F R O M G O O D T O G R E AT IN INDIAN TERTIARY EDUC ATION Realizing the Promise of the National Education Policy Nina Arnhold Sangeeta Dey Sangeeta Goyal Kurt Larsen Namrata Tognatta with Andree Sursock and Jamil Salmi F R O M G O O D T O G R E AT IN INDIAN TERTIARY EDUC ATION Realizing the Promise of the National Education Policy Nina Arnhold Sangeeta Dey Sangeeta Goyal Kurt Larsen Namrata Tognatta with Andree Sursock and Jamil Salmi © 2022 International Bank for Reconstruction and Development / The World Bank 1818 H Street NW Washington DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org This work is a product of the staff of The World Bank with exter- nal contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. 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Cover design: Wojciech Wolocznik, Cambridge, United Kingdom Interior design & typesetting: Piotr Ruczynski, London, United Kingdom CONTENTS Acknowledgments    6 Abbreviations   6 1  Introduction   7 2  Access and equity     9 International good practices   9 The state of play in India    10 The National Education Policy (NEP)    12 Priorities for the next steps    12 3  Employment and employability      14 International good practices    14 The state of play in India    15 The NEP    17 Priorities for the next steps    18 4  Digitalization      19 International good practices    19 The state of play in India    21 The NEP    22 Priorities for the next steps    22 5  Internationalization      24 International good practices    24 The state of play in India    26 The NEP    27 Priorities for the next steps    28 6  Academic careers and faculty reforms      29 International good practices    29 The state of play in India    31 The NEP    32 Priorities for the next steps     32 7  Governance and funding      34 International good practices    34 The state of play in India    36 The NEP    37 Priorities for the next steps    38 8  Quality assurance      39 International best practices    39 The state of play in India    40 The NEP    41 Priorities for the next steps    41 References    43 BOXES BOX 1  Girls’ internship program works to shift gender stereotypes    11 BOX 2  Internships in China    15 BOX 3  International examples of connectivity solutions    19 BOX 4  Select lessons from experiences of national ICT/education agencies    20 BOX 5  The examples of Brazil and China    24 BOX 6  Financial management issues and the introduction of the W salary scheme in Germany    30 BOX 7  Developing a blueprint for higher education    35 BOX 8  Oxford University Code of Practice and Procedure for Academic Integrity    36 BOX 9  Independence of the agency    40 FIGURES FIGURE 1  Percentage of faculty posts approved (sanctioned) that are vacant    31 FIGURE 2  Restructuring of the higher education regulatory mechanism, NEP 2020    41 TABLES TABLE 1  Employability scores by discipline, 2015 – 21, India Skills Report 2021    16 TABLE 2  Total number of accreditations (Status as of October 29, 2020)    40 6 ACKNOWLEDGMENTS This Summary Report is based on the work of the India Tertiary Education Team in 2020/21, which resulted in seven technical reports and numerous virtual events. The team consists of Nina Arnhold, Sangeeta Dey, Sangeeta Goyal, Kurt Larsen, and Namrata Tognatta, all with the Education Global Practice of the World Bank. It was supported during various phases of this activity by two senior consultants, Andree Sursock and Jamil Salmi, and received guidance throughout the work by an Advisory Group that included Philip Altbach, Roberta Malee Bassett, Rohini Godbole, Raj Kumar, Francisco Marmolejo, Pankaj Mittal, Seeram Ramakrishna, Pramath Sinha, N. V. Varghese, Ganapati Yadav, and Vidya Yeravdekar. The team would like to thank Junaid Kamal Ahmad, Country Director India; Lynne Sherburne-Benz, Regional Director, Human Development; Cristian Aedo, Practice Manager, Education; Hideki Mori, Manager Operations and Camilla Holmemo, Practice Leader, Human Development, for their guidance and support. This work would not have been possible without stakeholders and experts in India and beyond generously sharing their views and ideas. The team is deeply indebted to all of them. The report was edited by Diane Stamm. Ritu Sharma provided administrative assistance. ABBREVIATIONS BRICS Brazil, Russia, India, China and South Africa EQA external quality assurance GER Gross Enrollment Ratio GIAN Global Initiative of Academic Networks HECI Higher Education Council of India HEI higher education institution ICT information and communication technology IQA internal quality assurance MOOCs Massive Open Online Courses NAAC National Assessment and Accreditation Council NAEAB National Agricultural Education Accreditation Board NEE neither studying nor in employment NEP National Education Policy NPTEL National Program on Technology Enabled Learning OBC other backward class (aside from Scheduled Castes and Scheduled Tribes) QA quality assurance SC Scheduled Castes SPARC Scheme for Promotion of Academic and Research Collaboration ST Scheduled Tribes STEM Science, Technology, Engineering and Math UGC University Grants Commission 1  7 Introduction India has one of the largest and fastest-growing tertiary education1 systems in the world. The system enrolls 37 million students across nearly 50,000 institutions.2 The recently endorsed National Education Policy3 (NEP) aims at a further doubling of the Gross Enroll- ment Ratio in higher education from 26.3 percent to 50 percent by 2035. Despite its size and growth rate, and the emphasis placed on tertiary education by Indian policymakers in recent times, the system has faced continuous challenges of equitable access, quality, gov- ernance, and financing, with the quality of inputs and outputs not keeping pace with the expansion of the sector.4 The NEP, recognizing these systemic constraints, has proposed several measures which, if implemented adequately and timely, can transform the sector into a high-quality sys- tem over the next two to three decades to produce skilled graduates and to spearhead the production of research, development, and innovation toward competitive economic growth. The reforms proposed in the NEP include dismantling the complex governance structure with overlapping functions spread across multiple regulatory bodies; introducing a system of graded autonomy and accreditation; and consolidating tertiary education institutions into large, multidisciplinary institutions focused on research, teaching, and postgraduate and undergraduate education. The NEP envisages creating an integrated system of tertiary education that includes vocational and professional education and encouraging a culture of research through merit-based funding. It promotes the use of technology to expand access for teaching, learning, research, assessment, planning, and administration, an issue that has acquired additional urgency considering the widespread and long-drawn institutional closures due to the COVID-19 pandemic. Other areas covered by the NEP include a more com- prehensive and integrated view on institutional missions, the enhancement of the student learning environment, increased internationalization, and faculty development. Given the scope covered by the NEP and system weaknesses accentuated by the current pandemic, its implementation will require a plan that unpacks its various provisions, and the establishment of accountable, transparent mechanisms at the central and state 1. The terms “higher education” and “tertiary education” are often used interchangeably. “Tertiary education” refers to all formal postsecondary education, including advanced vocational education, professional education, and short-cycle programs, while “higher education” is primarily used for tertiary education leading to an aca- demic degree. In keeping with the NEP proposal of an integrated system for India that includes university, voca- tional, and professional education, the term “tertiary education” has been mainly used in this note. 2. All India Survey of Higher Education (AISHE), various rounds. 3. https://www.mhrd.gov.in/sites/upload_files/mhrd/files/NEP_Final_English_0.pdf. 4. For a more detailed discussion of main challenges of the sector, see Annex 1. 1 Introduction 8 level. It will also be crucial that the implementation of the NEP is backed by the required funding needed to achieve its ambitious goals and that this funding is increasingly deployed in a performance-oriented manner. With a view to recent developments, areas covered by the NEP will need to be complemented by measures to make universities and colleges more resilient in the context of the COVID-19 crisis and beyond. The World Bank has supported tertiary education in India through a series of engage- ments in technical education (at the national level) and general tertiary education in specific states. This experience has underscored the need for deeper reforms in system-level governance and management, among other areas, where the Bank has acquired global expe- rience and has a comparative advantage.5 The NEP’s proposal for broad-based tertiary edu- cation reforms as a key step toward transforming the tertiary education sector in India aligns with the Bank’s global tertiary education strategy and presents an opportunity for the Bank’s engagement in this area through analytic work, dialogue with key stakeholders, and strategic engagement with states and tertiary education institutions. Based on this analysis, the World Bank in 2020/21 expanded its engagement in Indian tertiary education through dedicated analytical and advisory work in the NEP context. Focusing on the areas of access and equity, employability, digitalization, internationaliza- tion, academic careers, governance, funding, as well as quality assurance, the World Bank conducted a series of virtual events and prepared technical reports discussing the status quo in Indian tertiary education in the context of the proposed NEP reforms and interna- tional trends. The report at hand provides a summary of the outcomes of this work. 5. See, for example, IEG’s evaluation of World Bank engagement in higher education and the Tertiary Education Position Paper (https://worldbankgroup.sharepoint.com/sites/gsg/TertiaryEducation/pages/home.aspx). 2  9 Access and equity  6 Participation in higher education confers substantial public and private benefits to any society and to the individuals that partake of it. This is a fundamental reason for promot- ing equitable access to higher education. The summary below presents (1) a compendium of good international practice in this area, (2) the state of play in India, (3) the NEP’s main aims for access and equity, and (4) the priorities to guide the next steps. International good practices Comparative and longitudinal studies have shown that financing is a crucial determi- nant of equitable access to higher education. The basic principle of equitable financing in high education is that no academically qualified student should be denied the opportunity to access and complete tertiary education for lack of financial resources. This is achieved with appropriate financing instruments such as tuition fee policies, need-based scholar- ships and grants, income-contingent student loans, equity-linked financial incentives, and equity-related regulations (for example, fee regulations). Along with financial instruments, affirmative action policies and supporting outgoing student mobility have proven effective in increasing access, as the following examples show: • Because the Indonesian public system can accommodate only 18 percent of gradu- ating high school students, opportunities to study outside Indonesia are supported by the presence of a regional qualifications framework7 and scholarship grants (for example, from the Indonesian Endowment Fund for Education) to help students study both domestically and abroad. • The Gross Enrollment Ratio (GER) in Brazil increased to 46 percent in a very short period. The enrollment of youth from poorer socioeconomic backgrounds and from among racial minorities was driven by affirmative action policies pursued by almost all Brazilian universities. • China’s strategies for growth included a strategic effort to focus on and increase pub- lic investment in education through own funds and donor support (including UNESCO and the World Bank) and through an increase in the number and size of institutions. 6. Based on Goyal, Salmi et al. 2021. 7. The Association of Southeast Asian Nations (ASEAN) countries. 2  Access and equity 10 While significant rural-urban disparities in enrollment and quality remain, China has introduced since 2012 policies for improving enrollment of rural students through increased reservations in universities and through programs in poverty-stricken areas. The growth policy has been based on national evaluations of universities and colleges, and incremental curriculum reforms in line with those of advanced econ- omies. China has also recognized the need for global collaboration (via cooperation and exchanges with 188 countries) and mutual recognition agreements with coun- tries and internationally renowned institutions (with more than 56 countries), which act as benchmarks for its own institutions. • Russia has pursued a policy of internationalization of higher education since 2015 by offering free tuition to many international students through state funding. Improve- ment in the quality of higher education offerings has increased their attractiveness for national students, as well. The state of play in India Participation in higher education has increased threefold in 15 years in India. This is due to a combination of factors including a higher number of youths completing higher sec- ondary school, improvement in the network of educational institutions, reservations8, var- ious financial support and other schemes of the central and state governments and insti- tutions, and urbanization. While the gains have been encouraging, sector growth is now decelerating. In the last five years, only 3 million students have been added to the sector, indicating a plateauing of new enrollments. In addition, access is still influenced by socioeconomic background (for example, social group, gender, rural-urban location). Income is a key factor in determin- ing attendance in higher education. However, this is mediated significantly by rural-urban location: households in the uppermost quintiles in the rural areas are less likely to attend higher education compared to the third and fourth quintiles in urban areas. Higher education implantation varies across states and the urban/rural divide. This is linked to state per capita income and results in a lack of an adequate number of institutions in states where the share of people living in rural areas is very high. In addition, while pri- vate provision is growing faster than public provision, it is also less likely to target rural areas. Enrollment in nontraditional higher education (for example, distance education) has increased but continues to constitute a small share of all higher education. Nevertheless, higher education in India has become more equitable over time. Between 2014 and 2019, there was a convergence in GERs for males and females and higher growth rates in GERs for Scheduled Caste (SC) and Scheduled Tribe (ST) youth compared to other groups. Some groups, however, continue to need support SCs and STs are 3 to 9 points behind the overall GER, and the gaps among different population groups vary across states and reli- gious groups. The share of the youth population (18‒23 years old) who are neither studying 8. This refers to seats (or positions) reserved for women, ST, SC, OBC, minorities. 2  Access and equity 11 nor in employment or training (NEET) is growing. For India as a whole, more than 50 per- cent of females — compared to 15 percent of males — in this age group are in the NEE category. Furthermore, the choice of institution and discipline has a social and gender dimension. For instance, female students enroll almost equally as men in central and state universities, but they are less represented in private universities (at a ratio of 1:2). In the national insti- tutions of importance, females constitute only a third of the student body.9 They also tend to be overly represented in certain fields (for example, arts and humanities, medicine) and underrepresented in others (for example, commerce, engineering and technology, man- agement, and law). For an example of how to promote participation of women in informa- tion and communications technology (ICT), see box 1. BOX 1  Girls’ internship program works to shift gender stereotypes Girls Who Code, a nonprofit organization in the United same time not be seen as too atypical. Interventions States, is dedicated to increasing girls’ interest and en- that aim to promote counter-stereotypical behavior gagement in Science, Technology, Engineering and can be effective at any point in a person’s lifespan Math (STEM). The program runs a global online sum- but should be designed with the role aspirants in mer immersion program and college loops in coding mind, considering their current interests and mo- for girls in secondary/higher secondary grades and tivations to engage in that behavior. college. Participants learn different computer coding skills during the program. • Interventions that focus primarily on stereotypes in the occupation domain may not be adequate In addition, girls in the program are exposed to and to enable real change in girls’ future career choic- interact with several female role models who have es because they do not also target gender roles successful careers in diverse fields such as STEM, pol- in the domestic domain. Domestic expectations itics, and management, all gender non-stereotypical are present early on and may conflict with coun- roles for women. After completing the internship, girls ter stereotypical aspirations. Thus, to demonstrate continue to benefit from the alumni network and pro- gram clubs located in different college campuses. to girls that pursuing a career and raising children are not mutually exclusive, interventions could A review of research suggests important elements benefit from portraying a female role model who of interventions that can shift gender stereotypes: has both a successful career and children. The risk • Short-term as well as long-term exposure to coun- of this approach is that female role models who ter-stereotypical role models can change girls’ and manage to excel in both professional and domestic women’s gender stereotypes and self-stereotyping. roles may be seen as achieving unattainable suc- cess. Interventions need to take care to present re- • Exposure to or interaction with counter-stereotyp- latable role models whose success appears with- ical role models can enhance role aspirants’ imme- in reach or attainable. diate self- efficacy beliefs and performance, and even influence role aspirants on a long-term ba- • To reduce expectations that women will take the sis by affecting their academic choices. Exposure bulk share of domestic work, it may also be impor- to counter-stereotypical role models appears to tant to conduct interventions with boys. Without break down some of the psychological barriers to a corresponding shift in boys’ attitudes toward women’s participation in, or aspirations toward, domestic roles, girls may be unlikely to pursue fields where they are underrepresented. high-status or demanding careers due to difficul- • Gender-counter-stereotypical role models must ties pursuing a career while simultaneously being challenge existing gender stereotypes, but at the primarily responsible for domestic work. Sources: “Employment and Employability of Tertiary Education Graduates in India” Technical Note, based on Girls Who Code website, https://girlswhoc- ode.com/. Olsson and Martiny (2018) for a review of research on the topic. 9. UGC 2020. 2  Access and equity 12 The National Education Policy (NEP) The NEP envisages a GER of 50 percent by 2035. This goal implies expanding the capacity of the sector to enroll 30 to 35 million students in less than 15 years. Considering the equity dimension, one related question is whether this also means achieving a GER of 50 percent for all population groups, in all the states and Union Territories. Priorities for the next steps Achieving the NEP’s ambitious goal will require a set of reforms that can reach scale, remove the constraints that keep different population groups out of higher education, and engage the diversity of Indian states and Union Territories. The following steps could be considered: Increase access by: 1. Focusing on states that are farthest away from a GER of 50 percent a. Increasing the size of institutions by expansion or consolidation b. Scaling up and increasing the number of different types of non collegiate institu- tions, such as polytechnics c. Developing alternative modalities of delivering higher education, such as online, blended, and distance learning d. Expanding outreach to rural youth and reengaging youth who have opted out or are opting out of the tertiary education system. 2. Expand sources of finance by: a. Conducting a deep costing exercise: The NEP 2020 has established clear goals for the Indian tertiary education system; a deep costing exercise would estimate the financial resources for the education policy to be implemented at the central and state levels. b. Identifying additional policy changes that may need to be undertaken to allow for (a) greater autonomy on the part of institutions to generate and use own rev- enue; (b) new types of collaborations with, for example, other governments, pri- vate sector entities, foreign educational institutions, industry consortiums, and service providers (including digital); (c) increased cost-sharing with students; and (d) reform of systems of financial support for government and aided institutions and students toward greater efficiency, effectiveness, and quality. 3. Improve equity by strengthening: a. System-level enabling conditions (admission policies, pathways, quality assur- ance, level of funding, tuition fee policies, and financial aid) 2  Access and equity 13 b. Institution-level enabling conditions to allow outreach activities, targeted admis- sion policies, retention programs, and financial aid. 4. Develop the capacity for evidence-based policymaking and planning to improve access and equity. Data should be collected and analyzed at the national, state, and institutional levels to determine the success of policies and identify further steps. 5. As for other reform areas, develop capacity-building activities to ensure that minis- try and higher education staff are equipped to implement the NEP aspirations. 3  14 Employment and employability  10 An important function of higher education is to equip graduates with advanced skills that prepare them for employment in a context where future work requirements are uncertain. The summary below presents a compendium of good international practice in this area, the state of play in India, the NEP’s main aims for employability, and the priori- ties to guide the next steps. International good practices Employability skills encompass both technical or specialized skills (which are not nec- essarily transferable), and nontechnical skills, and soft or generic skills that are trans- ferable across work contexts. Nontechnical employability skills generally refer to a set of social and behavioral skills such as creative and critical thinking, problem solving, team- work, and motivation. These skills give their owners the ability to be dynamic and adap- tive in the face of the evolving challenges of their jobs and the labor market. The pace of change in the world of work is such that transferable skills and personal attributes have become important factors that increase the probability of gaining employment and devel- oping a career. A review of the international literature on employability suggests five broad and com- plementary approaches to effectively enhance students’ employability: • Promoting institution and employer collaboration to co-design ways for enhanc- ing employability. As an initial step, institutions identify skillsets that meet labor market needs by conducting employers’ skills requirement surveys. • Integrating the development of employability skills as part of the core functions of institutions akin to their role in imparting academic skills to students. This entails devising active pedagogies to support transferable skills development (for example, internships, project work) and supporting students’ extracurricular activities as an integral part of skills development. For an example of internships, see box 2. 10. Goyal, Tognatta et al. 2021. 3  Employment and employability 15 • Preparing students to enter the job market by organizing career fairs where stu- dents can interact with potential employers; developing and using alumni networks (for example, in events and workshops, mock interviews, mentoring opportunities); and providing personalized career advice. • Measuring the extent of employability skills development to be able to improve them. Career tracking surveys, which measure labor market outcomes of recent grad- uates are one important yardstick, among others, signaling employability of students. • Providing system-level databases to enable an evidence-based approach for the governance of the sector. As examples, the U.S. National Student Clearinghouse ana- lyzes trends and patterns across several variables, and, among many functions, sup- ports institutions with information that can help them target, recruit, and retain stu- dents; and the UK Higher Education Statistics Agency collects data on, for example, students, staff, providers, finances and expenditures, graduate outcomes, and sta- tus of graduates up to 15 months after graduation. BOX 2  Internships in China “Finding a job precedes enrollment: Providers will CVTH maintains a database of employers with details guarantee their students a job, and employers will such as the size of the company, demand (how many “prehire” youth and oversee — and even sponsor — their and type of workers needed), and location, and up- education, offering a full-time position at the end of dates these details monthly. It surveys students prior it. By treating the three intersections as an interde- to graduation on their preferred job placement (for pendent continuum, employers can ensure that young example, location, types of work and factory) and people are equipped with the right skills, and youth matches the students’ preferences. In addition, CVTH have some guarantee that their education will be rel- provides postgraduation support to students who are evant and valued in the workplace. In addition, both not happy with their initial placement. parties have the assurance that they are the right fit Three months after graduation, the employment rate is for each other by the time the young job applicant reported at 80 percent, and CVTH records suggest that begins work.” those yet to secure a job typically go on to pursue fur- “China Vocational Training Holdings (CVTH) is the larg- ther education or change industries. Examples such as est training institute for China’s automotive industry; this one shows it is possible to build a bridge between it has a 60 percent market share nationally and up to education and employment. To do so requires a high 80 percent in key provinces. CVTH is an example of a degree of trust and cooperation. Education providers provider that promises job placements and matches need to prove that they are able to meet employers’ graduates to jobs. Its Department for Employment cul- needs. Employers need to work with education pro- tivates and maintains relationships with about 1,800 viders to create the right training. Students need to employers, which provide internship placements as proactively get the qualifications that the workplace well as “promises to hire.” wants. And then they all need to find one another. Source: Mourshed, Farrell, and Barton, 2012 The state of play in India As mentioned, enrollment in postsecondary education in India has grown multifold since the early 2000s; however, there are significant gender differences when it comes to enrollment in specific fields. Employed graduates are most represented in education, wholesale and retail trade, manufacturing, finance, public administration, ICT, social work, and real estate. Female graduates are clustered in certain industrial sectors, indicating 3  Employment and employability 16 occupational segregation by sex. More than half of all female graduates are in education, health, and social work, compared to only 18 percent of male graduates. Male graduates have a greater presence in sectors such as trade and repair, manufacturing, transporta- tion, storage and agriculture, forestry, and fishing. Barring small pockets of excellence, the employment picture for higher education grad- uates is concerning. Longitudinal findings of the India Skills Report show that the percent- age of employable students is declining (table 1) particularly in engineering and technical education, while there are clearer gains for graduates in the Bachelor of Arts and Bachelor of Commerce degrees. TABLE 1  Employability scores by discipline, 2015 – 21, India Skills Report 2021 Discipline 2015 2016 2017 2018 2019 2020 2021 Bachelor’s in Engineering / Bachelor of Technology 54 52.58 50.69 51.52 57.09 49 46.82 Master of Business Administration (MBA) 43.99 44.56 42.28 39.4 36.44 54 46.59 Bachelor of Arts 29.82 27.11 35.66 37.39 29.4 48 42.72 Bachelor Commerce 26.45 20.58 37.98 33.93 30.06 47 40.3 Bachelor Science 38.41 35.24 31.76 33.62 47.37 34 30.34 Master of Computer Applications (MCA) 45 39.81 31.36 43.85 43.19 25 22.42 Bachelor of Pharmacy 56 40.02 43.2 47.78 36.29 45 37.24 Source: ISR 2021. Graduate unemployment and underemployment rates are the highest among all lev- els of education for several reasons including skills mismatch and waiting for govern- ment jobs. Labor market outcomes are particularly severe for female graduates. At 33 per- cent, the female graduate labor force participation rate is less than half that of males, with the lowest rate for female tertiary graduates belonging to social groups designated as gen- eral. At 25 percent, the unemployment rate of female graduates is nearly twice that of male graduates (14 percent). Females earn between 30 percent and 49 percent of male earnings across disciplines. Research highlights barriers faced by specific groups in making the transition from education to the labor market. An experimental study for India uncovered the bias faced by candidates from religious minority groups, Scheduled Castes (SC), and Scheduled Tribes (ST) groups from the private enterprise sector even at the first stage of the job search pro- cess.11 A study of MBA graduates from the Indian Institute of Management showed that SC and ST candidates received lower salaries compared to their non-SC and ST counterparts. The salary differences became insignificant once their grade point averages (GPAs) were included in the analysis, indicating lower academic performance of SC/ST candidates as a disadvantage in the labor market.12 11. Thorat and Attewell 2007. 12. Chakravarty and Somanathan 2008. 3  Employment and employability 17 Assessments of graduates’ skills that go beyond technical know-how paint a poor pic- ture. More than 50 percent of students and graduates lack the cognitive and soft skills that have increased in demand from employers and are gaining in power as predictors of job market success. A comparative study (China, India, Russia, and the United States) found that Indian students (along with their Brazilian and Chinese counterparts) do not gain any critical thinking skills in their four years of study compared to students in the United States, and the differences in academic skills gained were sharp between students from elite com- pared to non-elite universities and institutions.13 Ultimately, this poor performance points to the weak quality of teaching provision. Although there are institutions that provide excellent teaching, the majority suffer from high rates of faculty vacancies, dependency on contractual faculty, a poor level of qualifi- cations of many faculty, inadequate infrastructure, outdated curriculums, and pedagogies that rely on passive and rote learning. Data-driven decision making in budgeting, planning, executing, and improvement of quality and programs is still at a nascent stage, as decisions, especially in public insti- tutions, are based on history and norms rather than on evidence. India needs to focus on establishing equivalence of academic standards across state and Union Territories, as well as national-level assessments in which students from different states can participate for a comparative national picture to be built up. In addition, the rate of accreditation needs to be made quicker to provide a mechanism for enhancing provision or closing substand- ard institutions. The NEP Referring to the “quickly changing employment landscape and global ecosystem,” the NEP recognizes the need to move, from the earliest stages of education, “towards less content, and more towards learning about how to think critically and solve problems, how to be creative and multidisciplinary, and how to inno- vate, adapt, and absorb new material in novel and changing fields. Pedagogy must evolve to make education more experiential, holistic, integrated, inquiry-driven, dis- covery-oriented, learner-centered, discussion-based, flexible, and, of course, enjoy- able. The curriculum must include basic arts, crafts, humanities, games, sports and fitness, languages, literature, culture, and values, in addition to science and mathe- matics, to develop all aspects and capabilities of learners; and make education more well-rounded, useful, and fulfilling to the learner. Education must build character, enable learners to be ethical, rational, compassionate, and caring, while at the same time prepare them for gainful, fulfilling employment.” (MHRD 2020, 3) 13. Loyalka et al. 2021. 3  Employment and employability 18 Priorities for the next steps For higher education institutions: 1. Accept employability as a legitimate outcome of higher education and a responsibility 2. Strengthen the delivery of both cognitive, technical skills and non-cognitive soft and transferable skills through active learning, including involvement in extracur- ricular activities 3. Provide career counseling and career-related activities such as career fairs and access to alumni networks 4. Ensure continuous improvement through an evidence-based decision-making ap- proach by generating and making use of the data on different aspects of graduate employability. For policymakers: 5. Collect and integrate both education and workforce data to enable evidence-based policy making 6. Ensure a more efficient and effective accreditation system. 4  19 Digitalization  14 Today’s knowledge economy is largely based on technological advances. For individu- als and societies to remain competitive, higher education systems need to be agile to adapt and modernize through digitalization, providing students the foundational and advanced digital skills required for today’s economy. The summary below presents a compendium of good international practice in digitalization, the state of play in India, the NEP’s main aims for digitalization, and the priorities to guide the next steps. International good practices Because digital transformation of the sector is predicated on the availability of a dig- ital infrastructure, many countries have addressed this aspect as a priority (see box 3 for examples of connectivity solutions). BOX 3  International examples of connectivity solutions In Indonesia, the Philippines, Sri Lanka, and Bang- to use a “universal service funds” (USF) as the condi- ladesh, methods using “zero rating” have been ap- tion for the awarding of licenses, and such funds were plied where mobile operators extend cost-free or used to provide resources to connect schools espe- near-zero-cost internet access to educational dig- cially in rural or remote areas, which telecom com- ital resources. Regulations in India need to follow panies do not necessarily prioritize. this example. The underlying concept of the USF is to ensure that In South Africa and Kenya, some telecom companies telecommunication services are accessible to the wid- allocated specific amounts of bandwidth to prioritize est number of people and communities at afforda- different educational-related activities. ble prices. However, increasingly over the last two decades, telecommunications administrations and In Turkey and Thailand, telecom companies lifted national regulatory authorities have been turning to data caps to allow internet use without limitations the concept of a specific universal service funding for students. mechanism designed as an incentive to encourage In the United States, Chile, Colombia, Morocco, and operators to assist these administrations in achiev- New Zealand, the governments used their regulato- ing their universe service goals. This funding mech- ry power in awarding licenses to telecom companies, anism is referred to as a USF. Source: Tognatta et al 2021. 14. This section is based on Tognatta et al. 2021. 4 Digitalization 20 A key recommendation from the NEP is to establish an autonomous body — t he National Education Technology Forum (NETF) — to lead the digital transformation. An analy- sis of case studies of similar agencies and organizations across 11 countries (box 4) offers important pointers on the role of leadership, man- aging evolution of these organizations over time, and ensuring credibility and relevance. A key les- BOX 4  Select lessons from experiences of national ICT/education agencies son from these case studies is that an NETF-like agency can be most successful when it is a “con- 1. Leadership is important — critically important. stituent part of a holistic (cross-sectoral) vision 2. Enabling legislation can make life much easier. related to education, technology — a nd the inter- 3. Especially in the early years, “getting the little section of the two.”15 things right” helps to build credibility among key stakeholders. At the institutional level, findings from univer- 4. Funding and financial autonomy need to be sities across Europe16 reveal that the following ensured. enablers are critical to digitalization efforts: in- 5. Managing transitions successfully is key if vestment in equipment and infrastructure, com- ICT/education agencies are to remain rele- mitment to professional development and training vant and useful. of faculty and staff, the role of proactive participa- 6. Te nsi o ns b et we e n b u ild i n g c a p a ci- tion of staff and students in the digital offerings, ty and creating dependence should not be and specific institutional strategies that promote underestimated. wide integration of digital technologies. The same 7. Remaining flexible and innovative becomes study identifies the barriers to address, such as lack increasingly challenging over time. of staff resources, lack of external funding oppor- 8. To ensure their relevance, agencies should tunities, the difficulty devising a concerted insti- evolve to become focal points for communi- tutional approach due to the complexity of strat- cation, consultation, and cooperation. egies spanning various departments, and lack of 9. Focus on supporting and meeting the needs staff motivation. of teachers. 10. Adopt a “learning-by-doing” approach that Furthermore, flexibility and scale are important emphasizes piloting and iterating. to ensure quality. An important lesson from the Source: Trucano and Dykes 2016. Open University UK, for instance, is its continuous evolution in the use of contemporary technologies to support effective teaching and learning — from high-quality online and open materi- als to strong, student-centered support services. Some key features include designing pro- grams to be multidisciplinary and flexible (that is, that allow stacking earned credits toward advanced degrees); providing academic, career, and technology support; and ensuring that materials are available in printed and online versions. The experience of leading international universities suggests that online assessments can be effectively designed such that opportunities to cheat are reduced. Assessments are designed to test a range of student skills and using different assignment formats from projects to multiple choice tests, case analysis, and so on. Solutions for reducing student motivation to cheat include reducing the stakes associated with any single test or examina- tion and identifying and clearly communicating penalties for cheating. 15. Trucano, M. & Dykes, G. 2016. p24. 16. Gaebel et al. 2021. 4 Digitalization 21 The state of play in India Support for the introduction, deployment, and use of information and communication technology (ICT) at all levels of education in India has been supported through policy since the early 1960s and has prompted several initiatives that have largely focused on the ICT infrastructure. Most initiatives have come from the central level. Higher educa- tion digitalization efforts at the state level are more recent but are limited to a few states where the higher education system is relatively well-performing and embedded in an eco- system that prioritizes technology integration across other sectors. Since the 1990s, the premier institutes of technology have led massive efforts on dig- italization in teaching and learning, as part of the National Program on Technology Enabled Learning (NPTEL). NPTEL was initiated to leverage these institutes’ technology and capabilities across the growing technical education sector. As a result, a large reposi- tory of high-quality e-content has been created, with corresponding efforts to build insti- tutional and faculty capabilities to use and integrate digital resources and tools in teach- ing and learning. India has an impressive network of open and distance education institutions, with 16 open universities and 110 dual-mode institutions17, which enroll 10 percent of all higher education students and have seen substantial growth over the past decade. Between 2008 and 2012, enrollment growth in open universities outpaced enrollment growth in conven- tional higher education institutions, and between 2012 and 2018, enrollment in distance learning increased from 3.5 to 4 million students. Nevertheless, challenges remain: • Although internet progression has advanced, India needs to keep up the pace com- pared to comparator countries.. Over 65 percent of universities and 95 percent of col- leges face connectivity constraints. Even when connectivity is available, 75 percent of institutions do not provide Wi-Fi access across their campus. • In 2014 – 15, among disadvantaged social groups, under 4 percent of Scheduled Caste and Scheduled Tribe households with students enrolled in higher education pro- grams had access to a computer and internet. The poor are worse off, with less than 1 percent of households in the bottom 3 quintiles without a computer and internet. The social composition of students in distance education programs is comparable to that in traditional face-to-face programs. However, there is a higher share of female enrollment than in in-person high education programs (52 percent compared to 43 percent), and more students from urban locations than traditional in-person higher education programs (57 percent compared to 43 percent). • Digital skills gaps to deploy technology for teaching and learning are found in both institutional administration and the pedagogical backing required to develop tech- nology-based teaching and learning. 17. Institutions which offer conventional as well as open and distance learning. 4 Digitalization 22 • Institutional bias against online courses is illustrated by the difficulties in establish- ing policies that enable the recognition and transfer of credits from online courses. In turn, this reduces the attractivity of, and the demand for, these courses. • The primary mode for instruction in the open universities continues to be largely reli- ant on printed materials. Digital technologies are more widely used for administra- tion and student support than for instruction, and for the most part, the operational format of open universities has remained largely unchanged. • There is limited experience with and general distrust of online assessment. While there is a recent policy push for expanding technology-based teaching, learn- ing, and assessments, the available evidence on the effectiveness of online and blended settings warrants some caution. The available research reveals that student outcomes in fully online settings are lower when compared with face-to-face time. Blended and hybrid learning fare better. This finding is consistent with the knowledge that learning requires an interactive environment, opportunities for engagement, and targeted support. The NEP Launched during the COVID-19 pandemic, the NEP renews the focus on digitalization. Broadly, the policy envisions technology as an enabler for modernizing the higher educa- tion system in India. The NEP has led to the establishment of the National Education Tech- nology Forum, whose mission is to provide strategic direction for and guidance to digital reform in the sector. Priorities for the next steps To make digitalization a reality, the following priority steps are recommended: 1. Developing an overarching strategy that can guide investments and efforts for digi- talization. This framework is needed at both the system and institution level. 2. Finding a variety of funding sources, such as donor funding, universal access funds, private sector partnerships, and models involving cost-sharing with students, to meet the investment needs. 3. Making “hard” investments in the digital infrastructure to effectively utilize con- nectivity for higher education learning and administration. This includes bringing high-speed internet to institutions, upgrading campus networks, and improving access to devices. 4. Making “soft” investments in the development of both digital and pedagogical skills for technology-based learning and teaching. 4 Digitalization 23 5. Providing opportunities for iterative experimentation and the development of evi- dence-based practice. Unpacking the mechanisms underlying what works and what does not work will enable building scalable models for technology use. 6. Collecting systematic data on all aspects of digitalization to support evidence-based policy and to improve employer and societal perceptions of online programs and their acceptability. 5  24 Internationalization  18 Internationalization in higher education is an important driver for improving the qual- ity of learning, research, and the management of higher education institutions (HEIs). The summary below presents (1) a compendium of good international practice in this area, (2) the state of play in India, (3) the NEP’s main aims for internationalization, and (4) the priorities to guide the next steps. International good practices Student mobility is an important component of internationalization strategies. Inter- national good practices in this area show the importance of intervening at both the political and institutional levels to ensure that preconditions for student mobility are met (see box 5). These include, as examples, curricular reforms, international outreach, BOX 5  The examples of Brazil and China Efforts at internationalizing higher education in Bra- • The Science Without Borders program encouraged zil over the past decade have been initiated primari- Brazilian institutions to plan for program imple- ly by national agencies and have focused on interna- mentation and strengthen international coopera- tional cooperation and scientific collaborations, and tion across units on campus. on outbound student mobility through flagship ini- The Chinese experience showed the importance of a tiatives such as the large (now concluded) Science significant investment in the research enterprise and Without Borders program. Vast in its scope (101,446 encouragement of Chinese academics and scien- students have participated in it since its inception) tists to collaborate internationally. In addition, China and requiring a massive governmental investment of has for some time been open to the entry of foreign US$1.6 billion, the Science Without Borders program institutions into the country, but as joint ventures. A offers some useful implications for internationaliza- third component of the approach is the deliberate tion at the institutional level that can have relevance use of scholarships both as a vehicle for attracting for Indian institutions. international students and as investments in send- • For student and faculty mobility schemes to suc- ing Chinese students and scholars abroad. A key en- ceed and have lasting impacts on institutions, in- abling factor has been the engagement with the ac- stitutions need to be involved in the first instance ademic diaspora via a clear national framework and to foster long-term and sustainable partnerships the close cooperation between the Ministry of Sci- with institutions abroad and a sense of institution- ence and Technology and the Ministry of Education al commitments toward such mobility schemes. to achieve the goals that were set. Source: Bhandari et al. 2022. 18. Based on Mathews et al. 2021. 5 Internationalization 25 administrative reforms, improved infrastructure, ease of obtaining visas and work per- mits for international students, and incentives for institutions to collaborate with foreign universities. China’s experience in talent attraction suggests that the following areas would need spe- cial attention in India: • Institutional-level engagement: Personal contacts play an important role in the success of diaspora engagement programs. Efforts could be made to institutionalize diaspora engagements at the institutional level based on the requirements of respec- tive institutions. Developing a national-level scientific diaspora engagement strategy would be helpful in this regard. • Role of state governments: State governments have an important role in facilitat- ing the diaspora engagement policies through a conducive policy environment. It is important to address issues such as institutional-level inadequate facilities and to pro- mote new funding sources. State-controlled institutions should also be encouraged to identify the areas that need interventions from the perspective of a visiting scholar. One of the aims of the NEP is to establish branch campuses. International experience in branch campuses points to the need to focus on the following aspects: • A targeted approach: Targeting those universities that offer programs relevant for the development and skills needs of the country, are willing to facilitate transfer of technology and knowledge, and operate in a socially responsible manner should be given priority. • Investor-friendly rules: Developing clear regulations with detailed guidelines for foreign universities to explore various partnership opportunities in India. • Diverse models: Promoting diverse models of branch campuses in the country, includ- ing teaching-focused and research-active institutions, and those functioning as a partnership with existing HEIs. • Education cities: Creating higher education hubs in select cities funded by the cen- tral and state governments to attract foreign institutions and accommodate differ- ent branch campuses on one campus. • Information to aspiring institutions: Providing relevant information, especially regarding, for example, the rules and regulations, facilities available to foreign insti- tutions, quality assurance framework, and workforce modelling and industry strat- egies, through a dedicated portal and through diplomatic missions. • Repatriation of surplus and tax exemptions: Reducing the tax burden of branch campuses, especially during the initial phase based on fulfilling the performance indicators and considering that branch campuses could be permitted to repatriate the surplus they generate after tax clearance. 5 Internationalization 26 • Granting legitimacy: Including approval of the qualifications offered by the branch campuses for the purposes of employment and further education in the country, finan- cial assistance to offer specific academic programs, research grants, and scholar- ships to students. • Flexible visa rules: Flexible visa rules for students and faculty are a prerequisite for the smooth functioning of branch campuses. • Accreditation of foreign institutions and programs: The National Accreditation Council to accredit foreign institutions and programs as proposed in the NEP 2020. The state of play in India Several positive initiatives have been taken to promote India as a study destination. It is clear, however that there is a need for further progress. India’s growing attractiveness as a study destination is illustrated by the growing number of international enrollments, which have increased from 27,531 students in 2010 – 11 to 49,348 in 2019 – 20; however, this cor- responds to a mere 0.13 percentage points in terms of overall student numbers. According to the All India Survey on Higher Education (2020),19 however, although inbound students come from 160 countries, 10 countries contribute nearly 64 percent of the total enrollment (the top four are Nepal, Afghanistan, Bangladesh, and Bhutan). In addition, enrollments are concentrated in eight states (Karnataka, Maharashtra, Uttar Pradesh, Tamil Nadu, Haryana, Delhi, Punjab, Gujarat, Andhra Pradesh, and Telangana). The Global Initiative of Academic Networks (GIAN) program, launched in 2015, aimed at tapping into the talent pool of internationally renowned academics through their academic engagement with select Indian institutions. In broad terms, the program is a success story regarding building international academic partnerships in Indian higher education. Although only 1,586 courses were completed during the first six years, availa- ble figures illustrate how substantially the program has contributed to the participation of institutions and individuals from 59 countries. Nevertheless, the results show that cen- trally funded institutions are mainly benefiting from the scheme. This pattern has per- sisted under the Scheme for Promotion of Academic and Research Collaboration (SPARC), which aimed to increase transnational mobility of faculty. Among the SPARC’s 204 projects, the older Indian Institutes of Technology, located in Chennai, Delhi, Kharagpur, Kanpur, and Mumbai, secured 118 projects. The Indian diaspora has been central to the success of these programs. The Study Webs of Active-Learning for Young Aspiring Minds (SWAYAM) platform, launched in 2017, and hosting around 2,000 Massive Open Online Courses (MOOCs) has attracted international students from 60 countries. Introducing the quality assurance of online programs would increase their attractivity. 19. https://indianexpress.com/article/education/education-ministry-releases-aishe-report-2019 – 20-number-of- phds-increased-60-in-last-five-years-7352559/#:~:text=The%20Ministry%20of%20Education%20on,in%20the%20 last%20five%20years. 5 Internationalization 27 The Study in India program, launched in 2018, aims to boost incoming student mobility and to use internationalization as a soft-power tool. India would need to address several challenges to increase success of these types of ini- tiatives. These include: • Undervaluation of Indian tertiary education qualifications, even those offered by prominent institutions, and lack of accurate information about the higher educa- tion system in India • Lack of clear strategies at the institutional level to attract international non-degree students to credit-bearing programs • The existing legal framework for visas • The local labor market situation and legal issues in the placement of international students in the country after completion of studies • Establishing dedicated structures at the national, state, and institutional levels for the recognition of qualifications. In addition, in order to attract more international students, India needs to invest in fully functional international students’ offices with a professional cadre of officers delivering on the objectives of internationalization; increase social interaction between international and domestic students on campus and tackle incidents of racism; standardize an internation- ally relevant curriculum across institutions, and enhance teaching methods; increase num- ber of foreign faculty and exposure of local faculty to the international context; avoid inordi- nate delays in administrative processes at various levels, including the declaration of results.20 The existing Indian higher education regulatory structure needs to be more aligned with the operation of foreign university branch campuses. There are fundamental differences between the objectives of India as a host country and the expectations of foreign univer- sities that are interested in establishing branch campuses. In addition, the quality assur- ance of branch campuses needs to be developed to address their specific characteristics. The NEP The NEP proposes a wide variety of national, state, and institutional reforms to accel- erate internationalization and improve student, faculty, institutional, and program mobility. These include: • Increase student inbound and outbound mobility • Leverage India’s rich culture and knowledge systems into relevant coursework 20. Varghese 2020. 5 Internationalization 28 • Develop internationally relevant curriculums • Provide facilities for international students that meet global standards and opportu- nities for them to engage socially • Promote India as a global study destination • Set up an international office at each higher education institution • Encourage international collaboration in research and teaching • Enable the creation of branch campuses from select universities — t hose from among the “top 100 category” in the World University Rankings — to operate in the country • Design a framework to facilitate the transfer of foreign credits. Priorities for the next steps To develop and implement a comprehensive internationalization strategy at the national level, the following priority steps are recommended: 1. Establishing an interministerial task force to coordinate internationalization, with representatives from the Ministry of Education, Ministry of Home Affairs Ministry of External Affairs, University Grants Commission, All-India Council of Technical Education, Ministry of Commerce and Industry, Department of Science and Technol- ogy, and Ministry of Electronics and Information Technology. 2. Monitoring and evaluating initiatives by (a) identifying key performance indica- tors; (b) using them to review progress annually; (c) conducting engagement and satisfaction surveys of international students and universities to identify areas of strength and development; and (d) conducting rigorous evaluations of flagship initi- atives such as Study in India, SPARC, GIAN, and the Study Webs of Active-Learning for Young Aspiring Minds (SWAYAM). 3. Simplifying administrative processes to enable individual mobility and the estab- lishment of branch campuses. Examples include simplifying the visa process, relax- ing work permit norms, and increasing the flexibility of such aspects as admission deadlines, certification for online coursework, issuance of equivalent certificates, and relaxation of the supernumerary cap for international students. 4. Ensuring the quality of online programs and the mutual recognition of degrees and academic qualifications. 5. Increasing efforts to attract the Indian diaspora. 6. Providing funds and capacity building opportunities to ensure that higher education institutions can act strategically at the international level. 6  29 Academic careers and faculty reforms  21 Qualified academic staff and a sound academic career management approach are cen- tral in determining the quality of higher education. The summary below presents (1) a brief compendium of good international practice in this area, (2) the state of play in India, (3) the NEP’s main aims for academic careers, and (4) the priorities to guide the next steps. International good practices Academic staff in higher education are generally expected to hold a degree higher than that of the student population enrolled in the institution they teach. In binary systems, the requirement for recruitment at colleges is a master’s degree and at university, a doctor- ate. Given the importance of the doctorate and the talent competition worldwide, many coun- tries have reformed their doctorate to ensure that universities provide a vibrant research environment, develop soft skills (to allow doctoral holders to work in and outside academia), and regulate supervision (for instance, defining the qualifications required to become a supervisor, providing co-supervision, training, and supervision of the supervisors). Best international practice in the management of academic staff points to the impor- tance of striking an optimal balance between institutional autonomy and government oversight. This entails: • Developing a national framework for academic careers that defines the different ranks and titles, states national goals (for example, with respect to affirmative action), and requires that HEIs’ recruitment, promotion, and remuneration policies are transpar- ent and fair. • Providing government oversight based on solid data collected at both the national and state levels to buttress appropriate policies and ensure that national strategic goals are met. • Ensuring the coexistence and vitality of a variety of HEIs that cater to different popu- lations and recognizing that they need different types of academic staff. This implies 21. This section is based on Sursock, Dey, and Pandey 2021. 6  Academic careers and faculty reforms 30 that HEIs have the autonomy to develop a strategic vision and the resources to imple- ment it and to design their recruitment, promotion, and remuneration policies in line with their profile and with the principles of fairness and transparency laid down in the national framework. • Any change to academic careers is challenging, and governments have a key role to play in this process. This challenge is greater in federal states, which must ensure that the role of key players at each level — federal, state, and institutional — is appropri- ate. Box 6 provides an example of how a new remuneration scheme was introduced in Germany’s federal system. It illustrates the cascading policy-making process: the federal level established a broad framework, the states further defined it, and each higher education institution implemented it within its own context. BOX 6  Financial management issues and the introduction of the W salary scheme in Germany The introduction of the W salary scheme in Germany • In addition, the established average salary was in the early 2000s was influenced by three impor- subject to annual salary adjustments. tant framework conditions: (a) the German federal Within this framework, there were now financial man- structure led to three determining levels of the new agement questions to be answered on the state and scheme (federal, state, and HEI), (b) the reform was institutional level, primarily related to the final amount not used to level the playing field and there were available and to the distribution of these funds. thus two new types of professors beyond the Junior Professor, and (c) performance in the more narrow State level: States had to decide whether they want- sense was accompanied by two more types of “per- ed to make use of the opportunities regarding raising formance” as determined by federal legislation: in- the average salary through the means listed above. terinstitutional functions (like rector, vice-rector, and This required close consultations, not only between dean) and salary increases in the context of call-re- Ministries of (Higher) Education and HEIs, but also lated negotiations. While these aspects provided the between these players and Ministries of Finance. The frame for salary models, another important deter- questions of state- and institutional-level competi- mining factor — besides principles and procedures de- tiveness and fiscal prudence were at the center of dis- termined at the institutional level — was the amount cussion. Another question was how the established of funds to be distributed. average salary should be interpreted for HEIs, which The federal government via the framework legisla- did not have line-item budgets but rather lump-sum tion made sure that the reform was not used for sav- budgets. ings, that is, decreases of the overall amount availa- It soon became clear that more financial autonomy, ble for professors’ salaries at the state level, or that also in the form of institutional lump-sum budgets, there would be “too much of a spread” across states, made working with the average salary easier. In these though one could argue that such a spread was al- cases, the average salary could simply be used as a ready a reality and was difficult to counteract with the theoretical operand (parameter), while in the case means proposed by federal legislation. Further, the of line-item budgets, the distribution frame could federal legislation stipulated the following: only be calculated ex post, since it actually depend- • The salary average was established separately for ed on the retirement of C (and later W) professors. universities and Fachhochschulen (University of Concerning the distribution of funds available for the Applied Sciences) for 2001 according to a stand- distribution frame for performance, states had to de- ardized calculation that was applied to all states. cide whether to allocate the actual delta that was the- oretically available for every institution or whether • Entering the new system, states could raise the av- they wanted to withhold some of the funds to support erage salary once to the level of the highest- rank- some redistribution. While it made perfect sense to ing state (Baden-Wurttemberg). disconnect funds available for performance-related • Afterward, states could exceed the established av- pay from a historically grown (and thus to some extent erage salary annually by 2 percent up to a maxi- arbitrary) age structure, this proved to be a consider- mum of 10 percent. ation difficult to justify in practice, since universities 6  Academic careers and faculty reforms 31 would have considered that the state was, so to speak, attention from the university administration (particu- taking money back which actually belonged to them. larly heads of administration and budget personnel). Institutional level: Driven by considerations of uni- While the overall discussion at institutions often fo- versity autonomy and subsidiarity, most states al- cused on what is desirable in terms of performance lowed for considerable scope so that universities pay, heads of administration had to translate this into could not only determine criteria and procedures of “budgetary reality.” This meant careful consideration performance pay, but also had flexibility concerning of future implications of budget models in terms of amounts, as long as institutions and states complied future salary increases, and so on. Especially “young” with the established average salary. Also, here, the universities saw the need to transform these consider- situation was different for institutions with global or ations into accruals and deferrals which, subsequent- lump-sum budgets, which in principle were able to ly, reinforced the need for global budgets at HEIs and cross-subsidize with funds from other sources, and showed how closely salary reforms are connected to for institutions with line-item budgets. The introduc- other key reforms of higher education. tion of the W salary scheme demanded considerable Source: Witte, Schreiterer, and Müller-Böling 2004; Arnhold et al. 2017. The state of play in India The University Grants Commission (UGC) has set guidelines and norms with regard to recruitment and career progression, ensuring equitable representation of various social groups (reservation policy) and setting salary levels. However, there is little informa- tion on the extent to which UGC guidelines are enforced in practice. The recruitment and promotion process relies on a centralized mechanism. Universities generally have little say on the selection rules and processes, remuneration, or extent of performance incentives. Furthermore, faculty shortages are widespread, FIGURE 1  Percentage of faculty posts approved while a significant number of positions remain (sanctioned) that are vacant vacant (figure 1). This is due to rising enrollment, a fall in the number of faculty, and challenges related Deemed Universities to the inability of HEIs to fill posts reserved for Scheduled Castes (SC), Scheduled Tribes (ST), and State Universities other backward class (OBC) groups. Institutional data on faculty show that on average the propor- Central Universities tions of faculty from SCs, STs, and OBCs in HEIs across states are lower than required in the reservation 0 10 20 30 40 50 60 policy, although there is variation across states Percent of sanctioned posts that are vacant and some states do better than others. This is fur- Professor Associate Professor ther compounded by a prolonged recruitment pro- Assistant Professor cess that can be delayed further by court cases and the unwillingness of applicants to take up appoint- Source: UGC 2020. Based on data from 32 central, 95 state public, and 15 deemed universities. ments in rural and remote areas. As a result, there Note: “Deemed University is an accreditation granted to higher academic institu- is an increasing reliance on guest and visiting types tions in India to provide them with the status of a university. They enjoy the aca- demic status, privileges, and autonomy in terms of deciding their courses, fees, of faculty positions. These are generally precarious admission, etc., similar to any university in the country. This accreditation is con- positions that offer lower pay. Furthermore, the ferred by the Ministry of Human Resources and Development on the recommen- dation of UGC.” However, a deemed university “is not a full-fledged university but student-faculty ratio has been increasing over the is given the status of autonomy provided to a university by allotting it the title of years, which is not conducive to quality and does ‘deemed’ by DHE under MHRD on the advice of UGC.” (https://leverageedu.com/ blog/meaning-of-deemed-university/#:~:text=Deemed%20University%20is%20 not facilitate the introduction of new pedagogies. an%20accreditation,any%20university%20in%20the%20country). 6  Academic careers and faculty reforms 32 While large numbers of faculty positions are vacant, data show that unemployment is high for doctoral (and postgraduate) students22 due to the inadequate quality and qual- ity assurance of doctoral programs, and the low volume and quality of the research produced. The plight of doctoral students is further compounded by the inadequate num- ber of industry jobs requiring a doctorate and insufficient preparation for jobs in industry. Furthermore, several aspects raise questions about teaching quality, including the inad- equacy of teachers’ content knowledge as measured by the National Eligibility Test, the weak research culture and the insufficient resources and facilities to support research and teaching activities, and the ineffective quality assurance system.23 The NEP The NEP recognizes that high-quality teaching and research are central to delivering quality education and that this is conditioned to attracting and retaining high-qual- ity faculty. The NEP acknowledges that despite the initiatives taken so far to improve aca- demic careers, overall faculty motivation in terms of teaching, research, and service is low. It discusses several challenges in faculty selection and promotion, quality of research and quality standards including limited teacher and institutional autonomy, inadequate mech- anisms for merit-based career management and progression of faculty, low emphasis on research, and ineffective quality assurance. The NEP’s vision for the future includes most key elements of well-performing systems in higher education. The strategy envisions an overhaul of the higher education system to overcome the present challenges in achieving high-quality higher education. At the indi- vidual faculty level, this would address the factors behind the low motivation of faculty by introducing such components as merit-based appointments and a holistic career progres- sion framework based on teaching, research, and service. At the institutional level, the NEP foresees greater faculty and institutional autonomy, funding of high-quality peer-reviewed research in universities and colleges, and effective quality control of higher education. To ensure success, the NEP envisions developing institutional leaders who contribute to an overall culture of excellence that motivates and incentivizes faculty to deliver high-qual- ity teaching, research, institutional service, and community outreach. Priorities for the next steps The following set of priorities is proposed to address the challenges identified above as well as the central goal of the NEP to improve the attractiveness of academic careers. Strengthen the quality of PhD programs and include soft-skills development to enable PhD holders to work in and outside academia. 1. Attract and retain quality faculty by developing a national framework for aca- demic careers that (a) defines general principles (such as fairness, transparency, 22. https://www.cmie.com/kommon/bin/sr.php?kall=warticle&dt=2019-03-19%2009:46:12&msec=486. 23. British Council India 2014. 6  Academic careers and faculty reforms 33 internationalization, and how to deal with endogamous recruitment), and (b) sets na- tional goals such as for affirmative action or the approximate share of full-time faculty. 2. The national framework would be adapted by each HEI, which would set their own career management processes with respect to recruitment, staff performance eval- uation and development, promotion, salary setting, workloads, and so forth, in line with the profile of each institution. This requires leadership development within HEIs of directors of human resources units, department heads, deans, vice-presi- dents, and presidents to ensure both capacity for strategic vision and implementing career management processes. 3. Enhance the quality of the research and teaching infrastructure. 4. Develop databases at the national, state, and institutional levels to ensure evi- dence-based policies and the enhancement of the system. 5. Ensure that the internal and external quality assurance system examines the quality of doctoral training, staff management policies, internationalization, and the learn- ing and research infrastructure. 6. These steps require the sector to work with policymakers to ensure consensus on major policies and goals and coordination among the HEIs and authorities with re- spect to implementation. 7  34 Governance and funding  24 The governance and funding of higher education are crucial elements to ensure the effi- ciency of the system.25 The summary below presents (1) a compendium of good interna- tional practice in this area, (2) the state of play in India, (3) the NEP’s main aims for govern- ance and funding, and (4) the priorities to guide the next steps. International good practices The governance and funding of higher education systems have been changing to accom- modate the growth of the sector and the differentiation of higher education institutions (HEIs). As HEIs embrace multiple missions, attend to a more diverse student population, and rely on multiple funding sources, the governance of the system, institutional auton- omy, accountability, and funding allocation are changing. Systemwide governance relates to the macro-level laws, policies, mechanisms, and pro- cesses put in place by the state with the purpose of providing a favorable context for HEIs to be able to operate effectively and efficiently. Systemwide governance in many countries is shifting from a “state- control model,” where the government seeks to control its universities closely, to a “state-supervising model,” where the state monitors and regu- lates them at a distance. Under the “state-supervisory” model, the most important role of the state in higher education is to: • Set a vision for the future and elaborate a strategy to transform the vision into real- ity (see box 7) • Formulate the legal and regulatory framework that clarifies the powers of the agency responsible for higher education policy and defines the terms of both institutional autonomy and accountability • Put in place the financial instruments and incentives to encourage HEIs to innovate and improve their performance. 24. This section is based on Salmi et al. 2021. 25. See for example, Arnhold and Bassett 2021. 7  Governance and funding 35 BOX 7  Developing a blueprint for higher education A comprehensive strategic plan articulates quantita- duration, professionally oriented programs in terms tive targets in terms of expansion of coverage and re- of the desirable balance among these institutions’ duction in disparities among social groups, sets out research, teaching, and service functions? Do ex- overall goals in terms of quality improvement and en- isting articulation mechanisms provide pathways hancement of the relevance of programs, and revis- and bridges that permit flexible mobility across its the institutional configuration of the higher educa- various types of institutions? tion system, as needed. The plan should also outline • Does the country have a clear policy and adequate those reforms that are necessary to establish appro- incentives for the establishment of one or more priate conditions for the effective operation of higher world-class universities or, at least, a few centers education institutions in terms of supportive quality of excellence that can conduct research at the most assurance mechanisms, favorable governance, and advanced level? sustainable financing. The vision and the plan should aim at answering the following questions: • What quality assurance instruments are needed to promote better quality and relevance across • What concrete quantitative targets does the gov- the board? ernment seek to pursue with respect to overall en- rollment growth, equal opportunities for students • What governance arrangements are in place to of- from vulnerable groups, educational attainment of fer an appropriate regulatory framework that pro- the adult population, and research output? motes innovative behaviors and practices? • What is the core mission of each type of higher ed- • What level of resource mobilization (public and ucation institution? Is there sufficient differentia- private funding) would be needed to reach the tion among research universities, teaching universi- objectives set by the government in a sustaina- ties, and nonuniversity institutions offering shorter ble manner? Source: Salmi et al. (2021). Shifting to a state-supervising model implies granting more autonomy to institutions along the following four dimensions: • Organizational autonomy includes the right and freedom to organize the university and adapt its structure as needed to achieve high levels of performance. • Human resources management requires a nonbureaucratic staffing status that rewards performance and prevents academic inbreeding. • Financial autonomy includes the ability to charge tuition fees and set their level, establish eligibility criteria for financial assistance to students, reallocate resources internally according to self-determined criteria, and the ability to keep a surplus at the end of the fiscal year, borrow money, and own buildings. • Academic autonomy involves the capacity to enjoy full academic freedom and the ability of each institution to make key decisions regarding student admission and the provision of programs. Expanded institutional autonomy is accompanied by a well-defined accountability framework for all public institutions, including mechanisms to prevent corruption and impose clear sanctions whenever fraudulent or corrupt behaviors are identified (see box 8). 7  Governance and funding 36 Good international practice suggests that the allo- cation of public funds should be based on the follow- BOX 8  Oxford University Code of Practice and Procedure for Academic Integrity ing principles: (a) closer alignment with national priorities, (b) an explicit link to performance, (c) The University of Oxford Code of Practice and equity among all population groups, (d) consist- Procedures related to academic integrity in re- search states the expectations of all those con- ency and compatibility among the various financ- nected to the institution involved in research. ing instruments, (e) objectivity and transparency in These expectations pertain to the standards of the allocation process and criteria, (f) stability over ethics and integrity in research, among other best time, and (g) allocation as a block grant. A growing practices in research, ethical and legal obligations, number of countries have realized that it is diffi- and potential conflicts of interest. cult, if not undesirable, to rely on a single funding The code furthermore defines misconduct, sets instrument because of the diversity of missions and out the responsibilities of the university mem- financial needs of higher education institutions. bers, and covers the confidentiality related to in- vestigations in potential instances of misconduct. For this reason, many Organisation for Economic The code also defines a procedure for the han- Co-operation and Development (OECD) countries, dling of potential instances of misconduct, which especially in Europe, have adopted a three-pillar comprises the specific steps of the procedure as funding model that allocates resources in differ- well as the link of university internal procedures ent ways linked to the variety of purposes sought. to other procedures, such as legal ones. These include (a) core funding through a block grant, Source: https://hr.admin.ox.ac.uk/academic-integrity-in-research. input-based formula that provides stability and rep- resents about 75 percent of the total budget; (b) per- formance-based funding through an output-based formula or a performance agreement to recognize past performance, which represent 10 to 20 percent of the budget; and (c) inno- vation-oriented funding through competitive grants or performance agreements to pro- mote change, which represents up to another 10 percent of the budget. The state of play in India Part of the challenge in governing the higher education system in India stems from the scale, complexity, and diversity of the system. In addition, restrictive and narrowly defined regulations limit institutional autonomy, and the regulatory framework for higher education allows multiple actors with overlapping jurisdictions to set the terms and condi- tions for the operation of HEIs. The framework consists of both legislation and agencies in charge of implementing the legislation: • Acts and statutes of the Parliament govern the operation of institutions such as the Institutes of Technology Act (1961) and the Central Universities Act (2009). In gen- eral, this legislation creates dependencies on the government for many operational matters instead of promoting institutional autonomy. • The standard-setting agencies and professional councils like the University Grants Commission (UGC), the All-India Council of Technical Education, and the Medical Council of India face challenges due to overlapping jurisdiction and poor coordina- tion; they lack enforcement capacity; their autonomy from the central government is limited; and their regulations impose multiple requirements without enhancing institutional accountability. 7  Governance and funding 37 • The buffer bodies, such as the State Higher Education Councils, draw their leadership from the state bureaucracy and political leadership, which prevents them from per- forming their responsibilities independently of state control. The funding systems at the federal and state levels are not designed to encourage perfor- mance orientation and competition among higher education institutions. India has not yet adopted a coherent system of financing higher education that supports different types of goals and development within HEIs. The principle of tying funding to outcomes or perfor- mance targets has not been fundamentally woven into the financing mechanisms. Neither is funding allocation guided by a goal-oriented planning process at the national level. Other challenges include involving UGC and other regulatory bodies in funding, while their origi- nal mandate did not provide for funding functions. As a result, they are ill-equipped to dis- tribute funds, monitor use, and evaluate outcomes. Institutional-level governance varies somewhat according to the status of institutions and the corresponding level of autonomy. Apart from the leading institutions (like Indian Institutes of Technology, Indian Institutes of Management, Indian Institute of Science), the existing governing bodies are often too weak or too large. In addition, institutional leaders are appointed by and answerable to the government. These features weaken the accountabil- ity function of governing boards. Furthermore, the internal organization does not devolve responsibilities to departments, thus weakening their capacity to deliver. Due to the lim- ited resources, the affiliating universities do not have the capacity to ensure the quality of provision in the affiliated colleges. Although the federal government has taken several initiatives to improve the situation, none of them has directly addressed the overall governance framework. Furthermore, most of these initiatives had limited chance of success because they were added to a regulatory framework that is still centralized, restrictive, and inflexible. The NEP The NEP proposes the creation of the Higher Education Council of India (HECI) to oper- ate multiple autonomous agencies for regulation, financing, standards setting, and accreditation. The NEP suggests that a “light but tight” regulatory system be complimented by enhanced institutional autonomy, competitive and transparent funding mechanisms, and stronger quality assurance mechanisms. The NEP 2020 ushers in many changes in the national regulatory framework that can form the basis of sustained and holistic reform in Indian higher education. The roadmap for regulatory reform at the federal level addresses issues of overregulation through onerous rules, multiple regulatory authorities with overlapping jurisdictions, ineffective enforce- ment, and weak accountability systems. By endorsing the use of fewer regulations in con- junction with disclosure-based governance, accreditation, and transparent funding mech- anisms, the policy affirms principles that support a more agile regulatory regime. 7  Governance and funding 38 Importantly, the policy also sets out an alternative for the affiliation system and frag- mented network of small, single-discipline HEIs in the states. The policy also highlights the need to improve institutional governance through greater academic and administrative autonomy, stronger boards of governors at HEIs, and merit-based leadership appointments. Priorities for the next steps Realizing the NEP’s vision requires concerted action at the national, state, and institutional level. Priorities for the next steps include: 1. Ensuring that the administration at both the federal and state level are committed to making the necessary changes through financial incentives and a thorough review of the legislative framework. 2. Ensuring that the new regulatory framework steers away from centralization and that the HECI and its verticals are constituted as autonomous bodies and provide an effective bridge among HEIs, the Ministry of Education, and state governments. 3. Improving planning and monitoring processes at the federal and state level by creat- ing an ecosystem of autonomous agencies to undertake such tasks as sectoral plan- ning, funding, performance monitoring, and data collection and management. 4. Developing the conditions for granting greater institutional autonomy while strength- ening accountability systems. 5. Identifying the level of funding to be allocated to higher education and the mecha- nisms to be used at the federal and state level in a way that supports strategic goals and institutional performance. 6. Building capacity in government agencies and higher education institutions to work in a new regulatory environment. 8  39 Quality assurance  26 Quality assurance has two main components: external quality assurance (EQA) and internal quality assurance (IQA). The summary below presents (1) a compendium of good international QA practice, (2) the state of play in India, (3) the NEP’s main aims for QA, and (4) the priorities to guide the next steps. International best practices International best practices in quality assurance suggest the importance of the follow- ing principles: • HEIs have the primary role for ensuring quality. It is important to provide room for the HEIs to design processes that are related to their specific strategy, are sufficiently flexible to recognize disciplinary differences and promote enhancement, are embed- ded in governance and management through the use of QA results in decision-mak- ing processes, and are transparent by providing information to the campus commu- nity and the external stakeholders about the results or their use. • EQA agencies should design processes that are fit for purpose, based on the main national challenges and priorities for the higher education sector. The approach should be developed in consultation with all stakeholders, including tertiary institutions, employers, and students. The results of the accreditations should seek to enhance the operation of each institution and of the system as a whole. This requires providing the best expert panels, training them and monitoring their work, and ensuring the independence of the agency from government and other stakeholders (see box 9 for a helpful definition of independence). • Quality assurance agencies should ensure the quality of their operations through staff development, appropriate governance oversight, self-evaluation, evaluating their impact and the cost/benefits, keeping abreast of higher education developments, ensuring that EQA accompanies these changes, and interacting with international QA agencies for benchmarking and benchlearning purposes. 26. This section is based on Sursock et al. (2021). 8  Quality assurance 40 • EQA and IQA are linked. For any country setting out to reform its QA framework, it is useful to think about those two components together. This is primarily done by including IQA as one of the main aspects that EQA will examine. BOX 9  Independence of the agency Agencies should be independent and act autono- as well as the nomination and appointment of ex- mously. They should have full responsibility for their ternal experts are undertaken independently from operation and the outcome of those operations with- third parties such as higher education institutions, out third-party influence. governments, and other stakeholders Autonomous institutions need independent agen- • Independence of formal outcomes: while experts cies as counterparts. from relevant stakeholder backgrounds, particu- larly students, take part in quality assurance pro- In considering the independence of an agency, the cesses, the final outcomes of the quality assurance following are important: processes remain the responsibility of the agency. • Organizational independence, demonstrated by Anyone contributing to external quality assurance official documentation (for example, instruments activities of an agency (for example, as expert) is in- of government, legislative acts, or statutes of the formed that while they may be nominated by a third organization) that stipulates the independence of party, they are acting in a personal capacity and not the agency’s work from third parties, such as high- representing their constituent organizations when er education institutions, governments, and other working for the agency. Independence is important stakeholder organizations to ensure that any procedures and decisions are sole- • Operational independence: the definition and op- ly based on expertise. eration of the agency’s procedures and methods Source: ESG 3.3, Standards and Guidelines for the European Higher Education Area 2015. The state of play in India IQA and an associated culture of continuous improvement and a process-oriented approach to improving quality have not been widely adopted by HEIs. First, HEIs often have lim- ited financial and academic autonomy to manage their operations. Second, the focus of EQA has been on maintaining minimum standards and fulfilling regulatory requirements. This means that, with some exceptions (for example, National Boards of Accreditation), IQA is not fully embedded in the EQA approaches: institutions fail to focus on IQA in their self-evalu- ation, and the external panels fail to investigate this aspect of university governance. This has affected the ways in which institutions view their responsibility with respect to qual- ity assurance. The sheer scope of the sector results in a bureau- TABLE 2  Total number of accreditations (Status as cratic approach that fails to review a significant of October 29, 2020) number of institutions (see table 2) and to support institutional diversity. In addition, the approach Total Ever accredited Percent- number in First Cycle age tends to promote a culture of compliance with regu- latory authorities that might lead university admin- Universities 760 364 48% istrators to create a semblance of quality through Colleges 37,879 8,166 22% carefully prepared self-assessments and managed Source: http://naac.gov.in/images/docs/STATISTICS/Total-Number-of- site visits. Accreditations-as-on-02-11-2018.doc and AISHE (2018 – 2019). 8  Quality assurance 41 The NEP Quality assurance is a central component of the NEP and of revamped governance of the higher education system in India. The NEP aims to streamline the current multi-agency arrangements by establishing a single autonomous buffer institution, the Higher Education Council of India (HECI), to replace the current institutions that play a role in the external quality assurance arrangements. The new institution will have four verticals dedicated to regulation, accreditation, financing, and standards setting (see figure 2). FIGURE 2  Restructuring of the higher education regulatory mechanism, NEP 2020 Higher Education Commission of India (HECI) National Higher National Higher Education General Education Regulatory Accreditation Grants Council Education Council (NHERC) Council (NAC) (HEGC) Council (GEC) Currently, the agencies with a direct or indirect accountability function include, among others, the University Grants Commission (UGC), All India Council for Technical Education, National Assessment and Accreditation Council (NAAC), and the National Board of Accredi- tation. In addition, several bodies such as the Bar Council of India, Indian Nursing Council, Medical Council of India, and National Council for Teacher Education, have a regulatory function. At time of writing, the NAAC will be replaced by a new agency and there will con- tinue to be program accreditation via the National Board of Accreditation (for engineers) and probably others, especially for regulated professions. Quality assurance arrangements in India have focused primarily on EQA, although there have been attempts to develop IQA in higher education institutions. The NEP has not changed the focus on EQA. Priorities for the next steps To address the aims of the NEP and some of the challenges identified above, a set of pri- orities are proposed. These are guided by the central goal of the NEP to establish multi- disciplinary universities and higher education clusters, create a good mix of institu- tional types, and promote a well-rounded education for all fields, with both breadth and depth, undergirded by innovative curriculums, and stressing community engagement. The accreditation framework should support the development of the HEIs to reach the set requirements for each institutional type. This implies a set of priorities as follows: 1. Emphasize the development of IQA without prescribing it: each institution should develop it while considering its specific profile and strategic goals. 8  Quality assurance 42 2. Allow for alternate definitions of quality to be implemented through the QA frame- work while developing a national framework for quality assurance to guide regional- and state-level accreditation agencies. The national framework would identify a set of principles that would promote and support the diversity of institutions and their quality, as well as the quality of the agencies. 3. Ensure the independence of the EQA agencies by considering the creation of regional (rather than state) agencies, and ensuring that the funding and staffing processes of the HECI and accreditation agencies remain independent of federal and state govern- ments, institutions, and other actors. 4. Given the large number of institutions to accredit, consider lightening the accredi- tation procedures of those institutions that have performed well in past accredita- tion cycles. This would entail shifting EQA to an outcome-based approach and ensur- ing the existence of appropriate data collection. 5. Benchmark the EQA framework against international frameworks. 6. Build up capacity for IQA and EQA through appropriate staff development. 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