The current research university landscape in India includes some institutions founded pre-independence, most established in the decades following independence, with several earning global rankings and aspiring for greater international recognition and many young research universities, less than two decades old, seeking global acclaim. Several private sector universities are emerging or under development with aspirations to attain global recognition as research institutions .Their research performance is yet to be fully gauged, with future trends expected to clarify their trajectory. Their endeavors are backed by significant philanthropic funding. While it’s early days, there’s potential for some of these private institutions to transform into research universities, mirroring the trajectory seen in the USA
India possesses an extensive higher education (HE) framework, notably youthful and swiftly expanding. In India, there are approximately 900 universities with the authority to grant degrees.. The rate of growth has seen a substantial rise. From 240 in 2000, the count surged to over 750 by 2015. Despite having over 900 universities, Indian universities have evolved differently from those in the developed world. Few Indian universities rank among the top 200 globally, with none appearing in the Times Higher Education (THE) and Shanghai rankings, and only a few in the QS rankings.
The Indian HE ecosystem further boasts in excess of 40,000 colleges, with the majority of them emerging, as recent as in the current century. The prerequisites for establishing colleges were relatively modest in terms of capital, laboratory facilities, land, and other necessities, thereby enabling more private entities to establish colleges.
The gross enrolment ratio (GER), indicating the percentage of eligible students enrolled in higher education (HE), presently stands at approximately 25% in India and is projected to increase to 30% soon. In comparison, GER in several developed nations like the USA, Australia, and European countries typically exceeds 80%, while China’s GER is around 40%. The Indian government aims to raise the gross enrolment ratio (GER) in higher education. Given India’s youthful demographic, with over 20% of the population aged 0-10 and another 20% aged 10-20, the HE system must expand to accommodate the growing number of young graduates. To achieve this and further increase GER, the higher education system will need to sustain rapid growth over the next few decades.
Though a handful of higher education institutions (HEIs) enjoy international renown for their research endeavors, the overarching emphasis and dialogue within the HE system predominantly revolve around education, with research-oriented universities often overlooked. The majority of Higher Education Institutions (HEIs) in India have prioritized education over research, resulting in a dearth of high-quality educational experiences. Given that involvement in research is widely recognized as crucial for both educational excellence and cultivating a robust academic culture, the prevailing trend in Indian HEIs suggests a deficiency in delivering top-tier education. Nowadays, there’s a growing recognition of the significance of research, leading to a shift in focus from solely education to a combination of research and education in numerous universities.
In many developed nations, this shift occurred predominantly in the early 20th century, with World War II providing additional momentum. Contrastingly, in India, where the basic literacy rate stood at less than 20 percent upon gaining independence in 1947, this transformation appears to be unfolding presently. The inception of the modern university system in India began with the establishment of the University of Calcutta by the British. Subsequently, the universities of Bombay and Madras were established with the explicit aim of nurturing educated human resources to serve the British administrative apparatus in India. These universities, boasting exceptional faculty and pioneering PhD programs, emerged as leading research centers in India, making them the country’s earliest research universities. Notable institutions at the time of independence included the University of Calcutta, the University of Madras, the University of Bombay, Lucknow University, Allahabad University, BHU, Agra University, Punjab University, and Aligarh Muslim University (AMU). However, despite their significance in education, these institutions primarily emphasized teaching. The Universities of Calcutta, Madras, and Bombay awarded early PhDs, being among the earliest universities in the modern format, established in 1857 by the British. In India, the PhD program began in the late 19th century, with Calcutta University granting the first PhD in 1877.
Until the mid-1900s, only a few universities in India conferred PhD degrees, and the number of PhDs awarded was minimal. PhD production in India remained low until before independence in 1947. This was primarily due to the British-established universities being designed to produce human resources to aid administration, with research not being a primary objective, despite the provision of the PhD degree. The total number of PhDs produced until the 1920s was less than one per year, and even in the 1930s, just about three were produced annually nationwide. In the 1930s, India’s PhD output was slightly over 1% of that of the USA, a figure that rose to approximately 5% in the 1950s, the decade following India’s independence. The production of PhDs in India has seen continuous growth across various fields of study. India ranks fifth globally in terms of the total number of PhDs awarded. While India’s PhD output was significantly smaller than that of the USA around independence (approximately 5%), the current scenario is notably different. Presently, India graduates approximately one-third the number of PhDs awarded by the USA.
In a vast higher education system like in India, top universities are expected to prioritize research while others focus on education. Ideally, these leading research universities should produce the majority of PhDs. Data from the USA shows that roughly half of all PhDs are granted by the top 50 universities out of approximately 400 PhD-granting institutions. This pattern suggests a strong higher education system where top universities typically emphasize research and provide rigorous PhD programs, leading to the production of high-quality PhD graduates. In the top 25 institutions, about 85% of PhD students are full-time, a pattern observed in both engineering institutions and universities. This high proportion of full-time students is anticipated as top research universities generally depend on committed full-time PhD candidates. However, this percentage decreases significantly in the remaining top 100 institutions, with about 45% and 68% of PhD students being full-time in engineering institutions and universities, respectively. Many part-time PhD students may be employed as faculty in universities or colleges, potentially explaining the significant presence of part-time PhD candidates.
During the early 1900s, the majority of PhDs in India were conferred by the oldest three universities. Although other universities began awarding PhDs later, a select few dominated the PhD output. In addition to the oldest three universities, notable contributors included universities in Lucknow, Allahabad, Banaras, and Agra. Faculty members were primarily expected to focus on teaching, with only a few talented individuals engaging in research out of personal interest rather than institutional expectation. Fortunately, some universities had supportive leadership that facilitated research endeavors. After independence, the emergence of IITs and other research-focused higher education institutions led to a shift in the production of PhDs towards these institutions by the end of the previous century. NIRF compiled and published data on the top 100 universities and engineering institutions, as well as top institutions in various specializations like management, law, and medicine. According to NIRF 2018, the top 10 institutions produced an average of about 160 PhDs per year in engineering and about 400 PhDs per year in universities during the period from 2014 to 2017.
The concept of the PhD degree originated in Europe in the 12th century, but it took on its modern form, including a research thesis, during the 1800s, notably with the establishment of the Humboldt’s Model in Germany. This model then spread to other European countries. Subsequently, it was adopted and further developed in the USA, which emerged as a leading global producer of PhDs by the mid-1900s. A distinguished PhD program is a key feature of a research university, reflecting its level and quality of research activity. Many classification systems, such as the Carnegie Classification in the USA, use the size of the PhD program to identify research universities. This highlights the importance of PhD programs in differentiating research universities from other institutions. In India, the initial two decades following independence, substantial research universities emerged, notably the original five IITs and the IISc, primarily focusing on engineering and sciences. This period also witnessed a significant rise in the number of PhDs awarded in engineering, contrasting with the limited number awarded before independence. In the decade following independence, the number of PhDs in engineering surged to approximately 150, up from 30 in the 1940s, and further escalated to 580 in the subsequent decade. Leading engineering institutions contributing to this growth included the IITs, University of Roorkee, BHU, and Jadavpur. By the 1960s, these institutions collectively accounted for nearly half of all PhDs awarded in engineering.
Between 1950 and 1975, around 100 universities were founded in India, many with a focus on research. Notable institutions from this period include the original five IITs, AIIMS, IISc, TIFR, Tata Institute of Social Sciences, Birla Institute of Technology & Science, University of Hyderabad, Jadavpur University, Indian Agricultural Research Institute, JNU, and ISI. IITs received strong collaboration and support from various developed countries during their establishment. For instance, IIT Bombay received assistance from Russia, IIT Delhi from the UK, IIT Madras collaborated with Germany, and IIT Kanpur partnered with the USA through the Kanpur Indo-American Program, involving esteemed universities like Caltech, Carnegie Mellon University, MIT, Purdue, Princeton, and Ohio State. Such collaborations with renowned research universities facilitated the growth of research within these Indian institutions. During this period, national research laboratory systems such as ISRO, DRDO, DAE, and CSIR were established or received significant support for growth. However, the coexistence of these research labs, primarily focused on mission-oriented research, alongside universities, which were primarily for education and academic research, diluted the research agenda for universities.
Over the past two decades, there has been a swift growth of universities emphasizing research, presenting the potential for many to develop into fully-fledged research institutions. The expansion of IITs has been significant, growing from 6 to 23 institutions. The IIT system emphasizes research as a core aspect of its mission. Additionally, seven IISERs have been established, inspired by the successful model of IISc. Noteworthy research-focused IIITs, including those in Gwalior, Jabalpur, Allahabad, Bangalore, Hyderabad, and Delhi, have also been established. Furthermore, the establishment of eleven new AIIMS brings their total number to 12, with only one previously located in Delhi. In this century, there has been a notable proliferation of universities prioritizing research as a core mission. While many of these universities are relatively young and may not meet quantitative benchmarks of full-fledged research universities, such as the number of PhD graduates or full-time PhD scholars, they are committed to research as a central mission and appropriately recruit faculty to support this endeavor. Some of the universities in India impose publication requirements for submitting a thesis. The process for thesis examination varies but typically includes involvement of external experts and a thesis defense.
The emergence of global university rankings in this century has heightened the emphasis on research performance among elite institutions. For instance, data from an IIT shows a substantial increase in annual publications, from about 400 during 1985–2000 to over 900 by 2005, exceeding 1,400 per year in the following 5 years, and surpassing 1,800 per year in another 5 years. This trend likely reflects a broader emphasis on research across leading research institutions, indicating an intensified focus on research during this century. The PhD program in India primarily emphasizes research. Unlike many countries, there are few professional doctorate programs, the earliest one being introduced in 2008. Additionally, the PhD degree may be referred to by different names, such as the Fellow Program in Management in some management institutions.
In India, Higher Education (HE) is under concurrent jurisdiction, allowing both central and state governments to actively establish and support numerous HEIs. Private universities are also permitted, but all HEIs must adhere to non-profit status as mandated by law. Apart from universities established by either the central or state government through legislative Acts, there are also deemed universities conferred with university status by the University Grants Commission (UGC). Unlike many parts of the world, India also operates a system of affiliated colleges, where numerous colleges may be affiliated with a single university.
The model of affiliated colleges opened avenues for private sector involvement in higher education (HE). Private universities were rare, and establishing one was challenging during this period. Under the affiliation model, the affiliating university determines the educational program design, course syllabus, and related aspects. Colleges affiliated with the university are obligated to teach these courses according to the prescribed curriculum. While the majority of exam assessments are conducted by the university, some portion of the assessment may be delegated to colleges. Ultimately, the degree is conferred by the university. Around 280 universities act as affiliating bodies, overseeing colleges that primarily deliver undergraduate education based on the syllabi provided by the affiliating university. On average, each affiliating university supervises more than 125 affiliated colleges. Some reports suggest that a few of these universities are affiliated with over 500 colleges, with the largest managing close to 1,000 colleges. Affiliating universities typically regulated fees to maintain affordable education costs, but this led to challenges in compensating faculty adequately. As a result, the quality of education in many affiliated colleges suffered.
Public universities in India receive their base funding from three primary sources. Firstly, the Ministry of Human Resource Development (MHRD), a Central Government department responsible for education. Secondly, the University Grants Commission (UGC), funded by the MHRD. Lastly, state governments allocate funds to state universities, although some may also receive additional support from the UGC. Some specialized universities, which confer degrees, are affiliated with various other ministries. For instance, medical universities often receive funding from the Ministry of Health and Family Welfare, while law universities may be supported by the Ministry of Law and Justice. Additionally, agricultural universities may receive funding from the Ministry of Agriculture & Farmer Welfare. Public universities receive yearly grants to fund their day-to-day operations and establishment needs. The grant is usually calculated based on the previous year’s funding, adjusted for inflation, and may account for any extra requirements the university has. Universities outline their spending needs in funding requests, with funds typically designated for salaries, pensions, and upkeep. Any unused funds must be returned to the government or incorporated into the subsequent year’s budget.
Research activities are traditionally conducted by several types of organizations, including universities, government research and development (R&D) entities such as labs and agencies, and the business sector. Additionally, there are other contributors like nonprofits and focused groups. Typically, universities, government R&D, and the business sector are the primary players in research across most countries. In developed countries with esteemed and globalized higher education systems alongside robust economies, the business sector emerges as the primary investor in research and development (R&D). In many developed countries, particularly the USA, the business sector contributes more than half of the total R&D expenditure, with its share reaching up to 70 percent. Research funding is essential for the sustainability of research universities, as research activities are costly. In India, as in many other countries, research funding typically comes from a handful of research-sponsoring bodies. While universities receive basic budgetary support primarily for their educational mission, this funding may also cover support for PhD students. R&D funding for universities primarily stems from government sources, with corporations contributing a smaller portion. Sponsored research projects from sponsoring agencies, often government-backed, constitute the bulk of university research funding. In India, government research funding is heavily skewed towards government labs, with universities receiving only a small fraction of research funding. This contrasts with some developed countries with robust higher education systems, where R&D expenditure is significantly higher in research universities compared to government R&D labs. Government expenditure on research in India is primarily channeled through various agencies (CSIR, DRDO, DB, ICMR, DAE etc.), which allocate their funds towards organizational operations, internal R&D to support their research labs, and extramural project funding. The latter is utilized to sponsor project-based research grants for both academic institutions and research labs. The primary source of research funding for universities is through sponsored research projects, which are funded by various research agencies within the country. In India, universities secure sponsored projects from the extramural funding provided by various agencies.
Total extramural funding for research has shown a consistent increase over time. However, funding per university appears to have reached a plateau in recent years, stabilizing at approximately ₹350 lakh per year. Even if we estimate that 80% of this funding goes to the top 20% of universities heavily involved in research, the average funding per research university would still amount to around ₹1,400 lakh per year, equivalent to approximately US$2 million. The average sponsored research funding per institution for the top 100 universities and engineering institutions is approximately ₹2,000 lakhs, equivalent to about US$3 million. The average research funding, even among the top 100 institutions, remains modest. For the top 25 higher education institutions (HEIs), it amounts to just about US$8 million per institution. The highest research funding amount received could be capped at around $15 million. The National Education Policy (NEP) acknowledges the limited research funding available to universities and proposes the creation of a National Research Foundation (NRF) to support research across various fields in universities.
Traditionally in India, the private sector, synonymous with the business sector, has not made substantial investments in research. This trend likely stems from the country’s historical focus on low-tech industries, prioritizing goods production with existing technologies and know-how, which rendered R&D investment unnecessary. It’s noteworthy that private sector expenditure on R&D has been steadily increasing post liberalization of economy in 1991 and currently accounts for 40 percent of the total. Numerous Indian companies have evolved into global corporations, and the economy as a whole has become more reliant on innovation and technology, aligning with global trends. While India’s private sector expenditure on R&D has grown to encompass 40% of the total, the country’s overall R&D expenditure remains significantly lower compared to most developed nations. India allocates approximately 0.7% of its GDP to research, whereas many developed countries invest more than 2% of their GDP in research and innovation.
