Reducing compliance burden in higher education

 Minimizing forms and procedures with a view to improve compliance and facilitate ease of doing business in higher education institutions both internally and externally through an integrated and well-coordinated single window system is the need of the hour

Early this year Department for Promotion of Industry and Internal Trade under the Union Ministry of Commerce and Industry (DPIIT) was entrusted to act as a nodal department for coordinating the exercise of minimizing the compliance burden on industry as well as on citizens with an aim to provide services in a time bound, transparent and predictable manner to the industry with a minimum human interface. Later Prime Minister of India desired that this should be adopted by all ministries, departments and states including the Ministry of Education in a mission mode and completed in time bound manner for better compliance management and ease of doing business.

Compliance management comprises of the actions and measures taken to facilitate ease of doing business at the higher education institutions both internally as well as externally with a view to reduce the burden of filling up forms and completing processes and thereby enhance adherence to norms, rules and regulations as well as minimize costs and inconvenience to all the stakeholders. Internal controls and measures govern all activities falling under the ambit of interface between university and departments as well as between departments and teachers and students whereas the external controls and measures govern the activities at the interface between university and regulators like UGC or Union Ministry of Education. Compliance management includes solutions mostly based on Information Communication Technology (ICT) and e-governance that are primarily aimed at simplifying the statutory procedures and making them less tedious and cumbersome both for the students and the Higher Education Institutions (HEIs) through an online single window system. Once an integrated and well-coordinated system is in place for complying with regulatory and statutory requirements for the students, teachers and higher education institutions, adherence to norms and instructions and fulfilment of requirements becomes a whole lot easier. It also minimizes the hazards of wrongdoings at the organizational level besides statutory non-compliance. Though developing a common understanding of compliance management is a real challenge in higher educational institutions, it provides an excellent opportunity to move a few steps closer towards excellence with improved performance and optimized outcomes. Implementing rules and regulations, internal or external, in letter and spirit is the responsibility of all stakeholders including teachers, non-teaching staff and students. 

Primary goal of measures aimed at reducing compliance burden is to harmonize, streamline, and wherever possible eliminate unnecessary forms, procedures and reporting requirements with a view to maximize and speed up compliance, integrate processes, increase fund utilization and optimize outcomes in teaching and research while ensuring accountability at higher education institutions.  These measures are also aimed at helping the universities to review their existing institutional policies to ensure that they are not adding unnecessary processes, procedures, burden and costs on themselves or on their teachers and students. At present universities are functioning under a great deal of command-and-control system and regulations from UGC/MoE, that includes burdensome documentation, recording and reporting requirements. One characteristic feature of regulations under the current system governing higher education institutions is that their eligibility for financial assistance under various central schemes is determined by the periodic ranking, accreditation and review by the government authorized accreditation agencies like NAAC, NIRF and NAB. However, the quantum of forms required to be filled and documents to be submitted for such accreditation and ranking is so huge that it deters many institutions from applying for the same in time thus reducing their compliance. Similarly the quantum of documentation and compliance by teachers required at various stages of their promotions is so enormous that many teachers end up applying too late for the same. All this needs too be changed radically by making online solutions and portals available to students, teachers as well as institutions for uploading their data from time to time wherefrom it can be extracted and integrated in real-time as and when needed. 

For managing workflows in higher education, system safety and security, accuracy, accountability and user-friendly interfaces are critical. HEIs deal with a large quantum of paperwork, documentation and requests that have to be managed on daily basis. As per Barta BZ et al (1995) computers can be used extensively for effective educational administration in workflow areas including general administration, pay roll and financial accounting, administration of student data, inventory management, maintenance of personnel records, library and information system etc. By automating the workflow around activities and functions like student registration, student admissions, selection of OE/GE courses under choice-based credit system, conduct of online classes, student information, time table, transport, examinations, performance, grades, hostels, security, maintenance of attendance, internal assessment, library, salary and expenses, registration and conduct of examinations, e-award system, e-transit modules, result compilation and declaration, re-checking and re-evaluation system, certificate distribution, issuance of transcripts, marks card printing, sms or text-based alert services, stream change or migration, e-tutorials and e-contents, online learning and open education resources etc, paper-based manual processes reduce considerably paving way for a more efficient and productive institutional workflow. It brings a lot of convenience and comfort to the students as well saving a lot of their precious time while enhancing compliance to norms and regulations. However, the need for submitting hard copies after applying or registering online should be minimized as that mars the very spirit and purpose of the entire automation exercise. And secondly all these systems should be integrated and well connected with each other so that the information uploaded at one system should be visible and retrieved everywhere else. In this regard, progress already made and ground gained under NAD (National Academic Depository) needs to be further exploited and scaled up. 

Attempts need to be made to make single window management system available for both internal and external controls of the higher education institutions. Homepage of the institutional website must provide links to all online services and tools available that must be clearly visible as well as easily accessible. Secondly data uploaded by departments and teachers using only one Unique Institutional or Universal ID through Internal Quality Assurance or IT wing must be corroborated and integrated with all other sections dealing with examination, recruitment, accounts, research and academics. Data must be consolidated in real-time and the same must be automatically used as and when required for promotions, reconciliation, appraisals, assessment, annual reports etc without the need to submit any hard copies thus avoiding duplication, repetition, deficiencies, discrepancies and inaccuracies in the data submitted. Need for uploading the same data for each wing separately at different times must be completely done away with. Similarly the UGC or Union Ministry of Education must develop a portal at the central level where higher education institutions can upload their data from time to time and the same gets consolidated and utilized for different purposes in real time as and when needed for activities like accreditation, assessment and evaluation, ranking, project allocation, funding, grant of positions, programmes and centres. Phrases such as Education Management Information Systems (EMIS) or Management Information System (MIS) have been typically used for integrating information from different universities to consolidate them on a common operating platform for analysis or data aggregation purposes. In order to achieve the objective of a paperless university there is need for complete automation of the file management system, accounts management, online payment gateways, online budget management system, class schedule approvals, curriculum peer reviews, faculty travel and deputation requests, financial aid requests, grant proposal processes, internship applications, staff and faculty onboarding besides vendor approvals. 

Processes and procedures involved in research too need to be simplified and automated through a well-integrated Research Management System that provides all services in a seamless manner including online synopsis submission, minutes of DRC meeting online, allocation of research guide, submission of synopsis to BORS, synopsis approval (or rejection) by the BORS, half-yearly progress report submission, online thesis submission, approval by research guide, submission to Head of the Department, academic clearance by Dean Research, award of degree, publication of result notification, online accounting system for research projects, online system for M.Phil. and Ph.D. registration, assessment and award. A single window system in research will ensure accomplishment of research projects and completion of research degrees well in time thus avoiding delays and unnecessary hassles for the scholars as well as principal investigators. It will reduce red tape-ism too that acts as a great deterrent for many a promising researchers in seeking grants from funding agencies for executing their research projects.

Higher Education Institutions need cost-effective, IT-based, online solutions that allow for generation, use and re-use of customized, user-friendly, automated processes that can eliminate redundancies, delays and non-compliance and consolidate student as well as staff services into a single portal, provide a better service experience, limit or completely replace manual and paper-based processes for students and staff, centralize and streamline the review and approval process for requests, track and summarize requests that need to be routed through departments before final approval, meet statutory and regulatory requirements and improve internal controls. With workflow automation, we can streamline workflow in critical, student-facing departments like students welfare, admissions, registration, examination and academic records. An efficient and fully functional e-governance system in higher education will enable various stakeholders to achieve an improved operational efficiency in various key processes like submission of grant requests, disbursement of funds, utilization certificates, approval processes, ranking and accreditation, feedback mechanism etc. Our universities need to evolve by providing their students a centralized, user-friendly portal to submit requests and provide information, while providing teaching and non-teaching staff with powerful, automated workflow and request handling tools. By replacing slow, manual processes with the automated workflow universities can move students through their processes faster, improving their experience and compliance with the standards at the same time.

Importance of Faculty Induction Programmes in Higher Education

 Newly appointed teachers of the higher education system need well-designed induction training programmes at the onset of their career for better handling of classroom situations and students, improved curricular transactions and effective teaching learning processes 

Teachers are the pivots of our higher education system and therefore we need to provide them adequate opportunities within the framework of knowledge society for their professional, personality, pedagogical and career development. Inbuilt mechanisms need to be evolved for their probationary apprenticeship as well as continuing education in order to aid them in building their capacities and thereby help them contribute substantially and significantly towards the body corporate of their higher education institutions that can in turn lead to their institutional and organizational development. Conventionally college or university teachers are believed to learn their art of teaching either by actively emulating outstanding role models such as their own teachers or senior colleagues or by self-learning through their own experiences and efforts. However, in the current age of information technology it may no longer be prudent to expect newly appointed teachers to acquire the art of teaching entirely by emulating their peers and seniors either actively or passively. Well-designed induction training programmes need to be offered at the onset of their career for better handling of classroom situations, improved curricular transactions and effective teaching learning processes. 

Furthermore, there has been a knowledge explosion of late in each and every discipline owing to an easy accessibility to information resources through ICT. College and university teachers too need to continuously update their knowledge, skills and competencies in their own areas of expertise, or simply run the risk of turning redundant in a short span of time. While the really motivated and zealous teachers use their own resources to keep themselves abreast of new knowledge and resources and to train themselves in the latest processes, pedagogies and techniques of teaching, it is imperative to make systematic, comprehensive and well-organized induction and orientation programmes available for the large number of new entrants in teaching at the college and university level. This assumes even greater importance in light of the fact that unlike doctors, bureaucrats and police officers no internship or probationary training is imparted to teachers before inducting them into the actual profession of teaching. While most of them know their own subject very well, some of them find themselves at loggerheads when it comes to teaching and handling different kinds of classroom situations and students. Therefore teachers need to have a fair understanding of the psychology, philosophy and technology of teaching apart from their own area of specialization in order to manage varied behaviours, personalities, attitudes and outlooks of students in their classrooms well. 

In order to fill this void, University Grants Commission, New Delhi has formulated Guru Dakshta Faculty Induction Programme (FIP) of one month duration in November, 2019 and made it compulsory for newly appointed teachers of colleges and universities during the first year of their appointment. FIP is primarily aimed at familiarising the newly appointed teachers of higher education sector with their roles and responsibilities and orient them towards various generic aspects of teaching learning processes, instructional methodologies, assessment and evaluation techniques, besides equipping them with the knowledge of university rules and regulations, fundamentals of hierarchy and administration of higher education institutions. FIP is meant to introduce the new entrants with the structure, functioning, organization and governance in higher education institutions; help them explore pedagogical processes including curricular transactions, instructional planning, teaching methods, classroom management, use of resources and motivate them to recognise the importance of self-development, socio-emotional development of students and of nurturing ethics and values in higher education. 

As per UGC guidelines, the pedagogy used in the Faculty Induction Programme has to reflect participant-centered, inclusive, outcome-based, active learning with adequate use of technology. Approaches that new teachers are being encouraged to use in their classrooms have to be demonstrated during the FIP as well. Teaching pedagogy of the programme has to be based on a combination of peer-facilitated, expert-led, self-learning processes that include discussions, debate and group reflection while connecting key concepts and ideas to the everyday classroom teaching. Participants have to be actively encouraged to reflect on and share their own understanding, questions, practice and experience. Collaborative learning methods like jigsaw, think-pair-share along with role plays and demonstration have to be used during the programme. Resource materials relevant to specific modules have to be shared in advance with the participants as part of the self-learning process in a flipped classroom situation and the book excerpts, articles, policy documents, case studies and video/film clippings shall be an important source of material to be used by them during the training. 

UGC-Human Resource Development Centre of the University of Kashmir conducted its first Guru Dakshta Faculty Induction Programme from March 2 to 29 that was attended by 30 newly appointed Assistant Professors of colleges and universities from within and outside J&K. A total of 96 sessions spread over 24 working days comprising of 144 contact hours @ six hours per day were conducted during the programme. Eminent resource persons from within and outside J&K and abroad were invited to deliver talks on diverse topics and interact with the participants of the course. To begin with a session was held on lecture preparation, delivery techniques and current trends in teaching followed by sessions on the fundamentals of teaching and learning process, online teaching during COVID-19 era: prospects and challenges and the ICT tools for teachers in higher education. Teachers were familiarized with transaction styles, personality and behaviours in varied classroom situations. Some other sessions related to teaching pedagogies included talks on outcome-based education, innovative and emerging teaching pedagogies, teaching and education in a symbiotic relationship with each other; choice-based credit system, SWAYAM and MOOCs platforms in teaching. This was followed by a couple of sessions on scientific publishing with special reference to journal metrics and indexing; plagiarism and copyright issues in teaching and research. 

Besides focussing on teaching equal attention was paid towards issues related to research and several sessions on fundamentals, objectives and ordeals in research; research designs; qualitative research methods and research ethics were also arranged. Awareness was created among the participants about service and leave rules; total quality management in higher education; taxation laws and financial management besides educational strategies for youth empowerment. Issues related to governance in higher education: role of stakeholders; structure of governance in a university system; National Education Policy-2020 and institutional development; Higher Education Commission of India and UGC Regulations 2018 were also covered. Participants were sufficiently sensitized regarding the importance of gender studies; innovation, incubation and entrepreneurship development through patents; interface between science and society; data sciences and machine learning for teachers; importance of mentoring; importance of folklore, culture and heritage studies in higher education; environmental issues of societal importance; state of economy in J&K; mental health issues for teachers; role of teachers in understanding personality disorders among young learners. 

In their presentations emphasis was laid by the resource persons on inculcating professionalism, embracing ethics, exhibiting enthusiasm, displaying empathy and espousing resourcefulness in their teaching and research activities. Teachers were urged to be dependable, ethical, positive, respectful, to build a team and to be the best in their conduct as well as content and delivery. They were advised to be passionate, inspiring role models for their students and motivate them to excel in life through creative and analytical thinking, hard work, dedication and commitment towards learning. They were told that the teachers and students must not only learn to know and learn to be but also learn to do and learn to live together. A teacher must evolve and emerge as a friend, philosopher, guide, planner, disciplinarian, manager, counsellor, facilitator, care-giver, coordinator, communicator, fatherly figure and an educator but not as a tutor who promotes rote learning.  Participants were urged by the experts to flip their classroom teaching by flipping the Bloom’s Taxonomy and supply the resource material even before the class to the students with a view to facilitate their understanding and memorisation of the subject; during the class focus only on analysing and applying what has been learnt at home and after the class undertake evaluation and creative tasks. This is how learning would become practical and meaningful and lead to application of the knowledge gained. 

On the whole this month-long course was rated as highly informative, interesting, refreshing, enlightening and beneficial by the participants wherein they gained new insights and perspectives about teaching and learning process and got an opportunity to update their knowledge, competencies, skills and proficiency in teaching as well as research and also helped them enhance their motivation, efficiency and aptitude in their own areas of specialization. As part of their evaluation participants wrote book reviews, delivered seminar presentations, devised curriculum for skill-based courses in their respective specializations and appeared in MCQ-based written test towards the end of their course wherein they performed well and successfully completed the course. Online attendance-cum-feedback of the participants was collected for each and every session as well as for the whole course. Besides all the participants were given an opportunity to moderate at least one session each and act as rapporteurs preparing as well as presenting reports of the proceedings of their respective sessions. First FIP of the UGC-HRDC, University of Kashmir proved to be a great learning experience for the participants and the organizers as well. 

(Author was the Course Coordinator of Guru Dakshta Faculty Induction Programme organized by UGC-HRDC, University of Kashmir)