UGC GUIDE-LINES ON AUTONOMOUS DEPARTMENTS / INSTITUTES / CENTRES / SCHOOLS WITHIN THE UNIVERSITY SET-UP
CONTENTS
1. Need for Autonomy
2. Objectives of Autonomy
3. Criteria for Identification of School / institute
/ Centre / Department for Grant of Autonomy
4. Conferment of Autonomous Status.
5. Functioning of Autonomous Departments
[a] Head of Department
[b] Governing / Department Council
[C] Academic Council
[d] Committee
[e] Personnel
[f] Finance
6. Relationship of Autonomous Department with
University
7. Monitoring, Evaluation and Accountability of
Autonomy.
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1. NEED FOR AUTONOMY The Need for autonomy within a University was recongised by the Education Commission [1964-66]. Further, the Gajendragadkar Commission [1971] had recommended grant of autonomy to the teaching departments or other-units that are under the direct control of the University. The UGC, in 1987, in its policy frame had also emphasised the need to decentralise authority and confer autonomy to University departments, to avoid delay, to create an elastic and dynamic system and to promote innovation and reforms. Above all, the National Policy on Education [1986] emphasising the necessity for decentralisation, creation of spirit of autonomy, envisages,[vide Para 5.28] the creation on selective basis of autonomous departments within Universities. Para 5.32 of the National Policy on Education also states that "An effort will be made to encourage the setting up of national research facilities within the University system with proper forms of autonomous management". Various Centres/Institutes have come into being in Universities, to look after specific R & D or Interdiscipline extension or other Community oriented activities etc. Such centres/institutes often have special needs that require a type of functioning and an approach different from the usual ones current in a University. The rigidity of working procedures and centralised control may not be conducive to the efficient functioning of such centres for accomplishing their tasks. Autonomy and a flexible approach allowing for decentralized quick decisions would help such centres etc., to function more effectively.
In addition, there is an urgent need for autonomy for the departments/centres within the University to provide freedom to the teachers and students to make innovations, utilise creative talent, improve upon standards of education and research and to quickly respond to academic and social needs. The system of autonomous departments/centres within the university set-up is viewed as a joint pursuit of scholarship and excellence by the teachers and students.
2. OBJECTIVES OF AUTONOMY The prime objective would be to enable various units within the University system to grow to their full stature as centres of excellence, thereby starting the process of restoring the centre of gravity of academic purusits to the University System
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The development of autonomous Schools/ Institutes/ Centres / Departments [hereinafter to be referred to as department] within the University system should provide freedom to:
- prescribe rules for admission on merit, subject of course to the reservation policy in pursuit of excellence;
- determine their own courses, curricula, methods of education and training in pursuit of excellence;
- evolve methods of evaluation, conduct examinations and finalise results for declaration;
- enter into collaborative arrangements for purposes of teaching, research and extension education with other institutions of higher learning and industries / Organisation wherever need be;
- evolve financial and administrative arrangements with a view to encourage experimentation and to cut down delays in decision making processes for the sake of effective teaching and research, including completion of time-bound projects which may otherwise be delayed on account of centralised decision by the University bodies keeping intact the overall policies of the University, and
- take steps to expedite the recruitment of faculty and the project staff.
The autonomous status will, of course, continue to keep the departments accountable to the University concerned for good performance. It will, in fact, with obstacles removed, increase the accountablility for better performance.
3. CRITERIA FOR IDENTIFICATION OF SCHOOL INSTITUTE /
CENTRE / DEPARTMENT FOR GRANT OF AUTONOMY. The Autonomy is intended to be a means for the departments to achieve higher standards and greater creativity. While the approach to the grant of autonomy would be selective to start with, in due course autonomy should be the normal condition for all departments.
A University may, in the first instance, grant autonomous status to departments, within the university set-up as under:
[a] the schools, Area Study Centres, Media Centres and regional instrumentation centres;
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[b] the departments recognised as centres of advanced studies;
[c] the departments which receive special assistance from the UGC under schemes of DAS, DRS, Special Research Units etc.
Simultaneously, the University may initiate a process to consider conferment of autonomous status on such other departments, as have significant track of academic record and potential. Such departments may apply for autonomous status to the Vice-Chancellor of the University, giving the following information:
[1] Teaching Programmes;
[2] List of research projects;
[3] List of Publications;
[4] A note on significant achievements in teaching and research
[5] Contributions to the extension education programme of the University;
[6] staff strength, awards and other recognitions received by the staff; and
[7] other features which might strengthen the claim of the department for autonomous status.
4. CONFERMENT OF AUTONOMOUS STATUS: The autonomous status on a department within a university will be conferred by the University itself with the approval of the Executive Council / Syndicate. Where the University Act and /or the Statutes restrict the powers of the Syndicate / Executive Council for allowing autonomous status to a department within the university, necessary amendments in them may be got made, and, in the meantime, as an interim measure, the University may take appropriate steps to delegate more academic, financial and administrative powers to the Head of Department concerned to enable the department to take decision at a quicker pace.
The Universities may take quick action to start the process for grant of autonomy to the departments mentioned at [1] to [3] of the foregoing paragraph. Any other department which feels that it has the capacity to function as autonomous department, and can deservedly claim so in the pursuit of excellence, may
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be encouragged to put in a formal request as indicated in the preceding paragraph. Such request may be evaluated periodically by the University authorities. If necessary, a special committee may be constituted to consider such a request. The Committee, may include a. nominee of the UGC, if necessary.
The recommendations of the committee shall be processed for approval of the executive Council / Syndicate of the University expeditiously. The University may keep the UGC informed annually about the conferment of autonomy to the departments.
The conferment of autonomous status will be on five year term basis.
During the course of time, if the executive council of the University has convincing evidence about the misuse of the autonomy and / or of declining of standards of teaching, examinations and research, it shall be open to the University to have the working of the autonomous department reviewed through an expert committee before revoking the autonomous status.
Such an expert review committee should consist largely of experts from outside the university, including a UGC nominee.
5. FUNCTIONING OF AUTONOMOUS DEPARTMENTS: The primary tasks of a department are to provide teaching, to conduct research and to participate in the extension education programmes of the University. These are academic affairs. The Financial and administrative arrangements within the department are only to help accomplish efficiently the primary tasks. In order to look after the academic affairs, financial matters and administrative arrangements, each department will have:
[1] A Head of the Department who in the case of a School / Institute/ Centre may be called "Director".
[2] Governing Department Council, as a statutory apex body responsible for all academic, financial affairs of the School / Institute/ Centre / Department.
[3] Academic Council.
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In addition, a department may have the following committees to help and assist the Head of Department Director for smooth functioning of the Department:
[1] Administrative Committee
[2] Finance Committee
[3] Academic Affairs Committee
In case, a. school is established by combining a few teaching departments or equivalent department which will be connected into statutory department in a University, the Departments so combined need not have separate department council and academic council.
[1] Head of Department [A] The Head of Department [ or the Director], to be appointed in accordance with the rules / procedures / statutes of the University, will be the principal academic and executive officer responsible for smooth and efficient functioning of the department in pursuit of the objectives. He will exercise such powers as may be delegated to him by the university syndicate / Executive Council and the Governing Department Council. In case of an emergency, the head of the department may also be authorised to take such appropriate action, in consultation with the appropriate Committee, in anticipation of the approval of the Governing / Department Council and then report the matter to it for ratification.
[B] In case, the University has a system of appointing a head of department by rotation, the university may consider fixing the term of headship between 3-5 years with a view to provide stability in the functioning, provided that where historically the system of headship as followed by a. particular university, has been working satisfactorily, there may be no need to make any change and disturb it. Further, in the case of newly set up departments, where the institutions are comparatively new, the possibility of fixing the term of headship for five years be considered, making the incumbent eligible for one more term of five years only, after suitable assessment.
The delegation of powers for financial management including purchase of equipment etc. should be dependent upon the duration of the tenure. If the tenure is short, these powers are best given to the next person, who is likely to be the head next time.
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[2] Governing / Department Council [a] This will be a statutory body, responsible for all academic, financial and other administrative affairs of the departments. The University shall abide by its decisions.
The composition of the Governing Council and the Department Council may be as under:
[1] Governing Council [ for a School / Institute Centre]
[1] Chairman Vice-Chancellor of the
University, or an
eminient scientist /
educationist as his
nominee.
[2] Six Member 3 Faculty members of the
School Institute /
Centre 2 eminent
scientists/ educationists
/experts from related
subjects, from outside
the school / institute /
centre. One nominee of
the UGC.
[3] Member Secy Director of the School/
Institute / Centre.
[ii] Department Council [For University departments]
The University Executive Council may approve the consitution of the Department Council giving representation to all categories of teachers in the Department / Centre. The Executive Council may, however, not make any change in the case of any existing Department Council[s] if it/they have been giving excellent performance. While for the large departments, the following pattern for composition of Department Council may be adopted, the composition of Department Council could appropriately be different for smaller departments.
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[B] Composition [1] Head of Department
[2] Upto three professors by rotation in order of seniority;
[3] Upto three Readers by rotation in order of seniority;
[4] Upto three Lecturers by rotation in order of seniority;
[5] Coordinator Director of a major UGC programms like CAS, COSIST, ULP*
[6] Teacher Incharge of sub-disciplines within the department by rotation in order of seniority;*
[7] Upto five Experts, three from within the discipline concerned and two from other related disciplines to be nominated by the Department Council;
[8] Immediate Post Head : Where there is rotation of the Department* : of headship, there term : will be
[9] Teacher likely to : Co-terminus with the term take over as Head of: of the Head of Department. : Departments*
The size of the Department Council should ordinarily not exceed 20.
The Registrar, Finance Officer and the Dean Academic Affairs/Colleges Development Council of the University may be special invitees without any voting right. In addition, the Director/Head of the Department may with the approval of the Vice-Chancellor, invite any to the meeting for consultation. Such invitees shall not have voting rights.
For Centres of Advanced Study in selected thrust area[s] within the Department, the present constitution and arrangement of Advisory Committee with Programme Co- ordinator Director as convenor as prescribed by the UGC should continue.
* If applicable
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[C] Term of the Members The terms of the members nominated from outside school/institute/centre/department may be three years while it may be two years in respect of members from within the school/institute/centre department.
[D] Meetings: Ordinarily, the Governing / Department Council may meet atleast twice a year but in the event of urgency, a meeting may be called by the Vice-Chancellor as and when required. 50% of the total membership of the Council will form quorum at a meeting and also, 50% of the total membership may requisition a meeting for discussing any matter related to the functioning of the department.
[E] Functions of the Council As a statutory body responsible for the academic, financial and administrative affairs of the Department, it will over-view the educational, research and extension programme of the Department and give direction and focus so that these programmes be continued at a high level of quality thereby enabling the department to attain and maintain excellence .
3. ACADEMIC COMMITTEE [A] i) The Committee shall subject to the approval of the Governing / Department Council frame course curricula, syllabi and lay down regulation for instructional methodology / evaluation of students conduct of examinations;
ii) Make regulations regarding admission of students, subject to reservation policy of the University;
iii) lay down procedure for collaboration with other institutions of higher learning or industries;
iv) develop new courses/programmes of study;
v) suggest institution and award of scholarship, fellowship, medals;
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vi) identify thrust areas for research and extension programme; and
vii) assist and provide guidance for the development of teaching and research in the colleges.
Note: In the case of affiliating universities, the Department Council will be competent to prescribe syllabi for the students of the department which may be different from that for students of affiliated colleges and to conduct examination / assessment separately for them.
[B] The Academic Committee shall consist of all the faculty members of the Department. The Vice-Chancellor of the University shall be the Chairman of the Academic Committee while the Head of the Centre Institute School will be Member Secretary.
[C] The Committee shall meet atleast twice a Year.
4. COMMITTEES The Administrative, Finance and the Academic Affairs Committee shall consist of Head of Department as Chairman and such other members as may be approved from amongst the faculty members and administrative staff, by the Governing / Department Council provided that one member of each of the Committees shall be member of the Governing / Department Council. A faculty member who is a member of the Governing /Department Council shall not be a member of more than one committee.
The Committee shall help and advise the Head of Department in respective matters for the conduct of the day to day business of the department. The decisions shall be
- Executed by the Head of Department;
- ratified by the Governing / Department Council.
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5. RECORD OF MEETINGS The record of the business transaction by the Governing / Department Council, the Academic Council and other Committee of the department, shall be maintained properly. Copies of the minutes of the meetings of the Governing/Department Council and the Academic Council shall be forwarded to the University Officer for information.
6. PERSONNEL [a] The Governing/Department Council shall make assessment of manpower requirement for academic, administrative and supporting Job requirements. The vacancies arising on retirement, resignation and /or promotion of staff would provide an opportunity to review subjectwise staff strength in the Department.
[b] To begin with, the University shall provide to the Department administrative staff in the rank of Deputy Registrar and /or Assistant Registrar to act as Administrative Officer and Bursar. In addition, the University may also provide such other officer and supporting staff as may be necessary.
[c] Appointments of permanent faculty and staff will be done by the University based on the recommendations of the Governing Council.
The norms for the retirement benefits for the permanent faculty and permanent administrative staff will be as per the prevalent university regulations. Appointments of research fellows and research associates under the projects will be done by a committee consisting of the Principal Investigator and 2 Professors of the Department. Appointment under the common programmes will be done by the administrative committee of the Department.
7. FINANCE The Department shall be funded by the University. In addition, the Department will raise its own funds from other sources such as UGC, DST, CSIR and other funding agencies. The Department shall be competent to accept funds from private organisations, industries and philanthrophists.
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The block grant for the department excluding the salaries of the faculty and other staff, will be transferred in four equal instalments to the Head of the Department who will be empowered to issue cheques for all contingent recurring and non recurring expenditure. Salaries will be paid directly by the University.
The Funds obtained from funding agencies for the project proposals will also be transferred to the Head of the Department who will draw and disburse money for expenditure as per the recommendations of the Principal Investigator.
All accounts of the department will be audited by the University.
VI. RELATIONSHIP OF AUTONOMOUS DEPARTMENT WITH
UNIVERSITY 1. The autonomous department/centre will evaluate and conduct examinations of the students admitted to the department after the prescribed academic requirements are completed. The degree/diplomas to such of the candidates as have been found eligible and qualified by the autonomous department/centre will be awarded by the University and names of the department/centre may be inscribed on the degree/diploma.
2. The staff and the students admitted in the department to different programmes of study will get centralised facilities of residential accommodation, hostel, sports,medical and libraries etc., as staff and students of the university.
3. Autonomy is an important step in pursuit of excellence and this implies creation of conditions not only with regard to functioning within the university but also living which makes it necessary to attract staff and students on all India basis. It is necessary to emphasize the importance of specific provion of residential accommodation and hostels for autonomous departments.
VII. MONITORING,EVALUATION AND ACCOUNTABILITY OF AUTONOMY: Each department with the approval of its departmental Council will constitute appropriate mechanism to evaluate its own academic performance, improvement in standards, successful working of the autonomy and of the rules and regulations framed by the Department of Council on different matters. The Department will as usual, send annual report on its
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activities concerning academic and other matters for consideration of university Academic Council and/or Executive Council/Syndicate and its inclusion in the university report. The university may in consultation with the Governing/Department Council, like to study and assess performance of the department after every five years to find out continued efficient functioning of the department.
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