R&D Reforms (Presentation From KVSM)

A presentation
on
Strategic R & D Management
at IIT Kanpur
By
Satya Murty
Asst. Registrar (R&D)
8/16/2019 Strategic R&D Management 1

Strategic R&D Management
• Research Mission of the Institute

• Research Vision – Salient Issues
• Governance Structure for R&D Mgmt.
• Research Infrastructure Development
• Human Resource Strategy for Research Staffing
• Strategy for Research Excellence
• Evolution of R&D Division as a Strategic Business
Unit (SBU)–A transformation plan

Research Mission of the Institute
• Academic excellence has been the traditional
strength of IIT system, and serving as the
foundation of the epitome.
• Achieving Research Excellence has been the top
priority of the Institute, besides achieving
Academic excellence, aiming at global identity.
• The UG education – a milking cow in IIT portfolio
management which is a fact for IITK as well.
• IIT Kanpur aims at becoming a world class
Research Institute.
• Academic Mission and Research Mission to go
hand in hand, complimenting each other.

Research Vision Development
- Salient issues
• Problem well-defined is half-solved.

• We need to define the deficiencies well in order
to address them effectively.
• Re-defining the research vision & strategy is the
need of hour.
• Research Vision Development Committee
(KM,MA,AS,VC,RCB,NSV) to analyze, define and to
draw a blue print for strategic Research Vision
Management.

- Salient issues
• Institute needs to make a Research Vision
Statement.
• There is a need for a paradigm shift in Research
Philosophy & Vision.
• Defining the areas of Priority, Research
Infrastructure Development & Planning is set as
the top agenda.
• Pooling of intellectual wealth viz., faculty, students
and research staff.
• Urgent need to energizing the system.
• Setting the Micro-level issues in order and
strengthen the support system.
• UG research promotion and nurturing.

- Salient issues
• Assessment of present standing and set the

targets to double the qualitative and quantitative
parameters within next five years.
• Publications to be doubled.
• Students in research to be doubled.
• To dispense with the areas of non-priority.

- Salient issues
• Student Networking
• Faculty Networking
• Infrastructure Development and Expansion
• Setting the Research Agenda
• Research Council and Governance for proposing
Research models and management
• Setting the targets – To be among the top 100
• Bench marking at the International Level
• Collecting the relevant Data
• Workout the strategy
• REACH – 2009 to spell out the “ Vision of
Research”

Governance Structure for R&D
Board of
Governors
Academic Senate Research Council

(Apex body for Academic policy & (Apex body for Research policy &
vision management) vision management)

Research Infrastructure Development
• Golden Jubilee Research Park to house

multiple research corridors.
• Modernization of UG & PG Research
Laboratories.
• Expansion of Core Laboratory Complexes.
• Centres & Programs for focussed research
in the areas of priority.
• Diversified research infrastructure
development for inter-disciplinary research.

Research Infrastructure
Development
• Research lungs, incubation parks, technology

lawns, design villages and centres of excellence to
house variegated research infrastructure.
• More SBRAs for married students / research
scholars.
• Multi-storied RA Hostels for Research Staff.
• Addition of Conference Halls.
• Dynamic research space allocation to ensure
availability of research space on granting of
projects.

Human Resource Strategy
RC
Dean
Research Heads
Faculty Advisors
Research & Scientific Staff
Post Doctoral Fellows
Doctoral Student Ladder
PG Research Groups
UG Research Clusters

• Institute Research Fellows (IRF) to be recruited

for IDP based research programs.
• Summer Schools for the University toppers to
attract them as the prospective PhDs and PGs.
• Incubation semester for PhD students Freedom to
choose the research areas.
• 20% PhDs under Institute Fellowship, independent
of Depts. and advisers.
• Higher-level Research Fellowships.

• Attraction and retention of quality research staff

• Involving more UG, PG and Ph D students for
research projects.
• International talent pool in the form of PDFs with
50 K Fellowships.
• Dedicated faculty members for sphere heading
prestigious Research initiatives.

Strategy for Research Excellence
• Qualitative measures
• Quantitative measures
• Fast track career development
• Premium stakes for high performance
• Institute Research Awards and matching grants
• Research cultivation and culturing
• International Benchmarking
• International inputs for achieving International
outputs
• March towards NOBLE

Evolution of
R&D Division as a
Strategic Business Unit (SBU)
‘A Transformation Plan’

A Transformation Plan
for R&D Division
• Philosophy and Vision

• A Paradigm Shift
• Current Activities of R&D Division
• Facts & Figures
• A SWOT Analysis of R&D Division
• Modernization & Image Building
• Human Resource - Barriers & Strategy
• Existing Cells & Innovative Development Plans
• Proposed New Cells @ R&D
• A Futuristic Vision

A Paradigm Shift
• Urgent need for Emergence of R&D Division as a

potential hub for Institute’s Research Policy
Management and Promotion.
• Bureaucracy to be replaced with Facilitation.
• De-licensing and liberalization for higher level
efficiency and task orientation.
• Trusteeship Management – not a barrier building
job.
• Total Automation for high performance, speed and
accuracy.
• Customization of services and Relationship
Management as the buzz word.
• Modernization of Minds and Machines.
• Think Globally and Act Locally – The Management
Mantra.
A Transformation Plan…
Philosophy and Vision

• R&D Division aims at emerging as a potential
support wing for the Research Activities as a right
arm and the Academic Wing being the left arm of
the plane.
• Traditionally, the R&D wing has been looked at as

a Project Accounts Management wing. The image
needs to be changed, stressing upon the need for
transforming the R&D Division as a Policy
Management and Research Support & Promotion
mechanism.

A Transformation Plan …
Philosophy and Vision
• The Institute aims at slowly becoming a Research
Organization – thus the role of R&D is to be
visualized beyond Project Accounts Management.
• Creation of PI – friendly and Researcher – friendly

systems using the modern tools and concepts duly
eliminating the bureaucracy is the simple
philosophy to be adopted by all stakeholders.
• Achieving higher satisfaction level of the User and

creating the professional support mechanism in
order to catch up with the Research Vision and
Mission of the Institute, is the ultimate Vision of
the R&D Division.
Current Activities of R&D Division
• Development and Implementation of Institute’s Research Agenda
• Project & Endowment Accounts Management
• Stores & Purchase for Projects
• Project Employment
• Directions
• Institute Website
• Institute Lectures & Distinguished lecture series
• R&D Report bi-annually
• Institute’s Annual Report
• Convocation Report
• Ratings and corporate communications
• Symposia, Workshop and other event Management
• MoUs and Agreements for R&D
• National and International Delegations
• IPR & Patenting Management
• Monitoring of Centres of excellence
• Faculty, Students and Alumni entrepreneurship promotion
• SBRA, RA Hostel management
• REACH symposium
Facts & Figures

Summary of the Projects (2007-08)
Type of Projects No. of Projects Amount

(In Crores)
Sponsored 111 41.82
Consultancy 109 6.64
Others 92 2.70
TOTAL 312 51.16

R&D Income
INCOME 2007-08 (In Crores)

Overhead Charges from Sponsors 2.96
Overhead Charges from Consultancy / Testing 1.02
Income from Continuing Education 0.15
Interest on Investments 6.25
Other Miscellaneous Receipts 1.95
TOTAL 12.33

A
SWOT analysis
of
R&D Division

Strengths
• High Research Turnover.

Management with low staffing.
• Low operational costs and overheads
compared to international scenario.
• Low manpower cost.

Weaknesses
• Lack of professional management systems.

• Bureaucracy.
• Individualistic monopoly.
• Non availability of efficient project
management software.
• State of the art office infrastructure- lack of.
• Unethical incentivisation.
• Long processing time
• Incomplete automation
• Mindset and attitudes

Opportunities
• The Institute aims at becoming a research

organization.
• The scope for increase in Research Funding
through budgetary allocations opens-up new vistas
and opportunities.
• Institute’s own Research Agenda and projects to
carve out a niche for R&D Division to become a
potential Research hub and shadow organization.
• Increased students’ strengths, expansion of faculty
base, enhanced funding levels, new and emerging
areas of priority to open-up newer opportunities.

Threats
• New opportunities unless nurtured well shall turn

into potential threats to the Division.
• Un-preparedness to meet out the new challenges,
expectations of the User shall prove fatal to the
Division.
• Failure to equip with modern soft and hard skills
and respond to the needs of the system will pose
potential threats to the R&D Division.
• Low energy and efficiency levels, incommensurate
with the pace of augmentation may leave new
challenges and create hiatus between promise and
the performance.

Modernization & Image Building
• The present space allotted to R&D is insufficient to the actual
requirements.
• A proposal for shifting the Division to the ground floor on shifting
the JEE/GATE offices is on the anvil.
• Separate clusters for DST, MHRD, DIT, MCIT, DBT, Industrial
sponsored projects to cater to the needs of the PIs.
• Mission Projects like TMRS, BSNL etc to find special desks for
facilitation with dedicated staff.
• Separate personal and telephonic enquiry and help desk for PI
facilitation.
• Expansion of Project, S&P, Advances & TA, Reimbursement and
Cheque Groups with more spacious desks on the lines of Corporate
Banking Divisions with distinct sign boards.
• Dedicated Audit and S&P extension counters to reduce the
processing time.
• Creation of Corporate and professional ambience & culture with
enhanced physical convenience with more space and infrastructure.

• Development of a logo for R&D Division symbolizing the

modern Vision and Mission of R&D Division.
• R&D Reception for personal and telephonic enquiries with PC
with access to database.
• Visitors’ lobby and sitting space.
• Meeting room for delegations.
• For each employee one a PC and a Printer for efficient
handling of the affairs.
• One Single Internal Telephone number with unique single
digit serial number for access to each Group like S&P,
Cheque, Advances, Projects, MoU, Payments, Salary, Dak,
Central enquiry for R&D Division with local EPBAX for quick
access to the Team members equipped with IVRS.

• Adoption of simplified and comprehensive user-friendly and

use of pre-printed quality stationery for all forms and
certificates for better readability, archiving and better visual
impact and aesthetic look viz.,
– All Formats and Requisitions

– Utilization Certificates
– Purchase Orders
– Appointment Letters
– Work Experience Certificates
– Hostel Allotment Orders
– External Communications & Bulletins
– Internal and External Orders & Circulars
– Accounting Reports & Vouchers

Human Resource
Barriers & Strategy
• Barriers :
– Lack of professionalism.
– Lack of hierarchy.
– Low competitiveness.
– Adhocism.
– Non-scientific recruitment methods.
– Inbreeding.
– Frequent changes in project staff.
– Low motivation level.
– Training & Development & Skill upgradation.
– Change Management

Human Resource
Barriers & Strategy
• Strategy :
– Mixing of Institute, R&D cadre and Project staff for cross cultural
migration and inheritance ( 1:2:3 ratio)
– Standardization of recruitment through open ads, written test and
Interviews / Walk-in Interviews.
– Employment of ex-servicemen known for higher level of loyalty,
continuity, attitudes and adoptability with a long training background
for Entry level & Middle level positions.
– Using the extended list of Institute recruitment panels with scaled &
contractual project positions for middle level assistance.
– Recruitment of IT, Mgmt. and Accounts professionals in front level
supervisory positions.
– Institute and R&D Cadre personnel as the Section Heads.
– Continuous training and development with exposures to outside world
and systems in other IITs and Higher education Institutes.
– Visit of all permanent staff to all IITs in Groups of two for better
understanding and innovation.

Existing Cells / Desk @ R&D
• Project Management Cell

• Accounts Management Cell
• Purchase Management Cell
• Personnel & Establishment Cell
• Web, Publications & Archives Management Cell
• Cheque & Cash Processing Desk
• TA & Advances Processing Desk
• DAK & Information Desk

Proposed New Cells @ R&D
• Web and Automation Cell

• Publications & Archives Cell
• International Relations, MoU & IPRs Cell
• Event Management Cell
• Audit Desk
• Accounts Cell
• Liaison & Relationship Mgmt. Cell
• Help & Facilitation Desk
• Record Keeping Cell
• Imports Desk

Project Management Cell
• Corporate Banking based Project Management through

existing software up gradation & eventual migration to GUI.
• Online Registration by PI.
• Uploading & downloading of Project reports, correspondence,
approvals, completion reports, customized UCs etc.,
• Database of PIs, Funding Agency Officials, R&D personnel
linked to the each project for duplex communication.
• Provisional UCs & Account Statements – online.
• Monthly account statement through email.
• Credit & Debit alerts through Email & Mobile SMs.
• Online money transfer to Bank accounts reducing the
processing. time and enhancing the convenience and
minimizing personal visit to cash counters and R&D office.

Accounts Management Cell
• Minimizing the delay in finalization of annual

accounts, audit certification & delay in submission
of UCs – areas of top priority.
• Induction of professionals for Accounts
management to strengthen the weak links.
• Replacement of manual cash book and ledgers with
E-cash book & E-ledgers w.e.f FY 2009-10.
• Use of ERP based Financial Reporting and
Accounting Management Software for better
reporting and analysis.
• Financial Discipline through Budget & Planning.
• Target – Closure of Annual Accounts along with the
Institute Accounts, Audit clearance in time,

R&D Life Cycle Vision
Liquidity Accuracy
De-licensing
Professionalilty
Speed
Convenience
Facilitation
Attitudes

Purchase Management Cell
• Liberalized Purchase Procedures approved

by BoG.
• Huge amount of Advances upto 1 lakh
• Two parallel revolving Advances / imprests
for Contingency, Consumables, Non-
consumables – One application in one FY.
• Parallel auditing to avoid delay in recouping
the advances
• Online Indent submission for higher level
accuracy and speedy processing

(I) Liberalised Stores & Purchase procedures:
S No Competent Non- Limited Time Consumabl Temporary

Financial Consumables Asset Store e Store (CS) Contingent
Authority Store (NCS) (LTAS) Advance for
Equipment
1 DORD 10,00,000/- 5,00,000/- 2,00,000/- 1,00,000/-

2 Director All cases All cases All cases All cases
(II) Advances & Permanent imprest for project expenditure:
S No Competent Financial Existing Limit (Rs.) Revised Limit

Authority (Rs.)
1 DORD 20,000/- 1,00,000/-
2 Director Above 20,000/- Above 1,00,000/-

• PO issue intimation to the PI & Vendor through
email for speedy delivery
• Vendor Registration for online funds transfer to
contain dissatisfaction and reduce manual
involvement.
• Decentralization of PO issuance. Bifurcation of
local, repeat, low value, chemicals, rate contract
items for issuance at R&D. Imports, CDE,
Shipment certifications through S&P.
• E-procurement systems to replace the manual ones
• E-auditing of indents and POs for preliminary level
checks and balances and saving the time.

• Approval of purchase committees through email

• Extension of PO validity through email
• Shadow debit system for reflecting purchase order
values and committed expenses including 10%
payment release for better finance management in
projects.
• Corporate Credit / Purchase Card from ICICI Bank
for online purchase through ecommerce websites
and imports.

Personnel & Establishment Cell
• Proposals for revision of Project / Research Staff

Pay & Perquisites on the lines of 6th CPC based on
the availability of Project Funds.
• Adhoc appointments to be upto 6 months and by
DoRD. Ratification by the Director.
• E-appointment letters and forms for quick
reporting.
• Agreement forms to be supplied by R&D office
through tie-up with agent to avoid hassles.
• Work Contract to be done through outsourcing.

Personnel & Establishment Cell
• Welfare measures for Project Staff. Contributory

medical, accidental, group savings linked
insurance.
• More scaled positions on term based contract.
• Automation of Hostel Allotment.
• Online No-dues & Work Experience Certificate
• Adhoc Bonus for Quasi Permanent employees
• Group Savings Linked Insurance for Quasi
permanent Emp.

Web, Publications & Archiving Cell
– Web:
• Visual improvement and easy navigation
• Dynamic updation & mass emailing on
incorporating new changes, events, news,
announcements etc.
– Publications:
• Directions, R&D News Letter, Souvenirs, Annual
Reports & R&D Reports.
– Archiving:
• 40 Years Publications, Project data scanned for
archiving.
• Annual Reports, Annual Accounts to be on
archives.

Cheque & Cash Processing Desk
• Multiple modes of payment through Cash / Cheque

/ Bank Transfer for customization.
• All multi-city cheques for quick realization and
avoiding DDs.
• Bank transfers to vendors, PIs and users to come
in place of cheque issue to save time and increase
speed and efficiency.
• Emailing to PI/Vendor on issue of Cheque / Bank
transfer of money.
• Sitting arrangement at Cash counter with
electronic display for increasing convenience and
ensure dignity.
• Drop Box of UBI at Cash Section for cheque
deposit.
• Bank extension counter at cash branch on anvils.
TA & Advances Processing Desk
• New TA rules adopted for Research Staff as per 6th

CPC recommendations.
• Online submission of TA & Advance requests for
consumables, Non-consumables and Contingency.
• Online TA bill and account statement submission.
• New Imprest books under distribution.
• User-friendly & Integrated requisition forms
adopted.

DAK & Information Desk
• Tracking of dispatch and receipt of documents and

files through web.
• Circulation of Office Orders and memoranda
through mass email and placing on the web.
• For easy access to the information and interaction
with the right desk and the person, a unique single
pilot number for entire R&D cell ( like 6666, 7000,
4000) and IVRS system for reaching the required
desk is underway.

Software Modifications underway
• 1) Bank account Details: Incorporation of bank account and

banker details of vendors and PIs in the software in order to
make all the payments through ECS for saving time, money
and increase efficiency and accuracy.
• 2) Work Experience Certificate being issued through
automation increasing accuracy and imposing controls.
• 3) Income Tax: Incorporation of the Form 16 for IT calculation
purpose, which is essential to avoid problems in IT deduction
and statutory issued linked to it for the project employees.
• 4) Mission Projects: Like TMRS, for a new project of BSNL
there are cluster of projects under a mission mode of projects.
There needs to be a provision for Parent child relationship of
main and subsidiary projects in order to get the consolidated
account statement for all sub-modules of the mission and
monitor the project finances.

• 5) Online Project Opening Forms: In the project opening form needs
to be made online. There is need to incorporate the Project
category / area and project bank account details of the
PI and Co-PIs. And a brief description of the project.
• 6) Online submission of Forms: The following forms need to be filled
and submitted online by the PIs in order to gain more
accuracy and reduce the processing time. After filling the e-
forms, a printed form along with the enclosures be sent to the
DoRD office for processing and final approvals:
• The project advance requests like Contingency / consumables,
Non-consumables / Travel / imprest etc.
• TA bill submission.
• Purchase proposals/ committees/ and indents be filled online
which can be approved through online which will avoid
duplication and mistakes at the time of PO generation. We
can also communicate the POs through email to the PI and vendor
in order to save time and ensure speedy delivery of the
equipment.
• Statement of accounts against advances for clearance.
• Requests for approval of appointment committees, adhoc and
project appointments and extensions etc.
• Online application and bio-data form for project recruitments by
PIs.

• 7) RA Hostels’ allotment: A module for online application,

waitlist management allotment, vacation report etc., of SBRA,
RA rooms needs to be developed. Overstay be tracked and
email alert be sent to the PIs / employees and the Officer-in-
charge / warden. This module is complete and under testing.
• 8) Email alerts:
– On processing the project payments and issue of cheques / cash
/ pay orders, an alert email be sent to the PIs and vendors for
cross verification of the transactions. In future SMS also can be
incorporated.
– On opening of a new project option should be given to send an
email to the community in case of very important projects.
– On approval of appointment committees, adhoc and project
appointments and extensions etc.
– On closure of the project, an email alert along with the copy of
the UC to the PI and the funding agency.

• 9) Data management: The following data need to be tracked:

• Cheque book data capturing module.
• Funding agency data incorporation in the project modules.
• Uploading of the project proposals, important approvals and
communications and final completion reports and UC
certificates linking them to the respective projects.
• Project employee database with photographs and personal
details.
• 10) Report of Dues: A report of the amounts due to be claimed on
temporary money transfers / payments in respect of the
Institute and other project accounts following internal
adjustments and advance clearances.
• 11) E-ledger for bank transactions: An e-ledger for bank
deposits and issue of cheques in order to ensure the proper
balances and monitor and reconcile the bank accounts.
• 12) MoUs: A dynamic webpage for MoU data management and
updation including submission of proposal for approval
of the Institute.

Accomplishments
• Dak tracking through offline mode
• RA Hostel Room allotment software under testing
• New Bank account in UBI for Projects
• Bank transfer of funds to PIs
• Vendor registration and bank transfer of unds through ECS ( on anvil)
• All Multi-city Cheques replaced by normal cheques
• UBI Extn counter and Drop box at Cash section ( underway)
• Work Experience Certificate online
• Improved version of appointment orders.
• Integrated advance forms
• New Regn. Form etc.
• Imprest booklets
• Queue-less cash counter ( sitting mode)
• Single number enquiry (underway)

A Futuristic Vision
• The futuristic vision is to foresee the needs

of the user and develop a proactive strategy
to absorb the challenges.
• To create a system with elasticity to
proportionately expand and rise upto the
aspirations of the individual user and the
Institute.
• Creation of a dynamic system which can
change and adopt the customized needs of
the user rather than a static one forcing the
user to fall in line.
A big thanks for the
patient hearing

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A presentation

8/16/2019 Strategic R&D Management 1

• Research Mission of the Institute

8/16/2019 Strategic R&D Management 2

8/16/2019 Strategic R&D Management 3

• Problem well-defined is half-solved.

8/16/2019 Strategic R&D Management 4

8/16/2019 Strategic R&D Management 5

• Assessment of present standing and set the

8/16/2019 Strategic R&D Management 6

8/16/2019 Strategic R&D Management 7

Academic Senate Research Council

8/16/2019 Strategic R&D Management 8

• Golden Jubilee Research Park to house

8/16/2019 Strategic R&D Management 9

• Research lungs, incubation parks, technology

8/16/2019 Strategic R&D Management 10

Research & Scientific Staff

Post Doctoral Fellows

Doctoral Student Ladder

8/16/2019 Strategic R&D Management 11

• Institute Research Fellows (IRF) to be recruited

8/16/2019 Strategic R&D Management 12

• Attraction and retention of quality research staff

8/16/2019 Strategic R&D Management 13

8/16/2019 Strategic R&D Management 14

8/16/2019 Strategic R&D Management 15

• Philosophy and Vision

8/16/2019 Strategic R&D Management 16

• Urgent need for Emergence of R&D Division as a

Philosophy and Vision

• Traditionally, the R&D wing has been looked at as

8/16/2019 Strategic R&D Management 18

• Creation of PI – friendly and Researcher – friendly

• Achieving higher satisfaction level of the User and

8/16/2019 Strategic R&D Management 21

Type of Projects No. of Projects Amount

8/16/2019 Strategic R&D Management 22

INCOME 2007-08 (In Crores)

8/16/2019 Strategic R&D Management 23

8/16/2019 Strategic R&D Management 24

• High Research Turnover.

8/16/2019 Strategic R&D Management 25

• Lack of professional management systems.

8/16/2019 Strategic R&D Management 26

• The Institute aims at becoming a research

8/16/2019 Strategic R&D Management 27

• New opportunities unless nurtured well shall turn

8/16/2019 Strategic R&D Management 28

8/16/2019 Strategic R&D Management 29

• Development of a logo for R&D Division symbolizing the

8/16/2019 Strategic R&D Management 30

• Adoption of simplified and comprehensive user-friendly and

– All Formats and Requisitions

8/16/2019 Strategic R&D Management 31

8/16/2019 Strategic R&D Management 32

8/16/2019 Strategic R&D Management 33

• Project Management Cell

8/16/2019 Strategic R&D Management 34

• Web and Automation Cell

8/16/2019 Strategic R&D Management 35

• Corporate Banking based Project Management through

8/16/2019 Strategic R&D Management 36