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Synchronous learning and asynchronous learning during COVID-19 pandemic: a case study in India

Asian Association of Open Universities Journal

ISSN : 2414-6994

Article publication date: 25 February 2022

Issue publication date: 7 June 2022

This research aims to study the students' perspectives on synchronous and asynchronous learning during the COVID-19 Pandemic. Both synchronous and asynchronous learning approaches used in online education have positive and negative outcomes. Hence, the aim is to study online education's positive and negative consequences, reflecting sync and async approaches. This research followed a mixed research approach. The key stakeholders of this research are the Indian educational institutions and students.

Design/methodology/approach

This research collected data from the students undergoing synchronous and asynchronous learning amidst the COVID-19 Pandemic. The data were collected ( N  = 655) from various students taking online classes during the pandemic. A questionnaire survey was distributed to the students through online platforms to collect the data. In this research, the authors have collected data using simple random sampling, and the same has been used for data analysis using SPSS version 26. The collected data were exposed to a factor analysis using a principal component analysis technique to reduce the vast dimensions.

The study findings show that synchronous learning is sometimes stressful, placing more responsibility on students mainly because of the increased screen time. At the same time, asynchronous learning allows the students to self-explore and research the topics assigned to them. Students also felt that asynchronous activities create a burden because of many written assignments to be submitted within a short period. Overall, the COVID-19 pandemic has been challenging for the students and the teachers. However, teachers have helped students to learn through digital platforms. The majority of the respondents opined that technological disruptions and death in the family circle had been significant reasons for not concentrating during online classes. However, the combination of synchronous and asynchronous learning has led to a balanced education.

Practical implications

Higher education has undergone multiple transformations in a short period (from March 2020, 2021 and beyond). Educational institutions underwent a rapid transition in remote teaching and learning in the initial stages. As time progressed, educational institutions did course navigation where they relooked into their course plans, syllabus and brought a structural change to match the pandemic requirements. Meanwhile, educational institutions slowly equipped themselves with infrastructure facilities to bring academic integrity. At present, educational institutions are ready to face the new normality without disrupting services to society.

Social implications

Educational institutions create intellectual capital, which is important for the development of the economy. In the light of COVID-19, there are new methods and approaches newly introduced or old methods and approaches, which are reimplemented, and these approaches always work for the benefit of the student community.

Originality/value

The authors collected data during the COVID-19 pandemic; it helped capture the students' experience about synchronous and asynchronous learning. Students and faculty members are newly exposed to synchronous and asynchronous learning, and hence, it is essential to determine the outcome that will help many stakeholders.

  • Online education
  • Synchronous and asynchronous learning
  • Educational institutions
  • Student's perceptions

Fernandez, C.J. , Ramesh, R. and Manivannan, A.S.R. (2022), "Synchronous learning and asynchronous learning during COVID-19 pandemic: a case study in India", Asian Association of Open Universities Journal , Vol. 17 No. 1, pp. 1-14. https://doi.org/10.1108/AAOUJ-02-2021-0027

Emerald Publishing Limited

Copyright © 2022, Cassandra Jane Fernandez, Rachana Ramesh and Anand Shankar Raja Manivannan

Published in Asian Association of Open Universities Journal . Published by Emerald Publishing Limited. This article is published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of this article (for both commercial and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode .

1. Introduction

An intellectual asset is a part of intellectual capital, which helps in earning capabilities in the future. Higher education is an essential aspect of creating intellectual capital ( Rosa and Jakubowska, 2014 ). The history of education goes back to civilization itself. In the distant past, India used to have the Gurukul system of education, where anyone who wants to study can go to the teacher's house and request the teacher to teach them. If a guru accepts them as students, they can stay in the guru's place to acquire education and help with home chores and activities. The guru would allow a student to learn everything they wanted to know, from learning Sanskrit to reading all Holy Scriptures and Mathematics to Metaphysics. Every country has its way of bringing about changes in education. In India, a cutting-edge education system was introduced, bringing English education into the system, where more emphasis is given to education in the English language. Teaching was confined inside the classroom in this education system, and educators' connection with nature disappeared. However, it paves the way for every child by providing fundamentals to all different subjects at the early stages. The education sector has seen tremendous changes in a couple of decades with the help of innovation in technology, which provides plenty of choices for scholars to investigate in any field of their choice ( Shelke, 2018 ). A digital revolution created an enormous change in the education sector and made education more flexible than in the early stages. According to the World Economic Forum's Global Competitive study, Finland has the most well-developed education in the world ( Dickinson, 2019 ). Though India has not been fully developed in means of infrastructural facilities and quality education, there are new policies and regulations such as the New Education Policy 2020 to enhance the quality of Indian educational system, says Freire-Garabal and Núñez (2020) . Educational institutions trained their faculty members to follow and implement the fundamentals of hybrid teaching to create a new experience for the student communities in the post-lockdown. In the post-COVID-19 lockdowns, when educational institutions reopened, students were eager to experience the on-campus sessions. To better facilitate teaching-learning, educational institutions witnessed “Hybrid Pedagogy,” a new method to use technology to create a better learning environment for students on-campus and for students on the online platforms at the same time. These hybrid sessions reduced the face time and allowed students to experience technology-enhanced activity for students outside of class. Faculty members were trained through different Quality Improvement Program and Faculty Development Programs to relook into certain components such as course design, course resources, teaching aids, grading instructions, nature of assignments and grading procedures and so on. There was a further progression from Hybrid Pedagogy to the “Synchronous and Asynchronous” learning style. Gathering students and teachers in a physical classroom to interact, exchange knowledge, capture on-time feedback and learn on a fixed schedule is called “Synchronous learning,” which can happen through an online platform or offline platform. Asynchronous learning aims to reduce the burden of learning in a scheduled time and helps the students learn through recorded videos, webinars, podcasts, online training courses. The success of any online discussion requires both asynchronous and synchronous modes of learning. For the well-being of the students, a combination of (Synchronous and Asynchronous) learning has been facilitated. These teaching-learning strategies enhance development, increase the happiness quotient, embrace institutions' brand image and individual goals for a better society. When we probe into the evolution of education from the Gurukula system to the current hybrid pedagogy, teaching and learning have undergone multidimensional changes and outcomes. Moreover, the perception of the student community on Synchronous and Asynchronous learning has to be explored as it remains a research gap. The students' perception is critical to be explored because new teaching pedagogy in light of the COVID-19 pandemic is no more hypothetical than we are currently experiencing it. These predictors from the analyzed results will help the institution, teachers, students and all the connected stakeholders to frame new strategies and take decisions when required.

1.1 An overview of synchronous and asynchronous learning

Teachers and students join together in a common place in a real-time situation, which is known as synchronous learning. Moreover, Salmon (2013) says that synchronous learning is bounded with real-time interaction, which is collaborative. In addition, Teng et al. (2012) state that the synchronous learning is also facilitated on the virtual platform where collaborative learning takes place. The instructors interact with students through teleconferencing, live streaming, video conferencing, live chatting and so on. Development of software in recent days with new features such as the chat-box window, polling questions, live feedback, survey and so on has been highly useful for the faculty members and the student community ( Hrastinski, 2008b ), Media supports synchronous e-learning and allows faculties and students to interact with each other, say Murphy et al. (2011 ); Park and Bonk (2007 ). The advantages of synchronous learning are that students can ask questions, seek answers, get immediate feedback and share opinions and ideas in the class as the session proceeding will be real time. The few disadvantages of synchronous learning are it is stressful due to the rigid schedule and may be continuous where students will be seated before the computers for long hours ( Pappas, 2015 ; Perveen, 2016 ). The synchronous learning may be disrupted due to low network, unstable Internet connection and may not help the students learn continuously. The instructor sets the learning path for the learners to acquire knowledge at their own pace and time, which sometimes may not be up to the expectations of the students. Especially during a pandemic, students undergo various personal issues and may not be able to take up the online classes as per the schedule given by the teacher. Henceforth, to get involved in synchronous learning, students and teachers must devote time and coordinate with each other. In addition, synchronous learning is sometimes not flexible ( Teng et al. , 2012 ; Perveen, 2016 ). Asynchronous learning style has been widely followed to avoid these issues and provide education in a flexible mode. The standard method used in asynchronous learning is through the prerecorded session, virtual library, social media platforms, online forums and so on ( Malamed, 2011 ; Lin et al. , 2012 ). The benefits of asynchronous learning are it offers a lot of flexibility for the learner to progress in their learning at their own pace and can access learning from any place and time. In support of this, Wind Kofoed (2020) says that asynchronous learning enables students to lean with flexibility in their own comfort zone. Moreover, students get an opportunity to learn with freedom and wisdom and do not have to completely depend on the instructor ( Trach, 2018 ). Asynchronous learning is cost-effective, where it does not require daily attention from the instructors ( Lawless, 2020 ; Tucker, 2020 ). Since it is a self-guided module, students can work on the content themselves and avail their education at a minimal cost. Few demerits of asynchronous learning are students feel less connected to the instructors and create a sense of loneliness due to a lack of conversation with the instructors and peers. It would make students procrastinate their work due to a lack of supervision. Sometimes, students forget to complete their asynchronous activities assigned to them by the faculty members. In addition, faculty members have to send gentle reminders to the students and remind them to finish the work and submit the same for evaluation.

1.2 Understanding synchronous and asynchronous learning in the light of the COVID-19 pandemic

Learning methodology is divided into two distinct parts, known as the synchronous and asynchronous learning approaches. These learning approaches have become the most potent learning methodologies, which creates a unique difference between traditional learning and e-learning ( Hrastinski, 2008a ). Synchronous learning is essential as it gives face-to-face tutoring and enhances students' attitudes and learning morale ( Tsuei, 2012 ). Asynchronous learning enhances students' self-discipline and self-regulatory authority to learn and benefit ( Vonderwell et al. , 2007 ). Hence, this combination of Sync + Async = Balanced Learning has become the need of the hour and has allowed enjoying continuous education without disruptions ( Picciano, 2009 ). Indian educational institutions are witnessing this combination for the first time in an in-depth way because 90% of importance was given only to the synchronous learning in the earlier stages of the COVID-19 pandemic. Sitting before the screens most of the time will negatively impact students' health. Educational institutions should consider a combination of synchronous and asynchronous learning that will benefit the students and the teachers during the pandemic (see Figure 1 ).

1.3 Operationalizing the term “balanced learning”

Advanced tools in online learning enable learners to adapt and personalize preferences in a learning environment. Three types of communication are essential to foster collaborative learning. Educational institutions should train faculty members who will help the students to learn and at the same time encourage students to engage in self-learning. Many research shows that on-campus learning will give students better exposure than online learning. However, to cope with the pandemic online education is safe and flexible. But the students should not feel overburdened in virtual education. Hence, there is a need for collaborative learning. Faculty members can encourage students to learn in small groups, which will help students learn and realize the importance of teamwork skills and traits. During the asynchronous hours, teachers can assign students group activities such as blog writing, content creation on YouTube, solving a case study and so on. Asynchronous activities need not be stand-alone work that has to be done by individual students. It can also be collaborative learning. However, the presence of the teacher will not be there; there are still many benefits for the student community. To facilitate learning, educational institutions can schedule synchronous classes, which will help the students interact and clear their doubts with the teachers. Henceforth, there should be a good combination of both. Synchronous learning and asynchronous learning are not just approaching to facilitate learning but also a communication strategy dealing with Knowledge Sharing (KS), Knowledge Acquisition (KA) and Knowledge Transfer (KT). There are different ways to perceive and understand synchronous and asynchronous learning, tools such as threaded discussion, blog and instant messages help in creating a classroom experience where communication is not only between instructor and learners but also among the learners themselves ( Shahabadi and Uplane, 2015 ). Balanced learning is the process of exploring knowledge using digital tools, technology, which has instructor-based face-to-face learning, and instructor supervised learning without face-to-face learning. Hence, balanced learning is the outcome of sync and async learning in light of the COVID-19 pandemic. The same will be applicable even for a new normality situation in the post-COVID-19 pandemic. It is important to know if students were able to have a balanced learning experience.

2. Scope of the study

The sudden pandemic outbreak has affected the educational sector, which stands as an essential determinant in producing intellectual assets for the growth and sustainability of a nation. Institutions are adopting new ways of learning to reduce the burden during online education. This research focuses on how synchronous and asynchronous approaches have created a shift in the education sector in this pandemic and also tries to introspect the various online learning options and platforms available for the student community to learn in the pandemic crisis. In this research, the researchers try to understand the positive and negative outcomes of synchronous and asynchronous learning and analyze students' experiences. The study will help us understand whether synchronous learning and asynchronous learning are student-friendly and understand whether students are ready to accept this new change introduced by educational institutions. Hence, this research confines exploring the synchronous and asynchronous learning approaches from the perspective of Indian students.

3. Expected contributions from the study

Globally, the impact of the COVID-19 crisis is a massive hit on educational institutions, and educational institutions have facilitated education on digital platforms. Not all students can buy laptops and have a broadband connection to take up online classes. The rural areas in India do not have basic infrastructural facilities. Henceforth, when the qualitative data were collected, it was evident that synchronous and asynchronous learning approaches were known only to those students living in the urban and township areas. Moreover, only a few universities have implemented such innovative teaching-learning pedagogy in the COVID-19 crisis. Through this research, a valid suggestion has been proposed to the Government of India to include the underprivileged children to receive free education and also distribute free electronic gadgets such as digital tablets and laptops and encourage them to learn without any disruptions. Moreover, since the balanced learning approach is new, higher educational institutions can train faculty members to use innovative and sensible teaching methods. Platforms such as SWAYAM, Coursera can provide free training courses on synchronous and asynchronous learning methodologies facilitated by professors and academicians of top institutions of the world.

4. Theoretical underpinning

From the view point of educational institutions, asynchronous activities are given to students to reduce their screen time and to give them more flexibility to complete different task at their own comfort zone. With an intention to make the students feel comfortable and to give them a personal space to self-learn and reflect on certain topics, asynchronous activities are planned by the teachers. On the other hand, there are few important topics that are handled by teachers with a personal touch. From the students; viewpoint, learning during the initial lockdowns was a dual task, that is, managing synchronous and asynchronous activities. Asynchronous activities gave space for the students to search, analyze, explore new knowledge. Synchronous learning gave them opportunity to acquire knowledge from their teachers during the virtual classes. However, the outcome of sync and async was based on exploration and exploitation. Hence, for the theoretical underpinning, the researchers have considered the individual ambidexterity theory. Perhaps it is important to know the underlying theme of the theory, which states that “The ability to simultaneously pursue both incremental and discontinuous innovation from hosting multiple contradictory structures, processes, and cultures within the same firm”. When students are given activities, they involve themselves to transcend the boundaries of exploration and acquire knowledge, which becomes more meaningful. Sometimes, they lose focus and do not achieve the final goal; however, they exploit resources. Knowledge that they have acquired on exploiting and exploring resources will help them capitalize in future. This has been stated by Papachroni and Heracleous (2020) that there are three major elements in individual ambidexterity, that is, exceeding the boundaries of exploration and exploitation, accomplishment of dual task and benefitting by balancing between exploitation and exploration. As per the demands of the pandemic, there was a structural change in the way educational institutions functioned. However, balancing between exploration and exploitation depends on individuals' capacity and capabilities. Balancing between synchronous and asynchronous activities depends on individuals' capacity. The same has been mentioned by Gibson and Birkinshaw (2004) that it is left up to the individuals to balance between exploitation and exploration. This is more suitable for this research article because if a student knows the art of balance between synchronous and asynchronous learning, he/she may not find it to be a burden and can be very productive. On the other hand, if the art of balancing between synchronous and asynchronous is not known by the students, then the outcome may be negative.

5. Review of literature on synchronous and asynchronous learning

For online learning to become successful, educational institutions and organizations can adopt two systems: synchronous or asynchronous approaches. Synchronous learning occurs when all the participants interact at the same time. In contrast, asynchronous learning allows participants to exchange ideas and information without the dependency of other participants interacting simultaneously ( Chauhan, 2017 ). There is a difference between synchronous and asynchronous online conversations ( Malik et al. , 2017 ). Teachers and students can establish a better connect and enhance communication effectively with the help of synchronous methods. Different spaces can be utilized to facilitate synchronous learning, say Moallem (2015 ), Barron et al . (2005 ). Synchronous learning has many advantages for the students, which include: motivation and participation, establishment of social relations, KT, KA. These added values are not experienced through asynchronous learning approach ( Murphy et al. , 2011 ). However, synchronous learning can be successful only when certain arrangements are done beforehand. The facilitators have to prepare the teaching materials, schedule the class time, take attendance, maintain the decorum and so on ( Shukri et al. , 2020 ). The efficacy of synchronous learning needs to be explored to know how well this model impacts online learning, what strategies are best suited for different students and what tools can provide better support for those particular strategies ( Park and Bonk, 2007 ). On the other hand, the most flexible learning approach is asynchronous learning because there is no requirement for a face-to-face interaction in a real time. Teachers and the students are not present virtually or in any physical environment, but learning still happens in a successful manner. The teacher assigns activities and different tasks to the student and the same is done and submitted within a given time frame. Based on the work that has been submitted by the students, the teachers assess them ( Carroll, 2011 ). Asynchronous learning develops the cognitive capacity and capabilities of the student as they take efforts to study by their own without depending on the teachers. In this process, they invest time and energy to search, research, learn and acquire knowledge. Hence, asynchronous learning makes the students more disciplined and exposed to vast knowledge ( Shahabadi and Uplane, 2015 ; Plesec Gasparic and Pecar, 2016 ; Chauhan, 2017 ; Craig et al. , 2016 ).

6. Statement of the problem

Indian educational institutions have suddenly adopted synchronous and asynchronous learning approach in the light of pandemic. Students and teachers had an increased screen time and could not hold face-to-face discussions more than a certain time span. Hence, teachers conduct activities and provide assignments, which are aligned to the subjects they teach. However, students have to strike a balance between synchronous and asynchronous activities, which is quite difficult. Most importantly, the demographics of the students play a very important role and have a significant impact on their education. Indian students differ from each other in terms of income capacity, family background, educational qualification, exposure to technology and digital tools, culture and so on. Thus, during the pandemic, few students who did not have the basic facilities such as the Internet connection and a personal computer found it highly challenging to complete the activities, which has increased stress. Few situations where students' family members or students themselves are affected with the COVID-19 virus had real-time challenge. For few, balanced learning approach was very flexible and has been much appreciated as they could finish the activities and assignments as per their comfort and also had time for their personal life. However, it is important to understand the perceptions of the students because their experiences will help the educational institutions frame better strategies for the future. Asynchronous activities assigned to the students are monitored by the faculty members and grades are also assigned; however, the completion of the task on-time, as per the instructions given by the teachers, is still questionable. There are also few students who did not consider asynchronous activities to be important. Self-study always gives an opportunity for students to learn something new as they have the space to research and find new knowledge. Asynchronous activities and assignments have a scope to explore and also exploit resources. If the resources are used in the right manner, students benefit out of it, and if they do not make use of it, they may not gain benefits. Hence, this ambidextrous approach has its own pros and cons, which are to be explored in this research.

7. Research questions

How has online education impacted the student community?

What are the students' expectations from the asynchronous and synchronous learning?

How does asynchronous learning help students imbibe discipline in self-learning?

What are the various challenges faced by students when they take up live synchronous sessions?

Are teachers and students prepared to balance between synchronous and asynchronous activities?

Are students comfortable in taking online classes? Is online education better than traditional education?

Do parents support students in taking up online classes?

What are the various technological devices used by students to take online classes?

What are the few strategies to improvise synchronous classes?

Do students feel a sense of frustration and anxiety while attending synchronous and asynchronous classes?

8. Research materials and methods

This research collected data from the students undergoing synchronous and asynchronous learning amidst the pandemic. The data were collected ( N  = 655) from students during the pandemic time. A questionnaire survey was distributed to the students through online platforms to collect the data. The questionnaire had students' general perception of synchronous and asynchronous learning. Key variables have been hand-picked after an in-depth literature review, and the same has been converted into question statements for construct the questionnaire. The response is received with a good spread of Likert's three-point scale: (1) agree, (2) neutral and (3) disagree. This scaling option helps the researchers to obtain an adequate spread of responses. If the scaling options are extended beyond 5 or 7, there are possibilities where the respondents can be biased. Henceforth, a Likert's three-point scale has been used. Data have been collected using a simple random sampling, and the same has been used for data analysis using SPSS version 26. The collected data were exposed to a reliability test using Cronbach's alpha method. The reliability value is more than 0.7, which is considerably good and accepted to proceed further. Moreover, the collected data are a reflection from the experiences of students during the lockdown, which had a good spread of responses. Thus, the data are normally distributed and project the transparency in data collection and the population from which the samples are drawn.

9. Questionnaire development process

Step 1 : Going through literature reviews to explore more about synchronous and asynchronous learning.

Step 2 : Understanding the importance of synchronous and asynchronous learning from a different perspective through previous researchers' operational definitions and research knowledge.

Step 3 : Screen and select a few relevant articles to help us seek answers for different research problems.

Step 4 : Pick up the most appropriate statements from the selected article to construct question statements to collect data from respondents.

10. Factor analysis

Synchronous and asynchronous learning approaches adopted by educational institutions have positive and negative outcomes. The survey instrument is designed with positive and negative outcomes of asynchronous and synchronous learning. Every question statement used is a reflection of a synchronous or asynchronous learning approach. Since the number of dimensions was large, factor analysis has been used to reduce the same ( Rummel, 1970 ). All the positive and negative statements were separately exposed to factor analysis using the principal component analysis technique. Before extracting components, the KMO and Bartlett's tests and their results were analyzed. KMO measures the sample adequacy, ranging from 0 to 1, where more than 0.5 is considered suitable, and Bartlett's test of sphericity indicates the significance of the data, which should be less than 0.05. In this study, the negative and positive statements show KMO of 0.911 and 0.912, respectively, which states that the factor variables are suitable, which suits the factor analysis (see Tables 1 and 2 ).

The name of component 1 is “Online classes are stressful.”
The name of component 2 is “Insecurities and frustration.”
The name of component 3 is “Places more responsibilities.”
The name of component 1 is “Student-centered and effective.”
The name of component 2 is “Flexible and collaborative.”

11. Discussion

Our study analyzes the students' perception of synchronous and asynchronous learning approaches represented in the form of positive and negative outcomes during the COVID-19 crisis. The data were collected from students taking up online classes. We received N  = 655 responses, out of which 59.7% were female, and 39.5% were male, where most of them were undergraduate students. Majority of the students range between the age of 17 and 21 doing their undergraduate programs in different educational institutions in India. From the analysis the researchers have understood that most of the students study in private institutions and are exposed to technology. This is because only few reputed educational institutions have introduced synchronous and asynchronous approach as a part of teaching and learning. Government institutions and few private institutions that have no technological exposure have not given importance to the balanced learning approach. Screening the gender status of the respondents, majority of the respondents were male (65%) and remaining (35%) were female respondents. Male gender dominates the female gender, and this may be because of the society and Indian demographic spread. Many males get an opportunity to pursue their higher education when compared to the females. Apart from these basic demographic questions, researchers have also captured information pertaining to respondent's experience during the pandemic. From the percentage analysis, researchers understood that almost 69.8% of the students never experienced online classes before the COVID-19 crisis, which helped to come to the opinion that the COVID-19 pandemic made students take up online classes. According to the students’ most commonly used technology to take up, online classes were through mobile phones, where they opined network connectivity was quite good to attend classes. Almost 78% of parents also supported them to take up online classes. There were quite a few responses such as financial issues, technical problems, health issues and prioritizing family commitments that restrained parents from supporting their wards in taking online classes. Our study also raised open-ended questions to know more about synchronous and asynchronous learning approach. From the analysis and from the open-ended questions, researchers have received mixed responses. Few responses are highly supportive to the online education as they say online education is flexible, saves times and effective. On the other hand, few respondents say that online education is not flexible as it places responsibilities, creates stress and is causes insecurities among students. Few students observed that teachers failed to give attention to slow learners, who fall under the visually impaired, speech impaired and hearing-impaired category. In addition, they also said that teachers need to plan activities and need to undergo special training to break work into smaller chunks and deliver the same to the students with more clarity. Thus, teachers need to prepare themselves to balance learning activities. Our study also has questions related to MOOC courses, which have become very popular in the COVID-19 pandemic. Researchers asked questions related to MOOCs to know the opinion of the student communities. From their responses, researchers understood that the five most commonly used e-learning platforms in India were Coursera, Udemy, Khan Academy, Edx and Byju, where 51.1% chose Coursera over other platforms to take up MOOC courses. They also chose e-learning platforms such as MyCaptain, FutureLearn, Internshala, Upgrade and so on to learn courses online. MOOCs are also a part of the asynchronous approach where students self-explore and self-learn without depending on the tutor. Since few questions were multiple response questions, researchers analyzed it by defining the multiple response sets and running a frequency to know the percentage of student's responses. The majority of the students prefer asynchronous learning over synchronous learning due to several reasons. According to students, asynchronous learning helped them to self-motivate themselves where they used research skills to explore and understand a concept in a disciplined manner.

12. Conclusion

The impact of COVID-19 has created a massive imbalance in all sectors. The worldwide closure of educational institutions has an impact on student's academic life. The outburst of COVID-19 has taught everyone that change is necessary and forced educational institutions to adapt to the new technology, which was not used frequently before the pandemic ( Jena Kumar, 2020 ). Online learning now serves as a new panacea during this crisis ( Dhawan, 2020 ). The findings from the study stated that the outcome of online classes (synchronous and asynchronous) is quite stressful, which placed more responsibilities and created a kind of frustration and insecurities among students. Simultaneously, online classes are student-centric, which provides more flexibility for students to work collaboratively to increase class effectiveness. Thus, researchers have received mixed opinions and feedbacks from the students. Researchers have to conclude saying that all educational institutions are taking their maximum and best efforts for the benefit of the students. Students have to understand these efforts and should equally work hard to achieve success. Both synchronous and asynchronous approaches have their own pros and cons. However, students have to strike a balance between sync and async classes. India being a developing economy has not fully witnessed technological development, where few rural areas do not have any access to basic online education. The concept of synchronous and asynchronous learning approach is very new and needs more clarity. Henceforth, in the upcoming days, there should be a balance between both approaches. Future researchers have many opportunities and scope; however, synchronous learning is progressing smoothly, it is also important to motivate students to get involved with asynchronous activities and tasks. In addition, future research can be done on teachers' perspectives on online education because it is equally important to study teachers' mentality during the pandemic. These aspects need to be explored to make online classes more effective and productive during this pandemic. Suggestions such as free Internet and better connectivity are concerns raised by students that the government can look into and provide solutions for the same. Researchers can construct new policies and regulatory models that will help the government frame strategic policies for the educational institutions.

university case study in india

Showing the formula for a balanced learning approach

KMO and Barlett's test for negative statements

KMO and Barlett's test for positive statements

Rotated component matrix for data about negative statements

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IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating

university case study in india

Green Rating for Integrated Habitat Assessment (GRIHA) is a rating tool that helps people assess their building performance against certain national benchmarks. GRIHA focuses to minimize a building’s resource consumption , waste generation , and overall ecological impact by quantifying these aspects helping to control and reduce them to the best possible extent. Indian Institute of Gandhinagar (IIT Gandhinagar) is an institute that has been constantly working towards sustainability and developing a green campus since the initial stage. 

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet1

The master plan of the institute came into existence in consideration of the sustainability aspect of the campus. The campus was thus honored with the five-star GRIHA rating after completion in the year 2017.

university case study in india

Under the guidance of the visionary director of the institute- Dr. Sudhir Jain, the institute has been upscaling concerning values, knowledge, and sustainability. He states- “Sustainability is a key focus at IIT Gandhinagar in everything we do and that includes the development of our campus. The IIT Gandhinagar master plan demonstrates that green initiatives need not come with a hefty price tag.”

The consultants who supported the phase 1 construction were: Mitimitra Consultants Pvt. Ltd, HCP Design Planning & Management Pvt. Ltd., Vastu Shilpa Consultants, and Jhaveri Associates. The renewable energy installation on the campus is proposed to have 500 kWp capacity for the site area of 211795 sq.m. The aspects which make the campus green and sustainable are:

1. Sustainable site planning | IIT Gandhinagar  

The hard paving has been avoided and the landscape is merged with the building clusters to reduce the increase in outdoor ambient air temperature. Stormwater management is done to reduce peak run-off water quantity. The holding ponds are implemented on the campus as a sustainable urban drainage system.

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet3

Zero Sewage Discharge

To have a zero discharge campus, there are no outgoing sewage lines from the campus to the municipality . The wastewater and sewage generated on campus are treated through anaerobic reactors and a root zone treatment system. The water recycled is piped separately throughout the campus for irrigation purposes.

university case study in india

2. Optimization of Energy

In comparison to GRIHA LD base buildings, the campus is 46% more energy efficient. The energy optimization is gained by reducing heat gain or increasing cooling in the campus. The architects opted for fly ash bricks for the construction which generates the lowest heat gain. Fly ash bricks were used in the cavity walls and outside walls of the campus buildings. Exclusive use of exposed concrete and grit plaster is done externally. The central court called- Samvad court (court of ‘kites in the sky’) uses an interesting concept of perforated shade. An interesting play of light and shadows can be observed in space.

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet4

A Passive Downdraft Evaporative Cooling(PDEC) technique using a mist pump has been adopted for the dining hall . It helps reduce the indoor temperature with hardly any energy consumption. Academic Complex Building 7 uses a combination of a PDEC mist pump, a night purge system, and a cavity wall system. Jali screens have been provided to reduce glare in housing buildings. The use of various passive cooling techniques is seen throughout the campus. All these techniques help to cope with the harsh summers in this region.

university case study in india

A building monitoring system(BMS) is installed to manage cooling strategies. In the case of street light 85% more energy efficiency is observed. Street lights designed here meet the minimum lighting requirement, installed with automatic switches. 

Solar carport

The campus demands approximately 1MW of energy, of which the solar carport and the rooftop solar panels together can provide 500kWp.The 90 vehicles carport is created to facilitate safe parking space on the campus. This is the first and one of a kind facility in the region paving a path for future adaptations of the same model.

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet6

3. Water management | IIT Gandhinagar

The institute reduces its annual water demand by 41.86% through the reuse of treated wastewater. All fixtures used in the campus are low-flow fixtures.100% wastewater is treated by the DEWATS system installed on-site.

Rainwater Harvesting and Storage: Jal Mandaps

An innovative system of rainwater harvesting has been developed on campus. The campus building rooftops are connected to a stormwater collection pipe network. These pipes are then connected with a gravity feed system to six rainwater storage structures located throughout the campus. They are inspired by the concept of associating architectural features with water conservation structures, e.g. step-wells or vavs in Gujarat. 

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet8

4. Solid waste management

Biogas plants and compost pits are installed on the campus to treat all the organic waste. Food waste from the hostel mess is segregated at the source and is fed to the biogas plant. The compost pits take all other organic kitchen waste— vegetable peelings, etc. later used as manure in the landscaping.

The segregation of waste is done at the source. The institute’s ‘Green Office’ is actively involved in waste reduction initiatives, along with other green campus efforts. Staff training, monitoring the implementation of various initiatives, and providing general education regarding waste reduction is done.

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet9

5. Sustainable transport | IIT Gandhinagar

Site planning has been done to improve walkability in the campus through continuous and universally accessible footpaths. A green transportation mode is provided on the campus by two CNG-based vans that drive several times a day between the housing block and the Academic Complex. Electric charging facilities are provided for more than 10% of the total car and two-wheeler parking slots. A ‘Sustainable Cycle Pooling Initiative’ for students, staff, and faculty exists on the campus.

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet10

The author had an opportunity to be in the IIT Gandhinagar campus as an architectural intern, under the guidance of principal architect-Ar. Vikram Hundekar and senior architect-Ar. Dhara Mehta. She observed the practical implementation of the practices mentioned above and was amazed by the visionary leaders of the institute, guiding youngsters towards a greener, sustainable India .

References:

https://ahmedabadmirror.indiatimes.com/ahmedabad/education/iitgn-palaj-crowned-king-of-green-campuses/articleshow/50644897.cms

http://www.iitgn.ac.in/

https://campus.iitgn.ac.in/pdf/Overview_Report.pdf

https://www.grihaindia.org/sites/default/files/2018-11/iit-gandhinagar.pdf

IIT Gandhinagar- India’s first campus to receive a five-star GRIHA LD rating - Sheet1

A person who is passionate about art defines Rasika Hivrekar precisely, resonating with the meaning of her name. She is a final year architecture student. She believes self-expression is the best gift to mankind and loves exploring new avenues of it. Along with architecture, she is passionate about writing and music as well.

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  • Healthcare Architecture

Symbiosis University Hospital and Research Centre / IMK Architects

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Windows, Facade

  • Curated by Hana Abdel
  • Architects: IMK Architects
  • Area Area of this architecture project Area:  449930 ft²
  • Year Completion year of this architecture project Year:  2020
  • Manufacturers Brands with products used in this architecture project Manufacturers:   Saint-Gobain , ACP , KK Engineering , LEGERO Lights , Nyati Engineers & Consultants , Parryware , Shandar Interior Private Limited , Weathercool Sales , Wipro Lights , cera
  • Structural Consultants : The Axis Structural Consultants
  • Mechanical Consultants : Radiant Consulting Engineers
  • Electrical Consultants : Radiant Consulting Engineers
  • Civil Consultants : The Axis Structural Consultants
  • HVAC Consultants : Radiant Consulting Engineers
  • Lighting Consultants : IMK Architects , Radiant Consulting Engineers
  • Principal Architect:  Rahul Kadri
  • Client:  Symbiosis Society
  • Design Director:  Nithin Hosabettu
  • Plumbing Consultants:  Radiant Consulting Engineers
  • Facades Consultants:  IMK Architects
  • City:  Lavale
  • Country:  India
  • Did you collaborate on this project?

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Windows, Facade

Text description provided by the architects. Occupying the lower slopes of a hill within Symbiosis International University’s 260-acre estate in Lavale , Symbiosis University Hospital and Research Centre (SUHRC) is a 41,800-square-metre, 216-bed, multi-specialty hospital that represents a new and progressive face for healthcare infrastructure in India. With its state-of-the-art healthcare facilities and a research centre to enhance skill development, it is firmly anchored today as a COVID-19 quarantine and treatment facility, contributing to Maharashtra’s fight against the pandemic.

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Windows, Facade

SUHRC’s design draws from the ideas of biophilia (an innate human tendency to seek connections with nature and other forms of life) to promote recovery and rejuvenation for patients and healthcare professionals. Two large courtyards landscaped with flowering shrubs and trees bring in ample daylight and views of the outdoors into the interiors, while creating buffer zones to reduce cross infection. Critical areas such as ICUs are endowed with soft and soothing hues to reduce anxiety; while the OPD has no air conditioning but allows for fresh, natural air – thereby reducing the AC load and power consumption for these areas.

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Windows, Facade

Functionally, the building comprises four sections; three of them belong to the hospital and the last one being the Skill Centre. The hospital is planned across five levels; departments such as the OPD, casualty, radiology, MHC etc. This helps in keeping the departments separate, and thus maintaining the sterility of each floor function-wise.

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Facade

Carefully and strategically planned, the building attempts to make gestures that are grand, yet local and responsive with attention to details such as the brick-art and the exposed concrete. The project is an exemplar of passive design and sustainability.

Symbiosis University Hospital and Research Centre / IMK Architects - Interior Photography, Closet, Windows, Brick, Facade

Naturally-compressed, sundried earthen bricks (CSEB) were produced on site and are used to create a double-skinned façade with boxed forms and deep shading projections to reduce heat gain. CSEB through its own porosity and its use in elements such as cavity walls and jaalis enables the structure to cope with climate of the region by allowing the building to breathe. This reduces the internal heat gain allowing for maximum thermal comfort, reducing energy consumption. The bricks were produced on site using a block-making machine, thus providing additional employment opportunities to the locals as well as ensuring minimal carbon emissions. This is the first time CSEB has been used in a project of such a large scale.

Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Facade, Windows

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Symbiosis University Hospital and Research Centre / IMK Architects - Exterior Photography, Windows, Facade

Project location

Address: lavale, maharashtra 412115, india.

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  • Sustainability

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印度共生大学医院与研究中心 / IMK Architects

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Issues and Ideas In Education

Financing of State Universities in India: A Case Study

  • C. Krishnan School of Social Sciences and Policy, Department of Development Studies, Central University of South Bihar, Bihar-824236, India https://orcid.org/0000-0002-9601-3601

The fiscal crisis facing the economy has led to withdrawal of the state from major sectors of the economy including education. With the advent of the liberalized economic policy the private sector has been playing a pivotal role in the economic development. Higher education ceases to be the ‘merit good’ and the universities are encouraged to mobilize resources by their own efforts rather than depending on government grants. This has impacted the financing of state and central universities across India. Actually, this paper evaluates the funding of state universities in India through a case study, taking into consideration the changing contours of financing higher education. The core idea of the study is to analyse the resource mobilization as well as its utilization by the selected university. The study is based on secondary data. The discussion on the funding pattern reveals that the university is highly dependent on state grants for their day-to-day functioning. Though the efforts to generate internal resources is picking up, the university has failed to address the long run financial crunch of the university. The study concludes that unless the universities explore alternative channels of resources mobilization, it would be difficult to offer quality education in this era of globalization.

Albrecht, D., & Ziderman, A. (1995). Financing universities in developing countries. London: Flamer Press.

All India Council for Technical Education (1994). Report of the High Power Committee for Mobilization of Additional Resources for Technical Education. AICTE, New Delhi.

Ansari, M.M. (October 02, 1989). Resource Allocation and Financial Accountability of Universities. University News, pp.17-21.

Azad, J.L. (1976), Financing Institutions of Higher Education in India: The Need for a Realistic Fee Policy. Higher Education, 5(1), 1-7. https://doi.org/10.1007/BF01677202

Bowles, P., & Wagmen, B. (2001). Globalization and the Welfare State: Four Hypotheses and Some Empirical Evidence. Eastern Economic Journal, 23(3), 317-336.

CDEST (2002). Finance, 2000: Selected higher education statistics. Commonwealth Department of Education Science & Training, Commonwealth of Australia.

Chatterjee, D., & Rudra, S. (November 18, 2018). Fund drive for varsities: Innovative funding options can keep Indian universities on the go. The Asian Age. Retrieved from https://www.asianage.com/discourse/181118/fund-drive-for-varsities-innovative-funding-optionscan-keep-indian-universities-on-the-go.html

Chattopadhyay, S. (January 11, 2020). Public Funding of Universities In Pursuit of Efficiency, Equity and Excellence, Economic and Political Weekly, 55(2). Retrieved from https://www.epw.in/journal/2020/2/insight/public-funding-universities.html

Detya (1999). Selected higher education finance statistics. Department of Education, Training and Youth Affairs.

EUA (2008). Financially Sustainable Universities: Towards Full Cost Pricing in European Universities, European University Association.

Friedman, M. (1955). The Role of government in education. In: Solo, R.A. (ed.), Economics and the Public Interest.New Jersey: New Brunswick.

Harman, G. (1999). Vouchers or student centered funding? The 1996-1998 Australian review of higher education financing and policy. Higher education policy, 12, 219-235. https://doi.org/10.1016/S0952-8733(99)00012-4

Johnstone, D. (1998). The financing and management of higher education: A status report on worldwide reforms. The World Bank Washington, D.C.

Krishnan, C. (2012). Student Support Services in Distance Higher Education in India: A Critical Appraisal. International Journal of Research in Economics and Social Sciences, 2(2), 459-472.

Krishnan, C (2004), Distance Higher Education in Kerala: Students’ Assessment, Discussion paper, KRPLLD, Centre for Development Studies, Thiruvananthapuram.

Nanjundappa, D.M. (1994). Finance and Management of Higher Education, Deep and Deep, New Delhi.

NCES (1997). National center for education statistics: Finance FY97 survey, integrated Post secondary education data system. U.S. Department of Education.

Nigavekar (2003). Key note address to the UGC Golden Jubilee Seminar on Public Private Participation in Higher Education, University of Calicut, August 27-28.

Panigrahi, J. (2018a). Public Institutions in India Consider New Methods of Financing. The World View, A Blog from the Centre for International Higher Education.

Panigrahi, J. (2018b). Financing of Higher Education: Evidence from Select Case Studies of Universities in India. Aarthika Charche, 3(1), 37-46.

Tilak, J.B.G., & Geetha Rani (2003). Changing Pattern of University Finance in India. Journal of Services Research, 2(2).

Tilak, J.B.G (1988), University Finances in India: A Review of Problems and Prospects, Higher Education, 17(6), 603-635. https://doi.org/10.1007/BF00143778

Tilak, J.B.G., & Varghese, N.V. (1991), ‘Financing Higher Education in India. Higher Education, 21, 83-101. https://doi.org/10.1007/BF00132343

Tilak, J.B.G. (1993). Financing Higher Education in India: Principles, Practice and Policy Issues. Higher Education, 26(1), 43-67. https://doi.org/10.1007/BF01575106

Tilak, J.B.G., (1997a). The Dilemma of Reforms in Financing Higher Education in India. Higher Education Policy, 10(1), 7-21. https://doi.org/10.1016/S0952-8733(96)00031-1

Tilak, J.B.G. (1997b). Lessons from Cost Recovery in Education. In: Colclough, C. (ed) Marektising Education and Health in Developing Countries: Miracle or Mirage? (pp. 63-89). Oxford: Clarendon Press.

Tilak, J.B.G. (2000). University Finance in India: A Profile, National Institute of Educational Planning and Administration (India), NIEPA

UGC (1993). UGC Funding of Institutions of Higher Education, Report of Justice Dr. K. Punnayya Committee, 1992-92, University Grants Commission, New Delhi.

Weiler, H.N. (2001). States and Markets: Competing Paradigms for the Reform of Higher Education in Europe. Occasional Paper No. 16, National Center for the Study of Privatization in Education, Teachers College, Columbia University. Retrieved from https://ncspe.tc.columbia.edu/working-papers/OP16.pdf

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New Delhi: Spanking-new buildings, manicured lawns, beaming students, top brand names for placements — these are the standard ingredients in brochures and advertisements for India’s private universities, which have nearly doubled in number over the past seven years.

But visiting these campuses and scratching the glossy surface yields highly variable results, with many students claiming they aren’t always delivered what they were promised despite paying premium fees.

Take for example Chandigarh University, located in Mohali district’s Gharuan village. With its 105-acre grounds, eateries, surveillance cameras, numerous security guards, and imposing buildings that house departments spanning the gamut — from engineering and media studies to management — it claims to be the best university in Punjab.

However, in September, questions about campus security arose in the wake of a major controversy after women students alleged they were being filmed secretly in the hostel washroom. When ThePrint visited the campus last month, several students also voiced concerns about infrastructure and academics, pointing out that they were paying hefty fees and expected a higher standard for both.

Across the country in Bengaluru’s lush REVA University campus and Brainware University in Kolkata, criticism centred on lacklustre placements that did not line up with students’ expectations for the ‘investment’ they had made in their degrees. Students had much the same grouse at Career Point University (CPU) in Kota, where women students also complained about the lack of hostel facilities.

ThePrint reached these universities via phone and emails for a comment on these complaints, but had not received a response at the time of publishing this report.

The issues that students brought up while speaking to ThePrint are not limited to these universities alone.

Even as private universities proliferate and increasing numbers of students sign up, experts say that quality is often an issue despite the high fees charged. The vast majority of these universities also lack accreditation and do not figure in key educational ranking systems.

An explosion in supply and demand

Private or self-financed universities, which are established by Acts of state legislatures, have mushroomed at a tremendous rate over the past few years, nearly doubling from 225 in 2015 to 431 as of August 2022 , according to data from the University Grants Commission (UGC), which regulates them. UGC data shows that 68 private universities came up in the last four years.

Altogether, private universities constitute over 30 per cent of the total higher education institutes in India, according to a 2021 study published in the Journal of Higher Education Policy and Leadership Studies.

Authored by Prof Furqan Qamar of Jamia Millia Islamia, this study also used data from the 2007-2020 editions of the central government’s All India Survey on Higher Education (AISHE) to show that while the number of universities — government and private — grew 2.57 times in that period, private universities alone grew 20.44 times.

Demand is also catching up with supply .

While the share of students enrolled in private universities is just about 3.3 per cent of the total enrolment of about 3.85 crore students across institutes of higher learning (including government-run state and central varsities), the numbers show a stark increase.

Just 2.7 lakh students were enrolled in private universities in 2011-12, which went up to 12.76 lakh in 2019-20, shows AISHE data. That’s a whopping 372 per cent rise.

In contrast, enrolment in state public universities grew only 5.35 per cent from 24.47 lakh in 2011-2012 to 25.78 lakh in 2019-20. For central universities — where seats have always been a scarce resource — the numbers registered a 29 per cent increase in the same period, from 5.55 lakh to 7.20 lakh.

university case study in india

Experts believe that students are choosing to go to private universities for numerous reasons, including more competition in public institutions and less rigorous demands in terms of academic cut-offs. In many cases, if you can pay the fee, you’re in.

Speaking to ThePrint, Jamia’s Prof Furqan Qamar, a former secretary-general of the Association of Indian Universities (AIU), also pointed to poor infrastructure in many public institutions.

“Why are people going to private universities? Firstly, the good ones (public universities) are not able to offer as many seats as the demand. Then, the second-rung institutions that are public funded are so underinvested that infrastructure is bad. Living conditions and classroom conditions are so bad they are unable to attract students,” said Qamar.

However, private institutes, most touting themselves as the “best” on offer, do not necessarily provide bang for the buck.

Also read: ‘Need well-rounded professionals’ — why IITs, IIMs & IIITs are giving humanities a new thrust

‘Reality is very different’

The glossy brochure of REVA University in Bengaluru seems to reflect reality accurately enough at first glance with its sprawling campus, lush greenery, and plenty of students, about 17,000 of them — mostly enrolled in science and engineering courses.

But several current and former students that ThePrint spoke to said that there was little “exposure to cultural activities”, and that placements tended to be underwhelming.

“They claim to be the best university and say that 95 per cent of their students are placed but the reality is very different. Most of the students in my batch had to look out for themselves,” said a former student at the university who did not wish to be named.

For the fees students pay — Rs 1.4 lakh per year for engineering courses — they say the placement facilities should be better.

At Kolkata’s Brainware University, it was much the same story. It dubs itself as the “best” private university in Kolkata, but students who spoke to ThePrint said that placements were disappointing last year and they are hoping the situation changes.

ThePrint reached REVA University and the registrar of Brainware University via email, but had not received a response at the time of publishing this report.

Then there is Career Point University (CPU) on the outskirts of Rajasthan’s Kota. Started in 2012 by the Career Point Group, which is best known for its coaching centre of the same name in Kota, the university advertises a plethora of courses and placement opportunities on its website.

However, when ThePrint visited the campus it seemed apparent that the university is essentially an offshoot of the coaching centre and serves as a placeholder for many students who could not crack the Joint Entrance Exam (JEE) for admission to one of the prestigious Indian Institutes of Technology (IITs), or the National Eligibility cum Entrance Test (NEET) for medical colleges.

university case study in india

Many students in Kota enrol for CPU’s BTech or BSc degree programme since they have the option of not attending classes for an entire academic year, except for a month before exams, leaving them ample time to prepare for another shot at the JEE or NEET.

The annual cost for the BTech degree is about Rs 1.30 lakh and for the BSc programme, it’s about Rs 50,000.

Students who spoke to ThePrint said it’s a convenient fallback option, but complained that placements are disheartening. The average engineering placement offers a salary of about Rs 3 lakh per annum.

The facilities, too, leave something to be desired, women students said. There is no hostel for women, which means they must stay as paying guests elsewhere.

ThePrint reached CPU via email and its student counsellors via calls, but no response was received till the time of publishing the copy.

Established in 2012, Chandigarh University is one of the few private universities that made it to the top 200 in this year’s QS Asia University Rankings, published by education research firm Quacquarelli Symonds. It reportedly jumped 90 places to rank at 185 among universities in Asia.

However, here too students had peeves about academics as well as infrastructure.

“Faculty members keep changing very frequently… by the time we adjust to one person, there is a new faculty member in place,” said a second-year engineering student on the campus. Another complaint was that students were not given enough academic guidance after the first year.

Others criticised the campus amenities, including no transport to navigate the vast grounds. “Despite charging huge fees, the institute does not provide basic facilities like shuttle service to students within the campus and AC in classrooms. Shuttle is only limited for guests and parents,” said a biotechnology student.

“We are managing with all the issues because we are hopeful placements will be good,” said another student.

ThePrint reached the university’s vice-chancellor and registrar in person and via email for a comment on these allegations, but they refused to comment and there has been no response to emails.

Students’ complaints apart, more objective data also paints an unflattering picture of the state of private higher education in India.

How do private universities rank?

Only 23 out of more than 400 private universities in India have featured in the government’s National Institutional Ranking Framework (NIRF) since its inception in 2016.

Prof Qamar’s research throws more light on the subject. A 2021 paper, co-authored by him along with Reem Qamar, published in the Journal of Educational Planning and Administration , shows that private institutions lag behind even state public universities in the ranking framework. The ranking uses parameters such as teaching, learning, resources, student strength, peer perception, graduate outcome, and research output.

According to last year’s NIRF list, 70 out of 11,475 government institutions — 0.61 per cent — were ranked in the top 100. However, only 26 out of 32,903 self-financed institutions (which includes colleges, stand-alone institutions and universities) made it to the list — just 0.08 per cent of the total share.

The same paper shows that the largest share — 23.7 per cent —  of the NIRF top 100 comprised the IITs and Indian Institutes of Information Technology (IIITs), followed by central varsities (20.83 per cent), and public state universities (4.21 per cent).

In another 2019 paper , published in the Journal of Educational Planning and Administration, Furqan Qamar compared the positions of public and private universities in international ranking frameworks.

According to his research, 1.75 per cent of private universities (six out of 342) featured in the 2019 QS World Rankings in the year 2019, while 3.21 per cent (18 of 562) public universities made the cut. In the Times Higher Education Ranking, the percentage is 3.80 per cent (13 of 342) private, compared to 7.68 per cent (43 out of 560) public universities.

SRM University of Science and Technology, O.P. Jindal University, Amity University, Shoolini University of Biotechnology and Management Sciences are some of the private universities that have featured in QS World Rankings from 2020 to 2023.

Also providing an important data point is the National Assessment and Accreditation Council (NAAC), a government body that evaluates higher education institutes on their quality of education, research, and faculty and grades them from A++ to C. Only 25 private universities have valid NAAC accreditation.

While it’s not mandatory for all institutions to get NAAC accreditation, those that do get a stamp from it are considered quality institutes. The central government has also been laying  emphasis  on getting more institutions accredited.

‘Path of profitability’

Over the past couple of months, the Supreme Court in two judgments involving private institutions emphasised that ‘profiteering’ is detrimental to education.

Echoing this, Pankaj Mittal, secretary-general of the AIU, said that private universities tend to focus on “the path of profitability” and “ignore the quality of education”.

However, she added that this does not mean that the quality of education is necessarily high in public universities.

“Not just private universities, public universities also have a long way to go in terms of improvement. The private ones aren’t even aided by the government, but still they manage.”

With inputs from Soniya Agrawal, Sandhya Ramesh and Sreyashi Dey

This article has been updated to reflect that UGC data shows 68 private universities came up in the last four years, and not the past year. 

(Edited by Asavari Singh)

Also read: Enrolment in online courses up by 179% from last year’s tally, says UGC chairman

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Hertz CEO Kathryn Marinello with CFO Jamere Jackson and other members of the executive team in 2017

Top 40 Most Popular Case Studies of 2021

Two cases about Hertz claimed top spots in 2021's Top 40 Most Popular Case Studies

Two cases on the uses of debt and equity at Hertz claimed top spots in the CRDT’s (Case Research and Development Team) 2021 top 40 review of cases.

Hertz (A) took the top spot. The case details the financial structure of the rental car company through the end of 2019. Hertz (B), which ranked third in CRDT’s list, describes the company’s struggles during the early part of the COVID pandemic and its eventual need to enter Chapter 11 bankruptcy. 

The success of the Hertz cases was unprecedented for the top 40 list. Usually, cases take a number of years to gain popularity, but the Hertz cases claimed top spots in their first year of release. Hertz (A) also became the first ‘cooked’ case to top the annual review, as all of the other winners had been web-based ‘raw’ cases.

Besides introducing students to the complicated financing required to maintain an enormous fleet of cars, the Hertz cases also expanded the diversity of case protagonists. Kathyrn Marinello was the CEO of Hertz during this period and the CFO, Jamere Jackson is black.

Sandwiched between the two Hertz cases, Coffee 2016, a perennial best seller, finished second. “Glory, Glory, Man United!” a case about an English football team’s IPO made a surprise move to number four.  Cases on search fund boards, the future of malls,  Norway’s Sovereign Wealth fund, Prodigy Finance, the Mayo Clinic, and Cadbury rounded out the top ten.

Other year-end data for 2021 showed:

  • Online “raw” case usage remained steady as compared to 2020 with over 35K users from 170 countries and all 50 U.S. states interacting with 196 cases.
  • Fifty four percent of raw case users came from outside the U.S..
  • The Yale School of Management (SOM) case study directory pages received over 160K page views from 177 countries with approximately a third originating in India followed by the U.S. and the Philippines.
  • Twenty-six of the cases in the list are raw cases.
  • A third of the cases feature a woman protagonist.
  • Orders for Yale SOM case studies increased by almost 50% compared to 2020.
  • The top 40 cases were supervised by 19 different Yale SOM faculty members, several supervising multiple cases.

CRDT compiled the Top 40 list by combining data from its case store, Google Analytics, and other measures of interest and adoption.

All of this year’s Top 40 cases are available for purchase from the Yale Management Media store .

And the Top 40 cases studies of 2021 are:

1.   Hertz Global Holdings (A): Uses of Debt and Equity

2.   Coffee 2016

3.   Hertz Global Holdings (B): Uses of Debt and Equity 2020

4.   Glory, Glory Man United!

5.   Search Fund Company Boards: How CEOs Can Build Boards to Help Them Thrive

6.   The Future of Malls: Was Decline Inevitable?

7.   Strategy for Norway's Pension Fund Global

8.   Prodigy Finance

9.   Design at Mayo

10. Cadbury

11. City Hospital Emergency Room

13. Volkswagen

14. Marina Bay Sands

15. Shake Shack IPO

16. Mastercard

17. Netflix

18. Ant Financial

19. AXA: Creating the New CR Metrics

20. IBM Corporate Service Corps

21. Business Leadership in South Africa's 1994 Reforms

22. Alternative Meat Industry

23. Children's Premier

24. Khalil Tawil and Umi (A)

25. Palm Oil 2016

26. Teach For All: Designing a Global Network

27. What's Next? Search Fund Entrepreneurs Reflect on Life After Exit

28. Searching for a Search Fund Structure: A Student Takes a Tour of Various Options

30. Project Sammaan

31. Commonfund ESG

32. Polaroid

33. Connecticut Green Bank 2018: After the Raid

34. FieldFresh Foods

35. The Alibaba Group

36. 360 State Street: Real Options

37. Herman Miller

38. AgBiome

39. Nathan Cummings Foundation

40. Toyota 2010

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‘It Is Suffocating’: A Top Liberal University Is Under Attack in India

A campaign to make the country an explicitly Hindu nation has had a chilling effect on left-leaning and secular institutions like Jawaharlal Nehru University.

A statue of Nehru amid a grove of trees.

By Sameer Yasir

Reporting from New Delhi

Jawaharlal Nehru University, named for India’s first prime minister, is one of the country’s premier liberal institutions, a hothouse of strong opinions and left-leaning values whose graduates populate the upper echelons of academia and government.

But to the Hindu nationalists who hold power in India, the university and others like it are dangerous dens of “anti-India” ideas. And they are working to silence them.

Masked men have stormed the J.N.U. campus and attacked students, shouting slogans associated with a far-right Hindu group. Vocal supporters of the right-wing governing party who have been installed as administrators have suspended students for participating in protests and, in December, imposed new restrictions on demonstrations . Professors have been denied promotions for questioning government policies.

“It is suffocating,” said Anagha Pradeep, a political science student who has received warnings from J.N.U. after protesting her housing conditions and helping to screen a documentary critical of Prime Minister Narendra Modi. “And you can’t learn in fear.”

The pressure being put on J.N.U. is part of a broader effort to neutralize dissenting voices — media organizations, human rights groups, think tanks — as right-wing Hindus pursue their cause of transforming India into an explicitly Hindu nation.

Not long after Mr. Modi’s Bharatiya Janata Party took power in 2014, members of its ideological fountainhead, the Rashtriya Swayamsevak Sangh, or R.S.S., launched a campaign against elite universities across the country, taking steps like filing police complaints against professors who lectured on topics they disliked.

Hindu nationalists, as they try to uproot the secular foundation laid down for India by Nehru, are pushing to supplant universities’ traditional intellectual values with their own conservative thought. The government has excised textbook chapters on India’s past Muslim rulers and silenced researchers who questioned pseudoscience being promoted by right-wing officials.

“We want students to understand that patriotism is of the utmost importance,” said Abhishek Tandon, who has been the head of the student wing of the R.S.S. in New Delhi for 21 years.

He said his organization “won’t allow anti-India forces to work inside the campus against the integrity and unity of India.”

Sumit Ganguly, an India specialist at Indiana University, said that the Hindu nationalists’ campaign, including the appointments of education officials aligned with the right-wing government, could render academic freedom a “relic and a quaint notion” in India.

“What we are witnessing now is a steady stacking of institutions with individuals who lack suitable professional qualifications but share ideological preferences of the ruling party,” he said.

Some of these officials have been effusive in their praise of their government benefactors. Santishree Dhulipudi Pandit, the J.N.U. vice chancellor since 2022, has called Mr. Modi the “tallest spokesperson for democracy” and a “phenomenon.” Ms. Pandit and a press officer for the university did not respond to requests for comment.

J.N.U., which was founded in 1967 and is spread over hundreds of acres of secluded forestland in southwestern New Delhi, has more than 7,000 students and about 600 professors and instructors. Its founders, including an American rural sociologist, proposed a model research university that would be an incubator of debate and dissent, free of government interference.

In 1975, when the government declared a state of internal emergency — an especially dangerous time for Indian democracy — students at the university who opposed the suspension of basic rights faced expulsion, arrest and prison time .

Even after that traumatic period, students still had room for dissent in the decades that followed. “No one suffered for any ideology,” said Kavita Krishnan, an activist who arrived at the campus as a student in the early 1990s. “Its diversity was its strength.”

The current crackdown started in 2016, two years after Mr. Modi took office, when his government appointed Mamidala Jagadesh Kumar, a professor of electrical engineering, as the head of the university.

Within days of his appointment, about a dozen students were charged with sedition after being accused of displaying slogans supporting a Kashmiri man hanged by India over a deadly attack on Parliament. While some videos of the students were found to have been manipulated , India’s toxic social media space and its politicians found an enemy in the university’s students and professors.

Mr. Kumar ended a long tradition of consultation with students and faculty members and, according to teachers and students, curtailed a longstanding policy of encouraging applications from people of lower castes and other disadvantaged groups.

To inculcate “patriotism” and martial pride, he invited retired soldiers to campus and proposed putting a battle tank on display .

Nearly 50 members of the federal Parliament sent a letter to the education minister in January 2019 complaining that the university was being “destroyed.”

In recent years, students linked to far-right groups have physically attacked other students over their liberal and secular views, bashing them with sledgehammers, iron rods and bricks. Amid a wave of student protests in 2019 over a law that opponents called anti-Muslim, officers in riot gear raided a library at another university and beat up students with bamboo sticks. At yet another university, officers fired stun grenades at students.

After masked men stormed the J.N.U. campus and attacked students in January 2020, university alumni who were officials in Mr. Modi’s government quickly condemned the violence. But a politician from his party later justified the attack by describing the campus as a “hub of sex and drugs” that churns out thousands of used condoms and empty liquor bottles daily.

Last year, members of the R.S.S., the right-wing group, tried to intimidate students by carrying out marches with sticks and saffron flags — an emblem of Hinduism — on campus.

Nazar Mohamed Mohideen , a J.N.U. student who has campaigned for affirmative action and is a follower of an anti-caste revolutionary resented by Hindu nationalists, said he was declared a security threat to other students and barred by his professor from entering a laboratory.

Members of the student wing of the R.S.S. beat him up during a scuffle when he tried to save a portrait of the anti-caste revolutionary, Periyar , he said. (The group denied that allegation.) In October, Mr. Mohideen received a letter from the university saying he could not continue his Ph.D. studies, a decision he is challenging in court.

“My fight against oppression,” Mr. Mohideen said, “turned me into a visible enemy.”

Avinash Kumar, a representative of the J.N.U. teachers association, said the right-wing campaign against the university had changed its very nature.

“Ours was a campus which helped realize the real motto of education,” empowering students across caste and class and breaking down societal hierarchies, he said. But those values are antithetical, he added, to “what the ruling regime represents now.”

“Any space where this kind of environment flourishes, they crush it,” he said.

Sameer Yasir covers news from India and other countries in the region. He is based in New Delhi. More about Sameer Yasir

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Daylighting Vision, clerestories, light shelves on south bring in diffuse daylight with occupant control. north light is used for introducing daylight into the building.

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University-Industry Technology Transfer in India: a Plausible Model Based on Success Stories from the USA, Japan, and Israel

  • Open access
  • Published: 03 February 2022
  • Volume 13 , pages 1692–1713, ( 2022 )

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  • Ramya Ravi 1 &
  • Manthan D. Janodia   ORCID: orcid.org/0000-0003-0000-9673 2  

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Patenting and technology commercialization activities are rapidly gaining momentum in Indian academia. Currently, there is paucity of data suggesting technology commercialization activities among Indian academia. This study aims to examine issues regarding technology commercialization among Indian academics. The objectives of this study are to (1) understand the policy implications of university-industry technology transfer and (2) propose a conceptual model for technology transfer suitable for Indian scenario. The data included for our analysis is drawn from our previous study of 25 Indian Universities. The orientation of the paper is as follows: “ Literature Review ” is subdivided into two sub-sections — “ Policies Implemented for Leveraging Successful Academic Research Commercialization in the USA, Japan, and Israel ” and “ University Research Commercialization — Case Studies of Universities in the USA, Japan, and Israel ” are presented. “ Methodology ” deals with the methodology used for the study. “ Discussion ” is further subdivided into three sections — “ Analysis and Comparisons of Policy Implications on University-Industry Technology Transfer ,” “ Practice of Academic Technology Transfer in Indian Universities/Institutes ,” and “ Conceptual Model Recommended for University-Industry Tech Commercialization in India .” “ Conclusion ” concludes the topic. The current practices of academia-industry knowledge commercialization in India are limited, and the paper is an attempt to propose a suitable model to encourage commercialization activities by Indian universities.

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Introduction

The process of transforming innovations protected through Intellectual Property Rights (IPR) into products marketable is called technology transfer. University-industry technology transfer refers to the activities relating to the transfer of academic research findings to the industrial sector (Technology transfer in countries in transition: policy and recommendations,  n.d. ). To facilitate technology transfer, government policies play a vital role in promoting the research and economic competence of the nation (King & Nowack, 2003 ). The university-industry technology commercialization in the USA had a new beginning post the implementation of The Bayh-Dole Act 1980 which led to the rapid growth of industries. One of the objectives of the Bayh-Dole Act 1980 was to promote investment from the private sector into the commercialization of federally funded research for societal benefit. The licensing survey of FY96 by the Association of University Technology Managers (AUTM) reported that the commercialization of discoveries originating from academic research organizations to the companies played a predominant role in the growth of the US economy (Berneman & Denis, 1998 ). Similarly, Japan’s university system was established in the final quarter of the twentieth century. In 1971, the Council of Science and Technology of Japan framed fundamental policies on encouraging the linkages between university researchers, national research institutes, and private research laboratories. In 1977, the Ministry of Education of Japan gradually reduced the restrictions on industrial support for R&D in national universities, thus promoting new forms of cooperative research. The first such cooperative research came up in 1983, which was named Monbusho’s cooperative research program that opened the gates for university industry collaborations (Collins & Wakoh, 2000 ). The Law of Special Measures to Revive Industry 1999 (Japanese Bayh Dole Act) revolutionized the concept of university research commercialization in Japan by successfully increasing the number of patent applications filed by universities and conceptualized technology transfer to Japanese industries (Takenaka, 2005 ). Similarly, Israel has remarkable achievement in encouraging the commercialization of university research and technology transfer. In Israel, the concept of knowledge transfer from the universities predates intervention by the government in the form of incentive programs but relies on university bylaws. No centrally implemented policy prevails to encourage the transfer of technology or research. Moreover, there are no coordinated efforts to systemize university-industry interaction, but conventions have been strengthened by practice (Wain et al., n.d. ). Some of the notable findings of AUTM report of 2020, based on the survey of nearly 200 research institutions on activities from research funding to patent and licensing, include the following: (i) research funding grew to $83.1bn, a 7.6% increase over 2019; (ii) 27,112 invention disclosures are approximately 6.8% higher than the previous year; (iii) licensing options topped 10,000; and (iv) 1117 startups were formed that were directly impacting local economies (Technology Transfer Licensing Survery | AUTM,  n.d. ). Furthermore, some of the succesfull cases of university-industry technology transfer practices in these nations are discussed in the later sections of the paper.

The concept of patenting and commercialization is gaining momentum in India, yet there is a need to strengthen academic commercialization both in terms of implementing national policies and stratified models to bring the research output from universities/research institutes to market for public benefit (Nandagopal, 2013 ).

Few studies recommend policy measures to improve university-industry technology transfer in India. The objective of this study is to (1) understand the policy implications of university-industry technology transfer and (2) propose conceptual models for technology transfer based on empirical evidence concerning various policies/models implemented in the USA, Japan, and Israel. The comparison with these developed nations is important to understand the nuts and bolts of the successful commercialization of academic research. The criterion to choose these nations is based on diversity of geographical locations and proven success stories in technology commercialization by universities. The data included for our analysis is drawn from our earlier study from 25 Indian universities (Ravi & Janodia, 2021 ). The information on policies and models was obtained from published literature and official websites. The orientation of the paper is as follows: “ Literature Review ” is subdivided into two sub-sections — “ Policies Implemented for Leveraging Successful Academic Research Commercialization in the USA, Japan, and Israel ” and “ University Research Commercialization — Case Studies of Universities in the USA, Japan, and Israel ” are presented. “ Methodology ” deals with the methodology used for the study. “ Discussion ” is further subdivided into three sections — “ Analysis and Comparisons of Policy Implications on University-Industry Technology Transfer ,” “ Practice of Academic Technology Transfer in Indian Universities/Institutes ,” and “ Conceptual Model Recommended for University-Industry Tech Commercialization in India .” “ Conclusion ” concludes the topic. The current practices of academia-industry knowledge commercialization in India are limited. Based on both (i) the comparative study on policies and technology transfer models practiced in few universities of the USA, Japan, and Israel and (2) analyzing the current practices in India, the paper is an attempt to encourage academic commercialization activities by proposing a suitable model.

Literature Review

Policies implemented for leveraging successful academic research commercialization in the usa, japan, and israel, united states of america.

The Bayh-Dole Act in 1980 became a game-changer in encouraging commercializing university research. Before Bayh-Dole Act 1980, the US federal government owned the patents on government-funded projects and only non-exclusive licenses were available. Moreover, during the period focus was on publications with little requirement to convert research into commercially viable products. The rationale behind the government owning the patent was that public money spent on the invention must be available to all. The goals of the technology transfer policy changed in 1980 with an emphasis on promoting economic development, enhancing US competitiveness through innovation, and encouraging commercialization. Several laws were implemented to achieve the policy objectives. Bayh-Dole Act 1980 emphasized on universities/non-profit organizations to retain the title of innovations developed under government-funded research projects and supported university-industry collaborations for commercialization and inventors/researchers to attain shares on royalty generated by commercializing research. Moreover, universities were expected to apply for patents on inventions they select on their own and to give preferences for licensing to small businesses. Furthermore, from the perspective of the federal agency, the government retains the non-exclusive license to practice patents throughout the world and the universities must report back the progress to the funding agency. The preference was given to business entities who agreed to manufacture in the USA. This Act was enforced to prioritize technology transfer among federal agencies and encourage them to enter into Cooperative Research and Development Agreements (CRADAs) (Lamm, 2018 ). America Invents Act of 2011 changed the principle of the patent filing system in the USA from “first to invent” to “the first inventor to file.” This aligned the US system with other countries (Federal Technology Transfer Act and Related Legislation, Advancing the Federal Technology Transfer Act (FTTA) US EPA, n.d. ).

Before 2004, Japanese inventions arising from government grants and sponsored research were owned by the nation, usually by the Ministry of Education, Culture, Sports, Science, and Technology (MEXT). Such inventions were either free to use or would be transferred to the parties under a non-exclusive license against modest royalties, whereas in the case of contractual company-sponsored research, the company could retain an exclusive license. The inventors could own the inventions arising from donations or receive the standard allowance for research as per the policy of the concerned university. The average number of patents filed by national universities contributed to 50–70% of total applications per year. There were barriers in university-industry collaborations wherein the government employees and faculty members from national universities were barred from compensation for consultation outside the organization. Moreover, funds from sponsored research were prohibited to compensate the salaries of researchers working under the project. To address the discrepancies, the Japanese government implemented four laws in a span of 6 years from 1998 to 2004 that changed the legal framework of IP management and academia-industry collaboration. The four laws were the following. (1) Law to Promote the Transfer on University Technologies (the TLO law) in 1998 emphasized a system for the Japanese government to approve university Technology Licensing Offices (TLOs). This law endorsed transparency, arbitrated systematic transfers of academic research to industries, and channelized the compensation to inventors, laboratories, and the university. (2) Law of Special Measures to Revive Industry, in 1999 (the Japan Bayh-Dole Act), had the same strategies as the US Bayh-Dole Act, with an exception that it cannot be implemented by universities until they attained the legal status as semi-autonomous administrative entities in 2004. (3) The Law to Strengthen Industrial Technology supported the university researchers to establish and manage companies, which was implemented in the year 2000. It also removed barriers to using funds from sponsored research, which could be used to pay the salaries of permanent administrators and teaching staff involved in the project. (4) In April 2004, the University Incorporation Law gave national universities an independent legal status, which earlier was the branch of MEXT. By attaining the status as legally independent entities, Article 35 of Japan Patent Law could be enforced, where the employee’s inventions are assigned to the employer unlike earlier when the invention was owned by MEXT (Kneller, 2011 ).

Israel is an innovation-driven country. The country was ranked 24th in the International Institute for Management Development (IMD) ranking in the year 2014 and was placed 27th in the World Economic Forum (WEF) global competitiveness index. Israel was also ranked 19th in the group of high human development in the year 2014 according to the United Nations Development Program's Human Development Report Index (Wonglimpiyarat, 2016 ). One of the reasons for the economic growth of Israel is leveraging the untapped potential for technology transfer. The commercialization of academic research in Israel is primarily driven by a few universities with established technology transfer offices such as Hebrew University (Yisum), Tel Aviv University (Ramot), Weizman Institute (Yeda), Bar Ilan University (Bar Ilan), Technion Israel Institute of Technology (Dimotech), Haifa University (Carmel), and Ben Gurion University (BGN Technology Ltd). All these universities feature among the top 500 universities globally as per the Academic Ranking of World Universities (ARWU), popularly known as Shanghai Ranking (Ravi & Janodia, 2020 ). The universities are considered as “Intellectual and Economic Engines” in Israel. The Council of Higher Education (CHE) established in the year 1958 serves as Israel’s guiding institution for higher education. The Planning and Budgeting Committee (PBC) in the year 1977 was established to streamline the budget allocation and approvals for Israel’s Higher Education Institutes (HEIs). The government of Israel provides financial support for basic research to the universities and provides intervention programs for “bridging the gap.” The universities have the freedom to decide on their policy and regulations independently and share common principles. All universities own a for-profit company known as Technology Transfer Company (TTC). TTCs handle the IP of universities and are responsible for the research commercialization policy of the university. The Govt. of Israel has implemented various programs supporting academic-industry collaborations to produce innovative products. These programs include (a) KAMIN operated by the Chief Scientist at the ministry of the economy (OCS) which supports applied research in universities, (b) NOFAR Incentive Programme to encourage academic institutions in conducting applied research in biotechnology, (c) the MAGNETON Incentive Programme which assists collaboration between academic researchers and Israeli companies leading to technology transfer, (d) the MAGNET Consortiums program, encouraging companies and research institutions to collaborate and develop innovative technologies, and (e) the HEZNEK program which is the government seed fund. It is a co-investment fund by the government investing in a start-up company, proportional to the investment of the investing entity. The overall success of technology transfer in Israeli universities was due to the transition from a “bottom-up” strategy to a “top-down strategy.” (Messer-Yaron, 2014 ; Research office Legislative council Secretariate, 2017 ; Wonglimpiyarat, 2016 ).

Our earlier study findings state that research commercialization in Indian academics is in nascent stages. Academicians focus more on publishing research papers rather than focusing on commercialization of their novel findings. The study recommends that (i) Indian universities must leverage expertise in specific domains or pursue interdisciplinary research to generate revenue from knowledge commercialization, (ii) focus on the commercial viability of research, and (iii) identify mechanisms to collaborate with industrial partners (Ravi & Janodia, 2021 ).

University Research Commercialization — Case Studies of Universities in the USA, Japan, Israel

Stanford university.

Stanford University is considered one of the world leaders in technology transfer. Stanford University’s Office of Technology Licensing (OTL) was established in 1970 and has received more than 594 mn USD in cumulative gross royalties (Page, 2008 ). A study analyzed the data collected from Stanford University and concluded that the revenue generated from licenses to startups was 6.4 times more than the income generated from licenses to non-startups (Axanova, 2012 ). The technology transfer process conceptualized at Stanford is a continuous cycle focusing on licensing the product and generating revenue to help fund research and innovation. The model adopted at Stanford includes 10 steps, which are listed in the following:

Step 1: Research — experiments during research lead to discoveries and inventions.

Step 2: Invention and technology disclosure — confidential document on the details of the invention is sent to OTL that begins the formal process of technology transfer.

Step 3: Assessment — OTL conducts a patent search on the invention and assesses the potential for commercialization of the invention.

Step 4: Intellectual property protection — patent filing is the next stage if appropriate, warranted, and necessary.

Step 5: Marketing — Stanford is committed to marketing all technologies to suitable companies interested in the product.

Step 6: Selecting the best licensee (s) — in the case of several parties for one invention, OTL endeavors non-exclusive license or grant field-of-use licenses.

Step 7: Licensing — OTL negotiates and executes license agreement and permit certain license in return for financial and other benefits.

Step 8: Commercialization — most of the inventions are very early stage and require further development; the licensee company makes significant investments of funds and time to commercialize the product or service.

Step 9: Royalties — received by the university is distributed following the policy of the university.

Step 10: Reinvested – royalties shared overall in the university collectively foster further research and innovations (Office of Licensing Technology, 2012 ).

The OTL promotes technologies to be transferred for societal benefits while generating revenue to support research. From September 2019 to August 2020, Stanford received USD 114 million in gross royalty from 847 technologies transferred. Eighty-four of the inventions generated approximately USD 100,000. Ten inventions generated USD 1 mn or more. Of 594 invention disclosures submitted, 121 concluded to new licenses/options. Fifty-six of the licenses were nonexclusive, 35 were exclusive, and 30 were option agreements. Forty-two of the 121 agreements were with Stanford start-ups, and 23 of them involved equity (Technology & Inventions—Facts,  n.d. ). Reuter’s top 100 world’s most innovative universities 2019 survey ranks Stanford University at the top in the list (Reuters Top 100 Most Innovative Universities 2019,  n.d. ). Considering the framework of academic technology commercialization in other universities of the USA, there is a significant disparity in technology transfer performance as the top few universities produce a large share of revenue to the country’s total technology transfer (Weis et al., 2018 ).

Kyushu University (Japan)

Strategies adopted by Japanese universities emphasized university-industry R&D collaborations and creating start-ups instead of licensing of technologies. Kyushu University in Japan adopted a model termed “organization-level cooperation” from the year 2004. The approach was prioritized on a large scale with interdisciplinary research between university and industry. With the advancement in Information Technology (IT) along with the emphasis on globalization in the market, the Japanese business enterprises have shifted focus from conventional business fields to seeking profitable business fields. Under these conditions, many business enterprises are abolishing their central institutes to be replaced by collaborating with external organizations. Thus, there is growth in university-industry collaborations (UIC) leading to open innovation. The two major concerns raised by business enterprises about the universities of Japan were (1) the capability of the researchers to manage the development of their research and (2) discrepancies between the company’s requirement and the researcher’s motive. The IP/technology transfer activities at Kyushu University are managed by the Intellectual Property Management Center of Kyushu University (IMAQ). The strategy adopted in IMAQ is generally based on industrial demands. IMAQ in consultation with the industry partner identifies and deputes a researcher interested to work on the industrial project identified. In the due course of the project, the researcher has the freedom to exchange views and collaborate with researchers of various fields. Furthermore, Kyushu University carries out several activities such as providing technical consultation to small and medium-sized enterprises (SMEs) in the local area. This strengthens the knowledge on present needs from the local region and conducts research to fulfill the societal demands. This enables Kyushu University to suggest policies to increase investment for local development. In July 2005, Kyushu University collaborated with Steinbeis Foundation (StW) of Germany (business enterprise with an extensive know-how in diversified fields) and established Kyushu University-Steinbeis Japan Inc. Transfer Center (KSTC). The primary objective of KSTC is towards technological consultation of non-specific projects of joint/sponsored research and requires continued involvement of researchers from the university. This allows the university to positively respond to the requirements of local companies with a scope of building a regional innovation system (Tanigawa et al., 2011 ). Later in the year 2015, Academic Research and Industrial Collaboration Management Office (AiRIMaQ) was established to support academic research and collaboration. The seven groups — (i) consultation and office operation, (ii) research strategy promotion, (iii) grant support, (iv) research alliance, (v) intellectual property management, (vi) academic research promotion support, and (vii) industry-academia collaboration and community outreach support — were established under AiRIMaQ (AiRIMaQ, n.d.-a ). The revenue generated from joint research projects was approximately JPN yen 2678 mn, and the amount generated from funded research projects was JPN yen 9280 mn in the year 2019. Based on publicly available data on the AiRIMaQ website, in the year 2019, 38.3% and 31% of the patent application was generated from fields of life sciences and nanotechnology, respectively. A percentage of 25.2% of the patent applications were filed alone, and 74.8% were collaborative applications. Furthermore, the total number of the research project was 116, generating a revenue of JPN yen 603 mn in the year 2019 (AiRIMaQ, n.d.-b ). In Japan, there are successful cases of technology transfer, but the TT business is not maturing. For example, the government of Japan has been sending professional advisors on industry-university collaborative IP to universities since 2016 and intellectual property strategy designers to universities since 2019. They have also implemented measures to either reduce or exempt patent fees and examination application fees for universities. These measures are expected to improve patenting at the Japanese universities and the situation where there is a lack of expertise in intellectual property licensing strategies. The measures aim to focus on the cultivation of human resources who are responsible for the consistent practice of technology transfer from the acquisition of IP rights, financing arrangements, and development of the new markets (The Current Situation Of Technology Transfer By Universities In Japan—Intellectual Property—Japan,  n.d. ).

Tel Aviv University (Israel)

The universities in Israel adopt a common principle for the commercialization of academic research. The stages of commercializing are as follows. (1) The academic researcher shares the details of the potentially viable invention to Technology Transfer Company (TTC). (2) TTC assesses the potential of the invention disclosed. (3) If the invention accessed is of commercial value, TTC initiates patent filing and prepares a suitable marketing strategy to identify a potential licensee while negotiating the agreement (Research office Legislative council Secretariate, 2017 ). The TTC of Tel Aviv University (TAU) is Ramot. The mission of Ramot is striving to strengthen the linkage between the TAU research community and industry by securing patent protection, maximizing commercialization, encouraging the transfer of emerging technologies, generating new revenue streams by licensing technologies developed, and establishing startups based on potential TAU technologies and encourage entrepreneurship at TAU (Ramot- Technology Transfer Company of Tel Aviv University,  n.d. ). The strategy practiced at TAU to commercialize technology is shown in Fig.  1 .

figure 1

Technology transfer model adopted by Tel Aviv University. Source: Technology Transfer Policy in Israel—from bottom-up to top-down? By Research Office Technical Council

Tel Aviv University applied for 256 patents between 2012 and 2017 with a success rate of 41% translating into granted patents. The commercial impact score, 31.5, indicates the rate of basic research originating from institutions that have influenced commercial R&D activities. Moreover, the university has established a new Center for Quantum Science and Technology in September 2019, which will bring together 20 research labs from different faculties across campus to investigate the emerging fields of quantum computing and communication (Reuters Top 100 Most Innovative Universities 2019,  n.d. ).

Methodology

The objectives of the study were the following:

To understand university-industry technology transfer models in the USA, Japan, and Israel

Propose a suitable model for fostering academic research to commercialization stage for Indian academia

We retrieved the data from published literature sources country reports and government websites. We sourced the public databases of universities from the USA, Japan, Israel, and World Intellectual Property Organization (WIPO). Qualitatively, we compared (a) policies on innovation and technology transfer, (b) strategies undertaken in one leading university of the countries and analyzed, and (c) the organization of TTO for successful university research commercialization. Based on the earlier models proposed for university-industry technology transfer in India, we developed a plausible model considering different variables, shown in Table 1 , that are relevant to develop the proposed university-industry technology transfer model.

Analysis and Comparisons of Policy Implications on University-Industry Technology Transfer

The Indian Patent Act 1970 laid the foundation for creative initiation and the concept of reverse engineering in the pharmaceutical sector through a structured approach. The Indian research institutions innovated over 50 pharmaceutical processes and domestic firms benefited from indigenous innovations due to the non-exclusive licenses granted by the Council of Scientific and Industrial Research (CSIR) labs. This reaffirmed the fact that innovation is encouraged by structured IP protection. The Technology Policy Statement (TPS) in 1983 was enforced with the basic objective of supporting indigenous technology and encouraging the capacity for efficient adaptation of imported technologies. TPS emphasized (1) technology development, (2) inventions, (3) enhancing conventional skills, (4) increasing the demand for indigenous technology, (5) fiscal incentives, and (6) establishing in-house R&D centers. TPS encouraged a blend of indigenous and imported technology (Joseph, 2016 ). Later in 1986, the Research and Development Cess Act was promulgated to initiate funds for the import of technologies and to finance indigenous technologies. Simultaneously, the Technology Information Forecasting and Assessment Council (TIFAC), an autonomous body owned by the Government of India under the Department of Science and Technology, was established in 1988. The objective of TIFAC was to provide funding and encourage the development of infrastructure for commercialization (Kumar & Jain, n.d. ). In the mid-1990s, the researchers of CSIR were required to file patent applications but the policy failed to generate revenue from such patents. The majority of patents granted to CSIR during 2001–2010 were not licensed and could not generate revenue even to compensate a minimum of 5% of the cost incurred on filing the patent application by CSIR (Joseph, 2016 ). The policy to support academic research commercialization in India was pushed through The Protection and Utilization of Public Funded Intellectual Property Bill (PFIP) 2008. The Bill sought to provide incentives for inventions and commercialization of intellectual property from public-funded universities. The highlights of the bill were as follows. (1) The inventor must disclose the information to the research institute and within 60 days the organization must disclose the same to the government. (2) The institute should furnish the details of proposed countries intending for patent protection. (3) The inventor will be eligible for a minimum of 30% royalties from the Public Funded Intellectual Property (PFIP). (4) Failure to intimate the government would invite penalty. However, the proposed bill never became legislation (Srivastava & Chandra, 2012 ). The fear was that the industry may dictate the research and would lead to no provision for the government to steer the public-funded research (Singh & Tare, 2010 ). Later in the year 2009, the National Science and Technology Entrepreneurship Development Board (NSTEDB) was established by the Ministry of Science and Technology to support the creation of entrepreneurs. The NSTEDB had encouraged the establishment of Technology Business incubators (TBI) at different universities (Srivastava & Chandra, 2012 ). In 2018, All India Council of Technical Education (AICTE) encouraged a program known as AICTE Training and Learning (ATAL) Academy, to be established in all technical universities, institutes, and deemed to be universities to enhance and upgrade the technical knowledge of faculty members. The training sessions are conducted through an online portal (AICTE Training And Learning (ATAL) Academy, 2020 ). The Government of India under the Ministry of Human Resources and Development (MHRD), now Ministry of Education, established MHRD’s Innovation Cell (MIC) to revolutionize culture of innovation and nurture students by cultivating new ideas among Higher Education Institutions (HEIs). Major initiatives undertaken by MIC include (1) Smart India Hackathon (SIH) 2019 to encourage product innovation and inculcate a problem-solving mindset (AICTE- India, 2019 ), (2) Institution Innovation Council (IIC) — to support the scouting and pre-incubation of ideas and develop domestic innovation ecosystem, and (3) Atal Ranking of Institutions on Innovation Achievements (ARIIA), an initiative to rank HEIs and universities in India on an index of “Innovation and Entrepreneurship Development.” ARIIA encourages Indian institutions to be competitive globally in terms of innovation (MHRD’s innovation council, Ministry of Human Resource Development, AICTE, 2019 ). Compared to other nations, India implemented various programs to create awareness on innovation and patenting, quite late. Though policy mechanisms were envisaged as early as 1980, the lack of implementation led to India lagging in creating a culture of innovation. Indian academia and research institutions have just realized the importance of commercializing academic research.

MAGNETON —Table 2 compares the policies implemented for encouraging university industry technology transfer in the USA, Japan, Israel, and India.

Practice of Academic Technology Transfer in Indian Universities/Institutes

The policies for patenting and innovation in Indian universities are neither robust nor systematic. In our recent study, it was found that government universities/institutes in India with minimal industrial collaborations generate revenue through licensing, whereas private universities/organizations with more industrial collaborations fail to license their technology to an industrial partner (Ravi & Janodia, 2021 ). Moreover, there is no specific model practiced in India for commercializing academic research. The strategies adopted for commercializing academic inventions are either through personal contacts of researchers or by organizing patent exhibitions. In India, the funds received by government-run universities to carry out academic research are much more compared to private universities/organizations. To understand tech transfer in perspective, we have used the Indian Institute of Technology Bombay (IITB). IITB established Industrial Research Consultancy (IRCC) in 1975 to encourage industry-focused R&D activities. IITB filed its first patent in 1963. But the technology transfer (TT) process evolved during 2001–2011. In 2000–2001, there was no IPR policy, and the management entrusted the IPR and TT activities to technically qualified personnel. During the period, IP licensing was not much prevalent and the decisions on IP were dealt with on a case-to-case basis. The TT process between 2001 and 2006 saw a steady rise in IPR generation, interaction with industry, and other funding agencies. In 2003, IITB implemented the IPR policy for the first time, which aimed at scientific research and industry linkage and provided guidelines on ownership of IP. IRCC was strengthened during this period and emphasized channelizing IP and TT processes such as identifying the invention developed in IITB, filing relevant IP, identifying potential licensee, and royalty distribution. In 2004, with the support of the Department of Science and Technology, Government of India, IITB established an incubation center Society for Innovation and Entrepreneurship (SINE). The objective of SINE was to provide infrastructure to entrepreneurs, which included faculty, students, or alumni of the institute to establish start-ups. In 2010–2011, IITB attracted about 420 sponsored projects and 550 consultancy projects with a budget of INR 180 crores. The policy implemented this year scrutinized all master-level theses for successful IP generation. Certain marketing measures were adapted to license commercially potential IP by (a) creating a webpage for licensing technologies, (b) advertisement in media on IP/technologies for licensing, (c) fliers and booklets on licensable technology to industry, and (d) organizing TechConnect, an event in the institute for exchange of ideas and disseminate R&D capabilities. The model of technology transfer adapted at IITB include four stages: (1) identification of the potential IP at the early stage of invention, (2) Invention Disclosure Form (IDF) submission, (3) evaluation and screening the invention disclosed by the faculty/students, and (4) efforts to position the license created for revenue. However, IITB suffered a low rate of technology commercialization (Arumugam & Karuna, 2012 ; Ms & Jain, 2010 ).

Comparison of University Industry Technology Transfer Models in the USA, Japan, and Israel

Considering the case studies on technology commercialization activities of universities discussed in the previous section, Table 2 compares the organization structure and offices under TTOs of Stanford (OTL), Kyushu University (AiRIMaQ), and Tel Aviv University (Ramot). Currently, approximately fifty staff members are working in OTL (OTL Staff | Office of Technology Licensing,  n.d. ). The number of staff working in (AiRIMaQ) of Kyushu University is about 63 members under the centers as shown in Table 3 (AiRIMaQ,  n.d.-c ). Ramot, the TTO office of Tel Aviv University, has 13 members to undertake the activities of IP and collaborate with industrial partners (Ramot- Technology Transfer Company of Tel Aviv University,  n.d.-b ).

Indeed, for Stanford, Kyushu, and Tel Aviv Universities, the establishment of Technology Transfer Office (TTO) within the university has played an instrumental role in industrial linkage. A dedicated TTO should be specialized in supportive services such as identifying potential partners, managing IP, marketing strategies, and business development. At the same time, a separate unit in TTO should update the research activities undertaken in a university (Macho-Stadler et al., 2007 ). Another mission of TTO as suggested in a study is to support the local economy, by either providing consultation to develop domestic companies and encourage university researchers for establishing start-ups or creating a job for the locals (Warrena et al., 2008 ).

There are very few models proposed in the literature for supporting academic research commercialization in India. One such model was proposed by Rath et al. The model emphasized the functioning of the technology transfer office (TTO). The study recommended that the TTOs must (i) compose guidelines for collaboration and patenting activities, (ii) abstract venture capitalists and fiscal incentives, and (iii) enlist a detailed structure on research outcomes (Rath et al., 2014 ). Another model was proposed by Srivastava et al. in the year 2012. The model focused on the process of technology transfer with a primary objective on licensing agreements. Furthermore, the paper discusses the nuances of licensing concerning technical feasibility, commercial factors, discount factors in sublicensing, and finally the termination policy of licensing (Srivastava & Chandra, 2012 ). Another study proposed two models based on the Indian academic context. Type 1 was based on concept of technology push that is research based and the outcome leading to publications and patenting. Type 2 was based on a business pull process that had an entrepreneurial agenda and the outcome leading to venturing (Kuriakose, 2016 ). The major shortcomings of the models are (a) lack of central policy or guideline for technology transfer, (b) lack of a dedicated mechanism to attract the potential licensee, (c) lack of structure to promote collaborative research between faculty and industry, and (d) inadequate mechanisms to share the profits from commercialization with inventors. The model proposed in this paper considers the importance of all stakeholders involved in successful technology transfer that include the government, industry, and academia. Moreover, the recommended model emphasizes on assessing the technology readiness level (TRL), which is essential for a successful strategy for technology licensing/transfer/commercialization.

Conceptual Model Recommended for University-Industry Tech Commercialization in India

In order, to improve university-industry technology transfer in India, we propose a conceptual model that is suitable to the Indian context. The translation of academic research into commercial products leading to economic growth is much needed. Most universities in India have an off-late established Technology Transfer Office (TTO) as mandated by the Government of India (GOI) through various ranking and accreditation processes. In India, research funding received by public-funded universities is high compared to that of private universities/organizations (Ravi & Janodia, 2021 ). Currently, BIRAC, Dept of Biotechnology, funds a proposal that has a commercial value of research in academia having an industrial partner. Drawing from the Triple Helix model of UITT, the Govt must be the interface to encourage UITT in various aspects as shown in Fig.  2 (Ranga & Etzkowitz, 2013 ). The primary role of the Government of India as proposed in our model is to create central repositories exhibiting the research outcomes from universities/institutes/research centers/organizations via a common portal accessible to both industry and university. The initiative can create an opportunity to collaborate either between universities (public and private) and between academia-industry based on the agreeable research interest of both organizations. The other advantages to the proposed model are the following: (a) potential licensors would have fewer options to visit and establish relationships; (b) combining the resources of licensing will aid value addition for inventions; and (c) it enhances greater contact with the marketplace, and thus the research carried out in academia will be in coherence with societal demands. The other fundamental contribution of GOI to the universities is to frame policies enhancing UITT and implement schemes to support various areas of research. Moreover, the model suggests a consortium of industrial partners and industrial involvement in academic research at an early stage.

figure 2

Relationship between university-industry and government

Further, the government can encourage commercialization by providing fiscal incentives or tax holidays for products commercialized that have an academic origin. This enables a win–win situation for universities/institutes and industries. Furthermore, the research products marketed from such collaborations can benefit society with better commodities to meet the market demand. The conceptual model proposed by Mondragón et al. in the year 2013 for public universities in Mexico addressed the following barriers — (a) identification of the idiosyncratic factors in Mexican public universities that affect their technology transfer performance, (b) creation of a strategic partnership among institutions through research network, (c) the research from universities which is not leveraged commercially, and (d) lack of ecosystem for technological commercialization. The model also emphasized the importance of policies by the government that needs to be tailored for regional development rather than a one-size-fits-all approach (Necoechea-Mondragón et al., 2013 ). Another model proposed by Bradley et al. ( 2015 ) emphasized the platform to connect academia and industry through the internet employing collaborative organization. Such organizations aim for matching the innovators with potential collaborators and supply resources to develop the product (Bradley et al., 2015 ).

Looking into various models proposed globally and based on our previous study, (Ravi & Janodia, 2021 ), we propose a model as shown in Fig.  3 .

figure 3

A proposed alternate model for UITT in an Indian scenario

The policies to encourage UITT and a central repository to attract partners to commercialize available IP and technology are the immediate necessity for India. The model proposes various stages of UITT. (1) The research outcome can be either one or a combination of (a) publications, (b) patent through IP, and (c) technology ready for development. (2) Technology assessment — for any research institute, applying legal instruments to guarantee ownership and exclusive exploitation is essential. The university can either apply for a patent or assess the potential of technology through Technology Readiness Level (TRL) — technology to be transferred requires assessment for its potential before acquisition at whatever stage of development. This demands the buyer to seek legal protection of the technology and to take corrective measures if necessary or possible. The criteria for assessment of technology include diversifying/mitigating risk and resources to enhance the development of concerning technology and bring it to a stage where it can be licensed or sold. (3) Market assessment — the major area of concern in India is that the university research is not in line with market demand. The market assessment also includes the valuation of technologies and the economic analysis that is based on market research (including the demand for technology and identification of potential licensees). The market assessment involves considering various factors such as (i) size of the market targeted, (ii) business model to support the desired market, (iii) barriers to enter the market, (iv) gross margin, (v) number of competitors, (vi) mechanism for penetration of the product into the market, and (vii) analysis of the commercial potential of the licensee (Condom et al., 2008 ). (4) Commercial viability — determination of commercial potential of a technology is a prerequisite for framing successful commercialization strategies. Early recognition of the commercial potential of the technology concerned represents the use of resources efficiently and aids in developing the technology in the future. The viability of the technology not only is based on technical aspects but also depends on the financial, legal, regulatory, market, and numerous other factors. The early identification of commercial potential for new technology is based on four fundamental objectives. (i) Validation of commercialization — establishes that the technology has the overall business potential and justify commercialization and broadening of commercialization in the future. (ii) Realistic assessment of the utility of technology — aims at connecting the real-world needs against the attributes of technology. (iii) Accurately targeting commercialization — research organizations can target a specific market, industries which could utilize the technology potentially in a cost-effective manner. (iv) Commercial action can be initiated by either advertising or promoting by various other mechanisms (Bandarian, 2007 ). If the new technology is satisfying all the criteria above, it can be either licensed if the patent is granted or can be transferred to potential licensee based on terms agreed upon. The license granted may be exclusive or non-exclusive based on the technology, and payment options can be either royalty, milestone, or agreed mechanism of benefit sharing. The cost includes the overall costs of technology development to be licensed. It also includes the cost of protecting IP, the salary of the staff involved. This involves the agreements based on the evolution of the technology concerned where the cost system may allow a downpayment on the transfer of technology complimenting future payments. 

This paper argues that the current scenario for university-industry technology transfer in India is evolving compared to other developed countries. This research contributes to the successful practices adopted by the universities in the USA, Japan, and Israel. The strategies adopted by the universities can be adapted to meet Indian requirements for enhancing university-industry technology transfer. A few models for the Indian context are proposed earlier, which has limitations, whereas our proposed model attempts to address some of the lacunae by assessing the technology through TRL and also provides a more practical approach to be implemented for successful outcome of university-industry technology transfer. Further, there has to be a strong industry connection by academia from the beginning of research project that would help a few projects translate into successful licensing/tech transfer. The government as a facilitator to enhance these collaborative activities plays a vital role through creating facilitating mechanism and development of framework. Based on the practice of technology transfer in developed nations, the paper recommends a conceptual model adapted for university-industry technology transfer in the Indian context.

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Ravi, R., Janodia, M.D. University-Industry Technology Transfer in India: a Plausible Model Based on Success Stories from the USA, Japan, and Israel. J Knowl Econ 13 , 1692–1713 (2022). https://doi.org/10.1007/s13132-022-00908-z

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A Yale-led research team has picked a side in the “Snowball Earth” debate over the possible cause of planet-wide deep freeze events that occurred in the distant past.

According to a new study, these so-called “Snowball” Earth periods, in which the planet’s surface was covered in ice for thousands or even millions of years, could have been triggered abruptly by large asteroids that slammed into the Earth.

The findings, detailed in the journal Science Advances , may answer a question that has stumped scientists for decades about some of the most dramatic known climate shifts in Earth’s history. In addition to Yale, the study included researchers from the University of Chicago and the University of Vienna.

Climate modelers have known since the 1960s that if the Earth became sufficiently cold, the high reflectivity of its snow and ice could create a “runaway” feedback loop that would create more sea ice and colder temperatures until the planet was covered in ice. Such conditions occurred at least twice during Earth’s Neoproterozoic era, 720 to 635 million years ago.

Yet efforts to explain what initiated these periods of global glaciation, which have come to be known as “Snowball Earth” events, have been inconclusive. Most theories have centered on the notion that greenhouse gases in the atmosphere somehow declined to a point where “snowballing” began.

“ We decided to explore an alternative possibility,” said lead author Minmin Fu, the Richard Foster Flint Postdoctoral Fellow in the Department of Earth and Planetary Sciences in Yale’s Faculty of Arts and Sciences. “What if an extraterrestrial impact caused this climate change transition very abruptly?”

For the study, the researchers used a sophisticated climate model that represents atmospheric and ocean circulation, as well as the formation of sea ice, under different conditions. It is the same type of climate model that is used to predict future climate scenarios.

In this instance, the researchers applied their model to the aftermath of a hypothetical asteroid strike in four distinct periods of the past: preindustrial (150 years ago), Last Glacial Maximum (21,000 years ago), Cretaceous (145 to 66 million years ago), and Neoproterozoic (1 billion to 542 million years ago).

For two of the warmer climate scenarios (Cretaceous and preindustrial), the researchers found that it was unlikely that an asteroid strike could trigger global glaciation. But for the Last Glacial Maximum and Neoproterozoic scenarios, when the Earth’s temperature may have been already cold enough to be considered an ice age — an asteroid strike could have tipped Earth into a “Snowball” state.

“ What surprised me most in our results is that, given sufficiently cold initial climate conditions, a ‘Snowball’ state after an asteroid impact can develop over the global ocean in a matter of just one decade,” said co-author Alexey Fedorov, a professor of ocean and atmospheric sciences in Yale’s Faculty of Arts and Sciences. “By then the thickness of sea ice at the Equator would reach about 10 meters. This should be compared to a typical sea ice thickness of one to three meters in the modern Arctic.”

As for the chances of an asteroid-induced “Snowball Earth” period in the years to come, the researchers said it was unlikely — due in part to human-caused warming that has heated the planet — even though other impacts could be as devastating.

The research was supported by the Flint Postdoctoral Fellowship at Yale and the ARCHANGE project. Co-authors of the study are Dorian Abbot of the University of Chicago and Christian Koeberl of the University of Vienna.

Science & Technology

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