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GOVERNANCE GUIDELINES DOCUMENT

(2015 – 16)

University College of Engineering Kakinada(Autonomous)(Formerly JNTU College of Engineering, Kakinada)

Jawaharlal Nehru Technological University KakinadaAndhra Pradesh, India

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S. No Contents Page No

INTRODUCTION 4

1 INSTITUTION 7

1.1 Vision and Mission 7

1.2 Organizational Structure 8

2 Role of Governing Council 12

A Primary Accountabilities 12

A.1 Approval of the Vision and Mission of the College 12

A.2 Ensuring effective monitoring and accountability 12A.2.1

Finance 12

A.2.2

Procurement 13

A. 3. Controls on performance and quality assurance 13

A.4 Appointment and review performance of different managerial / administrative positions of the institution 13

A.4.1

For local and global partnerships in research and industry 13

A.4.2

Instituting scholarships, prizes, medals etc 14

A.4.3 Introducing new courses of study, diplomas etc 14

BOpenness and Transparency in the Operation of Governing Bodies 15

B.1 Promoting transparency and openness at every level 15

B.2 Register of interests of members of Governing Council 15

C KEY ATTRIBUTES OF GOVERNING BODIES 16

C.1 Roles and responsibilities of Governors 16C.1.1 Chairman 16

C.1.2 Members 16

C.1.3 Head of the Institution 16

C.2 Delegation 17C.2. Delegation to Chairman 17

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1C.2.2 Delegation to committees 17

C.2.3 Delegation to Head of the institution 17

C.2.4 Delegation to other functionaries 18

C.3 Frequency, Processes and Rules for Conduct of Governing Council Meetings 18

D EFFECTIVENESS AND PERFORMANCE REVIEW OF GOVERNING BODIES 19

D.1 Induction and Development 19

D.2 Performance review of the Governing Council in meeting the strategic goals and objectives of the institutions 19

E REGULATORY COMPLIANCE 20

3 Conclusion 21

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Introduction

This document is of Good Governance practiced in the University College of Engineering Kakinada (A) (Formerly JNTU College of Engineering, Kakinada), under the constituent college of Jawaharlal Nehru Technological University Kakinada, Kakinada.

Having established in 1946 as ‘The College of Engineering, Vizagpatnam’ on a sprawling campus of 110 acres in the port city of Kakinada, E.G. Dist., this continued as part of the Andhra University on affiliation for about four decades.

Later in 1972, it was made a constituent part of the Jawaharlal Nehru Technological University, Hyderabad, by an act of legislature and accordingly it was placed in the control of the then Director of Technical Education, Government of Andhra Pradesh in the undivided State of Andhra Pradesh. It continued as such for 31 years till 2003 when it became an autonomous institution. Since then, this University College of Engineering Kakinada (A) (hereinafter, UCEK)is governed by the JNTUK with Principal as the administrative and the academic head. He is assisted by the Vice­Principal and other officers, details of which will be explained in the foregoing sections of this document.

The following courses are offered by the UCEK:

UG Programs:

B. Tech. in Civil Engineering, Electrical & Electronics Engineering, Mechanical Engineering, Electronics & Communication Engineering, Computer Science & Engineering, Petroleum and Petro Chemical Engineering

PG Programs:

MCA. Master of Computer Applications

M. Tech. in Soil Mechanics & foundation Engineering, Structural Engineering, Advanced power Systems, High Voltage Engineering, CAD/CAM, Machine Design, Instrumentation & Control Systems, Computers & Communication, Computer Science and Engineering, and Information Technology

Ph.D. Programmes in Civil Engineering, Electrical & Electronics Engineering, Mechanical Engineering, Electronics & Communication Engineering, Computer Science & Engineering, Mathematics, Physics and Chemistry

As the UCEK is the Govt. college admission is based on purely entrance test and provides equal opportunities for all communities. The admission into B.Tech., is based on EAMCET/ECET ranks (Purely based on the State Govt. Entrance Test), the admission into M.Tech., is based on GATE scores or PGECET ranks (State Govt. Entrance Test) and the admission into MCA is

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based on ICET rank (State Govt. Entrance Test). In general, the best rankers of the state in the above entrance examinations get the admission into the College.

This report is based on:a. Norms of UGC, New Delhi, India for autonomous colleges.b. Rules and regulations of the State Govt. and Constituent University, i.e., JNTUK,

Kakinadac. TEQIP Good Practice Guide for Governing Bodiesd. Current best practices of institution

The main objective of this report is to place on record the organizational practices of the good governance as followed in this University College of Engineering. The overall improvement of the quality and fruits of the implementation of good governance to all the beneficiaries and stakeholders as well are detailed below:

1. Promoting integrity in the system, among the individuals through the external and internal activities of the University College of Engineering.

2. Encouraging strong managerial skills and leadership qualities among the persona involved.

3. Keen observation of quality in teaching and learning processes with due and mandatory involvement of students

4. Feasible and efficient governance in all wings of the University College of Engineering Kakinada in consonance with the vision and mission of the institution

5. Broad­based advancement for quality research6. Transparent procedures of financial administration, esp. in matters of procurement, cost

and expenditure7. Clear external and internal auditing practices of all accounts8. Providing remuneration corresponding to the designation 9. Following human resource management in regard to appraisal and censure of

performance at work. 10. Implementing efficient student support systems including encouraging entrepreneurship

towards eco­system, discouraging ragging practices, appreciating students’ innovations & participation in the governance of the University College of Engineering Kakinada.

11. Not only promoting students’ participation at all levels, but also paying keen attention on their employability, campus selections, etc.

12. To invigilate strictly on the observation of the stipulated rules and regulations.

There are five sections in this document, viz. Section 1 dealing with the Vision and Mission of the institution, Section 2 describes the hierarchical structure of administration, the duties and functions of the different dignitaries in the organization, etc. and Section 3 discusses the

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role of the Governing Council, and Section 4 packs up the accomplishments of good governance practices followed by the institution, whose effect is in terms of research excellencies, awards, placements etc. and Section 5 makes a round­up of the document in conclusion.

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SECTION 1: VISION AND MISSION

VISION:

To be a premier engineering institute of excellence for creating highly talented, holistic, human resource capital leading in technology and innovation and striving ever towards nation building.

MISSION:

1. To train up in Personnel Skills and inculcate Ethical Values for Sustainable Development of the Nation.

2. To create Research & Industry oriented Centers of Excellence in all disciplines of Engineering And Technology

3. To become a Prominent IPR Generator and Repository of Innovative Technologies.

4. To establish Research and Industry­oriented Technological platform

5. To benchmark globally the academic and research output.

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Section 1.2: Organizational Structure

Diagram: Organizational Structure

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1. Governing Council:

The Governing Council (BoG) of UCEK is constituted by the JNTUK, Kakinada, as per the UGC’s norms. University is the deciding authority and Principal is the Member Secretary with twelve members, including UGC nominee, University nominee, State govt. nominee, eminent people from different industries and members invited by the Principal from senior faculties of the College. The Council usually meets four times a year to discuss various policy matters. The main objective is to ensure that the students and the staff have trust and confidence in the good governance of the College. It is also to see that all those involved in the governance fulfill their responsibilities and accountabilities effectively. Prof. M.R. Madhav, (Retd. IIT Kanpur) and currently Professor Emeritus, JNT University; Visiting Professor, IIT, Hyderabad is presently the Chairman of the Governing Council. All the minutes of the governing council meetings are uploaded in UCEK website (http://jntucek.ac.in/teqip.php).

2. College Academic Council

The College Academic Council (CAC) is the apex body of academics and essentially responsible for the framing, regulating, organizing and sustaining the standards of teaching, research, and examination of the College. CAC consists of University nominees, eminent people from industries, Heads of the Departments, Senior Professors of respective departments, nominated teachers and so on. Principal is the Chairman of the CAC. The Council reviews all academic matters and the related administrative issues, too.

3. The Principal/Head of the Institution

UCEK is headed by the Principal whose sole responsibility is to implement good governance. He is the strategic figure, accountable to the Governing Council. He is held answerable to the University in matters of administration. He is the reviewing authority of the functioning of the various academic departments, teaching and non­teaching included. Above all, the Principal is the custodian of the College’s discipline among the students, monitor of the research, convener of various programmes held in the College and so on. Besides, the Principal implements TEQIP Programme, by directing its components viz., Finance, the Academic, the Procurement and Mentoring Committees. In particular his duties and responsibilities lie in:

a. Planning policy matters concerning administration as well as academicsb. Managing the College as per the norms of the University in particular and the UGC in

general

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c. Overseeing the fair conducting of examinations, semesterwise, and timely declaration of the results on completion of evaluation with promotion of successful students

d. Ensuring the management of financial resources and maintenance of proper accounting as per the University norms.

e. Co­coordinating the industry­institute interaction along with Research and Development activities

f. Maintain the quality management system g. Participating in the regional and national level policy planning meetings.

4. Vice­PrincipalThe Vice­Principal plays multiple and responsible roles. His chief responsibility is to officiate as the Principal in the latter’s absence. Among several responsibilities, the following are the most significant:

I. Academic Responsibilities:

Assist the Principal in finalization of prospectus, syllabi, academic calendar, registration, examination and classroom arrangement for proper teaching.

Responsible for conducting the mid semester, end semester or any other component of examinations. He/She assisted by two Officers In­charge of Exams (OIEs) for this purpose.

Responsible for maintenance of up­to­date academic records of students. Assist the Principal in the organization of academic committee meetings and all

matters related with it. Assist and provide any necessary liaison with other academic organizations. Assist the Principal for issue of certificates/medals/scholarships and prizes to students

as per norms. Help the Principal in the formulation of new courses, in finalizing the Registration of

Students, in conducting the Academic Council Meeting etc. Preside over the curricular and co­curricular activities cell or wings. He / She assisted

by the Councils (like Sports Councils, various faculty Clubs, including Art and Cultural Activities Clubs etc.) which are set up, monitored and guided by him/her.

II. Administrative Responsibilities

Assist the Principal in preparing the institutional planning, in deciding the academic calendars, in fixing the work schedules, in deciding upon the examination and evaluation of each course and so on.

Associates with the Principal in recruiting and training of the various faculties.

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Maintains the service­registers of each of the teaching and non­teaching staff of the UCEK, with regular updating of information.

Plays a key role in bringing out interaction between the industry and the institute, so that several activities such as funding of research projects, sponsoring student activities etc. are taken up.

Collaborates with the Principal in supervising the financial matters such as scholarships for the students of reserved categories, grants­in­aid for developmental activities from government and non­government agencies, maintaining proper accounts and records and so on.

Assist the Principal in attending to the grievances of both the staff and the students. Plays the role of the liaison officer between the parents and the institution, between

the Principal and the staff and between the teaching staff and students.

Head of the Department

The Head of Department is usually the senior Professor the department. He /She provides leadership in both under graduate (B. Tech) and post graduate (M. Tech) courses in the relevant field of specialization.

Heads of the Department are responsible for the academic and administrative management of the department.

They take active part in research guidance and teaching­learning processes; they guide the assistant and associate professors and approve their teaching plans.

He/She participates in not only the curriculum designing, but also developing new programmes and projects

They play vital roles in policy planning, monitoring the evaluation and promotional activities at both the individual departmental and institutional levels.

Besides catering to the needs of students by means of counseling and interaction at the department, they also hold interactions with industry and society.

They provide consultancy services not only to the students but also to the industrial clientele.

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Section 3: Role of Governing Council

A. Primary Accountabilities

The Governing Council holds the collective responsibility of supervising the activities of the UCEK. It also determines the future course of action in which the vision and mission of the College is achieved.

A.1. Approval:It is the prime duty of the Governing Council (GC) to approve the institutional plans, spelling out the aims and objectives of the College and identify the physical facilities and staff requirements, and most importantly the financial planning to execute the set plans for the academic year.

In addition, it is the duty of the GC to examine how the vision and mission of College are followed in practice. The Principal, Heads of the Departments and senior Professors shall design a strategic plan which is once again approved by the GC.

The operation of the plan is reviewed periodically; the progress is assessed and if any grey areas found out, they will be resolved. The reviews and assessments are placed before the GC for fine tuning with thorough discussion and necessary deliberations.

A. 2 Ensuring effective monitoring and accountability

A.2.1 Finance

a. Safe­guarding the assets of the Collegeb. Endorsing the annual budgets and operating plans as reflected in the strategic planc. Approving the financial strategy as envisaged in the strategic pland. Allocation of funds to various departments in commiseration with the needs as specified

in the strategic plan.e. Making sure that proper auditing is done at the end of the financial year.f. Risk management, control and internal governance systems should also be under the

purview of the audit committee.g. The financial plan with its periodic variations shall be verified and the audited financial

statements shall be received and approved by the GC every quarter of the year to direct the capital and operation of the expenditure.

h. The Finance Committee (TEQIP) formed as the norms of the UGC shall be bound to approve the expenditure, allocated to departments concerned. The Finance Committee should also receive the audited accounts so that the capital and operating of expenses are utilized as per the approved plans and for arriving at future budgeting.

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A.2.2 Procurement

It is the responsibility of the Procurement Committee to ensure the delivery without compromising quality; also it should check that value for money (VFM) in every item of procurement. The Procurement Committee (PC) shall make sure that value for money is achieved by strictly

a. adhering to the norms of procurement policies and proceduresb. observing that policies and procedures are regularly applied or put into operationc. Organizing the procurement in most transparent and open manner without any

difficulty or hindrance for all the willing suppliers.

While the PC is accountable for all the orders and purchases, the Governing Council shall ensure that an internal control is arranged to look into the delivery so that the funds of the institution would be spent as they should be spent. At the same time, GC should check whether or not there is any compromise in the quality of the things procured, besides assuring whether the VFM is followed or not. Moreover, GC shall make certain that procurement processes should be fair and transparent. The procedures should be based on sound financial regulations that lend scope for resolving conflicts, if any, in the ordering and supplying matters. Further the GC has to ensure that all methods of procurement should comprise risk management and reporting mechanisms.

A. 3. Controls on performance and quality assurance

One of the major concerns of the GC is to see that the key performance indicators (KPIs), are kept up for measuring the institution’s standard of performance. The KPIs must have been part and parcel of the institutional plans, previously approved by the GC.

It is one of the prime duties of the GC to monitor and assess the institution’s performance in the light of the prior approved KPIs. The aim is to assess the quality of performance of the institution.

Additionally, it should make comparative studies between peer institutions concerning their levels of standard in reference to their set KPIs.

The Principal of the College will have to prepare reviews of the quality management and the performance at regular intervals for submitting to the GC

On the basis of such periodic reviews and reports GC shall guide the institution, if any grey areas are found in the performance.

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A.4. Appointment and review performance of different managerial / administrative positions of the institution

A.4.1. For local and global partnerships in research and industry

It is the look­out of the GC to create an ambient atmosphere such that there will be collaborations, partnerships and supports between the College and the local and global institutions on research and industry. Only then, the vision and mission of the College will be considered as fulfilled. There should be multiple academic partners to promote research and development and it is the responsibility of the GC to frame and stipulate certain rules and regulations to achieve this. Likewise, GC has to look after the matters of industrial support not only in providing apprenticeship arrangements to the engineering students of various branches of the College at the regional level, but also facilitating them with tie­ups of right kind with international colleges and universities for strengthening deep researches abroad.

A. 4.2. Instituting scholarships, prizes, medals etc

The onus of instituting prizes and medals, fixing scholarships rests with the Academic Council. However, it is only a recommendatory office. It is the function of the GC to formulate the norms and procedures for implementing them. Sometimes what the Academic Council has recommended may be declined by the GC in view of the financial viabilities or constraints. GC is accountable on administrative, managerial and pecuniary matters whereas the Academic Council is liable for academic matters alone.

A. 4.3 Introducing new courses of study based on the societal/industry need

The GC has also to take into consideration the recommendations of the Academic Council for introducing new programmes, new courses of study leading to the award of certificates and degrees. The approval of GC for introduction of such new courses and programmes will be subject to the final approval of the University (JNTUK).

Also, as and when the Heads of department recommend their professors for participation in any national and international seminars and conferences, the Principal will be seeking the permission of the GC. Such programmes of sponsoring the representatives of the College to national seminars, conferences etc are implemented through TEQIP which are usually approved by the GC.

B.

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Openness and Transparency in the Operation of Governing Bodies

B.1 Promoting transparency and openness at every level

GC ensures that the deliberations and decisions taken by various committees such as Board of Studies, Purchase committee, Disciplinary Committee, Anti­ragging Committee etc., will be displayed on the College website so that there will be transparency and openness in administrative and academic matters. It is also the responsibility of the GC to get the information updated time to time. Public including the students, parents and the working staff are made aware of all the issues related to the functioning of the college.

GC will also look into the proposals and recommendations and complaints. Whatever that is feasible will be given due importance and arrangements for implementation can also be taken up. The only condition is that they should not bypass the vision and mission of the college. GC has the right to reject any unreasonable and unsubstantial complaints.

B.2 Register of interests of members of Governing Council

The annual reports of the Principal detailing various achievements of the College internally and externally, in the current academic year besides the planning for the next year’s activities are to be approved and ratified by the GC. In a bid to be transparent such reports and approvals shall be placed on the website and published too.

C.

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KEY ATTRIBUTES OF GOVERNING BODIES

C.1 Roles and responsibilities of Governors

C.1.1 Role of the Chairman: The Chairman should have a strong personal commitment with integrity

towards the College and its growth and development. The Chairman is responsible for providing leadership to the Governing

Council (GC) so that all the stakeholders (students in the foremost) are ultimately satisfied.

It is also his duty to ensure that the GC operates with confidence on its procedures, takes deliberations collectively on the needy issues.

He should take into account the conflicts, if any, and differences of opinion among the members on institutional matters before resolving them.

He has to ensure that all discussions are held in a free and democratic way. His major responsibility lies in ensuring the effective utilization of the

monetary and material resources with a long­term vision. He should safeguard the proper mechanisms set up for achieving the above

purpose.

C.1.2 Role of the Members

The first and foremost duty of all the members is to attend without fail to all the sessions.

The members of the GC should participate actively in the discussions and constructively towards the development of the College.

In drafting strategic plans, in reviewing performance and processes, members should explore different outcome­based planning and executing procedures in the best interests of the students at large.

Members can be included in the sub­committees in accordance with their capabilities, experience and expertise.

C.1.3 Head of the Institution

UCEK is headed by the Principal whose sole responsibility is to implement good Governance. He is the strategic figure, accountable to the Governing Council. He is held answerable to the University in matters of administration. He is the reviewing authority of the functioning of the various academic departments, teaching and non­teaching included. Above all, the Principal is the custodian of the College’s discipline among the students, monitor of the research, convener of various programmes held in the College

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and so on. Besides, the Principal is the monitor of TEQIP Programme, and directing its wings viz the Finance, the Academic, the Procurement and Mentoring Committees. In particular his duties and responsibilities lie in:

a. Planning policy matters concerning administration as well as academicsb. Managing the College as per the norms of the University in particular and the UGC in

generalc. Overseeing the fair conducting of examinations, semester wise, and timely

declaration of the results on completion of evaluation with promotion of successful students

d. Ensuring the management of financial resources and maintenance of proper accounting as per the University norms.

e. Co­ordinating the industry­institute interaction along with Research and Development activities

f. Maintain the quality management system participating in the regional and national level policy planning meetings.

C.2 Delegation

Where permissible, the Governing Council may delegate authority or allocate some of its work to committees, authority to the Chairman or a committee to act on its behalf, and delegate responsibility to the head of institution and officers of the institution

C.2.1 Delegation to Chairman

The Governing Council may grant delegated authority to the Chairman to act on its behalf between meetings. Action taken under delegated authority will normally be under urgent need or of routine nature after following a set of procedures. The member convener needs to bring this action of the Chairman to the notice of Governing Council when it meets next time and get the ratification of the action taken by the Chairman.

C.2.2 Delegation to committees

It is a common practice for a Governing Council to delegate some of its powers and to allocate some of its work to committees. Such matters are likely to include; the review and approval of the institutions annual estimate of income and expenditure and audited financial statements; decisions regarding academic autonomy to academic council etc. Committees should distinguish between issues on which they are empowered to take decisions, and issues that they must refer to the Governing Council for decision

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C.2.3. Delegation to Head of the institution

It is common practice for a Governing Council to delegate some of its powers and to allocate some of its work to head of Institution which are of routine nature apart from managerial and development work of the institution. Such matters are: applying for approval to regulatory bodies, declaration of provisional results etc. The head of institution needs to bring this action to the notice of the Chairman and Governing Council when it meets next time.

C.2.4. Delegation to other functionaries

Appointment of some of the functionaries like Deans may be approved (on merit) by the Governing Council as per the recommendation of the Head of institution, so as to help the head of institution to implement the decisions of the Governing Council

C.3 Frequency, Processes and rules for conduct of Governing Council meetings

The Governing Council meetings shall be conducted at least four times in an academic year. The following processes shall be followed for the conduct of Governing Council meeting:

In consultation with the Chairman of Governing Council the date, time, venue and agenda for the Governing Council meeting shall be fixed by the Principal of the institution, who is the Member Secretary of the Governing Council.

The meeting notice to attend the meeting along with agenda for the meeting shall be sent to all members and invitees by the Member Secretary of the Governing Council at least two weeks earlier to the date of the meeting. Pre‐agenda notes shall be sent to all members by the Member Secretary of the Governing Council so as to reach earlier to the meeting. This shall contain the minutes of the earlier Governing Council meeting, the action taken report on the resolutions of the earlier Governing Council meeting, and notes on action agenda and information agenda of the present meeting.

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D. EFFECTIVENESS AND PERFORMANCE REVIEW OF GOVERNING BODIES

D.1 Induction and Development

It is the responsibility of the chairman of the Governing Council / nomination committee working with the member secretary as appropriate, to ensure that all members of the Governing Council, when taking up office, be fully briefed on the terms of their appointment and be made aware of the responsibilities placed on them for the proper governance of the institution. They shall receive copies of background documents at the time of their appointment.

D.2 Performance review of the Governing Council in meeting the strategic goals and objectives of the institutions

A most significant responsibility of the GC is reviewing the performance of the various wings of the institution. For instance, the falling number of ragging incidents over a period of two years will be indicative of the good performance of the Anti­Ragging Committee. Thus the effectiveness of the different committees shall be evaluated on the basis of the results achieved. Their accomplishments are reckoned in terms of their realizing their prioritized aims and objectives. The reviewing is taken up by the GC once in a year, usually in the fourth meeting of the year. To make an impartial and unbiased review of the performance, the GC is empowered to engage external agencies too.

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E. REGULATORY COMPLIANCE

The GC shall make it clear to the students and the public that the College is not like a corporate institution but it is a non­profitable organization aiming only to strive for the good of the public. Its entire performance is geared towards sharpening the skills of the students admitted and serve the society with a large clientele of the engineers who should prove outstanding at their jobs.

The onus of building up rules and regulations, methods and procedures lies with the GC and its members. GC will also have to provide compliance with international standards of technological Institutions to achieve this purpose. In addition the GC should abide by the statutes, ordinances and provisions as fixed by the AICTE, UGC, and the State Government ministries concerned apart from the JNTUK.

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Conclusion

A brief review of the background of the College has been attempted at the outset. Being one of the premier institutes of engineering, not only in this district of East Godavari, but also in the entire State of Andhra Pradesh; by virtue of its track record of success for more than a half a century, the UCEK has several milestones of accomplishments since its inception in the days of the British Raj. Its alumni stand out as living testimonials of the academic achievement and excellence of the College, and it is needless to say that behind the exceptional accomplishments of the College good governance principles have all along been meticulously followed and implemented at all stages of management and administration. One can have read in the above pages a detailed report on the Vision and Mission statements, the organizational structure of the administration with descriptions of their roles and responsibilities, most importantly the vital role played by the Governing Council and other authorities, and a brief survey of outstanding accomplishments achieved by the College (meaning the staff and students equally involved). It is time to end this report, without giving scope to complacency, but with an ever­inspiring quote which Jawaharlal Nehru is said to have kept on his table to derive inspiration every day before he commenced his work:

And miles to go before I sleepAnd miles to go before I sleep

­­Robert Frost