restructuring paper proposed project ......introduction and expansion of programs in market-relevant...

REPORT NO.: RES41373

RESTRUCTURING PAPER

ON A

PROPOSED PROJECT RESTRUCTURING

OF

HIGHER EDUCATION REFORMS PROJECT

APPROVED ON FEBRUARY 19, 2015

TO

NEPAL

EDUCATION

SOUTH ASIA

Regional Vice President: Hartwig Schafer Country Director: Idah Z. Pswarayi-Riddihough

Regional Director: Lynne D. Sherburne-BenzCountry Manager:Practice Manager:

Faris H. Hadad-ZervosMario Cristian Aedo Inostroza

Task Team Leader(s): Mohan Prasad Aryal, Maya Sherpa

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The World BankHigher Education Reforms Project (P147010)

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ABBREVIATIONS AND ACRONYMS

DLI Disbursement Linked IndicatorsFBF Formula-Based FundingGON Government of NepalHEIs Higher Education InstitutionsIDA International Development AssociationIPF Investment Project FinancingIUFR Interim Unaudited Financial ReportMOEST Ministry of Education, Science and Technology MOF Ministry of FinanceMOU Memorandum of UnderstandingMTR Mid-Term ReviewNAB National Accreditation BoardNPHERD National Program for Higher Education Reform and DevelopmentOCE Office of the Controller of Examinations PBF Performance-Based FundingPDO Project Development ObjectivePIM Project Implementation ManualPMT Proxy-Means TestingQAA Quality Assurance and AccreditationQAAA Quality Assurance and Accreditation AgencyQAAD Quality Assurance and Accreditation DivisionRBF Results-Based FinancingRDI Research, Development and InnovationSDR Special Drawing RightsSFAFDB Student Financial Assistance Fund Development BoardSSR Self-Study ReportSTEM Science, Technology, Engineering and MathematicsTU Tribhuvan UniversityUGC University Grants Commission


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BASIC DATA

Product Information

Project ID Financing Instrument

P147010 Investment Project Financing

Original EA Category Current EA Category

Partial Assessment (B) Partial Assessment (B)

Approval Date Current Closing Date

19-Feb-2015 30-Jun-2020

Organizations

Borrower Responsible Agency

NEPAL University Grants Commission

Project Development Objective (PDO)

Original PDOTo support reforms in selected institutions for improving quality, relevance, and efficiency of higher education; and to assist under-privileged students for equitable access.OPS_TABLE_PDO_CURRENTPDOSummary Status of Financing

Ln/Cr/Tf Approval Signing Effectiveness ClosingNet

Commitment Disbursed Undisbursed

IDA-55860 19-Feb-2015 06-Apr-2015 22-May-2015 30-Jun-2020 65.00 48.28 13.83

Policy Waiver(s)

Does this restructuring trigger the need for any policy waiver(s)?No


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I. PROJECT STATUS AND RATIONALE FOR RESTRUCTURINGProject Information:1. The Project supports the Higher Education Reforms component and the Regular Program component of the government’s National Program for Higher Education Reform and Development (NPHERD). The Project Development Objective (PDO) is measured by five key performance indicators (KPIs): (i) number of accredited higher education institutions (HEIs); (ii) percentage of students enrolled in identified priority areas; (iii) number of under-privileged students supported under the Project; (iv) average time taken for announcement of results of bachelors programs with centralized examinations at Tribhuvan University (TU); and (v) number of publications in refereed journals by research grants recipients. The Project is structured around two components: Component 1: Implementation of Reforms and Component 2: Capacity Building and Project Management. Component 1 is a Result Based Financing (RBF) clustered around four result areas and seven Disbursement Linked Indicators (DLIs) to help achieve the PDO. The Project was restructured in October 2019 and included: (i) simplification of the Quality Assurance and Accreditation (QAA) process and incentivizing institutions; (ii) shifting focus from governance autonomy to academic autonomy and tapping reform potential of institutions, central departments and programs; (iii) boosting progresses made on Research, Development and Innovation (RDI) awards and publications and promotion of research and innovation; and (iv) revision of annual DLI targets as per actual while keeping the project target intact.

Component 1: Implementation of Reforms2. Results Area 1: Systemic and Institutional Reforms. This results area supports reforms associated with: (i) institutionalization of the national accreditation system; (ii) more effective public funding of HEIs; (iii) greater institutional and academic autonomy of constituent and academic autonomy of affiliated campuses; and (iv) strengthening of the examination system. For this results area, the release of IDA funds is linked to the achievement of pre-specified targets for the following DLIs: (i) national accreditation system established and functioning (DLI 1); (ii) performance-based financing extended to HEIs (DLI 2); (iii) autonomy extended to additional campuses/schools (DLI 3); and (iv) examination reforms implemented and academic calendar enforced in TU (DLI 4). 3. Results Area 2: Academic Reforms and Relevance. This results area supports academic reforms in universities and campuses focusing on the achievement of better learning outcomes in selected programs and includes introduction and expansion of programs in market-relevant and priority areas: Academic reforms introduce - Revision of existing programs and introduction of new programs (DLI 5).

4. Results Area 3: Equity. This results area supports underprivileged students in Grades 11 and 12 in science stream and the Bachelor level students with preferential treatment for female students through poverty targeted financial support (DLI 6).

5. Results Area 4: Academic Excellence and Research. This results area supports integration of teaching and learning with knowledge generation through global and national networking and university partnerships and introducing an alternative pathway for faculty career progression: Institutions supported for academic excellence in priority areas through RDI awards (DLI 7).


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Component 2: Capacity Building and Project Management 6. This component supports effective implementation and monitoring of NPHERD, and finances inputs and activities required to achieve the above-stated results and enhance the capacity of the implementing, coordinating and participating agencies, including capacity building and carrying out various studies, surveys and assessments.

Progress Status 7. Overall progress and PDO Rating. The Progress of the project is being monitored through achievement of yearly targets of seven DLIs corresponding to reforms in four results areas - Systemic and Institutional Reforms, Academic Reforms and Relevance, Equity and Academic Excellence and Research; five PDO indicators measuring the project objectives; and eight Intermediate Results Indicators (IRIs). The project restructuring completed in October 2019 simplified the QAA process; aligned governance/ administrative autonomy more towards academic autonomy of the higher education institutions (HEIs) to facilitate the implementation. Foundation has been laid for further progress of the project initiated key reforms achievement, and most of the DLIs and PDO results are on track. The current status of five PDO indicators to measure the four project objectives (quality, relevance, efficiency and equitable access) is: (i) Quality: Two indicators of which one is overachieved and another one would be substantially achieved before project closing; (ii) Relevance: One indicator (two sub-indicators) which has been achieved before project closing; (iii) Equitable Access: One indicator (two sub-indicators) which has been achieved before project closing; and (iv) Efficiency: one indicator which is not likely to be achieved before project closing. Based on the status of the indicators, it is evident that three out of the four objectives will be fully achieved or over-achieved by project closing. Hence, the PDO rating is maintained as “Satisfactory” based on substantial achievement of project indicators.

8. Progress by DLI. The progress on achievement of DLI targets is largely on track: DLI 1: Implementation of QAA has made good progress in both supply and demand sides. About 60 HEIs accredited/completed QAA cycle including the seven reaccredited HEIs; Additionally, eight HEIs are ready for Peer review, 30 HEIs completed pre-visit by QAA Division (QAAD) technical team,10 are ready for pre-visit and 28 HEIs' Self Study Reports are under QAAD review. University grants commission (UGC) has prepared an action plan to expedite the implementation of 113 HEIs accredited/ completed QAA cycle by June 30. This is 90.4% of the cumulative end of project (EOP) target of 125 HEIs. The DLI amount for 12 unmet EOP target (SDR 392,210.52) is proposed for reallocation/ restructuring to respond to COVID-19. The UGC plan is to meet the EOP target of 125 HEIs by October 2020 provided the COVID-19 travel ban and the nationwide lockdown is over, and institutions reopen.

9. Cabinet passed the Quality Assurance and Accreditation Rule 2017 (2074 BS) for functioning of QAA Agency (QAAA) as an autonomous body within UGC. As a clarification to the Rule, UGC Board decided that the financial administration of the QAAA would be managed separately by a finance officer within UGC. The claim for reimbursement of SDR 1.035 million against this result is expected by May 2020. For continuity of QAAA with enhanced autonomy in federal set up, this issue is being addressed in the new Federal Higher Education Bill which is under preparation.

10. Project has achieved the DLI 2 cumulative targets: DLI 2a: Competitively selected 135 HEIs were supported with performance-based grants as per the Project Implementation Manual (PIM) and final tranche of grants were released to 127 HEIs from the three selected groups as per the PIM against the year 5 target of 45 HEIs. DLI 2b: (i) Guidelines for enhanced regular grants for accredited and autonomous community campuses exercising academic autonomy has been approved by UGC board and grants released to the qualified ten campuses; and (ii) Formula-based Funding (FBF) based regular funds released to 471 community campuses in year 3 and continuing against the year 5 target of 100 campuses (cumulative). DLI 3a: Autonomy granted to 9 constituent campuses against the year 5 revised target of 9, and the additional claim of SDR0.26 million against this result is expected by May 2020. DLI 3b: Academic autonomy granted to 13 campuses/ schools/ programs against the year 5 revised target of 14, and additional claim of SDR0.58 million is expected by May 2020. Two additional campuses/ school/ programs are in pipeline and would be completed by June


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30, 2020. This will trigger additional disbursement of SDR 0.19 million. DLI 4a: Academic calendar of 15 program-years of Master level programs is being adhered to against the year-five cumulative target of 15 program-years; DLI 4b: This sub-DLI is lagging. TU has reduced the time of results publication for regular centralized bachelor’s programs from more than 7 months to 5.43 months against the year 5 target of 3 months meeting about 40% of the project target and may not be improved further for the current student cohort. The remaining amount of SDR 776,470.59 against this DLI target is proposed for reallocation/ restructuring to respond to COVID-19. DLI 5: This DLI has been over-achieved: A total of 148 academic programs introduced/ revised against the EOP target of 140 programs. DLI 6: The project target has been achieved except for passing the sustainability plan of Poverty targeted scholarship. The plan has been prepared by the Student Financial Assistance and Fund Development Board (SFAFDB) and submitted to Ministry of Education, Science and Technology (MOEST) for approval. Total 9,530 students have been supported against the project target of 9,500. This will trigger disbursement of SDR 0.52 million in May 2020. DLI 7a: This sub-DLI achievement has surpassed the EOP target. A total of 1,210 research project selected and funds released to these projects against the year-five cumulative targets of 500 research projects selected and funds released. The research sustainability plan is also at the stage of approval. This will trigger additional reimbursement of SDR 0.78 million in May 2020. DLI 7b: Eleven faculty members recruited based on excellence and additional 22 are in pipeline against the revised total target of 40 faculty members. About 72 candidates from a large pool of applicants globally have been shortlisted (final list) for interview, which was planned starting mid-March 20, 2020. However, Tribhuvan University Service Commission (TUSC) is planning the interview process through Video Conferencing as the assigned international experts and the candidates themselves may not be able to travel to Nepal for a face to face interview due to COVID-19 travel ban. The ongoing nationwide lockdown and institutions closure may delay the completion of this important reform by June 30, 2020. The DLI amount for 8 unmet EOP targets (SDR 206,888.89) is proposed for reallocation/ restructuring to respond to COVID-19.

11. Progress by Key Performance Indicators. KPI 1 ("Number of accredited HEIs"): About 60 HEIs accredited/ completed QAA cycle including seven reaccredited HEIs. Additionally, accreditation/ QAA cycle completion of additional 53 HEIs as explained above would meet 90.4% of the EOP KPI target of 125. KPI 2: (“Percentage of students enrolled in identified priority areas”): For the undergraduate programs the percentage reached 33.85% against the project target of 17%; and for graduate programs it reached 22.51% against the project target of 23%. KPI 3 (“Number of under-privileged students supported under the Project”): (i) 2,087 underprivileged students (from bottom two poorest welfare quintiles) at the higher secondary level (HSL) science stream received support against the project target of 2,000 students. Similarly, a total of 7,443 students at the bachelor’s level were supported against the project target of 7,500. Female share in HSL is 45.2% (final cohort) against the project target of 45%; and in bachelor’s level the female share (average and final cohort is around 62.6% against the project target of 40%. KPI 4 (“Average time taken for announcement of results of Bachelors programs with centralized examinations at TU”): The average time taken for announcement of results of TU centralized Bachelor programs in Humanities and Social Sciences, Management, and Education faculties has been reduced from more than 7 months to 5 months and 13 days against the project target of 3 months reaching 40% of the EOP target. KPI 5 (“Number of publications in refereed journals by research grants recipients”): Research grants recipients have published 140 papers in refereed journals surpassing the EOP target of 85.

12. Audit Report for FY 2018/19. The Audit Report for FY 2018/19 due for January 15, 2020 is pending. As per the information of the implementing agency (UGC), the project’s audited financial statement is under finalization, and will be submitted to the Office of the Auditor General in one week after the lockdown is over. The UGC has also committed to submit the audit report to the Bank in two weeks after the lockdown is over. Considering COVID -19 evolving situation, UGC commitment for submission, and the Bank task team’s regular follow up to expedite the process, waiver of the Audit Report has been obtained from the Practice Managers (ESAG2, WFACS) to proceed with the scheduled restructuring. The first and second Interim Unaudited Financial Reports (IUFRs) for FY 2019/20 have been submitted and the reports received were acceptable to the Bank. The audit waiver memo cleared by Governance Manager and WFACS Manager is attached with the package.


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13. Designated Account. With regard to the inactive designated account, the implementing agency has submitted the Bank the revised Statement of Expenditures for review if these statements of NPR 50,939,212.31 (equivalent US$ 0.42 million) which otherwise were deducted from the earlier withdrawal application (WA) due to the ledgers not being consistent as per the Financing Agreement, would meet the requirements for WA submission. The Bank FM team is reviewing the revised documents and will provide needful suggestions and facilitate submission of withdrawal applications.

14. Disbursement. As of April 30, 2020, SDR 34.794 million (77.5% or equivalent US$ 48.28 million) has been disbursed. Additional claims for reimbursement of around SDR 4.20 million (against DLI 1a, DLI 3, DLI 5 and DLI 7a and Component 2: Capacity Building and Project Management) is expected by June 10, 2020. Additionally, SDR 3.11 million (against DLI 1 b, 7 b and Component 2) is planned to be processed by December 31, 2020.

15. Implication of COVID-19 and project restructuring. The COVID-19 has direct implication to the implementation of two of the DLIs (DLI 1 and DLI 7 b) of HERP among others. This is due to the travel ban including for the international peer reviewers and interview expert panel members for the accreditation (DLI 1) and interview of faculty candidates (DLI 7 b). Ministry of Finance (MOF) requests for no-cost extension of the project is largely to complete these halted tasks of DLI 1 and DLI 7 b and to utilize the unused project funds of SDR 2.85 million for COVID-19 response. The project restructuring initiated as per the request of the recipient also proposes no-cost extension until December 31, 2020 to avert the risk of continued impact of COVID-19 (travel ban of experts and closure of academic institutions) in completing the unfinished tasks of DLI 1 and DLI 7 b.

16. The COVID-19 response framework is a part of the National Program for Higher Education Reform and Development prepared by the MOEST/ UGC and endorsed by MOF. It includes four sub-areas of support to institutions to respond to the pandemic: (i) conducting online programs in the HEIs; (ii) supporting underprivileged students for online learning; (iii) supporting collaborative research on coronavirus; and (iv) upgrading and strengthening UGC networking for online system support. The Bank will support the NPHERD framework under a new DLI 8: HEIs supported to respond to COVID-19 with four sub-DLIs. These are explained in paragraph 19, Table 2, and under the section Performance-Based Conditions Matrix. The Bank has also granted the no-cost extension up to six months (until December 31, 2020) as per the request.

Rational for Restructuring


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17. The Project restructuring is to support the NPHERD to respond to COVID-19 crisis for a short-term period (3-9 months) and includes two parts. The first part is to support the universities/ institutions and programs to revive the academic activities in higher education by conducting online programs and associated tasks, particularly to support underprivileged students and to conduct limited research in characterization of coronavirus in Nepal and efficacy of medicinal plants available in Nepal for treatment. Due to COVID-19 crisis more than 400,000 students teaching-learning has been halted in higher education. A significant number the students, especially underprivileged groups might be dropping out if alternative arrangements are not initiated immediately. This will help to avert the risk of long-term socio-economic impact for the country due to COVID-19. This will also help reduce possible psychological impacts on individual students keeping them busy in studies. The second part is to extend project closing date from June 30, 2020 to December 31, 2020 to complete the unfinished tasks of DLI 1 and DLI 7 b. While achievement of these DLI targets are at the final stage except for final review and interviews, which have been halted due to travel ban of confirmed national/international experts visits for peer review/ interview, and continued closure of academic institutions. Continuation of travel-ban and lockdown is posing risk of not completing the task by June 30, 2020. The Government of Nepal has requested the World Bank for project restructuring focusing the above two areas in a letter dated April 23, 2020.

18. Reconfirmation of savings from DLI 1, DLI 4 b, DLI 7 b and Component 2 for reallocation. During the finalization of the DLI Achievement Report # 9 for subsequent claim, the UGC has reconfirmed the estimated savings against DLI 4 b (SDR 776,470.59) and DLI 7b (SDR 206,888.89) by the current closing date of June 30. The estimated saving against DLI 1 remains the same as in earlier estimates (SDR 392,210.52).1 Also taking into account the no-cost extension, which was not considered while preparing the framework to respond to COVID-19, the implementing agency has retained SDR 0.28 million under Component 2 for expenses under capacity building and project management for the extended period and this has resulted the reduction of reallocation from SDR 1.75 million to SDR 1.47 million from Component 2 to Component 1 (DLI 8).

I. DESCRIPTION OF PROPOSED CHANGES19. Proposed Reallocation. Among the proposed changes, the first part includes reallocation of SDR 2.85 million to support the NPHERD to respond to COVID-19 crisis through a new DLI 8: HEIs supported to respond to COVID-19. The DLI 8 will include four sub-DLIs: (i) At least 300 HEIs (schools/ colleges/ central departments under different universities) conduct online teaching; (ii) At least 11,400 under-privileged students receive support for online learning; (iii) At least one collaborative research on corona virus selected and fund released as per PIM; and (iv) UGC networking for online system support upgraded/ strengthened. The verification protocol and other details of the DLI 8 is presented in Table 2. Verification details are presented under the section Performance-Based Conditions Matrix. The second part includes no-cost extension until December 31, 2020 to complete the unfinished tasks of DLI 1 and DLI 7 b, which were halted due to travel ban of experts and closure of academic institutions.

20. Eligible Expenditure Program. The revised DLI amount is around US$ 62.10 million due to the reallocation of around US$ 2.10 million from Component 2 to Component 1. This is around 18.66% of the total EEP of US$332.25 million. This share is also less than 20% of the percentage of expenditures being financed by IDA and will remain the same 20% after the restructuring. The implementation arrangement will also remain intact.

21. Reallocation of funds from Component 1 (DLIs) of SDR 1.38 million and from Component 2 (1.47 million) to the new DLI 8. The proposed reallocation of SDR 2.85 million consists of SDR 1.38 million from Component 1 (DLI 1, DLI 4 b, and DLI 7 b) and SDR 1.47 million from Component 2 to respond to COVID-19 crisis: (i) out of the revised year 5 targets of 95 additional HEIs (cumulative 125 HEIs) accredited/ completed QAA cycle, 12 may not be achieved, and the proportionate amount of SDR 392,210.52 has been reallocated; (ii) the revised year 5 target of DLI 4 b with DLI value of

1 The total revised savings from DLI 1, DLI 4 b and DLI 7 b is SDR 1.38 million


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SDR 776,470.59 will not be achieved and this amount has been reallocated; and (iii) out of the revised year 5 target of second batch of faculty (at least additional 30) recruited and/or promoted based on excellence, 8 may not be achieved and the proportionate amount of SDR 206,888.89 has been reallocated from DLI 7 b. Additionally, there will be a saving of SDR 1,471,178.05 from Component 2: Capacity Building and Project Management. These are the figures further reconfirmed by the UGC while finalizing the DLI Progress Report 9 on May 10, 2020. The summary of proposed changes to DLIs is presented in Table 1. The revised Disbursement Linked Indicator is presented in Table 2.


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Table 1: Summary of changes to DLIs

Disbursement Linked Indicator (DLI) Proposed change

DLI 1 National accreditation system established and functioning

DLI target of additional 95 additional HEIs (cumulative 125 HEIs) accredited/completed QAA cycle revised to cumulative 113 HEIs for disbursement purpose and the minimum threshold has been reduced to 30 HEIs to trigger reimbursement. The proportionate amount of SDR 392,210.52 reallocated to the newly proposed DLI 8 to respond to COVID-19 crisis

The total cumulative target of 125 for PDO indicators has not been reduced given that this reform has been mainstreamed in the NPHERD and the results is expected to be achieved by December 31, 2020

DLI 2 Performance-based financing (PBF) extended to HEIs

Results achieved and reimbursement completed

DLI 3 Autonomy extended to additional campuses/schools/ programs

No change

DLI 4 Examination reforms implemented and academic calendar enforced in TU

Second sub-DLI: Examination reform implemented

Second sub-DLI: revised target will not be achieved and the sub-DLI value of SDR 776,470.59 reallocated to the newly proposed DLI 8 to respond to COVID-19 crisis

DLI 5 Academic reforms introduced: Revision of existing and introduction of new programs at undergraduate and graduate levels

Results achieved and reimbursement completed

DLI 6 Poverty-targeted financial support for under-privileged students

No change. Result achieved, and the sustainability draft plan is awaiting approval

DLI 7 Institutions supported for academic excellence in priority areas through RDI awards

First sub-DLI: Research, Development and Innovation (RDI) awards

Second sub-DLI: Excellence-based recruitment and promotion of faculty

First sub-DLI target achieved. Second sub-DLI target of second batch of faculty (at

least additional 30) recruited and/or promoted based on excellence has been revised 22. The proportionate amount of SDR 206,888.89 reallocated to the newly proposed DLI 8 to respond to COVID-19 crisis

Changes to the Results Framework PDO Indicators22. The PDO End of Project target “Average time taken for announcement of results of bachelor’s programs with centralized examinations at TU (Months)” has been revised from 3 months to 5.43 months and so is the Disbursement Linked Indicator’s target


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Table 2: Disbursement Linked Indicators

Indicative timeline for DLI achievement (Original/ Actual)

DLI

Total IDA Financing

Allocated to DLI (SDR)

Year 0(2014-15)

Baseline to be achieved

Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)

Year 6July 1 – December 31,

2020DLI 1: National accreditation system established and functioning

A QAAA with functional autonomy established at UGC

8 HEIs accredited (cumulative 20 including 12 at baseline)

10 HEIs accredited (cumulative 30)

50 additional HEIs (cumulative 80 HEIs) accredited/completed QAA cycle

33 additional HEIs (cumulative 113 HEIs) accredited/completed QAA cycle

Total allocation 5,817,789.43 1,035,000 1,035,000 1,035,000 1,634,210.50 1,078,578.93

Scalability No Yes Yes Yes YesRollover Yes Yes Yes Yes NoMinimum threshold / Formula

NA 50% of the annual target

50% of the annual target

Minimum threshold: 25 HEIs accredited/ completed QAA cycle, out of which at least 15 HEIs have been accredited;

Formula: SDR32,684.21 for each additional HEI that has been accredited or completed the QAA cycle, provided that 48% of total additional HEIs have also been accredited.

Formula: SDR32,684.21 for each additional HEI that has been accredited or completed the QAA cycle, provided that 48% of total additional HEIs have also been accredited.


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DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020DLI 2: Performance-based financing extended to HEIs

2a. Guidelines for PBF of campuses published by UGC

First group of 45 HEIs selected as per PIM, Memorandum of Understandings (MOUs) signed; and first tranche of performance-based grants released

Second group of 45 HEIs selected as per PIM, MOUs signed, and performance-based grants released to the first and second groups (total 90 HEIs)

Third Group of 45 HEIs selected as per PIM, MOUs signed, and performance-based grants released to the first, second and third batches (total 135 HEIs)

Performance based grants released to at least 90 HEIs from the three selected groups as per PIM

Release of final performance-based grants to at least 45 HEIs from the three selected groups as per PIM

Allocation 1,035,111.11 1,035,111.11 1,035,111.11 1,035,111.11 1,035,111.11 776,333.33Scalability No Yes Yes Yes Yes YesRollover No Yes Yes Yes Yes NoMinimum threshold / Formula





Minimum threshold: 30% of the annual target;

Formula: SDR17,251.85 for each HEI.

2b. FBF for autonomous campuses adopted by UGC

Criteria for PBF based regular funding for community campuses adopted by UGC

FBF based funds released to at least two autonomous campuses; andPBF based regular funds released to at least 30 community campuses

FBF based funds released to at least additional two autonomous campuses (cumulative four); and

FBF based funds released to at least additional three autonomous campuses (cumulative seven); and

Enhanced regular grants released to all accredited and autonomous community campuses exercising academic autonomy

FBF based regular funds released to at least additional 20


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DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020PBF based regular funds released to at least additional 30 community campuses (cumulative 60)

PBF based regular funds released to at least additional 20 community campuses (cumulative 80)

community campuses (cumulative 100)

Allocation 1,035,111.11 1,035,111.11 1,035,111.11 1,035,111.11 1,035,111.11 517,555.57Scalability No No No No No NoRollover Yes Yes Yes Yes Yes NoMinimum threshold NA NA NA NA NA NATotal allocation 11,645,000.00 2,070,222.22 2,070222.22 2,070222.22 2,070222.22 2,070222.22 1,293,888.90

DLI 3: Autonomy extended to additional campuses/Schools/programs2

TU autonomy campus rules for constituent campuses revised by TU Senate

Autonomy granted to two campuses/schools (cumulative six including four at baseline)

Autonomy granted to one campus/school (cumulative seven)

Autonomy granted to two campuses/schools (cumulative nine campuses/schools)

Allocation 517,500 517,500 258,750 0 0 517,500.00Scalability No Yes Yes YesRollover No Yes Yes NoMinimum threshold / Formula

At least one institution granted autonomy

At least one institution granted autonomy

Minimum threshold: At least one institution granted autonomy;

2 Programs added, because university schools and central departments are functioning as separate entities like campuses running academic programs and with potentiality for high performance capacity by attaining institutional as well as academic autonomy of programs


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DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020Formula: SDR258,750 for each additional campus/school

TU adopts rules for academic autonomy of affiliated campuses by TU Senate

Two autonomous /accredited campuses or schools exercise academic autonomy

4 additional autonomous/ accredited campuses/schools/ central departments/ programs exercise academic autonomy (cumulative 14)

Allocation 517,500 517,500 0 0 0 2,328,750.00Scalability No Yes Yes YesRollover No Yes Yes NoMinimum threshold / Formula



Formula: 194,062.50 for each additional autonomous/accredited campus/school/central department/program exercising academic autonomy

Total allocation 5,175,000 1,035,000 1,035,000 258,750 0 0 2,846,250

DLI 4: Examination reforms implemented, and academic calendar enforced in TU

Academic rules of TU revised and approved by TU Academic Council for completing academic calendar

Academic calendar of three program-years of centralized master’s programs adhered to

Academic calendar of three program-years of centralized master’s programs adhered to

Academic calendar of nine program-years of centralized master’s programs adhered to


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DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020within one academic year; and (ii) aplan for examination reforms approved by TU (with especial focus on centralized examinations)

(cumulative six)

(cumulative 15)

Allocation 517,647.05 517,647.06 517,647.06 1,552,941.18 0 0Scalability No Yes Yes YesRollover No Yes Yes YesMinimum threshold At least two

programs-year each year

At least two programs-year each year

At least two programs-year each year

Results for regular centralized bachelor’s programs3 published within seven months on an average

Results for regular centralized bachelor’s programs published within six months on an average

Allocation 0 258,823.53 258,823.53 0 0 0Scalability No No YesRollover Yes Yes NoFormula NA NA

3 Humanities and Social Sciences, Education and Management.


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DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020Total allocation 3,623,529.41 517,647.05 776,470.59 776,470.59 1,552,941.18 0 0

DLI 5: Academic reforms introduced: Revision of existing and introduction of new programs at undergraduate and graduate levels4

Areas of priority for new programs approved by UGC; and guidelines for selection of programs and institutions approved by UGC

20 programs revised or introduced5

Additional 60 programs revised or introduced (cumulative 80)

80 programs implemented

Additional 60 programs revised or introduced (cumulative 140), provided thatall revised or introduced programs are implemented (Completed/ reimbursed)

Total allocation 6,210,000 1,035,000 1,035,000 1,035,000 0 517,500 2,587,500

Scalability No Yes Yes Yes YesRollover No Yes Yes Yes NoMinimum threshold / Formula




Minimum threshold: 50% of the annual target.

Formula: SDR43,125 per program

DLI 6: Poverty-targeted financial support for under-privileged students

PMT processes for selection of students revised by SFAFDB;

(i)First cohort (at least 3,0006 students) selected through PMT; and (ii) funds released to at

(i) Second cohort (at least 3,000 students) selected through PMT; and (ii) funds

(i)Third cohort (at least 3,000 students) selected through

(i) Fourth cohort (at least 500 students) selected through

Funds released to at least 2,000 students as per schedule; provided that the

4Includes existing programs implemented in autonomous and accredited campuses following modality of autonomous programs and addition of academic programs in STEM areas in other campuses/HEIs. Addition of programs in the areas of STEM (Science and Technology, Mathematics, Computer Application) will be accounted for as revised programs. 550 to 60% of the target is for revision of existing programs, which can be in any area/discipline, and remaining 40 to 50% of the target is for introduction of new programs that have to be in identified priority areas. 6 79% of the target is for students at Bachelors Level (HE) and remaining 21% of the target is for students at Higher Secondary Level altogether.


13


DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020and database and process computerized

least 3,000 students

released to at least 4,500 students from first and second cohorts as per schedule

PMT; and (ii) funds released to at least 6,000 students as per schedule

PMT; and (ii) funds released to at least 4,000 students as per schedule

plan for sustainability of the scheme has been approved

Total allocation 3,105,000 517,500 517,500 517,500 517,500 517,500 517,500.00

Scalability No Yes Yes Yes Yes YesRollover No Yes Yes Yes Yes YesMinimum threshold / Formula







Formula: SDR 258.75 per student

DLI 7: Institutions supported for academic excellence in priority areas through RDI awards

(i) Existing research guidelines reviewed and revised by UGC; and (ii) Priority areas for support approved by UGC

(i) First batch of projects (at least 100) selected; and(ii) funds released as per schedule

(i) Second batch of projects (at least additional 150) selected; and (ii) funds released to the two batches as per schedule

(i) Third batch of projects (at least additional 150) selected; and (ii) funds released to the three batches as per schedule

(i) Fourth batch of projects (at least additional 100) selected; and (ii) funds released to all batches as per schedule

Final release of funds to at least 350 active projects as per schedule; provided that the plan for sustainability has been approved

Allocation 517,222.22 517,222.22 517,222.22 517,222.22 517,222.22 775,833.33Scalability No Yes Yes Yes Yes YesRollover No Yes Yes Yes Yes NoMinimum threshold / Formula








14


DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020

Formula: SDR2,216.66 per project

Parallel recruitment and promotion rules adopted by TU Executive Council

First batch of faculty (at least ten) recruited and/or promoted based on excellence

Second batch of faculty (at least additional 22) recruited and/or promoted based on excellence

Allocation 258,611.11 258,611.11 0 0 - 568,944.42Scalability No Yes Yes Yes Yes Yes YesRollover No Yes Yes Yes Yes Yes NoMinimum threshold / Formula

No 30% of the annual target





Formula: SDR25,861.11 per recruitment

Total allocation 4,448,111.11 775,833.33 775,833.33 517,222.22 517,222.22 517,222.22 1,344,777.79DLI 8: HEIs supported to respond to COVID-19 Crisis

At least 300 HEIs (schools/ colleges/ central departments under different universities) conduct online teaching

Allocation 2,253,678.00Scalability YesRollover YesMinimum threshold / Formula

Minimum threshold: 100 Campuses;


15


DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020Formula: SDR7,512.26 per HEI

Formula: SDR7,512.26 per HEIAt least 11,400 under-privileged students receive support for online learning

Allocation 408,120.00Scalability Yes YesRollover Yes NoMinimum threshold / Formula

Minimum threshold: 500 students;Formula:SDR 35.80 per studentAt least one collaborative research on corona virus selected and fund released as per PIM

Allocation 178,982.00Scalability N/A NARollover Yes NoMinimum threshold / Formula

Two tranches: First tranche:50% upon proposal approval);Second tranche: remaining 50% upon satisfactory Mid-term progress UGC networking for online system support


16


DLI

Total IDA Financing


Year 0(2014-15)


Year 1 (2015-16) Year 2 (2016-17)

Year 3 (2017-18)

Year 4 (2018-19)

Year 5(2019-20)


2020upgraded/ strengthened

Allocation 5,968.05Scalability No NoRollover Yes NoMinimum threshold / Formula N/A

Total allocation 2,846,748.05Total 42,871,178.00 6,986,202.60 7,245,026.14 6,210,165.03 4,657,885.62 3,622,444.44 13,070,875.24 1,078,578.93


17

II. SUMMARY OF CHANGES

Changed Not Changed

Results Framework ✔

PBCs ✔

Components and Cost ✔

Loan Closing Date(s) ✔

Reallocation between Disbursement Categories ✔

Implementation Schedule ✔

Implementing Agency ✔

DDO Status ✔

Project's Development Objectives ✔

Cancellations Proposed ✔

Disbursements Arrangements ✔

Disbursement Estimates ✔

Overall Risk Rating ✔

Safeguard Policies Triggered ✔

EA category ✔

Legal Covenants ✔

Institutional Arrangements ✔

Financial Management ✔

Procurement ✔

Other Change(s) ✔

Economic and Financial Analysis ✔

Technical Analysis ✔

Social Analysis ✔

Environmental Analysis ✔

IV. DETAILED CHANGE(S)


18

OPS_DETAILEDCHANGES_COMPONENTS_TABLE

COMPONENTS

Current Component Name

Current Cost

(US$M)Action Proposed

Component NameProposed

Cost (US$M)

Component 1: Implementation of Reforms 60.00 Revised Component 1: Implementation

of Reforms 62.10

Component 2: Capacity Building and Project Management 5.00 Revised

Component 2: Capacity Building and Project Management

2.90

TOTAL 65.00 65.00

OPS_DETAILEDCHANGES_LOANCLOSING_TABLE

LOAN CLOSING DATE(S)

Ln/Cr/Tf StatusOriginal Closing

Revised Closing(s)

Proposed Closing

Proposed Deadline for Withdrawal

Applications

IDA-55860 Effective 30-Jun-2020 31-Dec-2020 30-Apr-2021

OPS_DETAILEDCHANGES_REALLOCATION _TABLE

REALLOCATION BETWEEN DISBURSEMENT CATEGORIES

Current Allocation Actuals + Committed Proposed Allocation Financing %(Type Total)

Current Proposed

IDA-55860-001 | Currency: XDR

iLap Category Sequence No: 1 Current Expenditure Category: Eligible Expenditures Program

41,400,000.00 33,399,608.83 42,871,178.00 20.00 20.00

iLap Category Sequence No: 2 Current Expenditure Category: Gds,NCS,CS,Trg,IOC Prt 2

3,500,000.00 994,106.49 2,028,822.00 100.00 100.00

Total 44,900,000.00 34,393,715.32 44,900,000.00

.


19

.Results framework

COUNTRY: NepalHigher Education Reforms Project

Project Development Objectives(s)

To support reforms in selected institutions for improving quality, relevance, and efficiency of higher education; and to assist under-privileged students for equitable access.

Project Development Objective Indicators by Objectives/ OutcomesRESULT_FRAME_TBL_PDO

Indicator Name PBC Baseline End Target

Improving quality, relevance, and efficiency of higher education

Number of Accredited/ QAA cycle completed HEIs (Number) 12.00 125.00

Average time taken for announcement of results of Bachelors programs with centralized examinations at TU (Months) 7.00 5.43

Action: This indicator has been Revised

Number of publications in refereed journals by the research grant recipients. (Number) 0.00 85.00

Percentage of students enrolled in identified priority areas (Text) Under Graduates: 12.6;

Post-graduates: 16.7

Under Graduates: 17.0;

Post-graduates: 23.0

To assist under-privileged students for equitable access

Number of under-privileged students supported under the Project (Text)

(i) Total Higher Sec (HS) : 0

Total Bachelor (B) : 0

(ii) % female(HS): 0

% female(B): 0

(i) Total (HS) : 2,000

Total (B) : 7,500

(ii) % female(HS): 45

% female(B): 40

PDO Table SPACE


20

Intermediate Results Indicators by ComponentsRESULT_FRAME_TBL_IO

Indicator Name PBC Baseline End Target

Component 1: Implementation of Reforms

Number of institutions undertaking specified reforms (Number) PBC 8 15.00 135.00

Number of TU/ Other universities' institutions/ programs granted autonomy (Number) 4.00 14.00

Number of academic programs revised (Number) 0.00 75.00

Computerization of records of all students eligible for appearing in examinations from TU constituent and affiliated campuses (Percentage)

0.00 100.00

Number of new academic programs introduced in identified priority areas (Number) 0.00 65.00

Number of Research, Development and Innovation (RDI) projects supported in identified priority areas (Text)

PhD: 0;

Faculty: 0

PhD: 130

Faculty: 220

Direct project beneficiaries (Number) 0.00 500,000.00

Female beneficiaries (Percentage) 0.00 40.00

IO Table SPACE

Performance-Based Conditions MatrixDLI IN00830821 ACTION

PBC 1 National Accreditation System Established and Functioning (DLI allocation in SDR)

Type of PBC Scalability Unit of Measure Total Allocated Amount (USD) As % of Total Financing Amount

Intermediate Outcome Yes Text 6,210,000.00 0.00

Period Value Allocated Amount (USD) Formula


21

BaselineA Quality Assurance and Accreditation Agency (QAAA) with functional autonomy established at UGC

July 16, 2014 to July 15, 2015 A QAAA with functional autonomy established at UGC 1,035,000.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 16, 2015 to July 15, 2016 8 HEIs accredited (cumulative 20 including 12 at baseline) 1,035,000.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 16, 2016 to July 15, 2017 10 HEIs accredited (cumulative 30) 1,035,000.00 Scalable/ Rollover/ Min threshold: As per PAD

July 15, 2017 to July 15, 2018 30 HEIs accredited (cumulative 60) 0.00 Scalable/ Rollover/ Min threshold: As per PAD


July 16, 2019 to June 30, 2020Cumulative125 HEIs accredited/completed QAA cycle including 12 accredited at the baseline (At least 48% accredited)

3,105,000.00 Scalable/ Rollover/ Min threshold: As per PAD

July 1, 2020 to December 31, 2020 0.00

Action: This PBC has been Revised. See below.DLI IN00830798 ACTION





BaselineA Quality Assurance and Accreditation Agency (QAAA) with functional autonomy established at UGC


22

July 16, 2014 to July 15, 2015 A QAAA with functional autonomy established at UGC 1,035,000.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 16, 2015 to July 15, 2016 8 HEIs accredited (cumulative 20 including 12 at baseline) 1,035,000.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 16, 2016 to July 15, 2017 10 HEIs accredited (cumulative 30) 1,035,000.00 Scalable/ Rollover/ Min threshold: As per PAD



July 16, 2019 to June 30, 2020 50 additional HEIs (cumulative 80 HEIs) accredited/ completed QAA cycle (48% accredited) 1,634,210.50 Scalable/ Rollover/ Min threshold:

50%

July 1, 2020 to December 31, 2020

33 additional HEIs (cumulative 113 HEIs) accredited/ completed QAA cycle (48% accredited) 1,078,578.93 Scalable/ No threshold

DLI IN00830822 ACTION

PBC 2 DLI 2: Performance-based financing extended to HEIs (DLI allocation in SDR)


Output Yes Text 11,645,000.00 0.00


Baseline

1. Guidelines for Performance Based Funding (PBF) of campuses published by UGC. 2 Formula Based Funding (FBF) for autonomous campuses adopted by UGC

July 16, 2014 to July 15, 20151. Guidelines for PBF of campuses published by UGC. 2. FBF for autonomous campuses adopted by UGC

2,070,222.22 Scalable/ Rollover/ Min threshold: As perd PAD

July 16, 2015 to July 15, 2016 1. First group of 45 HEIs selected as per PIM, Memorandum of Understandings (MOUs) signed; 2,070,222.22 Scalable/ Rollover/ Min threshold: As

perd PAD


23

and first tranche of performance-based grants released. 2. Criteria for PBF based regular funding for community campuses adopted by UGC

July 16, 2016 to July 15, 2017

1. Second group of 45 HEIs selected as per PIM, MOUs signed and performance-based grants released to the first and second groups (total 90 HEIs). 2. FBF based funds released to at least two autonomous campuses; and PBF based regular funds released to at least 30 community campuses


July 15, 2017 to July 15, 2018

1. Third Group of 45 HEIs selected as per PIM, MOUs signed, and performance-based grants released to the first, second and third batches (total 135 HEIs). 2. FBF based funds released to at least additional two autonomous campuses (cumulative four); and PBF based regular funds released to at least additional 30 community campuses (cumulative 60)


July 15, 2018 to July 15, 2019

1. Performance based grants released to at least 90 HEIs from the three selected groups as per PIM. 2. FBF based funds released to at least additional three autonomous campuses (cumulative seven); and PBF based regular funds released to at least additional 20 community campuses (cumulative 80)


July 16, 2019 to June 30, 2020

1. Release of final performance-based grants to at least 45 HEIs from the three selected groups as per PIM. 2. Enhanced regular grants released to all accredited and autonomous community campuses exercising academic autonomy; PBF based regular funds released to at least additional 20 community campuses (cumulative 100)



24

July 1, 2020 to December 31, 2020 0.00


PBC 3 DLI 3: Autonomy extended to additional campuses/ schools/ programs (DLI allocation in SDR)




Baseline

1. TU autonomy campus rules for constituent campuses revised by TU Senate. 2. TU adopts rules for academic autonomy of affiliated campuses by TU Senate

July 16, 2014 to July 15, 2015

1. TU autonomy campus rules for constituent campuses revised by TU Senate. 2. TU adopts rules for academic autonomy of affiliated campuses by TU Senate


July 16, 2015 to July 15, 2016

1. Autonomy granted to two campuses/ schools (cumulative six including four at baseline). 2. Two autonomous /accredited campuses or schools exercise academic autonomy


July 16, 2016 to July 15, 2017

1. Autonomy granted to two campuses/ schools (cumulative eight). 2. Two autonomous /accredited campuses or schools or programs exercise academic autonomy (cumulative four)

258,750.00 Scalable/ Rollover/ Min threshold: As per PAD

July 15, 2017 to July 15, 2018

1. Autonomy granted to three campuses /schools (cumulative 11). 2. Two autonomous /accredited campuses or schools exercise academic autonomy (cumulative six)

0.00 Scalable/ Rollover/ Min threshold: As per PAD

July 15, 2018 to July 15, 2019 1. Autonomy granted to cumulative 8 campuses including 4 at baseline. 2. Cumulative 8 0.00 Scalable/ Rollover/ Min threshold: As

per PAD


25

autonomous /accredited campuses or schools exercise academic autonomy.

July 16, 2019 to June 30, 2020

1. Autonomy granted to cumulative 9 campuses including 4 at baseline. 2. Cumulative 14 autonomous /accredited campuses or schools or programs exercise academic autonomy


July 1, 2020 to December 31, 2020 0.00


PBC 4 DLI 4: Examination reforms implemented and academic calendar enforced in TU (DLI allocation in SDR)




Baseline

1. (i) Academic rules of TU revised and approved by TU Academic Council for completing academic calendar within one academic year; and (ii) a plan for examination reforms approved by TU (with especial focus on centralized examinations)

July 16, 2014 to July 15, 2015



July 16, 2015 to July 15, 2016

1. Academic calendar of three program-years of centralized Master’s programs adhered to. 2. Results for regular centralized Bachelor’s programs published within seven months on an average



26

July 16, 2016 to July 15, 2017

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative six). 2. Results for regular centralized Bachelor’s programs published within six months on an average


July 15, 2017 to July 15, 2018

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative nine). 2. Results for regular centralized Bachelor’s programs published within five months on an average


July 15, 2018 to July 15, 2019

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative 12). 2. Results for regular centralized Bachelor’s programs published within four months on an average.


July 16, 2019 to June 30, 2020

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative 15). 2. Results for regular centralized Bachelor’s programs published within three months on an average


July 1, 2020 to December 31, 2020 0.00







27

Baseline


July 16, 2014 to July 15, 2015



July 16, 2015 to July 15, 2016

1. Academic calendar of three program-years of centralized Master’s programs adhered to. 2. Results for regular centralized Bachelor’s programs published within seven months on an average


July 16, 2016 to July 15, 2017

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative six). 2. Results for regular centralized Bachelor’s programs published within six months on an average


July 15, 2017 to July 15, 2018

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative nine). 2. Results for regular centralized Bachelor’s programs published within five months on an average


July 15, 2018 to July 15, 2019

1. Academic calendar of three program-years of centralized Master’s programs adhered to (cumulative 12). 2. Results for regular centralized Bachelor’s programs published within four months on an average.


July 16, 2019 to June 30, 2020 1. Academic calendar of three program-years of centralized Master’s programs adhered to 0.00 Reallocated to DLI 8


28

(cumulative 15). 2. Results for regular centralized Bachelor’s programs published within three months on an average

July 1, 2020 to December 31, 2020 NA 0.00 NA


PBC 5DLI 5: Academic reforms introduced: Revision of existing and introduction of new programs at undergraduate and graduate levels (DLI allocation in SDR)




BaselineAreas of priority for new programs approved by UGC; and guidelines for selection of programs and institutions approved by UGC

July 16, 2014 to July 15, 2015Areas of priority for new programs approved by UGC; and guidelines for selection of programs and institutions approved by UGC


July 16, 2015 to July 15, 2016 A total of 20 programs revised or introduced 1,035,000.00 Scalable/ Rollover/ Min threshold: As per PAD

July 16, 2016 to July 15, 2017 A total of 60 programs revised or introduced (cumulative 80) 1,035,000.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 15, 2017 to July 15, 2018 A total of 60 programs revised or introduced (cumulative 140) 0.00 Scalable/ Rollover/ Min threshold: As

per PAD

July 15, 2018 to July 15, 2019 Implementation of all 140 programs continued 517,500.00 Scalable/ Rollover/ Min threshold: As per PAD

July 16, 2019 to June 30, 2020 Implementation of all 140 programs continued 2,587,500.00 Scalable/ Rollover/ Min threshold: As per PAD


29

July 1, 2020 to December 31, 2020 0.00


PBC 6 DLI 6: Poverty-targeted financial support for under-privileged students (DLI allocation in SDR)




BaselinePMT processes for selection of students revised by SFAFDB; and database and process computerized

July 16, 2014 to July 15, 2015PMT processes for selection of students revised by SFAFDB; and database and process computerized


July 16, 2015 to July 15, 2016(i)First cohort (at least 3,000 students) selected through PMT; and (ii) funds released to at least 3,000 students


July 16, 2016 to July 15, 2017

(i) Second cohort (at least 3,000 students) selected through PMT; and (ii) funds released to at least 4,500 students from first and second cohorts as per schedule


July 15, 2017 to July 15, 2018(i)Third cohort (at least 3,000 students) selected through PMT; and (ii) funds released to at least 6,000 students as per schedule


July 15, 2018 to July 15, 2019(i) Fourth cohort (at least 500 students) selected through PMT; and (ii) funds released to at least 4,000 students as per schedule


July 16, 2019 to June 30, 2020(i) Funds released to at least 2,000 students as per schedule; and (ii) Plan for sustainability of the scheme approved



30

July 1, 2020 to December 31, 2020 0.00


PBC 7 DLI 7: Institutions supported for academic excellence in priority areas through RDI awards (DLI allocation in SDR)




Baseline

1. (i) Existing research guidelines reviewed and revised by UGC; and (ii) Priority areas for support approved by UGC. 2. Parallel recruitment and promotion rules adopted by TU Executive Council

July 16, 2014 to July 15, 2015



July 16, 2015 to July 15, 2016

(i) First batch of projects ( at least 100) selected; and (ii) funds released as per schedule. (ii) First batch of faculty (at least ten) recruited and/or promoted based on excellence


July 16, 2016 to July 15, 2017

1. (i) Second batch of projects (at least additional 150) selected; and (ii) funds released to the two batches as per schedule.2. Second batch of faculty (at least additional ten) recruited and/or promoted based on the excellence


July 15, 2017 to July 15, 2018

1. (i) Third batch of projects (at least additional 150) selected; and (ii) funds released to the three batches as per schedule. 2. Third batch of faculty (at least additional ten) recruited and/or promoted based on the excellence



31

July 15, 2018 to July 15, 2019

1. (i) Fourth batch of projects (at least additional 200) selected; funds released to all batches as per schedule. 2. Fourth batch of faculty (at least additional ten) recruited or promoted based on excellence.


July 16, 2019 to June 30, 2020

1. (i) Final release of funds to at least 250 active projects as per schedule; Plan for sustainability approved. 2. Cumulative 40 faculty recruited and/or promoted based on excellence


July 1, 2020 to December 31, 2020 0.00






Baseline


July 16, 2014 to July 15, 2015



July 16, 2015 to July 15, 2016

(i) First batch of projects ( at least 100) selected; and (ii) funds released as per schedule. (ii) First batch of faculty (at least ten) recruited and/or promoted based on excellence



32

July 16, 2016 to July 15, 2017

1. (i) Second batch of projects (at least additional 150) selected; and (ii) funds released to the two batches as per schedule.2. Second batch of faculty (at least additional ten) recruited and/or promoted based on the excellence


July 15, 2017 to July 15, 2018

1. (i) Third batch of projects (at least additional 150) selected; and (ii) funds released to the three batches as per schedule. 2. Third batch of faculty (at least additional ten) recruited and/or promoted based on the excellence


July 15, 2018 to July 15, 2019

1. (i) Fourth batch of projects (at least additional 200) selected; funds released to all batches as per schedule. 2. Fourth batch of faculty (at least additional ten) recruited or promoted based on excellence.


July 16, 2019 to June 30, 2020

1. (i) Final release of funds to at least 250 active projects as per schedule; Plan for sustainability approved. 2. Cumulative 32 faculty recruited and/or promoted based on excellence


July 1, 2020 to December 31, 2020 Cumulative 32 faculty recruited 0.00 Scalable


PBC 8 DLI 8: HEIs supported to respond to COVID-19 (DLI allocation in SDR)


Output Yes Number 2,846,748.05 0.00


Baseline 0.00

July 16, 2014 to July 15, 2015 0.00 0.00


33

July 16, 2015 to July 15, 2016 0.00 0.00

July 16, 2016 to July 15, 2017 0.00 0.00

July 15, 2017 to July 15, 2018 0.00 0.00

July 15, 2018 to July 15, 2019 0.00 0.00

July 16, 2019 to June 30, 2020 300.00 2,846,748.05 Scalable/Rollover/Minimum threshold:100

July 1, 2020 to December 31, 2020 0.00 Scalable

Action: This PBC is New

Verification Protocol Table: Performance-Based ConditionsDLI_TBL_VERIFICATION


Description

The accreditation system will be considered established when (i) such agency is functionally independent from the UGC Secretariat, through amedment to existing legal provision; and (ii) key personnel are recruited. Key personnel include at least Chief of QAAA, two QAA experts, an accounts officer, an administrative officer and one monitoring officer. And the higher education institutions (HEIs) will be considered as ‘Accredited’ once they reach the status of Accredited or QAA cycle completed' and obtain the certification of the same from QAAD or QAAA or NAB following due procedures. Accreditation process will be carried out in accordance with the Guidelines or Manual, as approved by the accreditation agency.

Data source/ AgencyUniversity Grants Commission (UGC)/ Quality Assurance and Accreditation Agency (QAAA)

Verification EntityN/A


34

Procedure

Step 1: UGC submits the consolidated DLI achievement report to IDA in each reporting period as defined in the DLI Matrix. The Report should also include substantiating documents of DLI achievements. Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.

DLI_TBL_VERIFICATION


Description

The accreditation system will be considered established when (i) such agency is functionally independent from the UGC Secretariat, through amedment to existing legal provision; and (ii) key personnel are recruited. Key personnel include at least Chief of QAAA, two QAA experts, an accounts officer, an administrative officer and one monitoring officer. And the higher education institutions (HEIs) will be considered as ‘Accredited’ once they reach the status of Accredited or QAA cycle completed' and obtain the certification of the same from QAAD or QAAA or NAB following due procedures. Accreditation process will be carried out in accordance with the Guidelines or Manual, as approved by the accreditation agency. Total 113 HEIs are expected to be accredited/ completed QAA cycle for disbursement purpose.

Data source/ AgencyUniversity Grants Commission (UGC)/ Quality Assurance and Accreditation Agency (QAAA)


Procedure

Step 1: UGC submits the consolidated DLI achievement report to IDA in each reporting period as defined in the DLI Matrix. The Report should also include substantiating documents of DLI achievements. Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.


35


PBC 2 DLI 2: Performance-based financing extended to HEIs (DLI allocation in SDR)

Description

The DLI is considered achieved if Formula Based Funding (FBF) and Performance Based Funding (PBF) are approved by UGC; and (ii) Campuses are selected in years 1, 2, 3, 4 and 5 and funds are released as described in the DLI Matrix and as per the approved Project Implementation Manual (PIM).

Data source/ AgencyUniversity Grants Commission


Procedure

Step 1: UGC prepares and submits the consolidated DLI achievement report to IDA including cumulative figures in each reporting period as described in the DLI Matrix.The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the progress report, including through the collection of additional information as deemed required from universities and participating institutions.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.


PBC 3 DLI 3: Autonomy extended to additional campuses/ schools/ programs (DLI allocation in SDR)

Description

This DLI is considered achieved if (i) Autonomous Campus Rules are approved / revised by TU/ other universities, which would include necessary details for implementation of autonomy/ academic autonomy of constituent / affiliated campuses, schools, departments and programs, and the Academic Autonomy Rules authorize constituent/ affiliated campuses, schools, departments, programs to design and introduce new courses, conduct examination and publish results of all or some of their programs; and (ii) list of campuses, schools, department, programs that have received the status of governance autonomy/ academic autonomy with dates of respective universities decisions is prepared.

Data source/ AgencyUniversity Grants Commission (UGC)/ Tribhuvan University (TU)/ Other Universities

Verification Entity N/A


36

Procedure

Step 1: UGC prepares and submits the consolidated DLI achievement report, including cumulative figures for each reporting period as specified in the DLI matrix, to IDA. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the progress report, including through the collection of additional information from the participating institutions as deemed necessary.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.



Description

This DLI is considered achieved if (i) a Master’s level program will adhered to the published academic calendar of TU including results publication, and a program year is defined as one year of the Master program (for example, a two-year Master’s degree program would have two program-years); and (ii) TU OCE publishes the results of regular centralized Bachelor’s programs under faculties of humanities and social sciences, management and education in 6, 5, 4 and 3 months in year 2, 3, 4 and 5 of the project.

Data source/ AgencyTribhuvan University


Procedure

Step 1: UGC prepares and submits the consolidated DLI achievement report, including cumulative figures for each reporting period as described in the DLI Matrix, to IDA. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.



DescriptionThis DLI is considered achieved if (i) a Master’s level program will adhered to the published academic calendar of TU including results publication, and a program year is defined as one year of the Master program (for example, a two-year Master’s degree program would have two program-years); and (ii) TU OCE publishes the results of regular centralized


37

Bachelor’s programs under faculties of humanities and social sciences, management and education in 6, 5, 4 and 3 months in year 2, 3, 4 and 5 of the project.

Data source/ AgencyTribhuvan University


Procedure

Step 1: UGC prepares and submits the consolidated DLI achievement report, including cumulative figures for each reporting period as described in the DLI Matrix, to IDA. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.


PBC 5 DLI 5: Academic reforms introduced: Revision of existing and introduction of new programs at undergraduate and graduate levels (DLI allocation in SDR)

Description

This DLI is considered achieved if (i) UGC approves areas of priority for new programs and guidelines for selection of programs and institution; and (ii) campuses, schools, department and programs run such programs in required numbers as defined in the DLI Matrix, duly following the UGC approved priority areas and guidelines, and the respective universities’ academic requirements.

Data source/ AgencyUniversity Grants Commission/ respective campuses, schools and programs


Procedure

Step 1: UGC prepares and submits achievement report which would include (i) UGC approved areas of priority for new programs and guidelines for selection of programs and institution; and (ii) list of academic programs run by individual campuses/ schools/ departments in required numbers as defined in the DLI Matrix with evidence of duly following respective universities’ academic norms and rules. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.


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PBC 6 DLI 6: Poverty-targeted financial support for under-privileged students (DLI allocation in SDR)

Description

This DLI will be considered achieved if (i) Proxy Means Testing (PMT) processes for selection of students revised by SFAFDB; (ii) annual selection of students using PMT approach and grant release to the selected students as described in the DLI Matrix and as per the Project Implementation Manual is completed; and (iii) sustainability plan of the scheme is prepared by the SFAFDB by the project closing.

Data source/ AgencyStudent Financial Assistance Fund Development Board (SFAFDB)


Procedure

Step 1: UGC prepares and submits achievement report which would include the evidence of: (i) revised Proxy Means Testing (PMT) processes for selection of students revised by SFAFDB; (ii) annual selection of students using PMT process and grant release to the selected students as described in the DLI Matrix and as per the Project Implementation Manual; and (iii) sustainability plan of the scheme prepared by project closing. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the achievement report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.



Description

This DLI will be considered achieved if (i) a revised Research Guidelines and priority area of research are approved by UGC, research projects awarded and installment released to research awardees following the approved research guidelines and the Project Implementation Manual; a sustainability plan of the research approved by UGC; and (ii) regulations for parallel promotion/recruitment of faculty approved by TU; 40 faculty promoted or recruited under the parallel promotion/recruitment track.

Data source/ AgencyUniversity Grants Commission and Tribhuvan University


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Procedure

Step 1: UGC prepares and submits achievement report which would include the evidence of: (i) a revised Research Guidelines and priority area of research approved by UGC; list of research projects awarded and installment released consistent with the approved research guidelines and the Project Implementation Manual; duly approved research sustainability plan; and (ii) regulations for parallel promotion/recruitment of faculty approved by TU; and list of 40 faculty promoted or recruited under the parallel promotion/recruitment track. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the achievement report, including through the collection of additional information as required.Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.



Description

This DLI will be considered achieved if (i) a revised Research Guidelines and priority area of research are approved by UGC, research projects awarded and installment released to research awardees following the approved research guidelines and the Project Implementation Manual; a sustainability plan of the research approved by UGC; and (ii) regulations for parallel promotion/recruitment of faculty approved by TU; 32 faculty promoted or recruited under the parallel promotion/recruitment track.

Data source/ AgencyUniversity Grants Commission and Tribhuvan University


Procedure

Step 1: UGC prepares and submits achievement report which would include the evidence of: (i) a revised Research Guidelines and priority area of research approved by UGC; list of research projects awarded and installment released consistent with the approved research guidelines and the Project Implementation Manual; duly approved research sustainability plan; and (ii) regulations for parallel promotion/recruitment of faculty approved by TU; and list of 32 faculty promoted or recruited under the parallel promotion/recruitment track. The Report should also include substantiating documents of DLI achievements.Step 2: The IDA task team reviews the achievement report, including through the collection of additional information as required.


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Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.


PBC 8 DLI 8: HEIs supported to respond to COVID-19 (DLI allocation in SDR)

Description

This DLI is considered achieved if:(i) universities approve Guidelines for conducting online programs and facilitate their constituent and affiliated campuses for implementation;(ii) UGC revises Project Implementation Manual (PIM) incorporating the implementation details of support to respond to COVID-19 crisis in close coordination with universities;(iii) 300 Campuses/ Schools/ Central Departments under different universities conduct online programs, and their database provided.(iv) 11,400 underprivileged students receive support for online learning and their database provided(v) At least one collaborative research on corona virus selected and fund released as per PIMThe revised PIM should clarify/ include, among others:(i) criteria and modality of selection and support to universities/ 300 HEIs (schools/ colleges/ central departments affiliated to these universities) to extend and strengthen online teaching learning;(ii) modality of grant support to underprivileged students;(iii) modality of support for COVID-19 related collaborative research;(iv) elements for upgrading/ strengthening the UGC connectivity system to support/ monitor the progress including online programs implementation and other UGC tasks and also to strengthen collaboration with universities and institutions using video conferencing and other online facilities.

Data source/ AgencyUniversity Grants Commission


Procedure

Step 1: UGC submits the consolidated DLI achievement report to IDA in each reporting period as defined in the DLI Matrix. The Report should also include substantiating documents of DLI achievements. Step 2: The IDA task team reviews the progress report, including through the collection of additional information as required.


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Step 3: IDA certifies the extent of each DLI targets achieved and communicates the same to UGC for further action.

restructuring paper proposed project ......introduction and expansion of programs in market-relevant...

Documents