Anita Kaul,

Additional Secretary (SE)

Tel. No. 011-23383226
Email: anitakaul.edu@nic.in

D.O.NO.11-8/2010-EE.13 December 23, 2010

Dear

I write to you on some major issues concerning the Annual Work Plan &
Budget (AWP&B) exercise, which you would be initiating for the year 2011-12. The
planning exercise for the AWP&B, 2011-12 will be especially important since this
will be the first year when we will be comprehensively planning Sarva Shiksha
Abhiyan (SSA) interventions from the perspective of the provisions of the Right of
Children to Free and Compulsory Education (RTE) Act, 2009.

PREPAREDNESS FOR RTE:

2. State RTE Rules: For the AWP&B 2011-12, it would be critical for you to
ensure that your State RTE Rules have been notified. As on date only four states,
namely Manipur, Sikkim, Orissa and Arunachal Pradesh have notified the State
RTE Rules, though many States have time and again assured us that they are in
the final stages of RTE Rules preparation and notification. You are aware that your
requirements for opening new schools, constructing new school buildings,
providing school uniforms, residential facilities and transportation/escort facilities
are contingent on the provisions made in the State RTE Rules. Kindly therefore
ensure that the State RTE Rules are finalized and notified expeditiously. An
updated status on the state RTE Rules and an Action Taken Report on the
preparedness for the implementation of the Act must form part of the annual plan
document.

ACCESS:
3. Neighbourhood Schools: Section 6 of the RTE Act mandates the
establishment of a school by the appropriate government or local authority within
the prescribed area or limits of the neighborhood in a three year time span from the
commencement of the Act. Therefore, based on the norms for neighbourhood
school prescribed under your State RTE Rules, you will need to undertake a
mapping exercise in habitations which are unserved by a regular school, or are
served by EGS-type centres, and (i) arrive at an authentic and correct assessment
of the requirements of the new primary and upper primary schools, (ii) identify EGS
centres which need to be upgraded to regular schools, or closed down, and (iii)
identify children in those habitations where setting up a full fledged school may be
unviable for providing residential school facilities or transportation/escort
arrangements.
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4. I may add that we had clarified in the PAB meetings held for the approval of
the Supplementary Plans for 2010-11 that the states will have to submit a detailed
justification for proposing residential or transport facilities, clearly indicating the
habitations or the localities intended to be covered, the reasons for not providing
regular schools in the neighborhood, location of the proposed residential facility
and availability of land or an existing building, mode of transport in case of
transport facility, number of children to be covered, the mechanism for the
identification of the children and willingness of the parents to utilize these facilities.
It will not be possible for the PAB to approve proposals for residential or
transport/escort facilities in the absence of such justification.

5. Eight year Elementary Cycle: The National System of Education envisages

a common educational structure. At the elementary level, the national system of
education comprises five years of primary and three years of upper primary
education. The RTE Act also provides for eight years of elementary education from
class 1 to VIII. Efforts have been made over the years to follow an eight year
elementary education cycle throughout the country; however, several States
continue to follow a seven year elementary education cycle. Existing SSA norms
provide support to States to move towards an eight year elementary education cycle
through provisioning for additional teachers and classrooms for integrating class
VIII with the upper primary stage. The revised SSA norms also provide for
additional teaching learning equipment (TLE) for integrating class V in the primary
stage and class VIII in the upper primary stage. The States following a seven year
elementary education cycle must therefore indicate their action plan for transiting
to an eight year elementary education cycle in the AWP&B, 2011-12.

6. Removal of financial and procedural barriers: for universalising

elementary education must also be attended to in real earnest to ensure
universalization of access. Some expenses such as textbooks, uniforms and
transportation can be defrayed under SSA, unless these are already being provided
under any other scheme of the State Government. Expenses on mid day meal shall
continue to be defrayed under the Mid Day Meal scheme. States shall ensure
convergence of resources from different schemes of the Central and State
Governments to remove other financial barriers and meet the ‘hidden’ costs of
education. Similarly, the removal of procedural barriers is equally importance. The
provisions of the Act regarding non-insistence on birth certificate, admission
beyond extended period etc. need to be enforced so that children can access
education easily. The annual plan document should list out the steps taken for the
removal of financial and procedural barriers to school access.

7. Special Training for out-of-school children: Section 4 of the RTE Act

makes specific provision for Special Training for age appropriate admission for out-
of-school children. A majority of out-of-school children belong to disadvantaged
communities: scheduled castes, scheduled tribes, muslim minorities, migrants,
children with special needs, urban deprived children, working children, children in
other difficult circumstances, for example, those living in difficult terrain, children
from displaced families, and areas affected by civil strife, etc. Girls comprise a bulk
of out-of-school children. Special Training for never enrolled children or those who
dropped out before completing elementary education would require an authentic
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identification of children who must be enrolled. For this the State Government,
Local Authority and School Management Committee will need to undertake a
community level school mapping exercise. The school mapping exercise will be
followed by (i) a formal enrolment process to enter the child’s name in the school
records (ii) organisation of Special Training of flexible duration to enable the child
to be at par with other children, (iii) actual admission of the child in the age
appropriate class on completion of Special Training, and his/her participation in all
class activities, (iv) continued support to the child, once admitted to the regular
school, so that the child can integrate with the class socially, emotionally and
academically. States will be required to plan context-specific strategies for Special
Training. An important preparatory activity for providing Special Training would be
the development of appropriate material by the academic authority notified by the
State under section 29 of the RTE Act.

BRIDGING GENDER AND SOCIAL CATEGORY GAPS

8. Addressing exclusion: Bridging gender and social category gaps in
elementary education is one of the main goals of SSA. We have already made
significant headway in bridging gender and social category gaps in terms of
numbers. Larger numbers of girls and children from disadvantaged groups and
weaker sections are enrolled in schools today. However, the different ways in which
exclusion is manifested have not been sufficiently addressed across the
components of children’s participation, retention, achievement and completion of
elementary education. This makes exclusion the single-most important challenge in
universalizing elementary education

9. The RTE Act in different sections makes reference to gender and social
inclusion both explicitly and implicitly. Some of the relevant provisions are: no
discrimination against children from ‘disadvantaged groups’ and ‘weaker sections’
on any grounds; inclusion of women in school monitoring committees; provision of
good quality education that includes equity issues, curriculum development in
conformity with constitutional stipulations; training, enrolment in age appropriate
classes (which will largely apply to girls, especially from disadvantaged
communities). There is a need to consider retention as an equity issue, as SC, ST,
Muslim girls, are vulnerable, and most likely to dropout. In the context of RTE,
gender and social disadvantage must become integral to concerns of quality and
equity. Gender and social inclusion, as a crosscutting issue, should be viewed as
an integral and visible part of the quality agenda. It is, therefore, important that
you work towards ensuring that issues of exclusion and disadvantage are
addressed: -

a) In the curriculum, syllabus and teaching learning material developed by

the State for regular classroom transaction and Special Training for age
appropriate admission of out-of-school children
b) In the classroom practices adopted by teachers, head teachers, resource
persons, and educational administrators at various levels through
development of appropriate training designs
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c) By reconceptualising the management and administration of all incentives

and provisions, whether in the form of textbooks, uniforms, mid day meals
or scholarships, transportation, etc. from the perspective of child rights
and entitlements, rather than as ‘incentives’.

d) By ensuring that issues of gender and social inclusion are addressed in

training programmes for members of SMCs, VECs, PRIs, etc. and enable
them to address such issues in their School Development Plans.

10. The annual plan must focus on addressing these challenges. We would like
to see a separate chapter on the areas and challenges identified and strategies
devised to prevent explicit and implicit discrimination against the children of the
disadvantaged groups and weaker sections in pursuing and completing elementary
education.

11. Interventions for children with special needs: - In the case of Children
with Special Needs (CWSN), the key priority areas are (a) strengthening the
identification system of CWSN, (b) ensuring full coverage of CWSN by preparing
schools to address the diverse needs that different categories of CWSN have,
especially children with Autism Spectrum Disorders, cerebral palsy, deaf-
blindness, etc (c) strengthening the resource support team for regular and effective
academic support to the CWSN (d) strengthening and upgradation of resource
rooms (e) augmentation of training facilities in BRC/ CRC keeping in mind the
needs of CWSN and by placing adequate number of special educators (f)
adaptation of curriculum and evaluation processes for CWSN (g) sensitization of
teachers, parents, community and peers to create an inclusive school environment
(h) coordination with special schools and (i) barrier-free access through the
availability of ramps with handrails and barrier free toilets.

RETENTION
12. Retention: - The RTE Act makes it mandatory for states to ensure that every
child stays on and completes elementary education. Retention is therefore, the
litmus test for all the efforts that go into strengthening the formal education
system; it is necessary that robust and vibrant processes are put in place to keep
close and constant watch on the attendance pattern of children enrolled, and
ensure timely interventions to hold them from dropping out. This will require inter
alia following measures:-

a) Situation analysis of each school, cluster and block reporting low retention
rate to understand the barriers coming in the way of children staying on in
school.

b) Ensuring constant dialogue between the school, parents, SMC and the
community at large to facilitate children’s regular attendance and
participation in school activities.

c) Putting in place a system of regular sharing of information on attendance

and dropouts with the cluster, block and district level authorities
 -5-

d) Capacity building of the teachers and CRC and BRC level functionaries to
conceptualise appropriate child specific interventions to remove the existing
barriers.

The Annual Plan 2011-12 must, therefore, reflect the mechanism and processes
conceived of to track the attendance pattern of the children and respond to the
specific situations.

QUALITY
13. Curriculum, syllabus and textbook development: - Section 29 of the Act
makes specific mention of eight factors which should be taken into consideration by
the designated academic authority to lay down the curriculum and the evaluation
procedure. It needs, however, to be emphasized that while designing curriculum,
material and learning material States must take cognizance of the ground realities
of children. Focus should be on selection and formulation of topics such that there
is continuity across grades and themes, and an interdisciplinary focus across
subjects is maintained. Linkages should be developed between school knowledge in
different subjects and children’s everyday experiences. Besides, while undertaking
revision of textbooks, it will be important to rationalize the number of subjects and
books both at primary and upper primary levels, so that there is no additional
curriculum load and burden on children. Textbooks developers would need to
design books that focus on understanding concepts; encourage reflective thinking;
and provide interactive spaces for children and activities for group as well as
individual work with evaluation happening in a continuous manner. The textbooks
should keep the principle of equity and inclusion at the forefront, proactively break
extant stereotypes and reflect sensitivity to gender, caste and class parity, peace,
health and needs of children with disabilities. SSA should get closely associated
with the curriculum renewal and syllabus and textbook development processes,
and provide necessary support to the academic authority and agencies concerned.
The annual plan document must give an unambiguous idea of these processes and
the mechanism worked out for inter-agency coordination.

14. Textbook production: The textbook production, encompassing the layout

and design, text and cover paper size and specifications, ink, printing and binding
etc., have significant implications for quality. These aspects have so far been left to
the State Textbook Boards or SCERTs. SSA will need to have effective liaison with
the agency responsible for the textbook production and provide support for
ensuring reform in the textbook production process.

15. Library as learning resource: The library will be an essential component of

the school, providing not only the resource for learning, but also for strengthening
the idea of reading for pleasure, recreation and further deepening of knowledge and
imagination. It will have newspapers, magazines, books as well as access to new
information technology, including computers wherever possible. Training of
teachers and involving children, in library management and its usage will have to
be integrated within the teacher training programmes. The libraries through SSA
resources will be created strictly by decentralized mechanism, wherein wisdom of
teacher and SMC for procuring books for their children is trusted.
 -6-

16. Ensuring adequate availability of teachers: Section 25 of the Act requires

the appropriate governments and the local authorities to ensure PTR in each school
as specified in the schedule of the Act. This will require a three-pronged strategy (a)
rationalization of the deployment of existing teachers in a transparent manner, (b)
filling up of the sanctioned vacant posts under SSA as well as under the State
sector and (c) recruitment of additional teachers. The software developed by TSG
for placement and redeployment of teachers will help the states in the
redeployment exercise. We would like to see a chapter on the strategy prepared by
the states to complete this exercise in 2011-12. The Ministry has already written to
States to submit proposals for relaxation in the norms and time frame for the
recruitment of trained teachers, if adequate numbers of trained teachers are not
available to fill up the required number of vacancies. The States in need of such
relaxation must indicate in the AWP&B, 2011-12 document if such proposal has
been submitted along with the time-bound action plan for the filling up of the
existing vacancies and recruitment of new teachers.

17. Training of untrained teachers: The RTE Act necessitates that a person
must possess the minimum qualifications laid down by the Academic Authority
authorized by the central government to be eligible to work as a teacher. You are
aware that NCTE has been notified as the Academic Authority for this purpose, and
it has laid down the minimum qualifications for teachers. The States having under
qualified and untrained teachers must develop strategies to train all untrained
teachers within the next four years. The states will have to, therefore, clearly
indicate in the plan document (a) the number of under qualified and untrained
teachers, (b) institutional capacity in terms of DIETs and teacher training
institutes, which exist in the state for teacher education, (c) proposed measures for
increasing the institutional capacity to address the teacher qualification needs of
untrained teachers, including alternative strategies through distance learning to
clear the backlog in the given time frame.

18. Reviewing teacher recruitment rules: There will also be need for revisiting
the existing teacher recruitment and promotion rules in some of the states to
ensure the availability of (i) subject-specific teachers, (ii) teachers with the requisite
qualifications at the upper primary level and (iii) head teachers. Part-time
Instructors for Art Education, Work Education and Health and Physical Education,
mandated by RTE, were sanctioned in the Supplementary Plans, 2010-11 of many
states. However, we would like to see a write-up on the strategy prepared by the
States to meet the requirement of the Part-time Instructors indicating the
qualification and experience criteria, mode of recruitment, remuneration, job chart,
etc.

19. In-service teacher training: The States must draw up a long term in-service
teacher development plan, defining parameters such as the periodicity, content and
methodology of the programmes. The training design will be such that it integrates
content, pedagogy, materials and resources of a particular concept. This should be
followed through adequate support at block and cluster level. Arrangements for
class room observation after training programmes by the Resource Persons are to
be put in place. The cluster level meetings should develop into a professional forum
for teachers to reflect and plan together.
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COMMUNITY PARTICIPATION
20. Strengthening of SMCs: - The RTE Act places emphasis on process of
planning to commence at the school level, and requires the School Management
Committees to make School Development Plans which shall be the basis for the
plans and grants to be made by the appropriate Government (Section 22). This
entails a massive effort to create capacity at the SMC level to look at the challenges
of quality education in the light of the Act. Empowered and professionally equipped
SMCs would be crucial for anchoring community awareness and participation
efforts. The revised SSA norms provide for residential and non-residential mode of
community training. States will have to invest in capacity building of SMC
members to address this enormous challenge and work out a comprehensive and
cohesive plan of action which should inter alia incorporate the development of a
training module and framework for the School Development Plan, creation of a
strong network of resource persons with the active involvement of the civil society
organizations and putting in place an institutional mechanism for constant
dialogue at the community level. This is a huge exercise and can easily go awry if
not planned meticulously, taking into account the logistical implications.

21. Community has an important role to play in the improvement of the learning
environment in the schools. While making School Development Plan, the SMC has
to pay adequate attention to quality issues including teacher training, availability of
child entitlements, teaching learning materials in schools, pupil assessment in
consonance with the principles of continuous and comprehensive evaluation, and
preparation of pupil cumulative record. The SMC can also act as a bridge for
community involvement in sharing knowledge with schoolchildren. Encouragement
to work experience would require the attachment of children with professionals,
farmers, and artisans. In addition, there should be greater involvement with
various extension workers i.e. agriculture, health, anganwadi workers for more
experiential learning. The community leaders and groups, therefore, will need to be
sensitized on issues related to monitoring of children's progress and other quality
related school activities. This will have to be preceded by the community
mobilization as well training of SMC on issues pertaining to quality.

SCHOOL INFRASTRUCTURE
22. Improving school infrastructure: The Schedule to the RTE Act makes it
mandatory for the schools to comply with the norms and standards, and SSA
norms have been appropriately revised. States need ensure that they saturate their
infrastructure requirements in the next two years e.g. by March 2013. Construction
of new school buildings will continue to receive the highest priority. States will have
to ensure that each new school has a composite building, containing all features
specified in the Schedule to the RTE Act, and is designed in a manner that
available physical spaces serve as an aid to learning. States will need to ensure
that appropriate barrier free features, keeping in view the different requirements
children with special needs, are incorporated in all new building designs, so that
they are able to enter the school building and negotiate their way around the school
easily. The school buildings shall also provide safety features in the structural
design to ensure appropriate safety to the children against natural and man-made
hazards such as earthquake, cyclone, flood and fires etc.
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23. Augmentation of the existing school infrastructure through the construction

of additional classrooms, separate toilets for the boys and girls, drinking water
facilities and ramps with handrails in the existing schools should also be attended
to on the priority basis. I would like to emphasize four important issues here- (i) a
measured school campus map must be prepared for each and every school, (ii) only
those schools shall be taken up for the construction of the Headmaster’s room in
2011-12 which are entitled to get Headmasters; (iii) intensified convergence with
the Total Sanitation Campaign and Accelerated Rural Water Supply scheme and
(iv), it should be kept in mind that the toilet facilities meet the norms of adequacy
and are accessible by the children with special needs. The annual plan document
must contain details of the deliberations held with the concerned authorities and
plan of action agreed to. Besides, the surplus rooms in the schools shall be used
as Headmaster’s room and the state plan must say it in categorical terms that the
requirement of the Headmaster’s room has been worked out after taking the
existing surplus rooms into account. For the development of playground in the
schools, the states must utilize the resources available under the schemes like
MNREGA, MPLADS, MLALADS, BRGF etc.

URBAN PLANNING
24. Urban Planning: -Urban areas have unique features like a high density of
population, a heterogeneous community, extremely high cost/unavailability of
land, slums, migrating population, homeless population, infrastructural barriers to
school, urban deprived children etc. As such, planning in the context of RTE
would also be somewhat different warranting relevant and more specific strategies
especially while planning for school access (physical as well as social), special
training, community participation, classroom processes, academic support and
convergence etc.

25. The most critical factors while planning for neighbourhood schools in urban
areas would be finalizing relevant and need based criteria for neighbourhood school
and interface between school and community. Special training would have to be
planned very specifically to address the needs of urban deprived children like street
& working children, rag-picking children, children of slum/pavement dwellers,
children working in industry, household, tea shops, garages etc. Effective
convergence with municipal agencies and departments of health, PHE, welfare,
WCD etc. especially in the context of planning residential facilities, to refurbish
unused public buildings or under-utilised school buildings, would be a necessary
precondition for access and retention of urban deprived children without adult
protection.

26. Urban specific strategies should reflect in the entire district Annual Work
Plan under SSA. The cities with large population (Million Plus Cities) shall make
separate plans, while for other cities and urban areas, urban component shall be a
separate chapter of every district plan. The State component too shall clearly focus
on urban issues. Major cities would need a dedicated programme management
structure at city level to plan and implement SSA in the urban context.
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MANAGEMENT AND MONITORING

27. Strengthening the Project Management Structure: - The RTE Act requires
the entire education department to be geared in a unified manner to take up the
task of the implementation of its provisions. In the long run this would require the
unification of the existing SSA structures with the regular education department.
While total unification may take time, convergence of overlapping or dichotomous
SSA structures with the regular education department and the SCERT should
commence immediately. In doing so, you may ensure structures at the State,
District and Sub-District levels are strong and vibrant enough to implement the
programmatic activities in a time-bound manner more so in the context of
expanded activities and enhanced funding to support these activities. Existence of
a large number of vacancies against the sanctioned posts and under-staffing of
some crucial components has been discussed in the previous PAB and review
meetings. States should not only fill up the vacancies, but also make a realistic
assessment of the requirement of manpower for various components and at
different levels.

28. Monitoring of programme implementation: - The important role of SMC

for the community level monitoring of the functioning of the school and
implementation of programme activities has already been discussed in the
preceding paragraphs. To make the community level monitoring more effective, it is
of paramount importance that the system of sharing of database generated through
DISE, House Hold Survey (HHS) and Migration Mapping is institutionalized and
total transparency is ensured in regard to the grants released for the school. It is
also necessary that there is an effective mechanism at the block and district levels
to look into the complaints/grievances of or against the SMCs.

29. Revised SSA norms provide for a full fledged MIS unit at the BRC level. This
should enable the states to develop appropriate online systems for the monitoring
of the functioning of schools at sub-distinct level structures. Online systems
developed by Madhya Pradesh (for child tracking and education administration and
management), Orissa (child tracking system), Gujarat (tracking of migrant
children), Andhra Pradesh (monitoring of IE resource persons and care givers) and
TSG (teacher placement and redeployment) have been shared with the states in
various National level workshops. States should plan for development of online
systems for child tracking, teacher placement and redeployment, quality
monitoring, on-site academic support to teachers by the BRCs and CRCs, special
training arrangements, tracking of migrant children etc.

30. The National University of Educational Planning & Administration (NUEPA)

has developed an Educational Development Index (EDI) to track progress of the
States towards Universal Elementary Education (UEE), for Primary and Upper
Primary levels as well as for a composite picture of Elementary Education. The
States shall develop Educational Development Index (EDI) for the district and sub-
districts levels. The EDI ranking will encourage the States and the districts to
improve their performance and have a closer look at both the inputs and the
outputs of the parameters that affect elementary education.
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SPECIAL FOCUS DISTRICTS

31. Special Focus Districts (SFD): There should be focused attention on
districts with disadvantaged social groups and deficit infrastructure. Special Focus
Districts (SFDs) identified for the purpose of AWP&B for 2011-12 are given in
Annexure-2 which include the following categories:-

a) SFD-A Category (70 districts): Districts with a gap in additional

classrooms exceeding 3000. The plan of these districts should
address the requirement of additional classrooms. The outlay for
civil construction in these districts could go up to a maximum
50% of the total outlay of the district in order to saturate
requirements of classrooms only.

b) SFD-B Category (173 districts): These are districts which have

more than 20,000 out of school children (27), districts with
Retention Rate lower than 60% (126), and districts with a gender
gap of more than 10% at primary or more than 20% at upper
primary level (20). The district plan should provide for
interventions to address these gaps.

c) SFD-C Category (109 ST, 61 SC, 121 PMO’s Minority Concentrated

Districts (MCD), 88 districts having 20% or more Muslim
population, 35 Naxalite affected and 94 Border Area districts):
These are districts with a large population of disadvantaged social
groups, Naxal affected districts and border districts. The district
plans should provide for interventions to focus on the specific
problems of these districts.
GENERAL
32. An index of Tables required to be submitted along with the AWP&B 2011-12,
is at Appendix-A.

33. In addition to above, we are enclosing the Annexures, as detailed below for
use in preparation of AWP&B 2011-12:-

Annexure Annexure Title

No
1 Costing sheets for SSA interventions:
2 List of Special Focus Districts
3 List of Million Plus Cities
4 Results Framework
5 Appraisal Schedule with Appraisal Teams of TSG

34. Commitments: - It should be ensured that all the commitments/conditions

listed at the time of PAB approval for 2010-11 have been complied with. The
appraisal teams would specifically check achievement against these commitments
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35. Spillover & revised AWP&B: - I wish to draw your attention specifically to
the tendency of underestimating spillovers in AWP&B estimates with the
expectation of garnering more funds for fresh works. This leads to unfortunate
situations later, suggesting not only improper planning, but also a grave financial
impropriety. AWP&B approved by PAB for 2011-12, will be revised by end May
2011, after the States report their actual spillovers and unspent balances
separately to the GoI/PAB after closure of 2010-11 accounts by 15th May, 2011
latest. Furthermore, on receipt of annual audited accounts, the variation between
the spillover funds declared and audited unspent balances will be deducted from
further releases of Central share by GOI.

36. Appraisal: - At the National level, we would be starting the Appraisal process
of AWP&B 11-12, for districts and States from the third week of February, 2011.
The appraisal format and important aspects of the plan preparation process will
also be discussed in the National level workshops to be held in the month of
December, 2010. I would urge you to complete the process of plan formulation in
time and submit the plan by the date fixed for
this purpose. It must be ensured that the district plans are based on the School
Development Plans and approval of the State Executive Committee has been
obtained before the submitting the plan for appraisal.

With regards,
Yours sincerely,

(Anita Kaul)

State Project Directors (By name), All States / UTs

Copy to: -

1. Education Secretaries (by name) of all States/UTs

2. Sr. PPS to Secretary(SE&L).
3. PS to AS (EE-II)/JS (EE-I)/FA(HRD).
4. All Divisional Heads in EE-I & EE-II Bureau.
5. Shri Asadullah, Chief Consultant, Planning Unit, TSG.
6. Dr. S.C. Gujaria. Sr. Consultant, Appraisal Unit, TSG for necessary action.
7. Project Manager, TSG with a request to circulate copies to all Consultants.

(Anita Kaul)