Rashtriya Uchchatar Shiksha Abhiyan (RUSA)

Rashtriya Uchchatar Shiksha Abhiyan (RUSA)
Draft Guidelines for Consultation
Department of Higher Education

Ministry of Human Resource Development
Government of India
October, 2013
1
CONTENTS
Sl. No.
Topic
Page No.
Introduction
Vision
Objectives
Key Features
Target Group
Approach and Strategy
Prerequisites
11
Overview of RUSA Norms
11
Programmatic and Financial Norms of Various
13
Components
10
Guiding Principles
41
11
Timeline
41
12
Implementation Modalities
42
13
Funding Strategy
42
14
Resource Allocation
43
15
Approval Process and Flow of Funds
45
16
Banking Arrangements
47
17
Detailed componentwise allocations
49
18
Flow of information
49
Management Information System (MIS)
50
Monitoring and Evaluation
50
19
20
21
Information Regarding Statelevel Functionaries
51
Annexures
No.
1.
2.
3.
4.
5.
6.
7.
Content
Page No.
MHRD Letter no. 418/2012U.II dated 8th October,

2013 addressed to States/UTs
Format of Institutional Development Plan
Format of State Higher Education Plan
Detailed Timelines
Entitlement Index
52
Componentwise allocations and physical targets for

the 12th Plan
Template for the States for providing information
regarding key functionaries
61
55
57
58
59
63
GUIDELINES
1. Introduction
The 12th Plan proposed a holistic plan for the development of higher
education in the country by ensuring access, equity and quality. The Plan, which
recommended strategic utilization of central funds to ensure comprehensive
planning at the State level recommended a new Centrally Sponsored Scheme (CSS)
Rashtriya Uchchatar Shiksha Abhiyan (RUSA).
The National Development Council (NDC) approved the Scheme as part of
the 12th Plan and subsequently it was included in the list of 66 schemes approved by
Cabinet on 20.06.2013, as part of the restructured CSS for implementation in the 12th
Plan.The Central Advisory Board on Education (CABE), the highest advisory body
of the Government of India in education on policy matters,in its meeting dated
08.11.2012 gave inprinciple approval to RUSA. The Expenditure Finance
Committee(EFC)
approved the Scheme on 11th September 2013 and with the
approval of Cabinet Committee on Economic Affairs(CCEA) on 3rd October, 2013,

RUSA became the final tier of the CSSs of the MHRD which began with Sarva
Shiksha Abhiyan (SSA), graduated subsequently to Rashtriya Madhyamik Shiksha
Abhiyan (RMSA).
RUSA would be spread over the 12th and 13th Plan period for funding the
State universities and colleges to achieve equity, access and excellence in higher
education. The allocation of funds under RUSA would be based on welldefined
norms and linked to certain key academic, administrative and governance reforms in
the in the State higher education system which currently enrolls over 96% of the
students. The Scheme will be implemented through the Ministry of Human Resource
Development (MHRD) with matching contributions from the State governments and Union
Territories (UTs).
4
All the States have already been addressed vide the MHRD letter D.O No. 4
18/2012U.II,dated 8thOctober, 2013 regarding the implementation of RUSA and their
willingness to participate in the scheme(see Annexure I).
These guidelines are intended for the use of States and institutions in preparing for
participation in the reform process under RUSA during the 12th Five Year Plan
period.The guidelines are not a substitute for the RUSA document which can be
accessed from the website of Ministry of Human Resource
Development(www.mhrd.gov.in/rusa).
2. Vision
To attain higher levels of access, equity and excellence in the State higher education
system with greater efficiency, transparency, accountability and responsiveness.
3. Objectives
To achieve the Gross Enrolment Ratio (GER) target of of 25.2% by the end of
12th Plan and 32% by the end of 13th Plan
Improve the overall quality of existing State higher educational institutions by

ensuring their conformity to prescribed norms and standards
Adoption of accreditation as a mandatory quality assurance framework.
Usher transformative reforms in the State higher education system by creating

a facilitating institutional structure for planning and monitoring.
Ensure governance, academic and examination (and evaluation) reforms and

establish backward and forward linkages between school education and the
job market.
Expand the institutional base by creating additional capacity in existing

institutions and establishing new institutions in unserved and underserved
areas by way of upgradation and consolidation.
Create opportunities for states to undertake reforms in the affiliating system.
Ensure adequate availability of quality faculty in all higher educational

institutions and ensure capacity building at all levels.
Create an enabling atmosphere in institutions to facilitate research and

innovation.
Integrate the skill development efforts of the government through optimum

interventions.
Correct regional imbalances in access to higher education.
Improve equity in higher education by providing adequate opportunities to

socially deprived communities; promote inclusion of women, minorities,
SC/ST/OBCs and differently abled persons.
To identify and fill up the critical infrastructure gaps in higher education by

augmenting and supporting the efforts of the State governments.
Promote healthy competition amongst states and institutions to address

various concerns regarding quality, research and innovation.
Clearly define role of State governments visavis higher educational

institutions.
Facilitate the creation of State Higher Educational Councils(SHECs).
4. Key Features
RUSA is an umbrella scheme operated in mission mode that would subsume

other existing similar schemes in the state higher education sector.
Normbased and performancebased funding.
Commitment by States and institutions to certain academic, administrative

and governance reforms will be a precondition for receiving funding.
Funds would flow from the Ministry of Human Resource Development

(MHRD) to universities and colleges, through the State governments.
Funding to the States would be made on the basis of critical appraisal of State
Higher Education Plans(SHEPs). SHEP should address each States strategy to
address issues of equity, access and excellence.
6
Each institution will have to prepare an Institutional Development Plan(IDP)

for all the components listed under the Scheme. It will be aggregated at the
State level, after imposing a super layer of State relevant components into the
SHEP.
State higher education councils (SHEC) will have to undertake planning and
evaluation, in addition to other monitoring and capacity building functions.
SHEC will be the key institution at the state level to channelize resources to
the institutions from the State budget.
Two ongoing Central schemes of Model Degree Colleges and submission on

polytechnics will be subsumed under RUSA.
UGC Schemes such as development grants for State universities and colleges,
onetime catch up grants, etc. will be dovetailed in RUSA. Individual
oriented schemes would continue to be handled by UGC.
CentreState funding would be in the ratio of 90:10 for NorthEastern States,

Sikkim, J&K, Himachal Pradesh and Uttarakhand and 65:35 for Other States
and Union Territories (UTs).
Funding will be provided for governmentaided institutions for permitted

activities, based on certain norms and parameters, and in a ratio of 50:50.
States would be free to mobilize private sector participation (including

donations and philanthropic grants) through innovative means, limited to a
ceiling of 50% of the State share (see chapter 6 of RUSA document for more
details).
Statewise allocations would be decided on the basis of
a formulaic
entitlement index which would factor in the population size of the relevant
age group,GER and Gender Parity Index(GPI) across categories,State
expenditure on higher education,institutional density, teacherstudent ratio,
issues of access, equity and quality and excellence in higher education,etc.
Further allocation of funds would be dependent upon performance of the

state and its demonstrated commitment to the reforms agenda.
5. Target Group
State Universities and colleges {both 12B and 2(f)} compliant and non12B and
non2(f)).
Governmentaided colleges would be entitled to some components (including

infrastructure support) as approved by the PAB. Funding to such colleges
would be decided based on their antiquity and other parametes.(see section
4.2 of RUSA document for more details).
6. Approach and Strategy
RUSA would follow a bottomup approach for planning and budgeting to

redress multiple and graded inequalities.
States would also become equal partners in planning and monitoring. The
yardstick for deciding the quantum of funds for the States and institutions
under RUSA comprise the norms that reflect the performance in key result
areas; access, equity and excellence.
Access, Equity, and Excellence would to be the main thrust areas. Considering
the interlinkages between them and taking into consideration the current
realities existing in the country, these objectives would be pursued differently.
This would necessitate reforms in governance arrangements at all levels
(national, state and institutional), with suitable implementation frameworks
and monitoring arrangements.
Planning process would begin at the institutional Level, with the IDP based
on inputs/ discussions with the stakeholders within the institution.
These IDPs would be aggregated to form the SHEP. The SHEP would have
mainly
two components; State component and institutional component. The SHEP

would be further broken down into annual plans, by taking the various
factors under the eighteen components into consideration. These annual plans
will constitute the basis for determining the funding to states (format of the
IDP and SHEP are placed at Annexure II and Annexure III; also see sections
7.5 and 7.6 of RUSA document).
In order to be eligible for funding under RUSA, States will have to fulfil
certain prerequisites towards reform process which include academic, sectoral
and institutional governance reforms.
Each State must undertake a baseline survey against which performance and
progress would be measured.
Once eligible for funding under RUSA, the States will receive funds on the
basis of achievements and outcomes. Future funds flows would be
determined based on outcomes and achievements against the targets.
RUSA would enable and empower the States to develop sufficient capabilities
to plan, implement and monitor initiatives for the higher education sector as a
whole.
Preparatory funds that would be provided to the State governments to equip

them for complying with the prerequisites would be based on a differential
funding method.
PROCESS FLOW
10
7. Prerequisites
Prerequisites would be at two levels; commitment given by the States to the

Centre and the commitment given by institutions to the States. Unless these
commitments are fulfilled, the states and institutions will not be eligible to
avail grants(see section 4.8 of RUSA document for more details).
Institutions
States
Institutional governance reforms
Setting up of SHEC
Academic reforms
SHEP(including
Perspective Plan, Annual
Plan and Financial & Work
Plan)
Examination reforms
Project Management Teams
Equity Commitments
Commitments
State funding commitment

share and timeliness
on
research
innovation efforts
Filling of faculty positions
Affiliation reforms
Setting up of accreditation
Establishment of MIS
agencies
Regulatory compliance
Governance
and
Faculty
recruitment
and
improvement
and
administrative reforms
Academic and examination

reforms
8. Overview of RUSA Norms

All land will be provided by the State governments. The State government
shall acquire and have undisputed possession of land in any case where a new
institution is proposed to be set up or expanded.Any future legal disputes will also
be handled by the State government and the Centre shall not be a part in it. For all
civil works, the cost estimates mentioned for RUSA components would constitute
11
the upper limit. However in case the State SSR is lower than the cost estimates of
RUSA, it will be State SSR which shall apply for determining the central share. In
other words, central share for civil works under any component shall be restricted to
either RUSA estimate of the State SSR, whichever is lower.
However States would be free to enhance its own share for any component. It
may also add new components, which are not mentioned under RUSA provided it is
willing to bear the entire additional expenditure.
The States would be free to mobilize up to 50% of their share through private
grants and donations, Corporate Social Responsibility (CSR) contributions, Public
Private Partnerships (PPP) etc. States, especially in the North Eastern region, may
also consider availing of Viability Gap Funding (VGF), administered by the
Department of North Eastern Region (DoNER). Similarly, States located outside the
North Eastern Region may avail the VGF administered by the Department of
Economic Affairs, Ministry of Finance where bulk of the investment would be
private and the States could meet a portion of the cost, to make the project viable.
Additionally States may make use of the Rural Infrastructure Development Fund
(RIDF) for financing of infrastructure projects under RUSA in rural areas.
States may engage any of the Central/State agencies such as the Central Public
Works Department (CPWD), State Public Works Department (PWD) and State and
Central PSUs for civil works. In all cases States would be required to follow the
relevant State rules and procedures and State GFRs.
States would be required to procure all consumables, equipments, furniture,
fixtures etc. in accordance with the State procurement policy. In all such cases
competitive bidding and eprocurement method should be adopted.
Affiliation reforms and accreditation norms as elaborated in Section 4.8.7 in
the RUSA document should be followed by States.
1
2
9. Programmatic and Financial Norms of Various Components
1. Creation of Universities by way of upgradation of existing Autonomous

Colleges
2. Creation of Universities by conversion of colleges in a cluster
3. Infrastructure Grants to Universities
4. New Model Colleges (General)
5. Upgradation of existing Degree Colleges to Model Degree Colleges
6. New Colleges (Professional)
7. Infrastructure Grants to Colleges
8. Research, Innovation and quality improvement
9. Equity Initiatives
10. Faculty Recruitment Support
11. Faculty Improvement
12. Vocationalisation of Higher Education
13. Leadership Development of Educational Administrators
14. Institutional Restructuring and Reforms

15. Capacity Building and Preparation, Data Collection and Planning
16. Management Information System
17. Support to Polytechnics
18. Management Monitoring Evaluation and Research (MMER)
Component 1
Creation of Universities by way of Upgradation of Existing Autonomous

Colleges
Summary
45 autonomous colleges (autonomy granted by University Grants Commission atleast in
2008 or earlier) that have necessary infrastructural facilities, antiquity, teaching strength and
quality will be considered for upgradation to Universities.
The conversion plan for the creation of universities must include stagewise planning with
regard to expansion in infrastructure, number of students, departments, administration,
academic functions, research activities, etc. It must also cover the timelines and concrete
steps that will be taken for the integration of all the concerned colleges as well as the
expected end state of the new University.
I. Existing autonomous colleges which fulfil the following requirements will only be
1
3
considered for upgradation:

I (a). Physical Infrastructure
Must have been in existence for at least 15 years.
The minimum existing enrollment of the college must be 2000 and the proposed total
enrolment of students must be enough to sustain the institution as a university with
a minimum enrolment requirement of 4000 students.
The land already available with the college must be enough to support the additional
enrollments and capacity (at least 15 acres in mega cities,20 acres in metro cities and
25 acres in rest of the country).
Should have adequate library, hostel, laboratory, ICT and sports facilities.
I(b). Academic Quality

Should have been accredited by NAAC and must have received not less than an A
Grade accreditation.
Should also enjoy the status of College with Potential for Excellence (CPE) as conferred
by the UGC.
Should have teaching programmes both in undergraduate and postgraduate courses.

It must also have credible research capacity as evidenced through research,
guideship and publications of faculty members.
The college must be multifaculty (at least two or more faculties such as Arts,
Commerce, Science, Engineering, Law etc)
Should have interdisciplinary programmes in teaching and research.
Should have a healthy studentteacher ratio (20:1).The ratio will be counted by

dividing the total sanctioned positions to total regular student intake(during 2012
13).
I (c). Governance and related issues

Must have a robust internal governance structure: with Academic Council, Board of
Studies/Research Councils and Finance Committees as per the guidelines of the
regulatory body.
Must have enough administrative staff and the capacity to function and be managed
1
4
as a University. States are required to sanction additional staff as soon as the

approval of PAB is received.
II. Future Commitments

Apart from clearly specifying the need for university status, the college seeking university
status should commit to the requirements and expectations listed below:
II (a). Physical Infrastructure
Convert all the existing buildings into fully disabled friendly to improve access.
Ensure special facilities/equipments for the disabled students.
Adequate hostel and toilet facilities for girls.
Per student availability: adequate classroom, lab and library space
II(b). Academic Quality

Interdisciplinary and transdisciplinary programmes should be encouraged;the
upgraded institution should be a multidisciplinary university.
Commit to rigorous evaluation on the indicators under the Institutional Plan
template with greater weightage on Quality and Research index after 3 years of its
establishment as a University (see page 194 of RUSA document).
Commit to adequate library, laboratory and hostel facilities.
The institution must commit to inclusion of ICT in teaching and learning processes in
all its colleges and provide internet access(preferably WiFi) to all students
Specify the innovations contemplated in academics and governance.
Specify how to make innovations sustainable and scaleup.
Should have a teaching to nonteaching ratio of 1:1.1
II(c). Governance and related issues

Adherence to the provisions of the State Public Universities Act (if a single Act
governs all Universities) or commit to a new Act (if separate Acts guides the
15
functioning of institutions).
The institution must be governed by a Board of Governors/governing body with
a different nomenclature having representation from academia, industry, public
intellectuals etc
The new university should be established as an affiliating university. The State
government should clearly mention the jurisdiction of the university.
The institution must maintain a reasonable ratio of teaching to nonteaching staff as
per UGC recommendations.
II(d). Equity and Inclusion
Adherence to meritbased admission of students.
50% of hostel seats should be reserved for socially and economically weaker sections.
Adherence to the reservation policy of State government in admission and faculty

recruitment.
Financial No
Norms
1
2
3
4
Item
TIER 1 Cities
Administrative Area
School of Sciences
School of Social Sciences
School of Engineering,
Technology &
Computer Technology
School of Teacher
Education
1
6
TIER 2 Cities
Hilly Areas
Area
(SM)
Total
Cost
Per
SM
33371
Rs. In
Lakh
Area
(SM)
Total
Cost
Per
SM
31622
Rs. In
Lakh
Area
(SM)
Total
Cost
Per
SM
44650
Rs. In
Lakh
2000
1085
800
667.42
362.07
266.96
2000
1200
1050
632.44
379.46
332.03
1000
1000
750
446.5
446.5
334.87
1200
400.45
1400
442.7
1000
446.5
750
250.28
850
268.78
590
263.43
School of Humanities
800
266.96 1050 332.03
750
334.87
and Liberal Arts
7
Classrooms (Common)
5000 1668.55 5000 1581.1 3000 1339.5
8
Central Library
2000 667.42 2000 632.44 2000
893
9
Auditorium
1000 333.71 1000 316.22 1000
446.5
10 Canteen/Cafeteria/Toile
750
250.28
750
237.16
500
223.25
t
Total
15385 5134.1 16300 5154.36 11590 5174.92
No
Item
TIER 1
TIER 2
TIER 3
Area
(SM)
Total Area
Total Area
Total
Cost
(SM)
Cost
(SM)
Cost
Per
Per
Per
SM
SM
SM
26096
24722
32581
Rs. In
Rs. In
Rs. In
Lakh
Lakh
Lakh
1
Hostel
1400 365.34 1400
346.1 1000 325.81
Grand Total
19385 5499.44 20300 5500.46 12590 5500.73
Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 55 crores for
each institution.
Note 2: Each institution has the flexibility of choosing the appropriate items based on their
need (supported by evidence) in order for them to convert into a fully functional university.
The Institutional Development Plan will be appraised and evaluated at the State and
Technical Support Group levels and objective decision will be taken to support reasonable
plans
Note 3: Equipment, fxtures and furniture are part of the estimate
Note 4: Staff
(a) Non teaching The State Governments will fll/appoint additional nonteaching staff in
order to achieve the ideal teaching to nonteaching ratio of 1:1.1.
(b) Teaching State Governments will fll vacant positions and create additional positions
with a Student Teacher ratio of 20:1 or below can approach RUSA for support of these
additional positions in order to achieve the target of 15:1
Note 5: A detailed conversion plan must be submitted by the institution.
Note 6: Minimum size of a classrooms should be 80 SM.
Note 7:States ensure that the university would create at least three schools
(including the existing schools) with at least two departments in each school.
Component 2
Creation of Universities by conversion of colleges in a cluster
Summary
17
Cluster universities aims essentially at addressing the critical gaps in the spatial
distribution of higher educational institutions across the States. 35 new cluster universities
would be created during the current Plan period with an average allocation of Rs.55 crore
per university and 65 during the next Plan period through the clustering of existing
affiliated government and governmentaided colleges. These universities will be created by
pooling the resources of 3 to 5 existing colleges that have adequate academic, physical and
technical infrastructural facilities. All the participating colleges in a cluster would
eventually become constituent colleges of the newly created university.
Colleges identified as Colleges with Potential for Excellence or any other criteria which amply
demonstrate the various quality parameters of an institution will be considered as the lead
institution or a nucleus around which the cluster university would be established. Colleges
joining the cluster must have the capacity to function as a university. This would include,
among other factors, the strength and experience of the administrative staff, the number of
years that the individual colleges have been functioning, degree of autonomy they have
enjoyed in the past, etc.
The conversion plan for the creation of universities must include stagewise planning with
regard to expansion in infrastructure, number of students, departments, administration,
academic functions, research activities, etc. It must also cover the timelines and concrete
steps that will be taken for the integration of all the concerned colleges as well as the
expected end state of the new University.
I. The requirements that need to be fulfilled by each of the participating colleges are listed
below:
I (a). Physical Infrastructure
All participating colleges should have been in existence for 15 years.
Should have an existing combined enrollment of 2000 students and the proposed total
enrollment of students must be enough to sustain the institution as a university with a
minimum enrolment requirement of 4000 students.
As the university would be a multicampus university, the physical proximity of the
institutions should be such that they are able to share physical and human resources
and would be able to facilitate student and faculty mobility (ideally within a maximum
18
radius of 1520 kms from the lead institution (to take into account the special condition
of North East Region States).
The State government should identify a nucleus college or ensure the availability of
necessary land required for the university in and around the nucleus college to build
university superstructure.
I (b). Academic Quality
The new cluster university may be a combination of colleges with autonomous status/
College with Potential for Excellence status/Special Assistance received from reputed
international or national funding agencies/ Centers of Excellence as identified by State
Governments etc.
Should have a NAAC accreditation, higher grades will be preferred.
Should have teaching programmes in undergraduate and postgraduate courses or have

the demonstrated ability to undertake postgraduate programmes.
Must have faculty members with excellent research performance through publications,
undertaking research projects and guiding research students.
Should have demonstrated high academic performance in interdisciplinary teaching

and research programmes.
Should have a Studentteacher ratio (20:1)(combined based on sanctioned strength)
The combined graduate and postgraduate departments proposed by the institutions

must be able to lay the foundation for a multidisciplinary institution (covering atleast
two or more of the humanities, arts, commerce, science, engineering or other faculties)
of postgraduate studies and research. Hence, the colleges/institutions identified to be a
part of the University should have appropriate diversity in teaching and research.
I(c). Governance and related issues

The participating colleges should have:
A robust internal governance structure as per the guidelines of the regulatory body.
Also it is advisable that such institutions should have an Academic Council/ Board of
Studies/Research Councils and Finance Committees.
Ability to raise /mobilize resources from sources other than public funding.
19
Equity and Inclusion
Reservation as per State norms
50% of hostel seats for socially and educationally backward classes
Enhance the enrolment of girls

The multicampus cluster universities must meet the following prerequisites within three
months upon approval:
II(a). Physical Infrastructure
Commit to hostels for boys and girls.
Special facilities/equipments for the disabled.
Commit to provide adequate library and laboratory facilities.
II(b). Academic Quality

Agree to share existing facilities in partner colleges and undertake common ventures in
promoting access, equity and quality of education.
Agree to academic reforms(see section 4.8.12 of RUSA document)
II(c). Governance and related issues
Agree to a shared vision and principles of association
Address the affiliation issues of the existing universities in the State.
Agree to certain principles of governance like equal status to participating institutions,

collective decisionmaking, autonomy and accountability, independence and
interdependence, physical proximity, optimal size, partnership of publicly funded
institutions, etc.
Agree to a Memorandum of Understanding which should clearly specify the nature
and extent of relationship among partnering colleges and lay down the modalities for
the functioning of the cluster.
20
Agree to a governance structure which should ensure equal and adequate

representation of partnering institutions for democratic decisionmaking and effective
implementation of academic programmes, financial autonomy and social
accountability(see section 4.8.9 of RUSA document).
An appropriate governance structure for cluster universities shall be detailed by
respective States through a new Act or amendments to the existing Act within a year
from the date of establishment.
II(d). Equity and Inclusion
Due preference for hostel accommodation should be given to for socially and
economically weaker sections.
Convert existing buildings into fully disabled friendly ones.
Financial No
Norms
1
2
3
4
5
6
7
8
9
10
Item
Administrative Area
School of Sciences
School of Social Sciences
School of Engineering,
Technology &
Computer Technology
School of Teacher
Education
School of Humanities
and Liberal Arts
Classrooms (Common)
Central Library
Auditorium
Canteen/Cafeteria/Toilet
TIER 1 Cities
TIER 2 Cities
Area
(SM)
Total
Cost
Per
SM
33371
Rs. In
Lakh
Area
(SM)
Total
Cost
Per
SM
31622
Rs. In
Lakh
Area
(SM)
Total
Cost
Per
SM
44650
Rs. In
Lakh
2000
1085
800
667.42
362.07
266.96
2000
1200
1050
632.44
379.46
332.03
1000
1000
750
446.5
446.5
334.87
1200
400.45
1400
442.7
1000
446.5
750
250.28
850
268.78
590
263.43
800 266.96
5000 1668.55
2000 667.42
1000 333.71
750 250.28
1050
5000
2000
1000
750
332.03
1581.1
632.44
316.22
237.16
750
3000
2000
1000
500
334.87
1339.5
893
446.5
223.25
21
Hilly Areas
No
Blocks/Misc.
Total
Item
15385 5134.1 16300 5154.36 11590 5174.92

TIER 1
TIER 2
TIER 3
Area
(SM)
Hostel
Grand Total
Total Area
Total Area
Total
Cost
(SM)
Cost
(SM)
Cost
Per
Per
Per
SM
SM
SM
26096
24722
32581
Rs. In
Rs. In
Rs. In
Lakh
Lakh
Lakh
1400 365.34 1400
346.1 1000 325.81
19385 5499.44 20300 5500.46 12590 5500.73
Note 1: These costs are illustrative; the grant is subject to a maximum of Rs 55 crores for each
institution.
Note 2: Each institution has the flexibility of choosing the appropriate items based on their need
(supported by evidence) in order for them to convert into a fully functional university. The institutional
plan will be appraised and evaluated at the State level and objective decision will be taken to support
reasonable plans
Note3: Equipment, fxtures and furniture are part of the estimate
Note 4: Staff
(a) Non teaching The State Governments will fll/appoint additional nonteaching staff in order to
achieve the ideal teaching to nonteaching ratio of 1:1.1.
(b) Teaching State Governments will fll vacant positions and create additional positions with a
Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional positions in
order to achieve the target of 15:1
Note 5: A detailed conversion plan must be submitted by the institution.
Note 6: Minimum size of a classroom should be 80 SM.
Note 7: States ensure that the university would create at least three schools (including the existing
schools) with at least two departments in each school.
Component 3
Infrastructure Grants to Universities
Summary
Infrastructure grants shall be utilized for meeting critical infrastructural needs that
would lead to immediate quality gains such as upgrading of libraries, laboratories,
equipments, hostels and toilets, etc. 150 public universities will be given a grant of
Rs.20 crore each during the current Plan period.
22
Funding Priorities:
Universities will be prioritized for purposes of funding according to; (a)

universities which have not been included under section 12B. These
universities will be further prioritized on the basis of interse antiquity (year
of establishment; (b) universities included under section 12B but have not
received funding.
Within each of the above categories (a) and (b), those universities which
have either already implemented or given the commitment to the earliest
implementation of institutional governance reforms, examination reforms,
academic reforms and vocationalisation of higher education will be given
priority over
other
universities
which
have
not
implemented/given commitment to implement reforms.
Priority will also be accorded to universities on the basis of their NAAC

accreditation on the factors that have a direct impact on teachinglearning
process. If the institution is not accredited, its status while applying for
accreditation will be considered.
Priority to universities having special attributes, character and antiquity.
Future Commitments
Institiutions shall agree to abide by a Disclosure Management Framework.
Financial Norms
Item
Academic building
Administrative buildings
Campus development
Laboratories
Library
Computer Centre/ecampus
Norms
New construction not permitted
New construction not permitted
Beautification,amenities,water
supply,drainage,water
harvesting,alternate energy sources, etc.
Repair/new equipments
Renovation of buildings, digitization of
books, journals, theses
New construction and upscaling of
existing network to enable WiFi,
23
LAN, etc.)
Hostels; separate for boys and girls
new construction permitted
Toilet blocks, separate for boys and

girls
Sports equipment/play facilities

new equipments permitted
Note 1: The institution may choose from the components above for upgrading the
existing facilities. Item costs would be restricted to those mentioned in Components 1
and 2 above.
Note 2: Repairs and maintenance cost shall not exceed 10% of total cost
Note 3: Each institution has the flexibility of choosing the appropriate items based on
their need (supported by evidence) in order for them to convert into a fully functional
university. The institutional plan will be appraised and evaluated at the State and
Technical Support Group levels and objective decision will be taken to support
reasonable and balanced plans
Component 4
New Model Colleges (General)
Summary
Districts that are listed as Educationally Backward Districts under the existing 374
Model College Scheme and have not been supported so far would be considered for
funding. 60 new model colleges will be sanctioned during the current Plan period.
I. Funding Priorities:
Educationally Backward Districts will be graded into category A & B on the basis of
following criteria; Category A districts will be will be given priority
District with 0 1 colleges Category A
District with 2 4 college Category B
Districts in Category A will be given priority over Category B. However, within

Category B priority will be given on the following basis:
Low CPI (College Population Index, No of Colleges per 1,00,000 students of 1823
24
age group).
High proportion of socially and economically backward population
Low GER for female students.
Low GER (SC/ST).

Colleges that will be established using RUSA grants would have to fulfil the following
requirements:
Girls hostels and girls toilets.
50% of the capacity of new hostels would be used for socially and economically
weaker sections.
Make the campus disabledfriendly.
Ensure special facilities/equipments for the disabled.
Financial
Norms
No
Item
Administrative
Buildings,
Faculty rooms
2 Laboratories
3 Classrooms
4 Library
5 Computer
Centre/Ecampus
6 Toilet Blocks
separate for boys
and girls
7 Miscellaneous
Total
No
Item
TIER 1 Cities
TIER 2 Cities
Hilly Areas
Area
(SM)
Total
Cost
Per SM
33371
Rs. In
Lakh
Area
(SM)
Total
Cost
Per SM
31622
Rs. In
Lakh
Area
(SM)
Total
Cost
Per SM
44650
Rs. In
Lakh
800
266.96
800
252.97
525
234.41
410
810
350
136.82
270.3
116.79
500
870
400
158.11
275.11
126.48
300
730
300
133.95
325.94
133.95
175
58.39
175
55.33
100
44.65
175
58.39
175
55.33
100
44.65
95
31.7
2815
939.35
TIER 1
95
30.04
3015
953.37
TIER 2
50
22.32
2105
939.87
TIER 3
Area
Area
Total
Cost (SM)
Area
Cost
Total
Cost
(SM)
Total
Per SM
26096
Rs. In
Lakh
Hostel for 100
students
separate for boys
and girls on
60:40 ratio
Grand Total
Per SM
24722
Rs. In
Lakh
Per SM
32581
Rs. In
Lakh
1000
260.96
1000
247.22
800
260.64
3815
1200.31
4015
1200.59
2905
1200.51
institution.
(supported by evidence) in order for them to convert into a fully functional university. The
institutional plan will be appraised and evaluated at the State and Technical Support Group
levels and objective decision will be taken to support reasonable plans
Note 4: Staff
(a) Non teaching The State Governments will fll/appoint additional nonteaching staff in order
to achieve the ideal teaching to nonteaching ratio of 1:1.1.
Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional
positions in order to achieve the target of 15:1
Note 5: A differential funding method will be followed with regard to institutions located in Tier
1,Tier 2 and hilly areas.
Component 5
Upgradation of existing Degree Colleges to Model Degree Colleges
Summary
Out of the 640 districts in the country, 288 districts would be covered under the New
Model College Scheme. Funds will be provided for the upgradation of 54 colleges in the
12th plan period.
I. Funding Priorities
Priority will be given on the basis of College Population Index (CPI); districts with lower
CPI will get preference. Amongst similarly placed districts, following criteria will be
used to grade the institutions in A, B and C categories:
26
Low GER for female students
Low GER (SC/ST)
Colleges must have to fulfil the the following requirements:
Hostels and toilets for girls.
50% capacity of the new hostels for socially and economically weaker sections
Make the campus disabledfriendly.
Ensure special facilities/equipments for the disabled.
Item
Academic building
Campus development
Laboratories
Library
Norms
New construction permitted
Repair works and new equipments
New construction,upscaling of
existing network to enable Wi
Fi,LAN, etc.)
Toilet blocks separate for boys and

girls
Note: The institution may choose from components above. Item costs would be restricted to those
mentioned in Component 4 above.
27
Component 6
New Colleges (Professional)
Summary
Grants will be provided for establishing new professional colleges in each of the 22
states having below the national average GER in technical education. The number of
colleges for each state will be based on the evaluation of the proposals submitted by the
States. 40 new engineering colleges would be sanctioned in the 12th Plan period. States
which are oversaturated in terms of institutional density and vacant seats will not be
considered for grants.
I. Funding Priorities
Districts will be graded into category A and B on the basis of the following criteria:
District with 0 professional college Category A

District with 1 professional college Category B
Districts in category A will be given priority over B; within category B, priority will
be given to proposals that clearly spell out the areas where new professional colleges
will be established. Proposals must also justify the location of the new proposed
college keeping in mind the following factors:
Districts without colleges
Low GER for female students
Low GER (SC/ST)
Student Population

Colleges must have to fulfil the following requirements:
Hostels and toilets for girls.
50% capacity of the new hostels for socially and economically weaker sections
Make the campus disabledfriendly with ramps and tactile pathways.
28
Ensure special facilities/equipments for the disabled

Financial
Norms
No
Item
Administrative
Building
2 Seminar Room
3 Library
4 Academic Block
(classrooms etc)
5 Electronics Lab
6 IT Lab Electrical
7 CNC Lab
8 Mechatronics
Lab
9 Chemical Lab
10 Civil Lab
11 Instrumentation
Lab
12 Workshop
13 Computer
Centre cum
Cyber Caf
14 Conference
Room
15 Confidential
Room
16 Committee/Synd
icate Room
17 Common Room
for students
18 Toilet Block
19 Cafeteria
Total
No
Item
TIER 1 Cities
TIER 2 Cities
Hilly Areas
Area
(SM)
Total
Cost
Per SM
33371
Rs. In
Lakh
Area
(SM)
Total
Cost
Per SM
31622
Rs. In
Lakh
Area
(SM)
Total
Cost
Per SM
44650
Rs. In
Lakh
1200
300
300
400.45
100.11
100.11
1200
300
300
379.46
94.86
94.86
800
200
300
357.2
89.3
133.95
1000
300
300
250
333.71
100.11
100.11
83.42
1000
350
350
250
316.22
110.67
110.67
79.05
1000
200
200
200
446.5
89.3
89.3
89.3
300
200
200
100.11
66.74
66.74
350
250
250
110.67
79.05
79.05
200
175
175
89.3
78.13
78.13
300
250
100.11
83.42
350
250
110.67
79.05
200
250
89.3
111.62
700
233.59
700
221.35
400
178.6
250
83.42
250
79.05
250
111.62
200
66.74
200
63.24
150
66.97
300
100.11
300
94.86
150
66.97
150
50.05
200
66.74
90
30.03
6790 2265.82
TIER 1 Cities
29
150
47.43
220
69.56
100
28.45
7120 2248.22
TIER 2 Cities
150
66.97
150
66.97
50
22.32
5200 2321.75
Hilly Areas
Area
(SM)
Hostel
Grand Total
Total
Area
Total
Area
Cost
(SM)
Cost
(SM)
Per SM
Per SM
26096
24722
Rs. In
Rs. In
Lakh
Lakh
1280
334.02 1420
351.05
855
7690 2599.84 8140 2599.27 5750
Total
Cost
Per SM
32581
Rs. In
Lakh
278.56
2600.31
institution.
(supported by evidence) in order for them to convert into a fully functional university. The
institutional plan will be appraised and evaluated at the State and Technical Support Group level
and objective decision will be taken to support reasonable plans
Note 4: Staff
(a) Non teaching The State Governments will fll/appoint additional nonteaching staff in order
to achieve the ideal teaching to nonteaching ratio of 1:1.1.
Student Teacher ratio of 20:1 or below can approach RUSA for support of these additional
positions in order to achieve the target of 15:1
Note5: A differential funding method will be followed with regard to institutions located in
urban, hilly, and normal areas.
Component 7
Infrastructure Grants to Colleges
Summary
Infrastructure grants can be utilized by the colleges to address critical needs in
institutional infrastructure, especially for creating/upgrading laboratories, libraries,
hostels, toilets etc.3500 colleges will be given grant of Rs.2 crore each during the 12th Plan
period.
Funding Priorities
Colleges will be prioritized for purposes of funding according to; (i) colleges
which have not been included under section 12B. These colleges will be further
prioritized on the basis of interse antiquity (year of establishment; (ii) colleges
included under section 12B but have not received funding.
Within the categories (i) and (ii) colleges will be divided into category A, B & C on the
basis of following criteria:
30
No of Students
Year of Establishment
% of SC/ST/OBC and Women students
Priority will be given to colleges on the basis of NAAC grade.
If the institution is not accredited, its status while applying for accreditation
will be considered.
Colleges not covered by UGC grants will be preferred.
Financial Norms
Item
Academic building
Campus development
Norms
Repair/new equipments
New construction and upscaling of
existing network to enable Wi
Fi,LAN, etc.)
Laboratories
Library
Toilet blocks, separate for boys and

girls
Note 1: The institution may choose from the components above for upgrading the
existing facilities. Item costs would be restricted to those mentioned in Components 1
and 2 above.
Note 2: Repairs and maintenance cost shall not exceed 10% of total cost
Note 3: Each institution has the flexibility of choosing the appropriate items based on
their need (supported by evidence) in order for them to convert into a fully functional
university. The institutional plan will be appraised and evaluated at the State and
3
1
Technical Support Group levels and objective decision will be taken to support
reasonable and balanced plans
Component 8
Research, Innovation and quality improvement
Summary
During the current plan period, 10 States will receive funds under this component to
facilitate research and innovations.
Components to be funded(this list is only illustrative.All innovative schemes will
be funded as per the decision of the PAB)
States that have either already implemented reforms or given the commitment to
the earliest implementation of reforms that would facilitate research and
innovation at institutional level.
Plans for providing facilities that support research hubs/parks etc.
Adoption of metauniversity concept that offer cross university education and

credit transfer facility to students
Procure high quality eresources
Upgrade library and laboratory facilities
Facilities like incubation centers, innovation hubs,etc.
Initiatives to attract toprated international faculty
Competitive compensation for faculty
Initiatives to attract high quality researchers and students
Institutions that offer meritbased scholarships, fullyfunded doctoral fellowships,

postdoctoral fellowships
Exposure visits for both faculty and students
Faculty and students exchange programmes with worldclass institutions
Initiatives to scale up industryacademia partnership
Promotion of interdisciplinary and transdisciplinary research centers
Promotion of research and entrepreneurial activities
Support for the setting up of science parks and cutting edge technology and
instrumentation facility
Support different types of research programs Base Research, Key Technology

(R&D), High end (R&D), etc.
Develop a network of top quality University Convergence model
Outreach and public engagement facility
Staff Excellence and organizational Stewardship
Support in bifurcating undergraduate, postgraduate and research programmes
Identify a few departments or fields of critical importance and move them into a
position of world leadership while working to prevent others from losing such
stature.
Special grants to faculty for conducting outstanding research.

An amount of Rs. 120 crores would be given to each of the 10 States
which meet the prerequisites. States will have to prepare a Research an
Innovation Plan(RIP) with components.
Note 1: Expenditure on hard components would be restricted to 60% of the

total cost of the estimate. 40% would be towards expenditure on soft
Financial
Norms
components
Note 2:Buildings/construction should not exceed 10% of the sanctioned
amount.
Note 3: Each institution has the flexibility of choosing the appropriate items
based on their need (supported by evidence) in order for them to convert into a
fully functional university. The institutional plan will be appraised and
evaluated at the State and Technical Support Group levels and objective decision
will be taken to support reasonable and balanced plans
Note 4: States may decide the about unit of implementation.It can be either the
State as a whole or a few select institutions.
Component 9
Equity Initiatives
Summary
During the 12th Plan period, 20 States will receive funds under this component. All State
universities will be eligible to receive grants for equity initiatives.Innovative
approach/schemes to ensure greater inclusion will be considered on priority.
Funding Priorities
Better participation rate of SC/ST/OBCs against specified percentages

of reservations in institutions.
The number of institutions that have/plan to create:
Equal opportunity cells
Remedial classes, language labs, etc.,
Financial aid and scholarships for socially and economically backward students
Equity and gender sensitization campaigns
Innovative schemes/programmes to enhance equity and inclusion
Financial
Norms
Component
10
Each State would be given an amount of Rs. 5 crores.States will be at

liberty to design Statespecific strategies.Even the unit of implementation
can be either the State as a whole or a few select institutions.
Faculty Recruitment Support
Summary
Support will be provided to fill positions in the category of Assistant Professor or
equivalent cadre against vacancies. 5000 such positions would be supported during the
current plan period. All the State universities will be eligible to receive grants under
this programme.The recruitment process will have to adhere to UGC norms and
regulations.
Funding Priorities:
Commitments of States to take over the liability of faculty

positions at the end of the scheme(after years)
Priority will be given to those states where more recruitment has

taken place in the universities during the last 3 years
Lowest number of unfilled faculty positions.
Better studentteacher ratio
Priority will be given to new institutions.
Second priority shall be given to those states which have a faculty

student ratio between 15:1 to 20:1.
States with more than 20:1 ratio will have to first commit to
sanction and fill positions to bring down the facultystudent ratio
ratio to 20:1.
Financial
Norms
Component 11
Rs.5.8 lakh for each faculty position per year.
Faculty Improvement
Summary
Academic Staff Colleges will be given funds to improve infrastructure and resources for
training and capacitybuilding activities.
Funding Priorities
Priority will be accorded by taking the following factors into consideration:
% vacancy in permanent staff positions.
Number of refresher courses organized and the number of teachers who had
undergone training in the past two years.
Extent of employment of technologyenabled innovative teaching and learning

practices.
Financial
Norms
Component 12
As per need. Rs. 10 crores will be given for each of the identified states.
Vocationalisation of Higher Education
Summary
Funds for vocationalisation will be given to all the States/State universities.
Funding Priorities
Implementing National Vocational Education Qualifcations
Framework(NVEQF)
Strengthening governance, management and financing for vocational education,

modernization of management and governance policies, procedures and
instructional structures , design and implementation of effective mechanisms for
monitoring and evaluation of the projects, support for project coordination,
implementation and management
Developing educational standards and core curriculum as the basis for the
institution to design new program, preparation of teachertraining programs for
design and delivery of competency based and modularized curriculum
Enhancing skills delivery including development and delivery of

based training and continuous skill upgradation
Counseling for choice of training and career planning
Infrastructure support towards the creation and delivery of new programs
Curriculum reforms with backward and forward linkages so as to integrate school

curriculum with job market demand
Career oriented courses
Financial
Norms
Rs. 15 crores would be given to each of the identified States.
Component 13
Leadership Development of Educational Administrators
competency
Summary
This is a centrally administered program for professional development for the
professional development of educational administrators/academic leaders/policy
makers. This scheme will support leadership development programmes for
department heads, deans, registrars, principals, viceprincipals, vicechancellors, pro
vicechancellors,SHEC members,state project directors,commissioners,secretaries,etc..
Besides, capacity building initiatives will be provided to Statelevel policy makers and
members of governing bodies at the institutional level.
I.
Funding Priorities
All states/State Universities and Colleges (government and governmentaided) will

be eligible.
Funds to meet the governance prerequisites specified under RUSA.

Institutions which have a good NAAC accreditation status(Grade A)
All those undergoing training under this scheme should be provided appropriate
leadership positions at the institutional level in accordance with established
procedures.
All the participants of such training programmes shall be tracked periodically to

ensure that the knowledge acquired from such programmes are implemented at
the institutional level.
Preference in selection for training shall be given to those faculty/educational

administrators who are below the age of 50 and have demonstrated leadership
skills in their respective institutions.
Women faculty shall be highly encouraged to participate in this program.
Financial
Norms
Component 14
An amount of Rs. 100 crores has been earmarked for centrally

administering leadership training and development programmes.
Institutional Restructuring and Reforms
Summary
Funds will be provided to States and Union Territories (depending on the size of the
states) to enable them to create/strengthen necessary institutional framework for
efficient and effective sectoral reforms. These funds can be utilized for setting
up/strengthening State Higher Educational Councils, State Resource Centers and State
Project Directorate.
Funding Priorities
Creation of SHEC
Creation of State Accreditation agencies.
States which have already undertaken sectoral,academic and governance reforms or

have committed to undertake them as a part of their willingness to participate in
RUSA.
Financial Norms
Each State will be given Rs. 10 crore each in two installments.20 States
will be eligible to be covered during the 12th Plan period.
Note: States that have already established SHECs will have to give a
detailed proposal detailing the funds required for strengthening the

existing ones and the activities to be carried out in the next two years.
Final decision on the amount to be sanctioned will be taken by the PAB
on the basis of a differential funding method.
The states can utilize these resources in organizing meetings,
consultations, workshops, trainings, hiring consultants and other
preparatory work to prepare the state for the reforms and for setting
up/strengthening State Higher Educational Councils, State Resource
Centers and State Project Directorate.
Component 15
Capacity Building and Preparation, Data Collection and Planning
Summary
Funds will be given to States and Union Territories to
Undertake baseline surveys
Data collection and compilation.
Organise meetings, consultations, workshops, trainings
Hire consultants
Preparation of State perspective plans/strategy reports
Utilization of Funds
Funds will be given upfront to all the States which agree to participate in RUSA to
undertake baseline surveys
Baseline survey shall be able to identify critical gaps in higher education and which
would help in undertaking capacity building exercises to prepare SHEPs
Financial
Norms
Component 16
Each State will be given a total amount of Rs. 5 crore each in two
installments
Management Information System
Summary
Funds will be provided to create and maintain strong data systems at the State level for
surveys and analysis that could provide information to the the national MIS.
Utilisation of Funds
The MIS shall be centrally designed, developed and implemented.
It shall cover all participating bodies and institutions.
A common tool shall be developed to generate standardized information that would

help in monitoring progress of reforms, utilization of resources etc.
Universities and colleges shall be provided adequate infrastructural support to
install the MIS and required training to the personnel for using the system.
Financial
Each State would be given an amount of up to Rs. 2 crore for

covering recurring expenditure/maintenance,etc.
Design and Development of MIS including State and institutional

level modules will be done centrally.
Equipments would be procured centrally.
Norms
Component 17
Support to Polytechnics
Summary
In consonance with the Planning Commission guidelines, the existing scheme regarding
SubMission on polytechnics will be merged with RUSA.
Funding Priorities
Setting up of new polytechnics
Strengthening of existing polytechnics
Construction of womens hostels in polytechnics
Scheme of community development through polytechnics (CDTP) to

provide nonformal, shortterm, employment oriented skill
development programmes through AICTE approved polytechnics.
39
1. Setting up of New Polytechnics

Financial assistance will be provided to States / UTs, limited to Rs.12.30 crore
per institution to meet the costs of establishing a polytechnic in districts which
do not have any government polytechnic and also underserved districts;
subject to the respective State / UT Governments providing land free of cost,
meeting 100% recurring expenditure and also nonrecurring expenditure
beyond Rs..12.30 crore.
2. Strengthening of existing Polytechnics
Financial
Norms
Financial assistance would be provided to upgrade infrastructural facilities of

500 existing diploma level public funded polytechnics by (i) providing
financial assistance for modern equipments and replacement of obsolete
equipments, (ii) providing modern facilities for application of IT in teaching,
learning and testing processes and (iii) introduction of new diploma courses.
The Scheme provides a maximum of Rs.2 crore per polytechnic.
3. Construction of Womens Hostels in Polytechnics
One time financial assistance, subject to a maximum of Rs.1.00 for each
polytechnic, to be provided to 500 existing AICTE approved government
/ government aided Polytechnics.
4. Scheme of Community Development through Polytechnics (CDTP)
Annual recurring grantsinaid upto a maximum of Rs 17.00 lakh and a one
time nonrecurring grantsinaid of Rs 20.00 lakh (Rs.13.00 lakh for old
Community Polytechnics) would be provided to the select AICTE approved
Diploma Level Institutions.
Component 18
Management Monitoring Evaluation and Research (MMER)
Summary
This scheme is envisaged to provide support to resource centres and support groups for
the effective implementation of various programmes under RUSA
4
0
Key Feature
All States which qualify for funding under RUSA by meeting the prerequisites would be
eligible for MMER funds.
Financial
Norms
1% of the total outlay of RUSA will be given to the States as

MMER funds for meeting the expenditure on creation and
maintenance of Technical Support Group (TSG) at the State level.
An initial amount of Rs.2 crore will be given to those States that

are eligible to participate in RUSA.
The balance amount will be decided on the basis of the final

outlay decided for each State and will be released annually.
10. Guiding Principles

RUSA is structured on the following guiding principles which are inviolable. These
tenets constitute the foundational premise for funding and all the decisions taken
under the scheme must be guided by them.
Performancebased outlays and outcomebased
reimbursements
Incentivizing and disincentivising
Apolitical decisionmaking
Disclosure based governance
Autonomy
Equitybased development
Quality and research focus
(see section 4.7 of RUSA document for more details)
11. Timeline
The beginning of the financial year (1st of April) would be the commencement date
of the State Annual Plans. Hence, the budget needs to be approved and
communicated at all levels before this date. This implies that it needs to be sent for
approval and consented at all levels of authority before 1st of April. The success of
budgeting exercise would be dependent on adherence to time schedules. Delays in
4
1
submissions and approvals would delay the finalization of the SHEPs. The tabular
representation of the time schedule is placed at Annexure IV.
12. Implementation Modalities at the Central, State and Institutional levels

RUSA would be implemented and monitored through an institutional structure
comprising various bodies at the central, state and institutional levels with clearly
defined roles and powers.
Institutional Structure for RUSA
(see chapter 5 of the RUSA document for the detailed composition and functions of the
these bodies).
13. Funding Strategy

13.1. Normbased Funding
Central funding under RUSA would be strategic, based on SHEPs.
Funding under RUSA would necessarily have to be expended in the higher

education sector in the State and would not substitute State funding, since
the state government would also have to necessarily increase its annual
investment by a fixed percentage.
42
Central funding is linked to certain sectoral academic and governance

reforms.
Institutions would also be encouraged to raise their own funds through

various legitimate means.
The overall normbased funding schema should apply filters at the primary,
secondary and tertiary levels to determine the eligibility of institutions to
receive funding.
The norms, which would determine the eligibility of institutions to receive

funding, would also grade the institutions based on their level of compliance
to regulations to determine the quantum of funding. Institutions will be given
an objective score against these norms and it will decide the quantum of
funds they will be eligible for.
13.2. Performancebased funding
SHEPs serve as the benchmark against which the performance of a State and
its institutions are graded.
The funding for the future would be decided on the basis of level of past
achievements.
14. Resource Allocation

The Ministry of Human Resource Development is the nodal agency administering
the RUSA program. It receives the budget targets of participating States, reviews/
analyzes them and then gives approvals and makes disbursements. The entire
process runs through a twoway mechanism:
Budgetary Demands emanating from Institutions to the MHRD through the

State Councils(via State governments).
Budgetary Approvals/ Allocations conveyed from the MHRD to the State

Councils/State governments and in turn to the institutions
The overall allocation will be made on the basis of an equalisation

formula/entitlement index placed at Annexure V.
4
3
An additional weightage has been assigned to ensure enhanced allocation of

resources to States with weak socioeconomic and health indicators.
Sociodemographic variables like rural/urban distribution; proportion of

SC/ST and vulnerable groups; districts with adverse education indicators;
difficult, most difficult and inaccessible areas, left wing affected districts etc.
would be considered while allocating resources to the districts.
Resource Allocation Pattern

States
Center: State Contribution
Assam, Manipur, Meghalaya,

Arunachal Pradesh, Nagaland,
Mizoram, Tripura, Jammu &
90:10
Kashmir, Sikkim, Himachal

Pradesh and Uttarakhand
Other States and UTs
65:35
14.1. Demand for additional funds
After the finalization of the SHEP, the states may place a demand for additional
funds for various components of RUSA to the Ministry. After review and feedback
from the concerned program divisions, the Ministry may approve or disapprove the
request. In case of an approval, a letter/corrigendum shall be issued to the State
notifying the revised approved amount. In case the demand for additional funds is
not approved, the states may submit the proposal for consideration the following
year.
14.2. Resource Envelope
4
4
The resources allocated to a particular State for any given financial year is termed as
the Resource Envelope. The resource envelope for a financial year would consist
of:
Uncommitted Unspent Balance.
GoI Allocation proposed for the year.
States share due for the year.
15. Approval Process and Flow of Funds

The Project Approval Board (PAB) at the MHRD would undertake a detailed
review of the SHEPs submitted by the states. It will also assess the performance
of the State and look at the targets that have been set. The SHEP will then be
approved by the PAB and funds will be released to the States accordingly.
15.1. Key Sources of Funds and Financial Outlays
Grantsinaidmade by or through the MHRD
Contribution by the State Government.
CentreState funding in the ratio of ratio of 90:10 in the North Eastern states,
Sikkim, J&K Himachal Pradesh & Uttarkhand, and 65:35 for other states and
UTs.
The State contribution made by the State Government will be booked as

expenditure in the State Budget at the time of its release to the
SHEC/Institutions
The States would have to ensure availability of sufficient land for new
construction activities free of cost. The cost of land acquisition, if any cannot
be made a part of the total outlays.
For reporting, the same may be reflected separately in the periodical FMRs
and Statement of Funds Position (SFPs) and a separate Utilization Certificate
4
5
of the total amount utilized along with unspent balance, if any, would be
required to be furnished at the end of the financial year.
15.2. Fund Flow from MHRD to States
The FMG at the GoI level puts a proposal to the Integrated Finance Division
(IFD) for fund release.
Approval of appropriate Authority would be taken for fund release to

State/UTs concerned.
Funds will flow to the State Consolidated Fund. Only upon receiving the State
contribution into this account, resources will flow to SHEC and from SHEC to
institutions based on the approved State Higher Education Annual Plan.
After the approval, sanctions are issued to respective States after uploading
on the website of the Controller General of Accounts (CGA). After this funds
are transferred online to the states/ UTs.
The States should contribute their share along with central share to the SHEC
within 15 days. Non compliance will lead to charging of interest.
The funds with the SHEC/Institutions do not lapse at the close of financial year.
SHEC/Institutions are empowered to utilize the unspent balance during the next
financial year for the same purpose for which the funds were allocated. The
amount shall however be taken into account while releasing grantsinaids for the
next year. Also, the amount remaining unutilized at the close of the program shall
either be refunded or utilized in a manner as decided by the Government of
India.
States will open and administer a main group bank account for receiving and
crediting funds under RUSA.
46
15.3. Fund Flow from State to Institutions (Universities and Colleges)
State/SHEC
should
transfer
the
funds
to
the
districts/institutions/executing agencies within 15 days of the receipt of funds

from Central Government.
Noncompliance
of
release
of
money
by
the
State
to
the
State
Council/Institutions within the stipulated period shall lead to charging

of interest and may further affect allocation of grants in the future.
The releases made to institutions should be as per the approved Institutional

Development Plans and after adjusting unspent balances from the previous
year.
15.4. Frequency of Fund Release
The funds are released in tranches based on the utilization of previous funds.
Normally, the funds are released in a minimum of two or more tranches if required.
16. Banking Arrangements

To facilitate movement of funds, proper banking arrangements at all levels is crucial.
All funds are transferred through RBI approved banks. The transfer should take
place through the Central Plan Scheme Monitoring System portal so as to ensure the
following:
Track the flow of Funds

Online information of bank balance
Track the utilization of money
Ultimate epayment to the beneficiary
Dissemination of relevant information to the end users
Decision Support System for all levels of program heads
Enhance transparency and accountability in public expenditure
47
16.1 Operating the main Bank Account
The following points should be taken into account while operating the Group Bank
Account:
The main Group account shall be utilized for crediting funds received from
the GoI for various programmes under RUSA.
Cheque signing mandate shall be given to the bank as per guidelines issued
on 14122006 and in line with delegation of powers issued by Ministry and/or
State Government.
The number of bank accounts at the institutional level may be kept at

minimum so as to discourage scattered maintenance of RUSA funds as this
results in weak financial management and poor internal controls
No funds shall be kept in the form of a Fixed Deposit or any other

investments of any nature other than the savings bank account. Moreover,
savings accounts should be simple savings bank accounts and not smart
savings bank accounts.
Accounts at all levels may preferably be kept in government approved banks.

In case there are no approved banks in the region then accounts can be
maintained with the post office.
No funds other than GoI releases and States contribution should be kept in
RUSA bank Accounts. Separate Bank Account to be maintained for funds
received from other sources.
48
16.2 Signatories to the Bank Account
A set of four designated signatories at State and designated signatory at Institutional

level should be notified. Any two of them can jointly sign cheques/ issue electronic
instruction for ebanking to operate all bank accounts.
17. Detailed componentwise allocations for target achievement

Detailed componentwise allocations and physical targets for the 12th Plan is placed
at Annexure VI.
18. Flow of information

Since RUSAs basic principle is normbased funding, its backbone is the availability
of timely, relevant and uptodate information on the basis of which normbased
and performance appraisal decisions can be taken. The Information collected on a
State wise basis would be sent to the RUSA National Implementation Agency. At
this level, the information will be used to ascertain eligibility of the institutions for
further funding for the next financial period.
The role of universities and State higher education councils in this process are as
follows:
a.
University
The basic units for the collection of information are universities. They shall
collect necessary information from affiliated and constituted colleges.
Information will be collected through the Management Information System.
All universities and colleges will have to upload data and information to
RUSA portal as well as AISHE portal.
b. State Higher Education Council (SHEC)
The SHEC will collate the information collected by the universities.
49
The responsibility of timely and accurate data collection and maintenance of the
MIS systems is one of the major responsibilities of the SHEC. This information
would have threefold use:
1. Assess the performance of every university on an yearly basis, in terms of the
norms set by RUSA
2. Assess the performance of universities against specific grants or project based
funding
3.
Formulation of the five/ten year state education Plans on the basis of

the current performance and possible future growth
19. Management Information System (MIS)

The first step towards implementation of RUSA would be the installation of a new
Management Information System to capture the required data in a timely fashion. A
common tool would be developed to get standardized information that would help
in the calculation of norms. Universities and colleges will be provided adequate
infrastructural support to install the MIS and the required training to the personnel
for using the system.
20. Monitoring and Evaluation
The primary responsibility of monitoring will lie with the institutions.
The management structure at the institutional level, i.e., the Board of

Governors (BoG) will monitor the progress of institutional projects on a
regular basis and shall provide guidance for improving the performance of
the institutions in project implementation.
Each institution will have to form a Project Monitoring Unit with appropriate
representation from academic officials of the institution, faculty, senior
administrative officers, technical and nontechnical support staff and
50
students. The Unit, headed by the Head of the Institution, will be responsible
for the monitoring of the project at the institutional level.
The Project Monitoring Unit will perform the following roles:

1. Procurement of goods, works and services
2. Financial management and performance audit.
3. Implementation of faculty and staff development programs
4. Periodically update the MIS.
State governments shall regularly monitor and evaluate the progress of

institutions.
The Project Appraisal Board (PAB) at the national level in MHRD will review
the project annually.
Monitoring will be based on action plans prepared by each project institution

and achievements made with respect to a set of norms, which are defined in
the Institutional Development Plans. It will focus on implementation of
reforms by institutions, achievements in project activities under different
components, procurement of resources and services, utilization of financial
allocations and achievements in faculty and staff development and
management development activities.
21. Information Regarding Statelevel Functionaries

If the State agrees to participate in RUSA, it shall provide information regarding the
Statelevel functionaries in the format placed at Annexure VII.
51
Annexure 1
MHRD Letter addressed to States
R.P Sisodia
Joint Secretary (Higher Education) &
Mission Director, Rashtriya Uchchatar Shiksha Abhiyan
Dear
As you would be aware, on 3rd October, 2013, the Cabinet approved the new Centrally Sponsored
Scheme of Rashtriya Uchchatar Shiksha Abhiyan (RUSA) for implementation in the 12th Plan.
2.
RUSA is not merely a new funding mechanism to support institutions in the State higher education
system but also the prime vehicle for implementing a comprehensive reform agenda at both the institutional and
State levels. The quantum of funding and further support under RUSA would be dependent upon the commitment
to this reform process and the efficacy with which it is implemented.
3.
The focus in the current year will be on preparatory work such as capacity building & preparation, data
collection & planning, training, ongoing programmes like Model Degree Colleges etc. Work of substantial nature
would be taken up from the second year onwards. With only a few months left in the current year, it is critical that
that we commence these activities right away so that available resources are optimally and efficiently utilised and
the Plan of Action for next year is ready.
4.
In order to kick start the process, the states and Union Territories would be required to communicate to
the RUSA Mission Authority its willingness to participate in RUSA by committing to undertake the apriori
prerequisites and other reform activities. It is therefore requested that the enclosed undertaking may be signed and
the accompanying checklist completed and returned for us to take further action in the matter. The undertaking
may be signed by an officer not below the rank of Secretary to State/UT Government.
5.
Guidelines on RUSA for helping States and institutions conduct various activities under the Scheme are
under preparation and will be circulated shortly.

6.
The undertaking along with the filled in checklist may be submitted by 31.10.2013. If it is not received
by this date, it will be presumed that the concerned State/UT is not keen to avail of the grants available under
RUSA and further action will be taken accordingly.
With
Enclo: As above
Yours sincerely,
sd
(R.P Sisodia)
To,
All Chief Secretaries (except States of Mizoram, Madhya Pradesh, Chhatisgarh, Delhi and Rajasthan)
Copy to:
52
All Principal Secretaries, Higher Education (except States of Mizoram, Madhya Pradesh, Chhatisgarh, Delhi and
Rajasthan)
UNDERTAKING
The Government of.. (mention State or Union Territory here) hereby
conveys its willingness to participate in the Rashtriya Uchchatar Shiksha Abhiyan (RUSA) and commits
to fulfil all the prerequisites under the Scheme. The Government of further
commits to accept and abide by all decisions of the RUSA Mission Authority and the Project Approval
Board.
Dated:
Place:
(Signature with official seal)

Name:
Designation:
53
CHECKLIST
1. Name of State/Union Territory:
2. (a) Whether a State Higher Education Council exists:
(b) If so by what name and what is its composition and role?
(c) If not, by when does it commit to set up one?
(Please enclose a copy of the order constituting the Council)
3. Whether it commits to prepare a State Higher Education Plan (Perspective, annual & budget plans) and submit
them for consideration of the Project Approval Board?
4. (a) What is the expenditure on higher education as a percentage of Gross State Domestic Product (GSDP) in the
last three years (201213, 201112 and 201011)?
(b)Whether it commits to raising its expenditure on higher education as a percentage of the GSDP as required
under the Scheme?
5. Whether it commits to contribute its share of funds under the Scheme and adhere to the timelines for fund
release?
(10% for NER, J&K, Himachal Pradesh and Uttarakhand and 35% for other States & UTs)
6. (a) Whether there is a ban on recruitment and filling up faculty positions in state public universities and public
and public aided colleges?
(b) If so whether orders for removing the ban have been issued? If so please attach copy of the Government
order.
7. Whether it commits to carry out accreditation reforms, affiliation and examination reforms, governance and
administrative reforms at State and institutional level including institutional governance reforms?
(as per enclosed document)
8. Whether it commits to ensure compliance of institutions to the prerequisites and other reforms?
(Signature with official seal)
Name:
Designation:
54
Annexure II
Format of Institutional Development Plan
(for detailed description of chapters and sub chapters, please refer to pages 200 to
208 of RUSA document)
1
2.
Executive Summary of the IDP.

Provide the details of SWOT analysis carried out (in terms of
methodology used, analysis and information and data as
collected
and
inferences derived with respect to strengths,
weaknesses, opportunities and threats).
Based on SWOT analysis, provide
developed for institutional development.
the
strategic
plan
How the key activities proposed in the Institutional Development

Proposal are linked with the results of SWOT Analysis.
3.
State the specific objectives and expected results of your proposal (in
terms of, Institutional strengthening and improvements in employability
and learning outcomes of graduates. These objective and results should
be linked to the SWOT analysis.
4.
Provide an action plan for: (max 1 page each)

a) Improving employability of graduates
b) Increased learning outcomes of the students
c)
Obtaining autonomous institution status within 2 years
d) Achieving the targets of 60% of the eligible UG and PG programs

accredited within two years of joining the Project and 100%
accreditation obtained and applied for by the end of the Project of the
eligible UG and PG programs
e)
Implementation of academic and non academic reforms (details

given in RU S A D o c u m e n t )
f)
Improving interaction with industry
g) Enhancement of research and consultancy activities

5.
Provide an action plan for organizing a Finishing School and for

improving
the academic performance of SC/ST/OBC/academically
weak
55
students through innovative methods, such as remedial and skill

development classes for increasing the transition rate and pass rate with
the objective of improving their employability.
6. Provide an action plan for strengthening of PG programs
starting of new PG programs.
7.
and
Attach a summary of Training Needs Analysis carried out. Also, provide

Faculty Development Plan for the first 18 months for improving their
teaching, subject area and research competence based on Training
Needs Analysis in the following areas.
Basic and advanced pedagogy
Subject / domain knowledge enhancement
Attendance in activities such as workshops, seminars
Improvement in faculty qualifications
Improving research capabilities
8. Provide an action plan for training technical and other staff in functional
areas.
9. Describe the relevance and coherence
Proposal
with
States/National
Industrial/Economic Development Plan.
of Institutional
(in
case
Development
of
CFIs)
10.Describe briefly the participation of departments/faculty in the IDP

preparation.
11. Describe the Institutional project implementation arrangements with
participation of faculty and staff.
56
Annexure III
Format of State Higher Education Plan
( for detailed description of chapters and sub chapters,please refer to pages 186 to
199 of RUSA document)
Table of Contents
Executive Summary
Chapter 1: Introduction
a. .Mission
b. .Vision
c. .Goals
Chapter 2: Background
a...Demographic Profile of the State

b...Higher Education Profile
c. ..Private sector plan
d. .SWOT Analysis
e. ..Academic Information
Chapter 3: Analysis of past performance

a...Summary
b...Detailed Analysis
Chapter 4: Preparation of the State Plan

a...Methodology
b...Stakeholder Consultation
Chapter 5: Fiveyear Perspective Plan

Chapter 6: Snapshot of the Annual Plan
a...Priority Areas
b...Strategy
(1). Sources of funds
(2). Major targets and financial outlays
(3). Prerequisites: Essential commitments from the State
(4). Current level and targets for the next year
Chapter 7: Detailed Plan

a...Overview of the major initiatives
b...Private sector participation
c. ..Detailed componentwise allocations
Chapter 8: Universitywise plans and financial impact

a. .Outlays for all universities and colleges
b. .University wise break up
c. .College wise break up
d. .Detailed Allocations for Universities
Annexures
Annexure I: State Baseline
57
Annexure IV
Detailed Timelines
Milestone
Timeline
Communication of Resource Envelope to States by PAB

Preparation of Institutional Plans by Institutions
Submission of Institutional Plans to SHEC
Preparation of SHEPs by States
Receiving SHEP in MHRD
Preappraisal meeting(and resubmission,if any)
To be decided by
Finalisation of SHEP
PAB
in
Meeting.
Evaluation by PAB
Communication of Approved Plan and Allocation to
States
Release of First Installment by NPD
Submission of Utilisation Certificates by
States/Institutions.
Release of States Share
58
its
First
Annexure V
Entitlement Index
Sl. No.
Criteria
Weights
1 Population (Age Group: 1823)
+40
(Criteria reflecting Equal Per Capita Transfers)

2
10
Per Capita Income

(Criteria Reflecting Fiscal Deficiency)
Gross Enrolment Ratio
3 (Criteria Reflecting Shortfall in Enrolment)
10
4 Performance
A. Improvement in GER (over 5 Years) (200607 to
201112)
A.1 GER All categories
+10
A.2 GER SCs
+5
A.3 GER STs
+5
A.4 Gender Parity Index (Over 5 Years) (200607 to

201112)
A.4.1 GPI All Categories
+10
A.4.2 GPI SCs
+5
A.4.3 GPI STs
+5
B. Expenditure on Higher Education

B.1 Per Capita Expenditure
+10
B.2 Expenditure as % of NSDP (1)
+10
5
9
C. College Population Index
D. Institutional Density
E. Teacher Student Ratio
F. Research Output
5 Special Problems
TOTAL
+10
+25
100
(+) Positive means higher value larger entitlement

() Negative means higher value lower entitlement
Research output will be determined by indicators such as number of research paper
published in National & International Journals, number of M.Phil., Ph.Ds. guided,
number of collaborative research projects, patents generated citation impact
Annexure VI
Componentwise Allocations and Physical Targets for the 12th Plan
No of
Component
Unit cost
Universities/
(Rs Crores)
Colleges/
States/Units
1.
Outlay
(Rs.
Crores)
Creation of Universities by way of

upgradation of existing autonomous 55
45
2475
55
35
1925
colleges
2.
Creation of Universities by conversion

of colleges in a cluster
3.
Infrastructure grants to Universities
20
150
3000
4.
New Model Colleges (General)
12
60
720
5.
Upgradation
54
216
26
40
1040
3500
7000
120
10
1200
of
existing
degree
colleges to model colleges

6.
New
Colleges
(Professional
&
Technical)
7.
Infrastructure grants to colleges
8.
Research,
innovation
and
quality
improvement
9.
Equity initiatives
20
100
10.
Faculty Recruitment Support
0.58
5000
2900
11.
Faculty improvements
10
20
200
12.
Vocationalisation of Higher Education
15
20
300
13.
Leadership
20
100
20
20
400
10
20
200
10
20
200
Development
of
Educational Administrators
14.
Institutional restructuring & reforms
15.
Capacity building & preparation, Data

collection & planning
16.
Management Information System
17.
Sub Total
18.
4%
Management,
Evaluation & Research
21976
Monitoring,
879
19.
Total
22855
20.
Central Share
16227
21.
State Share
6628
62
Annexure VII
Information on key State Functionaries
Designation
Name
Email Address
State Project
Director
Nodal
Information
Officer (State)
Nodal
Information
Officer (SHEC)
Other RUSA
staff
63
Phone Number
Postal Address

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Rashtriya Uchchatar Shiksha Abhiyan (RUSA)

Draft Guidelines for Consultation

Department of Higher Education

Approach and Strategy

Overview of RUSA Norms

Programmatic and Financial Norms of Various

Approval Process and Flow of Funds

Detailed componentwise allocations

Management Information System (MIS)

Monitoring and Evaluation

Information Regarding Statelevel Functionaries

MHRD Letter no. 418/2012U.II dated 8th October,

Componentwise allocations and physical targets for

approved the Scheme on 11th September 2013 and with the

approval of Cabinet Committee on Economic Affairs(CCEA) on 3rd October, 2013,

Improve the overall quality of existing State higher educational institutions by

Adoption of accreditation as a mandatory quality assurance framework.

Usher transformative reforms in the State higher education system by creating

Ensure governance, academic and examination (and evaluation) reforms and

Expand the institutional base by creating additional capacity in existing

Create opportunities for states to undertake reforms in the affiliating system.

Ensure adequate availability of quality faculty in all higher educational

Create an enabling atmosphere in institutions to facilitate research and

Integrate the skill development efforts of the government through optimum

Correct regional imbalances in access to higher education.

Improve equity in higher education by providing adequate opportunities to

To identify and fill up the critical infrastructure gaps in higher education by

Promote healthy competition amongst states and institutions to address

Clearly define role of State governments visavis higher educational

Facilitate the creation of State Higher Educational Councils(SHECs).

RUSA is an umbrella scheme operated in mission mode that would subsume

Normbased and performancebased funding.

Commitment by States and institutions to certain academic, administrative

Funds would flow from the Ministry of Human Resource Development

Each institution will have to prepare an Institutional Development Plan(IDP)

Two ongoing Central schemes of Model Degree Colleges and submission on

CentreState funding would be in the ratio of 90:10 for NorthEastern States,

Funding will be provided for governmentaided institutions for permitted

States would be free to mobilize private sector participation (including

Statewise allocations would be decided on the basis of

Further allocation of funds would be dependent upon performance of the

Governmentaided colleges would be entitled to some components (including

6. Approach and Strategy

RUSA would follow a bottomup approach for planning and budgeting to

two components; State component and institutional component. The SHEP

Preparatory funds that would be provided to the State governments to equip

Prerequisites would be at two levels; commitment given by the States to the

Institutional governance reforms

Project Management Teams

State funding commitment

Filling of faculty positions

Academic and examination

8. Overview of RUSA Norms

9. Programmatic and Financial Norms of Various Components

1. Creation of Universities by way of upgradation of existing Autonomous

14. Institutional Restructuring and Reforms

Creation of Universities by way of Upgradation of Existing Autonomous

considered for upgradation: