The World Bank Technical Education Quality Improvement Project III (P154523) REPORT NO.: RES32304 RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF TECHNICAL EDUCATION QUALITY IMPROVEMENT PROJECT III APPROVED ON JUNE 24, 2016 TO REPUBLIC OF INDIA EDUCATION SOUTH ASIA Regional Vice President: Ethel Sennhauser Country Director: Junaid Kamal Ahmad Senior Global Practice Director: Jaime Saavedra Chanduvi Practice Manager: Cristian Aedo Task Team Leader: Tara Beteille, Francisco Marmolejo The World Bank Technical Education Quality Improvement Project III (P154523) ABBREVIATIONS AND ACRONYMS AICTE All India Council for Technical Education ATU Affiliating Technical University BoG Board of Governors DLI Disbursement Linked Indicator eSAR e-Self Assessment Report GoI Government of India MHRD Ministry of Human Resource Development MIS Management Information System MOU Memorandum of Understanding NBA National Board of Accreditation NPIU National Project Implementation Unit PDO Project Development Objective PIP Project Implementation Plan PG Post Graduate PFMS Public Financial Management System SC Scheduled Castes SPT State Project Team TEQIP Technical Education Quality Improvement Project UG Undergraduate UGC University Grants Commission The World Bank Technical Education Quality Improvement Project III (P154523) BASIC DATA Product Information Project ID Financing Instrument P154523 Investment Project Financing Original EA Category Current EA Category Partial Assessment (B) Partial Assessment (B) Approval Date Current Closing Date 24-Jun-2016 30-Sep-2020 Organizations Borrower Responsible Agency Republic of India Ministry of Human Resource Development Project Development Objective (PDO) Original PDO The proposed project development objective (PDO) is "to enhance quality and equity in participating engineering education institutes and improve the efficiency of the engineering education system in focus states". Current PDO The proposed project development objective (PDO) is "to enhance quality and equity in participating engineering education institutes and improve the efficiency of the engineering education system in focus states". OPS_TABLE_PDO_CURRENTPDO Summary Status of Financing Net Ln/Cr/Tf Approval Signing Effectiveness Closing Commitment Disbursed Undisbursed IDA-58740 24-Jun-2016 01-Feb-2017 03-Mar-2017 30-Sep-2020 201.50 .25 201.25 The World Bank Technical Education Quality Improvement Project III (P154523) Policy Waiver(s) Does this restructuring trigger the need for any policy waiver(s)? No I. PROJECT STATUS AND RATIONALE FOR RESTRUCTURING Background The project was approved by the World Bank Board of Executive Directors on June 24, 2016. As per the request from Government of India, a level 2 restructuring was completed on January 25, 2017 to make changes to the disbursement linked indicators (DLIs) and the results framework was modified in line with the changes to the DLIs. The final restated Financing Agreement was signed on February 1, 2017 and the project became effective on March 3, 2017. Progress toward PDO There is no change in the PDO. The progress towards achievement of Project Development Objectives (PDO) is rated as Satisfactory in the last Implementation Status and Results Report (February 17, 2018). All PDO indicators are currently on track to be met (KPI 1: Average score of students participating in tests designed to measure technical and critical thinking skills; KPI 2: NBA-accredited and/ or applied for programs in participating institutes (UG programs and PG programs); KPI 3: Transition rate of UG engineering students from the first year to second year in participating institutes (Disaggregated by SC/ST groups and gender); KPI 4: Percentage of students from traditionally disadvantaged groups in total enrolment in participating institutes (SC/ST and Women)). Implementation Status The Project’s disbursement rate has remained low, with only US$253,965—or 0.13 percent of the loan amount—disbursed after 14 months of effectiveness. This disbursement is from Component 2 (non-DLI), with none of the DLIs having disbursed thus far. The Implementation Performance rating was Moderately Satisfactory in the last Implementation Status and Results Report (February 17, 2018). While implementation has progressed well following effectiveness, and the project has incurred expenditures, specific changes in Disbursement Linked indicators (DLIs) are required for the project to disburse under Component 1. This is the primary rationale for restructuring. The changes for two of the DLIs are minor: (1) DLI #1: setting the correct baseline and resulting changes in the targets; and (2) DLI #2: modifying the definition of autonomy to be consistent with the definition employed by the AICTE, the statutory regulatory body overseeing engineering and technical education in India. The baselines and targets are also revised for the reasons as described in the section below on “proposed changes”. Once these changes are made to the DLIs, both DLI #1 and DLI #2 can disburse this fiscal as Year 2 targets for each has been met, with adequate expenditure already incurred for DLI #1 and partially incurred for DLI #2 under the EEP. Adequate expenditure to permit disbursement of DLI #2 is expected to be met by June 30, 2018. The other DLIs are close to being met, but the project has not incurred adequate expenditures yet to be able to claim those (assuming it claims for DLI#1 and DLI#2). The World Bank Technical Education Quality Improvement Project III (P154523) The more substantive changes pertain to dropping two DLIs (current DLI#3 and current DLI#4) and adding three new ones. These DLIs were requested by Department of Economic Affairs (DEA) after negotiation and Board approval, which led to the first restructuring of the project. While broadly consistent with the PDO, DLI#3 and DLI#4 are beyond the scope of the project. In this restructuring, the proposal is to drop DLI#3 and DLI#4, and add three DLIs that fall within the scope of the project and align better with the PDO. These are: Proposed DLI#3: Percentage of Participating Institutes in Focus States with a Board of Governors (BoG) composed as per prescribed structure that meets at least 4 times every calendar and which publicly discloses the minutes of all meetings. Proposed DLI#4: Train final year engineering students to take exit examination (e.g. GATE) in each Focus State participating institution. Proposed DLI#5: (i) Timeliness of allocations and utilization; and (ii) expenditure recognition against the utilization DLI#3 and DLI#5 focus on efficiency, and hence align with the part of the PDO focusing on efficiency. The current set of DLIs do not look at efficiency, even though this is an important aspect of the PDO. The proposed restructuring will remedy the omission of efficiency-focused DLIs. DLI#4 focuses on quality. In summary, the proposed changes not only align better with the PDO, but will also allow disbursement to proceed smoothly. Together, this provides the overall rationale for this restructuring. Progress by Component Component 1: A total of 160 institutes and 13 Affiliating Technical Universities (ATUs) have been selected to participate in the project. Of these, 91 institutes and 10 ATUs are from the focus states as identified in the Project Appraisal Document. Implementation proceeded at an accelerated pace following effectiveness. Twinning of institutes and ATUs from focus states with higher performing states has been completed. Faculty reforms have progressed well, with 1324 faculty across 33 disciplines being recruited under the project in accordance with AICTE norms. Indian Institutes of Technology and Indian Institutes of Management have commenced the delivery of training to project institutes. Work on strengthening governance has commenced with multiple trainings and a new toolkit having been designed to replace the earlier one. Component 2: All India Council for Technical Education (AICTE)-Stanford Student Learning Assessment Study was initiated in May 2017 and has progressed successfully. A preliminary report on the first-round study is now available. This was presented in April 2018 at a close-group seminar of academicians and practitioners, led by Secretary (Higher Education). It was also presented to the Honorable Minister, Ministry of Human Resource Development (MHRD) and a joint media briefing was held between AICTE and the World Bank. AICTE capacity-building has also commenced. Staffing of the national project implementation unit (NPIU) is complete, but staffing in some state-level implementation agencies is incomplete. As an interim arrangement, NPIU has deputed consultants to manage state-level work. Procurement: Procurement has been progressing smoothly in the majority of institutes, with 143 institutions having submitted their procurement plan in PMSS. All 143 procurement plans have been reviewed by NPIU. Procurement comprises 39 percent of expenditures. Third-party Verification (TPV): Given the uncertainty on DLIs, the TPV agency has not yet been identified. An TPV is required for only one DLI in June 2019 and June 2020. Given the slow pace of disbursement and staffing constraints at the state level, Implementation Progress is rated as Moderately Satisfactory. The World Bank Technical Education Quality Improvement Project III (P154523) II. DESCRIPTION OF PROPOSED CHANGES Changes to DLIs 1) DLI 1: Number of undergraduate (UG) programs offered in Participating Institutes in Focus States that are NBA accredited. a. The indicator name is changed to “Percentage of undergraduate (UG) programs offered in Participating Institutes in Focus States that are NBA accredited or for which NBA accreditation has been applied”. The name requires correction as the baseline specified for this indicator in the revised DLI matrix included programs in institutes in focus states for which NBA accreditation had been applied for. b. The baseline data and targets are revised. The baseline data were collected when the TEQIP-II was in the last year (2016-17), and TEQIP III was being restructured, prior to effectiveness. Shortly thereafter, the National Board of Accreditation (NBA) introduced pre-qualification (PQ) criteria and all the applications submitted were scrutinized and failure to fulfil PQ criteria resulted in applications being either rejected or withdrawn. Due to this, the baseline (when TEQIP-III started in March 2017) got drastically reduced. This unforeseen situation necessitates to revise targets for every year. c. The DLI amount for Year 4 is reduced to accommodate an additional DLI (DLI#5) 2) DLI 2: Percentage of Participating Institutes in Focus States with UGC autonomy. a. The indicator name is changed to “Percentage of Participating Institutes in Focus States with autonomy”. This change is made to clarify that an autonomous Institution means the institution which can revise/modify its curriculum which includes centrally funded institutions (CFIs), Unitary /Deemed to be University, University Department/Faculty/single Constituent College and Institutions declared autonomous by University Grants Commission (UGC). The same definition is followed by NBA while categorizing TIER-1 and TIER 2 institutions, and this change in definition makes the two indicators internally consistent. The verification protocol is revised to reflect the change. b. The baseline data and targets are revised. The base line was decided on the basis of prospective institutions identified for participation in the Project. However, there has been significant change in the list of participating institutions due to addition/deletion of the institution during selection process. The targets are modified as reduced targets for accreditation (DLI#1) have significant bearing on autonomy (eligibility for UGC autonomy requires at least 3 programs in the institute to be accredited by NBA). c. The DLI amount for Year 2,3 and 4 are reduced to accommodate an additional DLI (DLI#5). 3) DLI 3: Percentage of students in the final year of UG program from Participating Institutes in Focus States who achieved the qualifying score in the GATE exam. a. The indicator is dropped and a new indicator is introduced: Percentage of Participating Institutes in Focus States with a Board of Governors (BoG) composed as per prescribed structure that meets at least 4 times every calendar and which publicly discloses the minutes of all meetings. The GATE results are declared based on different zones of the country and further based on examination centers. Hence, obtaining accurate data institutions-wise is difficult. In view of the important role played by Board of Governors (BoG) in the progress of institutions (institutional development and accountability), formation of such BoGs capable of avoiding conflict of interest is insisted and introduced as a new DLI. This indicator is already included in the current Results Framework with the only change in the target for Year 3. 4) DLI 4: Development and implementation of GATE as a mandatory exit examination for students of engineering colleges. a. This indicator is dropped and a new indicator is introduced: Percentage of Participating Institutes in Focus States that train final year engineering students to take exit examination (e.g. GATE). GoI has decided not The World Bank Technical Education Quality Improvement Project III (P154523) to impose GATE as a mandatory exit examination to avoid further stress on the students. The GATE exit exam will be a recommended condition for All India Council for Technical Education, but will not be made mandatory. Instead, the final year students should take additional work of completion of projects, simultaneously attend many other training programs for improving employability and entrepreneurial skills, and appear in many other examinations conducted by industries to test their aptitude. The revised DLI ensures enrichment of conceptual knowledge and skills of the students through additional training. 5) New DLI 5: (i) Timeliness of allocations and utilization; and (ii) expenditure recognition against the utilization. In view of the short duration of the project, it becomes necessary to increase the pace of activities targeted for improvement of quality. As the activities are directly related to expenditures, a new quantifiable DLI is proposed to measure (i) timeliness of allocations and utilization; and (ii) expenditure recognition against the utilization. Targets have been set for Year 2, 3 and 4. Changes to Results Framework: The Results Framework (RF) of the Project is being modified in line with the changes to the Disbursement Linked Indicators. SN Original Indicator Revised Indicator Changes 1 PDO 2: NBA-accredited NBA-accredited and/ or The indicator name is changed for clarity and to programs in applied for programs in be in line with DLI 1. In addition (i) baselines participating institutes participating institutes have been clarified after selection of institutions; (ii) Year 2 and 3 targets for UG programs in focus states pertains to “accredited or applied for”; and (ii) Year 2, 3, 4 and 5 targets are aligned to DLI targets for UG programs in focus states. 2 PDO 3: Percentage of Dropped Indicator is dropped in line with changes made students in the final year to the DLI. of UG program from Participating Institutes in Focus States who achieved the qualifying score in the GATE exam 3 Intermediate Outcome Percentage of The indicator name is changed for clarity and to (IO) 3: Percentage of Participating Institutes in be in line with DLI 1 and the baseline targets and Participating Institutes Focus States with definition/ description are revised in line with in Focus States with autonomy the changes made to the DLI. UGC autonomy 4 IO 6: Number of faculty Number of faculty trained The indicator name is clarified to specify that trained in either their in either their subject these are cumulative targets. subject domain, domain, pedagogy, or pedagogy, or management in management in participating institutes participating institutes (cumulative) 5 IO 9: Student, Staff, and No change The Year 1 target is moved to Year 2 to account Faculty Satisfaction for the delay in implementation. There is no Survey change to end of project target. The World Bank Technical Education Quality Improvement Project III (P154523) 6 IO 10: Employer No change The Year 1 target is moved to Year 2 to account satisfaction with for the delay in implementation. There is no engineers recruited in change to end of project target. the past year 7 IO 11: Development Dropped. Replaced with The indicator is dropped in line with the change and implementation of the following new made to the DLI. A new indicator has been GATE as a mandatory indicator “Percentage of introduced in its place. exit examination for participating institutes in students of engineering Focus states that train colleges final year engineering students to take exit examination (e.g. GATE)” 8 IO 12: Number of No change The Year 2 target is moved to Year 3 as engineering education institutions in focus states are likely to take institutes in focus states more time to meet the enabling mechanisms. that meet the enabling mechanisms for participation in the project 9 IO 13: Percentage of (i) Timeliness of This is in line with change introduced to the DLI eligible transactions, in allocations and matrix. the previous six utilization; and (ii) months, against which expenditure recognition funds are released in against the utilization full to participating institutes by the MHRD, within 10 calendar days of the date on which the participating institute requests the payment 10 IO 14: Percentage of Percentage of The indicator name is revised in line with the participating institutes participating institutes change made to the DLI and the DLI target for with a BoG, with a BoG composed as Year 3 has been revised to be in line with the Department per prescribed structure DLI. Management that meets at least 4 Committee or times every calendar and equivalent that meets which publicly discloses at least 4 times every the minutes of all calendar and which meetings publicly discloses the minutes of all meetings 11 IO 15: Number of No change The Year 2 and 3 targets are adjusted to account participating ATUs with for the delay in implementation. There is no MIS capable of change to end of project target. producing annual report against prescribed indicators The World Bank Technical Education Quality Improvement Project III (P154523) 12 IO 16: Percentage of No change The Year 2 and 3 targets are adjusted to account participating institutes for the delay in implementation. There is no that produce and change to end of project target. publish an annual report in the prescribed format in accordance with the requirements set out in the PIP Changes to Disbursement Arrangements: Disbursement arrangements will change in accordance with the changes made to the DLIs. Change to Disbursement Estimates: Disbursement estimates for the respective fiscal years will change in accordance with the changes made to the DLIs. III. SUMMARY OF CHANGES Changed Not Changed Change in Results Framework ✔ Change in Disbursements Arrangements ✔ Change in Disbursement Estimates ✔ Change in Implementing Agency ✔ Change in DDO Status ✔ Change in Project's Development Objectives ✔ Change in Components and Cost ✔ Change in Loan Closing Date(s) ✔ Cancellations Proposed ✔ Reallocation between Disbursement Categories ✔ Change in Overall Risk Rating ✔ Change in Safeguard Policies Triggered ✔ Change of EA category ✔ Change in Legal Covenants ✔ Change in Institutional Arrangements ✔ Change in Financial Management ✔ Change in Procurement ✔ The World Bank Technical Education Quality Improvement Project III (P154523) Change in Implementation Schedule ✔ Other Change(s) ✔ Change in Economic and Financial Analysis ✔ Change in Technical Analysis ✔ Change in Social Analysis ✔ Change in Environmental Analysis ✔ IV. DETAILED CHANGE(S) OPS_DETAILEDCHANGES_RESULTS_TABLE RESULTS FRAMEWORK Project Development Objective Indicators PDO_IND_TABLE Average score of students participating in tests designed to measure technical and critical thinking skills Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Test being administered Test administered for for the first time third time and 5 Value n.a. No Change percent increase over previous cycle. Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 NBA-accredited and/ or applied for programs in participating institutes. Indicator will track increase in percentage points Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action a) Focus States a) Focus States -Applied and accredited: -Applied and 10 accredited: 40 Other States UG programs- Other States -Accredited: 17.8 Focus States -Applied -Accredited: 15 and accredited: 28.47 Value Revised (b) Focus States Other States -Accredited: -Applied and accredited: 55 4 (b) Focus States Other States -Applied and Accredited: 8.2 accredited: 20 Other States The World Bank Technical Education Quality Improvement Project III (P154523) Accredited: 15 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of students in the final year of UG program from Participating Institutes in Focus States who achieved the qualifying score in the GATE exam (DLI 3) Unit of Measure: Percentage Indicator Type: Custom Baseline Actual (Current) End Target Action Value 13.00 25.00 Marked for Deletion Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Transition rate of UG engineering students from the first year to second year in participating institutes.(Disaggregated by SC/ST groups and gender) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States Focus States-All: 50 Focus States: 67 -All: 60 -SC/ST: 40 SC/ST: 56.56 -SC/ST: 50 -Female: 45 Female: 72.18 -Female:55 Value Other States Other States: 69.19 No Change Other States -All: 67 SC/ST: 56.68 -All: 77 -SC/ST: 54 Female: 75.28 -SC/ST: 65 -Female: 64 -Female:75 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of students from traditionally disadvantaged groups in total enrolment in participating institutes (a) SC/ST (b) Women Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States: SC/ST: 25, Female: 23.22 SC/ST:15 SC/ST:20 Value Other States: SC/ST: No Change Women: 26 Women: 30 20.73; Female: 28.15 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Intermediate Indicators The World Bank Technical Education Quality Improvement Project III (P154523) IO_IND_TABLE Direct project beneficiaries Unit of Measure: Number Indicator Type: Custom Baseline Actual (Current) End Target Action Value 1469441.00 1483863.00 3210204.00 No Change Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Female beneficiaries Unit of Measure: Percentage Indicator Type: Custom Supplement Baseline Actual (Current) End Target Action Value 26.00 24.68 30.00 No Change Percentage of participating institutes in focus states with autonomy (DLI 2) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Value 44 47.78 55 Revised Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of PhD students in total enrolment in engineering disciplines in participating institutes. Indicator will track percent increase over baseline Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States: 1.6 Focus States: 100 Focus States: 1.81 Value No Change Other States: 8.94 Other States: 2.5 Other States: 100 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of sanctioned faculty positions in participating institutes filled by regular or contract faculty, contracted as per AICTE norms Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action The World Bank Technical Education Quality Improvement Project III (P154523) Focus States:40 Focus States:67.36 Focus States:85 Value No Change Other States:65 Other States:81.48 Other States:85 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Number of faculty trained in either their subject domain, pedagogy or management in participating institutes (cumulative) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States:5000 Focus States: 1197 Value 0 Revised Other States: 1497 Other States:6000 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of externally funded research and development projects and consultancies in total revenue in participating institutes Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States: Focus States: 7 2 Focus States: 3.27 Value No Change Other States: Other States: 16.79 Other States: 15 10 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Participation of affiliated institutes in participating ATUs in newly designed research-hub related activities Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Research hubs yet to be Focus States: 30 Value 0 established No Change Other States: 150 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Student, Staff and Faculty Satisfaction Survey Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Value NA Survey will be carried 15 percent increase in Revised out in 2nd year i.e. after average satisfaction The World Bank Technical Education Quality Improvement Project III (P154523) March 2018 level over the previous round Report on third round published and action plan prepared. Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Employer satisfaction with engineers recruited in the past year Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action 10 percent increase in average satisfaction level over the previous round Value NA - Revised Report on third round published and action plan prepared Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Development and implementation of GATE as a mandatory exit examination for students of engineering colleges (DLI 4) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action At least 90% (78) AICTE order is awaited. Participating 40% students of 70% Institutes assist at institutions participating Value - least 75% of their Marked for Deletion in GATE 2018 graduating students in examination. preparing for the GATE Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Number of engineering education institutes in focus states that meet the enabling mechanisms for participation in the project Unit of Measure: Number Indicator Type: Custom Baseline Actual (Current) End Target Action Value 21.00 74.00 87.00 Revised The World Bank Technical Education Quality Improvement Project III (P154523) Date 31-Dec-2015 01-Dec-2017 30-Jun-2019 Release of Funds by MHRD (see detailed description below) Unit of Measure: Percentage Indicator Type: Custom Baseline Actual (Current) End Target Action Value 0.00 95.00 Marked for Deletion Date 31-Dec-2015 30-Sep-2020 Percentage of participating institutes with a BoG composed as per prescribed structure that meets at least 4 times every calendar and which publicly discloses the minutes of all meetings (DLI #3) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States: 35 Focus States: 45 Focus States: 95 Value Revised Other States: 60 Other States: 40 Other States: 95 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Number of participating ATUs with MIS capable of producing annual report against prescribed indicators Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action MIS functional: MIS yet to be developed Focus States: At least Value NA for generating such 5 ATUs Revised report. Non-LIS: At least 3 ATUs Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of participating institutes that produce and publish an annual report in the prescribed format in accordance with the requirements set out in the PIP Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Focus States :85 Value 0 - No Change Other States:85 Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 The World Bank Technical Education Quality Improvement Project III (P154523) Number of participating ATUs in focus states that publicly declare final semester examination results before the start of the next academic year Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action Value 0 9 6 No Change Date 31-Dec-2015 01-Dec-2017 30-Sep-2020 Percentage of participating institutes in Focus states that train final year engineering students to take exit examination (e.g. GATE) (DLI#4) Unit of Measure: Percentage Indicator Type: Custom Baseline Actual (Current) End Target Action Value 25.00 60.00 New Date 31-Dec-2015 30-Sep-2020 i) Timeliness of allocations, and utilization; and (ii) expenditure recognition against the utilization (DLI #5) Unit of Measure: Text Indicator Type: Custom Baseline Actual (Current) End Target Action For the last two quarters: (i) Fund utilization (eligible payments made) are equivalent to at least 90% or more, of the approved allocations for the participating Value NA NA institutes; and New (ii) At least 90% of the funds utilized to date have been accounted for as expenditures in the Books of Accounts of the participating institutes. Date 31-Dec-2015 01-May-2018 30-Jun-2020 The World Bank Technical Education Quality Improvement Project III (P154523) OPS_DETAILEDCHANGES_DISBURSEMENT_TABLE DISBURSEMENT ESTIMATES Change in Disbursement Estimates Yes Year Current Proposed 2016 0.00 0.00 2017 4,000,000.00 0.00 2018 50,000,000.00 12,000,000.00 2019 69,000,000.00 40,000,000.00 2020 75,000,000.00 70,000,000.00 2021 3,500,000.00 79,500,000.00 2022 0.00 0.00 The World Bank Technical Education Quality Improvement Project III (P154523) ANNEX 1: REVISED DISBURSEMENT LINKED INDICATORS MATRIX AND VERIFICATION PROTOCOL Disbursement-Linked Disbursement-Linked Targets Indicators Baseline Targets to be Targets to be Achieved in TY Targets to be Achieved in TY Targets to be Achieved in TY 2018 (Year 2) 2019 (Years 3) Achieved in TY 2020 2017 (Year I) (July 2017-June 2018) (July 2018-June 2019) (Year 4) (July 2016- June July 2019-June 2020) 2017) DLI#1 Percentage of 10% N/A At least 20%: US$ 10 million At least 35%: At least 50% undergraduate (UG) programs US$ 15 million offered in Participating US$ 1 million for every Institutes in Focus States that additional 1% programs US$ 1 million for every are NBA accredited or for accredited or applied for, up additional 2% programs which NBA accreditation has to a maximum of 3% accredited, up to a been applied programs maximum of 6% programs DLI Values N/A US$13 million US$ 18 million US$20 million DLI# 2 Percentage of 44% N/A At least 47% At least 50% At least 55% Participating Institutes in Focus States with autonomy DLI Values N/A US$ 10 million US$ 12 million US$ 13 million DLI#3 Percentage of 35% N/A At least 60% At least 70% At least 95% Participating Institutes in Focus States with a BoG composed as per prescribed structure that meets at least 4 times every calendar and which publicly discloses the minutes of all meetings. DLI Values N/A US$ 7 million US$ 9 million US$ 11 million Percentage of participating 25% N/A At least 30% At least 50% At least 60% institutes in Focus states that train final year engineering students to take exit examination (e.g. GATE) The World Bank Technical Education Quality Improvement Project III (P154523) DLI Values US$ 5 million US$ 10 million US$ 14 million DLI#5 (i) Timeliness of N/A N/A In the previous six (6) For the last two quarters: For the last two allocations, and utilization; months: (i) Fund utilization (eligible quarters: and (ii) expenditure (i) MHRD provides allocation payments made) (i) Fund utilization recognition against the in public finance are equivalent to at least (eligible payments utilization. management system for at 70% or more, of the made) are least 75% of the fund approved allocations for equivalent to at least requests submitted by the the participating institutes; 90% or more, of the participating institutes, and approved allocations within ten (10) calendar (ii) At least 70% of the for the participating days from the start of funds utilized to date have institutes; and quarter; and been accounted for as (ii) At least 90% of (ii) At least 70% of the expenditures in the Books the funds utilized to payments requests made by of Accounts of the date have been the participating institutes participating institutes. accounted for as expenditures in the are honored within thirty Books of Accounts of (30) calendar days from the the participating date on which the institutes. participating institute requests the payment for eligible transactions. DLI Values N/A US$ 4 million US$ 6 million US$ 7 million The World Bank Technical Education Quality Improvement Project III (P154523) DLI Verification Protocol NOTE: An institute is considered as participating for these indicators if an MOU has been signed between the institute and the state government or MHRD/NPIU (as the case may be). All indicator values achieved at each date of reporting will be rounded down to the nearest whole number, including for verifying whether a DLI has been achieved. DLI Verification Protocol DLI #1 Percentage of undergraduate (UG) Applicable to all institutes under Subcomponent 1.1 which have signed an MOU programs offered in with the MHRD or respective state government (as the case may be) for Participating Institutes in participation in the project. Focus States that are NBA accredited or for which NBA NBA accreditation of the program(s) offered by an institute is applied for if the accreditation has been institute offering the program has completed the following steps: applied (a) Registration with the NBA (b) Completion of the online application form for NBA accreditation of the program(s) and payment of the accreditation fee (c) Submission of the eSAR for the program(s) to the NBA A program is accredited if the NBA has accredited it for two or five years. A program will continue to be considered accredited for six months after the date on which its accreditation expires, conditional on it having applied for renewal. If the NBA has accredited a program at any time previously, for two or five years, it will be considered accredited only if it receives five-year accreditation in subsequent accreditation cycles. To avoid double-counting, no program that is accredited will be included in calculating the number of programs that have applied for accreditation. The percentage of programs accredited (and/or applied for) will be calculated out of the total number of AICTE approved eligible UG/PG programs offered by institutes as of the date of reporting. Source (i) Project MIS. For the program(s) for which accreditation has been applied for, the institute uploads, to the MIS (a) a copy of the receipt for payment of accreditation fees to the NBA. (b) a copy of the eSAR submitted to the NBA. The World Bank Technical Education Quality Improvement Project III (P154523) DLI Verification Protocol For the program(s) that have been accredited: The institute will upload, to the MIS, a copy of the notification from the NBA on the accreditation status of the program(s). NPIU will provide the World Bank a list of institutes which have provided proof of having applied for accreditation or received accreditation as per the guidelines above. The World Bank will verify this information through a 10% sample check using publicly-available data from the NBA’s website. This DLI can be carried forward or met early. DLI# 2 Percentage of Participating Institutes in Applicable to all institutes participating under Subcomponents 1.1, which have Focus States with signed an MOU with the MHRD or respective state government (as the case may be) autonomy for participation in the project. An Autonomous Institution means the institution which can revise/modify its curriculum which includes centrally funded institutions (CFIs), Unitary /Deemed to be University, University Department/Faculty/single Constituent College and Institutions declared autonomous by UGC. UGC autonomy refers to the delegation of powers to an institute, by the UGC, according to the UGC Guidelines for Autonomous Institutes 2012–17. An institute is considered autonomous once it receives a formal notification from the UGC that it has been granted autonomy. Source: (i) Project MIS. Institutes will upload the autonomy status to the MIS. (ii) UGC/ University website NPIU will provide the World Bank a list of institutes which have provided proof of autonomy as per the guidelines above. The World Bank will verify this information through a 10% sample check using publicly-available data from the UGC or University’s website. This DLI can be carried forward or met early. DLI#3 Percentage of Applicable to institutes under Component 1.1, which have signed an MOU with the Participating Institutes in MHRD or respective state government (as the case may be) for participation in the Focus States with a BoG project. composed as per prescribed structure that meets at least Participating affiliated colleges and constituent colleges, which have autonomous 4 times every calendar and status from the UGC will be required to constitute a BoG according to the norms of The World Bank Technical Education Quality Improvement Project III (P154523) DLI Verification Protocol which publicly discloses the the UGC and as defined in the PIP. BoG refers to a body with overall responsibility minutes of all meetings. for the strategic direction and accountability of the college, constituted according to the norms of the UGC, contained in the UGC Approval of Colleges Offering Technical Education by Universities Regulation, 2013, Appendix 16 of Annexure C. Participating affiliating universities and constituent colleges which do not have autonomous status from UGC will be required to constitute a BoG as defined in the PIP. All participating institutes will declare the composition of their BoGs, with the professional background of BoG members on their websites. Minutes of all BoG meetings will be published on institutes’ websites within two months of the date of the meeting, such that a search from the institute’s website using the term ‘Board of Governors’ yields a link/links to the minutes. Each state project implementation unit will collect a consolidated list of the links at the time of reporting which the NPIU will collate. Source: Institutes’ websites and a consolidated report prepared by NPIU. This DLI can be carried forward. The World Bank Technical Education Quality Improvement Project III (P154523) DLI Verification Protocol DLI #4 Percentage of Applicable to all institutes under Subcomponent 1.1 engineering colleges which participating institutes in have signed an MOU with the MHRD or respective state government (as the case Focus states that train final may be) for participation in the project. year engineering students to take exit examination (e.g. Exit examination refers to the examination for testing technical and / or aptitude of GATE) the students, for example. GATE, pre-placement training etc. Assistance includes the following: (1) Providing focused coaching (with internal faculty or outsourced service provider) for exit examination preparation through classroom teaching at no additional cost to the student (2) Providing focused learning material for exit examination preparation at no additional cost to the student (3) Providing scholarships for exit examination preparation if college is unable to provide appropriate assistance. Source: Institutes will be required to train at least 70% of students in the final year. Institutes will provide NPIU a list of students who were provided assistance for exit exam preparation, along with details of type of assistance and student contact details. The data will be uploaded to the project MIS. Third party verification required for target years 2019 and 2020. This will include random checks with students on the veracity of information provided in institute lists. This DLI can be met early. The World Bank Technical Education Quality Improvement Project III (P154523) DLI Verification Protocol DLI#5 (i) Timeliness of Applicability: All institutes under Component 1, which have signed an MOU with the allocations and utilization; MHRD or respective state government (as the case may be) for participation in the and (ii) expenditure project. recognition against the utilization. Definition: The MHRD provides allocation of funds to institutes through the Public Financial Management System (PFMS) at the start of each quarter and on a rolling basis honors the payment requests made by institutes against eligible transactions as defined in the PIP based on agreement between MHRD and the World Bank. Eligible utilization: Utilizations implies actual payments through PFMS towards eligible transactions requests raised by the participating institutes. Only transactions entered by institutes that meet the performance benchmarks, defined in the PIP based on agreement between MHRD and the World Bank, and are eligible for continued funding will be considered for the purpose of this indicator. Time frame: The DLI for any target year, can be met early and claim can be lodged ahead of the target date. However, no claim can be lodged for that specific year where the DLI is met after the respective timeframe for the target year is over. Base data source: The PFMS will track utilization of funds allocated to institutes. Institutions will be required to account (in the Books of Accounts) for expenditures recognized against these utilizations. Detailed information requirement: NPIU will provide the World Bank: For Year 2 (a) the number of calendar days between the start of the related quarter and the date on which the allocation was provided to institutes in PFMS (supported by PFMS report); (b) the number of calendar days between (i) date of payment request: the date the institute applies its Digital Signature Certificate (DSC) reflected by ‘Date of Advice Generation’ in PFMS; and (ii) Date of payment: when the amount was debited from the central pool bank account reflected by ‘Debit Status Date’ in PFMS. For Year 3 and 4, (a) percentage of funds utilized by institute against allocations received for the last two quarters (supported by PFMS report); (b) evidence that institutes have accounted for (in the books of accounts) expenditure against total funds utilized till date which will be subsequently substantiated through annual Statutory Audit Reports issued by the External Auditors. The World Bank Technical Education Quality Improvement Project III (P154523) ANNEX 2: REVISED RESULTS FRAMEWORK Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) 1. Average score of students [No target as the Test Test Test administered participating in tests designed test will be administered for administered for for third time and 5 to measure technical and designed and first time and second time and percent increase critical thinking skills piloted during baseline 5 percent over previous cycle this period] established increase over baseline 2. NBA-accredited and/ or a) Focus States (a) Focus States (a) Focus States (a) Focus States (a) Focus States (a) Focus States (a) Focus States applied for programs in -Applied and -Applied and - Applied and - Applied and -Applied and -Applied and -Applied and participating institutes accredited: 10 accredited: 2 Accredited: 10 Accredited: 25 accredited: 40 accredited: 40 accredited: 40 Other States Other States Other States Other States Other States Other States Other States (a) UG programs (DLI1) -Accredited: 17.8 -Accredited: 1 -Accredited: 4 -Accredited: 8 -Accredited:15 -Accredited: 15 -Accredited: 15 (b) PG programs (b) Focus States (b) Focus States - Indicator will track increase in -Applied and Applied and percentage points accredited: 4 accredited: 2 (b) Focus States (b) Focus States (b) Focus States Other States Other States (b) Focus States (b) Focus States -Applied and -Applied and -Applied and Accredited: 8.2 Accredited: 1 -Applied and -Applied and accredited: 20 accredited: 20 accredited: 20 accredited: 5 accredited: 15 Other States Other States Other States The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) Other States Other States Accredited: 15 Accredited: 15 Accredited: 15 Accredited: 5 Accredited: 8 3. Transition rate of UG Focus States-All: Focus States Focus States Focus States Focus States Focus States Focus States engineering students from the 50 -All: 51 -All: 53 -All: 55 -All: 60 -All: 60 -All: 60 first year to second year in -SC/ST: 40 participating institutes. -SC/ST: 41 -SC/ST: 43 -SC/ST: 45 -SC/ST: 50 -SC/ST: 50 -SC/ST: 50 -Female: 45 (Disaggregated by SC/ST -Female:46 -Female:48 -Female: 50 -Female:55 -Female:55 -Female:55 groups and gender) Other States Other States Other States Other States Other States Other States Other States -All: 67 -All: 68 -All: 70 -All: 75 -All: 77 -All: 77 -All: 77 -SC/ST: 54 -SC/ST: 56 -SC/ST: 58 -SC/ST: 60 -SC/ST: 65 -SC/ST: 65 -SC/ST: 65 -Female: 64 -Female: 66 -Female:68 -Female:70 -Female:75 -Female:75 -Female:75 4. Percentage of students from SC/ST: 15 SC/ST: 16 SC/ST: 17 SC/ST: 18 SC/ST: 20 SC/ST: 20 SC/ST: 20 traditionally disadvantaged Women: 26 Women: 26.5 Women: 27 Women: 28 Women: 30 Women: 30 Women: 30 The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) groups in total enrolment in participating institutes (a) SC/ST (b) Women Intermediate Results Indicators 1. Direct project beneficiaries 1,469,441 1,496,759 1,541,801 1,614,472 1,690,643 1,690,643 3,210,204 (Number) - (cumulative) 2. Female beneficiaries 26 26.5 27 28 30 30 30 (Percentage - Sub-Type: Supplemental) - Quality indicators The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) 3. Percentage of participating 44 45 47 50 55 55 55 institutes in focus states with autonomy (DLI 2) 4. Percentage of PhD students Focus States: 1.6 Focus States:10 Focus States:30 Focus States:70 Focus States:100 Focus States:100 Focus in total enrolment in States:100 engineering disciplines in participating institutes Other States: 2.5 Other States:10 Other States:30 Other States:70 Other States:100 Other States:100 Other States:100 Indicator will track percent increase over baseline 5. Percentage of sanctioned Focus States: 40 Focus States: 42 Focus States: 50 Focus States: 65 Focus States: 85 Focus States: 85 Focus States: 85 faculty positions in participating institutes filled by regular or contract faculty, Other States: 65 Other States: 66 Other States: 68 Other States: 70 Other States: 85 Other States: 85 Other States: 85 contracted according to AICTE norms The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) 6. Number of faculty trained in 0 Focus States:500 Focus States: Focus States: Focus States: 5,000 Focus States: 5,000 Focus States: either their subject domain, 1,000 2,500 5,000 pedagogy, or management in participating institutes Other States: Other States: 6,000 Other States: 6,000 (cumulative) 1,000 Other States: Other States: Other States: 2,000 3,000 6,000 7. Percentage of externally Focus States: Focus States: 3 Focus States: 4 Focus States: 5 Focus States: 7 Focus States: 7 Focus States: 7 funded R&D projects and 2 consultancies in total revenue in participating institutes Other States: Other States: 11 Other States: 12 Other States: 13 Other States: 15 Other States: 15 Other States: 15 10 8. Participation of affiliated 0 Focus States: 5 Focus States: 10 Focus States: 15 Focus States: 30 Focus States: 30 Focus States: 30 institutes in participating ATUs in newly designed research- hub related activities (number) Other States: 20 Other States: 30 Other States: 60 Other States:150 Other States:150 The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) Other States: 150 9. Student, Staff, and Faculty Report on first 15 percent 15 percent increase Satisfaction Survey round published increase in in average and action plan average satisfaction level prepared satisfaction level over the previous over the round previous round Report on third Report on round published and second round action plan prepared published and action plan prepared The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) 10. Employer satisfaction with First round of 10 percent 10 percent increase engineers recruited in the past employer increase in in average year satisfaction average satisfaction level survey satisfaction level over the previous conducted over the round previous round Report on first Report on third round published Report on round published and and action plan second round action plan prepared prepared published and action plan prepared 11. Percentage of participating 25% 30% 50% 60% NA p60% institutes in Focus states that train final year engineering students to take exit examination (e.g. GATE) (DLI 4) The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) Equity 12. Number of engineering 21 55 87 education institutes in focus states that meet the enabling mechanisms for participation in the project System efficiency 13. (i) Timeliness of NA In the previous For the last two For the last two allocations, and utilization; six (6) months: quarters: quarters: and (ii) expenditure (i) MHRD (i) Fund (i) Fund utilization provides utilization (eligible payments recognition against the allocation in (eligible made) are utilization (DLI 5). public finance payments equivalent to at management made) least 90% or system for at are equivalent more, of the least 75% of the to at least 70% approved fund requests or more, of the allocations for the submitted by approved participating the participating allocations for institutes; and The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) institutes, the participating (ii) At least 90% of within ten (10) institutes; and the funds utilized calendar days (ii) At least 70% to date have been from the start of of the funds quarter; and accounted for as utilized to date expenditures in (ii) At least 70% have been the Books of of the payments accounted for as Accounts of the requests made expenditures in participating by the the Books of institutes. participating Accounts of the institutes are participating honored within institutes. thirty (30) calendar days from the date on which the participating institute requests the payment for The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) eligible transactions. 14. Percentage of participating Focus States: 35 Focus States: 60 Focus States: 70 Focus States: 95 Focus States: 95 Focus States: 95 institutes with a BoG Other States: 60 Other States: 80 Other States: 95 Other States: 95 Other States: 95 Other States: 95 composed as per prescribed structure that meets at least 4 times every calendar and which publicly discloses the minutes of all meetings (DLI 3) 15. Number of participating 0 MIS designed: MIS developed: MIS functional: MIS functional: MIS functional: ATUs with MIS capable of Focus States: At Focus States: At Focus States: At Focus States: At Focus States: At producing annual report least 1 ATU least 3 ATUs least 5 ATUs least 5 ATUs least 5 ATUs against prescribed indicators Non-LIS: At least Non-LIS: At least Non-LIS: At least 3 Non-LIS: At least 3 Non-LIS: At least 1 ATU 2 ATUs ATUs ATUs 3 ATUs 16. Percentage of participating 0 Focus States: 20 Focus States: 60 Focus States: 85 Focus States: 85 Focus States: 85 institutes that produce and The World Bank Technical Education Quality Improvement Project III (P154523) Cumulative Target Values YR1 YR2 YR3 YR4 YR5 End Target Indicator Name Baseline (July 2016–June (July 2017–June (July 2018–June (July 2019–June (July 2020– (September 2017) 2018) 2019) 2020) September 2020) 2020) publish an annual report in the prescribed format in Other States: 20 Other States: 60 Other States: 85 Other States: 85 Other States: 85 accordance with the requirements set out in the PIP 17. Number of participating ATUs in focus states that publicly declare final semester 0 1 3 6 6 6 examination results before the start of the next academic year The World Bank Technical Education Quality Improvement Project III (P154523) Definitions and Descriptions of Monitoring Indicators NOTE: Unless otherwise specified, participating institutes are those under Component 1. An institute is considered as ‘participating’ for these indicators if an MOU has been signed between the institute and the state government or MHRD/NPIU (as the case may be). All indicator values achieved at each date of reporting will be rounded down to the nearest whole number, including for verifying whether a DLI has been achieved. Indicator Description PDO Level Results Indicators 1. Average score of students Applicable to all institutes participating under Component 1, which have signed an MOU with the participating in tests designed to MHRD or respective state government (as the case may be) for participation in the project. measure technical and critical thinking skills The project will pilot low-stakes testing, at the UG level, to measure the progress of cohorts of students in project institutes. The test will be designed as part of the project and is expected to test the following areas: technical skills in physics, mathematics, and informatics; critical thinking and creativity; and quantitative literacy skills. The test will be voluntary. Average scores of students from institutes from which at least 20 percent of students, in the relevant year, appeared for the tests will be considered for this indicator. The indicator will be considered met if the average score increases by at least 5 percent from the previous cycle. Source: Results submitted by the testing agency to the NPIU. Project MIS. 2. NBA-accredited and/ or applied Applicable to all institutes participating under Component 1, which have signed an MOU with the for programs in participating MHRD or respective state government (as the case may be) for participation in the project. institutes The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description (a) UG programs NBA accreditation of the program(s) offered by an institute is applied for if the institute offering the (b) PG programs program has completed the following steps: (a) Registration with the NBA (b) Completion of the online application form for NBA accreditation of the program(s) and payment of the accreditation fee (c) Submission of the e-self assessment report (eSAR) for the program(s) to the NBA A program is accredited if the NBA has accredited it for two or five years. A program will continue to be considered accredited for six months after the date on which its accreditation expires, conditional on it having applied for renewal. If a program has been accredited by the NBA at any time previously, for two or five years, it will be considered accredited only if it receives five-year accreditation in subsequent accreditation cycles. The indicator will track the increase in percentage points of programs as defined above. The percentage of programs accredited (and/or applied for) in a particular year will be calculated out of the total number of AICTE-approved eligible UG/PG programs offered by an institute as of the date of reporting. To avoid double-counting, no program that is accredited will be included in calculating the number of programs that have applied for accreditation. Source Project MIS. For the program(s) for which accreditation has been applied for, the institute uploads, to the MIS (a) a copy of the receipt for payment of accreditation fees to the NBA; and (b) a copy of the eSAR submitted to the NBA. For the program(s) that have been accredited: The institute will upload, to the MIS, a copy of the notification from the NBA on the accreditation status of the program(s). The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description 3. Transition rate of UG Applicable to all institutes participating under Component 1, which have signed an MOU with the engineering students from the MHRD or respective state government (as the case may be) for participation in the project. first year to the second year in Defined as the percentage of UG students registered in the fourth semester (in year t), out of those participating institutes registered in the second semester (in year t-1). Students must have passed all their examinations; if a student does not sit for an examination for any reason, he/she is considered to have not passed the (a) SC/ST examination, for this indicator. (b) Women A student is registered in a semester if he/she paid the semester tuition fees to the institute by the end of the first month of the semester. Source: Project MIS. 4. Percentage of students from Applicable to all institutes participating under Component 1, which have signed an MOU with the traditionally disadvantaged MHRD or respective state government (as the case may be) for participation in the project. groups in total enrolment in Categories of disadvantaged groups are defined as (a) SC and ST and (b) females. These two participating institutes categories will be monitored separately. (a)SC/ST Total enrolment is the number of PG and UG students who have paid the semester tuition fees to the institute by the end of the first month of the semester completed immediately before the time of (b)Women reporting. Enrolment is of students in all years of their respective program and includes those students who are still enrolled but have not completed their degree program on schedule. Source: Project MIS. (Percentage) The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description Intermediate Results Indicators 1. Direct project beneficiaries The number of UG and PG students enrolled and teachers and staff/ administrators employed in participating institutes in Component 1, which have signed an MOU with the MHRD or respective (Number) - state government (as the case may be) for participation in the project. For this indicator, the colleges (whether government, government aided, or private unaided) affiliated to an ATU participating under Subcomponent 1.2 are also included. Enrolment is the number of PG and UG students who have paid the semester tuition fees to the institute by the end of the first month of the semester completed immediately before the time of reporting. Enrolment is of students in all years of their respective program and includes those students who are still enrolled but have not completed their degree program on schedule. Source: Project MIS. 2. Female beneficiaries As a percentage of the number reported in Intermediate Results Indicator 1. Direct project beneficiaries. (Percentage - Sub-Type: Supplemental) - Source: Project MIS. 3. Percentage of participating Applicable to all institutes participating under Subcomponents 1.1, which have signed an MOU with institutes in focus states with the MHRD or respective state government (as the case may be) for participation in the project. autonomy An Autonomous Institution means the institution which can revise/modify its curriculum which includes centrally funded institutions (CFIs), Unitary /Deemed to be University, University Department/Faculty/single Constituent College and Institutions declared autonomous by UGC. UGC autonomy refers to the delegation of academic powers to an institute, by the UGC, according to the UGC Guidelines for Autonomous Institutes 2012–17. An institute is considered autonomous once it receives a formal notification from the UGC that it has been granted autonomy. Source: Project MIS. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description 4. Percentage of PhD students in Applicable to all institutes participating under Component 1, which have signed an MOU with the total enrolment in engineering MHRD or respective state government (as the case may be) for participation in the project. disciplines in participating Total enrolment is the number of PG and UG students who have paid the semester tuition fees to the institutes institute by the end of the first month of the semester completed immediately before the time of reporting. Enrolment is of students in all years of their respective program, and includes those students who are still enrolled but have not completed their degree program on schedule. PhD students may include those who are enrolled part-time or full-time for a PhD at the respective institute. The increase in percentage will be tracked under this indicator. Engineering disciplines are those under the category ‘Engineering and Technology’, as classified by the AICTE. Source: Project MIS 5. Percentage of sanctioned Applicable to all institutes participating under Component 1, which have signed an MOU with the faculty positions, in participating MHRD or respective state government (as the case may be) for participation in the project. institutes, filled by regular or AICTE norms refer to the pay scales, service conditions, and qualifications of faculty as required by contract faculty, contracted the AICTE regulations prevailing at the time of reporting. according to AICTE norms Source: Project MIS 6. Number of faculty trained in Applicable to all institutes participating under Component 1, which have signed an MOU with the either their subject domain, MHRD or respective state government (as the case may be) for participation in the project. pedagogy, or management in Faculty will be considered to have received training if they have attended a total of at least 7 days of participating institutes training across their subject domain, pedagogy, or management in the last complete academic year. Source: Project MIS 7. Percentage of externally Applicable to all institutes participating under Component 1, which have signed an MOU with the funded R&D projects and MHRD or respective state government (as the case may be) for participation in the project. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description consultancies in total revenue in Externally funded R&D projects and consultancies refer to any research and consulting activity participating institutes funded through a formal agreement entered into by the institute and the external agency commissioning the research/project/consultancy. Total revenue refers to revenue from all sources as declared in the institutes’ annual financial statements of the last complete financial year. Source: Project MIS. Institutes to upload copies of funding agreements and annual financial statements to the MIS. 8. Participation of affiliated Research hub activities refer to all activities to promote collaborative research across the institutes colleges in participating ATUs in affiliated to an ATU, as specified in the PIP. newly designed research-hub Applicable to all affiliated colleges of ATUs participating under Component 1, which have signed an related activities (number) MOU with the MHRD or respective state government (as the case may be) for participation in the project. Participation refers to at least one faculty member from an affiliated institute conducting research using the facilities of the research hub. Source: Project MIS. ATUs to upload a list of collaborative research activities, participating institutes, and faculty members. 9. Student, Staff, and Faculty Applicable to all institutes participating under Component 1, which have signed an MOU with the Satisfaction Survey MHRD or respective state government (as the case may be) for participation in the project. Satisfaction levels will be assessed based on surveys, representative across project beneficiaries as defined in Intermediate Results Indicator 1. Survey commissioned by the NPIU. Results will be reported separately by each stakeholder group, that is, students, faculty, and nonteaching staff. Source: Survey data. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description 10.Employer satisfaction with Applicable to all institutes participating under Component 1, which have signed an MOU with the engineers recruited in the past MHRD or respective state government (as the case may be) for participation in the project. year Satisfaction levels will be assessed based on sample surveys of employers (with at least 10 percent of new recruits being TEQIP III graduates), representative across industrial sectors and regions, commissioned by the NPIU. Increase in satisfaction will be tracked. Source: Survey data. 11. Percentage of participating Applicable to all institutes under Subcomponent 1.1 engineering colleges which have signed an MOU institutes in Focus states that train with the MHRD or respective state government (as the case may be) for participation in the project. final year engineering students to take exit examination (e.g. GATE) Exit examination refers to the examination for testing technical and / or aptitude of the students, for example. GATE, pre-placement training etc. Assistance includes the following: (1) Providing focused coaching (with internal faculty or outsourced service provider) for exit examination preparation through classroom teaching at no additional cost to the student (2) Providing focused learning material for exit examination preparation at no additional cost to the student (3) Providing scholarships for exit examination preparation if college is unable to provide appropriate assistance. Source: Project MIS. Institutes will be required to train at least 70% of students in the final year. Institutes will provide NPIU a list of students who were provided assistance for exit exam preparation, along with details of type of assistance and student contact details. The data will be uploaded to the project MIS. 12. Number of engineering Applies to all AICTE-approved government and government-aided engineering degree colleges in education institutes in focus focus states. An institute must have in place all 8 mechanisms to count toward achievement of the states that meet the enabling target. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description mechanisms for participation in the project The enabling mechanisms for institutes to participate in the project are the following: 1. At least one cohort of students from the institute has completed their UG degrees. A cohort is defined as the set of all students who were admitted to the first year of any UG engineering degree program offered by the institute, in the same academic year. At least one cohort will be said to have passed if 50 percent of all students in any one cohort, admitted at any point in the institute’s history, pass all courses required for the completion of their UG degree. Source: The institute will submit a copy of the results of the final semester university examinations, of the first cohort, to the NPIU. 2. The institute and the MHRD have signed an MOU which includes commitments to implement the prescribed academic and administrative reforms and the state government has passed any required government orders necessary to set these reforms in place. Source: The institute will submit a copy of the signed MOU to the NPIU (through the SPT). The SPTs will collect copies of all government orders. 3. The institute offers at least 3 AICTE-approved programs in engineering disciplines. Source: The institute will submit a copy of the notification from the AICTE, approving at least 3 programs in engineering disciplines, to the NPIU. 4. At least 40 percent of sanctioned faculty positions are filled with qualified faculty recruited on regular, contract, visiting or adjunct basis, contracted according to AICTE norms. If the institute has participated in TEQIP II, it is required to fill at least 55 percent of sanctioned positions with regular faculty, contracted according to AICTE norms. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description Source: The institute will submit a letter to the NPIU containing the number of sanctioned faculty positions, the names and academic qualifications of all faculty against each position, whether the terms of employment are regular and contract, and the length of contract for contract faculty, for each position. 5. The institute has constituted a BoG (or equivalent) according to UGC norms if the institute is autonomous or AICTE norms if not. Source: Institutes’ websites. Institutes will declare the composition of their BoGs, with the professional background of BoG members on their websites, such that a search from the institute’s website using the term ‘Board of Governors’ or ‘BoG’ yields a link/links to the minutes of meetings of the BoG. 6. The college principal is appointed on a permanent, full-time basis and does not hold additional charge of another college. Source: The State Department of Technical Education will submit a letter, to the NPIU, with the names of the principals of all government and government-aided colleges in the state and the college to which they have been appointed. The letter will contain an undertaking stating that none of the listed college principals hold full-time additional charge of another college and are appointed on a full-time basis to the participating institute. 7. The college will have at least 500 students enrolled across all four years, of which 50 percent of students will be enrolled in AICTE-approved programs. Source: The college will submit a list of students along with their university enrolment numbers to the NPIU. The MHRD will verify and forward the same to the Bank. 8. The concerned state government has passed an order allowing the institute to retain all internally generated revenue, such as revenue generated through student fees, consultancies, conferences, and so on. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description Source: The SPT will collect copies of the relevant orders. The NPIU (through the SPTs) will prepare a consolidated table, which provides information against each mechanism for all institutes. The list should include all institutes in each state, regardless of whether an institute has been deemed to have met all 8 mechanisms previously; institutes must continue to meet the mechanism at each date of reporting. 13. (i) Timeliness of allocations, Applicability: All institutes under Component 1, which have signed an MOU with the MHRD or and utilization; and (ii) respective state government (as the case may be) for participation in the project. expenditure recognition against Definition: The MHRD provides allocation of funds to institutes through the Public Financial the utilization. Management System (PFMS) at the start of each quarter and on a rolling basis honors the payment requests made by institutes against eligible transactions as defined in the PIP based on agreement between MHRD and the World Bank. Eligible utilization: Utilizations implies actual payments through PFMS towards eligible transactions requests raised by the participating institutes. Only transactions entered by institutes that meet the performance benchmarks, defined in the PIP based on agreement between MHRD and the World Bank, and are eligible for continued funding will be considered for the purpose of this indicator. Time frame: The DLI for any target year, can be met early and claim can be lodged ahead of the target date. However, no claim can be lodged for that specific year where the DLI is met after the respective timeframe for the target year is over. Base data source: The PFMS will track utilization of funds allocated to institutes. Institutions will be required to account (in the Books of Accounts) for expenditures recognized against these utilizations. Detailed information requirement: NPIU will provide the World Bank: For Year 2 (a) the number of calendar days between the start of the related quarter and the date on which the allocation was provided to institutes in PFMS (supported by PFMS report); (b) the number of calendar days between (i) date of payment request: the date the institute applies its Digital Signature Certificate (DSC) reflected by ‘Date of Advice Generation’ in PFMS; and (ii) Date of payment: when the amount was debited from the central pool bank account reflected by ‘Debit Status Date’ in PFMS. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description For Year 3 and 4, (a) percentage of funds utilized by institute against allocations received for the last two quarters (supported by PFMS report); (b) evidence that institutes have accounted for (in the books of accounts) expenditure against total funds utilized till date which will be subsequently substantiated through annual Statutory Audit Reports issued by the External Auditors. 14. Percentage of participating Applicable to institutes under Component 1, which have signed an MOU with the MHRD or institutes with a BoG composed as respective state government (as the case may be) for participation in the project. per prescribed structure that Participating affiliated colleges and constituent colleges will be required to constitute a BoG as meets at least 4 times every defined in the PIP. BoG refers to a body with overall responsibility for the strategic direction and calendar year and which publicly accountability of the college, constituted according to the norms of the UGC, contained in the UGC discloses the minutes of all Approval of Colleges Offering Technical Education by Universities Regulation, 2013, Appendix 16 of meetings Annexure C. Participating affiliating universities and constituent colleges which do not have autonomous status from the UGC will be required to constitute a BoG according to the norms of the AICTE and as specified in the PIP. All participating institutes will declare the composition of their BoGs with the professional background of the BoG on their websites. Minutes of all BoG will be published on institutes’ websites within two months of the date of the meeting, such that a search from the institute’s website using the term ‘Board of Governors’ yields a link/links to the minutes. Each SPT will compile a consolidated list of the links at the time of reporting which the NPIU will collate. Source: Institutes’ websites and a consolidated report prepared by the NPIU. 15. Number of participating ATUs Applicable to all ATUs under Component 1, which have signed an MOU with the MHRD or respective with MIS capable of producing state government (as the case may be) for participation in the project. annual reports against prescribed MIS refers to a computer-based data management system. indicators Prescribed indicators against which ATUs must report data annually will be specified in the PIP. The data must be published in the ATU’s annual report. The World Bank Technical Education Quality Improvement Project III (P154523) Indicator Description Source: Annual reports of ATUs. 16. Percentage of participating Applicable to institutes under Component 1, which have signed an MOU with the MHRD or institutes that produce and respective state government (as the case may be) for participation in the project. publish an annual report in the The annual report format will be developed by the NPIU and agreed with the World Bank. It will be prescribed format in accordance declared in the PIP and will include data on a set of prescribed indicators. Publication means placed with the requirements set out in on the website of the institute and where a search for ‘annual report’ generates a link to the report. the PIP The annual report (for the previous year) must be published by October 31 each year. Source: Institutes’ website. The NPIU will compile a list of institutes that have published a report in the required format, including data on all prescribed indicators, in the last 12 months. 17. Number of participating ATUs Applicable to all ATUs participating under Subcomponent 1.2, which have signed an MOU with the in focus states that publicly MHRD or respective state government (as the case may be) for participation in the project. declare final semester Final semester examinations refer to examinations in all subjects offered to UG students, in examination results before the engineering disciplines, in the 8th semester. start of the next academic year Results will be considered declared on the date when (a) the results of final semester examinations are available on the ATU website. (b) all requests for reevaluation have been completed and reevaluated results are available on the ATU website. Source: ATU website. The NPIU will send the Bank a list of the ATUs with a link to the results on the respective websites.