledge, imagination, and creative ideas.

The degree of the generation of ideas, thoughts and patterns and their correlation with
new concept depends upon the level of person’s knowledge-base and level of
imagination. Only knowledge cannot make anyone creative unless one has the ability to
make a new figure from old bits and pieces

➢ Levels of creativity- There are three levels of creativity

❖ Discovery: is the lowest level of creativity. It is an act of finding either something

new or an unknown old. It is just like giving new shape to any new thought or
36
 observation after its new interpretation and reasoning on the basis of previous
knowledge,
❖ Invention: it is a higher level of creativity. It is the mature form of discovery that
ripens with time under given circumstances.
❖ Creation: the highest level of creativity.

➢ Innovation-

Innovation is the implementation or application of a new idea, a more effective device

or process to find a better solution that meets new and unarticulated requirements. It
can also be understood as a process that bridges various novel ideas to have a
noticeable impact like productivity, effectiveness, quality, competitiveness in an
institute.

❖ Incremental – a positive progress in a product or service, a very safe type of

practice as it is less risk taking
❖ Radical - finding and implementing an absolutely new way to fix old problem.
Here risk involved is more and faces initial difficulties, that’s why it is practiced
less.

➢ Difference between creativity and innovation:

Two words creativity and innovation are very commonly used and repeatedly in
everyday conversations. According to Hemline et al, (2013) “Throughout history,
science, technology, and innovation have been central to societal and economic
development, with human curiosity and creative endeavours often being crucial to
finding scientific, technological, and innovative solutions to the problems confronting
humankind.”
Creativity Innovation
• Habit of learning • Generation of new ideas and new way
• It is an active process, which is skill to look at things
and knowledge based • Adoption of new methods to make
• It exists at individual or group or valued products
institutional level • Has ideas of some output
• Its formation of new and useful ideas to • It’s like a verb, indicating the process of

37
 make some product or provide service doing something new or in a novel way
or to undertake procedures or processes • Need hard work with persistence and
• It precedes innovation and is an perseverance
intrinsic motivation • Its production along with
implementation of new ideas

• It’s an extrinsic motivation

➢ Categories of creativity: as per Kaufman and Beghetto (2009)

According to this approach the person may fall into one or more categories which are
not age specific. The boundaries of the categories are blur.

❖ Big-C creativity (or ‘high’ creativity)-

• Explains the creativity of those people who could give shape to their
discipline with their inventions
• The work of such creators have been accepted as innovative and ground-
breaking
• Such a level of creativity is a rare thing to achieve
• It occur in inventors
❖ Pro-c creativity –

• This type of creativity needs sincere effort of long time ( usually 10 years)
to develop
• Most of the academicians and researchers attain this level of creativity

❖ Little-c creativity-

• Such creators act with flexible approach

• Use intelligence and novelty in day to day course
• Able to create new and meaningful things
• Such creations need help of already existing knowledge like internet, you-
tubes, web sites, instagram etc.
• It is attained by school-age learners

❖ Mini-c creativity –

38
 • It is the ‘novel and personally meaningful interpretation of experiences,
actions, and events’
• It can be easily nurtured by teachers and parents.
• Occurs in individuals with flexibility, intelligence and novelty” in their
thought process
• Is not obvious, as have ideas and their interconnections
• Such creators can make their own junctions of existing and new
knowledge to understand the subject properly

➢ Characteristics of creative Individual- are

❖ Personal Traits: in a problem solver should be

• Persistence

• Curiosity

• Energy

• Intellectual honesty

• High level of general intelligence

❖ Self-motivation: or self driven individual should be

• Happily working

• Enthusiastic

• Able to accept the challenges

• Working sensibly on important projects

• Self belief

• Commitment to the idea

❖ Special Cognitive Abilities: means that the problem solver should have:

• Specialized knowledge to work in a particular niche

39
 • Generalised problem-solving abilities

• Tactics for creative thinking

❖ Risk-orientation: stands for attributes like:

• Unconventional thinking approach

• Open hearted acceptance to challenges

• Risk taking abilities

• Approach to do things differently

❖ Expertise in the Area: other qualities in a problem solver should be

• Inherent and acquired talent

• Well versed experience

• Specialised knowledge of target field

❖ Synergistic qualities: to make the flow of multidirectional ideas, the teacher

should have:

• Ability to work synergistically in a project team

• Should not have egoistic temperament

❖ Social Skills: solution of any problem comes with soft skills like:

• Healthy interpersonal relations

• Open mindedness

• Nature of good listening

• Keen observation

• Skill of healthy discussions

40
 • Soft spoken

• Assertive but not rigid.

➢ Creativity and innovation management models-

❖ Free time model- where each faculty chooses his or her own time schedule and
duration to be used on innovative projects
❖ Time spent model- according to this, the faculty is given free hand to use the time
but the institution values the time spent on innovation by the faculty member.
❖ Determined time model- this model helps the faculty to focus on creative
initiatives during the events like lectures, contests, and meetings organised by an
institute.
❖ Defined time model: This model provides a percentage of the working hours of
an institute which can be used to create innovation its faculty.

Thus an ideal model for an educational institute must be comprehensive, should focus
on individual’s (faculty & students) characteristics and have factors that influence a
positive knowledge environment

Practice Task
Q1. Short questions

a) Name various levels of creativity

b) Define innovation
c) What are the characteristics of a creative person? Mention any five.
d) What are mini c creativity people?

Feedback

Answer 1.
a) Levels of creativity are
• Discovery
• Invention and
• Creation

41
 b) Innovation is the implementation or application of a new idea, a more effective devise
or process to find a better solution that meets new and unarticulated requirements.

c) Characteristics of a creative person are:

• Personal traits like persistence, curiosity, energy intellectual

• Self motivation
• Self cognitive abilities like specialised knowledge to work in a particular
niche.
• Risk orientation
• Synergistic qualities

d) It is the novel and personally meaningful interpretation of experiences, actions and

events. It can be easily nurtured by teachers and parents, and occurs in individuals
with flexibility and intelligence in their thought process.

8.12.3 Establishing climate for creativity and innovation

Creativity and innovation are major tools for keeping pace with growing knowledge. If an
institution is looking stale, it shows that there exist some internal as well as external barriers
to achieve these attributes either at individual or institutional levels.

➢ Barriers to creativity and innovation- Various barriers, which interfere with the
inculcation of these attributes, belong to either an individual or team or leader or
institution.
❖ More use of virtual objects (like computers) rather than with real stuff
❖ Rigidities of rules and regulations in an institute hamper freedom of thoughts
❖ Lack of clarity of expectations discourages creative thoughts amongst faculty
❖ Lack of engagement is an important barrier to creativity and innovation.

42
 ❖ Prototyping and enforcing the rules, resources are another valid point that can be a
barrier to creative thinking
❖ Lack of resources, including financial constraints and lack of time, is one of the most
common barriers to innovation
❖ Undeveloped corporate identity.
❖ Bureaucratic temperament of institutional authorities can also cause deceleration of
creativity and delay innovation.
❖ Inappropriate reward system discourages faculty to take initiatives
❖ Lack of freedom to put forward one’s ideas and implementation procedures
discourage faculty to undertake novel ideas
❖ Unrealistic targets, inappropriate feedback, lack of institutional support, unrealistic
time frames are some of the common obstacles to reach the goal set by creative
faculty
❖ Negative interpersonal competition does not let creative faculty to flourish
❖ Fear of rejection and job insecurity amongst faculty members will not let them
speak their mind
❖ Condemnation of a hot creative individual or team or idea will lead to the
disappointment and thus snubbing their mental creativity
❖ Rigid academic norms and institutional culture

Barriers to creativity and innovation can be broken by the institutional heads and all
other persons, by shifting institutional culture towards positive side.

➢ Positive organisational culture: promotion of creativity and innovation in an

educational institute depends upon the following features of it:

❖ Democratic and open environment: the success of creative ideas based on:

• Encouraging faculty to undertake calculated risks

• Acceptance of failures
• Promotion of interpersonal relationships
• Liberal approach to organising and reorganising teams
• Provide full freedom to teachers to accomplish tasks
• Must give clear objectives to teachers to fulfil

43
❖ Good management: of the institutional head by opting-

• To be as a good role model

• Enthusiastic approach
• Practice of good communication skills
• Protective attitude for the project team from external distraction and
interference
• Delegation of tasks to team member’s based on their skills and interests
• Setting a clear method of solving the problems without defining tight
boundaries.

❖ Sufficient resources: the institute should provide-

• Access to all necessary resources i.e. All desired facilities/ equipment/

information/ funds etc.

❖ Encouragement: the institute head should-

• Appreciate new ideas

• Create fearless atmosphere
• Make all team members mentally free of threatening evaluation.

❖ Recognition: the head of institute should work on the principles of:

• Appropriation and positive feedback

• Recognition
• Reward

❖ Sufficient time: the team leader should:

• Frame target without time constrains

• Faculty must get ample time to think creatively about the problems and the
tasks,
• Faculty should feel free to explore different perspectives
• There should not be an imposition of already-determined approach.

44
 ❖ Positive pressure: in order to generate a positive institutional internal pressures,
the head should focus on:

• An internal competitive atmosphere will help in generating a positive

pressure
• Must create a sense of urgency from competition with outside
organisations to avoid complacency
• Let the team feel a general desire to accomplish the task important for the
growth of institution

➢ Ways to inculcate creativity

Creativity is neither a subject which can be taught conventionally nor a “lip-service” to be

made in a hypocritical way but can be fostered through the right kind of environment in
an institute. Creativity is both inherent as well as acquired. The appropriate stimuli at a
proper time through best suitable examples to a specific target group can make faculty as
well students to think out of box, hence become creative. To inculcate innovation in an
institution, internal communication skills need to be honed, so as to convey the massage
clear and sound. It applies equally to faculty and students. Though there is no thumb rule
but still there are some tried and tested ways and means to inculcate creativity in an
educational institute, which are as follows :
❖ Make curriculum problem solving based
❖ Appoint faculty of desired qualities than just “monkey-teachers”
❖ Institute should have “being one step ahead” motto to survive on the competitive
edge
❖ Real life applications of subjects
❖ Provide openness or freedom for student’s expression in the institution
❖ Organising seminars and workshops
❖ Organising art exhibitions and creative classroom activities
❖ Holding cultural festivals, dance and music shows
❖ Faculty members encourage healthy discussion among students
❖ Create an innovative platform where the objectives of the institute are made clear
to all stakeholders
❖ Provide equal opportunity to one and all for ideas discussion

45
 ❖ Avoid sporadic speeches and cold memos
❖ Be open for risk taking approaches
❖ Provide ample time to undertake innovative projects
❖ Innovative policies need to improve upon continuously
❖ Institution should reward the innovators and creators to promote the culture
❖ Creativity can only be taught in educational institute via creative teaching
➢ Innovative ideas for teaching:

It is generally said, “The best teachers are those who show you where to look, but don’t
tell you what to see”. The biggest challenge in today’s scenario is to make the students sit
and concentrate on what you as a teacher want to teach them. For making this happen, the
focus has to be laid on how to teach. Some of the following practices can be taken into
consideration:

❖ Creative teaching- will capture their interest and excite their minds, can be done
by introducing the topic with the help of visual exercises followed by welcome of
different ideas and freedom to undertake relevant activities.
❖ Audio and video Tools- incorporation of tools like models or filmstrips or
movies or pictures, info graphics or other mind mapping or brain mapping tools or
smart apps will help the imaginations of students to grow further as these
stimulate more than one sense at a time.
❖ “Real-world” learning- by relating the topic or agenda with real life situations
make the targeted listeners more attentive, involved and focused.
❖ Brainstorming- will make many brains to focus on a single issue with multi-
oriented solutions. Such techniques provide a positive platform to voice the
thoughts of students. The brainstorming can be simple or group or paired
brainstorming. But it has to be framed with some ground rules.
❖ Classes outside the classroom- relevant field trips not only break the boredom of
four walled teaching but also refresh the students and enhance long lasting
learning.
❖ Role Play- helps in strengthening interpersonal relationships amongst them and
the students step out of comfort zone easily.
❖ Storyboard teaching- induces step by step learning, enhances imagination and
visualisation of complex concepts
46
 ❖ Welcome new ideas- make teacher as well students receptive to change and open-
minded.
❖ Work together- inculcation of team spirit invites interesting teaching strategies
from other colleagues to make your teaching innovative.
❖ Initiate clubs or groups- provides a platform to share and grow your and
student’s passion
❖ Make your profession as passion- passionate teaching neither makes you feel
bored not your students dumb. Stress free teaching is naturally creative and
effective, as it is generally said “Mind is like a parachute, it only works when it is
free”.
❖ Introduce your topic in the best possible way- best beginning is half battle won.
An interesting introduction of the topic will make your target listeners adhere to
you and the topic.
❖ Powerful question- set by a teacher can help in stimulating curiosity and
generating creativity.
Hence a positive attitude and environment plays the key role in creating and
enhancing creativity and innovation amongst the members of any institution.

Practice Task
Q1. Fill in the blanks

a) Creativity is both ________ and _______

b) __________ can capture the interest and excite the mind of students

Q2. Short questions

a) What are the various barriers to creativity?

b) How can you inculcate creativity?
c) Suggest three innovative ideas for teaching.

Feedback
Q1. Fill in the blanks
a) inherent and acquired

47
 b) Creative teaching

Q2. Short answers

a) Barriers to creativity are
• More use of virtual objects rather than real stuff
• Rigidities of rule and regulation in an institute
• Lack clarity of expectations

b) Creativity can be inculcated by the following:

• Make curriculum problem solving based
• Appoint faculty of desired qualities
• Provide openness and freedom to teachers

c) Three innovative ideas for teaching

• Creative teaching to capture mind of students
• Using audio visual aids
• Incorporation of digital aids like clips, films etc
• Role play and story board teaching

Conclusion
For the survival and further success, especially when the socio-economic and cultural
scenario throughout the world is fast changing, it is extremely vital that the educational
institutions prepare themselves for the change. They need to be responsive to these changes
by designing strategic plans and adopting innovative strategies; otherwise they shall be out of
business. Using planned change model based actions, out of box thinking of faculty and staff
shall only make them sail through the tide of changed trends and expectations.

Bibliography

1. Adriansen, H.K. (2010) How criticality affects students’ creativity. In C. Nygaard, N.

Courtney & C. Holtham (eds.) Teaching creativity – creativity in teaching, pp.65-84.
Libri Publishing, UK
2. Bruce, A. and Birchall, D. (2009), Fast Track to Success: Innovation, Prentice Hall,
Edinburgh Gate, Harlow

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 3. Dawson, P. and Andriopoulos, C., 2014. Managing Change, Creativity and
Innovation. Sage.
4. Grossman, S.R., Rogers, B.E. and Moore G.R. (2006). Unlocking Creativity in the
Workplace, Jaico Publishing House, Mumbai.

5. http://www.styljanje.com/manage-creativity-and-innovation-within-the-organisation/
Janja Popović Sept. 2017
6. https://medium.com/@janja.popovic/how-to-manage-creativity-and-innovation-
within-the-organisation-76dc447b6cb6
7. https://reva.edu.in/blog/importance-of-creativity-and-innovation-in-academics
Importance of Creativity and Innovation in Academics

8. https://www.heflo.com/blog/business-management creativity and innovation

management: organised chaos? By Pierre Veyrat Sept. 12, 2017

9. 1https://www.managementstudyguide.com/forces-of-organizational-change.htm/

10. Mansouri, Ali (2015) Building a Culture of Creativity and Innovation in Higher
Education Institutions.

Supporting learning material: by Dr. Rakesh K Wats

• Managing Planned Change - Need, Importance and Process

• Managing Creativity and Innovation

• Establishing a Climate for Creativity and Innovation

Web resources

• Kurt Lewin's Change Model Organization Change and Development

https://www.youtube.com/watch?v=oDzwYp2CXxo

• Theories of Planned Change,Development

https://www.youtube.com/watch?v=s9OF4OA9mx0

• Creativity and Innovation

https://www.youtube.com/watch?v=FXJUDyqobbM

• Managing Excellence through Innovation & Creativity By Dr RK Watts

49
• https://www.youtube.com/watch?v=ECanMeLQuSU

• Managing Creativity and Innovation Harvard Business Essentials

https://www.youtube.com/watch?v=-8b1weVNZBg

*************

50
 UNIT 13

MANAGEMENT OF GOALS, TIME AND

ATTITUDES

Content Page no.

Broad Objective 3

Learning Outcomes 3

Introduction 4

8.13.1 Managing Goals

➢ Concept of Goal
➢ Characteristics of Goals
➢ Setting Goals Effectively
➢ Obtaining Commitment to Goals

Practice Test 8

Feedback 8

8.13.2Managing Time 10

➢ Causes of Time Wastage

➢ Conserving Personal time

Practice Test 15

1
Feedback 16

8.13.3 Managing Attitudes 17

➢ Concept of Attitude
➢ Benefits of Positive Attitude
➢ How Attitudes get formed?
➢ Attitude Structure
➢ Attitude Change
➢ Developing and Maintaining a Positive Attitude

Practice Test 21

Feedback 21

Conclusion 23

Bibliography 23

UNIT 13
2
 MANAGEMENT OF GOALS, TIME AND
ATTITUDES
Dr. Sunil Dutt Professor & Head Education and Educational Management Department, National
Institute of Technical Teachers Training & Research, Sector-26, Chandigarh (India)

Broad Objectives:

After reading the learning material, you will be able to:

• Understand the concept, importance and management of

Goals
• Know the time wasters and management of time effectively
• Understand the concept, importance and development of
right attitudes

Learning Outcomes:

After reading the learning material, you will be able to:

• Explain the concept and importance of Goal

• Describe the characteristics of a good Goal
• Explain the tips to managing goals
• Explain the concept and importance of Time
• Identify the causes of time wastage
• Explain the techniques of managing/utilizing time
• Explain the concept and importance of Attitude
• Explain the techniques of managing Attitude

3
Introduction

Dear learners, as you know that the performance of any productive system can be measured by two
factors: the effectiveness and the efficiency. Effectiveness is concerned with producing the right kind of
output possessing the desired characteristics Efficiency on the other hand, indicates the manner in which
the inputs are used by the system, i.e., the system uses inputs in a ‘right’ way. For achieving effectiveness
and efficiency, it is essential for every individual to learn to manage goals, time and attitudes.

This learning material will enable learners apply the systematic approach to design of instruction.

8.13.1 Managing Goals

Many persons who are ambitious look at other colleagues, see what they produce, and set their own
goals slightly higher. Unfortunately, this won’t make you productive. The majority of persons have
limited outputs. So even if you do 10 per cent more, your output will still be small. In order to
succeed in almost anything, it is necessary to set realistic, but ambitious goals. Now let us learn,
what a goal is? What are the characteristics of good goals? How the goals can be managed?

➢ Concept of Goal:

A goal setting is the basic skill in planning any activity in the organization as the goal provides direction
for management decisions and the bench mark against which actual achievements can be measured.
Now, the question arises, what is a Goal?

A goal is the objective, target or end-result expected from the completion of tasks, activities, or
programs. Goals are the foundation of all our planning activities. They provide the direction for
management decisions as well as the criteria against which actual accomplishments can be measured.
Goal setting serves four main purposes:

• It provides an explicit, recorded statement of what one intends to accomplish.

4
• Setting goals provides a basis for measuring performance of an individual in particular and that of an
institution in general.
• What is expected and what is desired increases positive motivation to achieve goals.
• Knowledge about where you exactly want to go is more likely to get you there than trying different
strategies haphazardly.

❖ Organizational goals can be:

• Official goals which are developed by the upper management in the organization. Can you list
a few with respect to your organization?
• Operative goals for which middle management is responsible. Can you list a few with respect
to your organization?
• Operational goals for which first line supervisors and employees are responsible. Can you list
a few with respect to your organization?

The basis of good is stating goals explicitly. Clarifying goals involves making sure that all employees
have understood:
I. What they are being asked to do (their areas of accountability) and II. What good performance
looks like (performance standards by which they will be evaluated).

➢ Characteristics of Goals:

Following basic characteristics can guide us in defining and setting

goals:

❖ Specific. A goal is meaningful to an employee only when it clearly indicates his or her task
which in turn, can be objectively measured. As a manager, define the employee’s task as
completely and specifically as possible. This can be achieved by using the language in which
the employee can understand. If the goal is vague, e.g., please do the best you can, the
employee would interpret in different ways depending upon his/her knowledge, ability,
experience and ambition. On the other hand, if the goal is specific, e.g., decrease failure rate by
10%, would direct the employee to the desired response.

❖ Challenging. If the goals are reached too easily, they would offer no challenge to the employee.
On the other hand, if set unrealistically beyond his/her reach, goals would create frustration and

5
 tension and, thus, employees settle for performance much more than their capabilities.
❖ Time Limits. Open-ended goals, not linked with a specific time limit are likely to be neglected
because no sense of urgency is associated with them. As a manager, assign tasks to employees
indicating a time limit.
❖ Employee Participation. Goal setting motivates people, increases their commitment when they
are involved in their own goal setting. Thus. They will tend to engage in much more goal-
directed activity. On the other hand, if the goals are assigned by the manager, the employees are
likely to give up more easily because they perceive these as their boss’s goal and not as their
own.
❖ Feedback. Feedback shows you how you are progressing in relation to your desired outcome.
Tell people how they are doing by regularly assessing their work. Inform them of their strengths
and weaknesses and indicate specifically how they can improve upon their performance.

➢ Setting Goals Effectively:

Goal setting is an essential tool for thinking about your future vision/dream, and for motivating
yourself to turn the vision/dream of the future into reality. The following steps can be employed for
establishing goals:

❖ Setting Goals: Employees will make a real effort to achieve goals which they perceive as
specific, measureable, attainable, time bound and realistic. Define and indicate to the employee
what you expect of them in clear words, i.e., define their job descriptions (what they are
expected to perform, how these are to be performed, time limits etc.). Set interim goals for
yourself or your subordinate to accomplish in the next three to six months.

❖ Mutual Goal Setting: Involving employees in setting goals would result in ready acceptability
of these goal by them.

❖ Setting Priorities: Almost everybody is ambitious but few know what they really want to
achieve. Ask yourself, which goals are most important? Is there a real need to do the task in
hand at all? Prioritize your goals/tasks with a specific deadline for each goal. Focus on “A”
tasks which are most significant.

❖ Measurable Indicators: Set and make known the criteria of measuring the attainment of goals.

6
 Establish a system of obtaining feedback to know if the person is doing the job well.

❖ Standards of Performance: Set clear and unambiguous standards. Let them know what is
expected of them. There should be minimal, acceptable and outstanding levels of performance
determined for each goal.

❖ Incentives and Benefits: Devise a scheme of providing incentives and benefits if an employee
is doing a good job.

❖ Obstacles to Goal Accomplishment: Anticipate the problems that are likely to be faced by the
employees towards the accomplishment of their goals.

❖ Action Steps: Prepare an action plan indicating the steps to be undertaken to accomplish the
goals.

❖ Praising and Reward: What happens if the goal is accomplished?

❖ Reprimands and Redirection: Prepare a plan of action in case the goal is not accomplished.

➢ Obtaining Commitment to Goals:

The mere existence of goals is no assurance that employees accept and are committed to them.
Actually commitment to work towards goal attainment comes from inside. Hence, goal setting will not
work if the employee is not internally committed to his/her goals. In order to increase acceptance and
commitment, a manager can employ the following tips:

❖ Explain goal relevance to personal needs and values. Inform the employees about the
relevance/rationale of institutional goals to their personal needs and values and how their
achievement will ultimately benefit him/her.

7
 ❖ Provide managerial support. Employees should be given enough support in the form
infrastructure, other resources, time etc. required for achieving goals. Be visible to the
employees as they may need your guidance and support.
❖ Use participation. Research has indicated that commitment increases when manager and
employees are jointly involved in their goal setting. They tend to engage in much more goal-
directed activity before they become frustrated and give up. Encourage them to contribute their
ideas toward goal accomplishment.
❖ Convince employees that goal attainment is within their capabilities. Employees should be
made aware of their potentialities and accepted as they are. This will help them to enhance their
self-worth, contribute to their aspirations and, in turn, will motivate them for work.
❖ Use rewards on attainment of their goals in a timely manner. Be fair in giving rewards. Do not
reward all individuals equally. Rewards should be based on performance. Create competitions
for rewards.

Practice Task:

A. Define a goal.
B. Differentiate between Official and Operative Goals of an organization.
C. State the basic characteristics of a Good Goal.
D. Are the following statements with regard to goal setting True OR False ?
a. Participation of people reduces employee commitment to
goals.
b. To avoid confusing employees, leader should never deviate
from original plans.

Feedback

A. A goal is the objective, target or end-result expected from the completion of tasks,
activities, or programs.

8
B. Official goals are, developed by upper management, whereas Operative goals are those for
which middle management is responsible.
C. Specific; Challenging; Time Limits; Employee Participation; and Feedback.
D. (a) False (b) False

9
8.13.2Managing Time

Time is a valuable, scarce and irreplaceable resource, once it has passed, it can never be reclaimed. If you
can't get yourself organized and need more than 24 hours in a day, it means you need to know how you
can make your own time more productive. Since we are unable to alter the 24/7 plan but we can follow
certain guidelines for getting the most out of time available to all of us in an organization. The present
module cannot tell you how to add extra hours to your day, it can enable you to lift time pressure burden
from your mind by helping you to train yourself to do more in less time without extra fatigue of loss of
effectiveness.

For an individual, working in an organization or managing his/her section/unit/department, to be really

productive, it is essential not only to work hard but to be organized, set priorities, juggle conflicting
demands and duties, and consciously plan and schedule personal time, i.e. to work smarter, not harder.

Time has been regarded as the most important parameter in determining the performance and, hence a
section head/manager has to make a study of how his time is spent. An ineffective head/manager can
improve upon his effectiveness if he makes a study of how his time is spent, analyzed the study and
finds out the areas which need his personal involvement and those which do not. This demands,
therefore, time management. An effective head/manager does his time management by maintaining a
diary of precisely what he does each day and the activity time. This data collection will identify the
areas in which the head/manager has difficulty in time management. An analysis of how one spends
one’s time and improves upon effectiveness and efficiency in the work would make him/her an
organized personality.

➢ Causes of Time Wastage:

Generally, people blame others for their poor use of time and point out external factors as the primary
source of time waste. In reality, the person concerned himself/herself is mainly responsible for wastage
of time. Following are the important causes of time wastage:

❖ Indecision. Lack of ability to decide quickly and accurately is a source of time wastage. Can

10
 you identify reasons of indecision?

❖ Failure to delegate. An ineffective head/manager trying to do everything personally and is not

entrusting to another person a job together with the authority to do it, is simply contributing to
wastage of effort and time.

❖ Procrastination. Procrastination, the world’s number one time – waster, is a Latin word for
tomorrow. It implies the tendency of postponing things due to one reason or the other. Can you
identify the reasons?

❖ Failure to Communicate Failure to communicate effectively is the root cause of wasted effort.
When the superior does not give precise directions or does not accurately communicate the
assignments to those who were to carry them out leading to wastage of time.

❖ Lack of Planning and Prioritizing When the tasks are not properly planned and prioritized,
the employees get deviated from the goal of the section or the organization.

❖ Interruptions Many interruptions in the organization like frequent telephone calls or mobile
notifications, drop-in visitors on regular intervals, the hastily called meetings etc. cause wastage
of time. Can you identify more reasons at your workplace?

❖ Lack of Focus/Starting Point Many a times the task seems so large that you do not know
where to begin. The employee spends valuable time in thinking about the task itself.

❖ Poor Filing System One becomes confused when file folders are not labeled properly and the
papers/documents are not filed in the concerned files timely. Thus, you lose time and energy
when things are harder to locate.

❖ Over Commitment As already discussed, effectiveness at work depends upon knowing what to

11
 do and what not to do. Over-commitment is a sure road to failure or a breakdown in your
health.

❖ Failure to Look Ahead. It means dealing with the problems only after they have become so
severe that they demand immediate attention.

❖ Lack of Self-discipline/Motivation Lack of self-discipline makes a person just wish to do

things, yearning and wanting to achieve something, but he/she is not able to do anything well or
on time. In addition, when the subordinates are not motivated, their commitment decreases.

❖ Poor Interpersonal Relations Can you comment on ‘how poor interpersonal relations result in
wastage of time?

There could be more causes of time wastage. For example, simply being tired contributes to wasted
time (wasting time during tea or smoking); Poor physical and mental state can make the situation even
worse. Can you identify more causes of time wastage at your workplace?

➢ Conserving Personal time:

Determination to make best use of time is essential. Following approaches may be useful in improving
time efficiency:

❖ Communicate properly. Do it right the first time is the good rule of time management.
Communicating effectively helps one to achieve time management. Always provide clear,
concise and legible instructions to your employees. Use a common language and develop
an art of listening.

❖ Learn to Delegate Overcome the need to do everything yourself. Delegating as much as

possible to others is central to effective management of time. Delegation will help you to
motivate your employees, train them and which, in turn, develop them besides lightening
your burden. Learn how to delegate and what to delegate.

12
 ❖ Control Interruptions Manage your emails and phone calls to real communications and
don't let them manage you. Avoid using phone calls, and other social media as a tool for
socializing. Plan outgoing calls and emails as it will save lot of your time. Plan your time
for checking emails/WhatsApp or Facebook massages, and avoid continuous notification of
incoming emails. Delegate information giving/inquiry calls. In addition, do not believe in
open door policy. Set a definite appointment with a definite duration. e.g., daily at
11.30AM for 15 minutes for subordinates, and at 4.30PM for 30 minutes for visitors

❖ Make up your mind to Decide quickly Be quick in decision making rather than
postponing. Avoid crisis management by becoming creative and introducing different ways
of doing things. Handle mails just once and decide what is to be done to it.

❖ Learn to say No Effectiveness at work depends upon knowing what not to do. Learn to
decline it politely, and constructively. Stick to your decisions. If you find it difficult to say
'No' at the first instance, you may do it easily by citing reasons to justify your position, e.g.,
"I understand this is urgent for you, but I have other priorities which I must deal with first
for the good of the business". You may show people your schedule, which justifies and
proves how you prioritize and manage your time.

❖ Cut down Paper Work Scrap unnecessary reports, forms, books, files etc. Keep a clean
desk and well-organized systems, but don't be obsessive about it. Send copy to only directly
concerned section or employee. Make a habit of clearing the desk completely or at least
organizing before leaving the office as it will get you the next day off to a good start.

❖ Carefully Plan and Set Priorities Planning is the keystone to time management. We
plan our activities, however, to avoid consequences even more unpleasant than the labour
of planning. Writing down a plan makes a stronger commitment to goal accomplishment.
Time management enables you commit to action plan. Set a deadline for the plan. A good
manager always plans his/her day the night before. You can prepare a ‘to do list’ for the
next day. Prioritization of activities makes you an organized personality. Prepare a ‘to do
list’ both for yourself and your subordinates.

You may make an analysis of how you are currently and effectively spending your time. In case,
you are unable to do it, keep a time log for a few days. Indicate the activity involved each day in

13
 each time block for one full week and ask questions yourself: was this a typical week? If not, why?
Which phone calls were unnecessary? And why? and so on. Knowing exactly what's wrong will
surely help you to improve it. An example of a time log is given here:

Time Log

NAME:

DATE:

ACTIVITY START FINISH TIME SPENT HOW DO COMMENTS

YOU PLAN
THIS, DO
NOW?

Prepare a time budget for repetitive tasks such as weekly review meetings, tests etc. Studies have

shown that the more time we spend planning a project, the less we require for actually completing it.

Use a diary or an activity planner for scheduling what and when to do things, and time-slots for things

you know will need doing or responding to.

14
 ❖ Keep yourself Physically and Mentally Balanced Enjoy what you are doing. Express
emotions and cultivate tolerance and understanding of others’ feelings. Take time to relax as it
reduces stress. Conserve your energy and build your health by following sensible guidelines
over sleep, diet, rest, relaxation.

❖ Give yourself an Appraisal You may ask yourself: What are your strengths & weaknesses?
What are the tasks you do well or the tasks you don’t do well? Or What knowledge, skills and
attitudes you need to acquire to become more effective in your work. After critically analyze
yourself, you may identify areas in which you require training.

❖ Become an Organized Personality When faced with a pile of things to do, you go through
them quickly and make a plan of what to do and when. After this do first thing first or one at a
time. Do not under any circumstances leave tasks half-way. Avoid attempting lots of jobs at
once - even if you can handle different tasks at the same time. Set daily targets and be firm and
diplomatic in dealing with time allocated for phone calls, e-mails, meetings, paperwork, and
visitors, etc. To conclude, time is the scarcest resource and, unless it is managed, nothing else
can be managed. Therefore, management should view time as an asset/resource and not as
something to be watched or feared. For improving your own time management, you may train
yourself towards better planning; prioritizing; understanding yourself; controlling your
environment; delegating; and identifying what habits, routines and attitude that you need to
change.

Practice Task

E. The best strategy for planning out your time effectively is:
a) Delay any unnecessary work
b) Prioritize all your tasks
c) Ignore all the unexpected work
d) All of these
F. The best time management technique(s) is/are:.
a) Clean up and get organized

15
 b) Concentrate on one key task at a time
c) Make good use of technology
d) All of these
G. Procrastination refers to the tendency of postponing things on to
next day.
H. Name the interruptions in the work place.
I. List a number of practical matters which need final attention or adjustment before operational
installation of a system.

Feedback

E. (b)
F. (d).
G. Yes, you are True.
H. Frequent telephone calls; drop-in visitor without an appointment; colleague indulging in gossip when
you in thought process etc.

16
8.13.3 Managing Attitudes

Your attitude contributes to success. Now the question is: can a leader/manager be a good leader/manager
without a good attitude? Can parents, teachers, sales persons, employees/employers be good in their roles
without a good attitude? People develop certain attitudes and tend to make decisions based on these
attitudes. Thus, for achieving efficiency and effectiveness at work or in personal life, it is essential for
every individual to learn to manage attitudes at his/her level.

➢ Concept of Attitude:

An attitude is a psychological tendency that is expressed by evaluating a particular entity with some
degree of favor or disfavor (Eagly & Chaiken, 1993). An attitude is "a general and enduring positive or
negative feeling about some person, object, or issue." (Petty & Cacioppo, 1981). In other words, these are
evaluative statements – favourable or unfavourable – concerning people, objects, or events. These reflect
how we feel about something. When someone says ‘I like my job’, he/she is expressing his/her
attitude about work.

17
Attitudes are the accepted ways of responding to situations that we have learned, based on our values,
beliefs, and assumptions we hold. We acquire attitudes from our parents, teachers and peers. We watch
the manner our family and friends behave, and accordingly we shape our attitudes and behaviour to adjust
with theirs. People copy the attitudes of popular individuals or those they respect and admire.
Your attitude is the first thing people pick up during face-to-face conversation. Attitude is infectious just
as laughing, yawning, and crying are infectious. In organizations, attitudes are important because they
affect job bahaviour. If employees believe, e.g., that leaders or managers are all in conspiracy to make
employees work harder for the same or less money, then, it makes sense to try to understand how these
attitudes were formed, their relationship to actual job behavioiur and how they can be made more
favourable.
A person can have thousands of attitudes, but organizational behaviour focuses our attention to a limited
number of job related attitudes. Here we will deal with three attitudes:

❖ Job satisfaction implies an employee’s general attitude towards his/her job, i.e., an employee with
a high level of job satisfaction is likely to hold positive attitude towards the job.
❖ Job involvement indicates the extent, to which an employee identifies with his/her job, actively
participates in it, and considers his/her performance important to self-worth. It is related to fewer
absences and lower resignation rates.
❖ Organizational Commitment is an employee’s orientation towards the organization in terms of
his/her identification, loyalty and involvement. Less committed employee is more likely to see
himself/herself as an outsider.

➢ Benefits of Positive Attitude:

Let us have a look at benefits of Positive attitudes to an individual in specific and an organization in
general as detailed below:

For you as an individual For Organizations

– Makes for a pleasant personality – Increases productivity/profits

– Is vitalizing – Fosters team work, better relations with
– Enhances your enjoyment of life colleagues
– Helps inspires others around you – Improves quality

18
– Helps you become a contributing member – Makes for a congenial atmosphere
of society & an asset to country – Reduces stress
– Breeds loyalty

However, negative attitudes lead to resentment, bitterness, ill health, a purposeless life and high stress
levels. The characteristics of a Positive Employee can be summarized as:
● He/she knows hard work is good for the soul (a sense of being a competent person)
● He/she decides to enjoy his/her work ... no matter what.
● He/she sees the good in every situation.
● He/she asks how they can do more than is expected.

➢ How Attitudes get formed?

Attitudes are formed by various factors, including our experiences, our personal values, and our
personalities. Let us take an example: if we value honesty and sincerity, we are likely to form favourable
attitudes towards a manager whom we believe to be very honest and hard working. Knowledge of the
basic structure of an attitude helps us to see how attitudes are formed and can be changed.

➢ Attitude Structure:

Attitudes contain three components:

❖ Affect: A person’s affect (feelings/interests/values) is toward something. For example, he does
not like Ramesh because he discriminates against persons with disabilities.
❖ Cognition: A person’s cognition refers to the knowledge he/she presumes to have about
something. For example, you may intend to work with a leader/manager because you think you
know where he/she stands on several issues.
❖ Intention: An intention guides a person’s behaviour. For example, if you like your
leader/manager, you may tend to take another assignment from him next time. When two sets of
cognitions are contradictory, a person experiences a level of conflict and anxiety called cognitive
dissonance. Because the attitudes are contradictory with each other, the person probably will
experience a certain amount of stress and discomfort and may try to reduce these feelings by
changing the attitude, or altering the behaviour.

19
➢ Attitude Change:

Attitudes do not remain stable as personality attributes. New information, e.g., may change attitudes. In
addition, attitudes can also change when the object of the attitude becomes less important or irrelevant to
the person. Individuals may change their attitudes as a way to reduce cognitive dissonance. Stress is
another condition that distorts attitudes. Can you think about situations when we change our
attitudes?

➢ Developing and Maintaining a Positive Attitude:

You may develop positive attitudes by feeling good about ourselves. The following tips may help you to
build positive attitudes amongst yourself and others in the organizations:
❖ Engage in positive Self-talk. Change negative self-talk into positive self-talk.
❖ Believe in yourself and say ‘I can do’.
❖ Visualize the Positive that you are a good, productive person would help you develop a positive
❖ attitude.
❖ Look for the bright side.
❖ Put your sense of humour to work (Making work fun).
❖ Establish challenges. Analyze yourself: what are your strengths? Weaknesses? Set you goals to
❖ overcome your weaknesses and enhance your strengths.
❖ Develop healthy personal relationships with your colleagues.
❖ Make a Habit of doing it now.
❖ Turn a radio/music on. Read motivational books or view inspiring videos.
❖ Reward yourself. Enjoy a cup of coffee on completing an assignment with family or friends.
❖ Be open-minded and obtain feedback from your superiors and subordinates.
❖ Beware of negative people, i.e., stay away from negative influences.
❖ Creating job satisfaction (learn to treat burnout, work holism, stress)
❖ Keep your life balanced. Start your day with something positive.
❖ Don’t give up. Show perseverance.
❖ Attack problems head-on. Present your boss with suggestions for solving problems rather than
just problems. Be honest about problems.

20
Practice Task

I. A general and enduring positive or negative feeling about some object, person, object,
event or issue is called as a(n)___________.
J. Job involvement is an individual’s general attitude towards
his/her job.
K. Attitudes have three components: affect, cognition and behaviour.
L. Work attitudes can be reflected in an institution/organization through
a) Job Satisfaction c) Both (a) and (b)
b) Organizational Commitment d) Neither (a) nor (b)

Feedback

I. Attitude
J. Yes, the correct answer is False.
K. Yes, the correct answer is True.
L. (c)

21
Conclusion

To conclude, an attitude is a psychological tendency that is expressed be assessing a particular entity with
some degree of favour or disfavor. It can affect an individual behavior which, in turn, the productivity of
an organization. Thus, we need to know the tips of building positive attitudes amongst ourselves and our
dear and near ones.

Bibliography:
22
1. Adair, J (1989). Effective Time Management. Calcutta: Rupa and Cop.
2. Dalton, M. Hoyle, DG & Watts, MW (2000) Human Relations. 2nd Edition, USA: South –
Western Educational Publishing.
3. Drucker, PF (1964). Effective Executives (Plan Management Series) London: Pan Books.
4. Eagly, AH & Chaiken, S (1993). The psychology of attitudes. Fort Worth, TX: Harcourt, Brace,
& Janovich, 794 pp.
5. Hersey, P., Blanchard, KH & Johnson, DE (2000), Management of Organizational Behaviour,
New Delhi: Prentice Hall of India Pvt. Ltd.
6. Hunsaker, PL (2001). Training in Management Skills. New Jersey: Prentice Hall.
7. Khera, Shiv (2014). You Can Win: A Step by Step Tool for Top Achievers. Bloomsbury India.
8. Lauren, RJ & Susan, KJ (1991). Time Management for Executives. Calcutta: Rupa and Co.
9. Manktelow, J and Birkinshaw, J (2018). Mind Tools for Managers - 100 Ways to be a better
Boss. New Jersey: John Wiley @ Sons, Inc.
10. Moorhead, G and Griffen, RW (1999). Organisational Behaviour – Managing People and
Organization. Delhi: AITBS Publishers and Distributors.
11. Mullins, LJ (1998). Management and Organizational Behaviour. Allahabad: Wheeler Publishing
– A division of AH Wheeler and Co. Ltd.
12. Petty, RE; Cacioppo, JT & Goldman, R (1981). Personal involvement as a determinant of
argument-based persuasion. Journal of Personality and Social Psychology, 41(5), 847-855.
13. Robbins, SP (1994). Organizational Behaviour – Concept, Controversies and Applications, New
Delhi. Prentice Hall of India Pvt. Ltd.
14. Thomas, M (2004). A New Attitude. Delhi: Jaico Publishing House.
15. Support Learning Resources:
16. Video film on ‘Managing SMART Goals’ developed/recorded by Professor (Dr.) Sunil Dutt,
NITTTR, Chandigarh.
17. Video film on ‘Time – Concept, Value and Time Wasters’ developed/recorded by Professor (Dr.)
Sunil Dutt, NITTTR, Chandigarh.
18. Video film on ‘Managing Time Effectively’ developed/recorded by Professor (Dr.) Sunil Dutt,
NITTTR, Chandigarh.
19. Video film on ‘Attitude – Concept and Importance’ developed/recorded by Professor (Dr.) Sunil
Dutt, NITTTR, Chandigarh. Video film on ‘Managing Attitudes’ developed/recorded by
Professor (Dr.) Sunil Dutt, NITTTR,Chandigarh.

23
Web Resources
1. Aggarwal, Shashi (2018). Attitude Part 1: Organization Behaviour. https://www.youtube.com/
watch?v=tyn37X2-2WY.
2. Usha, BK (2011). Leadership Attitude. https://www.youtube.com/watch?v=ncEU6PVzfBs.
3. SWS Psychology (2017). Attitude / Components of Attitude / feature of attitude.
https://www.youtube.com/watch?v=YwZ7TIak5Xw.
4. Maheshwari, Sandeep (2017). Time Management Tips | How to utilize time effectively|
Time Management. https://www.youtube.com/watch?v=7OwAeYLDysg.
5. Vaden, Rory (2015). How to Multiply your Time. https://www.youtube.com/
watch?v=y2X7c 9TUQJ8.
6. GCFLearnFree.org (2018). Tips for Effective Time Management. https://www.youtube.com/
watch?v=RiI1NkaDXlQ.
7. The Art of Improvement (2018). A Complete Guide to Goal Setting. https://www.youtube.com/
watch?v=XpKvs-apvOs.
8. Better than Yesterday (2018). Setting SMART Goals - How to Properly Set a Goal.
https://www.youtube.com/watch?v=PCRSVRD2EAk.
9. Adams, RL. 15 Time Management Tips for Achieving Your Goals. https://www.entrepreneur.
com/article/299336 (downloaded on 07.08.2019).
10. MindTools. Personal Goal Setting. Planning to Live Your Life Your Way. https://www.
mindtools.com/page6.html

24
 UNIT 8.14
INSTITUTIONAL MANAGEMENT PROCESS:
MONITORING AND CONTROLLING FOR HIGHER
PERFORMANCE

Content Page No.

Broad Objective 4

Learning Outcomes 4

Introduction 4

8.14.1 Monitoring and Controlling-Concepts and 5

Processes
➢ Characteristics of Good Monitoring System
➢ Process of Monitoring:
➢ Control
➢ Need for Control
➢ Characteristic of Control
➢ Process of Control
➢ Frameworks for Monitoring and Control

Practice Task 10

Feedback 10

8.14.2 Designing Effective Institutional Control Systems 11

➢ Controlling Quality of Students Entering Higher Education

➢ Controlling Size of Affiliating Universities
➢ Control Salary of Faculty
➢ Control Culture
1
 ➢ Control Methodology
➢ Control Assessment Methods
➢ Controlling Accountability
➢ Controlling Continuous Improvement
➢ Control Certificate Courses
➢ Control Quality of Top Leaders in Educational Institutions
➢ Control Research
➢ Control Collaborations
➢ Control Student Feedback
➢ Harness Creativity Potential
➢ Control Accessibility
➢ Control Employability
➢ Control Interference of Political Parties Control Influence of
English language and western culture
➢ Proposed Model for Effective Institutional Control Systems

Practice Task 19

Feedback 19

8.14.3 Legal and Disciplinary Proceedings - CCS (CCA) 20

RULES, 1965
Practice Task 28

Feedback 28

Conclusion 29

Bibliography 29

2
 Unit 8.14
Institutional Management Process: Monitoring and
Controlling for Higher Performance
Author Dr. Rakesh K Wats
NITTTR, Chandigarh
Supportive Team Dr. Bimal Anjum
DAV College, Chandigarh
Broad Objective
The broad objective of this unit is make the
learners understand the importance of monitoring
and control in directing the institute towards the
achievement of set objectives by measuring,
analyzing and correcting the performance
initiatives undertaken by the institute. It shall make
him aware about the steps to be taken in designing
an appropriate control system for his institute.

Learning Outcomes
After going through this unit the learner will be able to :

3
 ● Understand the concept and importance of monitoring and control in evaluating and enhancing
the performance of an educational institution.
● Understand the framework of monitoring and control in an institution.
● Identify the parameters of an effective institutional control system.
● Design an effective monitoring and control system for his institution.

Introduction
Every institute undertakes many strategic decisions and actions for fulfilling its mission. In this process,
some of the actions prove effective, some less effective, which need to be corrected or improved. This is a
process, which need to be undertaken by any institute on a continuous basis, otherwise the initiatives shall
go astray. This whole system of collecting and analysing data and planning corrective actions is called
monitoring and control system. This system helps an institution in setting its right course of action for
achieving its goals and mission.
The present unit shall provide inputs on the concept and importance of monitoring and control, frame
work of monitoring and control, and parameters of an effective institutional control system. The unit shall
provide an understanding to the learners to design an appropriate control system for their institution.

8.14.1 Monitoring and Controlling-Concepts and Processes

Monitoring is a process of collecting, recording and analysing the information about the execution of
explicit and implicit plans to achieve desired objectives.
Monitoring is a continuous process where the collection of information is done at predetermined
frequency. Monitoring provides timely feedback and signs of problems in the implementation of plans.
Monitoring is designed to assist management and key stakeholders to take timely decisions to ensure
stated objectives are achieved. Monitoring provides inputs for timely intervention and corrective actions
to resolve the issues.
➢ Characteristics of Good Monitoring System:
● Purpose of monitoring should be well defined.
● Frequency of monitoring should be decided in advance.
● Methodology of monitoring should be objective and should not leave room for subjectivity and
bias.
● Nature of data should be clearly defined in advance to ensure clarity in monitoring key variables.
● It should give timely inputs to allow corrective action to be initiated so that desired objectives can
be achieved.

4
● Monitoring system should be cost effective.
● Monitoring system should be result oriented.
● Monitoring system must be able to identify the root problems.
● Monitoring system should assist top management and administrators to take right decisions.
● Monitoring system must fix the responsibilities of individuals so that monitoring brings a positive
change by enhancing accountability.
● Monitoring system should give accurate and reliable information.

➢ Process of Monitoring:
Monitoring involves following steps:
● Scanning of internal and external environment.
● Establishing targets/objectives
● Develop plans for implementation of targets/objectives
● Finalize the units of monitoring
● Finalize the frequency of monitoring
● Fixing responsibility of individuals at different levels of hierarchy
● Develop the methodology of monitoring
● Execute monitoring methodology as a pilot project.
● Review monitoring methodology based on outcome of pilot project.
● Implement revised monitoring methodology
● Collect data
● Analyze data
● Compare results with objectives
● Report the monitoring results.
● Review outcomes of monitoring and Adapt the monitoring
➢ Control:
Control is a management activity aimed at ensuring that people do what they are supposed to do.
Control system works on establishing objectives, measuring actual performance, comparing
actual performance with target performance, taking action to correct the deviation of performance
from target performance. Control focuses on results.

➢ Need for Control:

5
 Control systems are needed as individuals do not always do what they are supposed to do.
Control is needed to mitigate the outcomes of undesirable actions and undesirable behaviors of
individuals. Control helps the organization/institutions to learn from experience.
➢ Characteristic of Control:
● Action oriented: Control is aimed to initiate action to correct the deviation from target
performance.
● Interlinked with Planning: Control is dependent on the planned objectives.
● Dependency on organizational structure: Control depends on structure of organization.
Control can function effectively only of organizational structure clearly specifies roles
and responsibilities of individuals.
● Authority: Control can work if responsible individuals are given adequate authority to
take necessary remedial action.
● Availability of Information: Control efficacy is dependent on accuracy and timely
availability of information to the competent authorities.
● Measurement of performance: Inaccurate and delayed measurement of performance
reduces the efficacy of control system.
➢ Process of Control:
Control comprises of four steps:
● Establishing targets
● Measuring actual performance
● Comparing actual performance with targets
● Correcting variance from targets
Higher education system in India has been under license raj even after liberalisation removed the
licence raj in business world to great extent. The emergence of knowledge economy and disruptions
in traditional business models has made it necessary for India to rethink the monitoring and control
system for higher education. Shrikanthan et al. (2002) recommended developing an integrated model
of quality in higher education.
OECD‐DAC (2002) defines monitoring as “the ongoing, systematic collection of information to
assess progress towards the achievement of objectives, outcomes and impacts,” and it defines
evaluation as “the systematic and objective assessment of an ongoing or completed project,
programme or policy, its design, implementation and results, with the aim to determine the relevance
and fulfilment of objectives, development efficiency, effectiveness, impact and sustainability
(gsdrc.org).
6
➢ Frameworks for Monitoring and Control:
❖ Objective Evidence Based Monitoring and Control: The monitoring and control
mechanism need to use real time data on students, faculties, outcomes, research, financial
transactions. Asset based monitoring currently being used, has outlived its utility.
❖ Monitor the Service Recipient Feedback and Grievance: Education is for the students
who want to learn to enhance their life in many ways. All the monitoring and control
systems in India focus on service provider: management and faculties. No monitoring and
control system takes care of service recipient feedback. Students are treated like prisoners
of war. They have no redressal mechanism. The control mechanism must take care of the
feedback hierarchy with proper checks and balances to ensure teachers and institute
management does not harass the student.
❖ Continuous Monitoring: The existing monitoring and control mechanism is one time
activity to be done at the time of granting affiliation. That too with pre informed date of
inspections. Such pre planned inspections promote corrupt and unethical practices.
Teachers are hired only for a month or so to just present before the inspection team. After
the inspection is over the teachers are fired and again hired just before another inspection
that too is pre informed. The purpose of monitoring is defeated as the manipulation is
done in a manner that inspection team is able to find everything with regard to asset
based requirements is being followed. The real monitoring can happen if it is done
without any prior information. Corporate world also uses mystery shopping techniques to
measure actual quality being delivered to a customer, without service providing knowing
about the identity of customer.
❖ Technology Enabled Monitoring and Control: The use of technology by regulating
authority needs to be institutionalised. The attendance of students, entry of marks, and
lecture plan of faculties, interaction with students for feedback, online assignment and
learning support system are needed to enhance the effectiveness and efficiency of
monitoring mechanism.
❖ Monitoring the contents: The quality of education imparted would depend upon the
quality of content used by the faculties. In most of the educational institutions there is no
audit of the content delivered by the faculties. Preparing the soft copy, transcript of
lectures must be made mandatory. The content should be evaluated by an independent
subject expert. Similarly video recording of live lectures should be done to examine the
methodology used by the faculty. The recorded videos should be analysed by experts to
7
 assess the actual real life delivery, participation of students and outcome of the lecture
delivery.
❖ Outcome Based Ranking: The accreditation and ranking agencies do asset based
evaluation. As a result of asset based evaluation, the outcome orientation is missing. The
educational institutes with best assets and infrastructure may have poor learning
outcomes, but still get affiliation and ranking.
❖ Monitor Faculty Turnover: The quality of management can be monitored by the
stability of faculties in an educational organisation. The faculty turnover data should be
published online and information of joining and vacancy of any employee must be
reported to regulatory agency within
❖ Monitor the Financial Transactions: The corporate sector is well regulated, as the
balance sheet is audited and is disclosed. It leads to efficient allocation of resources as
flow of funds is determined by market forces. On the other hand education sector is
unregulated in financial transactions. The lack of transparency has led to people with
criminal background enter into education as it has become a business without any
monitoring agency. All the educational institutions must disclose the balance sheets and
the balance sheet should be in public domain like corporate sector.
The reality is that education is managed as for profit activity, but allowed to work as not for profit
entity to serve political goal of donations for party funds. Declaring education as a section 25
company will improve composition of board of directors, governance, outcomes and
accountability of the educational institutions.

Practice Task
1. ……………….teach us allocation of funds in education.
A. Annual Budget B. Cash book C. Bank statement D. None of these
2. Institutional time table means
A. Institutional working hours B. Activities in Institute
C. Institutional controlling D. None of these
3. The most important tool for Educational institute is
A. Teaching B. Time table
C. Syllabus D. Assembly
4. Effective institutional environment is effected by-
A. Meeting pupil need B. Empowering staff

8
 C. Friendly environment D. Monthly meeting
5. Major problem in making institutional management effective is-
A. Low literacy rate B. High drop out rate
C. Weak management D. None of these

Feedback
Answer:-1-A, 2-A, 3-B, 4-C, 5-C

8.14.2 Designing Effective Institutional Control Systems:

For the effectiveness of any educational system, it is very important that an appropriate system be
designed so that its output is controlled to meet the expectations its various stakeholders. Some of the
important control parameters of such a system need to be:

➢ Controlling Quality of Students Entering Higher Education:

To improve the quality of students entering higher education, the school education system must give
more emphasis on development of critical thinking skills and innovation outlook. It can be achieved
by reducing the component of written exam and increasing the component of project work which
should focus on creativity and innovation.
The discrepancy in curriculums of different state boards should be minimized by standardization
while protecting the positive aspects of existing curriculums of the state boards. A progressive
approach is required for success for success of such an endeavor
➢ Controlling Size of Affiliating Universities:
The existing affiliation system of state universities has become unmanageable due to large number of
affiliated colleges. The universities have become administrative bodies conducting exams only. The
universities with large number of affiliating colleges should be divided into separate universities
monitoring 50 colleges each. A criticism of such an approach may be unwillingness of affiliated
colleges to go to a new university for loss of brand value attached due to affiliation with an
established popular university. Such an apprehension may be managed by retaining the name of old
university and renaming it according to geographical area it covers or by adding name of the popular
place of that area along with the name of old university. In short term the new universities may have
to face some problems but in the long run these universities may emerge as centers of excellence due
to better management, academic freedom, and monitoring. The success of IIT and IIM justifies
establishment of small universities. IIT’s and IIM’s are small in size as compared to the number of
students in an affiliating university managing 300 to 400 colleges. Theses institutes have been gifted

9
 with academic autonomy not available to an affiliated college. There is no reason why other
universities cannot become centers of excellence at international level. The Gajendragadkar
committee recommended that a university should have about 30 affiliated colleges (Dubhashi (1992).

➢ Controlling Salary of Faculty:

The private institutions are working for profits but it is shown that it is being managed by a charitable
societies. Yash Pal (2009) argued that the condition of charitable trust for running private higher
education institutions is being exploited by many investors who have no understanding of the
responsibilities of higher education institutions.
If for profit institutions can provide healthcare services, why not education? The pseudo-charitable
institutions run the higher education institutions to provide quality education or profit, can be
analyzed easily from the poor employability of graduates. These institutions hire faculties at the
lowest possible cost and treat them as a factor of production rather than as academic resource.

➢ ControllingCulture:
The student exchange process may also be initiated to develop cultural sensitivity. The students
should be motivated to discuss the doubts and challenge the status quo and existing theories. Hofstede
commented about Indian attitude as “dependent on the boss or the power holder for direction,
acceptance of un-equal rights between the power-privileged and those who are lesser down in the
pecking order” (Hofstede, 2014). Manikutty et al. 2007 found that high power distance cultures are
characterized by tendency for surface learning. Surface learning cannot promote critical thinking and
innovation.

➢ Controlling Methodology:
The learning orientation has traditionally been result oriented in India, focused on achievement of
marks or grades in exams both for the students, as well teachers. Kuruvilla 2010 argued that such
result oriented teaching results in rote learning by students. The teachers in higher education should
provide a platform for the students to understand the theories and also motivate them to challenge the
existing theories and work out innovative solutions and challenge the status quo. The teacher needs to
be expert in his/her subject to support student’s journey to find a solution to the real world problems
by modifying and creating new approaches. Kuruvilla 2010 argued that a teacher should be challenger
in addition to complier and counselor.

➢ Controlling Assessment Methods:

The examination system should change the focus from reproduction of facts to analysis and

10
 Fig. 14. 1 Bloom’s taxonomy (Source: Forehand Marry and Overbaugh)
evaluation of facts and assess the higher order learning skills of students. The lower order thinking skills
have already been tested in school education. The higher education system must differentiate itself by
testing the higher order thinking skills.
The Blooms taxonomy as in above figure 14.1should be considered at the time of preparing the guidelines
and strategy for assessment of students.
The knowledge state represents ability to remember, not necessarily understanding. Comprehension
involves paraphrasing or writing in own words. Both knowledge and comprehension are tested at high
school level Analysis and application can be tested at undergraduate level. Synthesis and evaluation are
higher order skills suitable for master’s students. The teachers must be sensitized about the need to assess
higher order thinking skills for students in higher education. Kuruvilla 2010 supported the use of bloom’s
taxonomy and Anderson and Davie Krathwol approach for Indian students.

➢ Controlling Accountability:
The accountability of teachers should be increased along with performance based promotions and
salary increments. The teachers should be given quantifiable objectives for their operational
performance. Though academics cannot be considered like an assembly line producing graduates, the
task of a teacher can be conceptualized and converted into quantifiable targets. Absence of
quantifiable objectives leads to lack of accountability. The quantifiable objectives are feasible for
teaching community also. The objectives can be developed as a band of acceptable performance. The
top performers should be promoted, average performers should be supported by training and poor
performers should be motivated and counseled.

11
➢ Controlling Continuous Improvement:
The academic institutions should monitor the performance of students after they pass out, to work on
continuous improvement. Though it is difficult, it can be done by involvement of Human Resource
Managers and industry executives. The alumni network and association can play an important role in
this regard. The ranking agencies should also consider the feedback of alumni while assessing the
performance of the institutions. The feedback of the alumni can be used as an input to update
syllabus, pedagogy, industry academia interface, research and entrepreneurship.

➢ Controlling Certificate Courses:

Develop short term certificate courses for specific industry needs and enhance student’s
employability. The degrees have lost the relevance due to mismatch of curriculum and industry needs.
Continuously adding new certificate courses for vocational education and ensuring the outcome are
achieved will pave the way for inclusive education, where people with no time or financial resources
and reach to traditional higher education system will also find an opportunity to develop skills and
contribute in the development of country.

➢ Controlling Quality of Top Leaders in Educational Institutions:

The administrators and teachers in supervisory positions should be trained in management skills for
better performance of higher education institutions. Such programs are being offered in Indian
Institute of Management. The culture, creativity, customer, collaboration and curriculum model offers
scope to manage the operations, motivation, research and development, and customer expectations
and establish India as a hub of quality higher education in the world. The integrated approach can
transform Indian higher education institutions as centers of excellence that shine as the best in the
world.

➢ Controlling Research:
No industry can compete with multinational companies from developed economies by importing
technology developed in these very countries. To challenge these multinational companies Indian
industry needs to strengthen the indigenous research and development. The industry can collaborate
with academia to work on innovative technologies. The creative ideas and energy of young
studentscan be transformed to successful technologies for the future. Higher education institutions can
leverage their expertise and provide a cost effective resource for research and development. The
academic institutions should identify research areas where they have the required expertise and
collaborate with industry for joint research or contract research. Such an initiative at the macro level

12
can transform Indian higher education system as the research hub for the world like China has
become the manufacturing hub of the world. Naik (2004) emphasized on the requirement of
innovation which leads to creation of wealth.
The investment in R&D in India is just 1 percent of GDP whereas it is 1.75 percent in China (Bettelle
2007 cited in Rizvi and Gorur, 2012). India also performs poorly in terms of number of active
researchers per million people is 119. Whereas there are 4605 active researchers in USA, China has
708 researchers per million. The share of India in global publication and citation is just 1% (Rizvi and
Gorur 2012). It was further commented that the quantity and quality both are poor.

➢ Controlling Collaborations:
The isolation of academia with industry is a major factor for the poor employability of graduates. The
skills required by industry are not possessed by graduates because teachers are working on their
curriculum in isolation with the industry. The dictate of the university restricts their creativity and
forces them to complete the syllabus so that students can pass the exams, without any regard to the
skills required by the industry. The institutions should give top most priority to keep the curriculum
based on learning outcomes to suit the needs of the industry. The institutions must involve industry in
framing syllabus, teaching material, projects and also assessment strategy in an environment of
mutual trust and respect. The students stand to gain from such a connection as they acquire skills
which enhance their employability. Institutions get better placement of their students and this will
help to improve their ranking and admissions. Industry will benefit by getting better quality of
graduates.

➢ Controlling Student Feedback:

The higher education system should be accountable to the students. Though students have never been
considered as customers in Indian higher education system, the time has come when the system must
become accountable to the needs of the customer in terms of better learning experience, skill
development, industry interface and employability.
The feedback system should be implemented and made mandatory in all institutions of higher
education. The students should be asked to give anonymous feedback on teaching, support services,
labs, library, internships and placements. These feedbacks should be evaluated buy the affiliating
universities and verified by conducting interaction sessions with the students. The students should
also be given the access to give feedback to the top management of the institutions and affiliating
university or regulatory authorities in case of autonomous colleges.
13
 ➢ Harnessing Creativity Potential:
Convert class room into activity and research room. The information technology can be used to
achieve such an objective. Students having laptops or smart phones, tablets can do literature review
and use search engines and prepare work on the assignments in class rooms under the guidance of
faculties. The availability of wi-fi facilities will go a long way to transform the learning experience.
The assessment strategy should be revised to give more weightage to creativity and innovation rather
than reproduction of facts and statements in written exams. The change in assessment criteria will
force student and faculties to focus on creativity and innovation.
➢ Controlling Accessibility:
The reliance on private sector institutions to fill the gap in demand and supply of higher education has
increased the cost the higher education. The commercial approach of private institutions can make the
higher education out of reach of financially weaker sections of society. 29.5% people are below
poverty line based on Rangarajan Committee in 2014 (Singh, 2014).
➢ Controlling Employability:
A report by Team Lease indicated that 57% youth in India suffer from some degree of un-
employability (TeamLease, 2007). The poor employability is associated with outdated curriculum
which does not meet the industry needs, weak industry academia collaborations, emphasis on
examinations and lack of focus on solving real life issues and ignoring soft skills.
Higher education institutes not able to provide a critical benchmark of average employability should
be closed down. The benchmark of employability should not be the highest placement package, but
average package and job profile of the passed out students.
➢ Controlling Interference of Political Parties:
Interference of politicians has deteriorated the academic standards of the higher education institutions.
The political affiliation is given preference over merit of individual in appointments from lower level
to higher level. The former Prime Minister also raised concern over political interference in
appointments in universities (Dr. Manmohan Singh in his address in Bombay University, Press
Information Bureau, 2007).
➢ Controlling Influence of English language and western culture:
The higher education system has only focused on knowledge generated by developed counties and
ignored the local pool of knowledge. To address needs of Indian society, the teacher education should
also take into consideration the local knowledge base (Rajput and Walia, 2002).
➢ Proposed Model for Effective Institutional Control Systems
14
 Industry/Start Up/Government Organisations Providing Jobs
UGC/Regulatory Authorities (Outcomes Defined)

Prospective Students/Parents of prospective Students

University/Autonomous Institutions

Board of Studies/Board of Affiliation

Affiliated College

Department(HOD)
Society

Faculty Delivery

Student

Assessment

Result of Assessment Outcome not Achieved

Outcome Achieved

The existing system which is working in isolation needs to connect to the input (prospective students and
their parents) to understand their expectations and also connect with the output
(industy/startups/government organizations providing jobs and society to understand the change in
outcomes desired and the monitoring and control systems to achieve those desired outcomes. Failure of
existing system of higher education can be attributed to isolated style of working which to keep the
population deprived of empowerment through education due to lack of political will. Unless the funding
of political parties by education mafias will not end, no amount of policy making, monitoring and control
system, will work in India. India got independence even decades back, now it’s high time Indian
education system, should be freed from the claws of Lord Macaulay system of preparing clerks and
depressed individuals.

Practice Task:
1. Institutional weakness can be minimized through –
A. Motivation B. Professional skills
C. Allocation of work D. Rewards

2. Pleasant atmosphere can be maintained in Institutes with the cooperation of-

A. Staff members B. Management council
C. Community D. Director

15
 3. The important determent of effective Academic institution is-
A. Communicational skills B. Positive enforcement
C Staff achievements D. Teaching methodology

4. Most successful criteria for effective institutional management is-

A. Planned targets B. Improved performance
C. Stress on future outcomes D. None of these

5. Most preferred and effective institutional performance tool is-

A. Validity B. Reliability
C. Fairness D. None of these

Feedback
Answer:- 1- B, 2- A, 3-B, 4-B, 5-A

8.14.3 Legal and Disciplinary Proceedings - CCS (CCA) RULES,

1965
Every institute expects that its employees perform to the standards and expectations set by it.
However, sometimes, the employees perform inappropriately, unbecomingly and ineptly
resulting in indiscipline and misconduct in the institutions. To check such inappropriate actions,
government of India has framed certain rules called CCS (CCA) Rules 1965. These rules impose
various restrictions on the Government servants so that every employee maintains absolute
integrity; maintain devotion to duty and do nothing which is unbecoming of an Employee.
Every Employee holding a supervisory post shall take all possible steps to ensure the integrity
and devotion to duty of all Employees for the time being under his/her control and authority. No
employee will, in the performance of his/her official duties, or in the exercise of powers
conferred on him/her, act otherwise than in his/her best judgment except when he/she is acting
under the direction of his/her official superior. The direction of the official superior shall
ordinarily be in writing. Oral direction to subordinates shall be avoided, as far as possible. Where
the issue of oral direction becomes unavoidable, the official superior shall confirm it in writing
immediately thereafter. An Employee of who has received oral direction from his/her official
16
superior shall seek confirmation of the same in writing as early as possible, whereupon it shall be
the duty of the official superior to confirm the direction in writing. The broad framework of these
rules is given as follows:
Rule no. Explanation
RULE-1 Came into effect with from

1-12-1965

RULE 2 • appointing authority

• cadre authority
• disciplinary authority
• head of the department
• head of office

RULE 3 - • Application • Applies to all central Government Servants

including civilians in defence services
• Does not apply to railway servants, members
of All India Services, persons in casual
employment etc

RULES 8 Appointing authorities • Group ‘A’ posts : president

&9 • Groups ‘B’, ‘C’ & ‘D’ posts:-authorities
specified in the schedule
RULE 10 Suspension- by Disciplinary • Authorities who can place govt servants
under suspension
authority
• Appointing authority or any authority to
which it is subordinate
• An order of suspension deemed to have been
made or otherwise shall remain in force till it
is modified or revoked by the authority
competent to do so
• Suspension can be revoked by the authority
who suspended the employee
Deemed suspension:

• A govt servant under custody for more than

48 hours for criminal or other charge
• From the date of conviction if he is sentenced
to a term of imprisonment for more than 48
hrs

17
RULE 11 Penalties

Minor penalties Censure 1.

2.
Withholding of promotion
3.
Recovery from pay
4.
Reduction to lower stage in time scale-not
exceeding 3 years
5. Withholding of increments
6. Removal from service
Major penalties 1. Reduction to lower stage in time scale
2. Reduction to lower time scale of pay, grade,
post or service which will ordinarily be bar to
promotion
3. Compulsory retirement
4. Dismissal from service -In respect of proven
cases of acceptance of illegal gratification it is
mandatory to impose one of the major
penalties mentioned above
TYPES OF CASES WHICH MERIT ACTION FOR MAJOR PENALTIES
• Attempt to obtain illegal gratification
• Misappropriation of govt property
• Falsification of govt records
• Gross irregularity or negligence with a dishonest motive
• Misuse of official position
• Disclosure of secret or confidential information
• False claims on the govt like TA/med. Claims etc
RULE 11 Explanations to rule 11 The following are not considered as penalties-

• Withholding of increment for failure to pass

exams
• Non-promotion after consideration of the case
by DPC
• Reversion from higher officiating post on
consideration of unsuitability to hold such
post
• Reversion of a govt servant appointed on
probation
DIES- Neither counted as service When a day can be marked as dies-non-
NON nor is a break in service
• Absence without proper permission
• When on duty left without proper permission
• While in office refused to perform duties

18
RULE 12 Disciplinary authorities • President may impose any penalty on any
govt servant
• Appointing authority
• Any authority specified in the schedule to
rules 5, 9(2),12(2) and 24
RULE 13 Authority to institute • President or any authority empowered by him
may institute disciplinary proceedings against
proceedings
any govt servant
• A disciplinary authority competent to impose
any minor penalty can initiate major penalty
proceedings
RULE 14 Procedure for imposing • No punishment without ordering an inquiry
major penalties • Disciplinary authority may itself inquire into
the charges
• Draw up imputations of misconduct or
misbehaviour in definite and distinct article
• Draw statement of imputations of misconduct
or misbehaviour in support of each article
including relevant facts, statement of
admissions, confessions, etc
• A list of documents and a list of witnesses-
o Appoint an inquiry authority (IO)
o A presenting officer
o Govt servant shall appear in person
before the IO
o May also take the assistance of a
defence assistant
o The IO shall return a finding of guilt
to a charge to which the govt servant
pleads guilty
RULE 14 Inquiry report • After the conclusion of inquiry, a report shall
be prepared which shall contain:
• Articles of charge and the statement of the
imputations of misconduct or misbehaviour
• The defence of the govt servant in respect of
each article of charge
• An assessment of evidence in respect of each
article of charge
• The findings on each article of charge
RULE 15 Action on inquiry report • Remit for further inquiry
• Disagree with the finding of io
• Accept the report & forward copy of the same
to co
• Consider representation
19
 • Impose penalty or Drop charges
RULE- 16 Procedure for imposing • Issue charge sheet as for minor penalty
minor penalties • Hold inquiry if warranted
• Take representation if any from the dgs
• Record findings on each article
• Impose any one of the minor penalties
RULE 17 Communication of orders • Orders of the disciplinary authority shall be
conveyed in writing along with copy of the
finding on each article of charge
• Where there is disagreement the reasons for
disagreement shall also be supplied
RULE 18 Common proceedings • Where two or more govt servants are
involved
• Common proceedings against the accused and
the accuser
RULE 19 Special procedure in certain Orders can be passed without following
cases procedures in the following circumstances-
• It is not reasonably practicable to hold inquiry
• In the interest of the security of state
• Conviction leading to penalty
RULE 20 Relating to officers lent to State govts

RULE 21 • Relating to officers borrowed from state govts

RULE 22 Appeals Orders against which n0 appeal lies

• Any order made by the president

• An order of interlocutory nature in a
disciplinary proceeding
• Any order passed by IO in the course
of inquiry
Rule 23 Orders against which appeal lies • An order of suspension
• An order imposing penalties
• An order enhancing any penalty
• An order of reversion while
officiating in a higher post
• Reducing or withholding pension
RULE 24 Appellate authority • A govt servant may prefer appeal
against any orders to the appointing
authority where the order appealed
against is made by an authority
subordinate to it to the president

20
RULE 25 Period of limitations • No appeal lies beyond 45 days
• Appellate authority may entertain
appeal after expiry period if satisfied
RULE 26 Form and content of appeal • Separately and in his own name
• To the authority to whom appeal lies
• Shall not contain any disrespectful or
improper language
RULE 27 Consideration of appeal Appellate authority to ensure the laid
down procedure have been complied
with

• Finding of the da are warranted by

the evidence on record
• The penalty imposed is adequate,
inadequate or severe
• Pass orders
• Confirm Enhance
• Reduce
• Set aside the penality
RULE 28 Implementation of order in appeal

RULE 29 Revision The president or any other empowered

authority may at any time either on his
own motion or otherwise call for records
and revise any order made under these
rules and may
• Confirm, modify or set aside the
order; or
• Confirm, reduce, enhance or set
aside the penalty imposed by the
order; or
• Remit the case to the authority
which made the order to
make such further enquiry as it
may consider proper; or
• Pass such other orders as it may
deem fit
RULE 29- Review The president may, at any time, either on
A his own motion or otherwise review any

21
 order passed under CCS (CCA) Rules
1965, when any new material or
evidence which could not be produced
earlier has come or has been brought to
his notice

It is important to emphasise here that these rules are not meant to harass any individual, but
framed with an intention that employees shall work with devotion, integrity and proper
behaviour for making the work environment most amicable, user friendly and dignified as per
the model code of conduct.

Practice Task
Q Fill in the blanks:
1. CCS(CCA) conduct rules came into effect from __________.
2. CCS(CCA) conduct rules are applicable to _________except_________.
3. Suspension can be revoked by the authority who__________.
4. Deemed suspension applies when a govt servant under custody for more than______for
criminal or other charge.
5. _________ involves Censure, withholding of promotion, withholding of increments.
6. _________involves reduction to lower stage in time scale, compulsory retirement,
dismissal from service .
7. No appeal lies beyond _______ days.
8. _________authority is disciplinary authority.

Feedback
1. 1-12-1965
22
2. Applies to all central Government Servants including civilians in defence services; does not
apply to railway servants, members of All India Services, persons in casual employment etc
3. suspended the employee
4. 48 hours
5. Minor penalty
6. Major penalty
7. 45
8. Appointing

Conclusion:
The country has witnessed a transformation in the social and political scenario in the recent past. The
change has created a hope for positive change and progressive approach in policy making, regulation and
social welfare. The long awaited transformation in higher education can be made possible if government
keeps the priorities for youth as its top priority. The problems are known to the policy makers, promoters
and administrators of higher education, but it has not grabbed the attention it deserves. No nation can
afford to ignore youth in a country where 50% of people are within 25 years of age and 65% people are
below 35 years of age. Political will is the first step to initiate the transformation of higher education
system. A favorable regulatory environment is the next step. Rationalisation of the monitoring and control
mechanism to make it less restrictive will attract dedicated and visionary people to develop world class
institutions. Right leadership at the top will attract talented individuals as teachers and create a lively and
vibrant work environment to transform higher education institutions from a dull place for getting a degree
to lively place for learning, innovation and wealth creation through entrepreneurship.

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12. https://sloanreview.mit.edu/article/the-control-function-of-management/
13. https://accountlearning.com/control-in-management-characteristics-prerequisites-steps-in-
controlling/
14. http://www.mnestudies.com/monitoring/characteristics-good-monitoring-evaluation-system
Supportive learning material: by Dr. Rakesh K Wats
• Monitoring and Controlling- Concept and Process
• Designing Effective Institutional Control Systems
Web resources
• Chapter 18 Monitoring and controlling;
https://www.youtube.com/watch?v=wYKGTfdvBac
• Project monitoring and control systems;
https://www.youtube.com/watch?v=pdmAwuOno48

******

24
 UNIT 8.15
CONTROLLING: PERFORMANCE APPRAISAL
AND MANAGEMENT

Content Page no.

Broad Objective 3

Learning Outcomes 3

Introduction 4

8.15.1 Performance Appraisal: Concept and Process 4

➢ Objective of Performance Appraisal

➢ Criteria and Standards
➢ Appraisers
➢ The Performance Appraisal Process
➢ Methods of Performance Appraisal
➢ Frequency of Performance Appraisal
➢ Problems and Ways to Overcome
➢ Problems in Performance Appraisal
➢ Overcoming the Problems
➢ Performance Management Systems in Educational Institutions

Practice Task 24

Feedback 25

8.15.2 Feedback for Performance Management 26

(Alumni, Prospective Employers, Students etc.)

➢ Feedback from Stakeholders of an Educational Institution

Student’s Feedback Form 29

Practice Task 30

1
Feedback 31

Conclusion 32

Bibliography 32

Unit 8.15
Controlling: Performance Appraisal and Management
Author Dr. Rakesh K Wats
2
 NITTTR, Chandigarh
Supportive Team Dr. Bimal Anjum
DAV College, Chandigarh
Broad Objective
The broad objective of this unit is to make
the learners appreciate the role of
performance appraisal in monitoring and
controlling the performance of faculty and
staff and helping them in enhancing the
same through appropriate feedback.

Learning Outcomes
After going through this unit the learner will be able to:
• Understand the importance of performance appraisal in monitoring and controlling the
performance of employees (faculty and staff) in an institution.
• Identify different type of appraisers and their role in assessing the performance of subordinates/
colleagues.
• Understand the process of performance appraisal in an institution.
• Identify different methods of performance appraisal and their applicability in different situations.
• Appreciate the importance of feedback in enhancing employees’ performance.
• Understand problems in performance appraisal and try to avoid the same during the
implementation of performance appraisal process in his institution.
• Appreciate the importance of feedback from different stakeholders viz. Alumni, students, parents,
teachers etc. for enhancing the responsiveness and quality of institutional services.
• Understand rules, regulations and procedures of employees’ performance appraisal.

Introduction
Employees performance appraisal (PA) plays a major role in the rational and systematic management of
human resource in any academic institution. The performance appraisal results provide foundations for
recruitment and selection of new employee; training and development decision for the current staff; and
motivating and maintaining a quality manpower by sufficiently and correctly rewarding their
3
performance. In the absence of a reliable performance appraisal system, human resource management
system in any academic institution is considered as a total wastage. In addition to performance appraisal,
providing the appropriate information of strengths, weakness and areas for improvement in the form of
feedback helps the employees in enhancing the quality of output provided by them.
The present unit is an attempt to make the learners aware about different aspects of performance appraisal
in enhancing the employees output and the quality of services provided by them. This unit also provides
inputs in understanding the role of feedback from different stakeholders in making the institute responsive
and adaptable to the changing requirements of today’s socio-economic and technological scenario.

8.15.1 Performance Appraisal: Concept and Process

Performance appraisal is a systematic evaluation of employee’s job performance and his potential for
development. A performance appraisal system not only accurately measures an employees’ performance
but also tries to improve his future performance. This is done by reinforcing strengths, identifying
deficiencies and feeding such information back to employees. Academic institutions are using various
terms to describe the performance appraisal process. Performance review, annual appraisal, performance
evaluation, employee evaluation and merit evaluation are some of the terms used.

Hence, performance appraisal is a process by which institutions establish, measure and evaluate
individual employee’s behaviour and performance for a finite period of time. In other words, performance
appraisal is a tool to distinguished, ascertained, assessed, recorded and developed specific work related
performance indicating strengths and weaknesses of the employees.

➢ Objective of Performance Appraisal

The primary objective for having a performance appraisal system, in any academic institution, is to
monitor employees’performance, motivate them and take decision related to their development. In
case ofacademic institutions, monitoring employeeperformance requires routine documentation.
When employees are aware that the institutions is mindful of their performance and theycould be
rewarded with increment and promotions, if they will work harder. The level of morale will increased
when employees receive recognition or reward for their work. An effective performance appraisal
program will assist an academic institution in achieving its goals and objectives. A sound
performance appraisal system will help employees in:
● understanding their role and functions;

4
 ● understanding their strengths and weaknesses in respect to their role and functions in the
institution;
● providing an opportunity for individual’s goal-setting and self-reflection.
● preparing for higher responsibilities in the future;
● helps academic institution to take variety of personnel decisions by generating periodical data
regarding each employee.
● developing a greater degree of consistency through regular feedback on performance;
● helps the institute in providing information for manpower planning;
● identifing the specific job standards and criteria for measurement
● helps academic institution in designing a suitable training and development programme for
inspiring performance of the employees

➢ Criteria and Standards

Chrudden (1984) emphasized that before conducting any evaluation, the criteria should be clearly
defined. These criteria or standards must be based on job requirements. Although the specific,
criteria vary from one job to another. In general they are based upon the concepts of quantity and
quality of performance. Therefore, in deciding performance criteria there are three basic
considerations:
● Relevance: This refers to the extent to the objectives of the job.
● Freedom from corruption: A comparison of performance should be without any bias.
● Reliability: The reliability of criteria refers to its stability or consistency.

Pratt (1986) explained that there are three elements which contribute to “good” or “bad”
performance, and should be taken into consideration when designing performance appraisal
criteria:
● The Job content: Job factors must be agreed upon, preferably in the form of a job
description which is reviewed at every appraisal.
● The Job context: Here organizational factors that impact on performance must also be
taken into consideration.
● The Individual: The individual’s personality or attitudes should not be appraised, but
rather the individual’s contribution to the organization.

Armstrong and Baron (1998) reported that the following were used as criteria for measuring
performance:

5
 ● Accomplishment of objectives
● Quality
● Customer care
● Competence
● Involvement during working in a team
● Working relationships
● line up personal objectives with organizational goals
● Flexibility
● Productivity
● Skill/learning target achieved
● Business consciousness
● Financial alertness
However, this is not a standard list of performance appraisal criteria, and the list of criteria
must always be job specific within an organizational context.

➢ Appraisers
Appraiser or rater is the most important for any performance appraisal system. Only rater can
observe employee's job performance over a reasonable period of time (for example, Quarterly).
Performance appraisal will be more accurate and useful if the evaluation comes from sources
nearest to the person being rated.During conducting performance appraisal, supervisorsare more
responsible for the evaluation process; even others could also beincluded in the procedure. These
others can be subordinates, peers, and clients or customers.
❖ Immediate Superior
Supervisors are responsible for the rewards andpunishments; they should be responsible
for evaluating performance.An employee’s immediate supervisor has traditionally been
the most common choice for evaluating performance. This continues to be the case, and
there are several valid reasons for such an approach.
❖ Subordinates
It is common today for many academic institutions to letsubordinates anonymously
evaluate their supervisor's performance. Thispractice is valuable when used for
developmental rather than evaluativepurposes. Subordinate appraisal system may
beuseful for evaluating skills such as the ability to communicate, the delegationof tasks,
the dissemination of information, the resolution of personaldisputes and the ability to
work together with fellow employees.
❖ Peers

6
 It is perceived that sometimes coworkersare in a better position than their supervisors to
evaluatetheir peers' job performances. The appraisal of an employee by peerscan be
effective in predicting future management success. The judgment bypeers often provides
a perspective on performance that is different fromthose of immediate supervisors,
provided that peers are told exactly what toevaluate, as this could skew the feedback
information.
❖ Customer Evaluation
Anyone who is in aposition to observe the behaviours or outcomes of an individual
should beincluded in the appraisal process, and this should include the
customer.Customers'objective cannot be expected to correspond entirely with those of
theindividual or the institution. However, customerprovided information can be useful
input for promotion, transfer and trainingdecisions.
❖ Self Appraisal
Employees understand the objectives, which are expected to be achieved and the standard
by which they are to be assessed. In this case, employees are in the best position to
appraise their own performance. Many people know what they did well on the job and
what they need to improve. If they are given the opportunity, they will objectively
criticize their own performance and take action needed to improve.
❖ 360 Degree feedback
360-degree, or multi-rater system is a questionnaire that asks many people (supervisors,
subordinates, peers, internal and external customers) to respond to questions on how well
aspecific individual performs in a number of behavioural areas. Multi-rater feedback
requires witness to asses a multitude of work situations which are controlled or managed
by the person who is the focus of the feedback.
❖ Computer Evaluation
Top management considers computer monitoring as helpingto control costs, improve
security, increase productivity and obtain moreprecise information needed for objective
appraisals.

➢ The Performance Appraisal Process

Performance appraisal process is planned, developed and implemented through below mentioned
series of actions:
❖ Establish performance standards: “Appraisal systems needs performance standard, which
help as benchmarks against which performance is measured. To be useful, standards should

7
 relate to the desired results of each job. The performance standards or goals must be
developed after a thorough analysis of the job.
❖ Communicate the standards: Performance appraisal involves at least two parties; the
appraiser who does the appraisal and the appraisee whose performance is being evaluated.
For this purpose, performance standards must be communicated to appraisees and their
reactions should be noted down right away. If necessary, these standards must be revised or
modified.
❖ Measure actual performance: After the performance standards are set and accepted the next
step is to measure actual performance. This requires the use of dependable performance
measures, the rating used to evaluate performance.
❖ Compare actual performance with standards and discuss the appraisal: Actual
performance may be better than expected and sometimes it may go off the track. Whatever be
the consequences, there is a way to communicate and discuss the final outcome.
❖ Taking corrective action, if necessary:If needed any corrective action, must be taken by
both of the parties.

➢ Methods of Performance Appraisal

Different methods of performance appraisal are used in different organizations to achieve the
objective. Two basic categories for performance appraisal commonly used in organization are
objective methods and judgmental methods. Objective methods include actual output (i.e. no. of
units produced).In other words, objective method is a process in which each employee is assessed
under standardized conditions. In judgmental methods, ranking and rating techniques are the most
common way to measure performance. The performance appraisal methods can be explained
under the following heads:

❖ Annual Confidential Report (ACR)

It is mostly used in government organization. It is a descriptive report prepared, generally at
the end of every year, by the employee’s immediate superior. The report highlights employee
strengths and weaknesses in their assigned area. In this method report is not based on the
data. In this process superior uses merely his impression in recording the behavior of
subordinates. It doesn’t offer any performance feedback to the employee. The appraisee is not
sure about why his rating have fallen despite making his best efforts, while others are rated
high in comparison to him.
❖ Essay Evaluation

8
 Probably the simplest method of evaluating is to write a narrative describing an employee’s
strength, weakness, past performance, potential and suggestions for improvement. The
written essay method does not require any type of forms or extensive training to complete the
process. In this method, the rater is asked to express the strong as well as weak points of the
employee’s behavior. This comes under the non – quantitative technique of performance
appraisal. At least in one sense, this method is beneficial because the essay contains good
deal of information about the employee and also reveals evaluator’s abilities to conduct
performance appraisal.
❖ Critical Incidents
This method is more related to job and based on individual’s performance than characteristic.
Under this method, the manager prepares lists of statements of every effective and ineffective
behavior of an employee. These events represent the outstanding or poor behavior of
employees on the job. This method tries to measure individuals’ productivity in term of
incidents and special episodes which take place in job performance. These incidents are
called as critical incident. Mondy & Noe (2008) explained that, in this method, the manager
writes down employees’ positive and negative job behavior in the evaluation term.A list of
critical incidents provides a base from which the employee can be informedabout those
behaviors that are desirable and those needing some improvement.
❖ Graphic Rating Scale (GRS)
A graphic rating scale is used as one of the oldest and most popular methods for employee
evaluation. It is a rating scale that lists variety of traits, the most common being the quantity
and quality of work, and range of performance of each individual. Here ranking is determined
by using a score which shows their performance level. The utility of this technique can be
enhanced by using it in conjunction with the essay evaluation technique, Mondy & Noe
(2008). Martina & Bartol (1986) listed following factors as performance appraisal criteria-
quantity and quality of work, cooperation, depth of knowledge, loyalty, honesty, attendance,
and initiative. The evaluator then checks the list and gives a rating on the scale against the
listed parameters.
The scale typically specifies five points, so a factor like job knowledge might be rated 1
(“Poorly informed about work task and responsibility”) to 5 (“Has total mastery of all phases
of the job”). Graphics rating scale is a popular method but doesn’t provide in depth
information in comparison to essay or critical incidents methods. Even these are less time
consuming to develop and administer. This method allows for quantitative analysis and
comparison of GRS listed factors related to general behavior and characteristics, such as;

9
 attendance, appearance, dependability, quality of work, and relationship with the people on
which the employee is rated by the supervisor.
❖ Behaviorally Anchored Rating Scales (BARS)
Behaviorally Anchored Rating Scales (BARS) combine major elements from the critical
incident and graphics rating scale approaches. This is also known as the behavioural
expectations scale. This method has contributed innovatively in the performance appraisal
system. In this method, the appraiser rates the employees based on items along a range, but
the example items are set which are the actual behavior on the given job rather than general
description of traits. BARS evaluate employees’ definite, observable, and measurable job
behavior. During the appraisal process, examples of job related behavior and performance
dimensions are asked from the participants, to give specific picture of effective and
ineffective behavior regarding each performance dimension. These behavioral examples are
then translated into a set of performance dimensions, each dimension having varying level of
performance. The results of this process are explained as a behavioral descriptions, such as,
plans, anticipates, executes, solves immediate problems, carries out orders, and handle
emergency situations.
❖ Paired Comparison Method
In this method, ranking becomes more reliable and easier. In this, each worker is compared
with all other employees in the same group; for the same traits. So in brief, paired comparison
evaluates one individual’s performance against the performance of one or more others. It is a
relative measuring device. In case of several traits, paired comparisons ranking is assigned by
tabulating each worker’s traits. Therefore, this method seems to be appropriate but it is not
applicable when a group is large.
❖ Individual Ranking
In this method, the evaluator compares each person with others with the pre decided work
standards (Dessler, 2000).Garcia, (2008) stated that the use of rankings scale for evaluating
peer employee may negatively affect employees' willingness to maximize their performance.
Therefore, it must be done by using predetermined goals, which will benefit the institution.
This approach gives rank –orders to employees from best to worst. If a manager has to
appraise 30 subordinates, this approach considersthe same difference between the first and
second employee as that is between the 21st and 22nd. Even in case of close employee group,
this approach doesn’t allow for ties. The result is clear ordering of employees, from the
highest performers down to the lowest.
❖ Forced Distribution

10
 Cascio (1998) explained this as a method of comparing employees to one another. As the
name “forced distribution” implies, the overall distribution of ratings is forced in to a normal,
or bell shaped curve. Forced distribution does eliminate clustering almost all employees at the
top of the distribution (rater leniency) at the bottom of the distribution (rather severity), or in
the middle (central tendency). However, it can foster a great deal of employee resentment if
an entire group of employees as a group is either superior or substandard. It is most useful
when a large number of employees must be rated and there is more than one rater.
❖ Weighted Checklist Performance Reports
In the weighted checklist performance report, the rater fills a form which is similar to the
forced choice performance report, but difference is that in this method various responses have
been assigned different weights. The form includes questions related to the employees’
behavior and the evaluator answers each question either positively or negatively. However,
the evaluator is not aware of each question’s weight. In forced choice performance reports,
the weighted checklist is expensive to design. Both methods strive objectivity, but the
evaluator does not know which items contribute most to successful performance. Employee
development, therefore, cannot result from this approach.
❖ Management by Objective (MBO) Appraisal
MBO has also been viewed as a method of appraisal. MBO requires that the management to
set specific and measurable goals for each employee and then periodically discuss the
progress towards these goals. MBO focuses attention on what must be accomplished rather
than how it is to be accomplished. In this method the jointly set objective must be fair and
attainable. Both the superiors and the subordinates must be trained for setting realistic goals
and be familiarising with the results for which they are finally held responsible.
❖ Work Planning and Review
Work planning and review is similar to MBO. It places more emphasis on the periodic review
of job plan by both supervisor and subordinate in order to identify goals attained. Work
planning and review are based primarily on each supervisor’s judgment about whether a goal
has or has not been attained while MBO relies more on objective, quantifiable evidence. In
practice the two approaches are often indistinguishable. In this method, performance
standards are often written in the specific percentages to indicate different levels of
effectiveness.

➢ Frequency of Performance Appraisal

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 What should be the frequency of appraisal? A variety of opinions have been expressed on this
question. Whenever supervisors or personnel managers feel that appraisal is necessary, it can be
conducted by them. However, systematic appraisals are conducted on a regular basis, say, every
six months or annually. The more timely the feedback, the more likely it is help improve
performance. Communication must be continual to have an effect on attitudes. Therefore,
thefrequency of the appraisal depends on the nature of the work, its function, and the
characteristics of theperson whose work is appraised. Majority of time, staff receives an annual
appraisal and for many institutions this may be sufficient. However, the frequency of the
appraisal should be related to the returns of the institution, the purpose and objective of the
scheme, and characteristics of the staff employed.

➢ Problems and Ways to Overcome

Performance appraisal process involves employees, appraisers, and organization. To maintain
coordination among all these may create problems. By focusing on the difficulties, we can begin
to address them in such a way that we can reduce their overall impact on the process. In terms of
difficulties, a few categories can be addressed:
● Focused on the individual.
● Focused on the process.
❖ Focused on the Individual: Suppose you received a graded text from professor and felt
that something was marked incorrect, that wasn’t wrong, or that the answer was too
harshly penalised. How did you feel about that? Did you accept the score and leave it at
that, or did you question the instructor? Whenever performance evaluations are
administered (and test are one form of paper to make evaluations) apprising individual is
probably one of the most difficult aspects of the manager’s job. Why? Because
employees are involved, sometimes managers just not like to do appraisals. We all think
we are performing in an outstanding fashion, but that just may well be our
perception.Although our work is good and a boss recognises it, it may not be seen as
outstanding. Accordingly, in evaluating performance, strong emotions may arise and if
these emotions are not dealt with properly this can lead to greater conflicts.
❖ Focused on the Process: Whenever performance evaluations are conducted, there is a
rigid structure that must be followed. The structure exists to facilitate the documentation
process that often permits for a quantifiable evaluation. Additionally policies often exist
that dictate performance outcomes. We may also find from the appraisers’ perspective
some uncertainty about how and what to measure and how to deal with an employee in

12
 the evaluation process. Frequently appraisers are poorly trained in how to evaluate an
employee’s performance. Due to lack of training, appraisers may face some error in their
judgment or permit biases into the process. Laurie J. M.(1996) said that the effectiveness
of any appraisal system relies heavily on the quality and reliability of assessment.
Variations in the consistency of reporting standards can quickly lead to a feeling of
dissatisfaction and injustice. There are many potential sources of rating errors including
for example, perceptual distortions such as stereotyping and the halo effect. Where a
senior manager has an opportunity to confirm the ratings and countersign the appraisal,
this may help to identify inconsistencies and those appraisers who appear to be too
generous or too critical in their assessments.

➢ Problems in Performance Appraisal

P. Robins (1997) pointed out the following potential problems in performance appraisal:
❖ Single Criteria
The typical employees’ job is made up of a number of tasks. An airline flight attendant’s job for
example includes welcoming passengers, seeing to the comfort, serving meals and offering safety
advice. If job performance was assessed by single parameter that is only the time it took to
provide food and beverages to 100 passengers, in this case the evaluation result would be limited.
More importantly, in this process, if flight attendants, whose performance evaluation is done only
by adopting this single criterion, would be motivated to ignore those other tasks in their job. In
brief, where employees are evaluated on single job criteria, employees will emphasize on the
single criteria in the execution of job.
❖ Leniency Error
Every evaluator has his own value system that acts as a standard against which appraisals are
made. In actual practice, while judging performance of employees, some evaluator’s mark the
performance of all employees either high or low. When evaluators are positively lenient in their
appraisal, an individual’s performance becomes over stated, because performance is rated higher
than it actually exists. In case of negative leniency error performance is found lower than the
actual performance.
❖ Hallo Error
The hallo effect error is the tendency of an evaluator to assess an individual on one trait that
influences his or her evaluation of that person on other traits. For example, if an employee seems
to be dependable, he may become biased toward that individual and rate him high on many
otherattributes also. The college students are facing the same error during filling out teaching
appraisal forms to evaluate the effectiveness of their instructors in each semester. Students tends
13
 to rate a faculty member as outstanding on all criterion when they are particularly appreciative of
a few things which he does in the classroom. Similarly, a few bad habits like showing up late for
lecturesor being slow in returning papers, or assigning an extremely demanding reading
requirement-might result in students’ evaluating the instructor as poor across the board.
❖ Similarity Error
This error occurs when an evaluator rates other people by giving special consideration to those
qualities which they perceive in themselves. For example the evaluator who perceives himself an
aggressive may evaluate others by looking for aggressiveness. Therefore, those who exhibit this
characteristic tend to benefit, while others are penalised. Again, this error tends to wash out if the
same evaluator appraised all the people in the institution. However, interpreter reliability
obviously suffers when various evaluators are utilising their own similarity criteria.
❖ Low Differentiation
This type of error occurs when evaluator’s rating behavior has social influence during evaluating
the employee in an academic institution. We can classify the evaluators in two categories: (1)
high differentiators- the one who is applying all or most of the scale, (2) low differentiators- the
one who is applying a limited choice of scale. Low differentiators always try to ignore the
differences and perceive that the universe is constant than it really is.High differentiatorsapply all
existing information to the highest extent and are capable to perceptually define irregularities and
ambiguities than are low differentiators.

➢ Overcoming the Problems

P. Robins (1997) identifiedsome of the ways to overcome these major problems in performance
appraisal, which are as follows:
❖ Multiple criteria: Successful performance appraisal requires identifying and evaluating a
number of things in a job. The more complex the job, the more are the criteria needed to assess
the same. The critical activities are those activities which lead to high or low performance and
need to be evaluated.
❖ Focus on behavior evaluation rather than traits: Many traits are considered to be related with
a good performance but they have a little or no performance relationship. For example, traits like
initiative, loyalty, reliability, courage, and self –expression are intuitively appearing as desirable
characteristics in the document of performance behavior. In A Diary: By keeping a diary of
specific critical incidents for an employee, evaluation tends to be more accurate. Diaries, for
instance, tend to reduce leniency and halo error.
❖ Multiple evaluators: As the number of evaluator’s increases, there is more probability of
attaining more accurate information. An increase in the number of appraisers proves the accuracy
14
 of results also. This type of approach is generally used in athletic competitions especially in
sports like gymnastics. A group of evaluators judge the performance. In this, the highest and
lowest scores are dropped, and the final performance evaluation is made by cumulating the scores
of remaining. The logic of multiple evaluators is suitable for organization. If an employee has ten
supervisors, nine rated him excellent and only one rated him poor, the value of the one poor
evaluation can be discounted. Therefore, by moving employees within the organization and
getting a number of evaluations by using multiple assessors (as provided in 360 degree
appraisals), can increase the probability of achieving more valid and reliable evaluations.
❖ Evaluate selectively: It has been suggested that appraisers should evaluate only those areas in
which they have some expertise. If rater makes evaluations on only those dimensions on which
they are expert, we can make the evaluation a more valid process. This approach also supports
that in an organization each level have different orientations toward rates and observe them in
different settings. In general, therefore, it is recommend that appraises should be as close as
possible, in case of organization. If the existing levels separate the evaluator then there is less
opportunity, the evaluator has to observe the individuals behavior and, not surprisingly, the
greater the possibility for inaccuracies. The specific application of these concepts would result in
having impact on immediate supervisors, coworkers, and subordinates. It has been suggested, for
example, that when professors are evaluating their secretaries within department, they should use
such criteria as judgment, technical competence, and conscientiousness, whereas peers (other
secretaries) should use such criteria as job knowledge, cooperation with coworkers, and
responsibility.
❖ Train evaluators: If you can’t find good evaluators, the alternative is to train the evaluators to
become good evaluators. There is substantial evidence that training makes evaluators more
accurate raters. Common errors such as halo and leniency are minimized or eliminated by
conducting the workshops, where managers practice observing and rating behaviors. Case has
been observed where halo and leniency errors were decreased immediately after providing
evaluators an explanatory training sessions. This favored the need for regular refresher sessions.

➢ Performance Management Systems in Educational Institutions

Many researchers proposed that Kaplan and Norton’s Balanced Scorecard (BSC) can evaluate the
performance of any educational institutions. The basic principle of the BSC is to develop an
inclusive set of financial and non-financial measures to practice as leading predictors, or
indicatorsto capture value-creating activities. Balanced scorecard methodcan be used to evaluate
employees performance in a higher education institution, as featured in Table 1:

15
 Table 1. The Balanced Scorecard Approach in Higher Education

Perspective Question Explanation

1. Stakeholder What do existing and new This perspective views institutional performance
(including the stakeholders value? from the point of view of its stakeholders. It gives
government, the rise to targets that matter, including; the quality
national department and delivery of teaching students, the provision of
of education, business professional development and training courses to
and industry business and industry, outreach and collaborations
employers, parents, with external stakeholders, etc.
students)

2. Internal What internal processes This perspective views institutional performance

(academic and must be improved to through the lenses of quality education, individual
administrative staff) achieve quality educational research, engagement with trade and professional
objectives? organisations, the department’s operational
internal processes and efficiencies, etc.

3. Organisational How can educational This perspective views organisational

Capacity institutions improve to performance through the lenses of human capital,
(or Innovation and create value? infrastructure, technology, culture and other
Learning) capacities that are key to the creation and
dissemination of knowledge. It considers the
educational institutions’ research output (as a
whole), and its capacity to maintain a competitive
position through the identification of training
needs of individual members of staff, and the
acquisition of new resources.

16
4. Financial How can an educational This perspective considers the institution’s
(or Stewardship) institution (government, or financial performance and its use of resources. It
private entities) improve covers traditional measures such as growth, return
financial performance and on investment and profitability.
their value to trustees or
shareholders? How can an
educational institution use
its financial resources?

A serious issue for an effective BSC is the arrangement of its four perspectives with the institution’s

vision and strategic objectives. Thus, BSC can be used to help educational leaders to track financial

results as well as monitoring the progress of their institution’s staff.

➢ General guidelines for filling up the APAR form, Government of India

The Performance Appraisal Report is an important document. It provides the basic and vital inputs for
the further development of an officer. The appraisee, the Reporting Authority and the Reviewing
Authority should, therefore, undertake the duty of filling up the form with a high sense of
responsibility.

Performance appraisal should be used as a tool for human resource development. Reporting Officers
should realize that the objective is to develop an officer so that he/she realizes his/her true potential. It
is not meant to be a fault-finding process but a development tool. The Reporting Officer and the
Reviewing Officer should not shy away from reporting shortcomings in performance, attitudes or
overall personality of the officer reported upon.

The columns should be filled with due care and attention and after devoting adequate time. Any
attempt to fill the report in a casual or superficial manner will be easily discernible to the higher
authorities.
Although the actual documentation of performance appraisal is a year-end exercise, in order that it
may be a tool for human resource development, the Reporting Officer and the appraisee should meet

17
 during the course of the year at regular intervals to review the performance and to take necessary
corrective steps
Performa

The revised Performa for the annual performance appraisal comprises of 4 sections. The requirement
under each section and the authority responsible for filling up these sections is indicated in the table
below.

Section No. Information required Authority responsible for filling up

I Basic Information Administration division/ Personnel Dept

II Self-appraisal Appraisee

III Appraisal Reporting officer/ Review Officer, if necessary

IV Review Review Officer

Thus, the portions to be filled up by each authority are the following:-

Administration Division/ Personnel Department Section I

Appraisee Section II

Reporting Officer Section III

Review Officer Sections IV and Section III (part), if required

Instructions on filling up the different sections

Section-I
This section should be filled up in the Administration Division/Personnel Deptt. Period of report could
either be the entire reporting year, namely, from 1st of April to 31st March or a part of the year
(exceeding 3 months). In case the period of report is a full year, it should be indicated accordingly for
example, 2003-2004. In case the period of report is less than the entire year, specific start and end dates
should be indicated, for example, 10th September 2003 – 31st March 2004.
Information on the present grade (pay-scale) as well as present post (actual designation and organization)
needs to be given. In addition the date from which he/she has been on his/her present post needs to be
mentioned.
18
In the table relating to reporting and review authorities the name and designation of the reporting and
review authorities should be mentioned so that the appraisee is clear about whom he/she is required to
send the report to.

The period of absence from duty, on leave, training, or for other reasons, should also be mentioned in this
section in the table provided for the purpose. Details of the training attended should be mentioned under
the remarks column of the table.
Section-II
In Section II, the appraisee is first required to give brief description of his/her duties and responsibilities.
This need not be very lengthy and would normally not exceed about 100 words. Ideally, this should be in
bullet form.

Under the revised system of performance appraisal, all officers are required to develop a work plan for the
year and agree upon the same with the reporting officer. This exercise is to be carried out at the beginning
of the year, typically within the first 15 days. In case of a change in the reporting officer during the year,
the work plan agreed with the previous reporting officer would continue to apply. The work plan agreed
upon at the beginning of the year has to again be reviewed during the month of September/October as a
mid year exercise. Based on This review the work plan may undergo some changes from that originally
prepared.

The work plans, duly signed by the appraisee and the reporting officer have to be submitted to the review
officer for his/her perusal and custody. The end of the year performance appraisal form provides for an
assessment of the accomplishments vis-à-vis the work plan agreed at the commencement of the year and
reviewed mid year. The appraisee is required to fill up the table provided by the purpose in Section-II.
It is not necessary that the work plan should be entirely quantitative in nature. While some assignments
permit quantitative work targets to be fixed, others do not. Where quantitative targets are not possible, it
would be adequate to indicate specific work proposed to be accomplished.
The sample of possible work plans for different positions has been developed and is placed at Annex-11-
A. This may be used as a guide for officers to develop their own annual work plans. Ideally, individual
work plans should be drawn from the annual action plan of the Ministry/deptt./organization. Aggregation
of the individual work plans should really be the work plan of the Ministry/Deptt./Organization.

19
It is possible that an officer has accomplished certain major tasks which were not foreseen either at the
commencement of the year or even during the mid year review. Examples of these may be relief and
rescue work following a natural calamity or dealing with some other kind of emergency. Section II
provides for such unforeseen work accomplished/underway to also be recorded by the appraisee to project
his/her complete achievements during the year.

Section II also provides an opportunity for the officer to reflect upon his/her performance during the year
and indicate one item which he/she thought was a significant contributions made by him/her during the
year. It is not possible for any officer to make such significant contribution every year and hence this need
not be attempted for each year of his/her service. Examples of such contribution may be the successful
organization of a major event like the Kumbh Mela or successful conclusion of an activity that has been
going on for a long time, or even successful dealing of an emergency (e.g. major earth quake/flood).

In all such cases, the officer should reflect upon and record factors that helped in his/her performance or
hindered his/her performance. His/her reflection should also enable him/her to record his/her specific
learning from the experience and possible systemic changes that could be made. Section II provides an
opportunity for the officer to mention all of these.
This section also requires the appraisee to indicate specific areas in which he/she feels the need to
upgrade skills and attend training programs. He/she should also mention the specific steps that he/she has
taken or proposes to take to upgrade his/her skills in the identified area.
There is an increased emphasis on competency building in the new performance appraisal and career
progression system. There would be a premium on competency and skill upgradation. Hence, all officers
are advised, through a note in Section II, to keep the cadre controlling authority informed, atleast once in
five years, of all educational and training programs attended, including the details of marks/grades
secured in such programs. Similarly, all officers are advised to intimate details of professional papers
published, with all relevant details. These would be taken into account in the future career progression
and hence the need to keep the records of the cadre controlling authority updated.

In this context it is to be noted that officers would not normally be expected to publish papers during their
first 12 years of service, when they would be in their field postings. Even at subsequent levels, publication
of papers would, at best, be an ancillary activity and not something that takes up a substantial part of an
officer’s time, who obviously has a responsibility to discharge. This information is being sought primarily
to access the ability and willingness of an officer to think and research independently as well as structure
his/her thoughts into a meaningful document.

20
Section II also requires the appraisee to record certain certificates. Apart from certifying submission of
property returns, this section requires the officer to certify that he/she has undergone a medical check up
within the last two years. Such a medical certificate is being insisted upon in the larger interest of the
officer and the organization . The appraisee is also required to certify that he/she has agreed upon an
annual work plan with all his/her immediate subordinate officers for whom he/she would be the reporting
authority.

Another certificate is with regard to having submitted the annual performance report of all his/her
subordinate officers for the period under report. In case the annual performance report of any subordinate
officer could not be submitted, the reasons for the same need to be indicated in the table provided. This
could be due to the concerned appraisee not having submitted his/her self-appraisal or some delay having
taken place due to emergent work. In this connection, it is clarified that this certificate is required only in
respect of those officers for whom the appraisee is the reporting authority.
Section-III
This section relates to the actual appraisal and is to be recorded by the reporting authority. The reporting
authority must first indicate the actual period, out of the year under report, during which the appraisee has
served under him/her. In entering this information, the reporting authority may see information in Section
I, where the date from which the appraisee has been in his/her present position would be available.
Section III then requires the reporting authority to comment on section II as filled out by the appraisee,
and specifically state whether he/she agrees with the responses relating to the accomplishments. In case of
disagreement the reporting authority should highlight the specific portions with which he/she is unable to
agree and the reasons for such disagreement.
This section then requires the reporting officer to comment on the skill upgradation needs as identified by
the officer. In case, the reporting officer agrees with the training needs indicated by the appraisee, he/she
is required to indicate specific steps taken/proposed to be taken by him/her to enable the appraisee to have
the skill upgraded. In case, he/she disagrees with the appraisee, he/she should record his/her reasons for
such disagreement.
Thereafter, this section requires the reporting authority to record a numerical grade in respect of the
workout put of the appraisee both in respect of the planned work as well as the unforeseen tasks. A
numerical grade is also required in respect of the “quality” of the output. In doing so, the reporting
authority should take into account the costs incurred (whether the appraisee has been cost conscious), the
time taken and whether the laid down rules/procedures have been adhered to in accomplishing the tasks.

21
 The reporting authority is also required to record a numerical grade in respect of certain personal
attributes and functional competencies. As mentioned in the proforma, some of the attributes only relate
to some of the posts and need not be given in respect of officers occupying different posts.
Section III requires the reporting officer to comment on the integrity of the appraisee. In recording
remarks with regard to integrity, he/she need not limit him/herself only to matters relating to financial
integrity but could also take into account the moral and intellectual integrity of the appraisee. The
following procedure should be followed in filling up the column relating to integrity:
i. If the Officers integrity is beyond doubt, it may be stated.

ii. If there is any doubt or suspicion, the column should be left blank and action taken as under

a. A separate secret note should be recorded and followed up. A copy of the note should also be sent
together with the Confidential Report to the next superior officer who will ensure that the follow up
action is taken expeditiously. Where it is not possible either to certify the integrity or to record the secret
note, the Reporting Officer should state either that he/she had not watched the officer’s work for
sufficient time to form a definite judgement or that he/she has heard nothing against the officer, as the
case may be.

b. If, as a result of the follow up action, the doubts or suspicions are cleared, the officer’s integrity
should be certified and an entry mode accordingly in the Confidential Report

c. If the doubts or suspicions are confirmed, this fact should also be recorded and duly
communicated to the officer concerned.

d. If as a result of the follow up action, the doubts or suspicions are neither cleared nor confirmed,
the officers conduct should be watched for a further period and thereafter action taken as indicated at (b)
and (c) above.

The reporting authority is then required to comment on the attitude of the appraisee towards Scheduled
Castes and Scheduled Tribes.

The reporting officer is also required to record a descriptive pen-picture on the overall qualities of the
appraisee and his/her performance. This need not exceed about 100 words and should try to cover
qualities which the reporting officer feels have not been adequately covered through the specific attributes
and the work assessment. The pen-picture is also meant to be a qualitative supplement to the quantitative
assessments made earlier part of this section.
Finally, the reporting authority is required to record an overall grade. This should also be done on a scale
of 1-10, with 1 referring to the lowest grade and 10 to the highest.
22
This section is to be filled up by the review officer and is self-explanatory. Again, as in the case of the
reporting authority, the review authority is first required to indicate the time for which the appraisee has
served under him/her.
Thereafter he/she is required to indicate if he/she agrees with the assessments made by the reporting
officer. In case he/she does not he/she may record his/her own assessment against the work output or any
of the attributes, in the column specifically provided for the purpose in the table in Section II. In case
he/she agrees with the assessment he/she need not fill in the column meant for him/her in the
attributes/work output tables.
The review officer is required to record a pen-picture, not exceeding about 100 words. Finally he/she is
required to record an overall grade in the scale of 1-10.
Numerical Grades

At several places, numerical grades are to be awarded by reporting and review authorities. These should
be on a scale of 1-10, where 1 refers to the lowest grade and 10 to the highest. It is expected that any
grading of 1 or 2 (against work output or attributes or overall grade) would be adequately justified in the
pen-picture by way of specific failures and similarly, any grade of 9 or 10 would be justified with respect
to specific accomplishments. Grades of 1-2 or 9-10 are expected to be rare occurrences and hence the
need to justify them. In awarding a numerical grade the reporting and review authorities should rate the
officer against a larger population of his/her peers that may be currently working under them or would
have worked under them in the past.
Disclosure

The new performance appraisal system is no longer a confidential process and the entire appraisal is now
required to be revealed to the appraisee. This fits in with the primary objective of the performance
appraisal being a tool for the development of the officer. As such, the final report, after review, is required
to be communicated to the officer. For this purpose, a copy of the report should be sent to the appraisee,
after the review officer has recorded his remarks and the overall grade. A record of having sent a copy of
the report should be maintained for record.
Representation

The appraisee may submit a representation against any observation in his/her performance appraisal. It is
expected that such a representation would only be against factual observations and not any subjective
assessment of the reporting and review authority. In case a representation is submitted, it should be routed
through the reporting and review officers to reach the cadre controlling authority. In case the reporting or
review officers, being satisfied with the contentions made by the appraisee, wish to change any of the
remarks or assessments, they may do so. In case they are not satisfied, they may give their observations, if
23
any, on the representation of the appraisee. The cadre controlling authority would place the representation
along-with any remarks made by the reporting and review authorities, on the representation, before a
“Referral Board” to be specifically constituted for the purpose of deciding on such representations. The
decision of the Referral Board would be final and it may result in the grades being amended in the light of
any representation that the Board may accept.
In case the appraisee has alleged malafide against the reporting and/or review officers, the Referral Board
would examine the claim. In case it is found that the allegation is without factual basis, the Referral Board
would enter the finding and, if necessary, record an appropriate stricture in the PAR for that year. At the
same time, if the claims are found to be true, it may be reflected appropriately in the report of the
reporting/review officer.

Practice Task

1. Which is not an objective of performance appraisal ?

A. Measuring the efficiency. B. Designing organizational goal.
C. Maintaining organizational control. D. Assessment of performance.

2. A_____________________is a process of evaluating an employee’s performance of a job in terms of

its requirements.
A. Performance management B. Performance evaluation
C. Performance analysis D. Performance appraisal

3. Aim of performance appraisal is

A. Goals of organization B. Goals of employee
C. Both A & B D. Neither A nor B

4. Actual performance of employees are compared with

A. Other members B. Standard performance
C. Previous performance D. Group performance

5. Actual performance is measured in terms of its

24
 A. Efficiency and effectiveness B. Business by him
C. Returns to the institution D. Input and output

Feedback

Answers :- 1- B, 2- D,3- C, 4- B, 5- A

8.15.2 Feedback for Performance Management (Alumni, Prospective

Employers, Students etc.)

Feedback means knowledge of results. It implies two things; (a) job Performance – whether ‘x’ is capable
performing specific tasks that have been assigned (b) work related behavior – while performing his tasks,
whether ‘x’ speaks politely to customers and works cooperatively with rest of the team members. The
25
appraiser and the appraise need to consider certain guidelines while giving and receiving performance
feedback. A debatable point in performance appraisal is about the feedback given to appraise. Some
authorities feel that both positive and negative result should be communicated to the appraise. Others feel
that only adverse remarks should be communicated. Still others who are in minority feel that no feedback
should be given.

The purpose of the performance appraisal feedback is to provide growth and development opportunity.
Employees want to know how they are doing but typically they are uncomfortable about getting the
feedback. Here are some of the guidelines for providing feedback to an average employee:
● Summarise employee’s performance and be specific;
● Explain why the employee’s performance is this;
● Thank employee for doing job;
● Raise any relevant issue such as an area of improvement; and
● Express confidence with employee’s future good performance.

According to Boove et al. (1993), the appraisal of employees by their supervisors can improve individual
performance and provides a basis for promotion, transfer, demotion and termination. The performance
appraisal is an informal or formal process of evaluating employee’s performance in relation to expectation
and providing feedback is a “key tool” here. Feedback is likely to be disregarded if the credibility issue is
not addressed.
➢ Feedback from Stakeholders of an Educational Institution
Different stakeholders of an educational institution viz. students, parents, teachers, alumni, potential
employers, community etc. view the performance of the institution from different perspectives.
Appropriate feedback from the above mentioned stakeholders on the relevant parameters help the
institution in evaluating the effectiveness of its performance and thereby take necessary actions to
improve the same. Some of the broad parameters for judging an institutional performance are as
follows:
● Fulfillment of institutional goals/objectives
● Adequacy and quality of resources
● Quality of teaching learning process
● Quality of curriculum of courses
● Quality of evaluation
● Students success index
● Quality of student output
● Level and quality of student placement
26
 ● Institution’s reputation
● Adaptation to change- social, economic, technological, environmental etc.
● Responsiveness to community
● Continuous improvement
These dimensions of institutional performance focus on system’s approach where the institution is to be
seen in totality in the context of its different components viz., inputs, process, product and mechanism of
evaluation.
Depending upon the perceptual aspect of institutional quality, David's and Wellison (1995): identified
three categories of respondents: students, teachers and parents. The major issues identified as indicators of
quality are as follows.
❖ Students
● Quality of teaching learning
● Satisfaction with the faculty and staff
● Communications
● Standards of student behaviour
● Quality of facilities and infrastructure in the institution
● General factors and overall satisfaction with the institution and
● The extent of equal opportunities for students

❖ Parents
● Quality of teaching and learning
● Satisfaction with faculty and staff
● Communications
● Standards of student behaviour
● Quality of facilities available in institution for grooming students
● General factors and overall satisfaction with the institution
● Role of leadership and governing council in the institution

❖ Teachers
● Quality of leadership
● Communication in the institution
● Quality of Work environment for the teachers and staff
● Professional environment in the institution
● Quality of education provided by the institution

27
 ● Continuous improvement

In addition to the above stakeholders, alumni and potential employers can also a vital role in enhancing
the performance of the institution. Their feedback on relevant parameters can set a right direction for the
institutional growth and development, thereby making it highly responsive to the needs of the society.

❖ Alumni
● Quality of teaching and learning
● Satisfaction with faculty and staff
● Communications
● Standards of student behaviour
● Development of appropriate skills in students
● Quality of facilities and infrastructure available in institution for grooming students
● Role of and leadership and governing council in the institution
● Adaptation to change- social, economic, technological etc.
● General factors and overall satisfaction with the institution
● Continuous improvement

❖ Potential Employers
● Quality of student output
● Communications
● Standards of student behaviour
● Quality of facilities and infrastructure available in institution for grooming students
● Role of and leadership
● Adaptation to change- economic, technological etc.
● General factors and overall satisfaction with the institution
● Continuous improvement
Based on the right inputs from these stakeholders and their whole hearted contribution, in setting
institutional goals and objectives, can go a long way in the development of any academic institution.
A standardized sample feedback Performa as developed by AICTE (gazette notification, March 1, 2019)
to judge the effectiveness of teaching and non teaching staff in an educational institution is presented as
follows:

28
 STUDENT’S FEEDBACK
FORM
(To be used by institutions)
Academic Year: Name of the Faculty

Course Semester

Date of the feedback

For getting filled in through student

S. Description Very Poor Poor Good Very Excellent

No. Good

(1) (2) (3) (4) (5)

1 Has the Teacher covered entire

Syllabus as prescribed by University/
College/ Board?

2 Has the Teacher covered relevant

topics beyond syllabus

3 Effectiveness of Teacher in terms of:

(a) Technical content/course content

(b) Communication skills

(c) Use of teaching aids

4 Pace on which contents were covered

5 Motivation and inspiration for students

to learn

6 Support for the development of

29
 Students’

skill

(i) Practical demonstration

(ii) Hands on training

7 Clarity of expectations of students

8 Feedback provided on Students’

progress

9 Willingness to offer help and advice

to students.

Total

Collection of data and its analysis by developing similar proformas to be filled by different stakeholders
can be of great help in analyzing institutional performance and further taking appropriate initiatives for
overcoming the performance drawbacks, if any.

Practice Task

1. Feedback control system is basically

A. High pass filter B. Low pass filter
C. Band pass filter D. Band stop filter
2. As a result of introduction of negative feedback which of the following will not decrease?
A. Instability B. Bandwidth
C. Overall gain D. Distortion

3. Open loop system is ___________ stable than closed loop system

A. More B. Less
C. Inclined D. Exponential
30
4. Basic purpose of using Feedback is :
A. To reduce the sensitivity of the system to parameter variations.
B. To increase the bandwidth of the system
C. To reduce the noise and distortion of the system
D. To increase stability of the system

5. Effect of feedback on sensitivity is minimum in:

A. Open loop control system
B. Closed loop control system
C. None of the mentioned
D. Both of the mentioned

Feedback

Answers:- 1-B, 2- B, 3-A, 4-A, 5-B

Conclusion
Performance appraisal is tool for systematic evaluation of employees’ performance and their potential for
development. It provides strengths and weaknesses and the areas of potential improvement. Academic
institutions use different methods for assessing the performance of faculty and staff. This also helps them
in identifying potential employees who can be assigned higher responsibilities and thus, planning for
future. For enhancing the performance of employees, it is very important that the institutions provide
them appropriate information and feedback based on which they may plan necessary improvement

31
initiatives may be jointly planned by the concerned employee and his superiors. In addition to partnering
with the employees, it is equally important that the institutions also partner with other stakeholders like
alumni, parents, potential employers and students and give due weightage to their feedback. This shall
lead to their becoming responsive to needs of stakeholders and designing up-to-date systems leading
enhancement in efficiency, effectiveness and quality of services.

Bibliography
Bartram, T., Stanton, P., Leggat, S., Casimir, G., and Fraser, B., (2007), “Lost in
Translation: Exploring the Link between HRM and Performance in Healthcare,” Human
Resource Management Journal
Caruth, D.L., and Humphreys, J. H., (2008), “Performance Appraisal: Essential
Characteristics for Strategic Control,” Measuring Business Excellence
Fletcher, C., (2006), “Appraisal and Feedback - Making Performance Review Work,”
London, CIPD
Grund, C., and Przemeck, J., (2012), “Subjective Performance Appraisal and Inequality
Aversion,” Applied Economics
Jawahar, I.M., (2010), “The Mediating Role of Appraisal Feedback Reactions on the
Relationship between Rater Feedback-Related Behaviors and Rate Performance,” Group
Organization Management
Michelle, B., Douglas, H., and John, B., (2010), "Consequences of the Performance
Appraisal Experience," Personnel Review
Marsden, D., (1999), “Theory of Reemployment Systems,” Oxford University Press,
Oxford
Rao, V. S. P., (2005), “Human Resource Management –Text and Cases,” 3rd Edition,
Excel Books, New Delhi
Rao, T. V.,“Performance Appraisal Theory and Practice, (2004),” New Delhi: Vikas
Publishing House
Rezghi Ros tami. Alireza, “Performance Evaluation System, (2000),” Tadbir Publication
Robbins, Stephen P. “Organizational Behaviour,” 7th ed. (2010), PHI Pvt. Ltd
Zairi, M., “Measuring Performance of Business Results,” (1994), London: Chapman and
Hall
www.gceakola.org
www.shrm.org/foundation/1006employeeengagement
www.ugc.ac.in
https://www.aicte-india.org/bureaus/administration/rules-regulations, AICTE regulations
on pay scales, service conditions and minimum qualifications for appointment of teachers
and other academic staff in Technical Institutions and measures for the maintenance of
standards in Technical Education – (Degree) Regulation, 2019
Supporting learning resources: by Dr. Rakesh K Wats and Dr. RK Sharma
Videos on
Performance Appraisal (Rules & Regulations)
Feedback for Performance Management (Alumni, Prospective Employers, Students etc.)
Legal & Disciplinary Procedures for effective Institutional Control and Management

32
Web resources
1. HR Basics: Performance Management https://www.youtube.com/watch?v=SyOZ_4rWWiY
2. Performance Appraisal | Methods of Appraisal | Part 1 (in Hindi)
https://www.youtube.com/watch?v=2LDHoH4zycQ
3. what is performance appraisal?? .Explained in easiest method which will last in your mind
forever https://www.youtube.com/watch?v=pnoL4MOSK8Q
4. Performance Management https://www.youtube.com/watch?v=m0xx09HHATo
5. Methods of Performance Appraisal https://www.youtube.com/watch?v=RGjU7XJ8Jio
6. Performance Management https://www.youtube.com/watch?v=tmPR585RTsU

*****************

33
 UNIT-8.16

CONTROLLING: INSTITUTIONAL EVALUATION

Content Page no.

Broad Objective 3

Learning Outcomes 3

Introduction 3

8.16.1 Institutional Evaluation: Concept and Importance 4

➢ Various definitions of Evaluation

➢ Purposes of Evaluations (Plausibility, Probability, Adequacy)
➢ Substantial obstacles confronting these endeavours
➢ Criteria of evaluation
➢ Parameters of Institutional Evaluation
➢ Components of Institutional Assessment Mukhopadhyay (2005)
➢ Classification of MIAS (Mukhopadhyay Institutional Assessment Scale)
➢ Components to be included in Programme Evaluation

Practice Task 10

Feedback 11

8.16.2 Academic Audit: Concept 12

➢ Features of Academic Audit

➢ Scope of Academic Audit
➢ What an academic audit is not?
➢ Importance of Academic Audit
➢ Benefits of Academic Auditing

1
 ➢ Principles of the Academic Audit

Practice Task 16

Feedback 16

8.16.3 Academic Audit : Focal Areas 18

➢ First Approach
➢ Second Approach

Practice Task 21

Feedback 21

8.16.8.16.4 Academic Audit: Process 22

➢ Process of Academic Audit

➢ Responsibility of Institutional Management and Audit team

Practice Task 23

Feedback 23

Conclusion 25

Bibliography 25

UNIT-8.16

CONTROLLING: INSTITUTIONAL EVALUATION

Author Dr. Rakesh K Wats
NITTTR, Chandigarh
Broad Objective

2
The broad objective of this unit is to make
the learners appreciate the importance of
institutional evaluation for analysing the
effectiveness of the performance of an
institute. The inputs in the unit shall also
make them aware about the application of
academic audit as a tool for institutional
evaluation.

Learning Outcomes
After going through this unit the learner will be able to :
• Appreciate the need and importance of institutional evaluation for monitoring the
performance of an institution in today’s scenario.
• Understand the criteria of institutional evaluation.
• Identify the parameters of institutional evaluation and their criteria of measurement.
• Understand the role of Academic Audit as a tool for institutional evaluation.
• Identify focal areas of academic audit.
• Understand the process of academic audit and implement the same in his institution.

Introduction

Every educational institute makes concentrated efforts for the achievement of the goals and
objectives established by the institutional leaders. To keep themselves aware about the level
of performance attained by it at a particular juncture, it is important for the institutional
players to formally analyze and assess in whole or in part the accomplishment of the
educational mission of their institution or sector of activity so as to adapt continuously to the
constantly changing environment. It provides the institute a basis for decision making and to
ensure accountability to society. For this, many a time institutes use academic audit as a tool
for the above purpose.

The present unit on institute evaluation has been designed to make the learners aware about
the concept, importance, components and the criteria for institutional evaluation. The inputs
in the unit shall also be very useful for them to know about an important tool of institutional
evaluation, the academic audit. This unit shall also provide them inputs about the focal areas
and the process of an academic audit.

3
8.16.1 Institutional Evaluation: Concept and Importance

Evaluation has a broad meaning which goes beyond measurement of any single aspect.
Evaluation of an institution is based on assessing, testing and measuring the levels of its
qualitative improvement. It is a process of making value judgements over a level of
performance or achievement. Evaluation can also imply a critical assessment of educative
process and its outcome in the light of the objectives. Evaluation is the process of
determining the extent to which the objectives are achieved and is a continuous and dynamic
process leading to continuous improvement in an institution. It should be an integral part of
the teaching and learning process of any educational institution.

According to C.E. Beeby (1977), evaluation is "the systematic collection and interpretation
of evidence, leading, as part of the process, to a judgement of value with a view to action".
Similarly Patton (1987) defined, “Evaluation as a process that critically examines a program.
It involves collecting and analysing information about a program’s activities, characteristics,
and outcomes. Its purpose is to make judgments about a program, to improve its
effectiveness, and/or to inform programming decisions”. The definitions have four main
components:
❖ Systematic collection of evidence-
● Value judgement should be evidence based
● Planned and conscious efforts should be invested purposefully to gather the
evidences
● The information required must be defined with some degree of precision
● The information should be gathered from multiple sources by applying varied
tools like tests, observations, questionnaires, interviews etc.
❖ Interpretation of evidence-
● Gathered evidence should facilitate the judgement process
● Gathered evidence should be associated with indicators of evaluation
● Gathered evidence should be interpreted from all kinds of perspectives
● Interpretations must be carried out very carefully
❖ Judgement of value-
● Should not be treated as only describing the evidence to understand the status
of a phenomenon.

4
 ● It must help to judge how well a system or a process or a product matches with
the expected goals or outcomes.
❖ Action orientation-
● The evaluation for the sake of making judgement or giving grades or
certification does not serve the purpose.
● It must lead to decision making so that it can serve the purpose of framing
better policies and adopting efficient and effective practices in education.
Hence, it can be finalised that evaluation is an evidence based judgement, which is
interpreted systematically, leading to policy orientation, decision-making and actions
related to improvement of the system.
.
➢ Various other interpretations of the term Evaluation-
The term is used and understood in diverse ways, like-
❖ A way to measure and understand the data of an institute to formalised
instruments and standardised scales involved in getting the comparable and
replicable results.
❖ It is a professional judgement where in visitation teams and peer review
provides the means of judgement
❖ It can also be taken as a comparison of actual and intended outcomes or
objectives.
❖ Sometimes evaluation can be taken as a "goal-free" or responsive evaluation
which looks at all outcomes including the unintended effects
❖ Evaluation may also be treated as a political process aimed at resolving
existing conflict by using negotiation tools.
❖ It can be used as an ongoing process to reduce complacency or achieving
changes.
❖ It can be treated as a process fabricated to produce useful information for
decision-making to improve the system or programme.
❖ Evaluation sometimes treated merely as a ritual to provide a picture of
rationality and accountability to promote a feeling of security.

➢ Purposes of Evaluations (Plausibility, Probability, Adequacy)

5
 The motive behind the institutional evaluation is to assist endeavours to enhance the
institute’s performance from the current status. Generally for three reasons,
evaluations are conducted, those are: to determine adequacy, plausibility, and
probability.

❖ Adequacy
● To check whether the goals or targets set by an institution were met or not
● Such an evaluation process does not require a control group, hence it is cost,
time and effort effective
● As the assessments indicate progress toward pre-determined targets, hence
may become basis for increased or continued funding.
❖ Plausibility
● It determines if an institution has attained expected goals
● It needs an experimental control group to compare the target indicators
❖ Probability
● It is the most robust designed study to determine the true effect of an
intervention on the indicators of interests
● It looks to determine the success of a program’s activities and outcomes.
● It involves more data collection and more emphasis is placed on
compliance of results

➢ Substantial obstacles confronting these endeavours-

The most common hindrances which come on the way to achieve the real objective of
evaluation are-
❖ Lack of understanding of the functioning of an institution
❖ Lack of understanding of the institute’s performance and management
❖ Lack of understanding of the purpose of evaluation
❖ Lack of understanding of the adequate techniques of measurement and
procedures of judgement
❖ Lack of clarity between desirable and achievable goal of the institute
❖ Lack of understanding between thought process of evaluation team policy makers
of institute
❖ Presentation of results and implementation strategies mismatch

6
 ➢ Criteria of evaluation -
The criteria of evaluation differs from one to another institute or programme, but
mainly revolves around following important parameters:
❖ The mission and objectives of the concerned institute will help the evaluators clear
about, what does the institution seek to achieve?
❖ Procedure and approach of evaluators is dependent upon the governance process
and the activities of the institute to attain its mission and objectives.
❖ Institutional processes of self evaluation and quality assurance to attain its mission
and objectives.
❖ Institutional activities for its continuous improvement to enhance its performance
in times to come to have competitive edge in the ever changing education system
at the tertiary level.

➢ Parameters of Institutional Evaluation-

According to Cheng and Tam's (1997) there are main seven goals/indicators/dimensions
of an educational institution which need to be gauged for quality evaluation in the context
of its different components viz., inputs, process, product and mechanism of evaluation

Indicators Areas Criteria

Goals/Objectives (time-bound School objectives- Clarity-

specific and observable)
standards and specialisations listed in whether resources are sufficient to
institute programmes and plans e.g. achieve the goals, whether goals are
academic rate, dropout rate etc achievable

Resources Quality of student intake, facilities, Clear relationship between input

financial Support etc. (resources) and output, whether
resources are of needed quality

Process Leadership (Teachers Principals) Clear relationship between process

participation social interactions, and output. Smooth internal process
classroom climate, learning activities leading to expected outcome.
and experiences.

7
Satisfaction of all Satisfaction of educational authorities, Satisfaction of all powerful
stakeholders management board administrators, institutional constituents or
teachers, parents students, employers stakeholders
etc

Institution's legitimacy and Public relations, marketing, public Accountability of institute to

reputation image, reputation, status in the community, social reputation,
community, evidence of accountability, meeting social needs, demands and
etc requirements etc.

Absence of problems and Absence of conflicts, dysfunctions, Strategies adopted for minimising
troubles in the institution difficulties, defects, weaknesses, problems and troubles
troubles etc.

Adaptation to environmental Awareness of essential needs and Openness and flexibility in internal
changes and internal barriers changes, internal process monitoring, organisation towards environmental
programme evaluation, development changes and its strategies continuous
planning, staff development etc. for planning and improvement.

Source: Cheng and Tam (1997)

➢ Components of Institutional Assessment Mukhopadhyay (2005) –

He developed a comprehensive institutional assessment system particularly in the Indian

context of institutional evaluation (Figure 16.1)

8
 Figure 16.1- Institutional Assessment System

➢ Classification of MIAS (Mukhopadhyay Institutional Assessment Scale) –

The classification is based on the qualitative factors mentioned below and all the
stakeholders like

teachers, principals, students, parents and supervisors rate the status of an institution
accordingly.
❖ Leadership
❖ Teacher quality - preparation, competence and commitment
❖ Linkage and interface - communication with the environment
❖ Academic and non-academic quality of students
❖ Non-scholastic areas or co-curricular activities
❖ Quality of instruction incorporated in teaching
❖ Quality of support services or office management
❖ Relationship - corporate life in the institution
❖ Instructional support or material resources
❖ Methodology and purposefulness of examination
❖ Job satisfaction - staff morale
❖ Reputation of the institution.
❖ Enrolment of girls and boys, with break-up
❖ Inter-class transition rate
❖ Performance in academic and non-academic areas
❖ Physical infrastructure

Mukhopadhyay's Model incorporates both trend data and perception based data needed for an
institution.

PERCEPTION BASED DATA

TREND DATA
(cover satisfaction level/ appropriateness)

● Enrolment ● Principal's perception

● Retention ● Teacher's perception
● Academic performance (examination ● Parent's perception
results) ● Student's perception and

9
 ● Non-academic performance and ● Supervisor's perception
● Physical infrastructure

➢ Components to be included in Programme Evaluation

Programme Goals ● subject to scrutiny

● acts as evaluation criteria

● leads to evaluation of products

Resources (human and non-human) ● exploring requirements

● adequacy

● means to generate resources

● fulfilment of essential criteria

Process ● Efficiency

(strategies, methods, procedures, technology, ● Economy

processes)
● Stakeholders

● Satisfaction

Programme management

(decision making, developing strategies, organisation,

implementation, monitoring)

Ensuring effective use of inputs and processes in the

attainment of programme goals

Finally the evaluation, in general, or institutional evaluation in specific, is based on three

main criteria which fulfil all objectives, goals and attainment of the desired results for the
judgement of current status and scope along with possibilities of further improvement.

10
Practice Task
Q1. Fill in the blanks
a) The motive behind __________ is to assist endeavours to enhance the institute’s
performance from the current status.

b) Evaluations are conducted to determine ________ , _______ & _______.

c) Mukhopadhyay's Model incorporates both_________ and _______needed for an

institution.

Q2. Short questions

a) What is evaluation?
b) State the obstacles in evaluation
c) Name any five parameters of evaluation.

Feedback
1. a) Institutional evaluation
b) adequacy, plausibility, and probability trend data
c) trend data, perception based data

11
2. a) Evaluation is the way to measure and understand the data of an institute to formalised
instruments and standardised scales involved in getting the comparable and replicable results.
b) Obstacles in evaluation are:
● Lack of understanding of the functioning of an institution
● Lack of understanding of the institute’s performance and management
● Lack of understanding of the purpose of evaluation
● Lack of understanding of the adequate techniques of measurement and procedures of
judgement.
● Lack of clarity between desirable and achievable goal of the institute
c) Parameters of evaluation
● Goals/Objectives
● Resources
● Process
● Satisfaction of all stakeholders
● Institution's legitimacy and reputation

8.16.2 Academic Audit: Concept

Educational institutions require some framework for evaluating their performance in a
manner which may be seen as credible and valid from the stake-holders point of view. It will
help them in refuting an ill founded criticism from different quarters especially industry,
users of their services, statutory and regulatory authorities etc. Academic audit is an approach
in that direction.
Academic audit or Educational Audit is a tool for institutional evaluation, where by adequacy
of academic inputs in an education institution are measured. It is a practical approach to
professional accountability within the educational service provided by the institution. It is a
systematic investigation, analysis and subsequent reporting of the performance, systems and
resources of an educational unit. It provides opportunity for the regular strategic overview of
teaching learning process in an institution. It is a means by which an institution’s authorities
assure themselves of the quality of student learning. It facilitates in indentifying and actively
pursing areas of potential improvement.

12
➢ Features of Academic Audit:
Any academic audit has a few essential features, which are as follows:
❖ It is institution based and carried out periodically
❖ It recognises the uniqueness of each authority, institute or unit
❖ It involves process of self evaluation
❖ It uses external evaluators to enhance objectivity
❖ It covers full range of institutional activities including design and delivery of
services by the institute
❖ It is built by negotiation and commitment on the active involvement of all those
having interest in education authority of institute.
❖ Audit encourages the identification, analysis, recording and reporting of
qualitative aspects of performance.
❖ It facilitates the ability of all covered staff/faculty/management to take charge of
their own self evaluation and self management.
❖ It is a forward looking process and seeks enhancement and improvement.
❖ It stimulates internally generated institutional development.

➢ Scope of Academic Audit

An academic audit broadly covers the following:

❖ Whether the programmes undertaken by the institute have been approved by
appropriate authorities like State Government, Universities, regulatory agencies
like AICTE/UGC etc.
❖ Whether the activities and programmes are being undertaken in a manner leading
to fulfilment of intended objectives
❖ Whether the activities and the programmes are serving the intended purpose of
authorities efficiently and effectively
❖ Whether the resources especially funds being utilised for the conduct of
programmes and activities in compliance with applicable laws
❖ Whether operating rules, regulations, norms and practices adequate and
transparent
❖ Are the needs of various stakeholders like students, parents, potential employers,
society, governing body and statutory authorities being satisfied

13
These questions broadly define the scope and boundaries of an academic audit. Thus, an
academic
audit covers all aspects of the activities of the authority, institution or unit under its review.
Due
consideration is given both to the effectiveness ( i.e. quality and the relationship between
expectations
and outcomes) and efficiency (covering relevant consideration of economy and the
relationship
between inputs and outcomes) of the education institution/system. The diverse purpose of the
audit
may range from a subject or departmental monitoring to full educational institute, however,
the
character and approach of conduct will vary in these cases because of the diversity of
purpose. The
output of an educational audit provides the institute authorities a framework to take strategic
decisions
regarding the future course of actions for the overall growth and development of an
institution.

➢ What an academic audit is not?

❖ Framework for finding fault with a system or with individual faculty and staff;
❖ Externally directed surprise spot checks
❖ A device for constraining professional autonomy of the technical institute or an
individual;
❖ The application of a single, rigid, blue print to all situations in all institutions
regardless of their purpose, nature, location and size;
❖ An arid collection of awkward questions which lack a philosophy and coherence
with the context / propose of the institute.

➢ Importance of Academic Audit

In today’s scenario, rapid and far reaching changes are taking place in the purpose and range
of

14
educational institutions. In addition government has increased scrutiny of an insistence on
value in
and for money in all the activities performed by any educational institution, thus, the need for
a
systematic and comprehensive approach to educational management is essential. An
academic audit
provides a mechanism to educational administrators to systematically evaluate their own
performance.
It provides them opportunities for making valid judgements about both the qualitative and
quantitative
aspects of the services they provide through these institutions.

The importance of the academic audit from other stake-holders perspective is as follows:
❖ For students: An academic audit helps in eliminating unnecessary work load and
mainly emphasize on the essentially required inputs for their success
❖ For teachers: It helps in clearly outlining their roles and responsibilities and thus
avoiding unnecessary conflicts
❖ For society: It ensures the effective use of public resources especially public
money.
❖ For employers: It ensures the availability of relevant and well rounded students
who may be able to contribute from the day one itself.

➢ Benefits of Academic Auditing

Academic audit of an education institution has manifold benefits, which are as follows:
❖ Academic audit leads to deeper acknowledgment to all internal processes, systems
and arrangements.
❖ It enhances involvement of individuals in identifying key performance indicators.
❖ Audit provides yardsticks for performance judgment
❖ It enhances personal involvement & professional development of participating
staff.
❖ It allows for reconciliation of bottom up and top down planning.
❖ It helps in identifying the thrust areas for future growth and development of the
educational institution.
➢ Principles of the Academic Audit:
15
An academic audit works on the following principles which act as the foundations of
good practices in an educational institution:
❖ Define quality in terms of outcomes
• Learning should be outcome based and should pertain to what is
essentially needed ( knowledge, skills and attitude) by the students in
their career and life.
• Learning, not teaching, is what matters for students in the long run
❖ Focus on process
• Institutions should analyse how teaching learning process is undertaken and
how learning should be assessed.
• Departments should study their programme’s literature and analyse
approaches which worked and which did not and accordingly plan for future
• Active learning approaches should be encouraged.
• Faculty should be motivated to adopt/adapt innovative teaching practices
❖ Work collaboratively
• Teamwork and collaborative working helps in enhancing the faculty
ownership towards common goals and their responsibility and accountability
for the success of students.
• Dialogue and collaboration rather than territory and “lone wolf” approach
should be encouraged.
❖ Base decisions on evidence
• Departments should collect data regarding the needs and interests, and
performance of students
• Data collected should be analysed and findings used for the betterment of
curricula, teaching learning process, assessment methods etc.
• Results should also be used to foster continuous improvement.
❖ Strive for coherence
• Programme courses should be built upon one another to provide necessary
breadth and depth in student learning.
• There should be alignment between learning outcomes and assessment
❖ Learn from best practices

16
 • Faculty should bench mark effective practices (ones that optimise student
learning), both inside and outside, adapt and implement them to the best of
their circumstances
• For enhancing the effectiveness and quality of the programme faculty/staff
should be encouraged to share their best practices.
❖ Make continuous improvement a priority
• Faculty should consciously and continually make efforts to improve
teaching for enhancing the student learning outcomes.
• The departments should strive for the continuous improvement in teaching
and learning process including mechanisms to assess student’s learning.
Ways and means must also be used in identifying effective and ineffective
teaching pedagogies.
• Programs and the departments should demonstrate ways and means through
which results of effective teaching resulting in enhanced levels of student
achievement are facilitated and sustained.

Following these principles in letter and spirit can make the educational processes of
any
academic institution highly efficient, effective and responsive to the needs and
demands of
various stake holders.

Practice Task
Q1. Short questions
a) Define academic audit
b) What are the features of academic audit
c) What is the scope of academic audit
d) State any two benefits of academic audit.

Feedback
1. Short answers
a) Academic audit or Educational Audit is a tool for institutional evaluation, where by
adequacy of academic inputs in an education institution are measured. It is a

17
 practical approach to professional accountability within the educational service
provided by the institution

b) Features of academic audit

● It is institution based and carried out periodically
● It recognises the uniqueness of each authority, institute or unit
● It involves process of self evaluation
c) Scope of academic audit covers the following
● Whether the programmes undertaken by the institute have been approved by
appropriate authorities like State Government, Universities, regulatory
agencies like AICTE/UGC etc.
● Whether the activities and programmes are being undertaken in a manner
leading to fulfilment of intended objectives
● Whether the activities and the programmes are serving the intended purpose of
authorities efficiently and effectively
● Whether the resources especially funds being utilised for the conduct of
programmes and activities in compliance with applicable laws
● Whether operating rules, regulations, norms and practices adequate and
transparent
● Are the needs of various stakeholders like students, parents, potential
employers, society, governing body and statutory authorities being satisfied
d) Benefits of academic audit are:
● Academic audit leads to deeper acknowledgment to all internal processes,
systems and arrangements.
● It enhances involvement of individuals in identifying key performance
indicators.
● Audit provides yardsticks for performance judgment
● It enhances personal involvement & professional development of participating
staff.

18
8.16.3 Academic Audit: Focal Areas

Any institution is established with a purpose and evaluated on the basis of its specific
outcome. In
order to achieve the outcome, resources are provided and required management system is
established.
Two approaches of assessing the performance of an educational institution are outlined in
the
following text:

➢ First Approach
Under this approach, an institution is evaluated in terms of system’s approach of
institutional
design, i.e. Input – Process – Output. The broad areas of evaluation and their essential
considerations are as follows:

❖ First Area: Purpose (What for the institution has been established ?)

Essential considerations
● Statement of purpose or
mission/statement/objective
● Institutional strategies
● Infrastructural Organisation
19
 ❖ Second Area: Management
Essential considerations :
• External relations
● Organisational structure
● Marketing of services
● Income generating activities
● Decision taking and information
system
● Management control
● Academic leadership
● Academic quality assurance
● Communication
● Administrative support

❖ Third Area: Resources

Essential considerations
● Human resources
● Accommodation resources
● Equipment and materials
● Financial resources(Maint. &
Development)
❖ Fourth Area: Outcomes
Essential considerations
• General outcome
• Students outcome
• Staff outcome
• Course review & evaluation
outcome

During evaluation quantitative and qualitative descriptive measurement of some

considerations of
these four areas and their value judgement is done

20
➢ Second Approach
This approach of academic audit is based on the evaluation of institutional processes
applied for
transmitting the raw input into effective outcome. The broad focal areas under this
approach are
as follows:
❖ Focal Area 1: Learning Outcomes
● Has the institution explicitly defined what it wants its students to know and be
able to do after the completion their programme of study (e.g., as employees, as
graduate students, as citizens)? – i.e. Programme Outcomes
● Does every faculty member involved in defining program learning
outcomes, or only a few has been delegated this task?
● Does the institute consult sources beyond its own faculty while defining
program learning outcomes? (e.g., students, alumni, employers,
professional associations , comparable programs in other institutions, etc.)
● Does program learning outcomes communicated by the institute to
students, employers or other stakeholders?
● Does the institute periodically review its program learning outcomes to
improve them as per the changing requirements?

❖ Focal Area 2: Curriculum and Co-curriculum

● Does the institute consciously design the curriculum and co-curriculum
experiences to achieve program learning outcomes?
● Does the institute/departmental faculty work collaboratively to design the
curricula and co-curricula, or are based on individual experiences, preferences
and decisions?
● Does the institute consider the integration of out-of-classroom
activities (co-curricular activities) to complement the curriculum?
● Does the institute consult sources beyond its own faculty while designing
the curriculum and co- curriculum? (e.g., students, alumni, employers,
professional associations, comparable programs in other institutions, etc.)
● Does the institute communicate clearly curricular and co-curricular requirements
and the reasoning behind these to its students?
21
 ● Does periodic review of the curriculum and co-curriculum undertaken by the
institute to see how these might be improved?
❖ Focal Area 3: Teaching and Learning Methods
● Does the institute consciously consider program and course outcomes
while deciding the teaching methods to be used in courses?
● Does the faculty collaborately discuss innovative teaching practices to
improve teaching and learning?
● Does the institute consult sources beyond its own faculty while selecting
teaching practices? (e.g., students, alumni, employers, professional
associations, comparable programs in other institutions, etc.)
● Does the institute faculty identify best practices in teaching and use the
information to improve teaching?
● Does the institute use e learning /instructional materials and ICT based teaching
tools to enrich student learning experiences and thus improve learning outcomes?
● Does periodic review of the teaching methods to improve them undertaken by the
institute faculty?
❖ Focal Area 4: Student Learning Assessment
• Does the institute measure the degree of alignment of student learning
assessments with program and course outcomes?
• Does the institute faculty collaboratively work to design and implement
student learning assessments, or these tasks have been delegated to a few
individuals?
• Does the institute consult sources beyond its own faculty while designing
student learning assessments? (e.g., students, alumni, employers,
professional associations, comparable programs in other institutions, etc.)
• Does the faculty analyse the data and information collected based on
learning assessments and use the findings to improve the quality of
curriculum, co- curriculum and teaching practices?
• Does the institute identify best practices in program and course assessments
and use them in future assessments of learning outcomes?
❖ Focal Area 5: Support of Quality Education

22
 ● Does the institute analyse the role of ancillary functions and student support
facilities like learning centres, libraries, laboratories etc. in supporting the
achievement of program outcomes and continuous quality improvement?
● Does the institute analyse the adequacy and utilisation of budget in
promoting or restricting its ability to implement improvement
initiatives?
● How does the institute engage with student populations (past, present and
prospective) and other stakeholders to support a high-quality, sustainable
program?

Practice Task
Q.1Fill ups the followings:
Under the first approach, an institution is evaluated in terms of system’s approach of
institutional------- i.e., ------, ----, ----
Q.2 How many approaches are there of assessing the performance of an educational
institution?
Q.3 What is the basis of the second approach of assessing the performance of an educational
institution?
Q.4 What does SAR stands for?

Feedback
Ans. 1. design, Input , Process, Output
Ans.2 Two approaches (first and second)
Ans. 3 The second approach of academic audit is based on the evaluation of institutional
processes applied for transmitting the raw input into effective outcome
Ans.4 SAR- Self Appraisal Report

23
8.16.4 Academic Audit: Process

The purpose, scope and approach of academic audit may vary from one educational
institution to other depending on the size of institution, nature of its services, diversity of
education purpose and the requirements and interests of the parties involved. Mass of the data
utilized in the investigation is historical and related to the inputs of the system, however, the
orientation of the audit should be forward looking to improve the nature and management of
future educational & training provision. Auditors need to focus on the policies, procedures,
internal mechanisms and outputs of the system, as well as its costs, facilities and resources.
Both hard, quantifiable data and relevant, subjective comments are acceptable evidence on
which the audit team base its judgment.
Some of the major sources of data are:
• Financial & numerical statistics
• Information from source records
• Internally & externally produced reports
• Published policies and procedures

24
 • Curriculum documents
• Teacher diaries
• Assessment and evaluation records
• Physical inspection
• Questionnaires
• Decision meeting and in certain instances, the media
➢ Process of Academic Audit
The process of academic audit in an institution involves following main steps:
❖ Establishment of objectives and scope of educational audit
❖ Establishment of terms of reference and the terms in which the outcomes will be
announced.
❖ Finalisation of the self appraisal report (SAR) and its submission to the auditing
team
❖ Finalisation of audit team ( i.e. the persons to involved in the audit process)
❖ Drawing up of the audit instrument to collect data
❖ Establishment of the mechanism for collecting data from different sources
❖ Determination of criteria/ indicators for using data to make evaluative judgements
❖ Confirmation of the availability of resources required
❖ Information dissemination about academic audit to all those who need to be
involved
❖ Authorisation to the audit exercise to proceed
❖ Collection of data
❖ Recording of data on audit instruments
❖ Making essential judgements, by applying the agreed criteria/ indicators to data
collected
❖ Drawing up of findings and action plan for improvement
❖ Making of essential management decisions
❖ Reviewing the format in which outcomes will be made public
❖ Announcing results and execution of action plan

➢ Responsibility of Institutional Management and Audit team

● Top Management (State ● Activity (i), (ii), (iv), (ix), (x)
Education Department/ and (xv) to (xvii)

25
 Authority seeking evaluation
● Institute internal audit team ● Activity (iii)
● External audit team ● Activity (v) to (viii) and (xi)
to (xiv)

Hence, effective academic auditing needs collaboration between auditing team selected to
represent a range of legitimate interests (DTE, BTE, Industry, Principal/Director etc.) and the
involvement of faculty and staff of the auditing institute. Dedicated leadership and
commitment of the top management is also a must for this type of exercise to succeed for the
overall improvement of any educational institution.

Practice Task
Q1.Short questions
a) What are the considerations of focus in curriculum and co curricular activities/
b) What are the steps of academic audit

Feedback
1. Answer

a) Considerations of focus in curriculum and co curricular activities are

● Does the institute consciously design the curriculum and co-curriculum
experiences to achieve program learning outcomes?
● Does the institute/departmental faculty work collaboratively to design the
curricula and co-curricula, or are based on individual experiences, preferences
and decisions?
● Does the institute consider the integration of out-of-classroom activities (co-
curricular activities) to complement the curriculum?
● Does the institute consult sources beyond its own faculty while designing the
curriculum and co- curriculum

b) Steps of academic audit are

● Establishment of objectives and scope of educational audit
● Establishment of terms of reference and the terms in which the outcomes will
be announced.

26
 ● Finalisation of the self appraisal report (SAR) and its submission to the
auditing team
● Finalisation of audit team( i.e. the persons to involved in the audit process)
● Drawing up of the audit instrument to collect data
● Establishment of the mechanism for collecting data from different sources
● Determination of criteria/ indicators for using data to make evaluative
judgements
● Confirmation of the availability of resources required
● Information dissemination about academic audit to all those who need to be
involved
● Authorisation to the audit exercise to proceed
● Collection of data
● Recording of data on audit instruments
● Making essential judgements, by applying the agreed criteria/ indicators to
data collected
● Drawing up of findings and action plan for improvement
● Making of essential management decisions
● Reviewing the format in which outcomes will be made public
● Announcing results and execution of action plan

Conclusion
Institutional evaluation provides a means to know the degree of the achievement at a particular
instant.

27
It helps an institution to plan appropriate actions and take necessary decisions for their
implementation
keeping in view the ultimate goals of the institute. Academic audit as a tool for institutional
evaluation
has a broad scope which varies from the assessment of a project, a department, a function or
the institute as a whole. The inputs from the results of the academic audit can provide a path to
an institute to move on in future.

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14. https://www.roanestate.edu/webfolders/SMITHCC/academicAudit/AcademicAuditOve
rview2005.pdf
Supportive learning material: by Dr. Rakesh K Wats
Videos on:
● Institutional Evaluation- Concept and Importance

● Academic Auditing- Concept

● Academic Auditing- Focal Areas

● Academic Auditing Process

Web resources:
● Institutional Effectiveness: Assessment and Evaluation
https://www.youtube.com/watch?v=xtXnli_e0GY
● Welcome Video for EDUC837 Institutional Assessment in Higher Education
https://www.youtube.com/watch?v=camQJSDOYvQ
● Institutional Head (Evaluation) https://www.youtube.com/watch?v=PCL64PeCMfw
● What is Academic Audit? What does Academic Audit mean? Academic Audit meaning &
explanation https://www.youtube.com/watch?v=jZmhUw8DVmo
● Audit of Educational Institutions ll Special Audits ll CA Kanika Khetan
● https://www.youtube.com/watch?v=ZM-HkGbhd1s
*****

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