INDIAN INSTITUTE OF MANAGEMENT, LUCKNOW

GUIDELINES, RULES AND PROCEDURES TO BE FOLLOWED FOR CONSULTANCY

AND PROFESSIONAL ACTIVITIES
(as on 25.07.2013)
BROAD UNDERSTANDINGS
BASIC PREMISE
At IIML. consultancv and professional activities are encouraged since these form integral parts of education, training
and research activities both of the Institute as velI as of indiidual faculty. Objective behind undertaking consultancv and
professional activities is to help improve management systems in various work organizations, and there from acquire
insights into the knowledge application and problem solving. It is envisaged that learning derived from consultancv
andor professional activities would be made use of in class!room teaching and training sessions. and also in publication
and research. "t the same time, given the multifarious demands on the faculty time. appropriate balance needs to be
maintained between various activities so as to ensure that any one task is not performed at the cost of others. #herefore.
rules and procedures become helpful to faculty members to plan and budget their time.
$eeping the above in view the following guidelines are developed to facilitate undertaking of various consultancv and
other professional activities.
2. BROAD GUIDELINES
%. & Only those assignments which provide insights into organizational problems would be considered. #his would imply
that the Institute will adopt a selective approach as against entertaining every request that comes from a client
organization.
%.% "n appropriate balance between teaching. research, training and consulting is to be achieved. '(cessive time spent on
one of the activities at the cost of an of the other activities would not be desirable. either for the Institute or for individual
faculty members. )econdly. consultancv andor professional activities that may adversely affect faculty involvement in the
Institutes education. research. and training activities would not be entertained.
%.* "s far as possible and practicable, problem dimensioning e(ercise would be undertaken prior to sending any detailed
proposal and final acceptance of the assignment.

*. +',I-I#IO-)
"ll work of the nature of organizational problem solving for which payments are received from the client system would
be delined as ConsItan!"#. "ll foreign assignments .e(cluding teaching/ will be treated as 0consultancv assignments1.
2asual lecture assignments in various organizations. for which payments are received. would be considered as
3rofessional "clivities. 'ngagements as 4uest ,aculty in organizations of repute. occasional talks which are
remunerative, participation in selection committees etc. will be counted as 3rofessional "ctivities1. 5owever, funded
research projects. for which no remuneration will be received, will not come under the purview of either consultancv or
professional activities. "lso, assignments such as e(aminership of reputed Institutions or universities will be treated
separately.
3roposals for undertaking 3rofessional activities as 4uest ,aculty in organizations of repute. occasional talks involving
payment of honorarium, participation in )election 2ommittees etc. 6ill hereafter be submitted for +irectors approval
through the office of +ean .37+/. #he honorariumremuneration received by the faculty for the aforesaid activities will
be communicated to the office of +ean .37+/ for the purpose of record.
#he assignments of In!5ouse #raining 3rogrammes accepted by individual faculty members on their own account
involving more than four hours of e(ternal lectures on a single day, or lectures spanning more than one day. shall be called
2onsultancy #raining .2.#./ and shall be treated like consultancv. )uch assignments shall not be treated as
casualoccasional lectures.
#he duration of consultancy training is restricted to two days only. ,or the same organization. ma(imum of one
2onsultancv #raining programme is permissible in a month.
II. RULES AND OPERATING PROCEDURES
$. RULES
T%& 'o((o)n* rules will govern all consultancv and professional activities.
8. & "ll consultancv assignment will be undertaken in the name of the Institute. #his will apply to those cases also where
the client may approach an individual faculty directly.
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8.% In a year a faculty member would be permitted to engage herselfhimself in consultancvprofessional activities up to a
total of 52 days. which include )aturdays. )undays as vell as the summer vacation period. In e(ceptional cases the
director in consultation with +ean. 3lanning 7 +evelopment .37+/ and +ean. "cademic "ffairs .""/. may allow up to
9: days in a year to facilitate completion of any ongoing assignment.
8.* 6here the client organization approaches the Institute, the +ean .37+/. in consultation with the +irector, will
nominate a faculty member or, a group of faculty members, to interact with the organization to dimension the problem.
8.8 "fter the problem dimensioning is complete. a suitable proposal would be developed by the participating team. #he
team leader will forward the proposal to +ean .37+/ who, after scrutiny, will send the proposal to the client organization.
4.5 Once the proposal is sent to the client organization the point of contact for the client organization shall be +ean .37+/
till such time the proposal is accepted and the necessary advance payment is made b the client.
8.; On receipt of the advance payment. +ean .37+/ ill intimate the project team. through its leader, and request the team
to initiate the work. #he team leader shall &&&&!in the necessary form lavailable at this <"- site in =,acultv,orms folder
and also at +ean .37+/s officel and forward the same to the +irector through +ean .37+/ for formal approval.
8.9 >pon +irectors approval the +irector Office will send the form to the +ean .37+/ office for assigning a project
number. Once the project number is assigned +ean .37+/ office will send one copy to the account office. one to the
project leader, one to the +irectors Office. retaining the fourth cop with itself.
8.? Once the project starts, approval requests relating to any e(penses to be incurred Ot o' the assignment. for which
provisions e(ist in the project budget. are to be sent to +ean .37+/.
8.@ Aetainership type assignments will also be permitted with the proviso that the duration of such retainership
engagements does not e(ceed two days per month or. %8 days in a year.
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8.&: ,or counting the number of days spent on consultancv assignmentsprofessional activities. minimum unit will be half
a day, implying that any remunerative assignment .other than those which are e(empted from counting/ up to 8 hours
duration would be treated as half a day. even when the actual involvement may be for a lesser duration.
5. BUDGET
5.1 #he amount to be charged should cover the following elements of costB
5. l.a 3rofessional fee .faculty time in number of days multiplied by the rate to be charged per day ).
C. I .b )upport )taff .3roject "ssociate. 3roject "ssistant. ,ield Investigator specifically engaged for the project/
5.l.c '(ternal e(pertadviser, if any
5. Id #ravel e(penses ."irfare. #++"D<ocal conveEance. etc./%
C. I.e +ata collection .)urvey design. questionnaire. other items/
C.&.f 2ommunication. 2onsumables .3rinting and Finding. etc./
5.l.g 2harges for )ecretarial and "dministrative "ssistance and other Institutional ,acilities.I:E of the professional fee as
per .C.l.a/ above/.
C.l.h )ervice #a.( on total cost of the project .sum of C. la!). ig/.
.at the prevailing rates at the time of each advancepart pavmentG
5.2 #he client would normally be required to pa C:E of the total cost in advance, along with the letter of acceptance of the
terms and conditions detailed in the consultancv proposal document.
C.* 3roposals for undertaking 3rofessional activities as 4uest ,aculty in organizations of repute. occasional talks
involving payment of honorarium, participation in )election 2ommittees etc. 6ill hereafter be submitted for +irectors
approval through the office of +ean .37+/. #he honorariumremuneration received b the faculty for the aforesaid
activities will be communicated to the office of +ean .37+/ for the purpose of record.
Please +&'&+ to the (Iuidelines for the Appointment of "cademic )upport )tall.
2 Please +&'&+ to A,,&n-). A 'o+ t%& &nt)t(&/&nts o' t%& /o-& o' travel, (o-*)n* &.,&n-)t+&, -a)(" a((o0an!& and 1&%)!(& +&nta(s 'o+
!ons(tan!1 ,+o2&!ts.
Cn&nt +at&s o' )ervice Ta. a+& 34.546 (as ,&+ t%& 7-*&t ,+o,osa(s 'o+ 24489 34:
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;. S<ARING OF PROFESSIONAL FEE
;.& 3rofessional fees will be shared with the Institute on the following basisB
3rofessional fees .item 5. & .a/ H
+irect e(penses .item 5.1 .b to C. &.&/ I
Institutional 2harges .item 5.1 .g/ :. & H
)ervice #a( .at the prevailing rates/ on .HJIJ:. I H/ K
#O#"< F>+4'# &.IOHJIJK
I-)#I#>#IO-"< )5"A' :.8 H
,"2><#I )5"A' :.;H
;.% #he final disbursement of the faculty share of fees. as envisaged in ;. &, ill be made on receipt of a formal report b the
+ean .37+/+irector from the project leader that the consultancv work has been completed to the satisfaction of the
client and all the money has been received from the client. #he disbursement is subject to the concerned faculty member
fulfilling the minimum workload requirement for the academic year. as per the faculty workload norms, and shall be made
at the end of the academic ear,
;.* #he +ean .37+/ may permit the final disbursement of the faculty share in advance. provided the concerned faculty
member has already fulfilled hisher minimum workload requirement for the academic year and heshe makes a specific
request furnishing a proof towards such fulfilment.
;.8 ,or workload equivalence, professional fees of As *::.::: from consultancv and consultancv training will be treated
as equal to one credit. 3art amounts shall have pro!rated equivalence.
6.5 #he +irector ma permit payments in advance, up to 25% of total fee. subject to
deduction of ta(. providedB
6.5.a #he duration of consultancv is likely to e(tend beyond ; monthsB
6.5.b -ot less than 50% of the project cost has been received from the clientB
6.5.c 3roject funds are available to cover the feeB
6.5.d )ubstantial progress has been made on the project
6.5.e #he concerned faculty member has already fulfilled hisher minimum
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workload requirement for the academic year.
;.; In case a consultancv project needs to be terminated before its completion due to inadequate response from the client
organisation for a year or more .without the receipt of full consultanc fee/. then the allocation of the received consultanc
fee shall be done as follows. ,irst, the )ervice #a( and the budgeted amount of e(penditure will be reduced from the total
amount received from the client. -e(t, the Institute overhead shall be reduced in the same proportion as the actual
consuliancv fee received .for instance if C:E of total consultancv fee has been received, the overhead provided will also
be 50% of the budgeted overhead/. -e(t, the balance amount, which is the consultancv fee, shall be allocated in the ratio
of 8:B;: between the Institute and the concerned faculty members.
;.9 "ll the payments will be received in the Institutes name. 3ayments, if any. received b the faculty directly should be
endorsed in the name of the Institute by the concerned faculty. If for some reason this does not become possible. the
amount should be remitted to the Institute without delay, along with the copies of the cheques received from the client,
;.? #he project leader may include overtime payment to support staffs in the e(penditure statement in case urgency of
work required work to be done beyond normal work hours. Fut. no honorarium or other payment should be made out of
the consultancv budget.
9. PERMISSIBLE CONSULTING TIME
=. 3 T%& total time allowed to each member of the faculty for consulting .including retainership assignments/ and
professional activities .participation as guest facult )n training programmes of other Institutes and organizations/ is C%
days per annum. In e(ceptional cases when the +irector allows time up to 9: days in any particular year. to complete any
ongoing assignment, the income sharing rate for the number of days beyond C% will be reversed. .i.e. 8:E to faculty and
;:E to Institute/.
#he following activities are e(cluded from the above limit of 52 days available towards consultingprofessional activities.
9. l.a teaching in programmes organized by IIL<
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9. l.b travel time on consultancv work .if not specifically billed to the client/
7.1.c travel time associated with occasional guest lectures for e(ternal organizationsM and.
9. I .d board membership. paper setting and evaluation, selection committee membership involving short!term
commitment of two to three days and attending conferences. 5owever, prior approval and full information on all activities
are required in accordance with these guidelines and the guidelines for '(ternal "cademic )ervice "ctivities.
9.% "pproval requests for all professional activities are to be sent to +ean .37+/. #he necessary current forms for the
purpose are available at this <"- site in ,acultv ,orms folder and also at +ean .37+/s office.
9.* #he accounting year for these activities will be an academic ear ."pril &; to "pril &C/.
8. CONSULTANCY REPORT
-ormally the consultancv reports of the faculty to a client would be treated in confidence and will not be available to any
one e(cept +ean .37+/+irector. for perusal and records. "s such, a copy of all project reports should be submitted to the
+ean .37+/ Office.
9. ACCOUNTING AND REPORTING SYSTEM
9.1 "n direct recoverable e(pense which may get incurred at the request of the client. but not originally included. may be
settled by the concerned faculty memberteam leader with the client. 5owever, an intimation of this is to be sent to +ean
.37+/.
@.% #eam leader of every consulting project would be urged to keep an account of project related e(penses as this will
facilitate the work of project team.
@.*. #he "ccounts +epartment will also keep an account of all disbursements concerning the project.
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@.8 "ll documents relating to the project should clearly state the title of the project and assigned project code number.
@.C #he project leader, with the help of ,inance and "ccounts Officer, should keep a watch on various e(penses incurred
under specific budget heads of the project.
&:. TEAC<ING>TRAINING>RECRUITMENT PROGRAMMES OF OT<ER INSTITUTES AND
ORGANI?ATIONS
&:.& #he remunerationhonorarium for the activities listed under 9.l.d and the honorarium paid by the Institute for its
L+3 activities would not require sharing with the Institute. 'ngagements as guest faculty for teaching and training
programmes of other academic institutionstraining organizations of repute. including occasional talks .e(cluding
2onsultancy #raining/ will fall within the puniew of the consultancv rules in terms of income sharing with the Institute in
the ratio of 8:E to the Institute and ;:E to the concerned faculty. 5owever, no Institute overhead will be charged for such
engagements. #he professional feehonorarium received for participation in consultancv training, long duration
recruitment process or publication .if remunerable/ will be governed by the consultancv rules as regards income sharing
between Institute and the facult member8. 3rior permissionapproval of the +ean .37+/ ou&d be required for accepting
invitations in the teachingtrainingrecruitment programmes of the other institute and organizations.
&:.% ,aculty should not accept assignments of teaching fullhalf credit courses in academic programmes of other
Institutes. In unavoidable circumstances. teaching half credit course can be permitted only within the NIL )ystem.
5owever, in special cases the +irector may permit teaching of half credit course in prestigious Institutions on reciprocal
basis. #his will not apply in case of mentoring IIL. #he sharing of income for the aforementioned assignment will apply
as per clause &:.&.
#he income sharing tbr consultancy and professional activities such as occasional guest lectures, limited teaching and
training involvcment at other institutionsD organizations as Oisiting ,aculty and honorarium received for publications,
Seminars! 2onferences and Consultancy etc. altogether up to As.%.O: lakhs per annum. riul be e(empt from sharing and
the ,aculty Lembers ill be allowed to retain this amount as additional income. ,or faculty members who have been on the
Institutes pay roll for less than a year. this e(emption will be on pro!rata basis.
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&:.* #eaching assignments abroad shall be governed by the )hort #erm Overseas Oisits rules.
&:.8 " faculty member may accept assignments of in!house training programmes for duration up to * days .2onsultancv
#raining/. "ssignments of in!house training programmes of duration beyond * days shall be treated as in!house training
assignment of the Institute and may be entertained in consultation with the L+3 2hairman and concurrence of +ean
.37+/. 2onsultancv #raining "ssignments. when accepted b a faculty member in individual capacit. will not be
undertaken at a fee less than the minimum chargeable for the Institutes in!house L+3s at the clients siteC. ,ee to be
charged for assignments of duration up to four hours in one day .casualoccasional lectures/ is left to the discretion of
individual faculty member.
&:.C "ll requests for In!company programmes which come in the name of the Institute would invariably be treated as
Institute in!company programmes. not individual consultancv. Aequests coming to individuals in their own names may be
considered as individual assignments. after due authorization. In all such cases request letter.s/ received from client
organization isare to be enclosed, while seeking approval for taking up the assignment. >nless the client organization
makes a specific request to an individual to act as consultant. it may not be possible to treat such requests as request made
to individual faculty members.s/.
IV. DIFFICULTY RESOLUTION
In case any difficulty is e-perienced. or confusions arise on some matters, those may be brought to the notice of +ean
.37+/ for effecting any changemodification that may be necessary from time to time. 5owever, if substantive changes
become necessary the same must have the concurrence of the +irector and +ean .""/.
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