Calculating FTE of R&D in the higher education sector. Mervi Härkönen Science, Technology and Innovation Statistics Seminar Tartu, 3rd November 2017

Transcription

1 Calculating FTE of R&D in the higher education sector Science, Technology and Innovation Statistics Seminar Tartu, 3rd November 2017

2 Research and Development in Higher Education Sector (HERD) Data sources in Finland

3 HES data used for R&D - Universities Survey: Universities' research and development R&D coefficients Administrative data - Universities of applied sciences and university hospitals Survey: Public sector research and development 3

4 University data sources Universities Intramural data by faculty Personnel on 30th Sept. R&D expenditure by source of funding, incl. own and grants R&D investments Extramural data Extramural R&D expenditure by performing sector Universities Time use monitoring data Universities personnel and their FTE by job, degree, etc. MINEDU Universities establishments by location Universities financial statements Confederation of Finnish Industries Universities salaries by job title STATFIN Register of Completed Education and Degrees 4

5 Similarities with Ministry of Education and Culture - MINEDU and Statistics Finland collecting almost same data from universities Personnel Expenditure - Now also on universities of applied sciences - Sharing experiences and data - Working together to reduce response burden and differences in results 5

6 Means of co-work - Synchronizing questionnaires and instructions Both participating on seminars for survey respondents National research information hub meetings - Publishing results from different perspective StatFin Vipunen is the education administration's reporting portal. 6

7 Sorting working time into teaching, R&D and other activities Time use coefficients

8 The borderline between R&D and teaching - In institutions of higher education, research and teaching are always very closely linked. Most academic staff do both, and many buildings, as well as much equipment, serve both purposes. - Because the results of research feed into teaching, and because information and experience gained in teaching can often result in an input to research, it is difficult to define where the education and training activities of higher education staff and their students end and R&D activities begin, and vice versa. - Elements of novelty and uncertainty distinguish R&D from routine teaching and other work-related activities. 8

9 R&D or education? R&D activities - Teachers: supervising of R&D project - Postgraduate students: performing and writing up independent studies (R&D projects) required for formal qualification - Any other R&D activities Education - Teaching - Training students in R&D methodology, laboratory work etc. - Course work for formal qualification Other activities - Administration - Societal influencing 9

10 Headcounts Human resources in HERD

11 Headcount (HC) - Headcount of total workers R&D statistics needs the headcount of the total number of persons who are mainly or partially employed by R&D - Various ways of measuring a) Number of persons at a given date b) Average number of persons during the (calendar) year c) Total number of persons during the (calendar) year 11

12 Processing of university HC data Confederation of Finnish Industries MINEDU STATFIN Employees Social Security Number Earnings Occupation code Correspondence table between occupation code and staff grouping Register of completed education and degrees Social security number level of education Headcount data University code Department code Social security number Field of R&D Location (municipality) University R&D personnel by occupation, qualification, age, gender University researchers by qualification, field of R&D, gender Regional breakdown of headcount data Add region code Correspondence table between municipality, districts and regions 12

13 Full-time equivalents

14 Full-time equivalent (FTE) in R&D - The number of full-time equivalent staff in R&D are considered to be the true measure of the volume of R&D Total FTE is needed (part-time vs. full-time workers) FTE in R&D needs to be calculated - R&D may be the main or a secondary function to a worker. If only persons, whose primary focus is R&D, were included, it would result in an underestimate of the effort devoted to R&D If all persons spending some time on R&D were counted equally, it would lead to an overestimate of R&D - The number of persons engaged in R&D must, therefore, also be expressed in full-time equivalents on R&D activities. 14

15 Acquiring the full-time equivalent on R&D 1. The organization provides their R&D FTEs 2. National Statistical Office (NSO) calculates the R&D FTEs. The choices for collecting data of employees working time are: a) Exhaustive R&D time use survey with diary to each worker Precise, but costly and heavy response burden In Finland three surveys were made in 1983, and b) Short time use survey As done in Sweden c) Data from time use monitoring systems More easily available. Needs more editing and merging with Register of Completed Education and Degrees. Finland used this method for the first time in

16 Processing of university FTE data FTE data on GUF funded personnel University code Department code Staff grouping Field of science Time-use survey R&D coefficients Scholarships funded by GUF in euros University code Department Code Field of science Division by annually defined amount of tax free scholarship R&D FTE data funded by outside sources University code Department code Field of science Source of funding Time-use survey, R&D coefficients applied for PhD students and other staff R&D FTE on universities R&D FTE by field of R&D, source of funding R&D FTE by university and source of funding Regional breakdown of FTE Add region code using correspondence table between municipality, districts and regions 16

17 Calculating FTE by time use coefficients

18 HES time use factors in Finland Time use factors do not have to be recalculated from all universities or too often (unless there is a major change) - In 2010 complete time use data was received from 5 universities (represented over half of the whole population & all main fields of science and all staff groups) - In 2014 complete time use data received from 8 universities 18

19 How to create time use coefficient? 1. Group staff by job title into position groups & by education background to Fields of R&D (FORD) 2. Divide types of work to R&D and non-r&d 3. Calculate the percentage of work time used on R&D 4. Generalize to personnel with same conditions - Small / specialized organisation might differ from others and need own time use coefficient 19

20 Finnish results: R&D coefficients by staff group and FORD in 2014 (%) Staff group / Field of Science Natural Engineering Medical sciences and and technology health sciences Agricultural sciences Social sciences Humanities Professors 45,6 40,9 41,1 39,9 42,9 35,9 Univ. lecturers & Assistants 32,9 26,5 24,2 28,0 30,8 23,8 Lecturers 16,9 13,0 18,8 26,0 10,9 6,3 PhD students 89,3 83,5 94,7 89,2 88,8 90,6 Researches 87,5 81,9 87,9 74,1 81,1 86,5 Other R&D staff 64,6 69,8 63,8 45,7 61,1 60,2 20

21 Implementing time use coefficients

22 Processing of university expenditure data Employees Social Security Number Earnings Occupation code R&D FTE and annual earnings data on GUF funded personnel University code Department code Staff grouping Field of R&D Annual earnings Scholarships funded by GUF University code Department Code Field of science Own funds used for R&D University code Department code Field of R&D Current and capital cost R&D expenditures funded by outside sources University code Department code Field of R&D Source of funding Complete and check annual earnings Labor cost on R&D Financial statement data Current cost funded by GUF University code R&D FTE/ Total FTE coefficient R&D expenditure by universities R&D expenditure by field of R&D and source of funding R&D expenditure by university and source of funding Add region code using correspondence table between municipality, districts and regions Regional breakdown of R&D expenditure 22

23 Calculation of HERD expenditure and FTE s MinEdu: Survey of university personnel FTE, FORD, location time use coefficients Total R&D FTEs by FORD, university R&D FTEs university personnel Average salary by post R&D FTEs research grants Time use monitoring records Grant FTE = Research grants / taxfree value of a research grant Research grants R&D FTE/total FTE factor Data Sources MIN UNI EDU STAT FIN EK Financial statements share of other operation costs R&D labor costs Total R&D expenditures Other R&D operation costs R&D Investments Total R&D expenditures by source of fund GUF = Total R&D expenditures - Univ. own funds - external funds Univ. own funds External funds 23

24 Science, Technology and Innovation Statistics Seminar Tartu, 3rd November 2017