A presentation on Strategic R & D Management at IIT Kanpur By Satya Murty

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

2. 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 Strategic R&D Management

3. 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. Strategic R&D Management

4. 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. Strategic R&D Management

5. Research Vision Development - 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. Strategic R&D Management

6. Research Vision Development - 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. Strategic R&D Management

7. Research Vision Development - 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” Strategic R&D Management

8. Governance Structure for R&D Strategic R&D Management

9. 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. Strategic R&D Management

10. Research InfrastructureDevelopment • 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. Strategic R&D Management

11. Human Resource Strategy Strategic R&D Management

12. Human Resource Strategy • 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. Strategic R&D Management

13. Human Resource Strategy • 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. Strategic R&D Management

14. 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 Strategic R&D Management

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

16. 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 Strategic R&D Management

17. 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. Strategic R&D Management

18. 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. Strategic R&D Management

19. 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. Strategic R&D Management

20. 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 Strategic R&D Management

21. Facts & Figures Strategic R&D Management

22. Summary of the Projects (2007-08) Strategic R&D Management

23. R&D Income Strategic R&D Management

24. A SWOT analysis of R&D Division Strategic R&D Management

25. Strengths • High Research Turnover. Management with low staffing. • Low operational costs and overheads compared to international scenario. • Low manpower cost. Strategic R&D Management

26. 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 Strategic R&D Management

27. 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. Strategic R&D Management

28. 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. Strategic R&D Management

29. 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. Strategic R&D Management

30. Modernization & Image Building • 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. Strategic R&D Management

31. Modernization & Image Building • 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 Strategic R&D Management

32. 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 Strategic R&D Management

33. 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. Strategic R&D Management

34. 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 Strategic R&D Management

35. 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 Strategic R&D Management

36. 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. Strategic R&D Management

37. 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, Strategic R&D Management

38. R&D Life Cycle Vision Strategic R&D Management

39. 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 Strategic R&D Management

40. (I) Liberalised Stores & Purchase procedures: • Advances & Permanent imprest for project expenditure: Strategic R&D Management

41. Purchase Management Cell • 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. Strategic R&D Management

42. Purchase Management Cell • 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. Strategic R&D Management

43. 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. Strategic R&D Management

44. 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. Strategic R&D Management

45. 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. Strategic R&D Management

46. 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. Strategic R&D Management

47. 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. Strategic R&D Management

48. 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. Strategic R&D Management

49. 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. Strategic R&D Management

50. Software Modifications underway • 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. Strategic R&D Management