Strategic Human Resource Management in Higher Education: Roadmap for Indian Institutions 9819940664, 9789819940660

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India Studies in Business and Economics

Jai Mohan Pandit Bino Paul

Strategic Human Resource Management in Higher Education Roadmap for Indian Institutions

India Studies in Business and Economics

The Indian economy is one of the fastest growing economies of the world with India being an important G-20 member. Ever since the Indian economy made its presence felt on the global platform, the research community is now even more interested in studying and analyzing what India has to offer. This series aims to bring forth the latest studies and research about India from the areas of economics, business, and management science, with strong social science linkages. The titles featured in this series present rigorous empirical research, often accompanied by policy recommendations, evoke and evaluate various aspects of the economy and the business and management landscape in India, with a special focus on India’s relationship with the world in terms of business and trade. The series also tracks research on India’s position on social issues, on health, on politics, on agriculture, on rights, and many such topics which directly or indirectly affect sustainable growth of the country. Review Process The proposal for each volume undergoes at least two double blind peer review where a detailed concept note along with extended chapter abstracts and a sample chapter is peer reviewed by experienced academics. The reviews can be more detailed if recommended by reviewers. Ethical Compliance The series follows the Ethics Statement found in the Springer standard guidelines here. https://www.springer.com/us/authors-editors/journal-author/journal-aut hor-helpdesk/before-you-start/before-you-start/1330#c14214

Jai Mohan Pandit · Bino Paul

Strategic Human Resource Management in Higher Education Roadmap for Indian Institutions

Jai Mohan Pandit Indira Gandhi Institute of Development Research Mumbai, Maharashtra, India

Bino Paul School of Management and Labour Studies Tata Institute of Social Sciences Mumbai, Maharashtra, India

ISSN 2198-0012 ISSN 2198-0020 (electronic) India Studies in Business and Economics ISBN 978-981-99-4066-0 ISBN 978-981-99-4067-7 (eBook) https://doi.org/10.1007/978-981-99-4067-7 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

To my mentors Professors K. L. Krishna, Vishwanath Pandit, and late Suresh D. Tendulkar —Dr. Jai Mohan Pandit

Foreword

The book entitled Strategic Human Resource Management in Higher Education by Drs. Jai Mohan Pandit and Bino Paul provides an excellent analysis of human resource management (HRM) practices and policies prevalent in higher education institutions (HEIs) in India. It also examines the higher education structure and the challenges faced in governance by Indian HEIs. To better understand and strengthen the functioning of HRM practices in HEIs, it conducts a comparative analysis of HEIs in both public and private sectors in the USA versus a diverse set of HEIs in India. This is based on in-depth interviews of key stakeholders in India and the USA that are competently designed, proficiently implemented, and analysed by the authors, with long-standing experience in both administration and academics. The book, therefore, provides practical recommendations with analytical rigour for enriching and transforming higher education in India. The authors significantly contribute to the literature by visualising a university as an organisation comparable to a corporate firm or company and recommending a strategic human resource management model for higher education. They examine the impact of the manner in which institutions operate on the performance of their employees and stakeholders. They show that consistent employee motivation can facilitate high-quality student intake and quality teaching, learning, and research. The book concludes by analysing the implications of the National Education Policy (NEP) 2020 and its critical role in providing an equitable platform for higher education. It also notes that NEP 2020 is expected to promote substantial growth, competitiveness among Indian HEIs, and quality in higher education. This book’s relevance to current issues in higher education in India is particularly significant. As we strive to build a more holistic, inclusive, equitable, and sustainable future and promote lifelong learning opportunities, India’s higher education institutions must be equipped to meet the United Nations Sustainable Development Goals (SDGs), especially SDG 4, viz. quality education. This particular SDG is expected to have a ripple effect on all SDGs, thus contributing towards a progressive and sustainable society. The authors’ recommendations provide a valuable roadmap for achieving this important goal.

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Starting with an analytical review of the reports of various commissions constituted for developing higher education in India since independence, the authors present a comprehensive picture of a university as a distinct organisation which produces a nebulous output such as quality education. The authors investigate the complex heterogeneous architecture of the Indian HEI landscape encompassing, for instance, traditional universities, deemed-to-be universities, and technical training institutes and examine regulatory systems governing such a structure. While doing so, they carefully delineate the differences in HR systems and practices of a university vis-àvis a traditional firm and note that simple adaptations of industry HR practices may not be effective. This book lays out the strategic HRM systems for managing human resource functions and describes the processes and systems needed for its implementation in the Indian milieu. It delves into essential and often overlooked issues of incentives, motivation, and job satisfaction of HEI employees. The authors take the reader through various steps of running a business-like organisation by incorporating strategic human resources management so that the lifecycle of every employee—right from scouting the talent to recruiting, training, employee welfare, retention, and career progression, to succession planning—is analysed. The evolution of the education system in general, and the higher education system in particular, into that of a business model that imparts knowledge, is a crucial insight underpinning this book’s analysis and recommendations. With dwindling state and central funding and the consequent onus of fundraising falling on the institutions, this business model enables us to understand that higher education institutions must be self-reliant, especially financially, while imparting quality education and knowledge. The authors thus present a unique and valuable perspective on strategic human resource management in higher education institutions. In conclusion, this book is essential for anyone interested in higher education in India. It provides a roadmap for improving the quality of education and equips students and practitioners with the skills they need to succeed in the twenty-first century. I highly recommend Strategic Human Resource Management in Higher Education to university leaders, higher education regulators, human resource scholars and practitioners, government bodies, and policymakers. Pami Dua Director and Senior Professor Delhi School of Economics University of Delhi New Delhi, India

Preface

This book offers critical perspectives on human resource management (HRM) practices and the challenges of governance confronting higher education institutions (HEIs) in India. Accordingly, it spans various dimensions of strategic HRM in HEIs in India. Simultaneously, it also examines the HRM practices prevalent in HEIs in the USA, in the process providing a comparative analysis of their functioning vis-à-vis that of Indian HEIs. While contextualising the role of HR in the evolution of an academic institution, the book explores the concept of a university as an organisation on the same lines as a corporate firm or company. This entails a study of the structure of HEIs, their governance models, analyses of the manner in which the institutions operate, and how that, in turn, impacts the performance of their employees or the faculty. Last but not least, the book discusses the new National Education Policy (NEP), implemented in 2020, and the outcomes of this new roadmap for HEs in the long run. The book has been structured into seven chapters as follows. Chapter 1 delineates the assessment of a university as an organisation and how HRM practices are situated in such a conceptualisation of members of academia as employees of a firm. This chapter also furthers the idea of universities as constituents of a larger society or community of professionals, who work for both their individual development and the fulfilment of the institutional objectives of the HEI they are affiliated with. This is because educational institutions are established for the betterment of society and, accordingly, need to give back their best to the community. Chapter 2 locates the structurisation of the higher education ecosystem in India into a complex and heterogeneous amalgam of public and private universities, deemed universities, and autonomous institutes and colleges. It also examines the regulatory systems governing these institutions along with the diverse manner in which they deploy their resources on a day-to-day basis. Since the Indian higher education ecosystem is complex and unique, it is imperative to understand the basic tenets of governance and the wide heterogeneity at play in it, a task that this chapter adeptly attempts.

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Chapter 3 outlines the distinction between universities and firms in the complex and unique education system in India, by analysing their different objectives, processes, resources, and outcomes. These dissimilarities are also manifested in the varied HRM systems and tenets of governance operating in each of these institutions. The differences between academic institutions and corporate organisations are reflected through a conceptual framework of published content and data from the field, which play an inherent role in their functioning. The chapter also describes the research design, presents an overview of the higher education system in India, and investigates the multiple dimensions of governance functioning across institutions. The implementation of a strategic human resource management (SHRM) system in an organisation involves not only the skilful management of human resources at its disposal but also providing a direction for defining its mission and objectives in both the long and short terms. This process is described in detail in Chap. 4, which also suggests that the more precise and accurate the definition of its aims, the more intensely focused would be the HRM practices in place in a particular HEI. The chapter showcases research asserting that high-performing organisations and educational institutions realise the importance of SHRM and diligently practise it SHRM. The importance of executing sound HRM practices and policies for enhancing university employees’ motivation and job satisfaction levels is demonstrated in Chap. 5. This chapter also indicates that an organisation can attract competent and efficient human resources only by following robust and employee-friendly HRM policies. However, most academic institutions do not offer attractive incentives for their faculty, which makes it a challenge to retain their employees, sustain their motivation levels in the long term, and enable them to optimise their output. The chapter offers evidence that consistent employee motivation could foster higherquality student enrolments, along with consistent progress in the quality of teaching and research outputs. Chapter 6 outlines the HRM practices being implemented in HEIs in the USA and compares them with the corresponding practices operating in Indian HEIs. The chapter flags the advanced HRM systems in publicly funded and private HEIs in the USA, which influence employee performance and productivity, and augment academic excellence. It is found that American universities have historically engendered the concept of traditionally minimal administrative functions but have recently started modernising these systems to ensure the autonomy and financial independence of academic institutions, which has had a profound impact on their performance. Such a roadmap could also be replicated in Indian HEIs to enhance educational and organisational outcomes. The book concludes with Chap. 7, highlighting the National Education Policy (NEP) mandate implemented by the Government of India in 2020. It is pointed out that the NEP was preceded by two policies for the education sector, which came into effect in 1968 and 1986, respectively. However, NEP 2020 signifies the most comprehensive restructuring and massive expansion of the university system in India so far. The recommendations of NEP 2020 are expected to promote substantial growth and global competitiveness among Indian HEIs, through capacity building

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and professionalisation of their human resources. The chapter ends by detailing the significant observations and recommendations of NEP 2020. Intellectual enterprise can only be completed with help from fellow scholars. There are many people we would like to acknowledge and thank. Without their support, we would not have been able to fulfil our dream of completing this book successfully! We acknowledge the guidance, advice, and support of everyone who contributed in their way towards fulfilling our research journey. We thank Madhushree Sekher and Unmesh Patnaik for their encouragement, guidance, and support. We sincerely thank Kamal Kumar Murari for his enriching comments. We thank S. Mahendra Dev for his encouragement and critical reflections on our research. We thank Achintya Ray, B. L. Pandit, D. M. Nachane, Jandhyala B. G. Tilak, K. L. Krishna, Kaushik Basu, Pami Dua, P. G. Babu, Raghuram Rajan, and Vishwanath Pandit for their guidance, constant support, and encouragement. We thank our colleagues and friends, including Usha Jayachandran, Anupma Mehta, Murugaraj, S. M. Pujar, Miteshkumar Pandya, Arpan Bag, Anjaneya Reddy, Lavina Dsouza, Lingaraj Panda, and Pravin Dalvi for their support and help. We are indebted to our parents for their blessings, extraordinary love, and incredible mentoring. Thanks to family members for being a constant source of inspiration and extending their unconditional support while ensuring a caring atmosphere during our endeavour. We thank the faculty and staff members at the Tata Institute of Social Sciences and the Indira Gandhi Institute of Development Research. We hope this book contributes to the existing literature, bringing a deeper understanding of human resource management in higher education institutions. Mumbai, India

Jai Mohan Pandit Bino Paul

Praise for Strategic Human Resource Management in Higher Education

“Education and universities are vital to a nation’s progress. What is often overlooked, because it is not visible, is the complex governance and management that lies behind every successful classroom or laboratory. Jai Mohan Pandit and Bino Paul’s new book fills this lacuna with a comprehensive analysis of the human resource management strategies that are crucial to running a successful higher education institution”. —Kaushik Basu, Carl Marks Professor of International Studies, Cornell University, USA; former Chief Economic Advisor to the Government of India and former Chief Economist of the World Bank “A vibrant higher education sector forms a core element of India’s journey to becoming a developed nation over the next 25 years. Drawing upon his own considerable experience as an administrator in leading economic institutions, Dr. Pandit, co-authored with Prof. Bino Paul, has illuminated critical human resource dimensions that need to be addressed by institutions in both the public and private sectors. This is pioneering work based on detailed research that needs to be absorbed and acted upon by all forward-looking institutions at both CEO and Board level”. —Suman Bery, Vice Chairman, NITI Aayog, New Delhi, India “The book is a welcome addition to the growing literature on the HRM practices in the Higher Education Institutions (HEIs) particularly in the context of NEP 2020 in India. The comparison of HRM practices in USA and India attempted in this book also provides useful insights for promoting substantial growth and global competitiveness among Indian HEIs”. —Ravindra H. Dholakia, Former Professor, IIM Ahmedabad, Ahmedabad, India “Universities and institutions of higher education are unique organisations, different from normal production units or corporate houses. They are also highly human resource intensive, producing valuable human capital. Hence, human resource management in institutions of higher education requires special skills, techniques,

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and distinct approaches different from those commonly practised in other organisations. In India, the problems are further complicated due to the existence of a variety of higher education institutions. Reviewing the current practices in India and abroad with respect to multiple dimensions of institutions of higher education, Dr. Jai Mohan Pandit and Prof. Bino Pal outline the components of a desirable form of strategic management of human resources. This is an extremely timely and useful book not only for higher education leaders but also for all those who are interested in the dynamics of human resource management in higher education and are involved in the implementation of the new National Education Policy”. —Jandhyala B. G. Tilak, Former Professor and Vice-Chancellor, National University of Educational Planning and Administration, New Delhi, India

Contents

1 University as an Organisation: Role of Human Resource Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 Role of Universities in the Development of Society . . . . . . . . . . . . . . 1.2 Role of Various Commissions, Committees, and Educational Policies in Furthering Higher Education . . . . . . . . . . . . . . . . . . . . . . . 1.2.1 The Radhakrishnan Commission (1948–49) . . . . . . . . . . . . . 1.2.2 The Kothari Commission (1964–66) . . . . . . . . . . . . . . . . . . . 1.2.3 The National Knowledge Commission (2005) . . . . . . . . . . . 1.3 The University as an Organisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4 Role of Human Resource Management in an Organisation . . . . . . . . 1.5 Emerging Role of Human Resource Management in Higher Education Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.6 The Human Resource Management System in Indian HEIs . . . . . . . 1.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Higher Education in India: Structure and Governance . . . . . . . . . . . . . 2.1 The Context of Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.1 Governance Structure and Regulatory Bodies . . . . . . . . . . . 2.2.2 The Framework for Higher Education Institutions in India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.3 Financing of Higher Education . . . . . . . . . . . . . . . . . . . . . . . . 2.2.4 Expenditure on Education as a Percentage of Gross Domestic Product (GDP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.5 Gross Enrolment Ratio (GER) in Higher Education Institutes (Global vs. Indian) . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.6 Accreditation and Ranking Framework in India . . . . . . . . . 2.2.7 The Ranking Framework of Higher Education Institutions (India) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1 1 4 5 5 7 8 12 14 18 20 21 27 27 32 32 34 34 37 37 38 39

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2.3 Evolving Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.1 THEME 1: Measure of the Organisational Success of a Modern-Day University . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.2 THEME 2: Strategic Formulation and Policy-Making . . . . 2.3.3 THEME 3: Balance Between Governance and Regulatory Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.4 THEME 4: Balance in the Delegation of Power . . . . . . . . . 2.3.5 THEME 5: Internal Governance . . . . . . . . . . . . . . . . . . . . . . . 2.3.6 THEME 6: Culture of Diversity . . . . . . . . . . . . . . . . . . . . . . . 2.3.7 THEME 7: Transparency of the Decision-Making Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 The Human Resource Management System: University Versus Firm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Differences in Human Resource Management Between a Firm and a University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 HRM in Universities: Voices from the Field . . . . . . . . . . . . . . . . . . . . 3.3.1 Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.2 Recruitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3 Talent Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.4 On-Boarding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.5 Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.6 Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.7 Career Progression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.8 Employer Branding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.9 Flexibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.10 Autonomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.11 Hierarchy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The Strategic Human Resource Management Model . . . . . . . . . . . . . . . 4.1 The Relevance of SHRM to Higher Education . . . . . . . . . . . . . . . . . . 4.2 Human Resource Management System in Indian HEIs . . . . . . . . . . . 4.3 Voices from the Field (Indian Experience) . . . . . . . . . . . . . . . . . . . . . . 4.3.1 Structure of Human Resource Management . . . . . . . . . . . . . 4.3.2 Recruitment and Selection Processes . . . . . . . . . . . . . . . . . . . 4.3.3 Training and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.4 Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.5 Career Progression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.6 Retention Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 Strategic Human Resource Management . . . . . . . . . . . . . . . . . . . . . . . 4.5 Summary and Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

40 41 45 49 50 52 54 55 58 61 61 61 66 66 67 71 73 73 76 77 78 79 79 80 81 83 84 86 89 90 95 97 99 101 102 103 111 115

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5 Human Resource Management Practices and Their Impact on the Employee and the University Performance . . . . . . . . . . . . . . . . . 5.1 Importance of Motivation in an Academic Institution . . . . . . . . . . . . 5.2 Employee Motivational Outcome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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6 Human Resource Management Practices in the US HEIs and a Comparison with Indian HEIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1 Structure of Human Resource Management . . . . . . . . . . . . . . . . . . . . 6.2 The Recruitment and Selection Processes . . . . . . . . . . . . . . . . . . . . . . 6.3 Training and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.5 Career Progression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.6 Talent Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.7 HRM Policies and Practices: Comparison Between Indian and the US HEIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.8 Summary and Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Implications of National Education Policy 2020 . . . . . . . . . . . . . . . . . . . 7.1 Role of HRM in Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.1.1 Multidisciplinary Universities . . . . . . . . . . . . . . . . . . . . . . . . . 7.1.2 Institution Expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.1.3 Internationalisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.1.4 Motivated, Energised and Capable Faculty . . . . . . . . . . . . . . 7.1.5 Equity and Inclusion in Higher Education . . . . . . . . . . . . . . 7.1.6 Transforming the Regulatory System in Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2 Voices from the Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3 Transforming Higher Education in India . . . . . . . . . . . . . . . . . . . . . . . 7.4 Autonomy, Effective Governance, and Leadership for Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.5 Financing: Financial Support, Affordable, and Quality Education for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.5.1 Financing and Financial Assistance to Students . . . . . . . . . . 7.6 The Triple-Helix Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.6.1 Evolution of the Triple-Helix System . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

135 136 140 142 144 146 148 150 150 153 155 157 157 158 161 162 165 165 166 166 168 171 171 172 173 174

Appendix A: Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 Appendix B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187

About the Authors

Jai Mohan Pandit is the Registrar at the Indira Gandhi Institute of Development Research (IGIDR), a deemed-to-be university in Mumbai. He holds a doctoral degree in Management and Labour Studies with a specialization in Strategic Human Resource Management in Higher Education from Tata Institute of Social Sciences (TISS), Mumbai. Dr. Pandit is a Fulbright Fellow. He was selected in 2017 to visit some of the best Higher Education Institutions in the United States of America, including Howard University, the University of Maryland, George Washington University, the University of Pennsylvania and the University of Notre Dame. The National Productivity Council also selected him for a specialized training programme in Balance Score Card in Fiji in 2007. Before joining IGIDR in 2010, he was with the National Institute of Public Finance and Policy (NIPFP), Delhi, as Secretary, Head, Administration and Finance. Dr. Pandit has also worked with the National Council of Applied Economic Research (NCAER), Delhi, as Head, Human Resource Planning and Systems for around eight years. He also worked for seven years as a Senior Academic Administrator with the Centre for Development Economics, Delhi School of Economics (CDE, DSE) at the University of Delhi. Dr. Pandit is a dynamic and efficient academic administrator with extensive professional experience spanning three decades in academic and research institutions. His areas of expertise include Strategic Human Resource Management (SHRM), Professional Management Systems, Governance and Academic Administration, Gender Diversity, International Collaborations and e-Governance. He has proven his leadership capabilities by adapting, envisioning and creating successful outcomes in challenging situations and diverse environments. Bino Paul is the Deputy Director/Pro Vice Chancellor of the Tata Institute of Social Sciences (TISS). After a Master’s degree in Development Economics from the University of Calicut, Kerala, he pursued M.Phil. in Planning and Development and Ph.D. in Economics from the Indian Institute of Technology Bombay (IITB). Bino has been teaching and researching Labour Economics, Sustainability Transition, Social Network Analysis, Micro Data Analytics, and Science, Technology and

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About the Authors

Society for over two decades of his academic career. He published several scholarly papers in reputed journals like Scientific Reports (Nature), Sustainable Development, Sustainability, Science, Technology and Society, Journal of Small Business Management, Journal of Workplace Learning, Journal of Social Structure, European Journal of Comparative Economics, Economic and Political Weekly, Indian Journal of Labour Economics, International Journal of Agricultural Resources, Governance and Ecology, and Indian Journal of Human Development. He has been a popular research guide. Over 15 years, he successfully guided 24 Ph.D. and 30 M.Phil. candidates. Prof. Bino was the Dean of SMLS during 2015–2018. And he has been part of the governance of diverse academic bodies. He was part of the team who got the German Patent (Utility Model) for innovation in microdata curation. As an educationist, he co-founded Post Graduate and Under Graduate Analytics and Sustainability Studies programmes at TISS.

Abbreviations

AI AICTE AISHE ARWU BCI CABE CCH CCIM COA DCI GDP GEC GER HECI HEGC HEI HR HRD HRM ICAR IDP IIEST IIIT IIM IIPM IISER IIT INC INI IT MCI

Artificial Intelligence All India Council for Technical Education All India Survey on Higher Education Academic Ranking of World Universities Bar Council of India Central Advisory Board of Education Central Council of Homoeopathy Central Council of Indian Medicine Council of Architecture Dental Council of India Gross Domestic Product General Education Council Gross Enrolment Ratio Higher Education Commission of India Higher Education Grants Commission Higher Education Institution Human Resources Human Resource Development Human Resource Management Indian Council of Agricultural Research Institutional Development Plan Indian Institute of Engineering Science and Technology Indian Institute of Information Technology Indian Institute of Management Indian Institute of Personnel Management Indian Institute of Science Education and Research Indian Institute of Technology Indian Nursing Council Institutions of National Importance Information Technology Medical Council of India xxi

xxii

MHRD MoE NAAC NAEB NBA NCRI NCTE NEP NHERC NILM NIRF NIT NKC PCI POA QS RCI SCHE SHRM THE TISS ToR UGC URAP US USA VC XLRI

Abbreviations

Ministry of Human Resource Development Ministry of Education National Assessment and Accreditation Council National Accreditation Education Board National Board of Accreditation National Council of Rural Institutes National Council for Teacher Education National Education Policy National Higher Education Regulatory Council National Institute of Labour Management National Institutional Ranking Framework National Institute of Technology National Knowledge Commission Pharmacy Council of India Programme of Action Quacquarelli Symonds Rehabilitation Council of India State Councils of Higher Education Strategic Human Resource Management Times Higher Education Tata Institute of Social Sciences Terms of Reference University Grants Commission University Ranking by Academic Performance United States United States of America Vice Chancellor Xavier Labour Relations Institute

Chapter 1

University as an Organisation: Role of Human Resource Management

1.1 Role of Universities in the Development of Society Universities enhance the cognitive, functional, and attitudinal skills for the holistic development of students (Gacel-Ávila, 2005). Universities are an integral part of society and are expected to establish a dynamic equilibrium with the community while focusing on the economic, social, and environmental perspectives. Thus, educational institutions exist for the betterment of society and, accordingly, need to give back their best to the community and the organisation based on the prevailing scenario (Beteille, 2010; Chandra, 2017; Varghese & Panigrahi, 2019). However, it has been observed that there are some gaps and disconnects regarding fulfilling these expectations. For example, members of the younger generation in India, including the uneducated and the educated and qualified youth, are currently facing tremendous challenges in terms of the employment opportunities available to them due to the large-scale demand–supply mismatch on the employment front (Khare, 2014). The entire educational ecosystem needs to introspect on how the quality of education can be enhanced, especially in higher education institutions (HEIs). The primary purpose of education is to foster the personal development of human beings, which, in turn, contributes to national development through the gains achieved by teaching the nation’s human resources (Chandra, 2017; Nayyar, 2007). Universities are expected to train and prepare students to face every eventuality when they step out of the educational arena and face the outside world. Secondly, it is important to analyse how the world is evolving and moving towards an Industry 4.0 era (Lukita et al., 2020). In view of the rapidly rising globalisation, the objectives of HEIs are consistently becoming dynamic, and no longer remain confined to merely training students to meet their local needs but must also evolve continually to keep up with global standards. In fact, universities can successfully meet the global challenges only if they swiftly transform themselves in accordance with the demands of the knowledge and technology-based society (Chirstensen & Eyring, 2011).

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_1

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Universities can achieve organisational goals only when they understand and work in cohesion with the above-mentioned aspects while adequately blending human resources, physical infrastructure, and financial resources with the learning processes geared towards academic excellence (Vasitha & Chauhan, 2011). The HEIs will be able to achieve their organisational targets only if the emerging leadership is dynamic and appropriately deploys these three critical elements in the teaching process. Given that the employment ecosystem at the university level is an inherent part of the knowledge economy, human capital is a far more critical asset in the education sector than infrastructure or physical capital (Becker, 1965). The criticality of the role played by human resources in the education system is underscored by the fact that all academicians, be they the Vice-Chancellors, faculty members, or even administrative staff, eventually interact with people, coordinating with various support divisions and achieve outcomes through people rather than through machines (Balyasin & Gebremerkel, 2020; Guest & Clinton, 2007; Ulrich, 2013). In this context, human resource management plays a vital role in developing a university as an organisation as a sustainable educational institution (Donnell et al., 2006; Julius, 2000; Mohammed et al., 2019; Pellert, 2007). It is also well-established that university employees equipped with key skills and proper training, who derive satisfaction from their work, are more committed and efficient in their profession (Guest and Clinton, 2007; Ulrich, 2013). Accordingly, the effective implementation of human resource management (HRM) practices enables universities to boost the performance of both the employees and the institution (Chen et al., 2009; Fuming & Jiliang, 2007; Lew, 2009; Sanders & Graham, 2020). The main priority for the Indian HEIs is to bring about a seminal transformation in the higher education system in the country, as envisaged by the National Education Policy (NEP) 2020 (Ministry of Human Resource Development, 2020). In order to succeed in its mission of the qualitative expansion of the current education system and intuitively tackle the challenges of the twenty-first century, the HEIs in India need to create and nurture state-of-the-art professional systems. In this context, HRM constitutes a crucial component for building globalised universities as dynamic HEIs (Evans & Chun, 2012). It is an issue of concern that the role and significance of HRM in a rapidly changing academic landscape have not been accorded the priority they deserve by most Indian academic institutions, nor has the NEP focused on this aspect. Most of the HEIs in India continue to follow the traditional personnel management systems characterised by a record-keeping department that keeps track of employee details such as contracts, appointment letters, travel details, and so on, in a rather pedantic manner (Bamel et al., 2014; Kemper, 2001; Menon, 2015; Mittal, 2008; Vasitha & Chauhan, 2011). Instead, the need of the hour is to move beyond the monotonous functioning of the routine administrative systems to develop professional and expert support systems. This is proven by the fact that the HEIs performing exceptionally well in terms of their global university rankings implement robust and innovative HRM practices (Amin et al., 2014; Convertino, 2008; Evans & Chun, 2012; Fernandez, 2017; Guest and Clinton, 2007; Lew, 2009). For example, most HEIs in the USA have incorporated state-of-the-art HRM systems and dedicated HRM units in their campuses (Flaniken,

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2009; Giren, 2015; Godonoga & Vite, 2015; Keller, 1983; Kline, 2019; Leon, 2012; Pritchard & Schmidt, 2020). Although the number of HEIs in India has increased since independence, there has not been a concomitant improvement in their academic quality to meet global standards. While 20 universities and 500 affiliated colleges existed at the time of independence, today, these numbers have gone up phenomenally to 1055 universities and 42,343 colleges as of 31 March 2020. Notwithstanding the rise in numbers, however, few Indian HEIs can match the top universities in the Times Higher Education rankings (World University Rankings, 2021). As the vision of crafting a high-quality education system gradually started taking shape in post-Independent India, attempts were made to assimilate the constitutional principles, mainstream social justice, offer development opportunities, and encourage liberty in expression and thinking as part of the new education system. These principles constitute the foundation of the public higher education system of India. According to Sarvepalli Radhakrishnan, the erstwhile President of India and an eminent philosopher and academic, education involves seamless coordination between thinking and action. In other words, the mandate of a university is not merely to impart education vide a routine process of teaching and examinations but should become an enabling space for assimilating changes in society, technology, and human life through creative ideas and actions (need to put YouTube reference). Unlike firms in the corporate world, a university is a microcosm of diverse cultures, socioeconomic strata, ideologies, and aspirations. It is this diversity rather than homogeneity that, in effect, becomes the strength of a university, as a sole focus on making an HEI a homogeneous institution would preclude its holistic development and prevent it from integrating global developments in society, polity, environment, economy, and technology. To perpetuate its commitment to constitutional principles and values, the university must have an inclusive and adaptive organisational system based on sustainable purposes and visionary leadership. While the stakeholders of an institution may act in diverse ways, they should ultimately converge through shared ideals. This process should be organic and inclusive, evolving under visionary leadership to allow the system to adapt to the required changes without disrupting creative ideas, thought processes, and actions. Figure 1.1 broadly showcases four combinations of diversity and purpose. If we disaggregate the various components of the figure, Combination (A) signifies less diversity and a shortage of common and sustainable purposes. Combination (B), on the other hand, also presupposes less diversity but the prevalence of a shared purpose. In the case of Combination C, high diversity is paired with a shortage of purpose. Combination D is the most desirable because it entails higher diversity and the prevalence of common and sustainable purposes. The combination “A” represents a mediocre system that yields neither efficiency nor coherence of goals. Although it may prevail in the absence of other alternatives, the advent of new and dynamic competitive forces stemming from technological developments, regulations, and institutions may render it redundant. Combination B enjoys a distinctive advantage over Combination A as it may retain less diversity but still creates a sustainable, shared purpose across all its stakeholders, motivating

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Fig. 1.1 Common and sustainable purpose

people to work coherently towards attaining common goals. However, Combination B is still superfluous in nature as it precludes a well-defined structure and the achievement of social justice. Meanwhile, Combination C promotes a system with higher diversity but lacks of a clear purpose, which could be a veritable ground for fostering distrust among its stakeholders. Combination D symbolises an ideal situation by coalescing a high degree of diversity and the prevalence of a common purpose among all its constituents that sustain over time. It can also be the site of a transformative agenda for leadership and academic development if sustained over the long term.

1.2 Role of Various Commissions, Committees, and Educational Policies in Furthering Higher Education After independence, several commissions and committees were appointed to examine issues pertaining to higher education in the country and to provide suggestions for improving tertiary education in India. A majority of the reports released by these bodies highlight several problems, including a decline in higher education standards and overall deterioration in education standards in the country. The reports of these

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commissions and committees offer significant and appropriate recommendations based on their findings. The details of the prominent commissions and committees and their recommendations are delineated below.

1.2.1 The Radhakrishnan Commission (1948–49) “The Radhakrishnan Commission”, also known as the University Education Commission (1948–49) on higher education, was set up by the Union Government in 1948 (Ministry of Education, 1950). The University Education Commission was the first commission on education after independence and was led by Professor S. Radhakrishnan, Spalding Professor of Eastern Religions and Ethics at the University of Oxford. The Commission’s primary term of reference (ToR) was “to report on Indian University Education and suggest improvements and extensions that may be desirable to suit the present and future requirements of the country”. Submitting its report in August 1949, the Commission observed that “the academic problem has assumed new shapes. We now have a wider conception of the duties and responsibilities of universities. They must provide leadership in politics and administration, the professions, industry, and commerce. They must meet the increasing demand for every type of higher education, literary and scientific, technical, and professional. They must enable the country to attain, as soon as possible, freedom from want, disease, and ignorance by applying and developing scientific and technical knowledge. The universities must create knowledge and train minds to bring together the two, material resources and human energies. If our living standards are to be raised, a radical change of spirit is essential”.

1.2.2 The Kothari Commission (1964–66) The Central Government of India appointed the Education Commission (1964–66) or the Kothari Commission by a resolution dated 14 July 1964 (Ministry of Education, 1967). The Commission included 17 members, led by Professor D.S. Kothari, then Chairman of the University Grants Commission (UGC), New Delhi. The Commission’s primary purpose was to “advise Government on the national pattern of education and the general principles and policies for the development of education at all stages and in all aspects” (p. i), which excluded legal and medication education from the purview of the Commission. The Kothari Commission highlighted that “Indian education needs a drastic reconstruction, almost a revolution. We need to bring about a major improvement in the effectiveness of primary education; introduce work experience as an integral element of general education; rationalise secondary education; improve the quality of the teacher at all levels, and provide teachers with insufficient strength; to liquidate illiteracy; to strengthen centres of advanced study and strive to attain, in some of

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our universities at least, higher international standards; to lay special emphasis on the combination of teaching and research; and to pay particular attention to education and research in agriculture and allied sciences. All this calls for a determined and large-scale action. Tinkering with the existing situation and moving forward with faltering steps and lack of faith can worsen things”. The Commission further noted that “there is, of course, one thing about which we feel no doubt or hesitation: education, science-based and in coherence with Indian culture and values, can alone provide the foundation-as also the instrument for the nation’s progress, security, and welfare”. While highlighting the issues related to higher education, the Kothari Commission observed that “there is a general feeling in India that the situation in higher education is unsatisfactory and even alarming in some ways, that the average standards have been falling and that rapid expansion has resulted in lowering quality. The examination results, the reports of the Public Service Commission, the views of employers, and the assessment of teachers themselves, the research results in all seem to support this conclusion”. The Commission strongly observed that “the large gap between the standards in our country and those in the advanced countries is widening rapidly”. While pointing out the shortcomings, the Commission suggested the following functions for prospective modern-world universities to be established in India: • To seek and cultivate new knowledge, to engage vigorously and fearlessly in the pursuit of truth, and to interpret old knowledge and beliefs in the light of unique needs and discoveries; • To provide the right kind of leadership in all walks of life, to identify gifted youth and help them develop their potential to the full by cultivating physical fitness, developing the powers of the mind and cultivating the proper interest, attitudes and moral and intellectual values; • To provide society with competent men and women trained in agriculture, arts, medicine, science and technology, and various other professions, who will also be cultivated individuals, and imbued with a sense of social purpose; • To strive to promote equality and social justice, and to reduce social and cultural differences through the diffusion of education; and • To foster in the teachers and students and through them in society generally, the attitudes and values needed for developing the “good life” in individuals and society. The Commission recommended the following additional responsibilities for teachers and students: • They must learn to serve as the conscience of the nation; and from this point of view, they should encourage individuality, variety, and dissent within a climate tolerance; • They should develop programmes of adult education in a big way and, to that end, evolve a widespread network of part-time and correspondence courses; • They should assist the schools in their attempts at qualitative self-improvement;

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• They should shake off the heavy load of their early tradition, which gives a prominent place to examinations, and strive to improve standards all around by a symbiotic development of teaching and research; and • They should create at least a few centres, comparable to those of their type in any other part of the world and thus help bring back the “centre of gravity” of Indian academic life within the country itself. For accomplishing the objectives mentioned above, the Commission strongly recommended: • A radical improvement in the quality and standards of higher education and research; • Expansion of higher education to meet the human resource needs of national development and, to some extent, the rising social ambitions and expectations of the people; and • Improvement in university organisation and administration.

1.2.3 The National Knowledge Commission (2005) The National Knowledge Commission (NKC) was appointed by the then Prime Minister, Dr. Manmohan Singh, to “prepare a blueprint to tap into an enormous reservoir of our knowledge base so that our people can confidently face the challenges of the twenty-first century”. The Commission was set up in 2005 (National Knowledge Commission, 2009). The Commission acknowledges that “Higher education has made a significant contribution to economic development, social progress and political democracy in independent India, but there is a serious cause for concern at this juncture. The proportion of our population in the relevant age group that enters the world of higher education is about 7%. The opportunities for higher education in terms of the number of places in universities are simply inadequate concerning our needs. Large segments of our population just do not have access to higher education. Moreover, the quality of higher education in most of our universities leaves much to be desired” (p. 66). The National Knowledge Commission also highlighted the general feeling of the community all around, stating that “Higher education needs a systematic overhaul so that India can educate much larger numbers without diluting academic standards. Indeed, this is essential because the transformation of the economy and society in the twenty-first century would depend, in significant part, on the spread and the quality of education among our people, particularly in the sphere of higher education. It is only an inclusive society that can provide the foundations for a knowledge society” (p. 62). The Commission broadly recommended the following measures: A. Expansion: Following are the goals for achieving expansion: • Create many more universities; • Change the system of regulation for higher education;

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Increase public spending and diversify sources of financing; and Establish 50 national universities. Excellence: For attaining excellence, it is imperative to: Reform the existing universities; Restructure undergraduate colleges; and Promote enhanced quality. Inclusion: The basic goals for enabling inclusion are to: Ensure access for all deserving students; and Initiate affirmative action for those left out of the system to ensure all-round inclusion.

1.3 The University as an Organisation In the growing global competition, a university as an organisation must cope with changes in demographic structures, disruptive technologies, regulatory reforms, new learning products, frontier research and, more recently, pandemics. Globally, higher education space has experienced several developments in the last few decades. The influences of transformations in governance in the public sector, which started in the 1980s, impacted higher education, providing an opportunity for more decentralisation, marketisation, privatisation, and institutional autonomy (Cai, 2010). The most challenging part is to cope with the demographic forces, particularly among the younger generation, and technological innovations such as robots, automation, and artificial intelligence, among others. The paradigm of a university being a static instrumental entity is obsolete in terms of scope and scale (Pandit, 2019). While a modern university seeks to explore new frontier knowledge through learning and research, it also faces issues related to scale and scope. Scale implies the capacity of a university to absorb the growing number of learners and their unmet needs in pursuit of learning and research. For a dynamic university, enrolment tends to grow over time rather than remain constant over the years. Scaling up may generate quality concerns about learning and research outcomes. What transforms a scaling-up university into an innovative one is its ability to foster progressive processes that allow for coordination between scaling up and quality concerns. As regards the context of scaling up which promotes quality in terms of the scope for new research and learning streams, the pivotal aspect in transforming an organisation into an innovative and resilient one depends on how a university evolves as an organisation through systems, processes, and praxis (practice). The university as an organisation comprises a set of resources, processes, and outcomes (Fig. 1.2). It uses both tangible and intangible resources. While the tangible resources include human resources, infrastructure, intellectual property rights and finance, the intangible resources consist of social capital, goodwill, brand value, and tacit knowledge. It uses diverse combinations of these resources to create various outcomes, including teaching, jobs, research, and innovation. Student enrolment is

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crucial for the growth of any university. Low enrolment figures impair the scalingup process of a university. In order to achieve growth, a university must, therefore, seek to constantly enhance the size of both its students and faculty. However, as the enrolment goes up, maintaining the desirable level of quality of the education being imparted at the university becomes a challenge. The crucial objective is thus to optimally balance enrolment with academic quality. One extreme is the combination of low enrolment and high quality in learning and other outcomes, whereas the other pole is the pairing of high enrolment with low quality. Both are detrimental to the growth of the university. These challenges often emerge when policy change requires a university to restructure itself by deploying new strategies. An example is the National Education Policy of 2020 in India, which mandates that universities must attain a minimum enrolment figure of 3000 students in the near future. It is thus evident that a small university specialising in imparting education in selected streams cannot afford to adopt a strategy of low enrolment and high-quality output. However, as it seeks to move towards higher enrolment, new challenges emerge because it would need to recruit new talent within a short span of time while simultaneously ensuring its financial sustainability. Moreover, it would also be exposed to fierce competition for attracting talented students and human resources. Another crucial issue that a university needs to consider as part of its growth strategy is its impact. An operational question to

Fig. 1.2 University as an organisation

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be addressed is determining the investment returns. Unlike the traditional market, outcomes in higher education are intangible, as the impact in an HEI emanates from intellectual outputs manifested through research, labour market outcomes like job placements, and the creation of intellectual property resources through innovation. One of the exciting ways an HEI can implement innovative teaching and learning strategies is to diversify the modes of learning, as it can, for example, flexible learning through the introduction of digital technologies. In this milieu, along with other organisational processes, human resource management becomes an indispensable component in organising a dynamic and innovative university into a globalised higher education institution. “Managing staff in the proper way may not only help the organisation to survive on the market but also to improve its performance through human resource development” (Abella, 2004). Initially, the governance of a university or an HEI was largely seen as a responsibility of the academic staff. However, given the rise of various challenges pertaining to accountability, the governance structure, regulatory issues, fund management in the absence of full support from the government and dependence on student fees, brand-building, and need to maintain alumni relations, the responsibility of governance has, at least partially, shifted to trained non-academic professionals, especially in the HRM domain; the role of HR in an HEI entails manpower management, recruitment, training and development, designing of attractive HR policies for attracting and retaining talent, performance evaluation systems, and staff welfare measures (Pandit, 2019). However, an empowered HRM is not common among Indian HEIs, though it is crucial for producing employable graduates, and achieving impactful research and innovation. The various components of the university as an organisation broadly include the board of governors or trustees; academic council; executive council; court/senate; finance committee; planning and monitoring board; selection committee; faculty; non-teaching staff; and students; non-academic staff, professional staff and others (Perkins, 1972). Traditionally, the governance and overall management of universities were controlled by academicians and scholars. Faculty members were extensively involved in internal committees, search and peer review committees, and the hiring and promotion of academicians and staff members. Even the faculty members were involved in administrative jobs, including budgeting, devising admission policies, and other non-academic jobs of the university. In recent years, however, these assignments have evolved, and paving the way for new regulations, new admission and recruitment procedures, legal issues, and gender balance. Paradoxically, faculty members complain that performing these non-teaching roles is challenging and time-consuming for them, but at the same time, they also resist any intervention or involvement by the non-teaching or professional staff in these functions (Chandra, 2017; Hensel, 1991). Even though there has been extensive debate about the concept of a university shifting from an institution to an organisation, scholars are still loath to accept this transition. The university has traditionally allowed scholars and academicians full autonomy in functioning as a result of which they were considered to be powerful bodies. The inclusion of corporate or non-governmental representatives as members

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of the Board of Governors in universities has been instrumental in ushering in a corporate culture into universities. Going forward, there is a need to adopt techniques being used by the private sector to make management systems in universities more efficient. The new trend in HEIs entails accountability, elaborate governance structures, and the induction of professionals. Some of the critical aspects that impact governance in universities and further the concept of HEIs being organisations rather than institutions include the manifold increase in enrolments in emerging markets and a comparative slowdown in developed ones; the increased need to address social and scientific issues, necessitating in-depth knowledge and innovations; the importance of the technology for ensuring access to better production and efficient service delivery, and recent restructuring of industry set-ups. These developments thus underscore the need for developing new skills, and knowledge, and a change in perspectives and attitudes. On the one hand, there is minimal support from the government towards the development of higher education, teaching, research, and infrastructure, while and on the other hand, there is an increased demand for resources (Chandra, 2017). These aspects necessitate rethinking with respect to university functional systems and governance. During the 1990s, new research analysed the development of universities from the aspect of management (Jensen, 2010). Due to outside pressure, the universities were also impacted, including in terms of receiving less financial and other support from the government, globalisation, a manifold increase in student enrolment, and the commercialisation of education. Researchers argue that universities will manage these new developments if the HEIs quickly gear up to respond to these challenges. Some HEIs have already adopted new strategies to overcome these challenges, including the introduction of strategic management, reduction in costs, and ensuring high-quality research and teaching. The available research indicates that these HEIs succeeded in transforming themselves from traditional collegial universities into enterprising universities, akin to a business model rather than the standard university model (Jensen, 2010). A learning organisation creates, acquires, and transforms knowledge. It also helps in metamorphosing people’s behaviour and helps them acquire new knowledge and insights, as well as generate new ideas and improve their performance (Peddler et al., 1991). However, researchers and academicians have often warned against discarding the “old” collegial values and adopting more managerial ones in their place. A general widespread criticism is that the higher education system ignores its primary purpose and instead develops as an industry (Chandra, 2017; Jensen, 2010; Tilak, 2008, 2018). At the same time, there is a view that HEIs are answerable to the public. Hence, they need to be efficient and ensure that their goals and targets are met, thereby satisfying the basic purpose of higher education (Chandra, 2017; Gumport, 2000; Johnston, 1913). The shift in seats of higher education from institutions to organisations has occurred due to several reasons. These include the persistent shortage of public funds for higher education, an extensive propagation of the neoliberal system, the advance of globalisation over the world, and the introduction of new laws by the World Treaty Organisation. There has been continuous criticism of a solid and well-established

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higher education system being considered as a public good and of attempts to push and justify the commercialisation of higher education (Tilak, 2018). The development and longevity of an organisation depend upon the importance it accords to organisational behavioural issues, best human resource management policies, career development schemes, achievement of corporate targets and goals, organisational culture, and sound leadership (Chandra, 2017). Over time, the demand for higher education has increased drastically in all the countries worldwide, leading to pressing needs for good governance and organisational systems at the university level. Universities have also expanded their study/ degree options and courses accordingly on a considerable scale, enhancing professional and academic staff. University governance systems have also changed due to accountability, management of funds constraints, shrinking financial support from the State, evolution of university objectives, dependence on student fees, and the advent of the concept of brand-building, among other things. In view of the recent development of the change in perception of HEIs from institutes to organisations, there is a need for a radical shift in the management of HEIs, taking into account the need for various factors, including innovation, development, constant improvement in performance, revisiting and redefining goals, and engendering intelligible and well-organised systems (Chandra, 2017; Kehm, 2013). In order to successfully cope with the above challenges and enhance their efficiency, universities need to refurbish their existing departments and/or set up several new operational support units, under the HR system, such as the departments of finance and accounts, information technology (IT), estates, maintenance, and publications, along with a placement cell to enable their students to secure decent employment.

1.4 Role of Human Resource Management in an Organisation In the best organisations today, human resource management plays a crucial role in boosting the organisation’s functionality and efficiency and in augmenting the overall organisational performance and its market value (Byfuglien et al., 2013; Recardo, 2016; Ulrich, 2007; Ulrich et al., 2008a, 2008b), and in enabling the organisation to compete and achieve the best outcomes (Ferris et al., 2007; Ulrich & Ulrich, 2010). Human resource management functions are responsible for transforming organisational strategies and goals into human resource policies and procedures that could generate modest benefits (Torrington et al., 2005; Tyson, 1995). While one of its primary objectives is to recruit and retain the best talent for meeting the organisational goals, it also evaluates employee performance and needs to constantly motivate employees to optimise their development and training (Mansor et al., 2012; Thomson & Mabey, 2011). The functions of human resource management

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include: aligning human resources and business strategy; re-engineering organisational processes; paying attention to the needs of employees and responding to their demands; and overseeing organisational transformation and change (Dave Ulrich, 1996). In view of its above functions and roles, HRM has a crucial linkage with corporate governance, as it needs to recruit the right person in the correct position at the right time (Kummamuru & Murthy, 2014). The proactive involvement of HRM and practising HRM instruments benefits the overall development of any organisation (Huselid, 1995). Accordingly, HR managers examine the usage of thirteen fundamental HR practices, including selection, job design, performance appraisal, the intensity of recruiting, incentive compensation, grievance procedures, information sharing, attitude assessment, labour-management relations, annual average training time, and promotion methodology. It is evident that organisations using “high involvement” HRM practices also succeed in consistently achieving better financial performance. Human resources management also supervises the functioning of an institution’s highly talented staff both individually as well as members of a team, guiding them to achieve its goals (Armstrong, 2006). The primary responsibility of HRM is to take care of the complete employment lifecycle of the employees from their joining to retirement (Obedgiu, 2017), along with their critical requirements after retirement, particularly retirement benefits and medical needs. Their core job is to attract the best talents while ensuring brand-building for the organisations and selecting the right employees through efficient recruitment processes. HRM also oversees the workforce’s overall training and development needs during the latter’s employment in an organisation. They evaluate talent with the help of HR tools such as those used to assess performance. Through this process, they provide incentives to the best performers while taking the necessary remedial measures for those not performing well. Further, they play an essential role during employee terminations or resignations. The other responsibilities of the HRM entail ensuring the organisation’s employment compliances and labour laws, and representing their institutions to attend legal cases. Another role of HRM is to promptly address the employees’ complaints or grievances via a formal procedure before they get out of control. An efficient employee grievance redressal system could strengthen the employees’ motivation to be proactively involved in the organisation, which, in turn, boosts their moral duty to give back to the organisation, leading to strong bonds and organisational commitment (Roe & Taylor, 2018; Shore & Barksdale, 1998). Originally, the term “human resources development (HRD)” was used by management experts while discussing issues related to the industrial organisation or managing business. The term has become popular since the 1980s among management experts (Rajini & Sankaranarayanan, 2009; Rao, 2014). “HRD is a process of developing and unleashing human expertise through organisation development and personnel training and development to improve performance” (Swanson, 1995, p. 208). Broadly HRD also seeks to develop people’s “knowledge, expertise, productivity and satisfaction, whether for

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personal or group/ team gain, or the benefit of an organisation, community, nation, or ultimately, the whole of humanity” (McLean & McLean, 2001, p. 15–3). Human resource development is now recognised as one of the most valuable institutional assets (Rajini et al., 2009). In the development literature, the HRD approach revolves around the concept of human capital, which owes its existence to the analytical work of Theodore Schultz (1962), Gary Becker (1964), and Jacob Mincer (1962). Given the fast-growing digital systems, global challenges have led to comprehensive societal, cultural, and economic revolutions (Shapayah, 2018). Accordingly, new skills, such as data analytics, artificial intelligence (AI), and machine learning, are emerging as vital digital tools not limited to the technological world. While this evolution has been progressing slowly, it will have tremendous scope for all organisations. The report’s author cites a study by Deloitte Global Human Capital Trends in 2017, which found that people analytics and digital HR will have a more extensive scope due to the changing speed of technology, a critical consideration for organisations. Organisations are increasingly looking for efficient and speedy ways of service delivery, online recruitment platforms, and effective employee management tools. The author argues that it empowers people in this digital age at the workplace and stresses the need to focus on the following three key areas to support the functioning of HR in organisations: (a) digital employees, (b) digital work, and (c) digital performance management. The author states, “HR professionals need to reinvent themselves continuously and engage in approaches in digitalising the workplace for quality and efficient service delivery. Those who will succeed are like chameleons— they can adapt their skillsets in order to stay relevant”. Indeed, in the future, AI will have a significant impact on HRM systems in universities and other HEIs.

1.5 Emerging Role of Human Resource Management in Higher Education Institutions The success of an HEI primarily depends upon the quality of its human resources and acceptance of the fact that human resource management is at the heart of any successful academic administration (Jones & Walters, 1994). Higher education institutions have faced many challenges over the last few decades worldwide. The effects of governance reforms and global challenges, particularly in the public sector, which started in the 1980s, had spillovers in higher education—opening the opportunity for more decentralisation, marketisation, privatisation, and institutional autonomy (Cai, 2010). In the higher education sector, the traditional role of HRM has been confined to minimal administrative activity (Guest & Clinton, 2007). “In universities, HRM has traditionally been a minor administrative activity. It has dealt with the administration of recruitment and selection, with pay, some basic training, and the administration of promotion” (Guest & Clinton, 2007, p. 6). Although HR managers were fully

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involved in managing the core HRM activities of the non-academic staff, they had a very minimum role about recruitment, promotion, and organisation of academic activities. This applied to a majority of the HEIs until the last century. However, successive governments have aimed to improve university systems, the degree of autonomy, and their prevailing conditions. The authors point out that the “Dearing Report (1997)” was about the future of higher education and was followed up by the Bett Review (1999) on pay and conditions. The initiatives taken by Michael Bett, a former personnel director and president of the Chartered Institute of Personnel and Development, pointed out that there was enormous scope for improvement in the personnel function in universities, and this challenge needed to be addressed urgently. Accordingly, with the initiative from the government, Rewarding and Developing Staff (Hefce, 2001) was designed to modernise personnel practice in universities. The government decided to provide funds to HEIs for restructuring their HRM functions and core HRM activities, which included recruitment and retention, development and training, generation of equal opportunities, staff planning, performance review, reward, and enhancement. Given the incentive of substantial financial grants, most universities started proactively implementing this initiative and developing a sound HR strategy to manage HRM tools effectively. “The development and implementation of an effective HR strategy will depend to a considerable extent on the leadership provided by the vice-chancellor and the top management team. When it comes to implementing the strategy and associated policies and practices, the role of other seniors, middle and more junior managers is also important” (Guest & Clinton, 2007, p. 18). In order to develop a competitive edge in faculty recruitment, HEIs need to minimise bureaucracy in the recruitment process. The areas of the common complaints need to be addressed on a priority basis and HEIs need to ensure: (a) reduction in the bureaucracy during selection processes while avoiding unnecessary paperwork; (b) ensuring a single point of contact to communicate with the prospective teachers; (c) updating the candidates at each stage about the status of their applications; (d) ensuring that each person or official is courteous and professional while dealing with the applicants; (e) remaining focused while interviewing the candidates; (f) efficiently organising the recruitment process from candidate arrival till their departure; (g) providing proper information to and briefing the interviewers, thereby enabling them to understand the criticality of their roles in the selection process; (h) providing motivational incentives and recognition to employees involved in the recruitment process; and (i) ensuring that the applicants feel respected and valuable during the entire recruitment and selection processes (Lee, 2005). The functions of HEIs to generate and generalise ideas have remained more or less static for centuries, but recent environmental and social changes have redefined the functioning of HEIs. The role of HRM in HEIs thus becomes critical in the context of these challenges. HRM can deliver value in three domains of HEIs: talent, leadership, and capability (culture) within the organisational strategy and external business conditions and among their critical stakeholders. There are two types of employees in HEIs, viz. the academic staff and the support staff. The academic staff includes faculty, researchers, and scholars, who are the key stakeholders and work directly

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in the educational mission of the HEI. The support staff include administrators, students, office staff, library and IT staff, laboratory staff, facility staff, and others who help in the institution’s operations. HRM can assist both streams in delivering value while connecting talent, leadership, and culture (Ulrich, 2013). HRM can assist support leaders in building their leadership skills, enabling them to devise innovative strategies for optimising the utilisation of human capital and enhancing the proficiency of the workforce. The other roles of HRM include organising leadership training programmes and workshops, sharing relevant information to facilitate decision-making, resolving conflicts, and promoting a culture of cooperation and coalescence within the organisation. Since HEIs are complex organisations and subject to periodic transformation, HR professionals need to realise that one size does not fit all and accordingly tailor policies to the specific institution’s needs. Even though the outcomes about talent, leadership, and capacity may have commonalities across the university, the specific job responsibilities of HR professionals for each result may vary depending on the employee group. Thus, HRM professionals would be able to assist the HEIs better once they recognise this fact (Ulrich, 2013). Since HEIs are mainly people-intensive organisations, HRM plays a vital role in overall institutional development (Pellert, 2007). Although people comprise the most valuable asset of educational institutions, in both human and financial terms, and many universities have established procedures for functioning administrative personnel, they seldom devise strategies or processes for “managing” their human resources. It is also essential to distinguish between the “hard” and “soft” elements of the operational practices of HRM. The challenging aspects include recruitment and retention, whereas motivation, career development, and work-life balance in the institution could be characterised as the “soft” aspects. Of late, there has been a change in the HEI structure in India from a fully protected system with low maintenance costs to a system that progressively demands higher maintenance costs concomitant with more significant challenges. Further, the kind of relationship that the institution maintains with the government and the powers delegated to them is also a critical determinant of the ecosystem prevalent in an HEI (Gordon & Whitchurch, 2007). Running an HEI is thus not the job of academicians and administrators alone but needs specialised and expert human resources to deal with such challenges. The globalisation of higher education is also responsible for changes in people’s expectations, the environment, and the style followed by an academic institution. The advent of global markets in higher education implies that HEIs need to gradually compete globally with their peer groups to access excellent and capable employees. Historically, the career structures offered were homogeneous and linear; however, modern HEIs are becoming creative and innovative in their HRM approach (Gibbons et al., 1994; Gordon & Whitchurch, 2007). Various instruments are available for HRM in the higher education system to ensure the efficient functioning of HEIs. These include general recruitment and selection policies, job evaluation, ability to attract and retain top-quality staff, diversity/ equal opportunity, imparting intuitive and job-specific and leadership training to employees, managing flexible employment, ensuring staff discipline, designing the job content, creating reward systems, appraisals, social welfare schemes, two-way

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communication processes, managing poor employee performance, and succession planning (Chen & Cheng, 2012; Guest & Clinton, 2007; Halidu, 2015; Jalaliyoon & Taherdoost, 2012; Khan & Abdullah, 2019; Nestorowicz & Park, 2014; Selesho & Naile, 2014; Shelley, 1999). Although non-teaching staff may hitherto be engaging in non-essential roles, in view of the latest development and global challenges, HEIs need to focus on providing continuous updates and orientations to their employees (Antiado et al., 2020). While the faculty doubtless plays a key role in the overall development of the institution, the non-teaching staff to has a vital role in the overall academic environment of an HEI. Presently, the training and development requirements of the non-teaching staff are inadequate and poorly developed in most HEIs. This is due to the lack of HR policies and training systems for the non-teaching team, which can be traced to bureaucratic hurdles, lack of sufficient staff and fund constraints. Imparting continuous training to and promoting the development of employees leads to increased motivation and job satisfaction among the latter (Muriuki et al., 2020). The selection and recruitment systems in HEIs positively associate with overall organisational commitment (Aboramadan et al., 2020). Placing university employees in the correct positions fosters higher levels of organisational commitment. The use of adequate training and development modules in HEIs has also impacted organisational commitment substantially. The authors of this study argue that there is a strong relationship between performance appraisal and organisational commitment, and accordingly, the university performance management system plays an essential role in enhancing organisational commitment. The study results also establish that rewards, compensation, and job security significantly impact organisational commitment. HRM practices strongly influence employees’ loyalty towards their organisation, and work engagement plays a mediating role between performance management, rewards and compensation, and organisational commitment. Some of the essential functional areas of HRM in the HEIs include (i) labouremployee relations; (ii) recruitment; (iii) professional development; (iv) institutional benefits; (v) salary administration; (vi) classification and compensation; and (vii) system and technology. The critical aspects required for building a career in the higher education sector may be delineated as follows: (a) employee credentials and work experience; (b) ability to maintain professional relationships with supervisors and colleagues; (c) competence in developing strategies and systems that efficiently support the functioning of the top management, academic administrators and the faculty; and (d) review and re-examination of various rules, regulations, and practices within the institution (Julius, 2000).

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1.6 The Human Resource Management System in Indian HEIs Most HEIs in India do not have a human resource management department, even though most of India’s central and state universities have over 500–1000 faculty members and over 500–2000 non-teaching staff members. “This, however, does not mean that these institutions do not perform any HR functions, but rather that a section/unit of the Registrar’s office of the university undertakes these roles” (Mittal, 2008). The academic and administrative units do human resources planning. Some universities have a recruitment cell headed by the Assistant or Deputy Registrar, who oversees the recruitment process. Faculty members usually manage the HEIs assigned administrative responsibilities in addition to their primary teaching and research duties. In some HEIs, however, these responsibilities are carried out by the employees who have been promoted from the junior to senior administrative ranks. Nonetheless, this arrangement is quite ad hoc and does not facilitate professional management of the needs and objectives of the HEIs. Even the training programmes implemented for faculty and staff seem inadequate and superfluous. A universal lack of professional human management systems thus constrains the HEIs in India. Human resource management is also not well-defined and often does not exist in many universities. Most HEIs have tentative establishment departments to manage their human resource management needs, and no professional or well-trained HRM expert is deployed in such departments. The role of the establishment department is limited to recruiting academic and non-teaching staff (Punai, 2002). Most publicfunded HEIs, at both the central and state levels, do not have dedicated human resource departments and work in a very protected environment. Private-funded HEIs are in the process of building professional HRM departments, even though these are hugely expensive. On the other hand, government-funded institutions are affordable for the ordinary person. Government-funded HEIs cannot manage their human resources efficiently and cannot keep up with global challenges and competition from the private sector. HRM has many functions in the corporate world. Still, when HRM practices and policies are applied to the HEI sector, these functions must be modified appropriately to fit into the higher education sector. Recruitment and placement are the two fundamental HRM instruments. However, inefficiencies persist in the current recruitment processes in HEIs. At the same time, posts remain vacant in the State-funded HEIs due to various bureaucratic issues and clearances required from the government. The author also makes a case for initiating robust induction, training, and development programmes. Currently, only minimal training programmes are available for faculty and staff. The author states, “These need to be updated and made more practical and relevant so that faculty is able to gain from such programmes. Soft skills training is a must because educational institutions are people places and in a competitive scenario, people skills are prime” (Menon, 2015, p. 13). There is a pressing need for good performance management, which enables employees to work both towards their development and the goals and objectives of

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the institute. HEIs must do away with the existing performance evaluation management system and develop their performance evaluation parameters, given that each institute has its objectives and goals. The author of the above study also highlights the need to review the compensation system in HEIs. While employee relations constitute the core HRM function in any organisation, the author expresses disappointment with the existing system of employee relations and the centralisation of powers. It is high time to build HRM in the HEIs and shift from administrative functions to a strategic one, enabling the HEIs to attract efficient manpower, professionalise the HRM system, and perform better (Menon, 2015). An HEI’s objective is knowledge dissemination and the deployment of human resources, enabling a nation to accelerate its socio-economic development. In this case, it is essential to ensure high motivation and empowerment among university employees. To achieve this goal, the complete restructuring and revamping of existing HRD practices and policies in HEIs is the need of the hour. In the present scenario, the role of employees of HEIs has become more demanding and complex, given the phenomenal increase in the number of universities. Community expectations for quality education to help improve employment prospects for the population have also increased enormously (Ahmad & Mir, 2012). The authors call for revamping of the HRD policies in the HEIs and for creating a conducive work atmosphere to enable HEI employees, faculty, and staff, to remain committed and focused while contributing to the nation’s overall development. In today’s world, professionalism is the key to an organisation’s success. The authors of the above study found that the functioning of the administration in HEIs was not satisfactory as they had not deployed professional management systems. Although the concepts of HRM and organisational behaviour are incisively taught in Indian HEIs, the institutions lack professional organisational systems in practice. The administrators in HEIs are usually found to be busy with their mundane jobs rather than focusing on developing good HRM practices and creating an environment of motivation among the staff in HEIs. There is also confusion about the role of HRM and who should be responsible for building HRM systems. The three fundamental resources associated with HRM include (i) humans, (ii) materials, and (iii) financial resources, with human resources being the leading and most complex player in an organisation. There is need for a paradigm shift to transform the higher education sector in HRM systems. In keeping with the change in perceptions of the higher education sector as a business and highly technology-driven industry, it is time to recruit the right kind of human resources and impart the required training and development. Presently, HEIs are very conservative in terms of HRM systems. This reticence can be tackled by adopting innovative HRM practices, especially imparting hands-on training. It has been observed that the faculty members in HEIs usually lack training in technology and research methodology. Maximising the competency of teachers in the new areas is a top priority for an HEI. Strong arguments are also put forth for introducing induction training for new employees, which could help them get acquainted with the rules, regulations, and systems and procedures prevalent in the institution. It is pointed out that the current standards of faculty members are arbitrary.

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The compensation offered to them is also below market standards and the other sectors of the economy (Muralidhar & Gopal, 2016). HEIs cannot afford to ignore the critical aspect of the HR agenda: keeping the employees motivated ultimately helps their retention (Adenike, 2011). Indian HEIs have suffered immensely due to the practice of rotating headships and automatic employee promotions. The rotation system started in 1970 at the University of Delhi. In a recent study (Singh, 2020), the author states, “Now, almost everybody gets promoted regardless of merit and heads of departments are appointed by rotation, so all promoted get to be HOD without being qualified or suitable”. Here, the author indirectly highlights that HRM systems in Indian HEIs are inadequate and ineffective, and promotions are not granted on merit. Even the rotation systems of department heads are not based on merit (Singh, 2020). Patrick and Sebastian (2012) surveyed 249 teachers from aided, private, government, and unaided colleges. Their study finds a substantial and positive correlation between HRM systems and organisational commitment. The discussions summarised by the authors include the formulation of policies, definition of institutional hierarchy, individual responsibilities, use of effective and efficient recruitment methods, and a policy offering equal opportunities for interaction with the management to enable collective decision-making and efficient grievance redressal mechanisms. The study finds a considerable impact of HRM practices on employees’ long-term commitment to the organisation. Human resource management practices can be used to enhance the dedication of the academic staff, and the HEI leadership should accordingly take initiatives for developing and professionalising HRM. This initiative will help the HEI to foster a sustainable and competitive environment in the institution.

1.7 Conclusion It is crucial to evolve a system of creative human engagements to uphold values and justice and achieve organisational excellence in an HEI. It must also be remembered that an educational institution is distinct from a conventional organisation. The former is a microcosm of social aspirations and a catalyst for dynamism in its demography, technology, and environment. While HRM plays a crucial role in the running of any organisation, it assumes even greater importance in HEIs. It helps shape a university’s common purpose among its employees and stakeholders and enables it to grow in scale and scope. For a university, expansion in enrolment and new educational streams entails complex human engagement challenges. For instance, its employees and stakeholders may find the change problematic. In such a context, HRM functions as a cohesive force and an integrating mechanism in the HEI. Although the HRM in the case of a firm may have some overlaps with that university, both are distinct. In the Indian context, higher education has been expanding in recent years, which is also reflected in the Gross Enrolment Ratio (GER) and staff hiring. This is likely to be accentuated further with the implementation of the National Educational Policy 2020. The absence of a matured HRM system and the

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domination of conventional bureaucracies in managing HEIs seems to be a significant lacuna in the Indian education ecosystem. Therefore, the emergence of a strategic HRM is crucial for enabling the higher education system in India to cope with the challenges of expansion and development.

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Nayyar, D. (2007). Globalisation: What does it mean for higher education?. Economic and Political Weekly, 30–35. Nestorowicz, N. & Park, H. J., (2014). Human resource development in higher education. Chapter 7, human resource management in higher education studies, pp 27–30. Obedgiu, V. (2017). Human resource management, historical perspectives, evolution and professional development. Journal of Management Development. Pandit, J. M. (2019). What India needs at higher education institutions. Financial Express, 9 September. https://www.financialexpress.com/opinion/what-india-needs-at-higher-educationinstitutions/1699982/ Patrick, H. A., & Sebastian, S. (2012). Human resources management practices’ influence on faculty commitment in higher educational institutions. Asian Journal of Management Research, 3(1), 125–138. Peddler, M., Burgoyne, J., & Boydell, T. (1991). The learning company. A strategy for sustainable development. McGraw- Hill. Pellert, A. (2007). Human resource management at universities. In A. Pausits, & A. Pellert, Higher education management and development in Central, Southern and Eastern Europe (pp. 104– 109). Waxmann Verlag. Perkins, J. A. (1972). Organisation and functions of the university. The Journal of Higher Education, 43(9), 679–691. Pritchard, A., & Schmidt, A. (2020). The Higher Ed HR Workforce (Research Report), CUPA-HR. Punia, B. K. (2002). Training needs identification in Indian organisations: A study. Indian Journal of Training and Development, 32(1), 29–39. Rajini, K. M., & Sankaranarayanan, K. C. (2009). Human resources development in higher education in Kerala (Doctoral dissertation, Cochin University of Science and Technology). Rao, T. V. (2014). Evolution and evaluation of human resources function in India: A balance sheet. South Asian Journal of Human Resources Management, 1(1), 91–108. Recardo, R. J. (2016). A blueprint for transforming the HR function. OD Practitioner, 48(4), 38–44. Roe, J., & Taylor, (2018, Fall). Addressing Distress Before It Becomes A Disaster. Higher Ed. HR Magazine, CUPA-HR. Sanders, E. K., & Graham, H., (2020–21, Winter). Opening doors for strategic partnerships with academic leadership, Higher Ed. HR Magazine, pp. 26–30. Schultz, T. W. (1962). Reflections on investment in man. Journal of Political Economy, 70(5, Part 2), 1–8. Selesho, J. M., & Naile, I. (2014). Academic staff retention as a human resource factor: University perspective. International Business & Economics Research Journal (IBER), 13(2), 295–304. Shapayah, Y. (2018). Strengthening Universities, How HR Can Help Universities to be ready in the new age, Association of Commonwealth Universities. Shelley, S. (1999). Diversity of appraisal and performance-related pay practices in higher education. Personnel Review, 28(5/6), 439–454. Shore, L. M., & Barksdale, K. (1998). Examining degree of balance and level of obligation in the employment relationship: A social exchange approach. Journal of Organisational Behavior, 19, 731–744. Singh, D. (2020). Almost everyone in faculty is promoted in Indian universities. DU started the damage in 1970. The Print. https://theprint.in/opinion/almost-everyone-in-faculty-is-promotedin-indian-universities-du-started-the-damage-in-1970/468524/ Swanson, R. A. (1995). Human resource development: Performance is the key. Human Resource Development Quarterly, 62(2), 207–213. Thomson, R., & Mabey, C. (2011). Developing human resources. Routeldge. Tilak, J. B. G. (2008). Transition from higher education as a public good to higher education as a private good: The saga of Indian experience. Journal of Asian Public Policy, 1(2), 220–234. Tilak, J. B. G. (2018). Higher education public goods and markets. Taylor & Francis Group. Torrington, D., Hall, L., & Taylor, S. (2005). Human resource management. Pearson Education.

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Tyson, S. (1995). Human resource strategy: Towards a general theory of human resource management. Financial Times Management. Ulrich, D. (1996). Human resource champions. Boston, MA Harvard Business School Press. Ulrich, D. (2007). Has HR finally arrived? Workforce Management, 12(86), 51–53. Retrieved October 15, 2007. Ulrich, D. (2013, Fall). Redefining our roles. The higher education workplace. The College and University Professional Association for Human Resources, 5(2), pp. 26. Ulrich, D., & Ulrich, W. (2010). The why of work: How great leaders build abundant organisations that win. McGraw-Hill. Ulrich, D., Brockbank, W., & Johnson, D. (2008a). HR competencies: Mastery at the intersection of people and business. Society for Human Resource. Ulrich, D., Younger, J., & Brockbank, W. (2008b). The twenty-first-century HR organisation. Human Resource Management, 47(4), 829–850. Varghese, N. V., & Panigrahi, J. (Eds.). (2019). India Higher Education Report 2018: Financing of higher education (pp 1–44). SAGE Publications India Vasitha, M. L., & Chauhan, B. S. (2011). Role of HRM & OB in today’s educational institution/ university administration. International Journal of Multimedia Technology, 19(1), 17–22. World University Rankings. (2021). Times Higher Education (THE). https://www.timeshighere ducation.com/world-university-rankings/2021/worldranking#!/page/0/length/25/sort_by/rank/ sort_order/asc/cols/stats

Chapter 2

Higher Education in India: Structure and Governance

The Indian higher education ecosystem is a complex and unique one. It has an evolving institutional structure comprising universities, colleges, regulatory systems, and performance measurement. It is thus crucial to understand the basic tenets of governance of heterogeneous and complex systems like that of Indian higher education. What makes it complex and heterogeneous? One of the main contributors to this complexity and heterogeneity is the existence of diverse streams such as public and private universities, deemed universities, and autonomous institutes and colleges. Although each of these systems provides higher education, they vary from each other in terms of the deployment of their resources. These institutions are governed by their respective regulatory systems. However, the ecosystem of higher education is characterised by enormous heterogeneity. In this book, we explore the silent features of higher education institutions (HEIs) in India, primarily by analysing published content and data. As regards the issue of governance, we rely on the primary data collected, which has helped capture the voices of critical stakeholders in diverse institutional settings. The research design is described in Appendix A. First, we present an overview of the higher education system in India, particularly the institutional landscape. Second, we investigate the multiple dimensions of governance that prevail across the institutions.

2.1 The Context of Higher Education “Higher education plays an important role in promoting economic growth, social progress and human development and the overall development of the nations” (Varghese & Panigrahi, 2019, p. xxi). A modern higher education system is traditionally defined as an organised tertiary for learning and training activities. It is the key agency for bringing about social change and development of the country’s human resources (Choudhary, 2008). Higher learning institutions include conventional and © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_2

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professional HEIs such as those teaching arts, humanities, and sciences, among other subjects. Yet another category of HEIs also includes specialised university institutions in agriculture, engineering, and technology. Further, HEIs also comprise affiliating universities, including undergraduate and postgraduate colleges. The entire higher education system in India is regulated by different regulatory bodies such as the University Grants Commission (UGC), the All India Council for Technical Education (AICTE), and the Medical Council for India (MCI), among others, which, in turn, fall under the purview of various Ministries at the Central and State levels (Assié-Lumumba, 2005; Chandra, 2017). A university per se is an institution of higher (tertiary) education and research that awards degrees in various academic disciplines. Broadly, universities provide undergraduate and postgraduate education. The word “university” is derived from the Latin phrase “universitas magistrorum et scholarium”, which roughly translates as “community of teachers” (Universities, Encyclopaedia Britannica 11th ed., 1911). “A university stands for humanism, for tolerance, for progress, for the adventure of ideas and the search for truth. It stands for the onward march of the human race towards ever higher objectives. If the universities discharge their duties adequately, then it is well with the nation and the people” (Tilak, 2015; Kothari Commission Report, 1964). These were the words of Pandit Jawaharlal Nehru, the first Prime Minister of Independent India, uttered while he was delivering the Convocation Address at the University of Allahabad, India, on 13 December 1947. Even though the origins of global higher education/universities are not known and are debatable, several European scholars believe that the antecedents of comprehensive global higher education coalescing into a kind of corporate structure, started in Western Europe in the twelfth century. Perkin (2007) argued, “All advanced civilisations have needed higher education to train their ruling, priestly, military, and other service elites, but only in medieval Europe did an institution recognised as a university arise: a school of higher learning combining teaching and scholarship and characterised by its corporate autonomy and academic freedom. The Confucian schools for the mandarin bureaucracy of imperial China, the Hindu gurukuls and Buddhist viharas for the priests and monks of medieval India, the madrasas for the mullahs and Quranic judges of Islam, the Aztec and Inca temple schools for the priestly astronomers of pre-Columbian America, the Tokugawa han schools for Japanese samurai—all taught the high culture, received doctrine, literary and mathematical skills of their political or religious masters, with little room for questioning or analysis” (p. 159). The earliest universities were set up in Bologna (1088), Paris (1150), Oxford (1167), and Salerno (1173) (Bresler, 2018). Thereafter, four original universities grew into 16 by 1300, 38 by 1400, and 72 by 1500. This academic experience converted them into highly organised HEIs. Each of the universities was headed by a chancellor or a rector, a common seal with the support of a corporate personality (Perkin, 2007). The role of the corporate character was to enable the universities to own property and draft contracts. Three-quarters of all universities, even in Europe, were founded in the twentieth century, of which 75% came into being after 1945 (Enders & Fulton, 2002; Teichler, 1988). Most of the old universities witnessed a

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significant expansion in size, as new institutions continued to be formed in every country with increased student numbers. In India, the ancient education structure was respected and highly advanced. Universities like Takshila, Nalanda, Patliputra, and Vikramshila were well-known centres of excellence in education during ancient times (UGC Annual Report 2017– 18). The ancient Indian education system was believed to be rooted in religion, with the essential religions being Hinduism, Buddhism, and Jainism. Religion-based education in ancient India thus played a vital role in transforming society. The two major educational systems that evolved over a period of time in ancient India included Brahminical and Buddhist education (Ghosh, 2001; Yeravdekar & Tiwari, 2016). The quality of education imparted in ancient institutions was exceptional, as a result of which students from all over the world preferred to come to India for pursuing higher education studies. As mentioned earlier, the famous erstwhile institutes of higher learning in India were the universities of Nalanda, Taxila, and Vikramshila. These universities attracted students from several countries, including Korea, Burma, Ceylon, China, Tibet, and Nepal (Khemani & Narayan, 2006; Yeravdekar & Tiwari, 2016). As pointed out in the draft National Education Policy (2019), these ancient universities used to impart education on a diverse range of subjects, including spirituality, music, dance, grammar, and language, along with management, mathematics, medicine, surgery, accounts, commerce, and many other disciplines (Ministry of Human Resource Development, 2019). The main focus of the education system in ancient India was not just to impart knowledge in order to equip students to face life in this world or life beyond schooling but to facilitate the complete realisation and liberation of the individual. Swami Vivekananda had noted, “Education is not the amount of information that we put into your brain and runs riot there, undigested, all your life. We must have life-building, man-making, and character-making assimilation of ideas. If you have assimilated five ideas and made them your life and character, you have more education than any man who has got by heart a whole library. If education is identical to information, the libraries are the world’s greatest sages, and encyclopaedia are the greatest Rishis” (Ministry of Human Resource Development, 2019). In Mughal India, the maktab, madrasa, and khangah were the three channels of knowledge during the medieval period. Elementary education was imparted in the maktab, while the madrasa was the seat of higher learning, and the khangah was the site where religious education was imparted. This period in the history of education in India was marked by a significant social and cultural synthesis (Ghosh, 2001). This well-established education system, which had been nurtured over a period of several years, however, started deteriorating following attacks by various forces that unleashed widespread disorder across the country. Under the British, India possessed three advanced scholarship traditions: the Hindu gurukuls, the Buddhist viharas, and the Quranic madrasas, with each of them representing three great religions. The British encouraged the development of the local culture in the eighteenth century. Warren Hastings founded a new Islamic madrasa at Calcutta in 1781, and John Duncan founded a Hindu college in 1792 at Benares. Higher education in India soon became hugely famous, and consequently, the student population increased steadily,

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reaching 60,000 in 1921 and doubling by 1936. It achieved two purposes: educating Indians, particularly the Brahmins and the Muslims, enabling them to fulfil their aspirations of acquiring jobs at lower posts in the Indian Civil Services. The second unintended outcome was that it paved the way for independence (Perkin, 2007). During the British rule, higher education was quite localised, with the institutions concentrated in and around the cities and towns, and was more widespread for men than women among the upper classes. There were also severe disparities in the British system of higher education, and the rules were deliberately framed in a way that education would not be used to bring about sustainable growth (Choudhary, 2008). Post-independence, the education system in India started improving, with the rapid growth and establishment of various academic institutes, universities, and colleges across the country. Although inherited its higher education system from the colonialists, the need for reforming education had been sensed long before independence (Ghosh, 2000). Soon after independence, various committees and commissions were formed to introduce reforms, such as the Radhakrishnan Commission (1948), the Secondary Education Commission (1952), and the Kothari Commission (1964). The country formulated its first National Education Policy in 1968. Even though the HEIs in the country have grown significantly since its independence, the present condition of higher education in India does not match up to global standards. It is an issue of severe concern that hardly any Indian HEIs figure in the top 100 international universities, as per the rankings delineated in Times Higher Education (Maloo et al., 2016; World University Rankings, 2021). Appendix Tables B.1, B.2, B.3, and B.4 present the details of the QS World University Rankings, Times Higher Education World University Ranking, Academic Ranking of World Universities (ARWU), and University Ranking by Academic Performance (URAP) from 2015–16 to 2019–20. Achieving a good rank has become a status symbol for any HEI in the national and international frameworks. The current leading indicators of the success of an HEI for stakeholders at both the national and global levels include quality, excellence, prestige, level of research, teaching, citations, and an international outlook (Hazelkorn & Gibson, 2017). The primary concern in India is to overcome the massive challenge of unemployability, which is a direct consequence of the poor quality of education being imparted to the country’s children. An alarming outcome of this state of affairs is that it is not just the uneducated and unskilled human resources that remain unemployed but even the ostensibly qualified and skilled human resources who still fail to meet the primary required standards. The need of the hour is to engender highquality human resources that can take on the challenges posed by the world. Various scholars have emphasised the need for investing generously in education to be able to develop competent human capital (Agarwal, 2006; Becker, 1964; Chandra, 2017). Despite the massive expansion of India’s higher education system, it is still primarily subsidised by the government, that is, both the Central and State governments. The education system continues to lay an emphasis on basic required skills and operational knowledge rather than imparting advanced scientific or academic knowledge,

2.1 The Context of Higher Education

31

which is promoted in most other countries. This is one of the major reasons for the poor quality of India’s workforce, also reflected in the low level of employability of Indian graduates (Khare, 2014). In order to generate a high demand for and boost the employability of Indian human resources in the global economy, it is essential to ensure their comprehensive education meeting international standards of excellence in education, and eventually leading to overall development (Chadha, 2004). Most countries worldwide are now going ahead with the privatisation of higher education. The mass privatisation of higher education was prompted by a number of factors, including the financial constraints faced by the government; the global demand for higher education; and the need for enhancing the quality of higher education. Hitherto, the private sector had been playing an ambiguous role, that is either a limited one or a more significant one, across various countries around the globe. Even though private players in the field of higher education came into existence much earlier in some countries, they have only recently started playing an important role in many countries (Kapur & Mehta, 2004; Koul, 2006; Roderick & Stephens, 1979; Tilak, 2008, 2018). “Private universities in India are self-financed institutions, and their main sources of income are fees from the students, endowment, bank loans, donations, and so on. They are not getting any financial grants from the state, central government, or UGC. However, few universities get funds from government organisations as research fund for projects” (Angom, 2019, p. 389). Indeed, the private sector plays a crucial role in the higher education sector in India at both the Central and State levels. The philanthropic efforts of various sources have also boosted the growth of the higher education sector in twentieth century India. Two universities in North India, that is, the Banaras Hindu University and the Aligarh Muslim University, and two in South India, that is, Mysore University and Osmania University, were the first private universities established by the Princely States in India (Muzammil, 2019). According to Tilak (2017), traditionally, higher education was entirely managed and overseen by the government in India. However, given the various challenges, including global competition and the lack of funding resources to meet the increase in demand, the government decided to take support from the private sector and allowed the entry of private players into the education sector. A notable consequence of this measure has been that the growth of higher education has been mainly fuelled by private investment. Thus, even though the country today has several educational programmes and HEIs, the government hardly has any standing or stake in the international market for high-quality higher education. The private sector, on the other hand, lays an emphasis on the commercial aspects of education more than on knowledge creation and the betterment of students, though the privatisation of higher education has created some competition. If the country has to regain its original position as a notable seat of learning, which it had achieved in ancient times, and emerge as a preferred location for higher education, it needs to urgently address the challenge of the substandard quality of higher education. Of course, the global scenario presents a significant level of competition. Dealing with this challenge would largely depend upon the extent to which we are ready to take bold decisions and create a

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skilled workforce. The privatisation option has also opened a window for the hiring of international human resources in HEIs. Privatisation of higher education assumes several forms (Tilak, 1991, 2018), including (a) fully private HEIs: such institutions are entirely privately financed and managed by the private sector and enjoy full autonomy with little scope of involvement of the government; (b) sold privatisation: such institutions recover the entire fee from the parents of the students and employers sponsoring their employees for higher education; (c) appropriate form of privatisation, with moderate financial support from non-government agencies and a majority support from the government; and (d) semi-government-private institutions, wherein the government grants almost unlimited funds but these are managed privately. Presently India is a young nation, with 65% of its population being below the age of 35 years. In this context, it is even more important for HEIs to develop skilled human resources and contribute to the pool of well-trained professionals in the society. Further, HEIs also help train professionals who can lead, design, and manage institutions and the community across the country (Naidu, 2020). Details of the distribution of enrolment at the undergraduate and postgraduate levels, as of 2019–20, are given in Appendix Table B.5, and data on the growth of State private universities from 2015–16 to 2019–20 is given in Appendix Table B.6.

2.2 Governance 2.2.1 Governance Structure and Regulatory Bodies The primary responsibility for governance of higher education in India lies with the State education ministries. The Ministry of Education (MoE) leads the governance of higher education at the Centre. The main job of the MoE is to frame policies and guidelines for higher education and coordinate public policies. The NITI Aayog also assists the MoE in designing policies and fund management. At the State level, the State Higher Education Ministry functions as a caretaker under the guidance of the MoE and directions from the respective management boards and professional councils (Fig. 2.1). As per the constitutional provisions, higher education is a shared responsibility of the State and the Centre (Yeravdekar & Tiwari, 2016). The MoE is supported by various statutory/regulatory bodies, such as the UGC and the Central Advisory Board of Education (CABE), initially established in 1920. The CABE is an advisory body that reviews higher education policies and provides recommendations to the government. The UGC is an apex regulatory body responsible for executing policies about higher education and determining and maintaining standards for teaching, research, and examinations. It is also responsible for allocating funds for various activities and programmes related to higher education in the country (Ministry of Human Resources Development, 2005).

2.2 Governance

33

Higher EducaƟon Regulatory Framework

Central Government

State Government

MoE and other ministries

UGC and Other councils

State departments

Higher EducaƟonal InsƟtuƟons Fig. 2.1 Higher education regulatory framework.

As per the UGC (2021), “Professional councils are responsible for recognition of courses, promotion of professional institutions, and providing grants to undertake programmes and various awards. The statuary professional councils are • • • • • • • • • • • • • •

All India Council of Technical Education (AICTE); Medical Council of India (MCI); Indian Council for Agricultural Research (ICAR); National Council for Teacher Education (NCTE); Dental Council of India (DCI); Pharmacy Council of India (PCI); Indian Nursing Council (INC); Bar Council of India (BCI); Central Council of Homeopathy (CCH); Central Council for Indian Medicine (CCIM); Council of Architecture; Rehabilitation Council of India; National Council for Rural Institutes (NCRI); and State Councils of Higher Education (SCHE)”.

In 1947, the total number of HEIs in India was 19, with several hundred affiliated colleges. Most of them were, however, imparting only education in science and arts (CABE, 2005). Presently, there are 1043 universities across the country, as per AISHE 2019–20 (Department of Higher Education, 2020).

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2 Higher Education in India: Structure and Governance

Universities

Central

State

Deemed-tobe

Private

Institute of National Importance

Fig. 2.2 Types of higher education institutions.

2.2.2 The Framework for Higher Education Institutions in India Presently, the HEIs in India include Central universities, State public universities, Deemed-to-be Universities, and private universities, among others (Fig. 2.2), with different academic, financial, and other administrative systems (Department of Higher Education, 2020). An Act of Parliament can establish Central universities, while an Act of the State Legislatures establishes State universities. Some HEIs are granted the status of “Deemed-to-be Universities” by the Central Government. The government also accords the status of Institute of National Importance to some HEIs such as the Indian Institutes of Technology (IITs) and the Indian Institutes of Management (IIMs) because of the high quality of education imparted by them. While colleges provide undergraduate education, universities impart postgraduate level education and also offer scholars the opportunity to conduct research in various subjects. While most HEIs offer multidisciplinary programmes, some of them focus on only specific subjects such as technology, medicine, linguistics, agriculture, and so on. Some others still are open and distance universities, which offer distance education programmes, according to AISHE 2019–20 (Department of Higher Education, 2020; Yeravdekar & Tiwari, 2016). Details of the Indian universities are provided in Table 2.1, while the details of Institutions of National Importance are provided in Table 2.2. Details of the overall growth of HEIs since 2000 are provided in Appendix Table B.7.

2.2.3 Financing of Higher Education Until recently, prior to the advent of economic reforms in 1990, governments in most countries comprehensively supported the education sector. It was considered a public good or a mode of generating social investment for the society, which would help build a strong, self-sufficient, and modern business economy, which justified the heavily subsidised financial support offered by the government to this sector. However, given the various challenges and constraints confronting the government from time to time post the 1990s, its financial contribution towards HEIs started

2.2 Governance Table 2.1 Categories of Indian universities at a glance (AISHE 2019–20)

35

Types of universities Central universities Central open university

Total number 48 1

Institutions of national importance

135

State public universities

386

Institutes established under the State Legislature Act State open universities State private universities State private open university

5 14 327 1

Deemed-to-be universities–government

36

Deemed-to-be universities–government aided

10

Deemed-to-be universities–private Grand total

80 1043

Source All India Survey on Higher Education 2019–20

Table 2.2 Institutions of national importance at a glance

Name of the institute

Total number

Indian Institutes of Technology (IITs)

23

Indian Institutes of Information Technology (IIITs)

25

National Institutes of Technology (NITs)

32

Indian Institutes of Management (IIMs)

20

Indian Institute of Engineering Science and Technology (IIEST)

01

Indian Institutes of Science Education and Research (IISERs)

08

Other HEIs and research institutes Grand total

10 119

Source https://mhrd.gov.in/apex-level-bodies

declining in actual terms, pushing the higher education sector into a veritable financial crisis. Additionally, allowing foreign HEIs in India complicated the situation further by augmenting competition (Prakash, 2007). Consequently, private HEIs, particularly those imparting education in engineering, management, medicine, and information technology (IT), have been growing significantly. Higher education managed by the private sector depends entirely on tuition fees paid by the students’ parents and philanthropy by individuals or institutions (Tilak, 2017; Varghese & Panigrahi, 2019).

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The modern concept of neoliberal economic transformation in most advanced and developing countries propounded a reduction in the financial support being extended to the higher education sector, resulting in a loss of support from the government (Nobanee & Dilshad, 2021; Sarkar & Hossain, 2016; Varghese & Panigrahi, 2019). Such a policy shift and a decline in economic growth rates in several developing countries completely changed the public good view of higher education. Governments and educational authorities have started manoeuvring higher education towards the adoption of business models such as the hybrid (university-industry linkages) and Triple Helix models (university-industry-government linkages) (Ansari, 2019; Coates & Mahat, 2014; Etzkowitz, 2003; Etzkowitz & Zhou, 2017; Koelman & de Vries, 1999; Tilak, 2012). The details of the public outflow on tertiary education (in US dollars) (millions) in developed countries are provided in Appendix Table B.8. It indicates that most of the expenditure on tertiary education pertains to the expenditure on the human resources of the HEI. As mentioned above, most HEIs in India, particularly State universities, face a financial crisis, preventing them from investing in critical human resources, infrastructure facilities, and other teaching support systems. Panigrahi (2019) suggests several measures that HEIs could take to overcome the financial challenges facing them, including (i) cost-sharing measures applicable to students’ fees, self-financing courses, and distance education, (ii) resource mobilisation through income-generating activities such as alumni contributions, consultancy, research projects and short-term courses, university-industry linkages, renting out of institutional infrastructure and outsourcing of institutional activities, sourcing funds from interest deposits/sale of royalty/publications, mobilising resources through other region-specific initiatives, such as inviting students from abroad and entering into public–private partnerships (PPPs), (iii) cost-saving or cost-cutting measures including adjustments among departments, temporary appointments of teaching and non-teaching staff, adjustments by cutting down expenditure on infrastructure and maintenance, and (iv) taking loans from financial agencies and overdrafts. As per information on the UGC website, the total number of sanctioned posts for teachers in various HEIs across the country is 177,235, of which 32,581 are vacant. Similarly, of the entire approved strength of 369,587 for the entire non-academic staff, 93,696 posts are lying vacant as of February 2020 (Bishnoi, 2019; Lok Sabha, 2020). As reported in the draft National Education Policy (2020, p. 203), thousands of smaller colleges function without faculties, failing to provide education to their students. This situation certainly paints a grim picture of the higher education sector in the country. The post-COVID-19 effects could further drastically pull down the higher education sector in India and globally. Fewer students nationally and internationally could enrol for higher education in the forthcoming academic years, which could drastically impact the overall income of the higher education sector. In particular, the sharp decline in international students could result in a substantial financial burden on HEIs. On the other hand, there could be a change in the pedagogy in the form of a push for more online courses and related software and the need for more technicians in the sector (Marinoni et al., 2020).

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37

In this context, with HEIs confronting global challenges and reduced financial support from the government, the role of human resource management becomes crucial, as it would need to support the HEIs by optimising the skills of the university staff (Bossaert, 2014; Burke, 2002).

2.2.4 Expenditure on Education as a Percentage of Gross Domestic Product (GDP) As highlighted in the NEP 2020 (Ministry of Human Resource Development, 2020), even though research and innovation is a critical component of the national budget, it accounts for only 0.69% of the allocation in the budget as compared to corresponding figures of 2.8% in the USA, 4.3% in Israel, and 4.2% in South Korea, to cite examples of some countries with robust higher education systems. In terms of financial allocations for the higher education sector, India is lagging behind many other countries, too. The NEP committee has strongly recommended raising the investment in education and pointed out that the public expenditure on education has yet to reach the 6% recommended by the National Education Policy of 1968 and 1986. The NEP 2020 has reaffirmed the recommendations of the earlier committees and emphasised the importance of raising the public expenditure on education to the suggested figure of 6% of GDP. The total disbursement of funds on education by the government in India for the period 2013 to 2018 was only 3.8% of GDP, as compared to the corresponding proportions of 5% in the USA, 5.5% in the UK, 4.6% in South Korea, and 5.8% in Israel (Human Development Report, 2020, United Nations Development Programme, 2020). In 2020–21, the public outflow on education in India was 3.5% of GDP (Economic Survey, 2020–21, Ministry of Finance, 2021), much less than the recommended level.

2.2.5 Gross Enrolment Ratio (GER) in Higher Education Institutes (Global vs. Indian) India is also significantly lagging behind other nations about its Gross Enrolment Ratio (GER) in higher education. As a reference point, the GER of the USA is 88.30%, while that of China is 50.60%, both exhibiting outstanding performance in terms of the quality of higher education. In comparison, India’s current GER of higher education is only 27.1% (AISHE 2019–20). It needs to be increased to 50% by 2035, as recommended by the National Education Policy 2020 (Ministry of Human Resource Development, 2020). Appendix Table B.9 details the GER figures for the tertiary or higher education of various developed and developing countries.

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2.2.6 Accreditation and Ranking Framework in India India has only recently started, according to attention to the university ranking framework, and we find that the HEIs in India are far behind their global counterparts. However, HEIs in India have recently started focusing on the ranking framework system. In India, the accreditation board for HEIs includes the following agencies: (i) the National Assessment and Accreditation Council (NAAC), established by the UGC in 1994, which provides accreditation to HEIs; (ii) the National Board of Accreditation (NBA), set up by the AICTE in 1994, which accredits technical and engineering institutions; and (iii) the NAEB established by the ICAR in 1996 which accredits agricultural institutions. The NAEB was renamed in 2017 as the National Agricultural Education Accreditation Board (NAEAB) (Kumar et al., 2020; Maloo et al., 2016). The accreditation structure of HEIs in India is shown in Fig. 2.3. On the basis of the recommendations made by the Committee on National Policy on Education in 1986 and the Programme of Action (POA) (Department of Education, 1992), the idea of quality assurance in higher education was initiated to address the prevalent anxiety about the excellence and significance of HEIs in India. Accordingly, the Government decided to form the National Assessment and Accreditation Council (NAAC) under the UGC and the National Board of Accreditation (NBA) under the All India Council for Technical Education (AICTE) in the year 1994. The Indian Council of Agricultural Research (ICAR) set up the Accreditation Board in 1996. The main objective behind the constitution of such Boards was to ensure a review of the performance and standards of HEIs. This would, in turn, help prospective students, parents, employees, and other interest groups, such as educational institutions, and professional societies, to learn about the educational standards being maintained by an institution and its rankings. It would also help the institutions to improve their quality and brand building (POA). The criteria for functioning, key indicators, and the distribution of weights of the three accreditation councils mentioned above, that is, NAAC, NBA, and NAEB, are

Accreditation University Grants Commission (UGC)

All-India Council for Technical Education (AICTE)

National Assessment and Accreditation Council (NAAC)

National Board of Accreditation (NBA)

Fig. 2.3 Accreditation structure of HEIs in India.

Indian Council of Agricultural Research (ICAR)

National Accreditation Education Board (NAEB)

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provided in Appendix Tables B.10, B.11, and B.12. While conducting research on these three accreditation agencies, the researcher identified gaps in the following areas: first, lack of focus on quality human resource management; second, need to adequately capture data on the quality of human resources; and third, the absence of sufficient information on best policies. While research also found a lack of focus on the human resource management plan, it was noticed that accreditation agencies also usually do not focus on support systems.

2.2.7 The Ranking Framework of Higher Education Institutions (India) The erstwhile Ministry of Human Resource Development (MHRD), now renamed as the Ministry of Education (MoE), established the National Institutional Ranking Framework (NIRF) in the year 2016. As noted on the NIRF website, “This framework outlines a methodology to rank institutions across the country. The method draws from the recommendations and broad understanding arrived at by a Core Committee set up by MHRD to identify the general parameters for ranking various universities and institutions”. The parameters outlined in the ranking framework include teaching, learning, and resources, with the following subcomponents and concomitant allocation of marks: • Student strength, including doctoral students (20 marks); • Faculty-student ratio and emphasis on permanent faculty (30 marks); • Combined metric for faculty with PhD (or equivalent and experience) (20 marks); and • Financial Resources and their utilisation (20 marks). Research and Professional Practices • • • •

Combined metric for publications (35 marks); Combined metric for quality of publications (35 marks); IPR and Patents: published and granted (15 marks); and The footprint of projects and professional practice (15 marks).

Graduation Outcomes • Metric for university examinations (60 marks); and • Metric for the number of PhD students who graduated (40 marks). Outreach and Inclusivity • • • •

Percentage of students from other states/countries (regional diversity) (30 marks); Percentage of women (women diversity or WD) (30 marks); Economically and socially challenged students (ESCS) (20 marks); Facilities for physically challenged students (20 marks); and

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• Perception Ranking (20 marks). Peer Perception: Academic Peers and Employers (100 marks) • This has to be achieved through a survey conducted over a large category of employers, professionals from reputed organisations, and a large variety of academics, in order to ascertain their preference for graduates of different institutions. • A comprehensive list would be prepared to account for various sectors, and regions, among other things. • The lists need to be updated periodically (Ministry of Education, 2016–21). The parameters encompassed in the National Institutional Ranking Framework parameters do not focus on capturing the quality of human resources of the HEI. Hence, there is a need to collect data on the quality of human resource management and the best HR practices followed by the HEIs. The success of any HEI depends primarily on its workforce, including academic and non-academic staff. Further, the success, brand building, and overall image of the HEI entirely depend upon the quality of human resources with a total commitment to achieving the goals and the mission of the HEI concerned. However, it has been observed that some critical aspects also need to be included while capturing data relating to the quality of the human resource management of the HEIs understudy. This also entails collecting data on the employees and HR policies about the support teams, including administration, finance, IT, operation and maintenance, research, and individual project teams.

2.3 Evolving Governance Structure The concept of the university as a republic of scholars has evolved over the last few decades into the idea of the university as a stakeholder organisation. The traditional governance model in higher education was collegial and consultative, with faculty members considered the only vital stakeholders. In recent years, the idea of governance at an HEI has evolved into that of a decision-making structure, characterised by a focus on the autonomy, accountability, and overall performance of the institution concerned. Given the latest international developments, higher education around the globe is under considerable pressure to evolve. The challenges it has to deal with include globalisation, marketisation, funding constraints, regulatory controls, need for more focus on transparent systems, the prevalence of competition in the ranking framework, and the mandate for accountability towards the stakeholders. The erstwhile concept wherein the institution’s administration and academic agenda were seen as two sides of the same coin, thereby allowing the faculty to take all the decisions for the university, has now given way to more strategic and professional management. Further, increased involvement by the representatives outside the university and the linking of funding with performance, wherein the public assessment is a crucial

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parameter, has added to the pressure to improve the quality of the deliverables of the institution in the areas of teaching, research, and community services. In the latest system, the faculty members are seen as stakeholders with an equivalent voice. Therefore, the development process of an academic institution has evolved with the participation of multistakeholders in decision-making, including the university management, academic administrators and staff, professional staff, alumni, students, parents of students, industrial experts, and so on. This has led to a change in the patterns of the governance system in higher education. Qualitative research data collected from the principal stakeholders of HEIs in the US and India led to the generation of the following seven themes pertinent to the higher education space: (i) measure of the organisational success of a modern-day university; (ii) strategic formulation and policy-making; (iii) balance between governance and regulatory mechanisms; (iv) delegation of powers; (v) internal governance; (vi) culture of diversity; and (vii) transparency of the decision-making process. Each of these themes has been discussed in detail below, with the discussion supported by quotations from stakeholders in the higher education system in both India and the USA.

2.3.1 THEME 1: Measure of the Organisational Success of a Modern-Day University There are two critical roles that any university is expected to play. The first role of the university is the training component, which includes teaching and guiding the students. The second most crucial component is the need for improvement in knowledge. The most eminent and highly accredited universities are not only teaching students but also carrying out research and pushing the frontiers of knowledge. They publish papers extensively and have copyrights, patterns, and access to advanced technology. Increasingly, however, there is also a recognition of a third component: a commitment to the stakeholder. For example, an HEI could also help the local government to strategise and plan for a budget and State finances that work for everybody or to analyse the roles of the municipal authority and other such tasks that would help improve the existing situation. Also, a university should assess if it has programmes that can help spread knowledge among the external institutional community in a more significant or innovative way. Many global institutions are now focusing on continuing or comprehensive education because they realise that not every student is interested in acquiring a degree. Still, some of them may also be looking to imbibe knowledge without the trappings of a routine educational straitjacket. In some cases, people may be seeking to learn a specific skill, or they may be looking for just a certificate. Also, institutions can play critical roles in fostering entrepreneurship, which is increasingly becoming the hallmark of professional success in the modern world. For example, many modern corporations, be it Google or another major biotechnology corporation, are being set up by young students, who

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may, in some situations, leverage the research undertaken in those institutions. Once that research has been conducted, its scientific insight can create entrepreneurship, eventually leading to new corporations, which may expand organically. Such corporations employ hundreds or even thousands of people, which may sometimes affect billions of lives. The initiatives nurtured in academic institutions can thus have a massive impact on corporations. This necessitates measuring and harnessing of the teaching component of a university. It is also essential to keep track of the students throughout their careers to understand how the university’s teaching component may be calculated. As far as basic research is concerned, the goal is very clear cut and precise, that is, to measure the volume of the grants that the researcher may get, the number of papers that s/he may publish, or the frequency of conference proceedings accruing to the researcher and the affiliated organisation. These are the globally accepted parameters for measuring an HEI’s teaching and research components. The last part, a new area, involves stakeholder engagement and service learning. For example, when students attend their classes, and if the class is a service-learning class, they are required to solve a significant social problem by utilising the knowledge acquired. Universities thus design practice examinations for the students based on these experiences. For example, the students learn about accounting dynamics in an accounting class. They are then expected to help set up a small business or aid an existing business to augment its profits by analysing and understanding the latter’s accounting practices or setting up their accounts, using their accounting data, and running their business. This is also true for other service-learning courses. A participant (Professor, USA HEI) in such a learning process suggested: A modern University should successfully produce ideas that change the status quo. It cannot be conventional. It has to be unconventional in that it challenges and forces new thinking. It also has to be very effective in creating that spirit of inquiry with students—the willingness to think for themselves and maintain that capability through life.

Universities should thus inculcate a lifelong desire among their students to learn rather than merely create a routine version of learning that would stop their minds from learning as soon as they leave the classroom. An HEI should be deemed successful only if it promotes first-class research and opens students’ minds to the learning process without constraining it in limited time and geography. Determining the number of students that an HEI is supposed to enrol and teach is part of the institution’s mission. However, an HEI can focus on a tiny group of students and invest enormous resources in them with anticipation of high returns. Still, this process must be compatible with the scale and size of a country like India. Another participant (a Professor, USA HEI) remarked: Generally, universities are evaluated based on their publications, student placements, and impact on research. That is how it is measured.

What is easy to forget is that notwithstanding these measures, one university may perform better than another. Part of the reason for this has little to do with the academics in the institution and more with what is happening behind the scenes,

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which may include HRM and other professional support functions. Usually, the quality of HRM in an HEI is not measured in real terms, and a university’s rankings are mainly based on the quantum of its publications, student placements, and so on. But it is essential to examine why a particular university can produce more and better students and publications and facilitate their professional placements. The driver of these outcomes is essentially the non-teaching professional aspect of the HEI, which is why it is essential to also pay attention to the outputs and functioning of the non-teaching professionals while measuring the overall performance of the HEI. Another participant Professor from an HEI in the USA had this to say: Measures are going to be data-driven and have soft outcomes. We have to judge a university based on its results. We have to look at the quality standards of students, faculty, and student enrolment, the retention rate of faculty, whether the rank of the university has improved, and whether the university is offering a competitive salary and benefits to its staff.

The additional measures under the organisational theme include management of misconduct, (ii) sexual and other grievance redressal mechanisms and their success, and (iii) how the HEI handled the complaints. A Professor from an Indian HEI remarked: Organisations’ success can be judged by the quality of the graduates, research, the kind of books, and the kind of publications. Also, what is being produced out of a lab, whether the practices of academic research involve something collaborative, whether it is interdisciplinary, whether you have got, for example, five professors working collectively on a program and developing a research project, or whether it’s just one territorial Professor saying this is my lab, I’m doing this, I’m doing that. Those are some of the measures that I would look at to consider the quality of the organisational arrangements.

The speed and efficiency of the responses to the queries of various stakeholders are also critical as the attitude and the philosophy of an institution is critically reflected in the manner in which its functionaries respond to the questions posed to it by, say, potential students, or parents, or even the faculty. The university also needs to be evaluated in terms of its public communication, such as, for example, how regularly and promptly it updates information shared on its website, social media, and other media outlets. The questions that need to be addressed in this context are: does the university look responsive? Does it look professional? Does it convey a sense of being engaged with the world? The Dean of an Indian HEI commented: Ultimately, I think the quality of students you are producing and what they do after graduating from the university is essential. What kind of higher education systems are we entering, or are they joining some exciting start-ups? What is the status of the annual placement of students?

It is essential to understand how and where the students start getting involved and the kind of start-ups they envision getting involved with. Further, if they are recruited, it is crucial to know whether they are being employed by local companies only or companies having networks across the country and whether there is any scope for them to enter into international companies. Another essential factor to be considered is the level of employee satisfaction. For example, it is crucial to find out

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whether an HEI can retain promising talents not only to maintain the level of crucial skills but also to assess if the employees are satisfied with the growth requirements provided by the university and whether the university can devise good HRM policies, including those associated with wellness, promotion, and welfare schemes. Indeed, it is essential to provide an excellent platform for employees to grow, which is certainly one of the critical criteria for acquiring the status of a good university. Another aspect that needs attention is how the institution handles employee mistakes, whether the seniors are stepping in to cushion their juniors against errors made by the latter, and whether they are also mentoring them to prevent such errors. Another factor that may be assessed is the overall organisational behaviour, whether the employees participate in many organised events and activities. All these things are essential issues from the human resource management point of view and may be measured straightforwardly. For example, a university may observe how many and which of its employees are enthusiastically participating in its Foundation Day activities and how the laggards too may be motivated to participate. Another subject that needs to be explored is the perceived glass door, which exists in the IT industry, wherein people share their experiences freely about organisations. Private universities and organisations in the private sector are already following it to some extent, but it is largely absent in academic institutions. Students always fear sharing their frank opinions lest it leads to severe problems. Further, faculty members are reluctant to voice their opinions before their seniors, such as the Vice-Chancellor, for fear of damaging their positions. All this highlights the need to set up a body or a senate which would allow faculty, staff members, and students to candidly express their views and engage in healthy debates and dialogues where it would be acceptable for them to agree to disagree. A participant Vice-Chancellor from an Indian HEI expressed the following view: The first imperative is that the organisational success would be multidisciplinary, and the second issue is that the organisation should be research- and innovation-focused. The third is that it should be student-centric.

The above participant emphasised that the three parameters are crucial for ensuring global impact. On the one hand, ranking agencies play a vital role in measuring organisational success and offer some assessment about the institution to the students, parents, and employees. However, on the other hand, rating agencies are also responsible for downgrading the sanctity of the universities. Academic surveys and the organising framework often become fads instead of capturing the actual progress of an HEI. In India, the advent of the ranking framework is the latest phenomenon. Some HEIs perceive the domestic ranking framework, the National Institute of Ranking Framework (NIRF), initiated by the Ministry of Education, Government of India, to be more data-driven than the international ranking framework agencies. Since each university has its objectives and mission, it is inappropriate and to measure each HEI with the same yardstick or lay down the same set of parameters for all universities. In this context, every institution must have a different mandate. The Dean of an Indian HEI commented:

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Well, a university’s success is determined by its impact. I mean the research impact, teaching impact, and outreach to the community.

The participant further elaborated on another critical factor, which leads to the success of the university and fewer conflicts in the system, and this entails spreading happiness in the HEI environment while enabling it to retain the best employees. Another participant argued that given the COVID-19 pandemic, it is imperative to boost digitisation in the country. The participant further voiced that: That [digitisation] will bring more transparency to everything, and we need to provide training to the employees. In my organisation, computer literacy is an essential part of the training. Many feel they are about to retire after one, two, or three years. They are reluctant to undergo training, which affects the whole process. So, modern-day success will depend upon your ability to move with the world at the same speed, and then, you have to be techno-savvy everywhere and innovative.

The National Education Policy 2020 has recommended the implementation of many reforms. It also avers that students should have greater flexibility in selecting courses, colleges, and universities. However, to ensure the success of all these initiatives and to make the system more professional, all the HEIs need to be technically sound. The Dean of an Indian HEI stated: An HEI is built on many pillars. I have a model that I follow, and I call it the ARPIE model (academics, research, placements, internationalisation and enhanced engagement). The university needs to have good academic programmes.

The participant further emphasised that HEIs should have all the necessary resources for contemporary theoretical and empirical research. The university should devise curricula that foster skills, make students employable, and provide them with opportunities for decent placements. In addition, higher education should also make them good citizens in society. Further, there is a need for internationalisation, implying that the courses and curricula being offered to the students must be linked with the international market and help graduating students to gain admission into international universities for higher education. There is also a need to have a faculty exchange programme with international universities. Enhanced engagement with multiple stakeholders of society also necessitates the creation of the right kind of human resources, technology, and infrastructure.

2.3.2 THEME 2: Strategic Formulation and Policy-Making Given the global changes, both within and outside the university environment, as well as other challenges confronting the higher education system, the HEI management has to play a proactive role in the strategic formulation and policy-making of the university. In this mission, the university leaders have to be more than decisive. HEIs are facing constant pressure from society, stakeholders, the government, and other

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regulatory bodies to ensure transparency, good governance, and smooth functioning. Thus, the policy-making forum must play a proactive and strategic role (Bayenet et al., 2000; Parakhina et al., 2017) in this sphere. A Professor from an HEI in the USA revealed: Much strategic planning takes place at my university. But universities tend to get a bit more set once the organisational structure is there; it is tough to expect them to change.

Comparatively, it is not easy to change the plans and structure of a university once the design has been finalised, while it is convenient to change the structure of a corporate and a firm as and when required. Strategic planning takes place at the top level of the university; for example, the Board of Management or the principal stakeholders of the HEIs aid in strategic planning for the university. Another Professor from a USA-based HEI pointed out: It works via the board. There is a University Board of Trustees, and large-scale plans are made in consultation with the board. That creates an outline of the significant initiatives that will emerge over the coming years and a discussion on the financing envelope.

It is also essential to involve all the university’s stakeholders in strategic planning and policy-making. Yet another Professor from an HEI in the USA commented: Policy-making is a continuous process; it is not one-time. It is a very grassroots-level thing. There are two parts: one is top-down, and another is bottom-up. Top-down, we have the basic structure. Like we want to remain a good university. We want to have all levels of the highest accreditation. For example, my university is one of the significant land grant universities in the United States, and all of our programs are accredited at the highest level. But how to achieve these goals is where all the department heads and execution plan starts from the bottom up.

The participant further elaborated on various aspects of strategic planning. For example, the university business school is accredited by AACSB, ABET accredits the engineering programme, and NCAT, the highest level of the accreditation body, accredits the education programme. The university is competing not only at the national level but also at the global level. For that purpose, the university needs a broad strategic mission and mission to enable it to grow at the worldwide level. A participant Professor from an HEI in the USA also mentioned: Yes, there are long-term planning processes. Often, department chairs will be asked to provide a five-year or ten-year plan. In the whole budgetary process, a large part of the job is about fundraising—the overall scale of the budget and planning.

Strategic planning is indeed a long-term process, but it is also possible that the HEI may have short-term, mid-term, and long-term plans. All key stakeholders’ views play a crucial role in firming up the plans and making the institutional policies for the HEI. Financial and budgetary plans are thus critical components of the strategic planning of an HEI. Another participant Professor from a USA-based HEI said:

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In our case, it is a strategic planning process for the university. It is then initiated by the Office of the President and has some senior people involved, including faculty representatives. Our university is vast; we have 5,000 professors and 50,000 students. So, it’s broken into 11 colleges, and each college will have its strategic planning process. And then, each department has its strategic planning process. So typically, we do our strategic planning for the department every five years in conjunction with an external review. So, the department is reviewed by an external faculty team every five years. And in conjunction with that, we do our internal planning.

A participant Vice-chancellor from an Indian HEI commented: Today it is not to that extent, as we see in many educational institutions. No doubt there is an organisational structure, there are authorities, there are acts, statutes, and everything, but to a greater extent, even in colleges, this has become more person-specific than system-oriented. And if the top position is efficient and dynamic, you will see some good things happening; if that person is not, you will find it difficult to see any innovations or new initiatives.

The above participant suggests that in some HEIs, the strategic policy formulation is person-specific. Its implementation should be based on collective efforts and a coherent system. Accountability is also needed so that every individual working for an organisation should have a sense of belongingness. The Vice Chancellor of an Indian HEI argued: This country does not experiment correctly, we don’t have models, and we differ. This has to be done even at the foundation level. I have an executive council on this idea, and we sometimes have differing views because I have my individual opinions.

The strategic formulation process is essential. Decision-making and policymaking need to be followed up by the efficient implementation of the guidelines. However, most universities fail to ensure such implementation because of the inefficiency of the system and the non-availability of trained manpower. Another vital aspect pertains to monitoring the performance of the new policies, which is a continuous process. The participant Dean from an Indian HEI commented: Our Director reports to the Academic and the Governing Council. That meets every quarter. The Director then has his administrative team, the Dean and other Programme Directors. What is interesting about our institute model is that it is very well spread out, and it is not just one campus. So, we need to manage all of this; we have a structure which meets every few months to look at Institute-wide issues and then some decentralisation. We have faculty meetings at the Dean and department levels to decide on our local issues. Strategy is planned more at the levels of the Council, the Director and the Centre Director.

The HEI has a well-structured governance mechanism with several other subcampuses. Indeed, the strategy is discussed at the top level, but it is crucial to have feedback and information flowing from all the centres. The Registrar of an Indian HEI stated: My institution has a clear strategy for the Detailed Project Report (DPR). The Union Cabinet approved this. A clear plan was given about the areas where the institute would work. What number of students will they have to bring in each year, whether they would be undergraduate post-graduate, integrated PhD, PhD number, or even post-docs that we must bring in 10 years? So, a long-term strategy for developing this institute has been planned.

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The regulatory framework guides the particular HEI. However, the question arises regarding whether the HEI has any autonomy to plan its strategic decisions. The HEI needs to follow some broader guidelines. Still, it is equally crucial for the HEI to be empowered and given full autonomy to take care of the strategic formulation and critical policy decisions at the institute level. If these regulations bind the head of the institute, there are significantly fewer chances for innovations in the universities. For example, if the head of the university is bound by the cap of the faculty and other human resources, then the big question is how to expect innovations. The participating Professor from an Indian HEI commented: We went through this process of creating a vision, mission, and strategic plan. It was a two-year-long exercise which involved staff, students, faculty, young faculty, alumni, and industry partners. A committee was appointed, and they submitted their report after two years. This was again discussed at the faculty level and at the department level. The HEI has some autonomy in formulating its strategic plans. The leader of the HEI needs to work on the vision and the institute strategy in consultation with their board members, faculty, staff, and students. Including other partners like alumni, industry people, and local bodies is equally important.

The Director from an Indian HEI commented: We give priority to the strategic planning process. There could be transfers, there could be shifts, and there could be lateral movements. They could be adding new people to a team. We have a vision plan for 2030.

The strategic plans could also include a review of the organisation’s performance. The NAAC and the NIRF ranking agencies are the critical ranking systems in India. Presently, these agencies evaluate only some of the HEIs because of various constraints. The HEIs do not seem to be motivated enough to participate in the ranking frameworks, which could involve various reasons such as (a) non-availability of the required resources, (b) the concern about and fear of scoring less, (c) non-fulfilment of various criteria laid down by the ranking frameworks, and, (d) non-availability of the relevant documents. The question of whether the evaluation ranking should be voluntary or compulsory for all HEIs also needs to be addressed. Indeed, there are reports that some HEIs use various means to get a high score. The Dean of an Indian HEI said: Yes, it is pretty good strategic planning. I remember the period about six months after I joined when the school was forming, and we had a couple of days’ meetings where we made 5-10-15 year plans. Everything, from what ratio we want within class size between professors and students. What new schools and centres might we build in the future in their life? For example, we are opening a public health and public policy school, and we would gradually diversify from undergraduate education towards more graduate education. So, I would say that the strategic planning has been excellent, particularly regarding the kind of organisation we will be in over the next 10-20 years.

Indeed, there are good examples of HEIs following the democratic process of strategic planning, stemming from various reasons, including the dynamism of the leader and faculty and their unimpeachable management backgrounds.

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2.3.3 THEME 3: Balance Between Governance and Regulatory Mechanisms For the success of any organisation, regulatory compliance, such as adherence to the rules and regulations, guidelines, and civic laws, among other things, and statutory compliance, is crucial to avoid any legal complications, punishment, and government intervention. On the other hand, the HEI has to ensure the consistent, smooth functioning of the university. Therefore, a balance between regulatory compliance and the functioning of HEI with agility is a must but a challenge (Varnham, 2017; Vidovich & Currie, 2011). A Professor from an HEI in USA mentioned: One of the most important things is to have a good functioning HR and independence of HR. Some situations could involve violations, regulatory lapses, or problems with compliance or grievances. Such lapses could affect influential administrators; it may be a department Chair, a Dean, another administrator, a supervisor, a director, or whatever. So, I think it is essential to have an independent HR and strengthen the HR.

Maintaining a balance between regulatory mechanisms and governance is crucial for achieving organisational success, creditability, and transparency. As suggested by the above participant, some influential persons in an organisation may be involved in regulatory lapses or misconduct. HEIs need to have robust internal control systems, which could include a state-of-the-art HRM unit’s internal audit system. Additionally, systemic risk and unintentional bias are also possible in an organisation. If the HEI does not have an empowered, robust internal control mechanism, and if its regulations and practices do not comply with the prescribed rules and regulations, at some point in time, it is going to blow up. This could also result in lawsuits and investigations by various agencies and other crises. Hence, it is critical to have good HRM policies, an empowered HRM department, and an institutional commitment to the independence of compliance and regulatory enforcement. The Registrar of an Indian HEI commented: Good governance is just common sense. In any situation, there are three possibilities for ensuring governance and a regulatory framework: i) Yes, ii) No, and iii) Maybe. Possibilities i) and ii) are easy, but the challenge comes when dealing with iii).

The participant further elaborated that if the regulations, legislation, or policies clearly say that a particular thing can be done. There are no two opinions about it; one has to do it. Then, there is the forbidden territory of “No”, which means that one cannot do something. A leader’s real challenge is dealing with the “maybes” if the regulations do not prescribe that a particular course of action is violated. Still, it is in the organisation’s interest, that is, both the long-term and short-term interests of the organisation and also benefits the particular human resource; one needs to convert that decision into implementation. The Registrar of an Indian HEI asserted: Very frankly, there is not much regulation from the Ministry because institutions like ours are less regulated when compared to universities, that is, through UGC. We are left alone, except

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2 Higher Education in India: Structure and Governance for the finances that used to come as grants. We used to submit the utilisation certificate and associated regulatory measures like a GFR and other things like appointment reservations.

This is an exciting voice. Indeed, few HEIs seem to be happy with the governance system and regulatory framework. There may not be much interference on the academic front, but the government’s responsibility is to ensure that the HEIs follow the regulatory framework. Institutions should be capable of designing and implementing their policies. The Dean of an Indian HEI commented: So, what happens in our university for all sorts of compliances is that a separate committee called the Internal Quality Assurance Committee (IQAC) is set up. The Head of HRM is a member of that committee. Through this committee, the Institute ensures the conformance of regulatory balance.

The IQAC is a forum to plan, guide, and monitor the HEI’s quality assurance and enhancement functions. The role of the IQAC is also to channelise and systemise the institutional efforts towards promoting its overall academic excellence.

2.3.4 THEME 4: Balance in the Delegation of Power Balance in power centres, that is, centralisation and decentralisation, are crucial for ensuring the smooth functioning of a university. Centralisation helps maintain uniformity and systematisation across the board in a university in both the academic and administrative spheres. On the other hand, decentralisation boosts innovation, learning, and leadership development and increases accountability and responsibility at all levels (Alhamad & Aladwan, 2019), A participant Professor from an HEI in the USA mentioned: Of course, we need power at the top. A top person has to be able to take decisions and cannot have all decisions taken by the board. Everyone gets into voting, so that is a complex problem. Sometimes, we will make the mistake of saying everything should be democratic. I do not think so. The top person and even the few people below need to have the exact domain specified where they take a decision. And once they take the decision, it is taken. But you also have to decide what their field is; for that, there needs to be a democratic process involved. And there are many decisions in which democratic processes are involved. So, the main thing is we must not make the foolish mistake of thinking that everything has to be democratic; it will crash. The delegation of power needs to be well-designed.

It is highly crucial to work on the architecture of HR very carefully. There should not be any scope for losing power. The key stakeholders of HEIs must give full attention to the organisational design. A participant Professor in an HEI in the USA stated: We need to have a delicate balance between centralisation and decentralisation. Sometimes, centralisation can be necessary for an organisation which requires a rapid response. For example, suppose in the army, every brigade decides what it wants to do. In that case, it may not lead to a coherent defensive reaction, but, at the same time, even within the army, there

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are occasions when it is essential that somebody who is cut off from all communications decides and takes action for themselves.

I was reading one example of such a situation in the early 2000s when an Indian Airlines plane was hijacked on the tarmac in Amritsar. At that point, the then Prime Minister, Mr Atal Behari Vajpayee, was airborne in a flight. And it was also difficult to contact the cabinet. The local DGP should ideally have put a truck in front of the plane to prevent it from taking off and allow the authorities and the ground staff to manage the hijacking from the precincts of the airport. Instead, they did nothing. Because they were waiting for orders, and when they finally got the charges to put a truck in front of the plane, the hijackers realised what was happening and suddenly took off. That’s an example of where local initiatives are required, even in a centralised organisation. A participant Professor in an HEI in the USA mentioned: Centralisation of power is a dangerous idea. I would like to draw an excellent distinction kind of here. You need to have a hierarchy level and a system to ensure no power imbalance. A good oversight is significant. You need to have a consent conflict resolution process. What if the executive doesn’t do its job?

The participant further elaborated on the importance of balancing centralisation and decentralisation and the criticality of the executive’s adequate performance of day-to-day operations. If the oversight process or the appropriate authorities are not functioning correctly, the matter must be escalated to the internal audit, compliance, legal office, and so on. A participant Professor in an HEI in the USA affirmed: You need to balance centralisation and decentralisation well. Power has to be delegated and distributed. You have to have trust in democracy. One evil Dean can overrule the authority if the powers are not distributed.

The HEIs in India are mainly centralised, which hampers and delays most institutional functions. The chief complaint from inside and outside has always been delayed in the work process. For example, the recruitment process in most HEIs gets delayed. As suggested by the above participant, power has to be delegated and distributed, and we need to build trust in each other’s sincerity and the democracy of the system. It is crucial to ensure that HEIs recruit good manpower, which is the number one mantra for the success of an organisation. Thereafter, we need to assign them responsibility with accountability and observe their functions. A participant Vice Chancellor from Indian HEI commented: Complete centralisation is not how it should happen. There should be some shared governance. At the same time, leadership plays an important role. Democracy is not about representation; it is about leadership. So, you must have faith in somebody’s leadership; it matters. At the same time, the leadership needs to have all the options before it very transparently and objectively. It would help if you had shared responsibility and everybody bought in. Otherwise, it would be a failure.

As pointed out by the participant, a leader must explore various options to ensure the involvement of all the stakeholders. Decision-making entails putting all the

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parameters of a shared governance structure before the leader. Ultimately, the leader has to ensure that the institution takes a step forward; a leader has to do that. That comes from the leaders’ judgement, conviction, experience, and way of doing things. Our main problem is that of a crisis in leadership and resources. These are the critical parameters wherein educational institutions should flourish. The trick of leadership is that if the leader has an idea, how does one make everybody else buy into that idea? Another problem is in offering support when somebody approaches it genuinely. Some leaders in India exhibit their power by refusing to offer this much-needed support, whereas good leaders show their strength by finding out how it can be done, as they trust their employees and ensure the fulfilment of the general purpose of that institution and the progress of the particular person concerned. A leader needs to understand that s/he is not running the institution to attain their objectives but for everybody else who has a stake in the institution and helps define it. Another factor is the need for widespread consultation with all the concerned parties and conducting it openly. The leader must also be optimistic and open to criticism while patiently listening to others but without compromising his/her leadership capability and role. The Vice-Chancellor from another Indian HEI commented: Absolute centralisation leads to problems. There has to be meaningful decentralisation to ensure that power delegation is giving good results. So, as we always say, once you’re given freedom, there also comes the responsibility to use liberty meaningfully. So, there has to be an insuring mechanism in the organisation.

The above participant raises the critical point that power comes with responsibility. The leadership must ensure that the power is not misused, and its use must be monitored transparently. The institution could offer both carrots and sticks to ensure the smooth functioning of the system. A Dean of an Indian HEI remarked: Centralisation of power is not the solution. And I have tried to devolve power as much as I can. For example, in an excellent academic institution, decisions have to be reached by consensus. It is essential that you do not impose things. The devolution of power within the university within the school makes it a more effective academic institution.

2.3.5 THEME 5: Internal Governance Some critical aspects of university governance include strategic planning; efficiency; agility; faculty, staff, and student governance; statutory compliances; accountability; and financial and crisis management. To this effect, shared governance, effective planning, decentralisation, and empowerment are crucial components for ensuring organisational development and the smooth functioning of a university (Melear, 2017). A participant Professor from an HEI in the USA remarked:

2.3 Evolving Governance Structure

53

Our faculty and staff not only participate, but we also have a shared governance system. So, the faculty has the last word regarding all curriculum matters. It is only possible to have a single course or a single degree program, certificate program, or a new course with the active involvement of faculty.

The above participant has demonstrated that the HEI concerned has a system of shared governance. While elaborating further, the participant mentioned that this shared governance is in accordance with the university’s other management and academic policies and that everything is done in close collaboration between the faculty and the administration. Another participant Professor from an HEI in the USA commented: Faculty and other employees are part of the internal governance system. There are several committees, and it is a very democratic process.

Although there are some merits in the system of the involvement of the employees in the internal government system, there could be some demerits as well. For example, the faculty and staff may spend more time on the internal governance system than required. There could also be some risks involved. For example, an induvial faculty/ staff may not have particular expertise, and if asked to share his/her view in such a situation, it could prove to be counter-productive. It may also be possible that the top leaders hesitate to take tough decisions or want to avoid taking risks and then pass it on to the internal committees. This is what is happening in a majority of the HEIs in India. Good leaders must own their good, bad, or ugly decisions. It is thus concluded that for good governance, it is essential to involve all the stakeholders. However, the decisions must be monitored, and the leaders must own the final decisions. A participant Professor from another HEI in the USA remarked: Indeed, the faculty is involved in the internal governance process; however, at times, I feel it is too much work for the faculty and staff interested in the committees. When I first joined the university, I was shocked that a committee of faculty members was trying to decide how many computers to buy. But everything is run by the faculty. The term that gets used all the time is ‘collegial governance’. Too much work at times, but I think it is worth it.

For the sake of internal governance, it is crucial to involve the employees. However, it is also essential to ensure that professional experts examine the decisions. It may not be a good idea to implement everything based on the decisions of a faculty. The Dean of an Indian HEI commented: There are committees. For example, there is an academic programme committee in the engineering school. There is a student affairs committee like this there are various committees, such as grievances committees, and in each committee, there are faculty and staff members, while in some committees, we also keep students.

It is crucial to involve a diverse team in the internal governance process. It empowers the workforce, and all the stakeholders accept the decisions willingly. This system of management ensures that it is primarily a win–win situation as far as internal dynamism is concerned. A Professor from an Indian HEI suggested:

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2 Higher Education in India: Structure and Governance We involve our employees in various internal committees. I think drawing upon that resource is a good practice when we need a particular set of skills or specific inputs beyond administration.

The participant further elaborated on the internal governance system. While giving an example, he mentioned that even if purchase and procurement are purely administrative functions, an expert view will still need to be obtained. When the HEI is in a condition to purchase equipment required in the laboratory, the opinion of the faculty or the scientist concerned, who has knowledge and experience, comes in handy. Accordingly, such a member should be a prominent member of such a committee. Otherwise, the decision-making would be based on the papers placed before the authorities. In that context, it is essential to bring in expertise in governance, which is a good practice and gets buy-in from them. This is an example of not imposing decisions from the top and ensuring the involvement of a collective decision-making body.

2.3.6 THEME 6: Culture of Diversity Cultural diversity in a university boosts innovation and productivity. It can create a positive impact and promote problem-solving and cognitive engagement. Diversity brings a variety of prospects and approaches, eventually contributing to the quality of the overall learning and decision-making in the HEI. Internationalisation and globalisation are the key drivers of diversity in HEIs. Empirically, however, more awareness about cultural diversity and inclusion needs to be generated, and the concomitant benefits accruing to an organisation. In this context, it is critical to organise regular training programmes to boost awareness and understanding among all the stakeholders of an HEI, including the board of management, faculty, staff, and students. All these initiatives will foster inclusive learning, teaching, and research environments. Eventually, these measures will help address the critical barriers to equity, diversity, and inclusion (Claeys-Kulik et al., 2019; Guo & Jamal, 2007). The Vice Chancellor of an Indian University said: The female gender is solid. There are not any diversity issues at my university.

The participant clarifies that the HEI being discussed here has cultural diversity in all its forms among its faculty, staff, and students. The Dean of an Indian University commented: In some schools, there may not be too many female faculty members, specifically in Engineering or, let us say, the School of Arts and Science and School of Management, but gender diversity is already here. In the engineering school, we have 7 faculty members out of 28. But, I wanted to say that whenever somebody applies, we never look at gender as a criterion because that is no issue today. The caste too, we never look at, very frankly.

The above participant has pointed out an essential aspect that the HEI being discussed never encourages the propagation of caste or religion in the selection

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process of its students. Instead, it focuses more on other activities, including creativity, artistic photography, theatre, and so on. The institute’s management also invites students for dinner on special occasions. Another Dean of an Indian HEI commented: I would say that when it comes to things like religion and gender caste, we are not bound by some laws that apply to public institutions. And when it comes to the top level of the university, like the Academic Council or Board of Management, there is not enough emphasis on diversity.

The above voice conveys that most people would like to maintain a balance in diversity, in theory, because people think it’s a good idea. The concept has an underlying favourability, but it has yet to be implemented in the way it should be in this particular HEI. The Registrar of Indian University stated: Yes, we maintain a sound diversity system. Representation to the Board of Management is constituted strictly as per the statute. And in that, also, we have been careful enough to ensure adequate representation of gender. In the board of management, there is no prescription of caste. So, everybody comes in on merit.

The HEI follows the statutes strictly as far as diversity is concerned. Enough care is, therefore, taken to ensure a balance in the diversity measure.

2.3.7 THEME 7: Transparency of the Decision-Making Process Across the globe, a new perspective is emerging on the transparency of the decisions taken by the HEIs. There is a change in the governance style between the government and donors, and the HEIs, as well as between the students and their parents and the HEIs. All of these have stemmed from the increased importance of higher education and the requisite relevant information about the universities’ learning outcomes and research outputs. Internally also, there has been a change in the dynamism and expectations from the management for maintaining transparency on all fronts, their decisions, and the benefits provided to the campus community (Jongbloed et al., 2018). A Professor in an HEI in the USA commented: Everything is very transparent here because everything is an open book. Whenever there is a faculty meeting, there is a vote. Every session, the discussion, and the decisions taken are recorded. For every faculty meeting, we keep minutes. There are resolutions, there are votes, and there is a complete recording system.

Maintaining transparency in governance and decision-making is crucial for the success of an organisation. This voice makes it clear that the HEI is following a transparent system and has put various systems in place to ensure the same. The Vice Chancellor of an Indian HEI remarked:

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2 Higher Education in India: Structure and Governance We maintain transparency in the decision-making system and have a sound recording system. Our registrar’s office maintains all the essential records of the institute.

In the Indian university system, the Registrar’s office maintains all of the university’s essential records. The participant confirmed the existence of a sound recordmaintaining system in the university. However, it is impossible to communicate all the decisions, and it is crucial to maintain confidentiality in the case of certain decisions. The Dean of an Indian HEI commented: I call the faculty council meeting once a month, all the faculty members are there, and I also invite some senior administrators. I arrange one meeting with all staff members once a month, and we spend some time, and I prefer that each of them talk for at least a few minutes during these meetings.

The participant further mentioned that the HEI calls one general meeting of all the community members to update them about the decisions. They are also allowed to speak about their respective problems, and so on. The Registrar of an Indian HEI commented: We always ensure that the decisions are communicated except for what should not be divulged. Everything else is shared. We have an ERP system where all the relevant details are available. An ERP system is driven by access rights and functions rights. So, suppose somebody has to perform a process, and he then has to be given the rights that enable them to do the procedure. In this way, the system does not discriminate between faces.

It is clear from the voice that the HEI has created various transparent processes. Each individual has access to an Enterprise Resource Planning (ERP) system. Indeed, systems are in place to ensure various checks and balances. The process flow from one position to another makes the system transparent. Eventually, the decision-maker can have complete access to the data, enabling him or her to take an appropriate decision. Transparency is essential, but it should not be tantamount to indecent exposure. Information should be available and needs to be known to everybody. The decision-making process should be strictly in accordance with the policies laid down, communicated to, and accepted by everyone. Another important aspect is that in the admission or recruitment process, at each stage, the HEIs need to inform each shortlisted candidate as well as those who have not been selected along with the reasons why they have not been shortlisted and communicate this online to highlight that their administration process is entirely transparent. All applicants are entitled to know why they have been called or not called for the written examination and interview. Even after the selection process, it is appropriate to announce the list of final selected candidate/s on the institute’s website to ensure that everybody knows the candidates have been selected on merit. Table 2.3 delineates the basic themes and the core issues discussed above.

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Table 2.3 Basic themes and the core issues Key themes

Outcomes

Measure of organisational success of a modern-day university

Higher education institutions (HEIs) follow short-term, mid-term, and long-term calendars; produce ideas that change the status quo; force new thinking; effectively create a spirit of inquiry among students; manage the large-scale enrolment of students; offer their students access to high-quality books and publications; ensure strong student placements; drive research and innovation; enrol quality students; attract and retain competent faculty and staff; strive to consistently improve their ranks; deal sternly with misconduct and other complaints with regard to their students; ensure the timely redressal of sexual and other harassment complaints; promote collaborative research; cultivate an interdisciplinary system; create an efficient and up-to-date public communication system; encourage students to go in for higher education; fetch them quality job placements; cultivate an environment rooted in the freedom of free speech; nurture an atmosphere of happiness and minimal conflicts; devise intuitive and comprehensive academic programmes and curricula; encourage internationalisation in their campuses; foster a sense of belonging among their alumni; encourage delegation of tasks; build their institutions as brands; create a robust digital and automation system; establish a democratic governance system and good oversight; recruit efficient manpower; and design efficient reward structures

Strategic Formulation and Policy-Making (SFPM)

Whether the HEI is able to: provide autonomy and freedom to the top leader; involve the faculty, staff, and students in strategic formulation, decision-making, and policy-making; discuss SFPM at the top level; foster a continuous SFPM process; execute the SFPM successfully; achieve the goals set by the top management; efficiently manage fund raising; undertake the SFPM with an external review; build institutional rather than person-specific systems; create a system of accountability; monitor the performance of staff on a regular basis; adopt both top-down and bottom-up approaches; and encourage implementation of a system that allows for widespread consultation among all stakeholders

Balance between governance Whether the HEI is able to: create an independent and and regulatory systems empowered HRM system; a robust internal audit system, and evaluate the systemic risks and biases; a robust financial control mechanism; create a system of institutional commitment to the independence of compliance and regulatory enforcement; have a good Enterprise Resource Planning (ERP) system in place; ensure clarity on the role and responsibility of each authority; monitor and update the systems regularly; and engender a shared governance structure (continued)

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Table 2.3 (continued) Key themes

Outcomes

Delegation of powers

Whether the HEI is able to: maintain a very fine balance in the centralisation and decentralisation of power, to empower the top leader and management to take decisions; to create a robust system of the delegation of powers on each authority, a system of transparency and clarity on the delegation of powers; system; has clarity on the specified domain wherein each authority can take a decision, create a democratic process, and nurture a sense of responsibility; carefully create an efficient architecture of HRM; and ensure the delegation of power that yields good results

Internal governance

System of sharing governance responsibilities; appointment of various internal committees; close collaboration with the members; democratic process; good governance

Culture of diversity

Diversity of gender, caste, and religion, economic and regional diversity, participation in the BoM, academic council, internal management committees, and decision-making bodies

Transparency of the decision-making process

Processes involved in the transparency, ERP system, recording system, minutes of meetings of various fora, general body meetings, town hall meetings

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Chapter 3

The Human Resource Management System: University Versus Firm

3.1 Introduction Universities and firms are distinct organisations. They differ in their objectives, processes, resources, and outcomes. And these dissimilarities are reflected in human resource management systems. This chapter explains the difference between HRM in universities and firms. First, it is crucial to contextualise these differences in a framework of multiple dimensions. Second, we align these dimensions with the voices from the field, primarily to delineate how HRM works in the universities. This chapter is, therefore, a blend of the conceptual framework and data about the process and its functioning in a university setting.

3.2 Differences in Human Resource Management Between a Firm and a University Applying systematic and scientific methods for managing human resources has been prevalent in industries and corporate offices for a long time (Albrecht et al., 2015). While these are viewed as standard and time-proven mechanisms for improving productivity at work, the advent of a Human Resource Management (HRM) system in HEIs has been a recent phenomenon, especially in India. Albeit, such techniques have been applied informally earlier and have evolved along with the basic principles of management. The HR systems in corporate offices are quite structured and goal-oriented, and are uniformly applied at all levels, from the top-level management to the lower level, with varying degrees. In contrast, the HRM process is markedly different in a university system. This is because universities and industries have different objectives and ways of achieving their goals.

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_3

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Although the teaching staff are subject to specific rules and regulations in academic institutions, they are also offered a great deal of flexibility. Indeed, the faculty members in higher education academic institutions have academic freedom and autonomy (Pausits and Pallert, 2007). Following are the key differences between universities and industries as far as their objectives and HR policies are concerned: (a) The university goals are broader, while corporate goals are narrow and profitdriven. (b) Appointments in universities are social-driven, while for corporates, they are profit-driven. (c) HR policies in HEIs are based on the broader regulatory framework and are mostly uniform, while the HR policies of corporates may vary from organisation to organisation. (d) The salaries and compensation packages offered in the higher education sector are based on a uniform policy. In contrast, in the corporate or private sector, they could vary from person to person or organisation to organisation. (e) Human resource policies in the higher education sector are based on a good social factor, whereas incorporates, they may be based on the profit goals factor. (f) Academic institutions take up research projects based on their choice, whereas corporates focus more on profit-oriented projects. (g) Academicians have the liberty of flexible duty and teaching hours, whereas corporates have mostly fixed duty hours. (h) Academicians can give lectures and participate in various other institutions’ committees, which may not be accurate for corporates. (i) HEIs are less likely to compensate their staff based on performance, whereas corporates broadly compensate their employees based on performance. (j) Universities usually lay less emphasis on the training and development of their employees, in contrast to the corporate sector, wherein imparting training to and fostering the development of employees is an essential factor. It is thus apparent that the objectives of universities and corporates differ widely from each other, with HRM being widely used in the corporate world. Some of the HRM best practices being followed by private sector organisations may be used as role models and replicated by HEIs to enable them to improve their performance. In view of their complex governance and regulatory frameworks, it is difficult to introduce any innovation in publicly-funded HEIs, especially in their strategic human resource management functions (Guest & Clinton, 2007; Pausits & Pellert, 2007). The tasks associated with SHRM in an HEI are not duly recognised; they are not involved in strategic decision-making forums and are not provided with a seat in the executive body of the institute (Patton, 2007). This is one of the significant concerns and grievances in the HEI sector today as compared to the private/corporate sector. In India, the evolution of the personnel/welfare function was to take care of the labour and welfare aspect of the workforce in industries during the 1920s. The HRM functions in the private/corporate sector were introduced in the mid-1970s (Budhwar, 2013; Rao, 2014; Sodhi, 2014).

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Table 3.1 outlines the differences in HRM between the university and the corporate system. It is crucial to understand the difference between a university and a firm in framing the scope of the HRM. The differences between the two are multi-dimensional. The HRM practices implemented in both types of organisations are based on a number of diverse factors including their goals, recruitment policies, onboarding, compensation structures, performance evaluation, learning and development practices, career progression and succession planning, and talent retention (Joubert, 2018). Table 3.1 Differences between HRM practices in university and corporate systems Instrument

University system

Corporate system

1. Goals

Excellence in teaching, learning, research, innovation and sustainability

Wealth, profit generation, innovation and sustainability

2. Recruitment

Separate tracks for faculty and staff Faculty: promoting capability in teaching and research Staff : domain skill, leadership, compliance orientation and team work

Linked with the strategy of the firm, new business models and use of advanced technology

3. Talent Retention Weak to strong intrinsic motivation. For example, incubator, ventures, and spin-offs

Weak to strong extrinsic motivation. For example, employee stock options

4. On-boarding

Norm- or culture-driven, procedure-oriented

Induction training, providing orientation to team, introduction to standard operating procedures

5. Performance Evaluation

Faculty: Evaluation of teaching and research Staff : Vertical evaluation

Peer-based evaluation, team orientation

6. Compensation

Largely driven by fixed pay and entitlements, long-term contracts

Pay for performance, variable pay, flexible hiring and firing practices

7. Career progression

Procedure-driven and no clear plan

Talent recognition and leadership development

8. Employer branding

No clear policy

Employer’s value is articulated through multiple channels like campus placements

9. Flexibility

Greater flexibility offered to teaching Limited flexibility staff, research staff and students

10. Autonomy

More autonomy

11. Hierarchy

Flat or horizontal hierarchy structure Mix of vertical and flat hierarchy for faculty members and more for managerial staff while relatively vertical structure for the staff more vertical hierarchy for non-managerial staff

12. Learning and development

Regulation-oriented, for the job promotion, self-learning

Structure-bound

Linked with performance evaluation, capability building, outcome-oriented

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The primary goal of a university is to achieve excellence in teaching, research, innovation, and sustainability (Bondarenko, 2022). For a firm, on the other hand, the issues that matter include profit, wealth, innovation, and sustainability. Although universities and firms are different from each other in that the former is more focused on intangible impacts than the latter, they still share some common goals, such as ‘innovation’ and ‘sustainability’. It is imperative for a firm to generate both shortterm values like profit and long-term outcomes like wealth. However, the goals for a university are not as tangible as those for a firm. The quality of learning culminates in job placements and research. Interestingly, both can collaborate to innovate new products and processes. Attaining environmental, economic, and social sustainability necessitates a multi-stakeholder frame that provides scope for collaboration between a university and a firm (Conrad, 1974; Wagner et al., 2011). Another point of difference between a firm and a university is that of recruitment. Although the common objective of recruitment by both universities and firms is hiring of talent, the two differ in many aspects. A crucial difference is that a university has two distinct tracks in terms of its employees, viz. teaching faculty and non-teaching staff (Ulrich, 2013). This implies that what the faculty in a university does is not the domain of the administrative staff, as the latter is rarely involved in teaching and research while faculty does not perform the administrative functions, except tentatively. In firms, on the other hand, the functions of all the staff members can overlap in unique ways (Finegold & Frenkel, 2006). For a firm, the most crucial hiring policy hinges on its future strategies. For instance, if a firm faces intensive competition in the market, this will be reflected in its recruitment strategies, and it would have to concomitantly downsize or augment its staff strength. Once the recruitment is done, the next step is onboarding. This entails involves exposing the new employee to the organisation (Klein et al., 2015). This process too is done differently in universities and firms. In universities, it is driven by the norms about the above-mentioned ‘tracks’, which are separate for both tracks. However, firms tend to maintain a more formal and engaging onboarding process, which covers induction training, imparting information about the Standard Operating Procedures (SOPs), and orientation about the vision and mission of the firm. The compensation offered to employees is also a differentiating factor between a university and a firm. A university is driven by a long-term contract that determines the employee’s salary in accordance with the job. For example, a pay band is pertinent to position of a full Professor, Associate Professor, Assistant Professor, or Registrar. Although the salary changes when the employee within the concerned cohort gets a promotion, generally salary changes in a university are not very sensitive to performance in the spheres of teaching, research, or innovation. Similarly, for the non-teaching cadre in a university, the pay is for the job title, not the performance. It rarely incorporates an incentive for outstanding performance or functional excellence. As regards firms, on the other hand, they tend to mix fixed and variable compensation for employees. Although an employee is entitled to a fixed salary structure provided s/he puts in the required labour measured in time, the salary still remains sensitive to variation in performance. The better the performance, the higher will be

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the salary, and vice versa. Some firms also provide their employees with a share of the wealth through rewards like Employees’ Stock Options (ESOPs). In the case of a university, the faculty usually get stakes in the institution through their intellectual output. However, the non-teaching staff in a university seldom get any such stakes. Another segment in educational institutions comprises temporary staff who are hired through a tripartite contractual system. Their engagement remains precarious in these organisations as they are deprived of social security benefits and entitlements like pension, gratuity, and health coverage. It is crucial to understand how performance is evaluated in both of these organisations. In a university, performance is assessed separately for the faculty and staff. For the faculty, the assessment is based on their inputs in research and teaching. For example, feedback from students about their teaching or publications by them that have impacts measured in terms of impact factors, are counted. These inputs have far-reaching implications because the resultant outcomes are also used by diverse agencies for ranking universities. As regards the non-teaching staff, the measurement of their performance is done differently. A vertical reporting system primarily drives it through an HRM or administrative setup. On the other hand, firms behave quite differently, and in a corporate setup, the performance parameters may also differ from firm to firm. While some firms implement a top-down feedback system, many practise peer-to-peer performance management (such as a 360-degree evaluation system). A significant difference between performance evaluation systems in universities and firms is that firms consider different teams as output sources, which is not often observed in universities. The area of Learning and Development (L&D) is another distinguishing factor between first and universities. This procedure is distinct for faculty and staff in universities. While L&D is a regulatory requirement for the faculty and impacts their future learning, skill upgradation is the driving force for the staff. In the case of a firm, L&D tends to follow performance evaluation as it identifies the learning needs of the staff to facilitate better performance for them in future. Universities and firms also differ in planning for their respective employees’ career progression. In universities, career and succession planning is more procedurebased and predictable, irrespective of the track. In contrast, in a corporate setting, progressive firms resort to recognising talent at the nascent stage and developing it into leadership. Universities and firms also tend to behave differently to retain talent. For universities, retaining their performing employees is sensitive to the career track. Some universities use intrinsic rewards like providing more autonomy and honorific titles to retain faculty. It is common for universities to allow entrepreneurial faculty to engage in spin-off ventures. However, this process may need to be validated for the staff. At the same time, a few talented teams may collaborate with the faculty ventures, thereby contributing to the university’s growth. On the other hand, firms are strongly oriented towards offering extrinsic rewards to foster motivation for better performance. This policy helps them to retain their talent. Rewards like ESOPs also allow employees to generate wealth and act in synchronisation with the firm’s objectives.

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3.3 HRM in Universities: Voices from the Field Qualitative research data collected from the principal stakeholders in the HEIs in India and the US generated the following eleven parameters for determining HM practices: (a) Goals, (b) Recruitment, (c) Talent retention, (d) Onboarding, (e) Performance Evaluation, (f) Learning and Development, (g) Employer Branding, (h) Career Progression, (i) Flexibility, (j) Autonomy, and (k) Hierarchy. These parameters are discussed in detail below. The methodology for assessing the above parameters is given in Appendix A.

3.3.1 Goals Higher education is a multidimensional system. It is crucial for facilitating free will, economic opportunity, and social justice. The two core processes in any university are teaching and research. Irrespective of its orientation, whether public or private, it is significant for a university to align itself with the canons of democracy, especially those concerned with the liberation of minds, creation of economic opportunities, and commitment to social justice. An HEI is fundamentally a learning space that embraces the diversity of stakeholders and its connection with real life. Therefore, all its processes, be they associated with teaching or research, are linked to their objectives. It is thus imperative to align the processes and goals with the structure of the HEI. There is also a need to harmonise the HRM processes with the dynamics of expansion and the objectives of the university. In developing societies like India, where participation in higher education remains a scarce opportunity for people, especially the youth, it is crucial to expand the capacity for enrolling students in order to fulfil their aspirations, and also to create an inclusive society grounded in equity, economic opportunity, and social justice. A Professor from a US university commented: Some of the measuring components for achieving the university goals of our university to be the best in teaching and research include i) the quality and volume of the research output; (ii) students’ opinions about the teaching (one indicator of this may be the students’ evaluation of the courses); (iii) the opinions of faculty members and non-academic staff about their work environment; (iv) the rating of the university by various rating agencies; and (v) placement of students after their graduation.

A Professor from a US university said: The broad vision of our university is to be a big university. We want excellence in teaching, research, and social service. The other components of excellence in the university include: the highest level of accreditation, and excellent student reviews, along with financial soundness, which will help us raise much money.

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3.3.2 Recruitment Recruitment and selection of the right person for the right job is a crucial responsibility of the HRM function in any organisation. Recruitment and selection are two distinct processes in any organisation. The recruitment process entails attracting qualified human resources for employment. It takes care of various functions such as manpower planning, job designing, and job analysis, among others. At the same time, the selection process necessitates the release of a job advertisement, short-listing of candidates, appointment of a selection committee, conduction of interviews, background checks, and reference checks, among others. Indeed, the recruitment and selection process varies from organisation to organisation, institute to institute, and country to country. The HRM uses various techniques to choose the best among the short-listed candidates in the selection process. The responsibility of the HRM with regard to the recruitment and selection process entails attracting a large number of qualified candidates through the proactive dissemination of job advertisements; recruiting the best talent from the pool of candidates; and finally, supporting the efficient landing of recruits in the organisation (Bratton & Gold, 2007; Walker et al., 2009). A Professor in a US university commented: Recruitment in any department is subject to a) budget availability and b) the establishment of the recruitment process with supporting documents.

The above participant also detailed the process involved in the recruitment of an employee in the university As regards the requirement for a faculty member, the department head has to assess the need and the budget and ensure the availability of funds. Thereafter, the requisition goes to the office of the Dean, Vice-President or Provost. After the examination of the documents by the finance and budget department, the requisition is sent to the HRM department for further processing. The HR staff then appoint a committee per the statutes, following which the recruitment and selection process commences. A Professor from a US university commented: Faculty members are recruited through advertisements for positions in professional journals and websites. My department prepares the list of candidates to be interviewed in the annual meeting of the American Economic Conference, which also serves as a job market.

The participant indicated that following those interviews, the department prepares a short list of candidates to be invited to visit the campus. Each candidate invited to visit the campus must present a seminar and meet with (i) faculty members and graduate students of the department and (ii) the Dean of the faculty. After all the shortlisted candidates have visited the campus, a departmental meeting is held, wherein the potential candidates are ranked in order of preference. This list is thereafter sent to the Dean of the faculty, and an offer is made to the top-ranking candidate after receiving the Dean’s approval. If he/she declines, the offer is made to the candidate occupying the next rank, and so on. Once a candidate accepts the position, the formal request goes to him/her from the University’s central office.

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Another Professor from a US university pointed out: My university is a public university, unlike many of the top universities in the US, which are private. In this university, all faculty recruitment decisions are taken by the Department. First, a seminar is required to be given by the faculty member to be recruited in an open workshop in the Department, attended by all faculty and students---there is no formal “interview”. Then the decision process involves a discussion in a faculty-appointed committee about the merits of the appointment out of all those invited to give seminars, which is followed by an open discussion and voting by all the faculty (junior and a senior) on the appointment.

The participant also elaborated on the other process. After the faculty vote, the Head of the Department writes a letter to the Dean, justifying the selection decision, appending details of all the candidates’ documents and books and papers, as well as suggestions for the salary to be paid to the selected candidate. The Dean then examines the case, gives her/his opinion, and forwards the case to the Chancellor, who then submits it to a Personnel Committee of nine fixed-term members. This Committee thoroughly examines the file and recommends the appointment and salary to the Chancellor, who usually accepts that advice. The participant further elaborated on the promotion process. The steps to be taken for the promotion of existing faculty are similar, with the following exceptions: (a) Each case is decided based on three criteria: the research quality, teaching performance (wherein at the end of each course, students evaluate the teacher’s performance and give her a grade), and any service rendered to the University and the profession provided by the faculty member. (b) After six years or so (in the case of women, a year can be added for maternity leave, etc.), the faculty member’s performance determined according to those three criteria is examined by a special committee in the Department and also by a special committee (appointed by the Chancellor’s Personnel Committee, containing a member from within the Department, a member from outside the Department, and a member outside the University). After all this, the University decides if the person will be given “tenure”, that is, made permanent. If s/he is not given “tenure”, the person would have to leave the University in a year or so. (c) Each faculty member is considered for a “merit review” at the Departmental and Chancellor levels every two years. If the candidate is successful, his/her salary is increased. (d) Even at the level of a full Professor, there are many “steps” for determining the salary hike, and at each step, there is a “merit review” to justify the salary increase. If a Full Professor has not done well as per any of the three criteria mentioned above, his/her salary may not be increased. The Registrar of an Indian university suggested: As far as recruitment is concerned, the mission has always been to get the best manpower. The process involves advertising the positions as per our statutes. The screening and selection committees are appointed as per our recruitment rules.

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The above participant in the survey also revealed that the HEI keeps the rolling advertisement available during the year. The response to the advertisement is encouraged online. Over some time, when the university has vacant positions, and it needs faculty positions, it issues a cut-off date for receipt of applications, after which the applications are scrutinised. The HEI also advertises for faculty positions in various national newspapers and other advertising media. The chairpersons of the respective departments further analysed the candidates who would have applied for multiple positions. The Director finally approves the short-listed candidates. Thereafter, the HEI schedules the interviews in consultation with the selection panel set up by the Institute’s statutes. A panel of experts in various disciplines is set up on the approval of the Board of Governors for finalising the selection of candidates. Experts are engaged to conduct the interview depending upon the field or the subject for which the candidate has to be interviewed. Finally, offers are made to the faculty based on the recommendations and approval of the authority of the Institute. Faculty recruitment is supposed to be in the ratio of 1:10, meaning that ten faculty members must be recruited for every 100 students. Regarding the recruitment of the non-teaching staff, it is mainly structured and entirely guided by the Institute’s statute and as per the guidelines issued by the Ministry of Education, Government of India. An essential criterion for selection of the non-teaching staff is that it has to be as per the prescribed ratio, which means that for every faculty member, there has to be non-teaching staff in the ratio of 1:1. For example, if an HEI has 100 faculty members, they need to have 111 non-teaching staff members. These rules apply as far as the permanent positions of non-teaching staff are concerned. They, however, do not include the rules for contractual staff like the security and housekeeping staff, among others. The permanent positions of non-teaching staff are also advertised as per the recruitment rules. Duly constituted selection committees are appointed for the selection of the non-teaching team. For some jobs, the HEI prescribes written tests, which entail screening to ensure that the HEI brings down the number of candidates to be interviewed to a manageable level. It also serves another essential purpose: to ascertain whether they have some basic knowledge and skills in the areas in which they are proposed to be recruited. The third segment involves the contractual staff in the teaching and non-teaching spheres. Recruitment for the teaching and research areas is purely based on the particular research project’s norms, actual requirements, and provisions. The ad hoc positions for non-teaching staff include technical positions and security and housekeeping staff. For most of these positions, the HEIs prefer the outsourcing route, given the legal complications involved and the need to ensure the system’s efficient functioning. The Vice-Chancellor of an Indian university stated: We have separate tracks for both academic and non-academic staff. We use various recruitment channels for academics, including frequent references and invitations. For the non-teaching team, we mostly follow our regular track of advertising for the positions.

The above participant thus confirmed the existence of different recruitment and promotional tracks for academic and non-academic staff members in the university.

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The participant further elaborated in detail about the recruitment process followed by the HEI. The first is the regular recruitment of the teaching staff at the entry-level with a stringent quality evaluation. The second process of recruitment is based on references from various sources. The third pertains to those who have already attained a certain academic stature to be associated with part-time rather than full-time institutions, such as the adjunct faculty. Additionally, the university recruits accomplished administrators, such as directors of the National Research Laboratories, who bring scientific and administrative knowledge and expertise. The HEI identifies certain critical areas for charting and planning the institution’s growth and accordingly evaluates the need for academic manpower in those specific areas. The HEI receives many recommendation letters and curriculum vitae (CVs) directly from the candidates, which are eventually forwarded to the relevant departments and concerned area experts. The initial scrutiny happens at the department level. The innovative aspect of the recruitment system in an HEI is that each faculty member gets involved and is interested in the recruitment process. Even students play an essential role in providing references for exemplary faculty members. For example, both faculty members and students travel and attend conferences. They use this opportunity to identify the best talents available in the market and provide their suggestions to the HEI based on their interactions and experiences at the conferences they attend. Every faculty member in the Department has a chance to examine the CVs of the candidates and their respective strengths before recommending their applications to the next level of screening, which is at the level of the Head of the Department. Once this step of the process is complete, the application goes to the Central Selection Committee; that is, the shortlisted CVs are scrutinised by very senior management experts and academicians. The HR department simultaneously cross-checks the CVs with the references. Only the candidates whose CVs fulfil all the norms and stringent criteria laid down by the HEI for selection are called for a final interview. After their interactions with the selection committee, the shortlisted candidates are hired. As far as the selection of the non-teaching staff is concerned, it follows the regular norms of the Institute. The HEI ensures that the recruitment process is very transparent and very fair. It is crucial to ensure that the non-teaching staff is recruited based on merit and that only the best performers are recruited. In order to ensure academic excellence in any HEI, it is imperative to hire the best talents in both the domains of teaching and non-teaching. It is also essential to check the credentials of the staff against the references provided by them and their backgrounds. Another important aspect is to assess the attitude and aptitude of the employee towards his/her work and the organisation. In this context, the HEIs should also ensure that the person is a good team player and that s/he can work amicably with senior and junior colleagues. These are some essential criteria that the HEIs should ensure before selecting both their teaching and non-teaching staff.

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3.3.3 Talent Retention Talent retention is an organisational strategy to ensure the availability of competent manpower and is vital for preserving the employees’ skills. Broadly, retention improves with sound HRM policies and practices, including compensation and benefits, supportive management and culture, and balance between work and other institutional activities. At the same time, other HRM instruments like training, incentives, social welfare benefit schemes, and career development policies for employees may help reduce attrition (Darougheha et al., 2013). The benefits of efficient talent management include savings in the hiring cost, implementation of sound HRM practices and policies, an efficient and committed workforce, and improved institutional outcomes about research, teaching, and other services. A Professor from a US university commented: When a person is appointed at the junior level (as an Assistant Professor), typically, he/she needs to be given tenure right away. He/she is generally selected for six years. Sometimes, before the fifth year, a procedure is initiated to decide whether the person should receive tenure and be simultaneously promoted to Associate Professor at the end of his/her sixth year.

The participant further elaborated on the process involved, which takes into account the following factors: (i) the person’s record of research publications (judgements are based on the quality as well as the volume of publications); (ii) the record of teaching (here, the judgment is based mainly on the evaluation of the student about the relevant courses); (iii) the record of administrative services in the campus (since the above university functions based on the principle of self-governance, the faculty members take part the university’s administration at every level); and (iv) the assessment of external reviewers appointed by the university. First, a small committee of people in the department, who are familiar with the person’s work, prepares a report on the person’s performance, considering all the four considerations mentioned above. The information thus obtained is discussed in a meeting of all the tenured faculty members of the department, and a vote is taken as to whether the person deserves tenure and promotion to the position of Associate Professor. The results of the poll, as well as a detailed report on the person’s performance, go to the Dean of the Faculty, who also receives an independent assessment from the Head of the Department. The Dean adds his/her assessment to these documents. He then sends all the documents to a committee of the university (Committee on Academic Personnel), which has among its members academics from many university departments. This committee decides the tenure and promotion of the person under consideration, and the decision is then forwarded for approval to the Chancellor. If the final decision of the latter is adverse, the person has the right to appeal. Such an appeal also apparently goes through several stages. Even after a person is offered tenure and the position of Associate Professor, an exactly similar process is followed later (usually about 6–8 years after the award of the term) to decide whether he/she should be promoted to the position of Professor. The salary of the person offered the position is negotiable at the time of the initial

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appointment. Thereafter, a salary increase for a faculty member comes from two sources–one part of the salary increase is automatic (such an increase is universitywide and is usually based on inflation). The other part of the salary increase is called a ‘merit increase’, which is determined based on the person’s performance, assessed periodically. Incidentally, once a faculty member receives tenure, it is difficult to fire him/her except for proven criminal conduct. Another Professor from a US university asserted: For retention, a similar review process to the promotion is followed at both the Department and Chancellor levels. Suppose the candidate has an “offer” of better terms from another institution. In that case, the Committees will often try to match the “offer” (for example, going outside the usual salary scale of the University). An important point to note is that in recruitment/promotion/retention, the Department is the primary unit that decides. The Dean or the Chancellor can veto the decision of the Department but cannot suggest any other candidate.

The Registrar of an Indian university said: In a government-funded institution, everything is written down in black and white. There is hardly any space to retain a good performance, except for a few informal ways, including offering encouragement and support.

It is a fact that in government-funded HEIs, there is hardly any scope to retain talent. For example, there are written rules for career progression, promotion, confirmation, qualifications required for a position, and the standards based on which the skills needed by the person for the position are to be tested. Despite these constraints, there are few non-formal ways to motivate and retain talent; however, all these are individual-specific, subject to the leadership style, and not systematic. Suppose a person is a good performer and needs to be encouraged. in this case, it is possible to ensure that whenever the next higher position comes, this person is urged to apply for that position as long as the eligibility criteria are met. The challenge here is that the institute has spent much time in training and grooming the person as per the requirements of the Institute as compared to a person who would come fresh from the job market and for whom the institution would need to invest more time and resources to bring him/her up to the required level. The other nonmonetary criteria are mainly associated with motivation, encouragement, support, and creating an environment where the employees can give their best. Thus, apart from the factors of monetary compensation and promotion, it is also imperative to offer a congenial working environment and job satisfaction to the employees while acknowledging their skills and diligence, which becomes a motivating factor in ensuring the continued competence of employees. A Professor from an Indian university suggested: The critical thing for retaining good performers is the kind of work environment HEIs can provide.

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3.3.4 On-Boarding Induction is an essential aspect of the onboarding process initiated by an organisation’s HRM department. It is crucial to guarantee an efficient induction process in the institution, which would generate awareness about the institutional norms, rules and regulations, and other practices among newly recruited employees. Indeed, providing efficient and whole-hearted support to the new teaching and non-teaching employees is critical, allowing them to get used to the new environment. Such a process enables the newcomers to familiarise themselves with the institutional vision, objectives, values, and culture. The onboarding process also helps the recruits learn about the statutory and legal compliances of the institution and its relevance for the employees. An efficient onboarding process eventually benefits both the HEI and the recruits. The new employees feel valued, respected, and welcomed by the institution. Additionally, it helps the new faculty and staff members know about their roles and responsibilities and their expectations of the university (Overhold and Torres, 2019). The Dean of an Indian university remarked: As far as the faculty is concerned, there is no specific orientation programme when somebody joins the institute. The best orientation is done by the Dean, the Head of the Department, or the Chairperson, who discusses with the faculty what they are researching, their interests, and what courses they would like to teach, among other things; there is no formal orientation programme.

In general, there is no formal induction system in Indian academic institutions for either academic or non-academic staff members. As pointed out by the above participant, an informal orientation for faculty members is done by the Deans and the Department chairs. For the non-teaching staff members, the respective section officer briefs the new employee. These information orientation programmes are culturally driven and are based on institute procedures. The Vice-Chancellor of an Indian university argued: Some induction and professional training needs to be given to the teaching, and non-teaching staff as per the position s/he is supposed to hold. There has never been any procedure for formal induction. Even teaching is a complex area. One may be highly qualified or have gotten high grades in a PhD or post-doc programme. You can only be a good teacher with others. What basic norms need to be inculcated to become a good teacher? These are never imparted. So, at least one or two or three months of rigorous training should be given to the teachers.

The above remarks from a senior academic in an Indian institution highlight the importance of the onboarding or induction system in an HEI.

3.3.5 Performance Evaluation Performance Management System (PMS) is one of the critical instruments of HRM in any organisation. It helps to improve the efficiency, cost-effectiveness, quality,

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and productivity of both the employees and the university. The PMS helps identify the training gaps for the faculty and staff and further improvement required for their career development. The process also helps identify the talents and provide them with the right kind of incentives, including promotion. It helps motivate the employees and boost their morale while enhancing the institute’s efficiency and overall productivity. The PMS varies from institute to institute. In some HEIs, 100 per cent of the employee’s salary is based on the outcome of the performance evaluation. In contrast, in others, some percentage of the compensation is linked with performance management (Nisio et al., 2018). In western countries, PMS is being practised by most universities, whereas in Indian universities, it is still at a very nascent stage. In public-funded HEIs, compensation is guaranteed, while in private HEIs, the salaries are primarily based on performance. A Professor at a US university) commented: We follow a sound system of performance evaluation. It is an annual procedure for the faculty members, while it is carried out twice a year for the non-teaching staff members.

The primary purpose of performance evaluation is to ensure that the individual employee is doing his/her job efficiently and as per expectations. Discussions with the participants revealed that the performance evaluation cycles for teaching and nonteaching staff vary. Each faculty member is supposed to submit his/her performance plan to the Dean or Department Chair at the beginning of the academic year. Each individual must specifically mention the proposed work about the research, teaching, and community services the employee plans to do in that particular academic year. There are mainly three components for the faculty evaluation: teaching, research, and community services. Each individual must discuss his/her proposal with the Department Chair based on these three broad components, after which they mutually decide the distribution of each element. The element of community services includes: i) being part of the faculty committee, ii) chairing a committee, iii) being a member of a dissertation committee, iv) being a member of an editorial board or editor of a journal, and v) being part of the community board, among other things Nomination to these committees could either be voluntary or decided by the institution management. At the end of the academic year, each faculty member has to submit a selfevaluation form along with other relevant documents, and the Department Chair evaluates the individual performance of the faculty member based on his/her actual outcomes. Part of the compensation for the faculty member is also based on individual performance. A Professor from a US university commented: Apart from the promotion decisions, the performance evaluation is based on what an individual has achieved during the last year. Each year we are required to discuss my whole year programme with the Dean, and at the end, these things are evaluated by the Dean. It combines various things, including teaching, research, and other services.

The performance evaluation system in academics differs from that in a corporate or firm set-up. In a corporate, an employee’s individual performance is linked to certain Key Performance Indicators (KPIs). In academic institutions, on the other hand, it

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is understood that the faculty would try to engage in various things, including good research, teaching, and other community services. However, in some HEIs, there is no performance evaluation system, and the prevalent philosophy is that individuals are responsible for their development. Senior faculty members may take over mentoring their junior faculty members, as some institutes may not want to micro-manage. This also accords some freedom to the junior faculty to do what they want in consultation with their mentors. The Dean of an Indian university said: We have a performance evaluation system, but it could be more effective than it currently is. The main reason is that we need to be oriented on how to write the performance evaluation report. As a result, it is a routine kind of system.

It is a fact that the HEIs in India follow a government-guided performance evaluation system, which is not very effective or attractive. Some HEIs have also started linking the evaluation outcome with the promotion of the employees, though it has not yielded positive results. As pointed out by the participant above, training programmes are only held to brainstorm with supervisors and employees about using various appraisal formats. Even though the evaluation system captures some data concerning individual performance, no effort is made to identify the individual’s strengths or weaknesses. The person who writes the performance appraisal system is believed to continue to give the employee concerned an excellent or decent report even if the former may not deserve it. The supervisor often wants to avoid being seen as a lousy evaluator. In the process, even an employee putting in a subpar performance gets a promotion. Another problem is that there is no system of providing formal feedback to the employee about his/her weaknesses or strengths. The Vice-Chancellor of an Indian university remarked: For the non-teaching staff, we follow the performance evaluation process, which entails the evaluation by their supervisors. While for faculty members, we do have the practice of an evolution system, it is not taken very seriously. However, their evaluation is based on some broader outcomes, which include development of their teaching and research.

The HEI referred to in the above statement seems to follow a performance management system. Regarding the non-teaching staff, the evaluation form is supposed to be filled out by the supervisors. Albeit, some of the HEIs take the evaluation process seriously, but the HEIs in India do not rely on the performance evaluation process. Indeed, the performance evaluation process for the faculty is not being followed very systematically. Still, it is also a fact that the outcome of the faculty performance is evident with various achievements, given the great deal of diversity at the activity level. For the faculty, feedback could come from their peers. The promotions of faculty members are broadly based on the overall demonstration made by the individuals, which could also give a sense of their performance. Outside agencies also acknowledge the performances of good employees by nominating them to various committees as chairs or members. They could also be appointed as journal editors. In addition, they get several academic awards, which is another form of recognition of their

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achievements. A dissenting argument could be counter-productive to harp too much on numbers in the performance evaluation of an individual, as it could take away attention from actual work. For example, suppose a faculty member has to focus on teaching in a particular year. In that case, it may not be possible for him/her to focus on other parameters of the evaluation criterion. It is thus crucial to create an environment wherein each employee can excel and is committed to the profession.

3.3.6 Compensation Compensation management is also one of the crucial functions of the HRM unit. It refers to the reward or monetary returns an employee gains in exchange for the service s/he renders to the organisation. It could be in the form of monetary incentives such as salary, pay, incentives, bonuses, rewards, and allowances, or non-monetary rewards in the form of sabbatical leave with complete pay protection, deputation to foreign or Indian universities and other organisations, professional development allowances, and awarding of grants for conducting research or for setting up a unique research laboratory, among other things. Compensation is vital in generating job satisfaction and motivation among the teaching and non-teaching staff members. The concept of salary refers to a payment in the range of minimum to maximum monetary compensation, with an annual salary increment, which constitutes the rate for the services an employee provides. It could vary according to the grade and rank of the person in the university (Adil et al., 2020). A Professor from a US university commented: The administration sets our compensation, which is not based on some grade, cadre, or level. It is based on a few factors, including the market rate, demand, and the kind of work to be done by the individual. The compensation system has a degree of flexibility in the sense that one could work more and earn more while one could work less and earn less.

The salary system is undoubtedly different and competitive in the US HEIs compared to their Indian counterparts. For example, the compensation could be a higher salary for more work. It is also possible that the people hired in the same year and at the same level in a university are paid differently. Further, the compensation may also vary from department to department within the same university. Some schools may encourage employees to teach more executive classes and pay them higher salaries accordingly. In the US HEIs, the compensation system is very competitive, and if any faculty member perceives that s/he is underpaid, they are quite likely to join a different university.

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3.3.7 Career Progression With the advent of rapid global changes, technological interventions, and rise in overall competition, there is a huge demand for highly skilled and qualified manpower. Such a demand has, in turn, attracted a great deal of attention to individual career progression and future career progress. Indeed, career progression is a critical HRM instrument for catering to organisations’ challenging and diverse requirements, particularly universities. Accordingly, the career progression and overall development of employees are considered essential aspects by both the university and its employees. However, there are different tracks for career progression in a university for teaching and non-teaching employees (Kumar, 2009; Subashini, 2019). A Professor from a US university commented: There are different career tracks for academic and non-academic staff members. The career management of staff in the university is similar to that in the corporate world. In academics, career progression is reasonably standardised within a university but could vary across the universities. Typically, the central question is at what point one gets tenure, given that most universities have a tenure system.

The tenure system is unique in the US HEIs. It is based on very stringent norms, which form the basis for offering tenure to a faculty member. Several benefits are associated with the term ‘appointment’. Once tenured, it is tough to fire someone except for egregious actions, such as failing to perform one’s teaching obligations or harassment. In the tenure process, the university appoints an internal committee which examines the candidate’s various publications. In some cases, the committee could also ask for a report from an external expert. The above further elaborated on the career systems for non-teaching staff. The latter are usually not offered tenured positions. Still, the HRM instruments, such as career advancement schemes and performance evaluation systems, are also applicable to them in the same way as the teaching staff. Typically, a large part of the non-teaching staff (non-professional) is hired from among the local community. The Vice-Chancellor of an Indian HEI commented: In public-funded HEIs, career progression is based on the institute’s regulations and the government/UGC norms.

The policies for career progression and the promotion of teaching and nonteaching employees are procedure-driven and undertaken in accordance with the rules of the HEI. However, the head of the HEI should be granted sufficient flexibility to provide additional incentives to excellent performers or to grant out-of-turn promotions and/or incentives to outstanding performers in the institution. The gaps in this kind of performance regulation, however, account for one of the major problems that the HEIs are facing: their inability to retain talent. Thus, a clear policy is needed for the non-teaching staff to optimise their career growth in most HEIs in India. The Dean of an Indian university suggested: There are institutional policies which provide the opportunity for career growth for employees.

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There are no objective criteria for the career growth of HEI employees. In academic institutions, the academic staff have the liberty to manage their career growth, but the non-teaching staff do not enjoy such leverage.

3.3.8 Employer Branding In a world of globalisation and competition, higher education has eventually transformed the approach adopted by universities towards market orientation. Improving the university’s branding, reputation, and ranking status has become a top priority for the management of HEIs. Indeed branding has several benefits, including the acquisition of talented faculty, staff, and students at the national and international levels and the willingness of students and their parents to join the HEI and support in generating additional revenue. The marketisation of higher education has given scope for new vocabularies, such as branding, corporate communication, and reputation (Lamboy, 2011; Matongolo et al., 2018; Wæraas & Solbakk, 2009). A Professor at a US university commented: We believe in branding. My university focuses on a few factors, such as a strong belief in free speech, quality research, and best teaching. Our university faculty members have been able to win noble prizes. We attract strong students, and we also give them a good experience.

It is evident that the HEIs in the USA invest extra efforts in brand building and encourage the propagation of democracy in the universities. The Vice-Chancellor of an Indian university commented: We like to publicise the institute’s successes through press releases and other communications. And we keep a close association with all our successful alumni, which helps us to build our brand.

The HEIs in India were, till recently, not involved in the game of brand building. The HEIs were making no specific efforts to this effect. However, after globalisation, rising competition, and introducing a ranking framework among them, most HEIs have started working towards brand building. There are various ways in which HEIs can build their brand. The first and foremost among these is by enhancing the quality of their teaching and research. Another factor is the alumni’s success and involvement in various vital forums in the government and the industry sector. If the alumni of a particular HEI are involved in critical decision-making forums at the national or international level, it helps to reinforce the brand. An essential pre-requisite is to maintain standards within the HEI, which will, in turn, enable the HEI to sustain the smooth functioning of all its processes. It will also constantly engender a positive impression about the institution because of the success of its alumni in various walks of life, the initiatives being taken by the institution, and the support it offers for various activities or even to the government. The Vice Chancellor of an Indian university remarked:

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Presently, we need clarity on the branding part. However, in the future, in the coming years, if we do not do that, we will not survive. We must devise ways to pursue the branding exercise, as it is essential for the institution’s development. That will also help improve our standards, experiences, and efforts.

3.3.9 Flexibility Flexibility at the workplace benefits employees in maintaining a delicate balance between their personal and professional lives, eventually leading to motivation and positive performance from individuals and better outcomes for the organisation. Flexibility also implies minimum control and allows the faculty, staff, and students to plan their work assignments individually and in collaboration with the other team members. Organisational flexibility includes devising a coherent strategy, and managerial tasks, dealing with labour and communication, and ensuring structural flexibility in the organisation (Ceylan, 2001; Uslu, 2017). The Professor of a private international HEI said: In our system, we give more freedom to the faculty, particularly the junior faculty, which helps them to grow fast.

Here, the above participant highlights that the HEI extends its full support in providing flexibility to the employees. A Registrar from an Indian university said: We allow some flexibility. We get the best students and have to deal with them softly and give them some flexibility. However, flexibility sometimes becomes challenging because of where to draw a line. Maintaining a balance in flexibility is a challenge, mainly when dealing with the expectations of the faculty and staff.

The above participant elaborated on some constraints that emanate from constant extending flexibility. The faculty often perceive that the administrative structure in their organisation restrains their academic ambitions. Convincing them that it is a misperception is a considerable challenge, particularly because the institution is accountable for the usage of the public money that it spends. The faculty is also obliged to defend all the decisions taken by the institution.

3.3.10 Autonomy Maintaining autonomy in a university is crucial for ensuring its overall development, academic excellence, and modernisation. Further, reducing the amount of political and bureaucratic control in an HEI is imperative. Granting autonomy to an HEI facilitates a society’s and its stakeholders’ overall development. The prevalence of independence and autonomy in a university also plays a critical role in the innovations it may achieve. It is also important to provide autonomy to the university in all the

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spheres of its functioning, particularly in organisational and financial matters and staffing and academic decisions. The Registrar of an Indian university averred: We have complete autonomy as far as the academic and curriculum design is concerned. The institute also takes an internal call about the kind of research that we need to take up. However, there are limitations as far as the financial and governance decisions and recruitment of manpower are concerned.

In public-funded HEIs, most institutions have complete autonomy on the academic and research fronts. Regarding organisational independence, the HEIs are supposed to follow whatever is prescribed in the statutes. However, suppose the HEIs want to take up new initiatives for which the bye-laws have no provision. In that case, the proposal must be referred to the higher authorities, including the Board of Management and other regulatory authorities. There are usually limitations associated with government funding of HEIs because the government grants a significant chunk of funds. There are limitations regarding initiating new HRM policies because the salary structure and other HR schemes are broadly based on the recommendations of the Pay Commission and government orders.

3.3.11 Hierarchy In many universities, there are two types of hierarchy systems: a flat structure for faculty members and a vertical structure for the staff. In the flat hierarchy system, the management has little role to play in supervising the day-to-day academic affairs. Such a structure also increases the roles and responsibilities of the faculty members, enabling the teaching community to take faster decisions. The flat structure has minimal management and administration participation layers, facilitating limited paper flow, fewer labour costs, communication, and coordination. A flat hierarchy structure also empowers and motivates the employees. The vertical organisational structure is a top-down management approach like a pyramid, In which the roles and responsibilities are well defined. In such a structure, the top academic administrators have the highest leadership responsibility, followed by the responsibilities for employees at the middle and other levels employees (El Talla et al., 2018; Hamzeh, 2018; Keeling et al., 2007; Madi et al., 2018). The Vice Chancellor of an Indian university commented: We have a flat hierarchical structure for the faculty, which has been our strength. However, the hierarchical structure may also depend on the faculty size.

The participant also highlights that the faculty’s flat or horizontal structure has been their strength. Although it accords some freedom to the faculty members, the younger faculty members still need to be groomed by their senior colleagues. Larger HEIs, on the other hand, may face some challenges concerning the flat hierarchy structure.

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References Adil, H., Rao, C. K., Ayaz, M. Q., & Shinwari, A. (2020). Effect of compensation packages on job satisfaction and employee retention: A case of Jalalabad-based Private Universities of Afghanistan. Asia Pacific Journal of Multidisciplinary Research, 8(2), 26–35. Albrecht, S. L., Bakker, A. B., Gruman, J. A., Macey, W. H., & Saks, A. M. (2015). Employee engagement, human resource management practices and competitive advantage: An integrated approach. Journal of Organisational Effectiveness: People and Performance, 2(1), 7–35. Bondarenko, O. R. (2022). Higher Education Goals and University Ranking: Random Variables? Journal of Education and Development, 6(1), 11. Bratton, J., & Gold, J. (2007). Strategic human resource management. Palgrave Macmillan. Budhwar, P. S. (2013). Human resource management in India. Routledge. Ceylan, C. (2001). Örgütler için esneklik performans modeli olu¸sturulması ve örgütlerin esneklik analizi. Unpublished doctoral dissertation, ˙Istanbul Technical University, ˙Istanbul, Turkey. Conrad, C. (1974). University goals: An operative approach. The Journal of Higher Education, 45(7), 504–516. Darougheha, S., Pashandi, A.M., Hooman, A., Khanmohammadi, M. (2013). The impact of HR practices on Lecturers’ Turnover Intention: A study of educational industry in Malaysia. Interdisciplinary journal of contemporary research in business, 4(9), 958–967. Retrieved from http:/ /journalarchieves27.webs.com/958-967.pdf. El Talla, S. A., Al Shobaki, M. J., Abu-Naser, S. S., & Abu Amuna, Y. M. (2018). Organizational Structure and its Relation to the Prevailing Pattern of Communication in Palestinian Universities. Finegold, D., & Frenkel, S. (2006). Managing people where people really matter: The management of human resources in biotech companies. International Journal of Human Resource Management, 17(1), 1–24. Guest & Clinton (2007), Human Resource Management and University performance, Research and Development Series, Leadership Foundation for Higher Education. Hamzeh, L. A. (2018). Factors affecting the transition to flat organizational structures. Tpydy BGTU. Cepi 5: konomika i yppavlenie, (1 (208)), 139–141. Joubert, S. (2018). Working in Industry vs Academic: Which is Right for you? Northeastern University, Graduate Programs. https://www.northeastern.edu/graduate/blog/working-in-industry-vsacademia/ Keeling, R. P., Underhile, R., & Wall, A. F. (2007). Horizontal and vertical structures: The dynamics of organization in higher education. Liberal Education, 93(4), 22–31. Klein, H. J., Polin, B., & Leigh Sutton, K. (2015). Specific Onboarding Practices for the Socialization of New Employees. International Journal of Selection and Assessment, 23(3), 263–283. https:/ /doi.org/10.1111/ijsa.12113 Kumar, A. (2009). Personal, academic and career development in higher education: SOARing to success. Routledge. Lamboy, J. V. (2011). Implications of branding initiatives in higher education among trademarked institutions in california. University of San Francisco. Madi, S. A., El Talla, S. A., Abu-Naser, S. S., & Al Shobaki, M. J. (2018). The Organizational Structure and its Impact on the Pattern of Leadership in Palestinian Universities. Matongolo, A., Kasekende, F., & Mafabi, S. (2018). Employer branding and talent retention: perceptions of employees in higher education institutions in Uganda. Industrial and Commercial Training. Nisio, A., Carolis, R. D., & Losurdo, S. (2018). Introducing performance management in universities: The case of a university in Southern Italy. International Journal of Management in Education, 12(2), 132–153. Patton, C. (2007, January). HR and higher ed: Same page or different books? University Business, 10(1), 23–24. Pausits, A., & Pellert, A. (Eds.). (2007). Higher Education Management and Development in Central, Southern and Eastern Europe. Waxmann 109–115

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Rao, T. V. (2014). Evolution and evaluation of human resources function in India: A balance sheet. South Asian Journal of Human Resources Management, 1(1), 91–108. Sodhi, J. S. (2014). Human resource management in India. In The Development of Human Resource Management Across Nations, 211–235. Edward Elgar Publishing. Subashini, J.K.W. (2019). Career Development for Performance Enhancement of Non-Academic Staff in Higher Education Institutes. Development of Career & Teaching-Learning Environment in Higher Education. Publisher: Staff Development Center, Wayamba University of Sri Lanka Ulrich, D. (2013, Fall). Redefining Our Roles. The Higher Education Workplace. The College and University Professional Association for Human Resources 2 (5), 26. Uslu, B. (2017). Organizational flexibility of Turkish universities: Evaluations in the institutional reports of European University Association. Pegem Egitim ve Ogretim Dergisi = Pegem Journal of Education and Instruction, 7(2), 231. Wæraas, A., & Solbakk, M. N. (2009). Defining the essence of a university: Lessons from higher education branding. Higher Education, 57(4), 449–462. Wagner, E., Alves, H., & Raposo, M. (2011). The process of change in university management: From the “Ivory tower” to entrepreneurialism. Transylvanian Review of Administrative Sciences., 7, 124–149. Walker, H. J., Feild, H. S., Giles, W. F., Armenakis, A. A., & Bernerth, J. B. (2009). Displaying employee testimonials on recruitment web sites: Effects of communication media, employee race, and job seeker race on organizational attraction and information credibility. Journal of Applied Psychology, 94(5), 1354–1364.

Chapter 4

The Strategic Human Resource Management Model

Strategic human resource management (SHRM) involves managing human resource functions in line with the organisation’s strategic objectives to ensure progress and success. The success of SHRM lies in the ability of an organisation to define its mission and roadmap. The more precise and accurate the definition is, the more focused the HRM practice employed. Studies have revealed that high-performing organisations practice SHRM (Wolf-Wendel, 2012; Wright et al., 1992). This chapter discusses the significance of SHRM in organisations and its relevance in the higher education sector. Wright & McMahan, (1992, p. 292) describe SHRM as “the pattern of planned human resource deployments and activities intended to enable an organisation to achieve its goals”. As human resource management evolved, organisations began to realise its strategic role in the success of an organisation (Wright & McMahan, 1992; Wright & Snell, 1991). Two seminal publications of 1984—Strategic Human Resource Management by Fombrun, Tichy, and Devanna and Managing Human Assets by Beer, Spector, Lawrence, Mills, and Walton—popularised SHRM during the 1990s. The outcome of the research brought to the fore two themes: (1) utilisation of strategic approaches in the development and operation of the HR functions (Delery & Doty, 1996; Ulrich, 1997) and (2) a shift in perspective from employees as production tolls to employees as human capital assets enabling an organisation to create measurable values (Wright & McMahan, 1992; Wright et al., 2001). Earlier theories on SHRM came to limelight when US companies faced the challenge of competing with companies in countries such as Germany and Japan (Kaufman, 2015). Several studies confirmed that HR management could help organisations to be more competitive by being more strategic (Lawler & Mohrman, 2003; Ulrich, 1997). The main goal of SHRM is to ensure that the culture, style, and structure of an organisation and excellence, commitment, and motivation of employees are channelled towards the achievement of organisational goals (Armstrong, 1992; Danish & Usman, 2010; Kuchava & Buchashvili, 2016; Yaseen, 2013). SHRM aims to transform an organisation’s strategic objectives into human resource policies to result in © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_4

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maximal benefits (Tyson, 1995). The strategic design helps to focus on group efforts. In this process, the mission and objectives are set for an organisation to ensure that its resources are effectively utilised to achieve them, by aligning the human resource function with the strategic purposes of the organisation to ensure growth (Abella, 2004). Ulrich (1997) recommends the following methods so that the human resources function adds value to the organisation: 1. Swift implementation of strategies rendering the business more convenient and adaptable; 2. Strategically aligning policies and practices with the expected outcome to ensure organisational efficiency; 3. Effective execution of the strategy to improve organisational performance. Ulrich (1997) likens HR professionals to strategic partners who help design the organisational strategy, transform the strategy into action, and design practices that align with the business strategy (Ulrich, 1997). According to Armstrong and Taylor (2014, p. 26), strategy has three fundamental characteristics: (i) forward-looking, (ii) striving to achieve strategic fit, and (iii) recognising the organisational capability as a function of its resource capability. The first characteristic is about deciding the destination and the journey. The second characteristic of the strategy is that it aims to achieve strategic fit—the needs when developing functional strategies such as HR to achieve congruence between them and the organisation’s business strategies within the context of its external and internal environment. The third characteristic is the recognition that the organisational capability of a firm (its capacity to function effectively) depends on its resource capability (the quality and quantity of its resources and their potential to deliver results). Tamer and Singh (2013) argue that an active involvement of SHRM in an organisation’s strategic planning also enhances financial performance and reduces employee turnover in financial institutions. While highlighting the importance of the evolution of HRM to strategic HRM, (Recardo, 2016) suggests a model for transforming HRM into a performance-driven strategic system. Sondhi and Nirmal (2013) emphasise that SHRM is instrumental in organisational success regardless of the nature and status of an organisation’s business, highlighting the effectiveness of SHRM once its functions are linked with the organisational business strategy.

4.1 The Relevance of SHRM to Higher Education While HRM plays a substantial role in the strategic development of the corporate sector in America (Patton, 2007), incorporating the concept of strategy in academic institutions started gaining popularity in the US higher education institutes (HEIs) in the early 1980s when funding became scarce (Mortimer, 1985). The situation forced a considerable change in the states and higher education in the USA as the federal government decided to limit its involvement in HEIs. However, it varied from state to

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state, but the average support provided over 35% of the operational cost to fund the HEIs. The state governments inherited this substantial financial burden. Thus, they were forced to consider reform and improved institutional accountability and explore HRM to address the pressing need for the financing of salaries, wages, and other benefits, which accounted for approximately 70–80% of the total budget (Digest of Education Statistics, 1997). Keller (1983) seminal work, Academic Strategy, encouraged the US higher education system to upgrade its policies and procedures and to engage in better planning and proactive decision-making, persuading them to modernise the HRM. Most HEIs responded affirmatively to the clarion call to modernise the HRM, which led to the evolution of HRM into a strategic HRM in the US HEIs. Pausits and Pallert (2007) and Guest and Clinton (2007) noted that upgrading personnel management or HRM to strategic HRM in public-funded HEIs is met with challenges. Unlike corporates and other organisations, where it is easier to achieve this conversion, public HEIs function on rigid systems due to their tight regulatory framework and governance model, which renders any innovation in management strategy challenging. Evans and Chun (2012), while highlighting the importance of strategic HRM in higher education in an era of severe budgetary constraints, noted that public colleges and universities were “struggling to realign resources and programmes to fulfil their educational mission and maintain academic quality”. The authors point out that private industry has been progressing well at the same time. However, the publicfunded higher education sector was slow to show results even though human capital investment is the most significant expenditure in the higher education sector. Evans and Chun (2012) conclude that those HRM units in HEIs need to focus on developing high-performing organisations and shift from transactional, focused operations to strategic, inclusive models that serve the entire institution. They also argue that the student population expanded in terms of demographic representation, non-traditional students, and those requiring remedial preparation. Given the enrolment pressures and the importance of delivering high-quality education to an expanding population of students with diverse needs, they conclude that reprioritising a university’s scarce financial resources is the need of the hour and that state-of-the-art transformational HRM functions will more effectively assist in the functioning of HEIs. The substantial economic problems that arose due to the enormous reduction in state and federal funding for public research and universities proactively generated an urgency for HEIs to shift from transactional HRM to transformational HRM. Innovative and transformational HRM to develop organisational capabilities, lead cultural change, and optimise talent resources is integral to sustaining public research in HEIs. Moreover, a strategic HR department that focuses on building organisational capabilities will help an HEI withstand the shrinking budgetary resources by realigning its talent resources. The resultant spare capacity will contribute to institutional viability and agility in the current economy and will assist public research universities in fulfilling their educational mission of teaching, research, and service.

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According to Dunkin (2005), six critical elements could help address the competition challenges and retain high-quality, creative people in the organisation: 1. Determining how many people are needed, what they need to do, how they need to do it, and how to configure and manage them; 2. Analysing skills needed and addressing any shortfalls; 3. Attracting and retaining high-quality staff; 4. Managing staff performance; 5. Rewarding and acknowledging performance; 6. Developing staff. Smylie and Wenzel (2006) examined the dynamics that impact the effectiveness of teaching/learning processes in Chicago universities. Their study reveals that SHRM practices such as teaching staff recruitment and induction, vocational development training, communication, evaluation and reward positively and substantially impact organisational performance. They conclude that “strategic HRM practices hold promise for promoting instructional improvement. Particularly salient in such systems are concerns of fit and flexibility. Fit emphasises the importance of aligning a cohesive and strategic set of HRM practices with the school’s teaching and learning frameworks. Flexibility emphasises the importance of variability in HRM practices to accommodate the diversity and dynamics of teaching faculties and the need to address changing demands from the external environment”. According to Van den Brink et al. (2012), critical strategic HRM instruments in higher education include the recruitment and selection process and talent management. However, their study reveals that execution and implementation remain satisfactory even if the HRM team takes the initiative to design templates and frame rules and regulations, procedures, and policies. The authors assert that this is one example that highlights the poor condition of HRM in HEIs.

4.2 Human Resource Management System in Indian HEIs Most HEIs in India do not have a human resource management department even though most of India’s central and state universities each have 500–1000 faculty members and 500–2000 non-teaching staff members. The absence of a HR department, however, “does not mean that these institutions do not perform any HR functions, but rather that a section/unit of the Registrar’s office of the university undertakes these roles” (Mittal, 2008). The academic and administrative units carry out human resources planning. Some universities have a recruitment cell headed by the assistant Registrar or deputy Registrar. The HEIs are managed by faculty members who are assigned administrative responsibilities in addition to their primary duties of teaching and research. In contrast, in some HEIs, these responsibilities are carried out by administrative employees who have been promoted from a junior rank to a senior rank. However,

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this is an ad-hoc arrangement and inadequate to take care of the professional management requirement of the HEI. Training programmes are inadequate for both faculty and non-teaching staff. The absence of professional human management systems in Indian HEIs leads to a failure to provide professional training to their employees, particularly the non-teaching staff. Not only is the HRM system absent in many universities, but even where present, it is not well-defined. Most HEIs manage their human resource management needs with the help of establishment departments without any professional or well-trained HRM expert in these departments. The role of the establishment department is limited to recruiting academic and non-teaching staff (Punia, 2002). The author Punia (2002) argues that it is inefficient for administrators or academicians to manage such tasks as the effective execution of these tasks needs better training. Such professional jobs require specialised human resource experts. Private-funded HEIs have established professional HRM departments even though these are hugely expensive. On the other hand, because government-funded institutions need to remain affordable for ordinary citizens, they cannot establish a separate HRM department, manage their human resources efficiently, and keep up with global challenges and competition from the private sector. The primary objective of HRM is to maximise the return on human capital investment with minimal financial risk. HRM in the corporate world assumes many roles. When applied to HEIs, HRM practices and policies must be modified to fit into the higher education sector. Recruitment and placement are two fundamental HRM instruments. However, without proper HRM departments, the current recruitment processes in HEIs are inefficient, and vacancies in state-funded HEIs have not yet been filled due to bureaucratic issues and pending clearances from the government. The author, Menon (2015), also makes a case for robust induction, training, and development programmes. Currently, training programmes for faculty and staff are only minimal. Menon (2015, p. 13) further states that “these need to be updated and made more practical and relevant so faculty can gain from such programmes. Soft skills training is necessary because educational institutions are people places, and in a competitive scenario, people skills are prime”. There is a pressing need for good performance management, which facilitates employees to work now only towards their self-development but also towards the goals and objectives of the institute. Given that each HEIs has its objectives and goals, the existing performance evaluation management system must be replaced with performance evaluation parameters explicitly designed for the institute. Uniform systems across HEIs may be more effective. The author, Menon (2015), also highlights the need to review the existing compensation systems in HEIs. While employee relations are the core HRM function in any organisation, the existing system of employee relations and the centralisation of powers deter the HEI’s success. HEIs must build HRM and transform administrative functions into strategic ones, enabling HEIs to attract efficient manpower, professionalise the HRM system, and perform better (Menon, 2015). HEIs should strive for knowledge dissemination and deploying human resources, which will propel a nation’s socioeconomic development. To this end, university

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faculty and nonteaching staff should be motivated and empowered. To achieve this goal, the existing HRD practices and policies in HEIs should undergo complete restructuring and revamping. The role of employees in HEIs has become more demanding and complex, given the manifold increase in the number of universities. Ahmad and Mir (2012) observe that community expectations of the quality of education have increased enormously as quality education will guarantee a better future. The authors call for revamping the HRD policies in the HEIs and creating a conducive work atmosphere to enable HEI employees, faculty, and staff to remain committed and focused and help the nation’s overall development. Vasitha and Chauhan (2011) highlight that professionalism is critical to an organisation’s success. They point out that the administration in HEIs is not satisfactory as they lack professional management systems. Even though HRM and organisational behaviour are taught well in Indian HEIs, they still lack professional organisational systems. Administrators are busy with mundane routines instead of developing good HRM practices and creating a motivating environment in HEIs. There is also confusion about the role of HRM and who should be responsible for building HRM systems. The three significant HRM components are (i) humans, (ii) materials, and (iii) finances, with human resources being the most important and most complex component. The authors Vasitha and Chauhan (2011) point out that the primary responsibility of HRM in an HEI is to ensure proper utilisation of human resources and their efficient and effective management. In this direction, the broad role of the HRM in an HEI could be (a) recruitment and selection processes, which will contribute to the overall development of the organisation, (b) developing a conducive work environment, which in turn will motivate the human resources, (c) ensuring proper utilisation of the skills and abilities of the employee to achieve organisational goals and (d) maintaining a good balance between the goals of the employee and those of the HEI (Vasitha & Chauhan, 2011). According to Muralidhar and Gopal (2016), a paradigm shift is needed to transform the higher education sector’s human resource management systems. Given the change in the perspective of HEIs as a business and technology-driven industry, recruiting the right human resources and imparting them the necessary training and development is imperative. The present condition of HEIs being conservative regarding HRM systems needs to change. The authors Muraliadhar and Gopal (2016) point out that e-recruitment could be adopted as an innovative HRM practice, which would time and other hassles. They strongly argue for the induction training of new employees to help them understand and acquaint themselves with the rules and regulations, systems and procedures. Faculty members in HEIs need good training in technology, etc. Maximising teachers’ competency should be the top priority for HEIs. The authors, Muraliadhar and Gopal (2016), highlight that the current standards of faculty members are arbitrary. The compensation is also very minimal compared to the other sectors of the economy (Muraliadhar & Gopal, 2016). While noting that there has been a massive increase in HEIs in India during the last few years, Kejriwal et al. (2019) suggest that it is essential to ensure the proper deployment of employees in the HEIs. They argue that HEIs must recruit HR professionals and build a dedicated HRM department to meet the demands of globalisation and

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the consequent competition. The main objective of such a department should be to uplift the faculty and staff’s motivation and job satisfaction and minimise employee attrition. The authors further recommend that HRM professionals could help change employees’ attitudes, share responsibility, and hire human resources from different countries (Kejriwal et al., 2019). Adenike (2011) warns that HEIs cannot afford to ignore the critical aspect of the HR agenda: keeping employees motivated ultimately helps their retention. Indian HEIs have suffered immensely due to rotating headships and automatic employee promotions. The rotation system started in 1970 at the University of Delhi. Singh (2020) states that “almost everybody gets promoted regardless of merit and heads of departments are appointed by rotation, so all promoted get to be HOD without being qualified or suitable”, highlighting that HRM systems in Indian HEIs are inadequate and ineffective and that promotions are not granted on merit. Even the rotation system of the heads of the departments is not based on merit. Patrick and Sebastian (2012) surveyed 249 teachers from aided, private, government, and unaided colleges in terms of the formulation of policies, definition of institutional hierarchy, individual responsibilities, effective and efficient recruitment methods, and a policy for equal opportunities to interact with the management to provide suggestions, collective decision-making, and efficient grievance redressal mechanisms. Their study finds a substantial and positive correlation between HRM systems and employees’ organisational commitment and recommends that good HRM practices could enhance the academic staff’s dedication. The HEI leadership should take initiatives in this direction and focus on developing and professionalising HRM. This initiative will help the HEI to build a sustainable and competitive environment in the institution.

4.3 Voices from the Field (Indian Experience) We interacted with principal stakeholders (Vice-Chancellors, directors, deans, faculty, and Registrars) and the key themes that have emerged from the discussions are detailed, illustrated, and presented with their comments. Each of the emerged themes amplifies the voice of the respective participant. The objectives and related research questions have led us to many helpful research findings: First, there is an imminent need to understand the importance of professional HRM systems and upgrade the organisational structure of HEIs. Second, the need of the hour is to modernise HRM functions, adopt flexible and proactive policies and practices, and recruit welltrained professionals with good experience in managing academic administration. Third, HEIs cannot continue with the existing system of establishment departments. Finally, an empowered strategic HRM model must be immediately established to tackle global and domestic challenges. The in-depth interviews generated the following six themes: (1) structure of human resource management, (2) recruitment and selection processes, (3) training and development, (4) career progression, (5) performance management, and (6)

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retention systems. On the other hand, one key theme—strategic human resource management—emerged from discussions.

4.3.1 Structure of Human Resource Management The efficient functioning of HRM practices and policies in HEIs needs a structured human resource management unit. The team needs adequate and well-trained professional human resources to function effectively in the HRM unit. According to Evans and Chun (2012, p. 2), “In the current unstable economic environment, leveraging HR strategy in higher education is more critical than ever in sustaining competitive advantage through talent preservation, development, and maximisation”. In any university, three resources are essential: humans, finance, and infrastructure, with human resources being the most critical. It is believed that the success of any university is mainly due to its quality of human resources and the recognition that HRM is the heart of the academic administration (Jones & Walters, 1994). HRM is responsible for building values by developing intangible organisational capabilities and eventually making these capabilities tangible through systems (Ulrich & Brockbank, 2005). Academic and staff responsibilities are typically classified according to the HEI statutes and individual responsibilities. HRM provides complete functional services to the staff while their role is limited to supporting the faculty related to the benefits, such as compensation, insurance, and retirement benefits (Evans & Chun, 2012). All the stakeholders interviewed emphasised the importance of HRM functions, sharing their expectations from HRM and experiences about the problems they face with the existing systems, especially in the absence of a dedicated professional HRM team. At the same time, some interviewees also provided suggestions about how HRM could play a strategic role in HEIs. To begin with, one participant (Vice-Chancellor of a public HEI) threw immense light on the structure of HRM in HEIs and areas where they fall short as well as highlighting two key issues: The system of HR or whatever the administrative setup we call presently in most HEIs in India is inadequate. There has to be a separate HR department in a university.

The voice emphasised unequivocally that the existing administrative structure in HEIs is insufficient and needs to be modernised. There is a massive shortage of human resources, including faculty and staff. Additionally, HRM does not play a strategic role. The need of the hour is dedicated professional HRM since the existing structure does not satisfactorily deal with the challenges, especially concerning changes in global higher education. The significant challenges from the HR point of view include a lack of recruitment drive, financial constraints, lack of training for employees, and a high degree of mediocracy among employees. There is a lack of creativity and resistance to change and innovation. The participant strongly believes that these issues become stronger by day because of employee unions and the job security after

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an employee becomes a permanent employee. Because of these reasons, making changes in the mental set-up has remained a challenge. The voice also highlighted two key issues. The first issue relates to decisionmaking abilities/inclination: every employee, whatever position he or she holds, has specific duties and powers. However, it is observed that employees do not exercise their powers as per their job description. They fear punitive action by their superiors if something goes wrong, fearing that this would reflect badly in their annual appraisal, which could, in turn, bring hardships in future promotions. Therefore, the inherent feeling of employees is to play safe. Barring a few, most employees are reluctant to take decisions. Second, in government-funded HEIs, an appropriate employee database needs to be prepared, and a repository to preserve intellectual/research output needs to be created for future reference; therefore, the need for need-based assessments does not arise. Moreover, good relationship should be established with the stakeholders. Another participant (faculty member of a public HEI) commented: We don’t have a dedicated HR. It was required yesterday, but we need it urgently now. The public-funded universities lack HRM.

A professional HRM team may facilitate the transformation into more efficient and productive faculty and staff. Research being a critical responsibility of HEIs, research projects awarded to an institution require immediate attention. The efficient support of HRM becomes crucial to ensure that the required human resources are quickly recruited. It may not be appropriate and efficient for an organisation to involve the faculty in handling its administrative responsibilities. It will restrict and impose upon faculty time for teaching and research. The participant expressed that the key HR challenges faced by the HEI were at the department level and indicated that a scarcity of human resources and a lack of recruitment drives as two key challenges. While there are many interested candidates, recruitment decisions cannot be taken at the department level as they lie within the centralised system created by the university. The third challenge highlighted by the voice is the uncertainty about the promotion of employees. Although the faculty knows their competency sets, there should be a guarantee that their competency is rewarded. Several faculty members can find better openings in privately funded institutions, and indeed private universities have already recruited some faculty members from public HEIs. Fourth, without IT resources and infrastructure, HEIs cannot provide internet access to students on campus to enable access to academic resources. Better tutorial support is also the need of the hour but is out of the ambit of HRM-related roles. Another participant (Dean of a public HEI) remarked: Our dedicated human resource management department takes care of all the HR aspects of the non-teaching staff and supports the faculty in HRM-related matters. The Dean of HR leads the department. We also have a position of Dean Faculty, who takes care of all the aspects of the faculty.

The participant further elaborated on the role of the Dean, HR, mentioning that the Dean’s responsibilities include recruitment, staffing, training and development,

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promotion, improving campus staff and faculty relations, and welfare schemes. In addition, the Dean designs HRM policies in consultation with the concerned staff members. Although the Dean Faculty make faculty recruitment decisions, HRM efficiently supports recruitment. The HRM department supports the other HR concerns of the faculty as well. The voice highlighted several grievances that prevailed when he took over as the Dean HR. Through discussions with the affected staff, he identified the issues and challenged the employees faced. Accordingly, he helped draft new HRM policies for recruitment and hiring procedures, performance and reward management policies, training and development schemes, communication and counselling, salary and benefits administration, human rights and labour laws, grievance redressal, and the code of conduct. The campus atmosphere improved after these new HRM initiatives were introduced and implemented. The overall performance of this HEI has been excellent, unlike other HEIs, and it is evident that HRM facilitates the organisation’s overall efficiency. Another participant (Vice-Chancellor of a public HEI) narrated: We have systems in place which take care of various HR functions. There are offices/sections assigned to perform different functions of HR. For example, service matters are entrusted to one unit; salary administration is entrusted to another section. We don’t have a dedicated department titled Human Resources Management. However, I am going to seek permission for an HRM unit.

The interviewee revealed that public-funded HEIs follow HRM practices in parts but not concertedly. HRM tasks are distributed among various sections, including the establishment section, administration, the Registrar’s office and the Dean’s office. They are sometimes assigned to the general office staff, who are not usually welltrained in HRM practices. The participant highlighted the HEI’s HR challenges, such as performance appraisal systems, reward management systems, employee welfare measures, knowledge management systems, and career planning. Another participant (Dean of a deemed to be university) commented: I have never heard of HR functioning in any academic institute that I have either worked for, or we have hired. This is a new concept.

The participant was surprised that the HRM system exists in an academic institution. The HEI seems satisfied with the existing administrative set-up, and the participant was not forthcoming about the possibility of making any innovations. The voice opined that an HR department is unnecessary as long as people know their responsibilities, which reveals that the HRM concept is not familiar in many HEIs. Another participant (Vice-Chancellor of a private HEI) commented: We have a full-fledged HR department. It is not just about hiring but more about retention. Although the experience has not been very satisfactory, it is ongoing. If you take efficient people interested in HR roles, they come from the corporate sector and have no idea about academia.

The critical understanding that emerges from this voice is that an HEI’s functioning is unique and distinct from the corporate or any other sector. Therefore,

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finding suitable well-trained professionals to manage the HRM aspect becomes challenging. Managing the staff could be relatively easy for HRM professionals; however, managing the faculty members could be tricky given the culture of HEIs, which is different from that of corporates and advanced countries. Although some private HEIs have started building dedicated HRM teams, they are still nascent. The critical HR challenge HEIs confront is the level of understanding that the HR team and other non-teaching staff have about the support required by the HEI. The participant cited a practical example: if a faculty member is invited to participate in an international conference and requires visa support from the office team, the request first goes to a section officer, who may not have been to abroad ever. They sit over the request, and then, with little to no contribution, they pass it on to their superiors. The lack of initiative to speed up the process practically boils down to a lack of incentives. The voice highlighted a divide between non-teaching and teaching staff. They need to understand what each other is doing, and the participant felt that it was a big challenge. Another participant (Dean of a private HEI) commented: We need to recruit faculty members, teaching assistants and administrative positions. We always filter out and invite applications. Once applications are invited, we take the help of HR in doing all back-office work, like scrutiny of applications. HR plays a significant role’.

The Dean stressed that the HEI’s HR challenges are reaching out to capable candidates and recruiting them. The participant emphasised that the lack of understanding of the functioning of academic institutions by HRM teams is one of the primary challenges. This was because of their HR team’s experience in the corporate world. Another participant (director of a private HEI) commented: We have a dedicated HR department at the institute level because we have more than 1000 teachers and support staff. You can’t do that without an HR department.

The above voice reveals the existence of a dedicated HRM in private HEIs. Currently, HRM provides better assistance and back-office support; it is yet to play any strategic role. Retention and timely promotion of good human resources are the main challenges this HEI faces. Another participant (Vice-Chancellor of a public HEI) voiced: Although my university is a minimal set-up, I served about 37 years in a traditional University. It is essential to have a specifically dedicated HR department. That is essential because what is happening is that the moment we join a service, we know what our date of retirement is. However, we start the process of recruitment after one retires. It is terrible, and in between, it is dual suffering. We have to bring ad hoc staff, which starts with the individual problem. It becomes a family problem, an institutional problem, and ultimately a national problem.

The participant further elaborated on the challenges that HEIs face due to inefficient recruitment systems. HEIs do not have a succession plan. Even though many faculty members and non-teaching staff retire, HEIs recruit human resources on a short-term basis. The ad-hoc team fills these vacancies without a plan to recruit a replacement well in advance. Such ad-hoc replacement creates a considerable challenge in the handing over and taking over of tasks. The voice emphasised that an

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HR department can execute a proper succession plan and ensure smooth handing over and taking over arrangements. The recruitment process may begin well in advance. Accordingly, replacement appointments could be made before someone leaves, enabling smooth transition. Following are the HR challenges that the HEI is confronting: • The existing education system has never addressed the importance of capitalising on a person’s experience. If a person is in good health, there should be a system to retain the experience. • There is a lack of financial support by the government to HEIs. A nation has to focus on two important directions in order for it to progress: public health and education. Government universities are not performing well due to a lack of funding. On the other hand, the government wants the university system to focus on events, which may not be that important. • India’s HEI performance ranking system is not comprehensive, and there is no clarity about good and poor performers. Another participant (Registrar of a deemed to be university) remarked: We do not have an HR department, but we have an establishment department that takes care of the complete work-life cycle of the employee.

The voice further said that an HEI’s critical challenge concerns with its rules and regulations. It is challenging to convince faculty members to follow the rules and regulations. Another participant (Vice-Chancellor of a deemed to be university) commented: We do not have a dedicated HRM department, and I strongly feel we need an excellent professional HRM department. However, I am not in favour of centralising all the powers in one department, and we should decentralise the powers but have professional human resources. We lack the administrative, human resource-related efficiency, which will undoubtedly help in the long run.

While agreeing to create an HRM structure, the participant is also exercising caution by recommending that HEIs should not centralise all powers into a single department. According to this participant, the following are the three challenges that the HEI is facing: • maintaining a balance in adopting flexible systems while ensuring that rules and regulations are followed, • lack of professional systems, both academic and non-academic, • governance challenges in appointing internal committees because employees prefer to be in well-functioning committees only. Another participant (Vice-Chancellor of a public HEI) commented: Yes, there is the need to have a dedicated HRM structure. We are continuing with the old systems created by the British rulers.

The voice highlighted three valuable points: First, the practice of similar incentives for permanent, contractual, and ad-hoc employees across the board is not effective.

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There is a need to have heterogeneity in HR practices. The participant cited an example: The HEI wanted to conduct a training course for its employees of the finance department. But not all employees of this department showed interest. Even the ad hoc employees did not see it as an opportunity to enhance their skills. Second, high standards and efficiency levels need to be maintained. Third, the promotion process is archaic, following the legacy from the British era wherein an employee should have worked x number of years to get a promotion. On the other hand, people. Another participant (Registrar of a public HEI, INI) remarked: We have recently reoriented ourselves from administrative functions to Human Resource Management Systems. We have segregated the tasks into two units, i.e., human resource management and Human Capital Management (HCM). HRM takes care of recruitment, promotion and training, while the HCM unit looks after leave management, personnel file management, initiating and framing HR policies and policy tweaking.

The participant is excited about restructuring the establishment department into two professional units. The HEI was finding it challenging to manage with the status quo, given the increasing number of employees and students. The HEI has also designated deans for administrative and academic functions. To sum, a few public-funded HEIs have a dedicated HR team, while most of the institutes recognise the need for a dedicate HR team. While the roles of a HR team are split between different departments in the existing set-up, a professional HR team would be more efficient. On the other hand, many private HEIs have an HR team and make its best use.

4.3.2 Recruitment and Selection Processes The recruitment and selection process is crucial and integral to HRM. Indeed, the two functions are distinct. The recruitment process (i) attracts qualified and eligible human resources for employment, (ii) helps in the planning of the required workforce, (iii) designs job profiles and analyses, and (iv) disseminates information about job vacancies. On the other hand, the selection process facilitates the identification of the right person for the right job (Otoo et al., 2018). One participant (Vice-Chancellor of a public HEI) said: There are several vacant positions which are filled through temporary contracts. Contractual employees are paid lesser compensation than permanent employees. There are two parts: one is academic, another is the support system, but in both, the recruitments are not happening for many years. And this is another reason why we are not meeting expectations.

The voice points out the acute shortage of teaching and non-teaching staff members in the HEI. The participant reasons that this shortage is a key reason Indian HEIs are not being able to meet the global challenges. Another participant (faculty member of a public HEI) had a similar view: Public-funded universities are not in good shape in this aspect. Most universities are functioning at half of their sanctioned strength. Recruitment is not happening frequently. The

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The above voices highlight a massive scarcity of human resources in public HEIs. As a result, universities and colleges hire human resources on a short-term contractual basis to address workload issues. However, such employees mostly remain unmotivated for various reasons, including less compensation, high workload, and HRM and other benefits not being at par with those of the regular employees. While the workforce scarcity is partly due to funding constraints, it is also due to the absence of a professional HRM team, lack of proactive and robust recruitment drives, lack of funding from the government, bureaucracy at the organisational and regulatory levels, lack of quality human resources (teaching and non-teaching), etc. However, Institutions of National Importance (INIs) and private universities we sampled seem optimistic. They are at a promising stage of building efficient HRM functions. Another participant (faculty member of a public HEI, INI) commented: We follow the standard procedure used almost worldwide to recruit faculty and staff. There is a very detailed evaluation at the department level. HRM plays an important role.

The participant elaborated on the recruitment process followed by the INI. The institute seems to be following an excellent recruitment process, with its HRM playing a crucial role in the recruitment process. The performance of this particular HEI has been good, which might partly be attributed to the efficient HRM systems. Another participant (Dean of a private HEI) commented: Processes and systems for recruitment have to be in place, and the HRM team efficiently manages it.

The participant further elaborated on the efficient support from the HRM team for recruitment, shortlisting, job talks, and interviews and then making offers to the selected candidates. Nevertheless, HRM at their institute is in a progressive stage and does not play a strategic management role yet. Primarily from a corporate background, the HRM professionals in this HEI slowly understand the specific requirements of HEIs. Another participant (Dean of a private HEI) said: We have a well-defined HR team. While recruiting, one part is the staff, and the other is the faculty. HR plays a significant role in the recruitment process.

According to this participant, recruitment is a participative process that involves the HRM team and the faculty. Aspirants for faculty positions either apply directly to the HRM team or write to the school of their choice, the HRM team ultimately coordinates the hiring process, and finally, the department faculty decides whom to recruit based on candidate performance in the job seminar and interview, an efficient recruitment process adopted by the HEI. It is evident from the voices shared above that INIs and private HEIs are in the process of building HRM, while public-funded HEIs are either unaware of the role of HRM or slow to recognise its contribution.

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Almost all participants voiced concerns about the open positions that have not been filled for a long time and the trend of managing with short-term/contractual human resources. Not working at the assigned strength reflects badly in the performance of the HEIs. The participants believe that an HRM team could professionally perform recruitment and selection, which will make HEIs globally competitive.

4.3.3 Training and Development Training and development are critical for an organisation to stay ahead given the competitive environment and global challenges that higher education is currently facing. Keeping oneself updated is the right way to be able to meet these challenges. Staff training is the key to job performance and boosting productivity. HRM contributes to organisational development through focused training and development initiatives to build individual competencies, eventually contributing to the individual and overall organisational development. HRM helps conduct such training programmes for the faculty and staff on regular, short-term and contractual assignments. Such a consolidated role ensures efficient training programmes across the board, controls the expenditure, and aligns efforts with the organisation’s mission and objectives (Evans & Chun, 2012). Most participants in our survey discussed the necessity of training and development. One participant (Vice-Chancellor of a public HEI) noted: There has to be a provision for continuous employee training. That doesn’t happen often, and that exposure is not even for teachers. There should be one- or two- or three-month rigorous training requirements even for the teachers.

The above voice highlights that while HEIs understand the importance of regular training, training, and development programmes for employees are arbitrarily conducted. The faculty and staff should undergo a formal induction programme at the time of joining. The HRM team may initiate this induction programme and include the following elements: • Providing information about rules and regulations of the HEI, the HRM manual, various HRM policies, laws including privacy laws, and sexual harassment rules; • Providing identity and access cards to multiple facilities of the HEI, including the library, IT department, cafeteria, sports club, data centre, etc; • Appraising the new recruits of the mandatory periodical training programmes to update them of new policies, technology, tax laws, etc; • There should be in-house compulsory training programmes for both faculty and staff should be initiated; • Eliminating the misconception that faculty members—who themselves teach— need not attend any training programmes, conferences or workshops and

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explaining that training programmes (based on interest or selection) help faculty to progress in academic and administrative positions. Another participant (Vice-Chancellor of a public HEI) said: We should have a separate department to deal with promotions, career development, training etc. Now everything is mixed with the general administration. They cannot take care of the training requirement of the employees.

Highlighting that there is no dedicated professional HRM unit in the HEI, the voice emphasises the contribution of such a department to organise faculty and staff training and development programmes. There seems to be no scope for the existing systems to manage HRM instruments proactively without professional human resources in the HRM department. Another participant (Vice-Chancellor of a public HEI) commented: We provide training to the staff in two ways. One is that we conduct in-house programs, where we get some experts who deliver the lecture, and the other is that we send the staff for training programs.

The voice indicates that while the HEI organises training programmes, these need to be regular, consistent and focused and cover faculty and staff members. Such training programmes would increase the level of faculty and staff participation. Another participant (Dean of a public HEI, INI) commented: Training programmes are done regularly for faculty and staff, which are supported by our HR team. Our faculty also contributes to imparting training to our staff members.

The voice reveals the prevailing good practice of training and development programmes the faculty members provide to the staff as well as how the HR team supports these initiatives. Another participant (director of a private HEI) commented: HR plays a critical role in coordinating the training programmes for faculty and staff.

The voice reveals the HRM unit’s crucial role in coordinating the training programmes. Another participant (Registrar of a public HEI, INI) commented: For newcomers, we provide them with a one-month training programme. In addition, we organise internal training whenever there is a change in tax matters or the process procedures. Sometimes we depute people for other institutions.

The sampled private HEIs and Institutions of National Importance seem to be practising good employee induction and internal training programmes. Another participant (Dean of a private HEI) commented: We have a faculty development centre. And, so, there are workshops. There are other things. For example, last month, we had a very intensive workshop on online teaching because everyone is now teaching online. For the staff, again, HR plays a critical role in imparting the training’.

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The voice reveals how the HR team can provide training on the changing trends so that the faculty is empowered to best utilise the changing winds and how HRM plays a crucial role in imparting training to non-teaching employees too. Another participant (Registrar of a public HEI, INI) commented: As far as the training is concerned for the staff members, I am not satisfied with the progress. We recruit staff and allow them to swim and learn how to swim rather than enabling them or giving them skills or providing essential.

This participant made two valuable points: • Staff training needs to be continuous, and it cannot be just one time wherein a staff member is trained in, for example, the purchase or budget section and eventually retires from there. • Job rotation is essential for staff members as it kindles staff interest in other areas and departments. Indeed, it is challenging because people do not normally want to leave their comfort zones once inertia sets in and they tend to grow roots and stay in the same place forever. This is better done at the junior entry level. At higher levels, HEIs might want its employees to specialise. The inferences from the abovementioned interviews and the suggestions from the various interviewees have thrown beneficial light on the essential role of staff training and development.

4.3.4 Performance Management Performance management is a cornerstone of an efficient HRM system in an organisation and benefits both individuals and the organisation. The performance management system helps to measure individual performance against the organisational objectives and the practical job performance goals. Although the widely held belief is that performance management is specific individual performance, it is more related to the strategic positioning of higher education, in our case, armed by processes that inculcate belief in one’s own work, provide appropriate feedback and guide employee growth and overall development. Performance management in universities is multilayered and involving, with clear distinction in goals, processes, and evaluation methods for different types of employees such as faculty, researchers, and staff on regular and short-term appointments (Allui & Sahni, 2016; Evans & Chun, 2012). One participant (faculty member of a public HEI) remarked: There is less freedom to differentiate between good performance and bad performance in a public-funded HEI.

The voice exposes the rigid systems that prevail in the public-funded HEIs. Another participant (Vice-Chancellor of a public HEI) commented:

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There should be a system of incentivisation for those who perform better. It teaches healthy competition among the staff and hardly exists in public-funded universities.

A significant point raised in the context of performance management is the lack of an incentive system for good and excellent performers, particularly in public-funded HEIs. There is little scope for differentiating between productive and non-productive employees if the incentive tools to motivate good performers are minimal. Salaries are identical at each band and level across the board. For example, the salary scale of a Professor will be the same for the science and history faculty. The participant also expressed that privately funded institutions are better placed in terms of motivating good performers. Another participant (Dean of a public HEI) remarked: We don’t have any performance management system in the university. For this purpose, we need to have an HRM team.

The voice exposes the fact that no performance management system is being practised in some HEIs. Even though only some HEIs have performance management systems, neither the HEIs nor the employees have been able to gain anything from them. Given that performance management parameters need to be objective, and the faculty and staff have to buy them in, it is essential to have a professional team to manage performance management scientifically. Otherwise, its execution will be challenging. Another participant (Vice-Chancellor of a public HEI) commented: Every three months, our performance is evaluated by the chancellor of the University. Each faculty member has to submit their performance every three months. For staff, their immediate boss writes a confidential report.

The practice followed by the HEI looks unique. Even though the voice above reveals the existence of a performance management system, a professional HRM team will be able to make it systematic. Another participant (Dean of a private HEI) said: Every faculty member is evaluated by the head and then the Director. Depending on the performance, two things are decided. One is annual monetary increments, which depend on your performance, and another aspect is your promotions.

The voice reveals the performance-based salary compensation system being adopted by the HEI. Although it is easier to implement such a system in a contractual relationship, it may be challenging with permanent employees. This HEI seems to be unique in this respect. Another participant (Dean of a private HEI) commented: Each faculty will get an annual assessment. They will be graded on factors like service to the institution, teaching, research and collaboration. It determines their remuneration. The evaluation process is systematic due to the efficient coordination between the Employee– Dean–HRM.

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The voices shared in this subsection substantiate that performance management systems are in place in few public HEIs. On the other hand, private HEIs have some form of performance management systems that link performance to remuneration and promotions. In either case, the performance management systems practised in these HEIs are not systematic, and HEIs will benefit immensely from establishing professional and systematic performance management systems.

4.3.5 Career Progression Career progression is essential to enhancing an individual’s skills and overall development and facilitates faculty and staff to pursue more productive and successful careers. For example, in the context of higher education, confirmation of a tenure track or a permanent position highly motivates an individual, resulting in a high level of professional stability (Werner & DeSimone, 2012). HRM teams are the primary advocates for and sponsors career and professional development, assisting individual growth and upward mobility in HEIs (Julius, 2000). One participant (Vice-Chancellor of a public HEI) commented: There is no motivation in public-funded HEIs. Once the hard-working, committed, and creative employees realise that efforts will not fetch rewards, it constrains their motivation. And, in any case, my next promotion will depend only on the years I have to spend in that position. While my colleague working at the next desk, whose output is not even half of mine, will also get promoted. Why should I put in more effort?

The participant is sharing their experience and concerns with the existing inefficient HRM practice. The voice emphasises the necessity for merit-based performance incentive schemes in HEIs. Another participant (Registrar of a public HEI, INI) said: Every staff who joins the Institute, at least, get a minimum of three upgrades in their service.

It is a fact that (non-teaching) staff members get three upgrades during their service. However, the system needs to be more accommodative in that excellent performers should be able to go through a fast-track promotion system, which will enable HEIs to attract and recruit the best talent in the staff category. These human resources scout for corporate and private opportunities because of the absence of sound and robust HR policies for university-level staff. As a result, only those who cannot get corporate or private jobs take up positions in HEIs. Another participant (Dean of a private HEI) commented: Promotion is linked to your performance. Every department has its metric. If you don’t publish that many, you will not even be eligible to be promoted. I mean, you are not considered for promotion. Or, if you have not done so well in teaching, your promotion may not happen.

Even though private HEIs have a performance-based promotion system, typical private HEIs are yet to create a better HRM system. Faculty and staff are still attracted

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towards public-funded HEIs primarily because one becomes a permanent employee after completing the probation period. From the voices shared in this subsection, it is evident that good performancebased promotion systems are important to constantly motivate faculty and staff to perform better. Without a robust promotion system linked to one’s performance, employees are promoted based only on the number of years in a position, which acts as a deterrent to performance.

4.3.6 Retention Systems HRM needs to play a critical role in designing the best retention policies to arrest the accelerating turnover of human resources in the higher education sector, making HEIs globally competitive. According to Hensel (1991), a university’s efficient functioning and overall organisational growth are subject to its ability to motivate and retain the best faculty and staff members. The absence of proactive and sound HRM practices and policies, coupled with the high degree of stress and low satisfaction levels, may lower the morale of the employees, resulting in the attrition of critical resources, particularly women employees, faculty, and staff from the diverse background (Allui & Sahani, 2016; Cooper & Stevens, 2002). Another participant (Registrar of a public HEI, INI) narrated: In government-funded institutions, everything is written down in the rule book. For example, how you can give a career progression to a person and probation period. What are the qualifications, and what channels are these to be tested? All this is laid down in the book whether there will be a written test or an interview.

The participant points out the rigid and fixed rules and policies in public-funded HEIs. There is little scope for flexibility or innovation in public HEIs. Given the strict systems, it becomes impossible for the head of the HEI to reward good performers, making it difficult to retain talent. Another participant (faculty member of a public HEI, INI) said: For retention, one of the key things is the working environment.

The overall environment, good infrastructure, and best HRM policies, such as social welfare schemes, retirement policies, and medical schemes, play an essential role in the retention of employees in HEIs. Another participant (Dean of a private HEI) said: Retention is crucial. What keeps people in a university is essentially the work they want to do. So, we have created an environment with the help of HR.

The voice emphasises that facilitating employees, particularly the faculty, to upgrade their professional knowledge is the key to retention. However, poor employee-to-student ratio, attributed to high student numbers and a scarcity of employees, proves to be a massive challenge for HEIs. Faculty members need

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ample time for research and academic development. On the other hand, HEIs cannot fast-track the recruitment because of constraints such as rigid systems. Another participant (director of a private HEI) narrated: I think HR needs to know how to retain employees, and retention is the main challenge.

Again, the voice highlights the prerequisites for good HRM in higher education. Retaining the best faculty in HEIs differs from that in the corporate or private sector. Good faculty members may be given more weightage while calculating financial incentives. Some of them would rather prefer more space for professional development and pursuing their research and interests. However, understanding individual requirements is difficult for HRM professionals, particularly those with a corporate background. For this reason, it becomes essential to train the existing team of the HEI or recruit those who have experience working in an academic institution in human resource management systems. Another participant (faculty member of a public HEI) remarked: Retention of good employees is significant. However, that becomes meaningful only once we ensure that the faculty timings are used appropriately.

The voice brings to the fore another critical issue. Given the scarcity of good workforce in the administration and non-teaching departments, the non-teaching administrative work gets partly allocated to the faculty. These could include preparing draft documents for HR policies and office circulars, inclusion in working committees, and assisting in the logistics of conferences, workshops, and other events of the HEI. The participants included in this subsection shared the importance of retaining good employees. While there could be many reasons for attrition, employees choose not to leave when they have the opportunity to pursue their professional interests and when they are not forced to fulfil other administrative responsibilities. HRM strategy could help identify the individual needs and concerns and may encourage staff to do their best.

4.4 Strategic Human Resource Management A common theme that emerged is strategic human resource management (SHRM). While the human resource management function takes care of only the administrative processing of paperwork and governance aspects of the HEI (Brault & Beckwith, 2003; Kemper, 2001), SHRM is responsible for the HR strategies of an organisation and directs the employee’s efforts towards the organisation’s goals and objectives (Wright & McMahan, 1992). A majority of the participants in our survey emphasised the importance of strategic HRM in HEIs. They voiced out the deficiencies in the existing system, described the role of sound and strategic HRM, and shared their experiences and expectations from HRM. A majority of the participants believed that good HRM practices and policies could positively impact the overall performance of the HEI.

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One participant (Vice-Chancellor of a public HEI) remarked: A good HRM supports the performance of an HEI. Good HRM means I will have efficient support and no time constraints. I could go on the second or third selection round to select the best talent. A strategic HRM unit will plan, so I am not bound to take whatever human resources are available. They will ensure that a vacuum is not created in the university. HR will look into the performance aspect of each individual, whether they are performing or not. If performing, how do keep them motivated and not achieve, and what are the reasons behind it? HR is to plug the loophole of the gap that may be there in the system’s working.

The voice emphasises the importance of strategic HRM and ensuring proactive succession planning. There should not be any gap between retiring or resigning and the new person taking over in the HEI. Timely and efficient succession planning will lead to a good recruitment process and quality hiring. Presently succession planning is made in the absence of proper HRM professionals. But it is essential to define a vision, ensure the continuity of systems, and avoid vacuum creation. Another aspect the participant highlighted is that HRM would ensure proper evaluation processes, attention and counselling, and training of employees whose performance does not meet the standards. If there is a sudden decline in someone’s performance either due to personal reasons or due to professional reasons such as a lack of infrastructural and human resource support, the HRM team should be able to identify the reasons and help the person address them. For example, an exemplary faculty member may need a good research lab, research assistance, etc. In this context, the role of strategic HRM becomes critical. HRM’s top priority is to plug the loophole in the system and ensure an efficient workplace. At the same time, good performers need to be kept motivated with incentive schemes. Another participant (Dean of a public HEI, INI) had a similar view: I am hundred per cent sure that good HRM supports the performance of an HEI. I have observed that once people are motivated, it gives positive results to the organisation. Significantly once employees know that there are systems in place and their promotions and other incentives are based on their performance, they work hard. Clarity on a career path and progression is an essential HR tool for motivating employees. Before joining an HEI, the employee also looks at the future career progression policy in the HEI. Incentives of various kinds also help create a good environment in the organisation. Another vital aspect is succession planning which is an essential exercise.

The voice highlights that clearly defined parameters for promotion and incentive schemes help employees to stay focused on their goals and motivate them to achieve them. Employees view career progression and well-defined career path as critical aspects of future growth. They appreciate when their hard work is acknowledged through promotions, awards, appreciation certificates, etc. The participant also viewed succession planning as an essential exercise to be initiated by the HRM in an HEI. Another participant (Vice-Chancellor of a public HEI) narrated: A good HRM could undoubtedly support the performance of an HEI. First of all, there has to be autonomy given to the Institute to appoint suitable people for the right job. Presently we have a lot of vacant positions on both the faculty and staff side. Second, there should be incentivisation system for those who perform better to inculcate healthy competition. Third,

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continuous training should be given to the employees as per requirement. Fourth, we have financial constraints which need to be addressed. And fifth, there has to be technology in every field to ensure transparency’.

Regulatory and government authorities should consider it imminent to provide autonomy to HEIs for appointing the right human resources. The issue has also been raised by the National Education Policy 2020. The heads of the HEIs need full autonomy to bring in necessary structural changes. Moreover, there have been suggestions to improve the HRM systems. A careful balance should be maintained while empowering HRM to avoid conflicts. The HRM needs to coordinate its new initiatives in consultation with the critical stakeholders of the HEI, including the faculty, deans, Registrar, and other functional heads. Furthermore, the all-around performance of candidates has to be considered and not merely academic qualifications. Even the selection panel should consist of experts from various subject areas. HEIs need to proactively initiate regular training programmes to ensure that employees are updated, given that the global landscape is changing rapidly. Formal and continuous training of staff members is a top priority. In some HEIs, the faculty, which is the front end, is moving at a high speed, but the staff, which is the back support, lags behind, leading to a breach. The training programmes, therefore, should cover both hard skills and soft skills.1 Public-funded HEIs have financial constraints, which may impact the number and frequency of training programmes. Empowering strategic HRM will play a vital role in addressing all these issues, and hence, the existing personnel administration systems need to be upgraded to strategic HRM. Another participant (Registrar of a public HEI, INI) commented: The erstwhile personnel department has to move into a slot of the strategic HRM unit. The reason is that the existing personnel department looks at the function as recruiting somebody, retiring somebody or making some inquiry, punishment, and continuing with the old traditions. I think an essential aspect of recognizing the skills, developing the skills, and putting the right person in the right job was never felt necessary by the HEIs. The person who heads the HR department must have an interest and mission, not somebody who comes and sits there and asks why shall I plan. So, they must take an interest in identifying training, and he must take an interest in preparing a training document or training schedule for a training roster. All these are very important for the HRM in an HEI.

The participant highlights the importance of strategic HRM and strongly argues for a shift towards a strategic HR department in an HEI. Strategic HRM looks beyond the routine administrative work and already laid-down rules or guidelines of the HEI. For example, in a typical Indian university, the strength of the administrative cadre, starting with the junior clerk, senior clerk, office assistant, section officer, and Registrar, is very large, with multiple posts at the lower levels. Most of the administrative staff remain at the same level for long periods, and even if they try to appear for higher-level exams, they may find it difficult to quality. It is true that in the initial stages, universities needed a high strength of lower-level employees. But 1

Hard skills include recruitment and retention, rewards and incentives, while soft skills include career development, work-life balance and motivation (Gordon & Whitchurch, 2007).

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without a proper review of staff requirement later, as institutions have grown, the number of admin staff has also correspondingly grown. In the present context, with Enterprise Resource Planning (ERP), automation and computerisation, the need for human resources to carry out mundane routine jobs has drastically come down. So, ideally, HEIs need to surrender some of the lower-level posts and recruit qualified human resources who are also flexible. HEIs need a professional HRM department to analyse the needs periodically and bring about changes to the structure. The voice also reiterates that the person heading the HRM unit should know the institute’s mission, vision, and objectives. The staffing deployed in the HRM unit should be motivated and comprised of experts. Some other participants also agreed that good HRM practices and policies support the performance of an HEI under able HRM. Another participant (faculty member of a public HEI): Most certainly, I do not doubt it. The qualification is that the HR department has to be good. There is no point in a wrong HR department which can make things worse or continue doing a routine job. Good HR can help faculty become more efficient, saving faculty time and energy. As a result, the faculty can do more research. A good HR department will have a division to address students’ psychological issues with interpersonal problems between teachers and students.

As voiced by the participant, excellent and effective HRM means a good team of professional experts who could provide efficient support to HEIs and, in particular, faculty members. The participant further elaborates that in most HEIs, faculty members waste a lot of their valued time on tasks that do not require their qualification. This mismatch is a problem prevalent in India. Another aspect is that employees of an organisation gradually develop some friction with their colleagues. HRM primarily prevents these incidents from happening and deals promptly with such incidents, if they were to occur. It strengthens teacher– pupil relationship, ensuring that everybody discharges their responsibilities comfortably in the academic set-up. HRM, finally, contributes to increasing educational and research productivity. In another dimension, HEIs receive funding when the faculty brings in resources such as research projects. A good HR department will help in the timely execution of the project, which will help HEIs and the faculty to maintain their credibility. Thus, by utilising resources efficiently, HEIs incentivise faculty to bring in more work, more money, and build prestige, which adds to the institution’s resources. Similarly, students grow competitive when they can freely voice their concerns and get them resolved. All these lead to an enhanced academic output. Another participant (Dean of a private HEI) noted: Certainly, yes, in some sense, the HR system is like plumbing in the house. And if it is terrible, then there’ll be all kinds of leakages, and we’re in trouble all the time; you have to run after the plumber all the time and keep mending things. Whereas if there’s a sound HR system, then things work smoothly. You probably don’t even know they are in the background.

The voice recognises the fact that everything runs smoothly when the HRM is good, but a bad HRM has profound implications leading to various problems.

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The participant elaborated on suitable HRM parameters supporting the HEI and its employees. First, the HRM should ensure that all the processes run smoothly towards the overall objective of the institution without creating any conflict. Second, having good HRM means that the faculty members know that there is someone to care for some of their essential requirements in their tenure: for example, medical insurance, travel assistance, leave management, management of their retirement benefits, service for their housing, etc. The third important aspect is that HRM creates incentive systems such as a faculty development fund and periodic payment systems. All these aspects help in keeping employees motivated. Another participant (Dean of a private HEI) narrated: Oh, yes. In theory, good HRM could have a good impact on the overall performance of the HEI. I guess the crucial parameters of good HRM include:

1. Driving the quality of applicants; 2. Looking at the holistic well-being of somebody once they have been hired; 3. The integration of that person, whether staff or faculty, within the institution as a whole. The participant highlights that while theoretically anything is possible, practical implementation may be marred depending on various elements. The success of HRM depends on: • The efficiency and expertise of its leader and the team; • Knowledge and additional skills possessed by the HR professionals who work in an academic institute; • How well the HR team understands the academic and research aspects, which, in general, people qualified for an MBA in HR may only know if they have a wealth of practical experience; • How well-defined industry roles and rules are and how well-thought-out their goals and objectives are. The academic set-up is characterised by being more comprehensive, informal, and clearly defined. There is an element of vagueness even with proper documentation. The key differences that exist between HEIs and the corporate sector have emerged well through research interviews and conversations, as presented below: • First, when an HR professional joins an HEI, it takes more time to start assisting employees, particularly crucial stakeholders such as the vice-chancellor, faculty, and other authorities. • Second, the industry uses performance tracking and measurement factors such as key result areas (KRAs), which the HEIs never use. So, it becomes a challenge for the HR to assess an employee, more so when each employee in an HEI is considered unique! • Third, the industry is marked by well-defined goals and evaluations based on specific parameters. Defining parameters for the HEI by the HR department or university leaders to assess the performance of each employee is often considered

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arrogant. To be a HRM leader in an HEI, a person should be well-experienced and have spent significant years in the university system. For such a person to be influential, the HEI needs to recognise the person’s relevance. He or she should not be considered as a mere service provider but as an active contributor to policy formulations and documentation. While agreeing with the researcher’s view, a few participants highlighted the importance of support from staff members and faculty. Another participant (faculty member of public HEI, INI) noted: In educational institutions, only human resources are essential, and everything else is unnecessary. And it is not just the faculty; we cannot do anything unless we get good support from the staff. So all the systems have to be working well.

The voice emphasised that human resources are the key to the success of any HEI. HRM becomes crucial while recruiting good workforce, whether it is faculty or staff, by providing efficient and timely recruitment processes to ensure that good talent is selected. Faculty and staff members should be selected by a diverse expert panel that comprises academic and subject matter experts and a professional HRM expert. To achieve the primary mission of an educational institution, faculty and staff should be committed to teaching and carrying out quality research. While the output is intangible and expectations cannot be forced on people, the challenge is to create a culture in which everyone is trying to improve. Employees perform better because they are committed to their goals, not because they are scared that they will be pulled up for not doing so or that they are waiting for a promotion, higher salaries, etc. One cannot push people towards metrics as the HEI will eventually fail. The critical factor is to create a good work culture facilitated by good governance, where strategic HRM plays an essential role in achieving the primary mission of the HEI. Another participant (Vice-Chancellor of a private HEI) commented: The HRM can keep track and build up a sound record system. As you grow, it cannot be so personalised. HR becomes very helpful at the time of the short-listing process of recruitment. They are more the backbone of the structure. They ensure to follow the system while maintaining the timelines. The HRM governs staff recruitment and their overall development.

Developing and establishing robust management systems become necessary as an organisation grows, and one cannot continue with the traditional or personalised techniques. Proper procedures need to be laid down to track the personnel record of human resources, enabling appropriate planning and decision-making. In this context, strategic HRM would be pivotal in establishing systematic and scientific support management systems for the organisation’s overall development. Another participant (Vice-Chancellor of a public HEI) noted: Yes, I believe it is high time to think of having a separate HR department specialising in Human resources. It can improve the productivity of the university. A robust performance appraisal system, reward management system, employee welfare measures, knowledge management system, career planning etc. are some of the parameters, if initiated in the university, that could improve the performance and productivity of the university employees.

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The voice recognises the immediate need to develop a specialised HRM team in HEIs. The participant believes that HRM tools could positively impact the overall performance of the HEI, including its productivity. Professional HRM, once established, will enable the HEI to professionalise various HRM tools such as the recruitment process for faculty and staff, training and development, and knowledge management. Another participant (Vice-Chancellor of a public HEI) narrated: Yes. HR parameters will play an important role now, and we will have an MoU with the Ministry of Education and University Grants Commission soon to finalise our annual programme. I feel a good HRM could play an important role here in this context.

The voice reinforces the importance of the HRM team. HEIs must formalise various MoUs/agreements with the government, non-government authorities, or regulators. In the presence of HR professionals, preparing, executing, and implementing various formal documents turn out to be effortless and convenient. In their absence, these documents need to be prepared by the faculty, thereby burdening them with additional workload, or HEIs need to seek external help, which may be costly. Another participant (Registrar of a public HEI, INI) remarked: I agree that a good HRM could impact the overall performance of the HEI. HR management is a nomenclature. When the human in an organisation is considered a resource, there should be a management strategy to utilize the human resources. So, essentially, there is a requirement for an HR management system in the organisation.

The participant agrees that good HRM could positively impact the performance of the HEI. Although the HEI has been practising HR functions, it has recently formalised a new professional HRM unit and is building the team in a structured way. The HEI is implementing various HR tools with the support of the HRM team. Another participant (Dean of a deemed to be university) commented: Absolutely. To be in a place where everybody is inspired to work and try their best and learn new things. HR has a significant role and could help maintain autonomy and flexibility in decision-making.

The participant further narrated that the HEI enjoyed a certain level of autonomy and flexibility in decision-making while responding to the needs of its faculty and students. This has traditionally been their strength. But with donors and the government exercising more and more control, the HEI is losing its autonomy, as would happen with a Central Government diktat. The HEI needs to tackle these and other challenges to retain its independence. On the one hand, the HEI tries to build HR systems, while on the other hand, there is a fair chance of it losing its independence. Another participant (Vice-Chancellor of a deemed to be university) commented: Of course, good HR policies are essential for retaining people and overall teaching and research performance. The critical aspects of good HRM include developing good welfare policies and upgrading additional skills, particularly for the administration staff.

The voice highlights the importance of sound HRM systems. Another participant (Dean of a public HEI) said:

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Definitely, yes, the reason is that things will be streamlined. One gets the best talent that is the most qualified workforce. They try to build good HR practices that motivate people. Best HR practices are recruiting and retaining the best performer and a more rigorous recruitment process’.

The participant is confident that HRM systems can streamline an HEI’s academic administration and other HR aspects. In turn, proactive HRM practices will positively impact the recruitment process. As a result, the HEI will recruit faculty and staff members who meet the HEI’s expectations. Sound HRM practices will also help in the retention of the workforce, thereby contributing positively towards the improvement of the overall performance of the organisation. Another participant (Dean of a private HEI) commented: Sure, proactive HR could have a good impact on the overall performance of the HEI. HR must consider the promotion and confirmation, but they must have strategic plans. The role of HR will be influential once they are given due importance and allowed to participate in the decision-making forums. Although HEIs sometimes face different experiences for example, rigid behaviour and attitude problems with few employees. HR also assists in formalising the documentation, ensuring timely completion of the performance evolution system, and providing excellent support to the newcomers. Ensure advance evaluation of the probationers, whether faculty or staff.

The voice reiterates the importance of the strategic role of HR in organisations such as higher education institutions. The participant expects HRM to play a broader and more significant role. HRM needs to think beyond its present scope and consider how to synchronise HRM’s strategic plans with the overall goals of the institute. The voice strongly recommends a crucial role for the HRM in an HEI. The participant also highlights HRM’s importance in assimilating newcomers into the institute by providing all necessary information at the outset to fresh recruits. The institute’s HRM assists them with the induction process, relocation, housing, office space, and coordination with other departments. The newcomers are also provided with a HR manual containing detailed information about the institute and its rules and regulations. Another participant (Dean of a deemed to be university) remarked: Absolutely yes. To be in a place where everybody is inspired to work, and everyone is trying to do the best they can and learning new things, HR has a significant role in facilitating that.

The voice reveals the importance of the HRM and its role in facilitating the employees and the organisation. Another participant (director of a private HEI) commented: Most definitely. Let’s not talk about it from an educational institution’s point of view, and let’s talk about why people want to join Tata – because they have outstanding HR policies. So there’s no question about that. I think HR needs to know how to retain key performers.

This participant is confident that good HRM will positively impact the organisation. The voice reinforces the importance of HRM, citing the example of why people want to join institutions like Tata—it is because Tata has good HRM policies. Faculty members are central to any academic institution and are the main drivers

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of the success of an HEI, hence we need to prioritise the sound HRM practices for faculty members. Another participant (Registrar of a deemed to be university) remarked: Yes, a sound HR system will be sort of a backbone for the institute itself because that can otherwise drag you to a great extent.

The voice emphasises the importance of robust HRM systems and also alerts us about the severe impact of its existence or otherwise of non-proactive HRM. Various aspects are involved in ensuring good HRM support to faculty members, including buying equipment for laboratories or for undertaking a field study that may need financial grants. To attract talent, the HEI needs to provide seed money, which could run into lakhs of rupees, to the recruits for research. In a social science institute, the faculty may need financial support to attend at least one international conference in a year and a few national conferences and to collaborate with other researchers. A vibrant visitor’s programme can facilitate every faculty member to regularly invite a minimum number of collaborators. HRM may also need to plan incentives for promoting publications in national and international journals. Other incentives could include support for a well-stocked library, purchase of researchrelated books or subscription to a minimum number of journals of the faculty’s choice, and access to suitable datasets. Apart from these, the faculty needs a good campus, reasonable accommodation, reasonably good office space, and all necessary equipment, which is standard across all institutes. These factors would undoubtedly play a key role in attracting promising talent to an HEI.

4.5 Summary and Observations This chapter demonstrates that the presence of a dedicated strategic human resource management (SHRM) system in an HEI is essential to face global challenges and the highly competitive modern higher education system. A structured HRM system facilitates employees of the HEI to be efficient and productive, not only the teaching faculty but also the non-teaching staff. The existing system of HRM in Indian HEIs is inadequate and not adept at dealing with challenges, more so in public HEIs, because HRM responsibilities are disintegrated and distributed among various departments. There are many vacancies of faculty and staff members in a majority of public-funded HEIs. Adding to this, due to a lack of professional and trained human resources, the HR workload is imposed on the faculty, which builds considerable pressure and puts severe constraints on the pedagogy and teaching. No regular updates are provided to employees about HRM policies or HRM manuals. Institutions of National Importance and privately funded HEIs, on the other hand, have built a dedicated professional HRM structure. Even in private HEIs, HRM does not play a proper strategic role. Neither does it have a seat in top management or a decision-making forum in HEIs. Professional HRM is a catalyst for HEIs that

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help them become more effective and productive. It plays a crucial role in amalgamating strategies and systems to achieve the HEIs’ overall objectives and mission and also supports the development and the learning of advanced digital HR information technology systems. HRM units also integrate employee relations, ensure compliance with various regulations, and help in grievance management. As quoted by one participant, “HR is like plumbing in a household because we don’t see the plumbing. We usually see the outside paint”, indicating that HRM is a crucial behindthe-screen activity in the higher education system. Another participant said HRM is like “the cog in the wheel at our university”. Unfortunately, Indian HEIs lag much behind their counterparts in other parts of the world. HEIs cannot afford to continue with the existing ineffective HRM systems but need to immediately focus on creating professional HRM units. The recruitment and selection processes of teaching and non-teaching employees in public HEIs in India are not managed efficiently. There is a massive scarcity of good workforce. There are almost 50% of vacancies in HEIs due to a lack of professional HRM and other constraints. Some of these vacancies are replaced with ad-hoc human resources on a contractual basis. Ad-hoc employees are not paid sufficient salaries, not entitled to benefits at par with other regular employees, and not given a respectable status, which act as a demotivator and affects the performance of the HEI. Compounding to this problem is the absence of succession planning in HEIs. These factors result in organisational problems, including demotivation, increased bureaucracy, and employee disgruntlement. One participant said such issues start as an “individual problem, then [become] the institutional problem and finally the national problem”. When compared to public-funded HEIs, INIs and private HEIs supported by philanthropists seem to have better systems in place for the recruitment and selection process. In general, the recruitment and selection processes in HEIs need to be streamlined and become efficient with the support of a professionally trained HRM workforce. Presently, there are no streamlined training course programmes for the faculty and the non-teaching staff. More formal induction programmes for new employees need to be instituted. Induction or training programmes, even when conducted, are ad-hoc and not systemic. There needs to be an HRM department to develop and design needbased, focused training programmes for employees. Well-trained HR team should be available to take care of training and overall employee development needs. It is assumed that since faculty members teach and attend various domain-specific workshops and training programmes, they do not need such training programmes. At the same time, staff members are expected to learn on the job and are not given due priority in the HEIs.

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There is a need to build dedicated HRM teams that could take care of the training and development needs of the employees of HEIs, including academic and non-academic staff. Such a department could also provide regular information to employees on rules and regulations, including employee benefits, HRM policies, new income tax laws, etc. The HRM team should organise mandatory annual training programmes for employees, which could be conducted by faculty from the same institute or by experts from outside. The existing performance management systems do not seem to yield expected results. Salaries are uniform at each grade and level across the departments, irrespective of individual performance. There are no incentives for excellent and best-performing employees. For better results, productive and nonproductive employees should be clearly distinguished and salaries should be fixed in commensurate with their performance. Productive, best-performing employees should receive incentives. The heads of public-funded HEIs find it challenging to motivate good employees. The performance evaluation system is in flux and not systemic. Some HEIs do not have a performance management system, while others have them as a ritual. No formal annual feedback is provided to employees based on a yearly appraisal report. The critical issue is that salaries are guaranteed and have no linkage with individual performance. On the other hand, private HEIs are in the nascent stage of developing a system of performance-based wages. Their promotion and compensation are linked with the performance of the individual. Institutions of National Importance are also in the process of streamlining their performance evaluation systems. Career progression plays a critical role in keeping employees motivated. Currently, most of the employee promotions are not linked to a performance management system. There is no scope for fast-track promotion. Employees must spend a specific number of years before being promoted. Even outstanding performers still have to wait for their turn. There is no professional team to focus on developing employee career progression schemes; instead, career progression is based on uniform regulatory framework guidelines. Faculty progression from one grade to another is possible, but such a progression is not valid for non-teaching employees. Institutions of National Importance and private HEIs have policies towards the career progression of faculty and staff members. In public-funded HEIs, there is little scope for retaining promising employees. The head of the HEI possesses no power to retain productive employees. As a result, good employees either join the corporate sector or migrate to private HEIs. Another challenge for public-funded HEIs is providing facilities and the environment to retain academic talent. While faculty members enjoy more freedom, autonomy, and less interference in their work, their work becomes challenging due to the lack of a professional team. Most of the principal stakeholders stressed the importance of a professional HRM structure and its crucial role in dealing with the growing domestic and global challenges. Key instruments that the HRM could efficiently manage in HEIs include recruitment and selection, training and development, performance management, career progression management, and talent retention systems. Additionally, the HRM

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could also automate and innovate the HRM processes. The HRM team could be involved in the strategic decision-making forums of the HEI, while the HRM’s strategic decisions could be linked with the HEI’s goals and mission. This research has thrown up many helpful research findings. First, there is an imminent need to understand the importance of professional human resource management systems and upgrade the organisational structure of HEIs. Second, the need of the hour is to modernise HRM functions, adopt flexible and proactive policies and practices, and recruit well-trained professionals with good experience in the management of academic administration. Third, HEIs cannot continue with the existing system of an establishment department; this inevitable transformation has been neglected for a long time. Finally, the creation of an empowered HRM system should be considered the top priority to face global and domestic challenges. Indeed, such a department should also be flexible in HEIs. It is not possible and appropriate to follow corporate culture in HEIs, and HRM functions should be suitable for higher education. The importance of strategic human resource management emerged as the critical response of most interviewees. Most participants emphasised the need for strategic HRM and its significance for the overall performance of the HEI. The existing HRM structure, the so-called establishment department, plays a very minimal administrative role in providing logistic support towards the execution of HRM tools such as recruitment, preparing appointment letters/circulars/orders, maintaining attendance registers, and keeping personnel records and files. The establishment department staff needs to undergo a thorough training to manage professional HRM functions. There is a consensus among the interviewees that the strategic HRM function could significantly boost the performance of HEIs. The new roles include. • Creating a succession plan and on-time and efficient recruitment of the university employees, not only the teaching faculty but also the non-teaching staff; • Assuming control of non-teaching staff recruitment; • Smooth onboarding of new recruits, transition, and induction training; • Design and execution of need-based and targeted training programmes for academic and non-teaching employees; • Aligning the strategic goals of the HEI with its objectives such as teaching, research, and outreach; • Ensuring a systematic evaluation process; • Facilitating employee feedback and counselling sessions and helping resolve employee interpersonal issues; • Ensuring efficient grievance redressal mechanism; • Designing incentive schemes for motivating productive employees; • Creating career progression and retention schemes for both faculty and nonteaching staff.

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Overall, it can be said with confidence that HEIs need to create an empowered and strategic human resource management (SHRM) functional unit. The key responsibility of the SHRM unit would be to transform the HRM functions of the HEI, including vital instruments such as the recruitment and selection process, performance management, career development, reward management, training and development and retention of best performers. Such a professional unit could align the HRM functions with the organisational objectives and goals.

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Kaufman, B. E. (2015). Evolution of strategic HRM as seen through two founding books: A 30th anniversary perspective on development of the field. Human Resource Management, 54(3), 389–407. Kejriwal, M. R., Upadhyaya, A., & Dua, M. S. (2019). A study on human resource management practices adopted by higher education institutions. In National Conference on Achieving Business Excellence Through Sustainability and Innovation (p. 129). Keller, G. (1983). Academic strategy: The management revolution in American higher education. JHU Press. Kemper, J. E. (2001). The role of the human resource office in the collegiate environment and the necessary components of being a strategic partner. Digital Dissertations International, 62(3), 863. Kuchava, M., & Buchashvili, G. (2016). Staff motivation in private and public higher educational institutions (Case of International Black Sea University, Sokhumi State University and Akaki Tsereteli State University). Journal of Education and Social Policy, 3(4), 92–100. Lawler, E. E., & Mohrman, S. A. (2003). Pay practices in fortune 1000 corporations. WorldatWork Journal, 12(4), 45–54. Menon, S. (2015). HRM in higher education: The need of the hour. IOSR Journal of Research & Method in Education, 5(6), 12–14. Mittal, P., (2008). Human resource management in commonwealth universities (pp. 40). The Association of Commonwealth Universities. Mortimer, K. P. (1985). Flexibility in academic staffing: Effective policies and practices. ASHEERIC Higher Education Report No. 1. Washington, D.C.: Association for the Study of Higher Education. ED 260-675. Muralidhar, S., & Gopal R. K, (2016). HR practices in the education sector (with special reference to B-schools in Bangalore). Adarsh Journal of Management Research, 9(2). Otoo, I. C., Assuming, J., & Agyei, P. M. (2018). Effectiveness of recruitment and selection practices in public sector higher education institutions: Evidence from Ghana. European Scientific Journal, 14(13), 199–214. Patrick, H. A., & Sebastian, S. (2012). Human resources management practices’ influence on faculty commitment in higher educational institutions. Asian Journal of Management Research, 3(1), 125–138. Patton, C. (2007). HR and higher ed: Same page or different books? University Business, 10(1), 23–24. Pausits, A., & Pellert, A. (Eds.). (2007). Higher education management and development in central, Southern and Eastern Europe. Waxmann 109–115. Punia, B. K. (2002). Training needs identification in Indian organisations: A study. Indian Journal of Training and Development, 32(1), 29–39. Recardo, R. J. (2016). A blueprint for transforming the HR function. OD Practitioner, 48(4), 38–44. Singh, D. (2020). Almost everyone in faculty is promoted in Indian universities. DU started the damage in 1970. The Print. https://theprint.in/opinion/almost-everyone-in-faculty-is-promotedin-indian-universities-du-started-the-damage-in-1970/468524/ Smylie, M. A., & Wenzel, S. A. (2006). Promoting instructional improvement: A strategic human resource management perspective. Consortium on Chicago School Research www.consortiumchicago.org Sondhi, V., & Nirmal, P. S. (2013). Strategic human resource management: A reality check. Review of Management, 3(1/2), 4–10. Tamer, K. D., & Singh, S. (2013). Does strategic human resource involvement and development enhance organisational performance? International Journal of Manpower, 34(6), 674–692. Tyson, S. (1995). Human resource strategy: Towards a general theory of human resource management. Financial Times Management. Ulrich, D. (1997). Human resource champions: The next agenda for adding value and delivering results. Harvard Business School Press. Ulrich, D., & Brockbank, W. (2005). The HR value proposition. Harvard Business School Press.

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Van den Brink, M., Fruytier, B., & Thunnissen, M. (2012). Talent management in academia: Performance systems and HRM policies. Human Resource Management Journal, 23(2), 180–195. Vasitha, M. L., & Chauhan, B. S. (2011). Role of HRM and OB in today’s educational institution/ university administration. International Journal of Multimedia Technology, 19(1), 17–22. Werner, J. M., & DeSimone, R. L. (2012). Human resource development (6th ed.). South-Western: Cengage Learning. Wolf-Wendel, L. (2012). Foreword to Evans, A., & Chun, E. (2012). Creating a tipping point: Strategic human resources in higher education (pp. xii). San Francisco: Jossey-Bass. Wright, P. M., & McMahan, G. (1992). Theoretical perspectives for strategic human resource management. Journal of Management, 18(2), 295–320. Wright, P. M., & Snell, S. A. (1991). Toward an integrative view of strategic human resources management. Human Resource Management Review, 1(4), 213–250. Wright, P. M., Dunford, B., & Snell, S. (2001). Human resources and the resource-based view of the firm. Journal of Management, 27, 701–721. Yaseen, Z. K. (2013). Clarifying the strategic role of the HR managers in the UAE educational institutions. Journal of Management and Sustainability, 3, 110.

Chapter 5

Human Resource Management Practices and Their Impact on the Employee and the University Performance

This chapter demonstrates the importance of sound HRM practices and policies that positively impact the motivation and job satisfaction levels of university employees. Robust and flexible HRM policies also attract competent human resources and produce excellent outcomes for both the employees and the organisation. The primary challenge is to keep the employees motivated to maximise their output. However, in most academic institutions, the functioning of employees is mostly based on selfmotivation or an intrinsic basis. There are no additional incentives to consistently motivate the employees, such as faculty and staff, or to retain bright people, particularly junior faculty members like brilliant assistant professors. Some private HEIs offer them better career paths and better salaries, among other things, thereby making it a challenge for competing organisations to retain bright talents. Another issue is that HEIs often have little freedom to keep their non-teaching staff motivated, which results in frustrated and disgruntled employees. Such a negative attitude directly impacts not only the faculty and the students but also the overall functioning and environment of the institution. It is evident from the research study that consistent employee motivation could lead to a better impact in terms of more higher-quality student enrolments and their better placements after graduation and greater scope for higher studies, along with consistent progress in the quality of teaching and research outputs. After deliberations with the key stakeholders, the qualitative study generated two key themes, “Importance of Motivation in an Academic Institution”, as detailed in Sect. 5.1; and “Employee Motivational Outcome”, as described in Sect. 5.2.

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_5

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5.1 Importance of Motivation in an Academic Institution The success of any organisation depends upon the efficiency and effective performance of its human resources. A university as an organisation and an HEI comprises two critical functional units, viz. the academic faculty and the administration. The academic staff, including the faculty and researchers, are responsible for the HEI’s teaching–learning and research deliverables. The administrative staff, on the other hand, including the professional staff team, support the effective delivery of academic and research functioning in various areas, including human resource management, finance, administration, students’ enrolment, estate, campus management, and IT support. Eventually, the university as an organisation consists of many employees. In this context, it is extremely important to have highly motivated academic and administrative staff. Sustaining employee motivation is a fundamental requirement for maintaining the quality of an HEI. It is a critical component of the HRM function, given its close link with the performance of both teaching and non-teaching employees in the HEI (Noor et al., 2020). “Motivation is derived from the Latin word ‘movere’, which means to move, in other words, things that make people move. There are also synonyms to describe the motivation, such as incentive, inspiration, drive, stimulus, impulse, and needs” (Muchtar, 2003). Motivation thus refers to the drive that stimulates, changes, and leads the person to achieve goals; therefore, understanding “motivation” necessitates understanding the association between needs, drive, and organisational objectives (Luthans, 1985; Tella et al., 2007). In other words, “motivation is something inside, which gives us energy, activates and directs the behaviour to achieve goals” (Koonz et al., 1982). Keeping all these perspectives in mind, it is thus obvious that a highly motivated workforce is critical for ensuring that the staff of the HEI fully supports the needs and goals of the organisation. Consequently, ignoring the motivational aspect of a university’s workforce could have a profound adverse impact for it, including fostering demotivation and dissatisfaction among employees, reduction in productivity due to poor performance, a high attrition rate, increased cases of dismissal and hiring, and a rise in the number of grievances and complaints. The academic staff of any HEI are among the key stakeholders of the university and are accountable for a significant component of the overall university budget. Faculty members play a critical role in achieving the mission and objectives of the HEI. Therefore, the quality of the research, teaching, and students largely depends on the performance of the teaching and research staff (Rowly, 1996). Several empirical studies have demonstrated that university teaching and research staff members rely more on intrinsic rather than extrinsic motivation. Intrinsic motivation is linked with and stems from the faculty’s fascination with teaching and research work; career advancement; promotions; increased responsibility towards the job; role in different committees; and recognition by peers, subordinates, and the management. The additional intrinsic motivation factors include reduced intervention by the management, greater autonomy, access to good academic and administrative facilities, and a conducive

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working environment in the campus. Indeed, financial rewards and incentives play a crucial role in fostering motivation among the faculty members. Extrinsic motivation is the hygiene factor of the university as an organisation. The other external motivation factors include salary and compensation, financial rewards and incentives, and working conditions (Herzberg et al., 1959; Siddique et al., 2011; Tella, 2007). Like their counterparts among the faculty, the non-teaching staff also play a crucial role in the efficient functioning of the HEI. However, given that they are not directly involved in research and teaching activities in an academic institution, the non-teaching staff should steer clear of merely performing their routine activities monotonously and promote innovation and fresh thinking in order to fuel growth and a creative environment in the institution. It has been observed that the work of the support staff is often repetitive, which could lead to ennui and declining productivity. They should thus be encouraged to take challenging and creative initiatives as part of their routine work. For such jobs, the non-academic staff thus needs to be infused with a high degree of intrinsic motivation, enabling them to perform their jobs to the best of their abilities (Lau, 2010; Muchtar, 2003; Ogunode & Emmanuel, 2023). It is obvious that both intrinsic and extrinsic motivation play a significant role. Meanwhile, the non-academic functions in HEIs are going through massive physical and conceptual changes. The innovative initiatives and additional responsibilities in the new systems, emanating from the competition faced by the HEI for brand building, and for attaining better ranks, and the advent of new challenges, are all leading to a substantial increase in the workload of the non-academic staff in HEIs. In this context, the role of HRM in creating strategies for facilitating employee motivation in a university is crucial. These strategies need to focus on promoting an amicable and productive work culture; sound HRM policies focused on encouraging professional growth; effective performance appraisal schemes; opportunities for personal development; management of disgruntled employees and addressing the reasons for their dissatisfaction; launch and efficient implementation of social welfare schemes; boosting financial motivation; and linking performance to salary and promotion. Commenting on these imperatives, a faculty member from an Indian HEI stated: Most certainly, it is essential for a good HR team to follow exemplary HR practices and policies. HR teams need high-quality human resources, and it is equally important to motivate the support staff.

The above faculty member clearly enunciates the need for best practices by HR teams as that would positively impact the professional motivation and job satisfaction among the faculty and staff. The key here is that HEIs need good-quality human resources in the HR department. A good HR workforce is significant for providing better assistance to employees and for ensuring the initiation and execution of good HR policies. The existence of a good and empathetic HR department ensures efficient succession and career planning for faculty and staff members, while also providing them the confidence to discharge their duties with dedication. Faculty members may also be assured of incentives and rewards when they publish an additional paper, teach

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a different or additional course, attend an academic conference, or engage in other consultancies. The HEI concerned may also identify new priority areas periodically, bringing in changes regularly to keep the staff and faculty motivated. For example, currently, an area of importance for the HR departments of HEIs could be pandemic management, which would inevitably change, say after five years or so. Simultaneously, it is important for HR to keep staff members motivated by devising attractive policies and providing them incentives and opportunities for growth. The Vice-Chancellor of an Indian HEI suggested, Good HRM policies and practices will positively impact job motivation and faculty and staff satisfaction. Good HR practices have helped me to bring everybody on the same page.

The Vice-Chancellor of another Indian HEI remarked: Something on paper is one thing, but proper implementation execution is another. I think adequate implementation and performance depend on the leader’s dynamism and the employees’ support. There should be a continuous need assessment, and also a regular audit. One must accordingly decide the benchmarks we want to achieve, and the existing staff has to be given training to fulfil their goals. That is essential because we need to assess where we stand. And that will give us an idea of the gaps and how to fill and narrow those gaps. Someone should be doing that continuously; and this where the importance of HR comes in.

It follows that there could also be other parameters for boosting motivation levels among individuals. For example, the faculty may feel motivated when they can publish more quality papers or publish a book or an article or teach well. The critical factor is the proper implementation and execution of HR policies and practices. Towards that end, the key element is dynamism in leadership and efficiency of the HRM team. The leaders of the HEI need to be granted sufficient autonomy to take appropriate decisions for efficiently and effectively managing the institution. They need to be able to recruit dynamic human resources. While the HEI may have developed various HR policies from time to time, they also need to be updated and monitored proactively. Such policies should also be reviewed regularly. In the face of global competition, the HRM team should know what is happening in other HEIs to bridge gaps. Regular internal audits help the HEIs understand where they stand and where they need is to improve their internal systems. Encouraging employees to proactively shoulder their responsibilities is also a crucial role of the HR in an HEI. While HR statutes usually clearly define each employee’s job profile and powers, employees at times are reluctant to use these powers. Their reasons could include a fear of upsetting their bosses and colleagues, and inadvertently committing some mistakes, which could severely impact their future development. Here, leaders need to step in to ensure the empowerment of employees and a clear delineation of their job profiles. The strategic role of HRM and leaders in the HEI is thus vital in all the aspects of governance of an HEI. The Vice-Chancellor of an Indian HEI commented: We started the journey precisely to ensure that employees are empowered and clearly informed of their roles in the institution. It will be back and forth, back and forth. But I

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think this is the only way forward. There will be people who understand their job better and how to do it. And if I am good at something, I should be doing that. If you are good at something, you should be doing that. So why should we all be doing the same thing repeatedly? That’s not good management at all.

While interacting with the participant, it can be inferred from the above statement that the interviewee believed that good HR policies and practices would help motivate and the faculty and staff of an HEI and ensure job satisfaction for them. The HEI has already started establishing a dedicated HR department manned by a professional HR team and is initiating new HR policies with the assistance of its professional HRM team. This HR team also has to ensure that there is no mismatch of job profiles. Those who are good at a particular job need to be assigned those jobs. Another possibility could be to rotate staff jobs at the junior levels to avoid monotony and boredom. At the same time, HR needs to organise regular training for all the employees, including faculty members. A faculty member from an Indian HEI averred: There is peace of mind if we have good HR policies and practices. We know that there is someone with whom we could talk in case any help is required. In the background, I know there is a sound support system for me. I can focus on my research; I can concentrate on my teaching. So as a faculty member, that is important for me. Then obviously, I can spend more time on research, good quality teaching, and a sense of belonging. The most critical aspect here is a sense of belonging, which translates into higher productivity and job satisfaction.

The above speaker is convinced that good HR policies and practices could positively impact faculty and staff motivation and job satisfaction. Once the employees are satisfied that the HEI is taking care of their needs and requirements, it would help nurture a sense of belonging towards the institution among them, motivating them to optimise their potential. Such initiatives also help boost the overall productivity and performance of the HEI. The Registrar of an Indian Institutions of National Importance said: Intuitive HR policies lend a sort of stability to the institution and enhance the motivation level of the employees. Without those policies, the decisions at all levels would be arbitrary, which is not good for the institution.

The above speaker’s statement indicates that employee-friendly HR policies provide clear guidelines to the employees, which directly impact employee motivation. For example, employees are aware of the parameters/performance indicators that contribute to their future progress and promotion, which is one of the vital factors that motivates them to perform efficiently. They are keen to know about compensation or performance-linked incentives, as well as other HR policies and incentives that impact their growth in the organisation. An important aspect pertains to the designing of such HR policies, initiating proposals for approvals by various authorities, and ensuring the effective communication/dissemination of these policies to the employees. HRM plays a key role in all these areas. Presently, there is not much scope for regularly initiating similar HR policies in public-funded HEIs and private HEIs. However, the proper implementation and execution of HR policies are possible and equally essential in both publicly and privately funded HEIs.

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Another Registrar of an Indian Institutions of National Importance pointed out: Good HR policies certainly motivate faculty and staff, and attract good people. Thereafter, the challenge is to retain them. And if you want to keep such employees, you must have clear-cut HR policies. And while designing those HR policies, it is important to consider all possible factors to ensure that it is an enabling policy and not an obstructive one.

The above voice highlights yet another essential aspect of good HR policies, viz. attracting the right talent. Employees can be expected to inquire about HR policies, benefits, and other campus facilities available in the prospective organisations, and to compare such factors with the policies prevalent in competing institutions before deciding which HEI to join. HR policies that are perceived to be beneficial thus attract good performers to join the organisation. The Dean of an Indian HEI asserted: The job of HRM is not only to draft policies but to create a proactive mechanism for ensuring effective communication about all the available HR policies to both existing and prospective employees. Although HR can generate good policies for the faculty, they must focus on the staff side. I have observed that often the staff remain in the same positions for several decades, and even their designations remain the same. This needs to be changed to help the team members grow and to keep them motivated.

The above remark reinforces the importance of good communication and the need to spread awareness about the prevalent HR policies among the employees. It is indeed essential to update employees about HR policies from time to time in order to prevent any miscommunication or confusion among the employees and to enable them to optimally use their rights. It is also imperative to devise effective HR policies and career progression schemes for the non-teaching staff in an HEI, as they too play an equally important role as that of the faculty members. Having a disgruntled and demotivated team will adversely affect the performance of any HEI, and if no attention is paid to redressal of employee grievances, the institution may become bureaucratic and less productive. The Registrar of another Indian HEI argued: Once we have sound HR systems, the employees will get efficient support regarding their claims, housing issues, promotions, and training, among other factors. The faculty and staff will focus on their core areas. That means that having a robust system will help everyone.

The Dean of an Indian HEI stated: Sometimes there is a sense that once a faculty member is on board, you leave them to do their own thing. But I believe that the quality of an academic’s performance should improve every year and every decade. I think providing that kind of support and that kind of expectation of driving the quality of their teaching and communication is part of the university’s job. If you have good HR systems in place, it can help make that happen.

The above suggestion emphasises the importance of providing efficient support to faculty members. It is a well-known fact that once faculty members are appointed, they are immediately expected to integrate themselves into the system and start their mission of teaching, researching, and supporting the HEI in the mission of brand building. However, with efficient support from the HEI, the faculty may find it easier

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to align their performance with the HEI’s mission and goals. The various support functions in an HEI, such as the HR department, library, IT, finance and accounts, and Estate departments, have to ensure that they accord all possible support to the faculty and the students. The quality of teaching and research will undoubtedly improve once such support is in place. Another Dean of an Indian HEI said: If the institution follows sound HR practices, reasonable people would be interested in joining it. Robust practices will naturally motivate both teaching and non-teaching staff to perform at their best. The impact would also get reflected in other parameters. You will find better placement of the students after graduation and better output in research and teaching.

The participant agrees that good HR practices and policies motivate faculty and staff members. Good HR practices lead to effective good recruitment processes. Good recruitment practices could include: (a) Well-communicated advertisements, (b) Robust shortlisting processes, and (c) Well-represented selection committees. Yet another Dean of an Indian HEI commented: ‘I think good HR practices can motivate staff, but they can also increase rigidity at times. I believe that employees always like HR to bend. And if they don’t do it, it sends a perfect message. For example, some institutions do not promote employees unless they conduct research. Then you’ll find that the focus does come in. I think the progress should be incentivebased because otherwise you’re not giving the right signal.

While good HRM practices and policies could motivate the employees, it could sometimes increase rigidity, particularly when some people are rewarded for their performance, it could become challenging to manage them because of the change in their status. HRM needs to have enough checks and balances to tackle such a situation. It needs to adopt a stick-and-carrot approach in HEIs. Promotions or incentives have to be done purely on a merit basis. Once such a signal goes out, the rigid employees start performing and fall in line. The Dean of the fourth Indian HEI remarked: Indeed, better HR policies, such as an excellent recruitment process, leads to the recruitment of better faculty, which, in turn, leads to greater prestige for the institution, and, therefore, more student enrolment in it. Communication with the employees about the available benefits is essential. I learned about various pension schemes in my organisation only after spending almost 18 years in it. Somebody came to me with some form after 18 years, asking me to choose this or that. I said that I had been working there for 18 years, but don’t remember anyone telling me about any such form prior to this. The faculty and staff also need to be provided information about medical benefits, travel leaves, maternity/paternity leaves, and other such benefits and policies. Of course, they have been written somewhere in some manual but not adequately communicated to staff.

Good HR schemes also lead to improved prestige for the HEI, thereby promoting quality student enrolments. Once they join the institute, faculty members focus on their teaching and research and do not have much time to think about the other aspects

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of their lives. The need of the hour is to have sound and proactive support systems within an efficient HRM structure. The Vice-Chancellor of an Indian HEI revealed: Good HR practices have helped me to bring everybody on the same page. As the ViceChancellor, I used various HR practices, formal and informal ways, to motivate our employees. For example, if someone is doing very well, I will pat them on the back and say that as a VC, I will depute you for an international conference or appoint you as a committee convener. So, I use various HR practices to motivate our employees.

The specific HR rules also depend upon the style of the individual leader. Indeed, informal communication is widespread in academic institutions. There is the possibility of certain unwritten norms or practices being prevalent in HEIs, which play an essential role in motivating the key employees of the institute. It may be possible to grant promotions or incentives to employees only sometimes, so good leaders explore various HR practices to motivate their key employees. In an organisation, there will always be a group or a disgruntled lot who will criticise the management, while another group would support the administration. The reasons for such differences in attitude could be personal, or related to the temperament or behaviour of the employees, or the functioning styles of individual leaders. In order to survive in an organisation and deliver its missions and objectives, dynamic leaders always adopt ways to motivate their key employees, including using informal HR practices. The Vice-Chancellor of another Indian HEI affirmed: Good HR policies will have a good impact on the motivation and job satisfaction levels of the faculty and staff. If we have a separate HR department, then everything will be efficient. Now everything is mixed with the general administration. I will give you a small example; when I took over as the Vice-Chancellor, there was a massive backlog of pending faculty promotions, and I said nothing had been done so far; all faculty should be granted on-time promotions. Suppose there had been an HR department; they would have taken care of it appropriately. However, we have a department that is not neither nor efficient nor adequately equipped in terms of human resources to take care of all these aspects in the institution. Therefore, unless the VC takes the initiative, we can’t promote people on time, but the process should be systematic and well charted out.

The above speaker is reaffirming the importance of setting up a dedicated HRM unit in the institution. Presently, in most HEIs in India, the general administration department takes care of all the administrative aspects as well as the HR-related tasks. In view of the present challenges in the higher education sector, such a system is insufficient and inadequate; hence, the HEIs need to build and promote professional expert systems. The insightful comments of academics indicate the need for creating strong systems in the institute instead of linking the various mandates of the institution to specific individuals. If systems are put in place, they will ensure the smooth functioning and timely execution of all the decisions taken by the institute. Here, decentralisation, automation, and setting up of digital systems could play a key role. The succession plan devised by HRM is also essential to ensure that no vacuum gets created and that the systems function smoothly. Participant (another Vice-Chancellor of an Indian HEI) suggested:

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Academicians need good facilities, a good environment, and good HR policies. Once the institution can provide all these benefits, the motivation levels of employees will be high. These best policies will help retain and attract the best talents for the institution. Another thing that I must emphasise is the creation of a digital HR system, which make life easy for everyone while also saving a great deal of the employees’ time and preventing hassles.

The Dean of an Indian HEI remarked: If you implement a good HR policy, everything would be known to the employees. New appointees will also know what role they would be playing immediately on joining the HEI. What kind of promotions will be done, where is the advancement of knowledge, where will they be awarded for good work? Will their children find good schools nearby? What kind of welfare schemes are available? HEIs will have to create a conducive environment for efficient functioning and communicate very well with both the teaching and non-teaching staff. When people join an institution, they must also be informed of the types of schemes being offered in it and should not be kept in the dark. Best HR practices will surely go a long way in making the employees happy.

The importance of disseminating information about the institution’s HR policies and practices among both existing and new employees in the HEI cannot be underscored. Having clarity on the job profile and the performance parameters is very important. In addition to the HR policies, the employees certainly look forward to some support when settling down in a new place regarding key issues affecting their locations, such as housing, information about nearby schools, crèches, hospitals, markets, and so on. The HR staff thus needs to be equipped to provide such support for enabling new recruits to settle down, and induction programmes could also be organised for facilitating this. The Dean of an Indian HEI also reiterated the importance of an HRM system in the institution and likened the HRM system of his college to a “cog in the wheel of his university”. The above voice elaborates that the role of HR is vital as it enables the employees to focus on their core areas, be they associated with teaching or research. In this way, the employees are not constrained to simply doing administrative and management work and are confident that the entire system would support them.

5.2 Employee Motivational Outcome Universities play a crucial role in developing a nation’s research and innovation ecosystem to ensure its future prosperity. Various empirical studies have demonstrated that in an organisation, the motivational factor pushes employees to become proactive, resulting in excellent individual and organisational performance, and the best outcomes. In an HEI, the critical outcome factors include quality of teaching, research, enrolment of students, better placements after graduation, and scope for higher education (Zlate & Cucui, 2015). Faculty members also play a crucial role in producing innovative research, visibility of the university, scientific progress,

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and government policy decision-making process (Daumiller et al., 2020). The nonacademic staff too has an equal role in fulfilling the HEI’s mission to function efficiently. They support the university’s goals and objectives and quality enhancement by providing their best service delivery (Manalo & Apat, 2021). The theme, “employee motivational outcome”, emerged from the comments of the principal stakeholders. During discussions with the key stakeholders, it was clear that motivated faculty and staff positively impact an HEI. The results include higher and quality student enrolments, better placements after graduation, and consistent quality of research and academic outputs. The Vice-Chancellor of an Indian HEI maintained: A happy and satisfied employee always kindles the same feelings in others and the students of the HEI. This will lead to a happy workplace where employees and students will yearn to contribute. This will have a ripple effect on all the functions and overall performance of an organisation.

The Vice-Chancellor of an Indian University opined: Having a motivated faculty is critical because you can have the best people, but sometimes they are not motivated and are not up to the challenge of getting things done. A similar approach also needs to be adopted by the administration. The institute brand helps attract good students, and leads to better placements and good research and academic work. However, these factors depend on the quality of the faculty and staff that the HEI has recruited. Motivated employees and the best HR policies help build the HEI as a brand.

The above academic confessed that people were not bright in the institute concerned. However, when more competent staff were recruited, accomplishing the assignments was easy as it helped maintain high motivation levels and ensured that things were done easily. The group approach was beneficial, and a similar system also needs to be adapted on the administration side. The speaker emphasised the need for maintaining a balance and focusing on the motivational levels of the employees, which would possibly yield better results. Concurring with the above argument, the Vice-Chancellor of an Indian HEI propounded: Motivating faculty and staff will positively impact the critical aspects of the HEI. My institute is a residential one. The university support system is the part that the external world meets first. They don’t meet the core faculty on the first day. So the impression, understanding and efficiency of the outer layer that supports functions are significant when you are linking with the outside world. We also make them meet the senior students. As regards the quality of the students and faculties, the results are much better if you can give them the right kind of support.

The above interviewee implies that non-teaching functions also play an essential role in brand building for the HEI. Further, word-of-mouth publicity is also necessary for creating a favourable image for the institute. Before the advent of digitisation, and online and ranking systems, the word of mouth played a crucial role in determining the image of an HEI The seniors would talk to the aspirants coming to the campus and to their parents, who thus got complete information from the senior students.

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Thus, appropriate and timely support from the institute to the students and faculty is significant and would lead to better all-round outcomes for the institute. Dean of an Indian HEI said: I agree that motivated faculty and staff could lead to: a) higher student enrolments, b) better placements after graduation, and c) quality research and academic output in a consistent manner.

A faculty member of an Indian HEI voiced: Better human resource practices matter enormously. The system will not function unless you can recruit and retain excellent faculty and staff.

The critical parameters for defining the success of an HEI, including intake of high-quality students, good placements, and robust research, depend on empowered and motivated employees. The Dean of an Indian HEI argued: Implementation of good HR practices is the only thing that matters. Unless you can recruit and retain great quality faculty and staff, the system will not function.

The Registrar of an Indian HEI asserted: As far as student enrolment is concerned, it all depends on the quality and motivation levels of the faculty. A motivated faculty also leads to higher enrolment. At the same time, the processes of graduation and placement of students depend on the curriculum and its efficient delivery. The order also depends on interaction or the extension and the relationship that the faculty and the entire department build with the industry or the prospective employers.

Motivated faculty members are those whom the students consider approachable and from whom they can gain academic knowledge. Highly skilled and knowledgeable faculty members who cannot successfully guide or teach students are not of much value. Students generally choose a department or a discipline based on the quality and acumen of the faculty members and the feedback they get from their seniors or alumni. A good department is primarily one that has high-quality faculty. As far as the quality of the non-teaching staff is concerned, that too has an impact on the institution’s success, though an indirect one. The students feel elated if a motivated team delivers or receives support from the non-academic divisions. For example, suppose a student has an administrative problem and finds that the matter has not been resolved. This reflects the inefficient functioning of the administrative staff of the HEI, and students start avoiding enrolling in such places of study. The student administration systems also need to be geared to resolve student issues effectively. Another aspect that could positively impact prospective employers, who hire students, is the integrity of the evaluation system and its reliability in the HEI. If the evaluation system being implemented in the HEI has leakages, the credibility of that evaluation process and the quality of faculty and the institution as a whole would be under a cloud. In this context, the Registrar of an Indian HEI proposed:

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Student enrolment depends on the brand of the institution. Given that the best talent joins our university, we have to keep raising our expectations. With our infrastructure and intellectual capacity, we always try to maintain that level. Indeed, a motivated faculty further motivates the students, and the subsequent knowledge transfer takes place more smoothly.

Since well-motivated faculty will always try to pass on their knowledge to the students, the HEIs have to keep the morale of the faculty high so that the students also benefit from the positive outlook of their teachers. The Dean of an Indian HEI contended: I favour higher student enrolments but only in the long-term as that would lead to better placements after graduation and better and consistent research and academic outputs.

Motivated employees will thus play an essential role at each stage of the organisation’s success, in both the short and long terms. The Dean of an Indian HEI declared: Academia is not purely transactional at the end of the day. It is not as if you go to a marketplace and buy a TV, but there are a lot of other elements to it. If the faculty and staff are well taken care of and offered good incentive schemes and adequate support, they would be motivated to work at the HEI. Ultimately it depends upon the peace of mind of the faculty and staff. They will be able to spend more time on research and good-quality teaching and will also have a sense of belonging to the institution. The all-round outcome would therefore be good.

An efficient support system keeps the employees, including both faculty and staff motivated. If the faculty and staff are reassured that they can talk to and seek assistance from someone within the institution, they would not worry about mundane things and would instead focus on research and teaching. The faculty and staff also often experience a “sense of belonging” with the students, which, in turn, translates into much higher productivity. The Registrar of an Indian University posited: Things will improve in general, but in our case, we may not see much difference in the student intake, given our particular standard and infrastructure constraints. However, HR policies will have an impact if we do not provide medical insurance and a pathology reimbursement scheme to the students.

Students perceive the situation differently if there is a breakdown in the welfare ecosystem at the HEI, particularly that pertaining to the medical schemes. The Dean of an Indian HEI further postulated: Better recruitment practices lead to better faculty, which, in turn, leads to more prestige and, therefore, higher student enrolment. You are talking about the end products from the beginning to the end, but there are many things in the middle. Of course, if you hire good people at the beginning and your institution is running well, the end products will also be better. So, I agree that motivated faculty and staff will positively impact student enrolment, placements, and research output.

The recruitment processes and hiring of good human resources form the basis for better results in an HEI. Therefore, the organisation must make extra efforts to motivate its workforce during its tenure in order to ensure better outputs. The Dean of an Indian HEI) voiced:

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The motivated faculty and staff would certainly have a better outcome of the HEI, which could be reflected in the better placement of the students after graduation, and there will be better output in research and teaching. These are the things that will have a positive impact.

The Vice-Chancellor of an Indian HEI professed: Getting hold of the right people for the right job is most important. Here the role of the leader is very important in terms of identifying the potential of every person around him. First, selection of the right people for the right job is critical Second, it is imperative to create a culture in the organisation, which would lead to open-mindedness and delegation of work. It would also infuse the staff with confidence to better perform their jobs.

Leadership in the twenty-first century should be horizontal, not hierarchical or vertical. The staff in an HEI must respect everyone around them, and this respect should not be based on the positions of the people but on the extent of their empowerment. Good leadership mandates that employees be given credit for every achievement while the leader takes ownership of any mistake. Such an approach provides more confidence to the employees as they know that their boss is ready to support and protect them if something goes wrong. The Vice-Chancellor of an Indian HEI enunciated: Student enrolments increase because of the name and fame of the faculty. At the same time, the name and fame of the institution increase in direct proportion to a rise in publications by the faculty and the number of placements. So, the more placements we do, the more people are attracted to the institute. Having good faculty and robust HR policies definitely has a positive impact. I must offer them something novel if I want to retain a good faculty. This also leads to better enrolments.

With a proper human resource management system, it becomes easier for the head of the HEI to offer motivational incentives to its employees, which also highlights the old-fashioned way of motivating employees in HEIs that is currently being widely practised in the country. As we advance, we must have proper, multifaceted and transparent motivational tools to enable the institute’s head to extract the best out of its employees. The Dean of an Indian HEI commented: Implementing advanced HR systems is bound to have a good impact on the critical parameters of the job. The faculty must to teach students effectively to make them competitive and fully conversant with their domain of study. Given the competition in the placement interview process, most people will fail to move past the first round of interviews. The quality of the teaching does matter. Motivated teachers doubtless could provide high-quality teaching. And the role of the non-teaching staff is that students, when studying at the university, need many resources outside of academics and like keeping the laboratories and libraries open for them for longer time durations, and providing them access to digital and other resources.

If students work with faculty on research projects, case studies, and research paper writing, and interact with industry professionals in a holistic manner, it would lead to significant outcomes. For instance, when students come in contact with the experts while the latter are giving a talk, it would promote the students’ academic and overall development. The industry requirements also encourage the students to get well-versed with the methods of the industry and to better plan for their future. A faculty member of an Indian HEI noted:

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In Indian settings, higher student enrolment is not an issue for many HEIs. But it is an issue for a new HEI, especially for private colleges and universities. Given our population size, enrolment is not a problem. However, if you have motivated faculty, you could improve the enrolment quality. Also, the placements will be better if you have inspired faculty members who spend quality time preparing for their teaching classes and are also available to students whenever the latter need their guidance and support. It will affect the quality of students you produce, improving their chances of placement.

Given the population size in India, HEIs, in any case, will always have higher student enrolment. However, the quality and motivation levels of human resources will have a tremendous impact in terms of attracting quality students, facilitating good placements for them, and fostering high-quality research and academic outputs of the HEI. The Director of an Indian HEI observed: Very often, the large population of India leads to higher enrolment in any educational institution, but it may not lead to better placement of the students when they pass out. And even when it at times leads to better placement and higher enrolment, it would not lead to good quality research.

The importance of employee motivation and how it can be sustained has emerged as one of the critical findings of the research study. Most participants indicated that sound HRM policies and practices positively impact the job motivation and satisfaction levels of university employees. This would be subject to various parameters, including the quality of professionals recruited for the HRM unit. A good HR workforce could provide employee-friendly and efficient assistance, which would encourage the employees to be proactive and take challenging initiatives. This would also enable faculty and staff members to focus on their core jobs because they would then be confident that the department would take care of their core needs. It could help in retaining good employees and also attract new employees. Efficient HR policies also support the head of the HEI, who then finds it easy to deal with the staff and to get the work done through them because the employees are motivated. HR policies could also suitably satisfy employee expectations, by clearly delineating each person’s job profile and promotion guidelines. Apt leadership also plays a vital role in ensuring the execution and implementation of good HRM policies, like motivating employees in various informal ways, including through some unwritten norms. Further, good HR policies need to be communicated effectively among the employees. Automation and digital systems could play an important role here. Excellent HR policies and practices could positively impact the overall motivation of the faculty and staff. Additionally, the provision of efficient support by the HRM would boost the satisfaction levels of both the faculty and staff. This study provides ample evidence of the fact that keeping employees regularly motivated is essential for the continued success of any HEI. Professional HRM functions, policies, and practices could play a crucial role in this direction and help foster committed and goal-oriented human resources in the institution.

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Most people interviewed in the course of this study agreed that employee motivation in an HEI has significant implications for overall HEI performance, particularly in the following three critical areas: 1. Quality of higher student enrolments; 2. Better placements of students after graduation and scope for higher education; and 3. Consistent quality of research and academic outputs. Ensuring the quality of human resources is crucial matters as it impacts the research component of any educational institution. It is a fact that student enrolment is not a problem in India; rather the challenge is how to attract quality students. Student enrolments also depend on the quality of the employees and their motivation levels, including both the teaching and non-teaching staff members. The nonteaching team plays a crucial, though indirect, role in ensuring efficient student support systems. If efficient HRM policies and reasonable incentives are devised for the faculty and staff, it would keep their morale high while also augmenting academic productivity of the HEI. The implementation of a well-thought out and efficient recruitment process plays a crucial role in this direction. Sound HRM policies and practices also play a pivotal role in the performance of both the employees and the organisation. Finally, keeping the employees consistently motivated is crucial for the success of the teaching, research, and outreach departments in any HEI.

References Daumiller, M., Stupnisky, R., & Janke, S. (2020). Motivation of higher education faculty: Theoretical approaches, empirical evidence, and future directions. International Journal of Educational Research, 99, 101502. https://doi.org/10.1016/j.ijer.2019.101502 Herzberg, F., Mausner, B., & Snyderman, B. B. (1959). The Motivation to Work, 2nd Edn New York. NY: John Wiley & Sons. Koonz, H. Cyrill O’Donnel, & Weirich, H. (1982). “Management”. McGraw-Hill Book Company, Inc. Lau, W. K. J. (2010). Empowerment of non-academic personnel in higher education: exploring associations with perceived organizational support for innovation and organizational trust. The University of Iowa. Luthans, F. (1985). Organisational behavior. McGraw Hill Book Company Inc. Manalo, M. C., & Apat, E. J. C. (2021). Motivational factors and its influence on the job performance of non-academic staff in a university. International Journal of Academe and Industry Research, 2(3), 48–63. Muchtar, R. N. (2003). Work motivation of administrative staff in private universities. Journal Bisnis Strategi, 11(8), 34–40. Noor, A., Rahmat, A., & Afdhally, S. S. Z. (2020). Lecturer Research Performance: Research Motivation, Research Culture and Lecturer Satisfaction. International Journal of Innovations in Engineering Research and Technology, 7(06), 31-42. Ogunode, N. J., & Emmanuel, D. (2023). Human resource management in university system in nigeria: Barriers and possible solutions. Ijtimoiy Fanlarda Innovasiya Onlayn Ilmiy Jurnali, 3(3), 1–11.

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Rowley, J. (1996). Motivation and academic staff in higher education. Quality assurance in education. Siddique, A., Aslam, H. D., Khan, M., & Fatima, U. (2011). Impact of academic leadership on faculty’s motivation and organizational effectiveness in higher education system. International Journal of Academic Research, 3(3). Tella, A., Ayeni, C. O., & Popoola, S. O. (2007). Work motivation, job satisfaction, and organisational commitment of library personnel in academic and research libraries in Oyo State, Nigeria. Library philosophy and practice, 9(2). Zlate, S., & Cucui, G. G. (2015). Motivation and performance in higher education. Procedia—Social and Behavioral Sciences, 180, 468–476. https://doi.org/10.1016/j.sbspro.2015.02.146

Chapter 6

Human Resource Management Practices in the US HEIs and a Comparison with Indian HEIs

This chapter discusses the human resource management practices prevailing in higher education institutions (HEIs) in the USA. It also offers a comparison between Indian and US HEIs. Human resource management practices in HEIs in the US are standardised and advanced in not only in the private HEIs but also in the publicly funded HEIs. The HRM system is synchronised with the mission and objectives of the universities. Various empirical studies have demonstrated that robust HRM practices critically affect employee performance and productivity and enhance academic excellence in the HEI. In US universities, the role of HRM was traditionally minimal and confined to the general administration function, such as providing assistance in the recruitment process and issuing office letters, appointment letters, and increment letters, among other things. However, beginning in the 1980s, a need was perceived to transform the American higher education system, which focused on professionalising the HRM in universities (Keller, 1983). Successive governments also started becoming concerned about the role of higher education in society. Further, it was felt necessary to provide complete autonomy to and modernise the functions of the HEIs. Another reason for introducing expert HRM was to minimise financial dependence on the government. The Bett Review (1999) pertaining to higher education, including the remuneration and working conditions in HEIs, noted the terrible condition prevailing in the personnel departments of these HEIs. Based on some of these factors and with the government’s intervention and the proactive support of the HEIs, it was decided to modernise the personnel function in the universities. The government offered various attractive financial benefits to the HEIs for implementing the HRM strategy and also emphasised the need to focus upon professionalising HRM instruments concerning recruitment and selection, staff planning, performance management, reward for good performance, and the management of poor performance. As a result, using various motivational tools provided by the government, most universities started working on building expert and strategic HRM swiftly and proactively (Evans & Chun, 2012; Guest and Clinton, 2007). © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_6

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In contrast to HEIs in the US, however, most Indian universities have retained the traditional function of the personnel department, generally called the establishment department. In Indian HEIs, there are no experts or professional workers to manage HRM instruments, such as recruitment, training and development, performance evaluation, career development, compensation and benefits, and social welfare relations. Without the support of such an expert team, it becomes very challenging for universities to deal with the human force. Indeed, the administration and faculty members cannot perform the HRM functions. Given the globalised and competitive world that we live in, there is a dire need to build a professional and expert team comprising a human resource management workforce. Realising the importance of an expert HRM team, some Institutions of National Importance and private universities have already commenced the initiative of building such a professional entity. The need to examine the following six factors emerged from the qualitative research study and in-depth interviews conducted during it: (1) Structure of human resource management, (2) recruitment and selection processes, (3) training and development, (4) career progression, (5) performance management, and (6) retention systems. The key findings under each factor are summarised below.

6.1 Structure of Human Resource Management The HRM structure that has been developed in the HEIs in the US includes a dedicated HRM unit comprising a professional team of experts. The specialised HRM functions performed by this team integrate employee relations, compliance, and grievance management. HRM also plays a crucial role in motivating employees and boosting their efficiency. HRM is critical for ushering in organisational change and facilitating internal coherence and is thus central to the university system in HEIs in the US. In contrast, the HRM in Indian universities is fragmented, with the various HRMrelated tasks assigned to different stakeholders. The HRM system in Institutions of National Importance and in some autonomous private universities in India is, in fact, still in a nascent stage. The personnel department in most universities continues to undertake the traditional administrative functions, mostly providing logistical support and playing a very minimal role in the execution of the other HRM instruments. The HRM responsibilities, such as overseeing recruitment and shortlisting of candidates, promotion processes, training, and performance evaluation management, are separately assigned to various administrative departments. Hence, there is little scope for HRM to play a strategic role (Pandit & Paul, 2021a, 2021b). During interaction with the participants from HEIs in the US, most of them confirmed that both public and private universities have professional and dedicated HRM departments. They discussed and elaborated on the functioning of the HRM units and critical instruments of the same prevalent in HEIs in their respective countries. The comments of the faculty members of different universities in the US are enunciated below along with their associated implications. A Professor of a US university remarked:

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One part of HR is an administrative function. The second part of HR is a compliance function because you have many laws that institutions will have to follow in the US. HR has to make sure that all the rules are followed. And, if you have a grievance, you can approach HR. The third function is that HR assures that all the hiring, retiring and separation are done according to the rules and regulations.

The above participant in the survey suggested that in the US, HRM is responsible for keeping the house in order, ensuring that every rule is followed, and overseeing salaries, benefits, kinds of leaves, and human resource-related administration. The HEI has an Associate Vice-President of HRM and a fully staffed team that handles all the compliance functions, including various laws that institutions must follow in the US, such as federal laws, which cover the issues of non-discrimination, equal opportunity, and non-harassment, among others. Any faculty or staff member having any grievance can complain to the HRM department because the latter must follow compliance rules. The HRM must ensure that all hiring and firing is done as per the rules and regulations. Although both the faculty members and other staff are employees of the institution, there are different categories of employees, such as temporary faculty and tenured faculty members, with the latter enjoying lifetime tenure. Staff members usually do not enjoy tenured jobs. Further, there are differences between universities too because, in some cases, unions exist. Thus, staff contracts are complicated documents, differ from one state to another, and are governed by state and federal laws. HRM also has to ensure adherence to various kinds of tax rules, and deal with visa-related issues for employees. One of the significant roles of HR is monetary supervision, including overseeing salaries and pay scales. The Associate Vice-President of HR reports to the VicePresident of Budget and Finance, who, in turn, is a part of the Board/Cabinet. Additionally, if somebody puts in extra work hours, HR keeps track of such activities and ensures disbursement of extra wages funded through different sources to the concerned employee, with the Board being the ultimate decision-making authority in such situations. Another Professor at a US university agreed that the existence of a dedicated HRM unit is necessary for an HEI. He revealed, We have an HR and Benefits department, which does quite a good job.

The participant further elaborated that proper delineation of HRM policies is necessary for clarifying how one should avail of benefits such as promotions or maternity leave. Since teachers usually get closely involved in their profession, often to the neglect of HR issues, there is need for a team or an efficient HR system that takes adequate care of the employees’ needs. Another Professor of a US university commented: I do not doubt that universities, like any other large organisation, need a strong HR department. And that department has to look after the human resources of the university. It will cater to staff, faculty, and students, and each will be dealt with differently.

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A dedicated HRM unit takes care of everything on behalf of the employees. Staff members do not have to fill up numerous, as all paperwork and formalities are managed by HR in a very transparent and time-efficient manner. From the faculty perspective, having a diligent HR team is the most efficient way to ensure smooth delivery of social security benefits like pensions and health care, which can otherwise prove to be very complicated and challenging issues. As a one-point contact, the HRM unit helps optimise employee productivity and output, without making faculty and staff run from pillar to post to avail of their due benefits and perks. The participant further pointed out that the process of managing the administrative staff is not very different from that of managing the corporate staff, and it is thus pragmatic to view the university system as a service business. Service businesses depend significantly upon strong management of their human resources because their strength emanates from these very human resources. The only difference between management in the two types of organisations is that the manner of intervention for the faculty in an HEI is different from that in a service-based organisation. The participant also explained that one of the essential aspects overseen by the HRM in the US is fixing of the compensation in consultation with the Dean/President. This compensation is based not on a grade or cadre but purely on market demand. The payment can assume different forms, including, for example, lowering teaching loads and providing more research support funds. It is quite possible, for example, that people hired during the same year in the same university would be paid differently. Salaries are usually kept confidential unless the employee is working in a public university. Another source of compensation for the faculty could stem from the teaching of more executive courses. Yet another Professor of a US university averred: The HR department is crucial in a modern university, and I did not realise how important it was until I moved to an American university. There, I learnt that HR is like plumbing in a household because you don’t see the plumbing. You usually see the outside paint. But it will be a useless house if you pay attention only to the colour outside and ignore the plumbing.

The above participant in the survey further shared his experience about the functioning of HR in their university. Being a faculty member, the participant is not required to meet the HRM team regularly because the functioning of HRM is efficient. However, when the participant was the Chairperson of the Department, s/he used to have regular interactions with the HRM team. In the case of the non-teaching staff, the HRM takes care of their complete lifecycle at the university. Senior academic administrators also play a role along with the HRM team in supervising the academic staff. Sharing the experience of having worked with corporates, the participant also pointed out that like its counterpart in academic institutions, HRM also plays a significant role in the corporate sector for all employees. The participant highlighted the importance and enormous attention accorded to career progression in the US HEIs, which, however, needs to be revisited in the case of India. The HEIs in the US maintain a proper employee record, including a performance management record. Whenever they want to pick a talent, they quickly check the performance records of the organisation’s employees and choose the particular

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skill that they are looking for. Having such a system works to the benefit of the more talented people. The participant also shared their experience while being associated with Indian HEIs and asserted that in India, a gap that needs to be addressed is realising the importance of the role of the non-teaching staff. While members of the academic team, like Professors and other senior faculty, engage in teaching, research, and publication of papers, the administrative machinery operating behind the scenes plays an equally important role, and can effectively make or break a university. However, this reality is not appreciated enough in India, whereas in the US HEIs, all the stakeholders realise that while teachers comprise an essential component of the academic system, the system itself would crumble without efficient support from the other departments, especially the HRM team. Another participant in the survey, also a Professor in a US university, noted: We have a dedicated human resource department. HRM provides efficient support in recruiting faculty members and fully takes care of recruiting non-teaching staff. They keep the talented people motivated and then take good care of their welfare and their right to benefits. The benefits packages are very similar across universities.

The above participant highlighted the importance of the employee benefits initiated by the HRM team, especially in the US, which is characterised by relatively weak social government protection. The HRM therefore, takes care of critical employee benefits like medical insurance and retirement benefits. Another participant, also a Professor in a US university, said: For advertising for positions in professional journals, my department prepares the list of candidates to be interviewed in the conference’s annual meeting, serving as a job market.

The participant concerned further mentioned that during the interview process, the department prepares a shortlist of the candidates to be invited to visit the campus. Each invited candidate is required to make a presentation at a seminar and meet with: (i) Faculty members and graduate students of the department, and (ii) the Dean of the Faculty. After all the shortlisted candidates have visited the campus, a departmental meeting is held that lists the prospective candidates to be appointed in the order of preference for each position. This list is thereafter shared with the Dean of the Faculty, and after the Dean’s approval is received, an offer is made to the top-ranking candidate. If that candidate declines the offer, the same offer is made to the candidate occupying the next rank, and so on. Once a candidate accepts the position, the formal request goes to the candidate from the university’s central office. Another participant (Professor of a US university) remarked: We have a reasonably large Academic Personnel Office, which deals with numerous aspects of an academic’s professional life in the university. We also have several committees of the Academic Senate dealing with different aspects of an academic’s life.

It is thus obvious that prominent HEIs in the US, like that of the above participant, have large HRM departments, which monitor the entire lifecycle of an employee.

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6.2 The Recruitment and Selection Processes In HEIs in the US, the faculty members play a crucial role in the recruitment and selection process of the academic staff. In particular, faculty recruitment is considered to be a very critical process and is the chief responsibility of the academic staff. The faculty, deans, and other vital stakeholders enjoy voting rights and play a decisive role in recruiting academic colleagues. The recruitment system is largely decentralised. The HRM team gets directly involved in the recruitment process in the case of the administrative and non-teaching staff. At the same time, members of the HRM team provide efficient and strategic support in the recruitment process of the academic staff. They also efficiently perform various tasks during the selection process, such as shortlisting of candidates, delivering job talks, conducting interviews, and making offers to the selected candidates. They ensure that the selection processes, such as appointment of the selection committees, and a job offer to the candidate, are undertaken as per the federal laws and the statutes of the university. Another major function of HRM is to ensure the appropriate designing, dissemination, and placement of job advertisements to attract the best talent in the institution. Most HEIs in the US have flexible and rolling advertisements. Eventually, the offers are made strictly on the basis of merit and the all-round performance of the candidates, for both academic and non-academic candidates. The HRM of the HEI also ensures that all the reference checks, records, and details of the past job performance of the candidates are in order. Further, they do systematic and professional background checks to assess the attitude and behaviour of each candidate. In contrast, the recruitment and selection processes in Indian HEIs are not as efficient and professionally managed as in their US counterparts. Since in most HEIs in India, the administrative team initiates the recruitment process, it needs to be better-versed with the academic criteria for the candidates, such as their publications, weightage, and rankings, as well as their other academic credentials. In addition, the Indian HEIs do not have any empowered or expert teams to ensure the rigorous implementation of recruitment procedures and processes, in accordance with the prevalent statutes and other rules of both the institute and the government. In most universities, the recruitment system is centralised, resulting in delays in making offers for appointment to the selected candidates. It has been observed that when universities make offers, the candidates often decline the offers as due to delays in the offers made to them, they are found to have already joined other organisations. In a few cases, it has also been observed that the recrement is not done purely on merit. The job advertisements thus need to be more informative and attractive enough to attract the candidates’ attention. Another participant, (a Professor in another US university, revealed: Recruitment of faculty members is done by advertising of positions in professional journals and websites. Each candidate is invited to visit the campus and must present a seminar. They meet faculty members, graduate students of the department, and the Dean of the Faculty.

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The process of recruitment in HEIs in the US is different for different categories of employees. Any recruitment starts with a request for the same by the department concerned, which has to first establish the need for an additional employee. It is unlike the Indian system, which is characterised by sanctioned positions. In the US, the entire recruitment process hinges on the requirement of the candidate and the associated budget. Every year, each department takes stock of its human resources requirements; for example, while recruiting faculty members, the department concerned collectively examines all the courses that the faculty teach in that particular year. And then, it assesses the number of students it has, their particular areas of interest, and the concomitant need or otherwise for more faculty members. After these deliberations, the HR department may decide that the institute needs two more faculty members. However, simultaneously, it is essential to ensure the availability of a budget to hire the additional human resources. Hence, the department chair will have to look at the budget and see if they have the requisite funds for the appointments. Thereafter, the department chair has to seek approval from the Dean, who, in turn, takes into account all the aspects associated with the recruitment procedure, including the budget, before making a decision. The entire process is vetted by the Vice-President of Academic Affairs, the Provost’s office, and then the Budget and Finance department of the institution. Hiring human resources on a short-term contract is more straightforward and entails less complications than positions on the tenure track. Once the need for a particular post is decided, the request for appointment goes to HR with all the necessary documentation, including a proposal for the selection committee and a suggested panel. In this way, the HR department creates a hiring mechanism. HR also needs to ensure the formation of the selection committee as per the norms and federal laws. the composition of the committee must be diverse, in terms of not only race, gender, ethnicity, and nationality but also the external experts it consults. The chair generally heads the selection committee. Once all the formalities have been completed, the HR department advertises the position in all the media that it has selected for dissemination of the advertisement, on the basis of the mandated guidelines. The same committee shortlists the candidates after all the applications have been received, and the recruitment process commences. In the US HEIs, the recruitment process is decentralised. Academic administrators like the faculty deans and department chairs play a crucial role in finalisation and selection of the faculty positions, while the role of HRM remains vital in the recruitment system. HRM is responsible for hiring non-teaching staff, and deciding their compensation, and other processes. Some US HEIs have a flexible hiring system, and hire faculty and staff throughout the year. Their faculty members also enjoy voting rights to select their peers. Another Professor of a US university argued: The US recruitment system is exceptionally competitive as compared to systems in the rest of the world. In particular, when students finish their PhD, there is a very organised job market for them. Recruitment is considered the most critical activity involving the participation of the entire department and faculty members because it identifies who would be part of the department in the future.

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The above participant said that the recruitment system in the US HEIs is unique relative to the rest of the world because it is incredibly competitive. In particular, when students finish their PhDs and start looking for Assistant Professor positions in different HEIs, they have to go through a highly organised and structured process, with job postings available and advertised in various forums. Various professional associations start holding meetings right at the beginning of the year in January itself, before which multiple applications would already have been screened and the shortlisting completed. After the interviews, a few chosen people are invited for campus interviews in late January. They spend one day visiting the campus, presenting a seminar on their research work, and meeting the faculty members individually. Lunches and dinners are also organised for the candidates to enable them to interact with the faculty and to provide both the prospective candidates and the existing faculty the opportunity to get to know each other. Each department spends a fair amount of time discussing the merits and demerits of different candidates. Then the departments start making offers to the candidates of their choice, and many universities make offers simultaneously. Thus, the candidates receive multiple offers from different HEIs, and the process of selecting one from among all the offers received by them extends until late February or early March. A considerable amount of effort and resources are spent in recruitment, with the process generally commencing in the month of October the previous year. Faculty recruitment is an important activity for the entire department, and the existing faculty members participate actively in it. It is obvious that human resources in the teaching and research faculty are the most important and valuable assets for any HEI. The above participant also outlined in detail the recruitment process of human resources for research projects. Usually, the faculty leading the research project initiates the requisition to recruit the project staff as per the agreement. Advertisements need to be placed; thus, the project leader prepare draft advertisements and sends them to HR, which then posts the advertisement. All the applications received by them are forwarded to the lead researcher, who shortlists and then interviews the candidates. S/he may also seek the advice of the department colleagues before sending recommendations to HR, carrying out all the background checks, fixing the compensation, and finally making the offer to the selected candidates. Thus, some Institutions of National Importance (INIs) and a few private universities follow some of the best HRM recruitment practices.

6.3 Training and Development The training and development programmes, which are prioritised in the US HEIs, are primarily focused and goal-oriented, and it is considered essential for all employees to participate in these programmes. There are also well-organised induction programmes for recruits. The HRM organises annual mandatory training programmes for faculty and staff members, and special mentoring programmes for women. With the support of a professional HRM team, it becomes easier for the

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universities to organise regular and focused training programmes. In addition, there are unique teaching training programmes and learning centres for faculty members. In Indian universities, in contrast, the training programmes initiated by the HEIs and other regulatory bodies are not very focused and goal-oriented. It is perceived that some of the training programmes and refresher courses for the academic staff undertaken by the Human Resource Development Centre need to be made more attractive and comprehensive. The other challenges faced by the HRM in India include the lack of availability of quality resources. The universities sometimes find it challenging to depute their employees for such training programmes, given their manpower constraints. There is thus need for greater focus on developing women leaders; that is, the “leaky pipeline” in HRM in Indian universities needs to be fixed soon. The key stakeholders in HEIs in the US also extensively discuss the training and learning systems available in their respective HEIs and the benefits and outcomes of the same. As another Professor of a US university indicated: There is some mandatory training that every employee has to participate in annually. For example, every year the HRM team tells us about changes in regulation or law. It becomes a theme for training.

The above participant further elaborated on the prevalent training programmes and learning systems in the US and revealed that training programmes are decentralised and regular, with a continuous focus on training and development. The culture in the US HEIs is very different, and the academics there are like a family. Learning processes continuously take place all over the campus; for example, the subject of a seminar could be agriculture one morning and cyber-security and law seminars at another time and venue. The students can pick and choose these theme-based seminars based on their interests, and it is like an organic system. Additionally, the faculty members have to go through some mandatory training programmes. Every year, the HR decides on a certain number of hours of training that every faculty member has to mandatorily undergo, which could also have legal or policy implications. There is also a virtual training session, called “e-learn the dual system”, which is economical and helps save time. For example, faculty have to attend five video lectures attended for an examination, in which they have to score 80 per cent or above, failing which they need to undergo the training programme again. Some training programmes cover statutory legal issues as well. For instance, there could be significant legal changes in compliance rules, privacy rules, and specific financial rules, among other things. These strictures speak volumes about the seriousness of the training and learning processes followed in the US HEIs. In this regard, the Professor of a US university stated: We also have training programmes that go into three areas. There is one mentoring programme for women faculty. The other one is a mentoring programme for the faculty. And we have a teaching and learning centre that mentors faculty about teaching. I just finished taking a course on how to do online teaching.

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The above participant highlights various kinds of training programmes initiated by the HEIs for their employees, showcasing the seriousness of the HEI in pursuing intuitive teaching and learning systems. Another participant (also a Professor in a US university) remarked: Many mentoring and training programmes are organised for the faculty and staff at the university level. For example, in the case of faculty, a junior faculty will be assigned to one senior faculty for mentoring by them. We sit at the back and watch them, and then we must write a report.

This participant also mentioned that initially, the university supports young faculty members with research grants to carry out research projects, which signifies a highly beneficial grooming and training process. Once they complete two years, the faculty members are on their own and have to generate funds for their research projects. Senior faculty also guide the junior faculty during the latter’s probation periods. Another participant (a Professor in a US university) noted: Training programmes are done in a big way at our university. Mainly the administration staff is provided training and counselling regularly. When I was the department chair, the students interacted with the administrative staff regularly. We always ensure that the team is well trained to manage the student interface very efficiently.

The above voice highlights the various mentoring programmes operating for nonteaching staff and their active involvement in university affairs. The US HEIs have a proper mentoring and training system, and staff members are provided regular counselling by management experts. A lot of focus, attention, and energy are invested in the HEI employees’ training and development systems. As a result, the staff members take pride in being part of the university and remain motivated.

6.4 Performance Management Like the recruitment process, the performance evaluation management in the US HEIs is also crucial and goal-oriented. All the US universities undertake systematic performance management. Salaries and compensations are linked with the outcome of individual performance. Promotion and career progression are critical parts of the evaluation of the annual faculty and staff evaluation. The cycle of faculty and staff evaluation in some universities may vary. For example, it could be undertaken quarterly or once in six months for staff. Performance evaluation and its outcome are excellent motivators for the faculty and staff members because they presage salary hikes and the scope for better prospects in future. Seeking tenure is considered as an essential milestone, and faculty members are considered for the tenure position only after a rigorous evaluation. Most importantly, the HRM imparts systematic training to the key stakeholders, managers, and supervisors on the ranking performance scores for each parameter. Again in contrast to their US counterparts, Indian HEIs ostensibly have enormous scope for improvement in their performance evaluation systems. Given that

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most universities, particularly public-funded HEIs, offer guaranteed salaries, the performance evaluation exercise is not taken very seriously. There is also hardly any difference between a good and a bad performer. Even though only some universities have a performance evaluation system, it is not found to be very efficient and resultoriented. However, with the implementation of the National Education Policy 2020, the appraisal system is expected to form a vital part of the annual performance evaluation system. Confirmation of the probation period for either faculty or staff is not competitive and rigorous, and forms a routine part of the process of offering candidates permanent positions. There are hardly any training and mentoring programmes, and effective guidelines are rarely provided to the supervisors about the evaluation of the performance parameters. Universities in India could thus learn a lot from US universities regarding the implementation of efficient performance evaluation systems. The faculty members from the US HEIs discussed the performance management systems in their respective universities and shared their experiences and the outcomes of the performance management exercises. Most participants agreed that the performance management instrument plays a vital role in the overall development and growth of the faculty and staff in an HEI. A participant (a Professor in a US university) commented: A person’s salary is negotiable at the time of initial appointment. After that, an increase in the salary of a faculty member comes from two sources. One part of the salary increase is automatic (such an increase is university-wide and is usually based on inflation). The other part is ‘merit increase’, which is determined by the person’s performance and is assessed periodically.

The above Professor further indicated that once a faculty member receives tenure, it is difficult to fire them except in the case of proven criminal conduct. The participant noted that the policy and practice regarding appointments, salaries, terms, and promotions in his/her university are similar to those in many other state universities in the USA. The policies and practices of private universities in the USA, however, may be somewhat different. Another participant (a Professor in a US university) remarked: The goal of the performance management system is straightforward. It is to make sure that you are doing your job. Faculty members are evaluated annually, while staff members are assessed every six months or sometimes every three months, depending on the job’s nature.

While deliberating further on performance management, the above participant mentioned that the faculty members have to usually submit their work and performance plans at the beginning of the academic year. They are expected to provide information on their goals while considering three aspects, viz. teaching, research, and community service, each in sufficient detail. For instance, if faculty members mention in the study the kind of research they undertake, they also need to mention details of teaching and the community service that they are doing. The department chair will have to agree on the weightage and distribution of work to be covered in those three areas, such as if one would be involved in 40 per cent teaching, 40 per cent

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research, and 20 per cent service. However, one must negotiate with the department chair for all these components. Service can involve a range of things. First, every individual is asked to serve on some faculty committees. This could entail serving on faculty committees or different kinds of dissertation committees, chairing some faculty committees, or being a member of a journal’s editorial board, editor of a journal, or serving on a community board. Compensation is based on performance. At the end of the year, the work of the faculty would be evaluated on the basis of the performance plan submitted by them at the beginning of the academic year. The faculty manual also plays an essential role in finalising the evaluation report. In this context, a Professor of a US university suggested: Apart from the promotional decisions, the performance management focuses on what you did over the last year, that is, it focuses on the following questions: What seminars did you give? What courses did you teach? And what was the evaluation of courses? The management gets a holistic picture by looking at all these factors.

The above Professor cautions that the performance management system in HEIs differs from that prevalent in firms and corporates, particularly once the evaluation is for faculty members has been undertaken. Salaries are based on performance, competing pay offers, and what the academic administration/management thinks is appropriate. If a faculty member is underpaid, s/he will generally leave for other opportunities. Often salary increments are made gradually, but if a valuable faculty member decides to opt for a higher salary jump in another HEI, the management is forced to match that offer to retain the faculty member.

6.5 Career Progression In US universities, the development of faculty and staff skills is accorded priority. Comparatively, the career progression system is highly competitive. Such a system helps individuals to become productive and successful and boosts the university’s overall performance quotient. Indeed, the HRM systems and other benefits in US HEIs, such as excellent research platforms and funding support, attract the best talents from both within the US and other countries. Eventually, the US higher education market is considered as the best for appraising skills worldwide. Tenure positions are generally offered after a successful probation or contract period of 6–7 years. In order to ensure the induction of the best talents, universities have an excellent design career progression system. Promotions of the faculty and staff members are purely based on their performance and publications despite the number of years spent in a particular position. Initial offers may be on a temporary and a contract basis to provide proper training and grooming of the faculty members. Similarly, the HEIs have well-organised and smooth career progression systems for the non-academic staff members.

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On the other hand, in the absence of an expert HRM team, the career progression system in Indian HEIs is not systematic and smooth. Universities in India do not follow a rigorous evaluation process, and there is hardly any accountability with regard to the critical aspects of the critical parameters at play in a university, such as teaching, research, and social services. Offering tenure positions is not a competitive task and must be based on merit and performance. Consequently, several employees become lethargic and unproductive, and some even become disgruntled. The grooming of employees, particularly women employees, thus needs to be a more systematic process. Various empirical studies have confirmed the adverse effects of the glass ceiling. There also is a need to have a systematic and regular career progression and upward movement option for the staff members. Indeed, some autonomous institutions like the Indian Institutes of Technology (IITs), Indian Institutes of Management (IIMs), and private universities have better systems in place. The above participant provided further inputs on career progression and emphasised that the HEIs in the US consider an employee’s career progression as top priority, suggesting: As far as the promotion process goes, that’s reasonably standardised within a university but can vary across universities. So typically, the central question is: At what point do you get tenure? Most universities have a tenure system. Once you secure the tenure, you cannot be fired.

The Professor also elaborated the tenure process, revealing that the time before one gets tenure varies, and there could be an initial promotion to Assistant Professor in some schools. There is an initial contract renewal as Assistant Professor, and one is then promoted to the position of Associate Professor, which could be with or without tenure. Some schools decide on tenures at the Full Professor stage. All Associate Professors are appointed without terms. Another Professor in a US university asserted: In this University, the Department takes all faculty promotion decisions. The candidate must give an open seminar in the Department, which is attended by all faculty and students—there is no formal “interview”. Thereafter, the decision process involves a discussion in a facultyappointed committee about the merits. After the faculty vote, the Head of the Department writes a long letter to the Dean, justifying the decision along with a compilation of all the candidate’s documents, books, and papers, and suggestions for the salary to be paid.

The above participant further indicated that the steps are similar for faculty promotion, except in the following cases: (a) Each case is decided based on the following three criteria: research quality, teaching performance (at the end of each course, students evaluate the teacher’s performance and give them a grade), and any service to the university and the profession provided by the faculty member. (b) After six years or so (in the case of women, a year can be added for maternity leave, among other gender-specific situations), the faculty member’s performance is examined in the context of the above three criteria, by a special

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committee in the department and also by a special committee appointed by the Chancellor’s Personnel Committee, comprising a member from the department, a member from outside the department, and a member from outside the university. The university decides if the person will be given “tenure”, that is, made permanent, only after this entire process is rigorously followed. If any faculty member is not given “tenure”, s/he needs to leave the university within a year. (c) Every two years, each faculty is considered for a “merit review” at both the departmental and the chancellor levels, following which the salary is hiked for the successful candidates. (d) Even at the Full Professor level, there are many “steps” for deciding the salary, and at each step, there is a “merit review” to justify the salary increase. If a Full Professor has not done well in terms of the three criteria mentioned above, their salary may be frozen instead of being increased.

6.6 Talent Retention Talent retention benefits the university and its outcomes, which is why retaining talent is prioritised in US HEIs. Universities know the adverse effects of talent attrition and its impact on students; as a result, they offer various options for retaining the best performers. Some of the best options to maintain the skills include offering an increase in salaries and benefits, matching the offer from other universities, providing an excellent campus environment, and, more importantly, providing scope for professional development opportunities (Wapman et al., 2022). Additionally, the concept of job embeddedness is being used in some of the HEIs. Indeed, these initiatives are possible with the best support from the HRM team. In contrast to the US HEIs, the retention of systematic talent and human capital in the Indian HEIs is rare, particularly in publicly funded universities. There is need for greater flexibility for academic administrators to enable them to retain talent. Additionally, universities need to organise regular talent sensitisation programmes about the value and importance of having efficient and productive employees, particularly spreading awareness of the adverse effects of employee attrition. Most importantly, HEIs need to implement flexible systems to retain the best talents, including covering the scope for salary hikes and additional research and professional development grants. Another participant (a Professor in a US university) commented: Overall, the compensation and other systems are almost identical across the HEIs in the US. We don’t have a fixed salary compensation system. An assistant professor may get a higher salary than a full professor gets. It also depends on the nature of the discipline. For example, the salary of a computer science professor is probably two times that of the salary of an English professor.

The above participant affirms that compensation in the US HEIs is based on performance and competitiveness.

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A participant (Professor in a US university) said: A review process at both the Department and Chancellor levels is undertaken. If the candidate has an “offer” of better terms from another institution, the committee will try to match that offer.

The above participant highlights the need for implementing a viable and effective HRM practice for the retention of employees. Another participant (also a Professor in a US university) remarked: Retention of a good employee is very hard. So just this year in my department, a faculty member got tenure. But at the same time, he looked elsewhere and got two other offers. We tried to talk to him. The dean negotiated the new salary with him, including his teaching workload, research grants, etc. And then, after all that being settled, he reconsidered his decision.

A participant in the survey cites an excellent example of a flexible retention system in the HEI. Another participant (a Professor in a US university) opined: When a person is appointed at the junior level (as an Assistant Professor), typically they are not given tenure right away. They are typically appointed for six years. Sometime before the fifth year, a procedure is initiated to decide whether the person should receive tenure and be simultaneously promoted to the position of Associate Professor at the end of his/her sixth year.

The participant elaborated on the tenure procedure followed by their HEI, which takes into account the following factors: (i) The person’s record of research publications (the judgement regarding this is based on the quality as well as the volume of publications); (ii) The record of teaching (the judgement for this is based mainly on students’ evaluation of the relevant courses); (iii) The record of administrative services on the campus (since the university functions based on the principle of self-governance, the faculty members take part in every level of the university’s administration); and (iv) The assessment of external reviewers appointed by the university. First, a small committee comprising people in the department who are familiar with the person’s work prepares a report on the person’s performance, considering all the four factors mentioned above. The information thus noted in the committees report is discussed in a meeting of all the tenured faculty members of the department, and a vote is taken about whether the person deserves tenure and a promotion to the position of Associate Professor. The results of the poll, as well as a detailed report on the person’s performance, go to the Dean of the Faculty, who also receives an independent assessment from the Head of the Department. The Dean adds his/her evaluation to these documents and then sends all the documents to the Committee on Academic Personnel. The members of the latter committee are mainly academics from the various departments of the university. This committee decides the tenure and promotion of the person under consideration, and then the decision is forwarded to the chancellor. If the

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final decision is adverse, the personal appeal. Such an appeal also goes through several stages. Even after a person is given tenure and offered the position of Associate Professor, an exactly similar process is followed later (usually about 6–8 years after the award of the term) to decide whether he/she should be promoted to the position of Professor.

6.7 HRM Policies and Practices: Comparison Between Indian and the US HEIs The research facilitated a comparison of HRM practices in Indian and the US HEIs and is presented in Table 6.1.

6.8 Summary and Observations All the participants highlighted the importance of the existence of a dedicated professional department of HRM in HEIs for efficient functioning. The HRM team ensures that the employees follow the rules and regulations. The broad responsibilities of the HR department include provisioning the efficient recruitment process, the appointment of regular and ad hoc employees, compensation/payroll management, leave management, compliance functions, and training and development. The department is responsible for career progression, performance management, talent retention, and implementation of an efficient grievance redressal mechanism. It ensures that all the HEI employees follow federal laws, and non-harassment and equal opportunity laws. The HRM also takes care of other social security measures like employee retirement benefits, medical insurance, and life insurance. The HR department maintains the employees’ records and provides various other online facilities to the employees to allow them to function remotely. Some participants pointed out that they did not realise the importance of the HRM until they joined a US HEI. It is also evident from the narratives that the HRM unit takes care of the complete lifecycle of the employees. Indeed, they are more involved in the efficient functioning of the nonteaching staff members. All the participants interviewed emphasised the need for a dedicated strategic and empowered HRM unit. The recruitment and hiring process is considered as an HRM unit’s chief responsibility and is prioritised by all the people concerned. The recruitment process is decentralised in most of the HEIs. The department chair, deans, and faculty members play a crucial role in the selection of staff for faculty positions. The faculty also enjoy voting rights while selecting the faculty members. HRM provides efficient support in teaching and non-teaching staff recruitment process. Most HEIs have a flexible recruitment process, and the advertisements for placements are kept open throughout the year. Most of the participants expressed satisfaction with regard to the

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Table 6.1 Comparison between HRM policies and practices followed in Indian and US HEIs HRM practices (Key factors)

India

US

HRM Structure

• Fragmented HRM systems • HRM responsibilities assigned to various departments • No specific HRM unit existing in public HEIs • Nascent stage of HRM in Institutions of National Importance and top private HEIs • Rigid HRM practices and policies • Multiple stakeholders for HRM functions

• Prevalence of a well-developed and evolved system of HRM • Well-structured HRM-specific units • Efficient grievance redressal system • Flexible HRM practices and policies • Dedicated and clearly defined functions for HRM

Recruitment • Inadequate succession planning and Selection • Rigid recruitment processes Processes • Faculty voting not considered necessary • Delayed recruitment processes • Centralised recruitment processes

• Mature succession planning system • Democratic recruitment processes • Faculty voting considered necessary for decisions on hiring, tenure, and promotion of faculty members • Well-planned and timely recruitment processes • Decentralised recruitment systems

Training and Development

• Frequent training programmes organised for the faculty • Regular and annual training programmes mandatory for the faculty • Regular and annual training programmes for staff • Annual mandatory training programmes for staff • Provision of an annual budget for staff training programmes • Regular targeted training development programmes • Focused and targeted training programmes (continued)

• Limited faculty training options provided by the regulatory and funding bodies • Only initial training programmes mandatory for the faculty • Limited options for staff training • No mandatory training for staff • No budgetary provisions for staff training • Limited training options • No focused and targeted training programmes

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Table 6.1 (continued) HRM practices (Key factors)

India

US

Performance Management

• Salary not linked with performance • Guaranteed salary to all faculty regardless of performance • Guaranteed annual increments • Proactive performance management system followed by only some private HEIs • Salary scales at par across the departments and skills

• Performance-based salaries • Part of annual salary linked with performance • Proactive performance management systems followed by a majority of the HEIs • Flexible salaries, which vary across departments and skills

Career Progression

• Tenure evaluation and career progression • Highly competitive tenure based on guidelines laid down by regulatory evaluation • Smooth career progression of bodies like the University Grants staff Commission (UGC) • Permanent positions offered to all employees • Tenure positions offered only to faculty • Rigid career progression of staff

Talent Retention

• No effort to retain employees • No option for the head of the HEI to retain an employee

• Several flexible systems in place to retain employees

Source Based on the collected and analysed data

training programmes organised by their respective HEIs. The HRM also organises various training programmes for all the employees throughout the year. The learning processes are given due importance. There are some in-house mandatory training programmes for all employees, which are highly focused and target-based. The training programmes also include mentoring programmes for the teachers, including special programmes for the female faculty. The training programmes update the employees about various key issues, such as tax reforms, cyber-security, and legal and policy changes. Senior faculty members are also expected to groom the junior faculty members. HRM coordinates all these training programmes and communicates with the employees. There is also a regular focus on the overall training and grooming of the non-teaching staff members. These initiatives also help to keep the employees motivated. Most of the participants in the survey agreed that performance management is a crucial HRM instrument for the overall development of employees. The findings of our study reveal a highly efficient performance management functioning in the HEIs in the US. The compensation system in the latter is based on individual performance, and is primarily market-driven and dynamic. Although the salaries are negotiable when faculty members join the HEI, they could vary from level to level, position to position, and department to department. Part of the compensation is automatic, and the annual increases are given as per the HEI system, also taking inflation into account. Another component of the assessment is individual performance, wherein the faculty members are evaluated annually, while the staff members are evaluated

References

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twice a year. Promotions and tenure are offered purely on the basis of merit and individual performance. The performance of faculty members is generally evaluated on the basis of three parameters, viz. teaching, research, and community service. The participants expressed their satisfaction with the career progression system in their respective HEIs. The critical concern of the faculty members was the stage at which they could be considered for tenure. Tenure is like a permanent position, and there exist no tenure positions for the non-teaching staff members in several HEIs. The HRM systems are flexible, and options are available to retain talent. Usually, the HEIs provide all the HR support and infrastructure, as well as best services for teaching, research, and other facilities to ensure optimal occupational satisfaction and performance among the faculty. It sometimes becomes tough to retain good talent despite the offer of good facilities and attractive compensation packages. This is because the prospective faculty candidates seek offers from different HEIs to make a pitch for negotiations of their salaries. The department chair and the deans thus play a crucial role in negotiating with such candidates. The outcome of this study demonstrates the importance of professional HRM functions in HEIs. The HRM functions in Indian HEIs ostensibly lag behind the corresponding systems in their US counterparts, and thus need immediate attention to ensure modernisation of the HEIs. Although some HEIs in India are placed in the category of Institutions of National Importance, the top-rated private HEIs are still in the nascent stage of developing strategic HRM. The HRM instruments such as recruitment and selection, training and development, performance management, career development, and the retention of talents in US HEIs are more robust than those implemented by their Indian counterparts.

References Evans, A., & Chun, E. (2012). Creating a tipping point: Strategic human resources in higher education: ASHE higher education report (Vol. 38, issue 1, pp 29–43). Wiley. Guest & Clinton. (2007). Human resource management and university performance, research and development series, leadership foundation for higher education. Keller, G. (1983). Academic strategy: The management revolution in American higher education. JHU Press. Pandit, J. M., & Paul, B. (2021a). Can India’s higher education improve through better management of human resources: A comparative study of india and the United States. Indian Journal of Human Development, 15(3), 468–483. Pandit, J. M., & Paul, B. (2021b). Higher education institutions and digital practices in the context of COVID-19. Journal of Business Thought, 12, 33–47. Report, B. (1999). Independent review of higher education, pay and conditions. HMSO. Wapman, K. H., Zhang, S., Clauset, A., & Larremore, D. B. (2022). Quantifying hierarchy and dynamics in US faculty hiring and retention. Nature, 610(7930), 120–127.

Chapter 7

Implications of National Education Policy 2020

The government of India has so far constituted three national education policies to address the issues related to the education sector, two of them implemented in 1968 and 1986, with the third one formulated in 2020 (Ministry of Human Resource Development, 2020). Universities in India will transform by implementing the National Education Policy 2020 (NEP 2020) through radical restructuring and a massive expansion of the university system in India. It classifies universities into teachingintensive and research-intensive universities . The change involves proposals on internationalisation, autonomy, technology, and digitisation in higher education. In the wake of the recommendations of the NEP 2020, most Indian higher education institutions (HEIs) are expected to grow substantially and are required to compete globally. To this end, HEIs cannot afford to continue with traditional management systems and must build professional and committed HRM systems to address human resource challenges. Following are some of the significant observations and recommendations of NEP 2020: 1. The universities in India will have to abandon their rigid recruitment framework. 2. The existing performance evaluation systems in public-funded HEIs should undergo a complete overhaul. 3. HEIs must lay down merit-based recruitment and promotion policies for faculty members. 4. The tenure track system should be encouraged in HEIs (MHRD, 2020). These initiatives envisage a dynamic and transparent hiring and talent management, a fair evaluation system, robust learning and responsive grievance management. While acknowledging that Indian HEIs are facing significant problems due to several issues, such as (a) severely fragmented higher education ecosystems, (b) little emphasis on development, cognitive skills and learning outcomes, (c) limited teacher and institutional autonomy, (d) inadequate mechanisms for merit-based career management and progression of faculty and institutional leaders, (e) suboptimal governance and leadership of HEIs and (f) an ineffective regulatory system, © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7_7

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the National Education Policy (NEP 2020) has outlined a new and forward-looking vision for higher education in India. Accordingly, the NEP envisions a complete overhaul and re-energising of the higher education system to overcome such challenges. The policy recommended some critical changes to the existing system, which include (a) moving towards faculty and institutional autonomy, (b) moving towards a higher educational system consisting of large, multidisciplinary universities and colleges, with at least one HEI offering programmes in local/Indian languages in almost every district, (c) revamping curriculum, pedagogy, assessment, and student support for an enhanced learning experience for students, (d) establishment of a National Research Foundation to fund outstanding peer-reviewed research that would lead to active research in universities and colleges, (e) governance of HEIs by highly qualified independent boards with academic and administrative autonomy and (f) “light but tight” regulations by a single regulator for higher education. With the implementation of NEP 2020, the government of India particularly strives to achieve professional development of HEIs. The Institutional Development Plan (IDP) outlined in NEP 2020 will play a crucial role. In this context, integrated human resource management practices in HEIs will help achieve the objectives of NEP 2020. From the human resource management point of view, the NEP has recommended several incentive schemes to motivate and energise the capable faculty. While acknowledging the fact that the most critical factor in the success of higher education institutions is the quality and engagement of its faculty, it is found that the present HRM systems are not satisfactory. NEP 2020 pointed out, “The faculty motivation in terms of teaching, research and service in HEIs remain far lower than the desired level”. The motivational levels of non-teaching staff are also low due to various constraints, such as lack of autonomy, considerable delays in promotions, promotions not based on merit, compensations not based on performance, low salaries, administrative workload, poor infrastructure, and poor leadership. Accordingly, the NEP has suggested several measures to address teachers’ concerns and ensure that each faculty member is happy, enthusiastic, engaged, and motivated towards advancing their students, learning. The NEP has proposed an incentivisation system through appropriate rewards, promotions, recognition, and upward scope for institutional leadership. Faculty recruitment systems and criteria will be modernised, and fast-track promotion systems will be introduced to recognise high-quality research and individual contributions. To evaluate the teachers’ performance before granting them tenure or confirming their probation periods, the existing system of performance evolution is to be revamped, putting multiple evaluation parameters into place. Similarly, for faculty promotion, salary increases, recognition awards, etc., the evaluation parameters include peer and student reviews, innovations in teaching and pedagogy, quality and impact of research, professional development activities, and other forms of services to the HEI and society. The policy has suggested more accountability measures for non-performing employees. Additionally, the faculty will be provided with state-of-the-art infrastructure and IT support. Faculty with excellent academic records and leadership and management

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skills will be identified early and provided the required training through a ladder of leadership positions. Through NEP 2020, it is expected that basic HRM instruments in HEIs improve, including (a) strategic human resource management practices, (b) selection process for the head of the institution, departments and faculty members, (c) orientation and induction of human resources, (d) training and development, (e) deployment and redeployment of human resource, (f) succession planning, (g) career progression, (f) performance appraisal and development system, (g) mentoring, guidance, coaching and counselling, (h) retention of faculty members and teachers, (i) conducive culture and innovation, and (j) grievance management (Gupta et al., 2020).

7.1 Role of HRM in Change 7.1.1 Multidisciplinary Universities The NEP 2020 envisages a multidimensional framework of change in Indian higher education. For simplicity, however, we reduce the framework into two dimensions: institution expansion and excellence in outcomes. We explore the role of HRM in change within this bidimensional frame (Fig. 7.1).

Fig. 7.1 Possible pathways of growth and excellence

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7.1.2 Institution Expansion Institution expansion refers to the growth in the volume of activities. For example, growth in student enrolment is a type of development. Combined with excellence in outcomes, it captures the enhancement in quality research and teaching, generating four combinations. Quadrant A combines low to medium levels of both expansion and excellence. In quadrant B, while growth is medium to high, excellence stays in the low to medium range. In quadrant C, while excellence is medium to high, expansion varies from low to medium. Quadrant D is closer to what NEP envisages, bringing both expansion and excellence to medium to high. Organisations can move from quadrant A to quadrant D in practically two ways: moving from A to B to D or from A to C to D. Although a straight leap from quadrant A to D is possible, it is far from realistic.

7.1.2.1

The Institutional Dynamics of A to B to D

It is a trajectory from a small university with no substantial achievement to visible progress in activities and outcomes. However, it is not a journey of quantum leap but is about change and leadership, especially in the growth of movements. A classic example is a small university with less than 1000 enrolments a year and below 500 staff members scaling up to at least 3000 enrolments and nearly 1000 staff members. It is not simply a quantitative change in operations. Instead, it calls for strategic vision and leadership. Furthermore, such a change resonates with HRM practices. As the institute scales further, recruitment strategies must be constantly fine-tuned for better hiring and retention. For example, suppose a small research-focusing university that offers postgraduation courses decides to scale up with innovative undergraduate programmes. In that case, it has to adopt new hiring methods because teaching is as important as research in the new system. Another example is the transition from a single-discipline institution to a multidiscipline institution; the definition and expectations of talent will differ for disciplinebound systems and multidiscipline systems. A focused discipline-bound system such as economics may generate excellent research just with high scholarly recognition in economics. However, this system may not align with the excellence expected of innovative multidiscipline education, which involves a more team-based approach to teaching and research. A strategic vision of expanding activities will bring new standard operating procedures and more focused leadership and impact entire decisionmaking. For example, suppose an innovative education programme requires a team of social scientists, environmental scientists, computer scientists and linguists. In this case, the institute should design a modular team approach not constrained by conventional hierarchy. People management, in this case, will provide more autonomy to actors and more accountability to the team to envisage the outcomes.

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The path A to B to D involves the expansion of activities and then achieving excellence. The HRM, in this case, supports the university in bringing the common purpose of expansion and excellence across stakeholders. It involves transforming the subordinate hierarchy framework to an engagement-oriented peer-to-peer framework. The path A to C to D is an alternative possibility. In this case, as a first step, a small university that has yet to achieve excellence in teaching and research evolves into a system of excellence without expansion. However, a trajectory of this sort requires a substantial investment that may need to be revised in the long run. Next, the institution moves from C to D, attaining excellence while expanding its activities. In this context, again, HRM has a significant role to play. First, the stakeholders accustomed to excellence in outcomes but opposed to the expansion may doubt the strategy’s vision. They will be circumspect about whether the expansion contributes to the decay of standards in teaching and research. Responding to such questions will be a daunting challenge. It involves the need for clarity in reasoning and communication, especially about why the expansion is indispensable. Further, it requires an innovative leader who is transparent about the ongoing transformation and who remains accountable to stakeholders. Ideally, the expansion should emerge as a common purpose that is aggregable to multiple stakeholders— students, alumni, faculty, governance, and regulators in the materialising transformation of this kind. HRM acts as a bridge between leadership and stakeholders through innovative practices.

7.1.2.2

Excellence in Outcomes

An interesting case for large-scale expansion from a small system to a complex and extensive system is the Tata Institute of Social Sciences (TISS). TISS was set up in 1936 and is located in Mumbai. Formerly known as Sir Dorabji Tata Graduate School of Social Work, its focus was on diverse aspects of social work. However, over the years, the institution branched off to different domains of applied social science, and the graduate school was renamed Tata Institute of Social Sciences in 1944. TISS became one of the pioneering public-funded deemed universities, recognised by the University Grants Commission in 1964. Until 2006, the institution had fewer than 500 students although it brought new streams of education in personnel management, industrial relation, and health and hospital administration. During 2005–06, the institute reimagined itself through a participative and collective transformational process. Until this change, the institution was organised through disciplinary departments and units of research. After the transformation, departments became multidisciplinary schools that integrated teaching and research. The reimagining process resulted in an exponential expansion in student enrolment and the introduction of various postgraduate and undergraduate programmes that span the entire gamut of sustainable development goals (SDGs). As shown in Table 7.1, student enrolment’s compound annual growth rate (CAGR) grew only at 5% during 2001–05. However, after the reimagining, enrolment grew exponentially

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Table 7.1 Excellence in outcomes illustrated using the Tata Institute of Social Sciences case study Year

Students enrolled

CAGR of enrolment

Undergraduate

Postgraduate

Undergraduate (vocational studies)

2001

391

0

4

0

2005

500

5.0

1

4

0

2010

1667

27.2

1

18

0

2015

4023

19.3

2

50

0

2020

5000

4.4

4

60

18

Note The count does not include enrolment in undergraduate (vocational) studies. CAGR— compound annual growth rate Source Computed from TISS annual reports. https://www.tiss.edu/about-tiss/reports/

Students (Enrollment)

6000 5000 4000 3000 2000 1000 0 2001

2005

2010

2015

2020

Year

Fig. 7.2 Enrolment in Tata Institute of Social Studies during 2001–2020 Source Computed from TISS annual reports. https://www.tiss.edu/about-tiss/reports/

at 27% CAGR during 2005–10. The growth was remarkable not only in terms of enrolment but also in the number of courses. The enrolment scaled up from 500 to 1667, while the type of courses increased from 4 to 18. It implies that the growth involved the upgrading of scale and scope.1 Figures 7.2 and 7.3 show the growth in student enrolment and courses from 2001 to 2020. For a publicly funded higher educational institution, especially in a large economy like India, expansion in scale and scope requires resources and engaging processes. While financial and physical resources are prerequisites to change, transformative leadership is an essential factor in the change. The change in a niche-based HEI like TISS is an exemplary case of collective leadership and shared values. As reflected in the recent chronicle archived on the institute website (TISS story reference), the institution organised a participative change process that reimagined its future trajectory. The departments and units were changed to multidisciplinary schools that offer 1

Scale implies the student enrolment and the scope means variety of courses.

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Count of Programmes

70 60 50

Under Graduate

40

Post Graduate

30 20

Under Graduate (VocaƟonal Studies)

10 0 2001

2005

2010

2015

2020

Year

Fig. 7.3 Growth in the number of courses at Tata Institute of Social Studies during 2001–2020 Source Computed from TISS annual reports. https://www.tiss.edu/about-tiss/reports/

SDG-aligned postgraduate, flexible learning programmes and research. The transformation spanned more than a decade. Now, the institution is interfacing with the change emanating from National Education Policy 2020. An exciting message from this case is that an HEI cannot be complacent, resting on its past glory and lineage. Instead, the institution may transform to adapt to the contexts of change. Interestingly, in India, there are many niche-based small universities with the potential for excellence. However, some institutions rely heavily on the past and resist changes. The crucial challenge is unlocking the university’s excellence to the masses without losing its quality. Moreover, the change also involves envisioning new varieties of learning systems and research to attract talent. In the change process, the HRM becomes vital to provide a conducive environment to transformative and collective leadership and ensuing changes.

7.1.3 Internationalisation In the context of higher education, internationalisation is “the process of integrating an international/intercultural dimension into the teaching, research, and service functions of the institution” (Knight, 1993). According to this definition, most of the toprated and best HEIs today operate internationally. They exchange faculty, research scholars, and ideas. Scholars and academicians collaborate through publication in international journals, seminars, and conferences and as visiting faculty and exchange students. Broadly, it is the professional, academic, social, multilingualism, and intercultural skills reasons which demand the need for the globalisation of societies. There are various other motives, too, which argue that globalisation will become gradually crucial in the higher education segment, which includes the economy and labour markets. Given the challenges to the global higher education landscape, we should have a holistic view of the complete structural design and reform in global HR management

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and the organisation of HEIs. The overall objective of the twenty-first century is to expand the globalisation of higher education in multiple ways. It is a matter of fact that during the millennial transition of the globalisation of higher education, it has shifted from the marginal to a broad and higher-level dimension of higher education worldwide. In the present competitive market, there is an obvious growing obsession with the global ranking of HEIs. More focus is on brand building. Universities such as MIT, Stanford and Harvard in the US are ivy league institutes and have established their brand in higher education for decades. In other words, reputable HEIs have staying power, and their brand makes a good impression on the public (Agarwal, 2006). Ranking of institutes started as an academic exercise in the last century in the US; unfortunately, it has become commercial and a reputation tag today. There is no denying, however, that these institutes still maintain their superior quality, even providing scholarships for the needy. As a result, internationalising higher education has become a matter of pride and priority from the talent hunt and commercial perspectives. At the same time, given the shift from real education to commercial education, some believe that the quality of today’s education has deteriorated globally. HEIs have to find ways to deal with this major challenge and prepare the present generation to lead their lives not only as good human beings but also as great professionals. One of the primary functions of universities in the new global atmosphere should be nurturing a universal awareness among students. This awareness will help students to understand their self and the interrelationship between various cultures and people, so they grow with a respect for cultural diversity. Such features are the fundamentals of unity, peaceful existence among the countries, and real universal nationality (Gacel-Avila, 2005). A Director from Indian HEI voiced, “we must upgrade our standards and campus infrastructure to attract international students”. Here, the participant highlights the importance of upgrading our standards and the campus infrastructure facilities. For example, HEIs need an excellent international student office which facilitates the smooth arrival and stay of international students in Indian HEIs, for example, by helping them get their visas without any problem. The accommodation should be the best. The entire stay of international students must be smooth and supported by efficient staff. HEIs also need to invest in ensuring that their degrees are approved by international agencies and accredited by international ranking agencies.

7.1.4 Motivated, Energised and Capable Faculty2 NEP 2020 has emphasised that HEIs can achieve their goals through motivated and quality faculty. At the same time, while acknowledging that many HRM initiatives 2 Portions of this section draws from my newspaper article published in The Hindu’s Business Line (Pandit, 2022).

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had been taken in the past, particularly recruitment, professional development, career progression, and gender equality in faculty recruitment, NEP 2020 noted that faculty motivation has been shallow. The policy, therefore, suggested measures to ensure that the faculty members are motivated, energised, engaged, and focused towards the objectives of the institution, some of which are: (i) excellent campus infrastructure, including the latest digital pedagogy tools, (ii) lighter teaching load, (iii) autonomy to individual faculty to design their curricula within the norms, (iv) incentives such as promotions and awards for performance excellence, (v) scope for promotions to leadership roles, and (vii) fast-tract promotions for outstanding performance. HEIs need to invest in the overall development of faculty members and provide them with funding support for cutting-edge research, top-rated publications, and career development. This will keep them motivated to remain internationally renowned scholars and help HEIs attract the best talent. Although NEP has not deliberated much on the importance of efficient support functions, it is critical to have an equally efficient team of staff and support staff members. To succeed, HEIs should invest in the training and development of staff. Administrative and other non-teaching staff also plays a critical role in any HEI. Indeed teaching, academic, and researcher staff are three pillars of a top-class institution, and teaching and non-teaching staff should nurture a synergetic relationship. To this effect, the staff should be motivated through HRM instruments, such as career development plans, performance evaluation systems, social welfare schemes, and skill development initiatives. Talent retention is already becoming a massive challenge in HEIs in India. The situation may deteriorate without competitive compensation, better prospects, good employee benefits, and efficient human resource management practices. Most HEIs in India are functioning with only around 40 per cent of their sanctioned human resources strength. Retaining talent is a further challenge. High achievers and those with the best skills join international universities, corporates and non-academic institutions. Managing the higher education workforce, including staff and academic administrators, particularly faculty members, is highly critical to HEIs in India. HEIs face various constraints in recruiting quality faculty and staff, including a scarcity of quality human resources, obsolete recruitment and selection processes, funding restrictions, inefficient human resource management practices, and a lack of an efficient support system. The centralised recruitment system in HEIs is a primary reason for delays in appointments. Additionally, the recruitment and selection processes are not flexible enough and are initiated mainly by staff who may not be professionally trained to deal with HRM instruments such as recruitment. Consequently, in most cases, the applicant has already joined another organisation when offered the job. Retaining talent is becoming difficult in universities, mainly in publicly funded HEIs, because of the rigid rules and regulations. There is little room for heads of HEIs to retain talent. The compensation structure and other incentives universities offer must be attractive and more flexible enough to retain talent. Universities do not follow proactive succession planning. As a result, the recruitment process starts only after a person retires, resigns, or leaves the HEI. There is

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hardly any scope to ensure continuity and to leave a legacy for the new incumbent. When new people join, they take a long time to understand the role and responsibilities without systems to transfer knowledge. The performance management system in HEIs is in flux. While some HEIs follow a performance management system, it must be more compelling. There is hardly any way to differentiate between good and bad performers. To deal with these challenges, our systems in general and HRM practices in particular need to be professionalised. NEP 2020 is a crucial blueprint for transforming the higher education system in India and offers several recommendations for transforming HRM practices and exploring incentive schemes to motivate and energise the capable faculty and staff, such as rewards and recognition, promotions, upward mobility towards institutional leadership, and gender-diversity measures. Moreover, NEP 2020 suggests a dynamic recruitment system, modernised selection criteria, and fast-track promotions that recognise high-quality research and individual performance. The recruitment and selection processes need to be flexible and modern. Going global, joining campus placement programmes and participating in various academic platforms at national and international levels are necessary for a better talent hunt. HEIs must have well-designed job advertisements to attract talent by providing all necessary information, such as the job title, compensation, and incentives. The placement of advertisements on different social media platforms needs to be flexible and rolling. The advertisement process should be strategic and based on research to solicit a good response from suitable candidates. The screening, shortlisting, selection, and job offer processes must be swift and time bound. The recruits must be provided proactive and efficient support from the HRM team with all relevant information to enable them to join the university soon. All stakeholders of the institute should prioritise recruitment and selection. Faculty and staff recruitment should be based on merit. Faculty members must play a decisive role in recruiting teaching and research staff and should be supported by an efficient HRM team to ensure the right candidate is hired fulfilling the statutes. While appointing academic administrators and other staff members, a professional workforce with requisite qualifications and academic and administrative training should be given priority. Studies demonstrate that the work environment plays a significant role in the retention of university employees, in particular faculty members. Accordingly, they should be given academic and professional freedom. Attention must be paid to understanding the needs of the HEI employees. Flexible incentive schemes will empower the head of the HEI to retain talent. Succession planning indicates professionalism and is another crucial factor which needs a priority. It will help preserve the institutional legacy and intellectual knowledge and help recruit the right person for the right job at the right time. The performance management system needs to be professional, systematic, and objective oriented. Promotion and career progression, annual increments, and training must be strictly linked to individual performance.

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To make it to the list of the best universities in the world and successfully implement the recommendations of the National Education Policy 2020, university management in India should be professionalised with immediate effect.

7.1.5 Equity and Inclusion in Higher Education NEP 2020 has emphasised the importance of diversity, inclusion and equity in HEIs and recommended measures to enhance the enrolment of socio-economically disadvantaged groups (SEDGs) in HEIs, such as (i) earmarking funds for SEGs, (ii) boosting the Gross Enrolment Ratio for the disadvantaged group, (iii) providing financial assistance and scholarships to SEDGs, and (iv) conducting training and awareness programmes about various opportunities for SEDGs. As we advance, we must mitigate the challenges of differential attitudes towards the socio-economically disadvantaged group and inequality. Therefore, the HEI leadership has to champion supportive HRM policies to foster equity, diversity and inclusion. Eventually, HEIs will be able to build excellent diversity and inclusion.

7.1.6 Transforming the Regulatory System in Higher Education The National Education Policy 2020 pointed out that India’s higher education regulation system has been heavy handed for years. Based on the recommendations of the NEP committee, it recognised the need to restructure the regulatory bodies to avoid the heavy concentration of power within a few regulatory bodies and other challenges due to a lack of accountability and conflict of interest. To address these issues, the NEP 2020 recommended the establishment of four independent and empowered bodies under one umbrella body, the Higher Education Commission of India (HECI). Regulatory functions such as funding, provision of education, accreditation, and standard setting have been separated and will be performed by the following distinct, independent, and empowered bodies: (1) The National Higher Education Regulatory Council (NHERC) shall function as a standard and single-point regulator for higher education and regulate teacher education, excluding medical and legal education. (2) The National Accreditation Council (NAC) will supervise and oversee the accreditation evaluation of HEIs although the accreditation of HEIs shall be based on basic norms such as public self-disclosures, good governance, and outcomes. (3) The Higher Education Grants Commission (HEGC) will fund and finance HEIs based on transparent criteria, including the Institutional Development Plans (IDPs) prepared by the HEIs.

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(4) The General Education Council (GEC) will primarily frame the expected learning outcomes for higher education programmes, also referred to as ‘graduate attributes’. The NEP 2020 decided that professional councils such as the Indian Council for Agricultural Research, the Veterinary Council of India, the National Council for Teacher Education, the Council of Architecture, and the National Council for Vocational Education and Training will serve as Professional Standard Setting Bodies (PSSBs). In addition to their existing responsibilities, such as designing the curricula and reposing academic standards, PSSBs will set the standards in the respective fields of learning and practice. NEP 2020 does not envisage any regulatory role for PSSBs. All the regulatory bodies such as NHERC, NAC, HEGC, GEC, and HECI will function transparently, be technology based and minimise human interface. These new initiatives will eliminate conflicts to a great extent and will empower each regulatory body.

7.2 Voices from the Field Regarding the need to transform the regulatory system in higher education, one of the participant directors of HEI remarked: The problem is more in terms of the rigidities, not in terms of following the regulatory system.

If an HEI has to innovate, it is not possible within the parameters defined by the regulators. For example, if an HEI decides to provide additional incentives to its employees towards their retention, then there is a need to have some flexibility and freedom for the head of the HEI.

7.3 Transforming Higher Education in India It is critical to transform and professionalise higher education towards sustainable development. Most importantly, as India is soon expected to overtake China as the most populous nation in the world, managing this watershed moment will be a herculean task for the government. Mismanagement will severely impact the growth and quality of HEIs in India. Managing the massive enrolment of students and capacity overload for higher education is already a considerable challenge in the country. However, the government’s decision to allow foreign universities to set up their campuses in India will help to mitigate some challenges in this direction. The initiative will not only provide Indian students with access to quality global education but also create healthy competition among Indian HEIs towards modernisation. In this milieu, the professionalisation of HEIs has become inevitable and a top priority for universities in India.

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Other challenges that Indian higher education faces include coping with global confrontations, demographic structures, poor performance, relying on the traditional systems, the digital divide, and struggles in scaling up. Indian higher education system is over-centralised and lacks accountability and professionalism. Eventually, the burden of academic and administrative responsibilities has significantly increased, diluting the core agenda of higher education, i.e. imparting knowledge, quality teaching, and research (Pandit, 2022). In the face of these challenges, quickening the pace of professionalising higher education in India becomes an imminent need. Management reforms are not prioritised in India primarily because university leadership and academic administrators may not have the domain expertise to improve the internal governance structures, processes, and managerial approaches. Meanwhile, the uncertainty over the funding for higher education, ever-increasing student enrolment, global competition, the continuation of conventional systems, prioritising digitisation, and the continuing marketisation of higher education all signal the need for the modernisation and professionalisation of the higher education system and its overall functioning in India (Pandit, 2022). In this background, the upcoming decade will be crucial for higher education in India. Senior academic administrators need to start collaborating to develop and implement the concept of professionalism within the rapidly evolving, dynamic, and increasingly uncertain context. While the rise of managerialism and the erosion of academic autonomy could pose challenges, we must be pragmatic and accept that the world has changed and that academics must change with it too. Professionalisation of university management, governance, and leadership is critical for achieving the UN’s sustainable development goals (SDG). It could facilitate the leadership to anticipate, design, implement, monitor, and appraise effective and efficient policies for developing human capital, knowledge, and innovation, particularly in the wake of the recommendations of NEP 2020. For example, empirical research has demonstrated that green HRM practices are significant for adopting environment-friendly practices, eventually boosting sustainability. Several studies have established that strategic HRM practices in HEIs help establish gender diversity and maintain a balanced representation of women, particularly in leadership and other academic and administrative positions. University management should start diversifying funding sources. At the same time, the professional management ensures a consistent model of policy goals, gears up for funding resources and increases productivity. Professionalisation of governance includes applying modern managerial approaches, such as management leadership and competence, as well as the ability to learn and adopt a professional process for fundraising and innovative management skills. Another aspect of professionalisation should be modernising and specialising pedagogy and academic programmes. The outcome of these innovations should be an opportunity for more employability, which is now below par in India, not only for graduates but also for youth without formal education.

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Leaders of HEIs must ensure the overall development and interpersonal skills of employees, such as creative and critical thinking and dealing with people with diverse temperaments while being patient. In this context and particularly at a time of advancing automation revolution and synergy between Education 5.0 and Industry 5.0, it is essential to innovate and digitise. We could use artificial intelligence, machine learning, big data, and other digital pedagogies towards innovative teaching–learning processes and other functions of higher education. HEIs must recruit quality faculty and experts for academic support functions such as human resource management, financial management, communication, web design, knowledge management, business development, academic research, international student management, Enterprise Resource Planning (ERP), electronic dissemination, marketing, and print publications. Laying down the best HRM policies and providing attractive employee compensation should be a priority. The leadership, academic administrators, faculty, and staff should be given professional training and digital skills. HEIs should have the best campus infrastructure and lab facilities to help modernise and support brand building, accreditation, and ranking. The situation will worsen if higher education institutions in India resist reforms and delay the professionalisation of their functions.

7.4 Autonomy, Effective Governance, and Leadership for Higher Education3 With a mission towards a high-quality higher education system, NEP 2020 is committed towards faculty and institutional autonomy. In other words, governance and leadership in public HEIs will have complete administrative and academic autonomy with full financial support. NEP 2020 envisaged that effective governance and leadership will create a culture of excellence and innovation and emphasises building world-class self-governance institutions. Appointment of academic leaders, faculty, staff and other professionals shall be purely based on merit. It is expected that all HEIs will achieve autonomy in a phased manner in the next 15 years, which will help them pursue innovation and a culture of excellence. The Board of Governance should be completely restructured, and the Board of Management shall consist of highly qualified, experienced and competent individuals. Leadership positions shall be offered to individuals with high academic qualifications and demonstrated administrative and academic capabilities. There will be a complete transformation in the selection process of HEI leaders. Higher education in India has immensely grown during the past few decades while responding to various challenges, such as globalisation, accountability, technology, the education environment and internationalisation, in general, and meeting the needs of a diverse student base and other stakeholders, in particular. 3

Portions of this section draws from my newspaper article published in Financial Express (Pandit, 2018).

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Conventionally, HEIs were functioning on a collegiate and scholarly basis worldwide, but imparting education is now seen as a business model. This signals that HEIs need to create a blueprint for generating, delivering and capturing value while making revenues to cover costs and to explore innovative models such as strategic human resource management to face the global competition. However, most universities in India still follow the traditional academic and administrative leadership model, characterised by sluggishness, lack of innovation, and professional development. Even though higher education has grown enormously since independence, its quality and global rankings have remained almost the same. Employment opportunities for the younger generation in India are under enormous stress, particularly with a large-scale mismatch in demand and supply. These challenges demand professional management, strategic planning, and new leadership models that could enforce learning, development of novel skills, innovation, and improvement. Empirical research has validated that new leadership styles and strategic management are needed to foster a conducive environment and modernisation. The leadership must believe in participatory democracy and combine collegiality with a proactive business-like approach. Leading and managing a change is a critical and colossal responsibility which may lead to conflicts and failures. Indeed, there should be no compromise on the academic and research quality of the leaders of HEIs. HEIs also need innovative hybrid and triple-helix models, i.e. models that optimise the relationship between the university, government, and industry, to overcome financial constraints and impart the industry skills students need. Neoliberal financial transformations have drastically reduced the financial support hitherto available for the higher education sector. Such a shift in the original concept of higher education, considered a public good, has driven the adoption of business models in higher education, such as the hybrid and triple-helix models. The push for the marketisation of higher education results from the hybridisation of higher education. This means organisations that function in the public and private spheres must fulfil both public and commercial agendas. On the other hand, the triple-helix model brings together the trio of the institution, government and industry. Moreover, NEP 2020 envisaged a leadership succession planning to ensure good practices are continued. It has also suggested that a pipeline be designed to identify and nurture new leaders. Furthermore, the Government of India has announced the transformation of the regulatory system of higher education in India, as outlined in the previous section. The new system is expected to have four independent verticals—regulation, accreditation, funding, and academic standard—empowered bodies brought under a chief body, the Higher Education Commission of India (HECI). On the one hand, higher education is a priority of the government in India; on the other hand, given the demand and affordability challenges, the state and central governments discourage financial dependence on the government. At the same time, the cost of managing universities and delivering knowledge through traditional methods has become exorbitant. With NEP 2020, the management and funding models are expected to change, and the HEIs are expected to raise funds apart

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from government grants. This will also allow full autonomy to the leadership and the universities, and a combination of good leadership with full autonomy could result in a high-quality HEI. Indeed, government funding is expected to be linked with the institution’s performance, which could differently impact government-funded and privately funded HEIs. In this context, the new model of higher education needs to be seen as a business model that brings business solutions and strategic management. HEIs may study the best practices that HEIs in Western countries, corporates, and other private firms follow and adopt them, fully or in part, to deploy strategic management and deal with the funding crisis. HEIs need innovative practices to reduce costs, boost revenue, and strengthen self-reliance. Fundraising has become a critical priority for higher education to take care of human resource management and its expenses, research and innovation expenditures, campus infrastructure needs, capital expenditures, lab equipment purchases, and other expenses. Therefore, it has become an inevitable job skill required for leadership. Indeed, financial planning and revenue generation are complex and involve an understanding of and adherence to regulatory and compliance frameworks, governance, strategic planning, analytical thinking, and entrepreneurial and data skills. Therefore, HEI leaders must possess a strong understanding of strategic management, brand building, recruitment and retention of excellent faculty and staff, motivational HRM policies, result-oriented performance management, financial management, balanced scorecards, financial plans etc., to ensure better management and a fiscally sound institution. These aspects will be more critical during the global recession and economic crises. One of the VCs of Indian HEI remarked. Given our current system of administrative structure in the university, I find it difficult even to execute my ideas. Effective governance depends on consensus-oriented governance, which should be participatory.

Eventually, good governance and leadership depend on the wisdom of HEI leaders to solve the issues for which solutions may not be readily available. For example, leaders must remain balanced while managing conflict or even those who oppose them; in contrast, keeping the entire community happy is a challenge. A leader needs to be a strategist. Sometimes, the leader may have to find ways to keep the faculty and staff who oppose the leader motivated, such as by empowering them with suitable assignments. However, the leader must be cautious in doing so, as it should also not hamper the smooth functioning of the institute. Ultimately, effective governance depends on consensus-oriented governance. It should be participatory and follow the rule of law. Everyone should understand the importance of accountability. It has to be transparent and responsive while being equitable and inclusive. As pointed out by the participant, the leader may find it difficult to execute their ideas. The team members may be from diverse fields, and some may not be competent enough to understand the technicalities and the risks involved. The leader has to choose the right leadership style and develop credibility, so the team members believe in the leader and execute the ideas. In other words, the leader must be decisive but not act risk averse.

7.5 Financing: Financial Support, Affordable, and Quality Education for All

171

7.5 Financing: Financial Support, Affordable, and Quality Education for All NEP 2020 has committed to a significant rise in investment in education, justifying that investment towards higher education is for the overall development of society and encouraging the high quality of the younger generation. The policy has pointed out that the public expenditure on education is not at the expected level of 6% of GDP as recommended by the past commissions (in 1968 and 1986), the Programme of Action in 1992, and recently in 2020. According to Economic Survey 2023, the expenditure on education by the centre and state is 2.9% of GDP, which is far behind the expectation. A 2005 committee appointed by the Central Advisory Board of Education recommended 1.5 per cent of GDP for higher education while India spends only around 1.25 per cent even now, which is very minimal. Similarly, even though it is recognised that ample investment should be made in knowledge and research for sustainable development and a vibrant economy, the budgetary allocation for research and innovation is comparatively low when compared to those of many countries: It is around 0.69 per cent in India compared to 2.8 per cent in the USA, 4.3 per cent in Israel, and 4.2 per cent in South Korea.

7.5.1 Financing and Financial Assistance to Students It is clear from NEP 2020 that the government firmly intends to extend financial support to HEIs and students. The focus will be to invest in critical components such as learning resources, student safety and well-being, and professional development of faculty and human resources, including faculty and staff, to restructure higher education institutions to foster excellence. NEP 2020 has envisaged several measures to ensure efficient management systems to foster excellence, some of which are: 1. 2. 3. 4.

To boost efficiency to ensure efficient utilisation and flow of the funds; To streamline financial governance and focus on efficient management of funds; To provide funds based on the performance of HEIs; To ensure efficient utilisation of the funds earmarked for SC, ST, and OBC students and SEDGs; 5. To expand the National Scholarship Portal. 7.5.1.1

Affordability

The NEP 2020 recommends that philanthropical support is sought towards the development of the education sector. While concerns that such solicitation might commercialise education, the policy has made it clear that such situations will be addressed through appropriate policies and regulations.

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The employability opportunities for the younger generation in India are under enormous stress, mainly because of the large-scale mismatch in demand and supply. This problem is prevalent not only among uneducated youth but also among educated and qualified youth. We need innovative models such as hybrid and triple-helix models to deal with such challenges. Additionally, neoliberal financial transformations have drastically reduced the financial support for the higher education sector. Such a shift in the original concept of higher education, considered a public good, has driven the adoption of business models in higher education, such as the hybrid and triple-helix models. The push for the marketisation of higher education results from the hybridisation of higher education. Organisations that function in public and private areas in the current scenario must ensure that both the public and the commercial agendas are equally met (Van Twist and In’t Veld 1999; Jos Koelman and Piet De Vries, 1999). The scale and mission of higher education have drastically changed due to the changing needs, such as a high student demand and the requirement of extensive facilities to support academic and non-academic domains. However, the cost is a constraint; planning and execution have already been stretched. To cope with such challenges, HEIs began to embrace hybridisation, especially with reduced grants from the state. Hybrid organisations, by definition, accept government grants and are open to market-driven income. As Coates and Mahat (2014, p.581) would put it, Higher education service firms (for want of a better term) are now well established in many fields and can do curriculum and teaching better and cheaper than institutions (such as universities) operating on a legacy business model. These firms are difficult to describe, almost by definition. They take many corporate forms. They may or may not be accredited providers, national or global in scale and scope, for-profit or non-profit, held privately or publicly, and have large or small research capabilities. They function more as partners than consultants. Technology tends to play a bigger role in their core business. Generally, these firms have production functions with lower cost structures and increased economies of scale. They eat into many of the most financially significant facets of sustainable university operation.

7.6 The Triple-Helix Model This higher education model brings together the institute, industry and the government and helps develop a knowledge-based society through entrepreneurship and innovation. It focuses on “innovation in innovation” and the dynamic to foster an innovation ecosystem through various hybrid organisations, such as technology transfer offices, venture capital firms, incubators, accelerators, and science parks. As a universal innovation model, it can assist students, researchers, managers, entrepreneurs, and policymakers in understanding the roles of the university, industry, and the government, informing and developing “an innovative region” which has the self-renewal and sustainable, innovative capacity (Etzkowitz & Zhou, 2017). The triple-helix model encourages the university to play an enhanced role in innovation in increasingly knowledge-based societies. It means not only the relationship

7.6 The Triple-Helix Model

173

Fig. 7.4 Evolution of triple-helix system—Stage 1

State Industry

University

of the university, industry, and government but also internal transformation within each domain. The triple-helix model suggests that the key to improving the conditions for innovation in a knowledge-based society is the interaction between the university, industry, and the government. In this system, the university operates as the source of new knowledge and technology; the industry is the locus of production; and the government acts as the source of contractual relations that guarantee stable interactions and exchange. According to Mills (1958), the triple-helix model elevates the university into a primary institution. A primary institution is one that fulfills a central purpose in society; other institutions depend on it to fulfill their missions. Industry and government have always been major institutions in modern society. The university is elevated to an equivalent status in a knowledge-based society, in contrast to the previous institutional configuration in which it occupied a secondary status.

7.6.1 Evolution of the Triple-Helix System 7.6.1.1

Stage 1

Stage 1 (Fig. 7.4) is a statist model entirely dominated by the government, and the literature indicates that it is a failed developmental system. The former Soviet Union and Eastern European countries under the existing system are stable versions of this model. In contrast, the weaker versions include the policies of several Latin American countries, including some European countries, for example, Norway.

7.6.1.2

Stage 2

The second stage (Fig. 7.5) is a laissez-faire model comprising government, university and industry. However, each is separate and distinct from the others. The three components interact very modestly while having solid boundaries. In both systems,

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Fig. 7.5 Laissez-faire model of university-industrygovernment—Stage 2

State

University

Industry

there was hardly any space for innovation or initiatives; any move towards innovation was discouraged. “From either of these starting points, there is a movement towards a new global model for the management of knowledge and technology that enables analysis of the dynamics of innovation in terms of historical trends, new structural arrangements, and emerging moments of change. A third alternative, in which each institutional sphere maintains its special features and unique identity while also taking the role of the other, is a new development. The triple-helix model attempts to capture this transformation of role and relationships in the emerging primary institutional triad of university-industry-government” (Etzkowitz, 2003). “Triple-Helix III is generating a knowledge infrastructure in terms of overlapping institutional spheres, with each taking the role of the other and with hybrid organisations emerging at the interfaces (Fig. 7.3)” (Etzkowitz & Leydesdorff, 2000).

References Agarwal, P. (2006). Higher education in India: The need for change (pp 119–120) Working paper No 180, Indian Council for Research on International Economic Relations. Coates, H., & Mahat, M. (2014). Threshold quality parameters in hybrid higher education. Higher Education, 68(4), 577–590. Etzkowitz, H. (2003). Innovation in innovation: The triple helix of university-industry-government relations. Social Science Information, 42(3), 293–337. Etzkowitz, H., & Leydesdorff, L. (2000). The dynamics of innovation: From national systems and “Mode 2” to a Triple Helix of university–industry–government relations. Research Policy, 29(2), 109–123. Etzkowitz, H., & Zhou, C. (2017). The triple helix: University–industry–government innovation and entrepreneurship. Routledge. Gacel-Ávila, J. (2005). The internationalisation of higher education: A paradigm for global citizenry. Journal of Studies in International Education, 9(2), 121–136. Gupta, P. B., Dubey, P., Dave, T., & Gupta, B. L. (2020). Strategic human resource management practices in higher education-key to implement national education policy 2020. International Journal of Humanities, Management and Social Studies, 1(1), 14–21.

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Knight, J. (1993). Internationalization: management strategies and issues. International Education Magazine, 9(6), 21–22. Koelman, J., & De Vries, P. (1999). Marketisation, hybrid organisations and accounting in higher education. In: Jongbloed, B., Maassen, P., Neave, G. (eds) From the eye of the storm (pp. 165– 187). Springer, Dordrecht. Mills, C. W. (1958). The power elite. Oxford University Press. Ministry of Human Resource Development, Govt. of India. (2020). National Education Policy 2020. Govt. of India. Pandit, J. M. (2018). Motivating the non-academic staff: A well-defined promotion path helps the staff to evaluate themselves. Financial Express, August 7. https://www.financialexpress.com/ opinion/motivating-the-non-academic-staff-a-well-defined-promotion-path-helps-the-staff-toevaluate-themselves/1271588/lite/ Pandit, J.M. (2022). Higher education, an HR disaster. Business Line, December 5. https://www. thehindubusinessline.com/opinion/higher-education-an-hr-disaster/article66227335.ece Van Twist, M. J. W., & In’ t Veld, R. J. (1999). Public organisations in the market place: Risks, profit opportunities and conditions for existence. NIG Working Papers, no. 99–95. Enschede, The Netherlands.

Appendix A

Methodology

A.1 Introduction The methodology outlines the research objectives and questions, thereby constructing the study’s methodology, i.e. the research design, the sampling criteria and data collection tools. It also incorporates the experience of the researcher during data collection and the ethical considerations that the researcher had to follow while conducting the study.

A.2 The Research Objectives and the Questions The research objectives and questions are listed in Table A.1.

A.3 Research Design Research design is the framework adopted by the researcher for building the research methods and techniques. The research design enables the researcher to construct the blueprint, sharpen the research methods and allows the study to forecast potential problems (Bryman, 2016). The researcher used a qualitative research method with an exploratory research design to study practices and policies of human resource management systems in higher education institutions in India. Qualitative research is used to understand how people experience the world. While there are many approaches to qualitative research, they tend to be flexible and focus on retaining rich meaning when interpreting data. Qualitative research gives voice to the participants in the study and enhances everyone involved in the study. The

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7

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Table A.1 Research objectives and the questions Objectives

Research questions

1. To study HRM practices and policies in HEIs 1. What are the HRM practices and policies prevalent in HEIs? 2. Is there a dedicated HRM function unit in the HEIs understudy? 3. What are the HRM challenges? 2. To understand the influence and relevance of HRM on the overall performance of HEIs

1. Is HRM supporting the performance of higher education institutions?

3. To study the impact of good HRM policies 1. Whether good HRM policies and practices and practices on job motivation of employees of have positively impacted job motivation and the HEIs satisfaction of the employees, particularly faculty and staff members? 4. To study whether the enhanced motivation leads to better outcomes and quality higher student enrolments, better placements after graduation or progress to higher education and quality research and academic output consistently

1. Is motivated faculty and staff leading to (a) higher student enrolments (b) better placements or higher education after graduation (c) quality research and academic output in a consistent manner

5. To study HRM systems and policies in the US HEIs and identify the differences between the US and Indian HRM practices

1. What HRM practices and policies are prevalent in the US HEIs? 2. Whether there are dedicated HRM function units in the HEIs understudy? 3. What are the differences between the US and Indian HRM practices and policies?

researcher works on the social parameters and the quantitative measures in the study. The subjects also have an empowering experience in the study, and they have an active role in the research and can voice their benefits and harms of the study. In addition, with qualitative methods, the relationship between the researcher and the participant is often less formal than in quantitative research. As the name implies, exploratory research intends merely to explore the research questions and does not intend to offer final and conclusive solutions to existing problems. This type of research is usually conducted to study an issue that has not been clearly defined yet. To determine the nature of the problem, exploratory research is not intended to provide conclusive evidence but helps us better understand the problem. When conducting exploratory research, the researcher ought to be willing to change their direction due to the revelation of new data and new insights (Saunders et al., 2012). To strengthen the research output, better understand the functioning of HR practices in foreign HEIs, and for comparative reasons, the researcher also studied a set of HEIs in the US. The qualitative research method is appropriate for studies where the data is collected in a natural setting (Creswell, 2009). The exploratory research design was fitting given the availability of similar minimal studies for reference.

Appendix A: Methodology

179

A.4 Universe of the Study The universe of the study includes all the top stakeholders1 of higher education institutions2 in India and the US.

A.5 Location of the Study The study was conducted across HEIs located in different parts of India, such as Ahmedabad, Delhi, Kolkata, Mumbai, Pune, Koraput-Orissa, Tirupati, etc., while the location of the study done in the US included Boston-Massachusetts, BerkeleyCalifornia, Chicago-Illinois, Ithaca-New York, Maryland, and Nashville-Tennessee.

A.6 Population and Sample Size The top stakeholders and faculty of HEIs constitute the population of all the higher education institutions in India and the faculty in the US. Accordingly, the study sample consisted of twenty HEIs, out of which fourteen HEIs were in India and six HEIs in the US. Twenty-six participants were interviewed. Details of the participants are provided in Table A.2. HEIs were selected based on their interest, structure and representativeness to participate in the study. The selection base of HEIs in India and the US was established on purposive sampling, and the rationale was to have a diverse and geographically heterogeneous sample base. The researcher resorted to purposive sampling, where individuals or groups of well-informed and experienced with the phenomenon being explored are taken as the sample (Creswell & Clark, 2017). The researcher, an academic administrator, and HRM expert in an HEI, established the standards for selecting highly qualified academic administrators and faculty who have the competency, experience, and knowledge in the matter being examined. Accordingly, the study approached the head of the HEI (Vice-Chancellor/Director), Chief Academic Administrator (Dean) and Chief Administrative Officer (Registrar) of the HEI and, in a few cases, the faculty members. The interviews of foreign HEIs (USA) participants covered their faculty members. The rationale to select VC/Director, Dean, Faculty, and Registrar were that they are the key stakeholders of the HEI and are involved in the decision-making of HRM policies. 1

Top stakeholders: Vice-Chancellors, directors, deans, registrars and faculty members of selected Higher Education Institutions in India and faculty member in US. Academic staff includes professors, associate professors, assistant professors, researchers, scholars, teachers, and authors. The support staff include the administration staff, finance staff, library and IT staff, maintenance staff, technology experts who assist the HEI to operate (Ulrich, 2013). 2 The term university and higher education institution are used interchangeably.

180 Table A.2 Sample size of the higher education institutions in India and the US

Appendix A: Methodology

Category

Number of HEIs

Number of participants

Central university (pubic)

3

State university (public)

3

3

State university (private)

3

5

Institution of national importance

3

4

Deemed university

2

4

Public and private HEIs in US

6

7

20

26

Total

3

A.7 Methodology and Tools After a thorough literature review on the related research studies, the research design and the semi-structured interview schedule were conceptualised and executed. There are predetermined questions in a semi-structured interview schedule (Robinson, 2002). The order can be modified subject to the interviewer’s opinion. The wording of the questions can also be modified with explanations. Any questions that seem inappropriate with a particular interviewee can be deleted and replaced with appropriate ones. The literature review and studying the structure and the other aspects of the research study helped form the initial key themes for the study. Although most of the questions/sections were common, one section was different as it focused on academic/non-academic staff. The interview protocol was framed based on the Cresswell (2009) study. All the interviews were conducted online, given the pandemic situation in the world, as it was not possible to visit the HEIs in India and the US physically. Accordingly, the data was collected through web-based semi-structured, in-depth explorative interviews with the principal stakeholders of the selected HEIs in India and the US. The interview schedule was divided into eight initial key themes: human resource management systems, governance, organisational strategy, institutional autonomy, financing, regulatory and ranking framework, research and academics, digitisation, and artificial intelligence technologies. Each section contained three to eight elements for the respondents to comment on. The schedule included both closed and openended questions. The reasons for having both open-ended and closed-ended questions were to get an idea of whether the relevant HRM systems are being practiced and to probe the participants to elaborate further.

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181

A.8 Process of Data Collection Access to various participants in the data collection process was possible due to the professional connections of the researcher with academic administrators, faculty, and staff of multiple universities. The researcher approached the potential participants through email and phone calls, i.e., the principal stakeholders of the selected HEIs. In the initial communication, the researcher explained the study’s purpose, requested their participation, and explained the interview protocol. A copy of the formal introduction letter received from the Tata Institute of Social Sciences (TISS) for conducting the study was also shared. The researcher also explained to the participants the aim of the study and sought their consent to participate in the study. Email communication assured confidentiality and anonymity and that their participation in the study was voluntary. The participants were updated about the approximate duration of the interview and their rights (that they could withdraw or choose not to answer any question that they found uncomfortable to respond to). After receiving the consent from each participant, the researcher requested a convenient date and time for the online interview. The interview was conducted using the zoom online platform the link for which was shared with the participants well in advance. Each discussion started with greetings and an introduction about the study followed by an in-depth interview. A majority of the interviews were conducted successfully through the online zoom platform (video). Interviews lasted from fortyfive minutes to one and half hours, while four interviews were conducted in two sessions of one hour each. There were a few technical glitches with a couple of participants due to erratic internet connectivity. Two participants from abroad found it inconvenient to participate over the online platform hence the researcher corresponded with them through emails and received their written responses to the interview schedule. Two participants were again approached for a few clarificatory questions over the phone. A total of nineteen participants participated in the study. After the successful completion of each interview, the participant was thanked for his/her participation in the study, and mutual contact details were shared for any future communication. The semi-structured interview process ensures data comparability. It facilitates the convenient flow of the individual interviews, which permits the interviewees to liberally deliberate and allow data to develop Bryman (2016). Hence, the semistructured interview method for collecting the data was used. The data was collected over the period August 2020 through November 2020. The key research questions are provided in Appendix A. Before conducting the main study, a pilot study was conducted by selecting two HEIs in two different cities in India. The pilot study improved the content of the interview schedule by removing ambiguities to ensure proper testing of observation techniques and the design as a whole. The pilot study’s importance was better to understand the problem under investigation and its dimensions.

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A.9 Data Saturation On the whole, the researcher interviewed 26 participants, including principal stakeholders in India and the US. The researcher got the sense of data saturation when the 24th interview was accomplished; however, to ensure and support the findings, he continued to interview two more participants, one from each country. Due to the challenges posed by the ongoing pandemic, it was not possible to reach the respondents personally, and also their physical availability was difficult. However, the indepth interviews were held online using the zoom application with the respondents’ consent.

A.10 Plan of Analysis Twenty six in-depth interviews were conducted for the purpose of this research study. The interviews were analysed and understood in-depth using thematic analysis. Thematic analysis is defined as “analysis based on the identification of themes in qualitative material” (Seale, 2004). “Thematic analysis is a method for identifying, analysing and reporting patterns (themes) within data. It minimally organises and describes your data set in (rich) detail” (Braun & Clarke, 2006). Thematic analysis was found to be an appropriate analytic tool given its flexibility. “The hallmark of this form of TA is its flexibility—not simply theoretical flexibility, but flexibility in terms of the research question, sampling size and constitution, data collection method, and approaches to meaning generation” (Braun & Clarke, 2006). The researcher followed the six-phase guidelines provided by Braun and Clarke (2006) in conducting the thematic analysis. First phase: “Familiarising yourself with your data, is focused on reading and rereading the data, nothing down initial ideas” (Braun & Clarke, 2006, p. 87). For ensuring the successful completion of the first phase, the researcher transcribed the interview videos with the help of the software Otter.ai. To avoid any oversights or discrepancies, he went through each video several times to ensure accuracy. The transcript for each interview was converted into a Microsoft document. Then the video recording was cross-checked with the transcript produced by the software, and any mistakes in the transcript were corrected. The researcher read and re-read the complete transcript several times. The researcher started getting a sense of the patterns and meaning and began taking notes while going through the transcripts (Braun & Clarke, 2006), and he followed the manual coding process. Second phase: “Generating initial codes: coding interesting feature of the data in a systematic fashion across the entire data set, collating data relevant to each code” (Braun & Clarke, 2006, p. 87). This means organising the data in a meaningful and systematic way. Coding reduces lots of data into small chunks of meaning. The researcher was concerned with addressing specific research questions and analysed

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183

the data with this in mind—so this was a theoretical thematic analysis. The researcher coded each segment of data that was relevant to or captured something interesting about our research question. Open coding was used; that means we did not have preset codes but developed and modified the codes as we worked through the coding process. Third phase: “Searching for themes, collating codes into potential themes, gathering all data relevant to each potential theme” (Braun & Clarke, 2006, p. 87). The researcher analysed the codes and identified the themes (Braun & Clarke, 2006). The draft theme development and the code placement were done in this particular phase. Fourth phase: “Reviewing themes, checking if the themes work in relation to the coded extracts (Level 1) and the entire data set (Level 2), generating a thematic ‘map’ of the analysis” (Braun & Clarke, 2006, p. 87). In this phase, the researcher refined the draft themes which were identified in phase three. Fifth phase: “Defining and naming themes, ongoing analysis to refine the specifics of each theme, and the overall story the analysis tells, generating clear definition and names for each theme” (Braun & Clarke, 2006, p. 87). The main aim of this phase was to focus on defining each theme, identifying the meaning of each theme and determining to what extent the data and the research questions of the theme fitted in Braun and Clarke (2006). Sixth phase: “Producing the report: the final opportunity of analysis. Selection of vivid, completing extract example, final analysis of selected extracts, relating back of the analysis to the research questions and literature, producing a scholarly report of the analysis” (Braun & Clarke, 2006, p. 87). The sixth phase was the final phase of the data analysis. In this final phase, the researcher focused on analysing and writing the narratives of the data.

A.11 Scope and Limitations The scope of this research is to study the relevance of HRM in higher education institutions in India. As is clear from the literature review, there is minimal research on the hard-core issues related to the HRM policies of HEIs in the country. The present research literature on HRM in higher education institutions in India does not focus on analysis of the impact of human resource systems. Studies undertaken in Indian Higher Education are generic concerning human resource development in such institutions. A study of the relevance of HRM in higher education institutions in India would significantly contribute to policymakers, government and regulatory bodies and existing research literature. The practical contribution of this study is to provide referential information to HEIs in India, other stakeholders, regulatory bodies like UGC and the Ministry of Education, Government of India. The study will also provide relevant information to

184

Appendix A: Methodology

the policymakers at both state and national levels regarding the appropriate modifications needed in procedures and systems, practices and policies to facilitate human resource management systems in HEIs. The study will theoretically bridge the gap, at least partially, in managing the human resource management systems in HEIs. It will provide a reference for future studies in human resource management systems in the same. Speaking of limitations, since this is a qualitative study, the data is particular to the higher education institution studied. So, the outcomes cannot be generalised to the overall population. Each HEI has its structure and limitations, so the study’s result cannot be generalised across all HEIs present in India. Nevertheless, the study will give a brief understanding of HR management systems prevailing in HEIs. To better understand HR management systems, a few interviews were conducted internationally, which helped in gaining comparative knowledge between HEIs functioning in India and the US. Since there is no uniformity in HR management systems specific to HEIs, it is not easy to generalise the study’s outcome for every HEI present in India. The researcher was restricted to collecting data through web interviews during the data collection period. The inability to conduct live interviews was a restricting point for data collection for this study. But the in-depth interviews conducted with the participants using internet media should compensate for the small percentage of information loss.

A.12 Ethical Considerations The researcher has taken permission for data collection from the Doctoral Studies Office, TISS and his PhD supervisor. Accordingly, the participants were approached through emails and telephone calls. The researcher explained the purpose of the study and waited for their response. The interview schedule was also shared with them through email. The participants were assured about the confidentiality of their participation and responses. A majority of the respondents approached by the researcher agreed to participate in the study. Due to the pandemic situation across the globe, the researcher could not meet the participants personally, and the data was collected through web interviews. The researcher conducted the web interviews according to the convenience of the participants. At the beginning of the interview, each participant has again explained the purpose of the study. They were again reassured that their information would be used only for the research purpose. They were also informed that they could stop at any interview stage or skip any question they did not feel appropriate to respond to. The researcher would like to highlight that given the highly qualitative content of this research study, ethical considerations need to be given top priority and strict anonymity needs to be maintained. The researcher used several precautions to ensure the participants’ confidentiality and anonymity as the interviews were recorded using the online Zoom application. The participants were thanked once the interview was over. The transcription of the interviews was done using Otter software. For ensuring

Appendix A: Methodology

185

confidentiality, the researcher provided securing the entire recorded data. Fictional names were used during the transcription of the data for ensuring confidentiality. Strict confidentiality has been ensured as per the agreement with the participants.

Appendix B

See Tables B.1, B.2, B.3, B.4, B.5, B.6, B.7, B.8, B.9, B.10, B.11, and B.12. In all the three accreditation agencies, the researcher found a gap of focus on quality human resource management and also capturing the data on the quality of human resource manpower and best polices. The researcher also finds a gap in the lack of focus on the human resource management agenda. The accreditation agencies also lack focus on support systems.

© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7

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188

Appendix B

Table B.1 QS world university rankings Sr. Institute name No.

Ranking year 2022

2021

2020

2019

2018

2017

2016

Ranking Ranking Ranking Ranking Ranking Ranking Ranking 1

Indian Institute 177 of Technology Bombay (IITB)

172

152

162

179

219

202

2

Indian Institute 185 of Technology Delhi (IITD)

193

182

172

172

185

179

3

Indian Institute 186 of Science

185

184

170

190

152

147

4

Indian Institute 255 of Technology Madras (IITM)

275

271

264

264

249

254

5

Indian Institute 280 of Technology Kharagpur (IIT-KGP)

314

281

295

308

313

286

6

Indian Institute 277 of Technology Kanpur (IITK)

350

291

283

293

302

271

7

Indian Institute 400 of Technology Roorkee (IITR)

383

383

381

431–440 399

391

8

University of Delhi

501–510 501–510 474

487

481–490 501–550 481–490

9

Indian Institute 395 of Technology Guwahati (IITG)

472

501–550 481–490 451–460

470

491

Source https://www.topuniversities.com/qs-world-university-rankings

Appendix B

189

Table B.2 Times higher education world university rankings Sr. Institute name Ranking year No. 2022 2021

2020

2019

2018

2017

2016

Ranking Ranking Ranking Ranking Ranking Ranking Ranking 1

Indian Institute of Technology Bombay (IITB)

401–500 401–500 351–400 351–400 351–400

2

Indian Institute of Technology Delhi (IITD)

401–500

3

Indian Institute of Science

4

Indian Institute of Technology Madras (IITM)

5

Indian Institute of Technology Kharagpur (IIT-KGP)

6

Indian Institute of Technology Kanpur (IITK)

7

Indian Institute of Technology Roorkee (IITR)

401–500

8

JSS Academy 351–400 of Higher Education and Research, Mysore

401–500

9

Indian Institute of Technology Ropar

351–400 351–400 301–350

10

Indian Institute of Technology Indore

401–500 401–500 351–400 351–400

401–500 401–500

301–350 301–350 301–350 251–300 251–300 201–250 251–300

401–500 401–500

401–500

401–500

401–500

Source https://www.timeshighereducation.com/content/world-university-rankings

190

Appendix B

Table B.3 Academic Ranking of World Universities (ARWU) Sr. No.

1

Institute name

Indian Institute of Science

Ranking year 2021

2020

2019

2018

2017

2016

Ranking

Ranking

Ranking

Ranking

Ranking

Ranking

401–500

501–600

401–500

401–500

301–400

301–400

Source https://www.shanghairanking.com/ Table B.4 University Ranking by Academic Performance (URAP) Sr. Institute name No.

Ranking year 2020–2021 2019–2020 2018–2019 2017–2018 2016–2017 Ranking

Ranking

Ranking

494

495

410

1

Indian Institute of Technology Bombay (IITB)

2

Indian Institute of Science

450

420

3

Indian Institute of 490 Technology Kharagpur (IIT-KGP)

485

Ranking

Ranking

402

383

Source https://urapcenter.org/ Table B.5 Distribution of enrolment at undergraduate and postgraduate level is given below as per AISHE (2019–2020)

Undergraduate

Government

Government aided

Private

Academic

48.7

21.5

29.8

Professional

20.1

Postgraduate

Government

Government aided

Private

Academic

65.4

16.1

18.5

Professional

35.0

5.3

59.8

7.4

Source AISHE (2019–2020) Table B.6 Growth of state private universities from 2015–16 to 2019–20

Year

No. of state private universities

2015–16

197

2016–17

233

2017–18

262

2018–19

304

2019–20

327

Source AISHE (2019–20), page 41

72.5

Appendix B

191

Table B.7 Higher education institutions (in nos.) in India Year

Universities

Colleges

Standalone institutions

Total of higher education institutes

Students enrolment

2000–01

254

10,152

–

10,406

8,626,332

2001–02

272

11,146

–

11,418

9,541,826

2002–03

304

11,776

–

12,080

10,716,558

2003–04

304

12,178

–

12,482

11,200,584

2004–05

343

13,578

–

13,921

13,032,186

2005–06

350

16,982

–

17,332

14,323,566

2006–07

371

19,812

–

20,183

15,552,519

2007–08

406

23,099

–

23,505

17,211,216

2008–09

440

27,882

–

28,322

18,500,325

2009–10

436

27,852

–

28,288

20,740,740

2010–11

621

32,974

11,139

44,734

27,499,749

2011–12

642

34,852

11,157

46,651

29,184,331

2012–13

665

35,829

11,443

47,937

30,152,417

2013–14

723

36,634

11,664

49,021

32,336,234

2014–15

760

38,498

12,276

51,534

34,211,637

2015–16

799

39,071

11,923

51,793

34,584,781

2016–17

864

40,026

11,669

52,559

35,705,905

2017–18

903

39,050

10,011

49,964

36,642,378

2018–19

993

39,931

10,725

51,649

37,399,388

2019–20

1043

42,343

11,779

55,165

38,536,359

Source Department of Higher Education, Ministry of Human Resource Development & DISE, NUEPA (School Education since 2012–13) http://mospi.nic.in/statistical-year-book-india/2017/198 https://www.education.gov.in/

192 Table B.8 Government expenditure on tertiary (higher) education, US$ (millions) in Developed countries

Appendix B

Country

2017

USA

272,161.34

Germany

45,883.58

United Kingdom of Great Britain and Northern Ireland

39,055.58

France

31,827.91

Japan

31,328.69

Canada

25,278.94

Australia

17,117.59

Netherlands

13,241.07

Italy

14,745.28

Spain

12,263.31

Sweden

9711.21

Switzerland

9236.29

Norway

8410.44

Austria

7142.36

Belgium

7311.03

Poland

5664.59

Finland

4222.72

New Zealand

2818.96

Ireland

3266.42

Czechia

1521.05

Hungary

1133.68

Slovakia

750.41

Slovenia

459.40

Lithuania

359.49

Estonia

305.48

Iceland

336.81

Latvia

210.34

Source http://data.uis.unesco.org

Appendix B Table B.9 Gross enrolment ratio in tertiary (higher education) of various countries

193

Country

2018

Australia

107.81

Austria

86.69

Bhutan

15.55

Canada

70.11

China

50.60

Colombia

55.33

Czech Republic

63.77

Denmark

81.18

Finland

90.26

France

67.62

Germany

70.34

Ghana

15.69

Greece

142.85

Grenada

104.56

India

28.06

Indonesia

36.31

Iran, Islamic Rep.

62.79

Ireland

77.28

Israel

61.48

Italy

64.29

Malaysia

45.13

Nepal

12.41

Netherlands

87.10

New Zealand

82.98

Pakistan

8.96

Romania

51.01

Russian Federation

84.58

Singapore

88.89

South Africa

23.80

South Asia

24.18

Spain

91.11

Sri Lanka

19.63

Sweden

72.46

Switzerland

61.38

United Kingdom

61.38

United States

88.30

Source https://data.worldbank.org/

194

Appendix B

Table B.10 Criterion of each accreditation council: key indicators and the distribution of weights National Assessment and Accreditation Council (NAAC) Criteria

Key indicators

1. Curricular aspects

1.1 Curriculum design and development

50

1.3 Curriculum enrichment

30

Total

10

2.2 Catering to students

20

2.3 Teaching–learning

20

2.4 Teacher profile and quality

50

2.5 Evaluation process and quality

40

2.6 Student process and learning outcomes

30

2.7 Student satisfaction survey

30 20

3.2 Resource mobilisation for research

20

3.4 Research publications and awards

30 100

3.5 Consultancy

20

3.6 Extension activities

40

3.7 Collaboration

20

Total

250

4.1 Physical facilities

20

4.2 Library as a learning resource

20

4.3 IT infrastructure

30

4.4 Maintenance of campus Infrastructure

20

Total

90

5. Student support and progression 5.1 Student support

30

5.2 Student progression

40

5.3 Student participation and activities

20

5.4 Alumni engagement Total 6. Governance, leadership and management

200

3.1 Promotion of research and facilities 3.3 Innovation ecosystem

4. Infrastructure and learning resources

20 150

2.1 Student enrolment and profile

Total 3. Research Innovations and Extensions

50

1.2 Academic flexibility 1.4 Feedback system 2. Teaching–learning and evaluation

Weights

10 100

6.1 Institutional vision and leadership

10

6.2 Strategy development and deployment

10

6.3 Faculty empowerment strategies

30

6.4 Financial management and resource mobilisation

20 (continued)

Appendix B

195

Table B.10 (continued) Criteria

Key indicators

Weights

6.5 Internal quality assurance system Total 7. Institutional values and best practices

30 100

7.1 Institutional values and social responsibilities

50

7.2 Best practices

30

7.3 Institutional distinctiveness

100

Total

180

Total score

1070

Source NAAC website (http://www.naac.gov.in/images/docs/Key-Indicators-and-Weightages.pdf) browsed on 2nd April 2020 Table B.11 National Board of Accreditation (NBA): the accreditation criteria and the weightage Criteria No.

Criteria

Weightage

1

Programme curriculum and teaching–learning processes

125

2

Program outcomes

75

3

Students’ performance

75

4

Faculty contributions

75

5

Laboratories and research facilities

75

6

Continuous improvement Total

Source Manual for accreditation of postgraduate engineering programs by NBA

75 500

196

Appendix B

Table B.12 National Agricultural Education Accreditation Board (NAEAB): key criteria and weightage for agricultural universities Criteria

Key criteria

1. Governance

(i) Vision, mission, and goals

40

(ii) Statutes and regulation

40

(iii) University statutory officers and their selection process as per the statutes of the university

50

(iv) Decentralisation of powers

30

(v) Supporting unites (maintenance cell/ SC/ST cell/health centre)

30

(vi) Technology support

20

(vii) Institutional database and website updation

20

(viii) Inter-department linkages

20

(ix) Monitoring mechanism

30

(x) Institute quality assurance cell/PME cell

30

(xi) Collaboration with other academic institutions and industry

40

Subtotal 2. Academic support

(i) Academic council (ii) Innovations and best practices (iii) Library (iv) Centre for excellence/advance studies/ centre for advanced faculty training (CAFT)

350 30 30 100 20

(v) Incubation centre

30

(vi) Technology-enabled learning resources

10

(vii) Integrated learning system (experiential learning)

10

(viii) Academic-industry interface

10

(ix) National ranking (ICAR/MHRD)

10

Subtotal 3. Research support

Weightage

250

(i) Research council

20

(ii) Directorate of research

20

(iii) Technologies developed and their adoption

50

(iv) Research publications (based on the work carried out in university)

30

(v) Innovations and best practices

20

(vi) IPR cell/ITMU

20 (continued)

Appendix B

197

Table B.12 (continued) Criteria

Key criteria

20

(viii) Global support

10

(ix) CSR funding Subtotal 4. Extension support

20

(ii) Directorate of extension education

20

(iii) Extension planning and technological impact

50

(iv) Implementation of national initiatives

25

(v) Innovations and best practices

25

Subtotal

50

(ii) Participation of faculty and national and international seminars/workshops/symposia

60

(iii) Incentives for excellence/faculty recognition

40

(iv) Capacity building and training

50 40

(ii) Extra and cocurricular activities

40

(iii) Health insurance

30

(iv) Sports and cultural facilities

50

(v) Student counselling and placement cell

60 30

Subtotal

250

(i) Physical facilities including administrative building and necessary land

100

(ii) IT infrastructure (iii) Student and staff amenities Subtotal 8. Financial resource management

200

(i) Scholarships/stipend

(vi) Disabled friendly ability 7. Infrastructure

10 150

(i) Recruitment and promotional avenues

Subtotal 6. Student development

10 200

(i) Extension council

(vi) Consultancy/certification/testing 5. Faculty and staff development

Weightage

(vii) Central instrumentation unit

(i) Budget allocation (salary: contingency)

25 25 150 40

(ii) Finance committee

20

(iii) Internal resource generation

50

(iv) Resource mobilisation through external funding

50

(v) Financial delegation to deans and HoDs

20 (continued)

198

Appendix B

Table B.12 (continued) Criteria

Key criteria (vi) Percent finance utilisation in last five years Subtotal

9. Accomplishments

Weightage 20 200

(i) Regional, national, and international awards for the university

50

(ii) Accreditation from ICAR/other agencies and follow up on its recommendations

25

(iii) Inter-institutional standing

25

(iv) Socio-economic impact

25

(v) International collaboration

50

(vi) Fund raising through CSR

25

(vii) Alumni support Subtotal

25 250

Total

2000

Source Guidelines for accreditation of higher agricultural education institutions in India. Printed: September 2017, Reprinted 2019. https://icar.org.in/sites/default//files/2009_1569835023514.pdf

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© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. M. Pandit and B. Paul, Strategic Human Resource Management in Higher Education, India Studies in Business and Economics, https://doi.org/10.1007/978-981-99-4067-7

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