In terms of industrial categories, The Services Sector inter-alia includes sub-sectors like Trade; Hotels and Restaurants; Transport; Storage & warehousing; Communication; Banking and Insurance; Real Estate; Business services; Public administration and defence; Social and personal services; and Other services including Education, Medical and Health, Religious and Other Community Services, Legal Services, Recreation and Entertainment Services.
This Sector constitutes a large part of the Indian economy both in terms of employment potential and its contribution to national income. CSO, MOSPI is responsible at the Central level to prepare GDP (Value Addition) estimates for the Indian Economy. The estimates are being released through ages now. The official site of MOSPI does admit the significance and importance of the Sector. More than fifty per cent of total GDP (value addition) comes from the Service Sector. Although the services sector has a pivotal role in the country’s economic development, database in this sector is highly disorganized. A major limitation of the existing statistical system in this respect is the absence of a well organized mechanism for maintaining a regular and proper database for this sector. One may also infer that calculations of our national income may be in trouble as the major part of it having the basis of its calculations on wrong footing. Unlike the Annual Survey of Industries (ASI) that is devoted to collection of data from manufacturing and few other categories of units included in the lists maintained by the Chief Inspectors of Factories, there is no such scheme in the services sector for annual collection of data from the units either having a large number of workers or those contributing significantly in terms of annual turnover. The main difficulty in this regard is the non-availability of an up-to-date frame of such units and lack of regular mechanism for collection of data. The development of National Business Register being envisaged based on the Sixth Economic Census is likely to address the issue of frame to a large extent.
Given the importance of the sector and its diverse nature and lack of data on an annual basis, the need for compiling the Index of Service Production (ISP) with an appropriate periodicity has been felt for a long time. Accordingly, the Central Statistics Office (CSO), MOSPI constituted a Technical Advisory Committee (TAC) under the Chairmanship of Professor C.P. Chandrasekhar to develop methodology for compilation of the ISP. The work on compilation of the ISP for different sub-sectors of the economy has been started in a phased manner, with priority given to some sub-sectors like railways, air transport, postal services, banking, telecommunication, which are more organized in terms of availability of data. The base year of ISP is taken as 2004-05. The said ISP is a volume index at constant prices. More precisely, it is defined as the ratio of the volume of output produced by the services industries in a given time period to the volume produced by the same industries in the specified base period. In the absence of regular surveys the ISP, it is likely to serve as a short-term measure of assessing the growth of services sector. It can be seen that as on today, we do not have any Index of Service Production even for any of its sub-sectors. Regular Surveys or other sound estimation procedures based on constituents’ annual output and value addition for the various sub-service sectors should also be thought of on some regular/annual basis.
Monday, December 19, 2011
Need for Assessment of Environment Aspects in respect of Water Resources Projects
INTRODUCTION
1. Water is vital for existence of our like, for maintaining and ensuring sustainable food security, domestic water supply, industrial water supply, electric power generation, maintenance of ecological balance and healthy environment. It is the prime resource for all our economic and development activities. The availability of this precious resource is, however restricted and finite. Its availability is highly irregular. It is not available in places where we want it, at the time when we want it and in quantities in which we want it. This precious resource is also getting continuously strained due to consistently increasing population, large scale industrialization and growth of urbanization. A coordinated approach development of this scare and finite resource is therefore essential. The problem, if not tackled effectively, may pose a serious threat to our all development activity and environment.
2. India in among the foremost countries in the world in exploiting its water resources for conservation of water resources for irrigation, flood control, generation of hydro power and water supply, industrial and various other miscellaneous uses. A large number of projects, dams, barrages, hydro power structure, canal networks etc. have come all over the country in successive five year plans. A mile stone in water resources development is creation of huge water storage capacity because of which it has now become possible to provide irrigation in the command areas, to ensure supply for hydro and thermal power plants located at different places and to meet requirement for various other uses. Flood moderation can be effected in flood prone areas where storages have been provided and supply of drinking water in remote area has also become possible.
Environmental aspects associated with Water Resource Development Projects
3. The water resource development projects have received due attention and priority in our successive five year plans after independence. These projects have brought tremendous benefits to the masses and the nation. Initially, technical feasibility and economic efficiency remained the main criterion and concern in implementation of these projects and the environmental aspects did not receive due concern. Gradually, the environmental aspects associated with a water resource development projects also come to be noticed which ultimately lead to the realization that the water resources development projects should be planned in such a manner that it leads to enhancement in the quality of environment rather than its degradation.
4. Environment is defined as the aggregate of all external conditions/situation/ influencing and affecting life and further development of living organisms on earth. The environment takes into account all the variables (physical, social and cultural) as these directly or indirectly influence the existence and development of organism. The basic factors influencing environment include air, water, land, flora and fauna which are inter related, inter dependent, co evolve and co adopts.
5. Viewed in this context, the water resource development projects have both negative as well as positive environmental effects/aspects associated with it. The negative environmental aspects associated with water resource development projects include submergence of forests, agricultural land, archeological and historical monuments, displacement of people, land degradation, soil erosion, water logging effect on flora and fauna etc. On the other hand the positive environmental aspects include improvement in/more equitable distribution of water, improvement in water quality, generation of employment, resettlement of displaced persons, positive impact on health, development of tourism/picnic spots in and around surrounding areas and above all improvement in socio-economic status of the masses thereby also contributing to a healthy environment
ORGANIATIONAL SETUP
6. A proper organizational support matched with qualified and trained manpower is a prerequisite for effectiveness of any Information System. At Central level, Central Water Commission (CWC) in Ministry of Water Resources (MOWR) is the nodal agency for monitoring, evaluation and impact assessment of water resources projects related to irrigation development
Review of the available data
7. Our data base on environmental related aspects in weak. We do not have adequate machinery and mechanism to generate the data and even proper documentation of the available data is lacking. We have sketching data here and there, but the same is not sufficient and also incomplete over time and space. The status of available data is:
(i) Water Quality- The CWC has a network of about 900 hydrological stations spread all over to country who regularly collect hydrological and meteorological data. The data on water quality for certain selected parameters is also being now regularly collected by over 300 of these hydrological stations. The data is being regularly collect and compiled, similar feedback even on restricted basins for sites under control of various States is however, not being made available to the centre. The pollution added in the transmission by the time it reaches the actual uses in not known.
(ii) Deforestation/A forestation - The execution of water resources projects in submergence of the forest area covering in the way of projects resulting in deforestation. As per the norms laid down by MOEP now, a forestation of equivalent is mandatory before the project is cleared. Development of such infrastructure projects due to urbanization also results in deforestation. The extent of area of deforestation/a forestation is not known and its availability in for
(iii) Resettlement/Rehabilitation
(iv) Land degradation, water logging, water salinity etc. (including to floods & droughts.
(v) Feedback on impact assessment (global warning)
DATA REQUIREMENT/DATA GAPS
8. The immediate objective of waster resources project is to ensure availability of water for various purposes including drinking, irrigation, generation of electricity, industry. The ultimate objective, however, is to ensure overall economic development including food security. These projects have environmental impacts also both positive and negative necessary safeguards are essential so that these projects do not lead or result in deterioration of the environment viewed in this context our data base is very deficient to provide the required feedback on the environmental aspects. As a result negative aspects are mainly getting highlighted creating disturbance in the execution of the projects and also making it difficult to the policy makers to justify the returns from huge public investment being made in execution of these projects. Development of a sound data base on environmental aspects not confined only to a few qualitative aspects like water quality/water pollution, land degradation, soil erosion, sedimentation, soil fertility etc. but also the consequential impact of socio economic level, heat and other related parameter is equally important for a holistic view in the matter and taking appropriate policy measure for environmental safeguard is very important. Although we have some feedback on the environmental impact aspect. Unfortunately environmental aspect has remained virtually neglected in our entire planning and we have not paid adequate attentions to development of necessary mechanism and machinery for providing necessary feedback on this important aspect. If necessary steps are not taken for development of infrastructure and necessary data base in this regard, it may not only result in environmental degradation but may also result in getting execution of our many water resource development projects stalled.
Suggestions for Improvement
9. A concerted joint effort is required by both those involved in planning/execution of water resources development projects as well as those having concern for environmental safeguards and involved in the environmental management for development of necessary data base for which it is necessary that cost effective and adequate machinery is created to take up evaluation and impact oriented assessment studies. Our experience indicates that it has not been possible for Government Departments to carry such studies of their own. It is, therefore, necessary to have such studies conducted by external agencies.
1. Water is vital for existence of our like, for maintaining and ensuring sustainable food security, domestic water supply, industrial water supply, electric power generation, maintenance of ecological balance and healthy environment. It is the prime resource for all our economic and development activities. The availability of this precious resource is, however restricted and finite. Its availability is highly irregular. It is not available in places where we want it, at the time when we want it and in quantities in which we want it. This precious resource is also getting continuously strained due to consistently increasing population, large scale industrialization and growth of urbanization. A coordinated approach development of this scare and finite resource is therefore essential. The problem, if not tackled effectively, may pose a serious threat to our all development activity and environment.
2. India in among the foremost countries in the world in exploiting its water resources for conservation of water resources for irrigation, flood control, generation of hydro power and water supply, industrial and various other miscellaneous uses. A large number of projects, dams, barrages, hydro power structure, canal networks etc. have come all over the country in successive five year plans. A mile stone in water resources development is creation of huge water storage capacity because of which it has now become possible to provide irrigation in the command areas, to ensure supply for hydro and thermal power plants located at different places and to meet requirement for various other uses. Flood moderation can be effected in flood prone areas where storages have been provided and supply of drinking water in remote area has also become possible.
Environmental aspects associated with Water Resource Development Projects
3. The water resource development projects have received due attention and priority in our successive five year plans after independence. These projects have brought tremendous benefits to the masses and the nation. Initially, technical feasibility and economic efficiency remained the main criterion and concern in implementation of these projects and the environmental aspects did not receive due concern. Gradually, the environmental aspects associated with a water resource development projects also come to be noticed which ultimately lead to the realization that the water resources development projects should be planned in such a manner that it leads to enhancement in the quality of environment rather than its degradation.
4. Environment is defined as the aggregate of all external conditions/situation/ influencing and affecting life and further development of living organisms on earth. The environment takes into account all the variables (physical, social and cultural) as these directly or indirectly influence the existence and development of organism. The basic factors influencing environment include air, water, land, flora and fauna which are inter related, inter dependent, co evolve and co adopts.
5. Viewed in this context, the water resource development projects have both negative as well as positive environmental effects/aspects associated with it. The negative environmental aspects associated with water resource development projects include submergence of forests, agricultural land, archeological and historical monuments, displacement of people, land degradation, soil erosion, water logging effect on flora and fauna etc. On the other hand the positive environmental aspects include improvement in/more equitable distribution of water, improvement in water quality, generation of employment, resettlement of displaced persons, positive impact on health, development of tourism/picnic spots in and around surrounding areas and above all improvement in socio-economic status of the masses thereby also contributing to a healthy environment
ORGANIATIONAL SETUP
6. A proper organizational support matched with qualified and trained manpower is a prerequisite for effectiveness of any Information System. At Central level, Central Water Commission (CWC) in Ministry of Water Resources (MOWR) is the nodal agency for monitoring, evaluation and impact assessment of water resources projects related to irrigation development
Review of the available data
7. Our data base on environmental related aspects in weak. We do not have adequate machinery and mechanism to generate the data and even proper documentation of the available data is lacking. We have sketching data here and there, but the same is not sufficient and also incomplete over time and space. The status of available data is:
(i) Water Quality- The CWC has a network of about 900 hydrological stations spread all over to country who regularly collect hydrological and meteorological data. The data on water quality for certain selected parameters is also being now regularly collected by over 300 of these hydrological stations. The data is being regularly collect and compiled, similar feedback even on restricted basins for sites under control of various States is however, not being made available to the centre. The pollution added in the transmission by the time it reaches the actual uses in not known.
(ii) Deforestation/A forestation - The execution of water resources projects in submergence of the forest area covering in the way of projects resulting in deforestation. As per the norms laid down by MOEP now, a forestation of equivalent is mandatory before the project is cleared. Development of such infrastructure projects due to urbanization also results in deforestation. The extent of area of deforestation/a forestation is not known and its availability in for
(iii) Resettlement/Rehabilitation
(iv) Land degradation, water logging, water salinity etc. (including to floods & droughts.
(v) Feedback on impact assessment (global warning)
DATA REQUIREMENT/DATA GAPS
8. The immediate objective of waster resources project is to ensure availability of water for various purposes including drinking, irrigation, generation of electricity, industry. The ultimate objective, however, is to ensure overall economic development including food security. These projects have environmental impacts also both positive and negative necessary safeguards are essential so that these projects do not lead or result in deterioration of the environment viewed in this context our data base is very deficient to provide the required feedback on the environmental aspects. As a result negative aspects are mainly getting highlighted creating disturbance in the execution of the projects and also making it difficult to the policy makers to justify the returns from huge public investment being made in execution of these projects. Development of a sound data base on environmental aspects not confined only to a few qualitative aspects like water quality/water pollution, land degradation, soil erosion, sedimentation, soil fertility etc. but also the consequential impact of socio economic level, heat and other related parameter is equally important for a holistic view in the matter and taking appropriate policy measure for environmental safeguard is very important. Although we have some feedback on the environmental impact aspect. Unfortunately environmental aspect has remained virtually neglected in our entire planning and we have not paid adequate attentions to development of necessary mechanism and machinery for providing necessary feedback on this important aspect. If necessary steps are not taken for development of infrastructure and necessary data base in this regard, it may not only result in environmental degradation but may also result in getting execution of our many water resource development projects stalled.
Suggestions for Improvement
9. A concerted joint effort is required by both those involved in planning/execution of water resources development projects as well as those having concern for environmental safeguards and involved in the environmental management for development of necessary data base for which it is necessary that cost effective and adequate machinery is created to take up evaluation and impact oriented assessment studies. Our experience indicates that it has not been possible for Government Departments to carry such studies of their own. It is, therefore, necessary to have such studies conducted by external agencies.
Sunday, December 18, 2011
FEASIBLE METHODOLOGY FOR ESTIMATION OF RURAL URBAN GROSS FIXED CAPITAL FORMATION AT STATE LEVEL
Introduction
In order to ensure that at least 50% of the total plan outlay of investment is provided for the Rural Sector, the Planning Commission desires to have estimates of rural-urban break up of investment, as National Accounting System does not reflect rural-urban distribution of actual investments in the economy. The Planning Commission requested Department of Statistics in the year 1990 to develop suitable estimates of rural urban distribution of aggregate investment in the economy after getting recommendation from the Committee of Secretaries in their meeting held on the 9th March 1990. As the states had been quite slow in getting the estimates of capital formation, it was decided that the Department of Statistics would pursue the suggestion made by the Planning Commission regarding devising of suitable indicators/ estimates of rural urban investments in the economy, as part of the national accounting system.
National Accounts Division (NAD) compiles statistics on capital formation by type of assets at the institutional level and by industry of use at all India level only. The state Directorates of Economics & Statistics are having the mandate of preparing the capital formation estimates at the state level. Only a few states have started preparing these estimates. But for the supra regional sectors namely, Public Administration and defence, Railways, Communication and Banking & Insurance, the capital formation estimates of respective states are being supplied to the state Directorates by the Central statistical Organisation (CSO). The states are adopting the estimates for the supra regional sectors prepared by the CSO. At present no breakup to rural and urban investment (Capital Formation) estimates is available officially.
Conceptual Framework and Methodology of Estimation
The methodology of estimation suggested is of bifurcating the existing estimates of Gross Fixed Capital Formation (GFCF) at all India level into the various states by using the available information either directly for some sectors or by using some indicators and then further estimating the rural-urban breakup. The principle used for breaking up at the state level is ownership basis only except for central government investment (GFCF) in fixed assets, which is normally based on location basis. The same principle cannot be adopted for rural-urban breakup in toto. Ideally, the apportioning of capital formation must be done according to the proportion of the benefits from the capital accruing to the rural and urban population, irrespective of the location of the capital. But it is highly difficult to measure these proportions. There are sectors like Agriculture, Forestry, Mining, Khadi & Village Industries etc. which predominantly benefit the rural population. But the other sectors, which benefit both the rural and urban population, cannot be categorised as rural or urban. A practical way to apportion the rural and urban components of capital formation would be to go by the location of capital. Conceptually, the population census definitions is being adopted for an area to be rural or urban.
The present approach adopted by the National Accounts Division for compiling Capital Formation for each of the industry groups viz. Agriculture, Manufacturing, Trade, Transport etc. at the national level is by ‘Expenditure Approach’. Therefore, for the rural urban break up too, we adopt this approach. The other details of the sector wise methodology are as under:
AGRICULTURE
The estimates of GFCF at the national level are prepared separately for public, private corporate and the household sectors. Improvement of land, irrigation works, flood control projects, and purchase of agricultural machinery and implements for experimental forms are various modes of investment in agriculture by the public sector. The public Sector investment in the sector is estimated at the state level by use of budget documents and by using the analysis of annual reports of state/central governments companies (NDCUs) and the returns of local bodies. The main capital expenditure during a year for the sector are made for irrigation, so it could be easily assumed to be in rural areas. The state level bifurcation in case of central government companies can be made along with other unallocated components.
Investment in the sector by the Private Corporate Sector are made mainly by Plantation Companies. The joint stock companies’ investment in the sector are made available at the national level by RBI. The estimates of capital expenditure in respect of tea, coffee and rubber plantations which are mainly in the private corporate sector are prepared on the basis of data on area on extensions and replacements as available in the annual reports of Tea, Coffee and Rubber Boards. Investment of plantation companies can be estimated at the state level by using the indicator based on state level output of tea, coffee & rubber. This investment can be taken to be investment in rural areas. The remaining component of private corporate investment can be bifurcated along with other unallocated components like those of central government companies.
As regards the estimates of fixed capital formation in the household sector, the same are prepared separately for (a) construction and (b) machinery & transport equipment for the bench mark year 1991-92 on the basis of such data available from All India Debt and investment survey (AIDIS), 1991-92 for the households engaged in the farm business. The AIDIS survey gives not only the investment at the state level but also with rural and urban breakup. In case of both construction & machinery & equipment,, the AIDIS rural urban estimates can be moved forward to other years with the combined index of agricultural and livestock value of output superimposed by cost index of rural/urban non-residential buildings and other construction works. At the national level, in case of machinery & transport equipments, the bench-mark year estimates are moved forward with the help of value of capital goods on site of industry group 'Manufacture of agricultural machinery and equipment, and parts'. Its main component i.e. value of products & by-products is available from ASI data. The same is also available at the state level with rural urban break-up. But as the indicator variable is registered sector production at the state level, these cannot be taken as proxy to capital expenditure of the states. The difference in the two procedures would lead to difference in the estimates at the national level and the same could be adjusted prorata in the ratio just arrived.
Increment in Livestock is estimated on the basis of the inter-census growth rates of Livestock data made available by the Livestock Census. The information is available at the state level. Rural-Urban allocation can be made on the basis of information on investment on live stock as available in AIDIS.
For the unallocated components, the allocations can be made to the various states by using the state level proportions of total finances available (Loans direct to formers for development during the year under consideration plus State Domestic Product of the sector). Rural Urban breakup can be made on the basis of rural urban ratio so arrived for the other components collectively.
Forestry & Logging
The forests are mainly owned and operated by the public sector. Only about 5 per cent of the forests are owned by the private sector. The estimates of GFCF in the public sector are obtained by analysing the state budget documents and annual reports of the non-departmental commercial enterprises (NDC). For the state allocation, it could be assumed that the state non-departmental enterprises only have investment in the state in which its registered office is located. As of now, for the sector, only one central NDC is there and it works for Andamam & Nicobar Islands. It could be assumed that the GFCF made by this central undertaking is for this UT. As most of the investment is available through state budgets/annual reports, so the same is available at the state level.. The entire investment in this sector can be taken as rural investment to start with as very little area in metropolitan cities is under forest as could be seen from NSS Report No 407 in respect of Land & Livestock Holding Survey, 1991-92. In respect of private forests no data are available. As such the estimates of the public sector are marked up by 5 per cent to account for the private forests at the national level. State wise apportioning of private investment can be made on the basis of state level information available in the said report No. 407.
Fishing
The estimates of GFCF for the sector are by public bodies as well as by the household sector. The contribution of public sector investment is very small for the sector and the same can be culled out by using annual reports of government companies. Companies’ location can be used to further estimate the State level investment. For the household sector, the estimates can be prepared as net additions to the estimates of capital stock as given for the Indian Livestock census years 1981-82 & 1986-87 using the data on fishing boats etc., available from Indian Livestock Census (ILS) 1982 & 1987 (1992 Census results are not available uniformly for all the states) at the state level with rural urban breakup. The same can be converted at 1993-94 prices by using the prices of mechanised and non-mechanised boats and fishing gears collected from various states. The estimates of capital stock for other years can be arrived at by interpolation/ extrapolation and that of GFCF at 1993-94 prices as annual additions. The estimates of GFCF at current prices can be obtained by superimposing the average index of wholesale prices of (i) timber, (ii) diesel engine and (iii) nylon/terene and mixed cotton. Use of latest ILS can be made once they are made available by the M/O Agriculture.
Mining and quarrying
At all-India level, the estimates of GFCF in the public sector non-departmental enterprises are obtained from the analysis of the annual reports of such enterprises. In respect of the private corporate sector, the estimates are made available directly by the RBI on the basis of their studies of sample joint stock companies published annually in their publication entitled 'Finances of Public and Private Limited Companies'. In case of household sector, the enterprise survey, 1992-93 has been used to have bench mark estimate. By using the growth in output of minor minerals, we have the estimates for the subsequent years. The Public Sector accounts for 97% of the capital formation in this sector and the same are not available at the state level. The state wise rural urban break up can be attempted on the basis of indicator based on long term financial resources made available during the year for the sector, location wise.
Registered manufacturing
The estimates of GFCF are available in the annual data from Annual Survey of Industries (ASI), duly adjusted for non-response on the basis of industry wise data on employment. This source provides data with rural and urban break up at the state level. However, ASI data do not cover defence establishments (e.g. ordnance and clothing factories) and investment in such establishments is comparatively very small. Information relating to the departmental enterprises are received from Ministry of Defence. For non-departmental enterprises, the estimates of fixed capital formation are obtained from the analysis of accounts of these enterprises. It has been noticed that GFCF in case of Public & Private Corporate (Registered) sector is at times at much variance with that of ASI at the national level. At the national level, for these two sectors the independently generated institutional level estimates are being used instead of ASI estimates. The allocation of all-India estimates of capital formation can be made in the same proportion to rural urban areas of various states as obtained for ASI data. For the years for which ASI results are not available, the estimates for the latest year based on ASI can be moved with the help of value of output in registered manufacturing and are to be revised as and when ASI results become available.
Unregistered Manufacturing
It is worth while to use the results thrown by follow up surveys of economic census. We have 1989-90 and 1994-95 surveys for the sector. Using the basic raw data tables can be generated for both the years to have vectors of rural-urban investments (additions during the year) at the state level. All – India estimates can be allocated on the basis of survey proportions at least for the years of the survey. The bench mark year state level estimates can be moved to later years with the help of indicator based on value of output or gross value added in unregistered manufacturing for construction and machinery & equipment assets. One may have to use the rural/urban ratios as available from the latest follow up surveys for the sector.
Construction
The estimates of GFCF in respect of public sector are obtained by analysing the annual reports/budgets. Further break up can be obtained on the basis of location of the enterprise. Construction by the Private Sector companies takes place almost in the urban areas only. At all-India level, for the private corporate sector, the estimates are made available by the RBI directly on the basis of their studies of sample joint stock companies. It can be further broken to state level estimates on the basis of State Paid up capital for the sector plus the loans raised from banks by the sector. In case of household sector, the estimates for the bench-mark year 1993-94 have been prepared, at all-India level, using the capital output ratio worked out from the analysis of reports of some of the private joint stock companies engaged in construction. Similar estimates can be made separately for various state based rural and urban companies. The required estimates can be obtained by using the various years’ output vectors which are being generated as by product by NAD while preparing SDP estimates for the construction sector.
Electricity, gas and water supply
The estimates of GFCF in the public sector are obtained by analysing the budget documents and annual reports of government companies. In respect of private corporate sector, the estimates are made available by the RBI on the basis of their studies of sample joint stock companies. 80% of the investment in this sector is by the public sector. State level estimates for the public sector investment can be estimated by use of information of state budgets and state electricity boards. Rural urban break up can be attempted based on consumption and figures available from CEA (for electricity), municipal authorities etc (for water supply). For the gas sub-sector, apportion can be made by using ASI Data . The private investment and investment by central government companies can be broken to rural and urban state investments by using proportions obtained in ASI data. For bio gas plants, which are generally rural based, can be easily estimated at the state level by using the information on number of bio gas plants installed and the cost of their installation for the various states using data as available from the M/O Non-Conventional Sources of Energy.
Trade, Hotel & Restaurants
Trade
For estimation of GFCF, the sector has been divided into (i) public sector, (ii) public limited joint stock companies, (iii) cooperative societies, and (iv) household and private limited joint stock companies. At the national level, GFCF in public sector is based on the analysis of annual reports etc., of the statutory corporations engaged in trade. Estimates of GFCF in respect of joint stock companies and the cooperative societies are made available by the RBI and the NABARD respectively. Data in respect of cooperative societies is available at state level with rural urban break up. For the household sector and private limited joint stock companies, the estimates of GFCF at state level with rural urban break up for the bench-mark year 1990-91 have been prepared using the Directory Enterprise Survey. Using the assumption of constant capital output ratio for this unorganized part of the trade sector, the 1990-91 estimates for the household sector and private limited companies can be moved to other years with the help of value added from unorganized trade (assuming constant output-GVA ratio). For the unallocated part i.e. contributed by (i) and (ii)above, can be allocated to rural and urban areas of various states on the basis of a suitable indicator based on long term finances available to the sector for the investment
Hotel & Restaurants
For estimation of GFCF the sector could be divided into(i) public sector, (ii) public limited joint stock companies, (iii) household and private limited joint stock companies. The estimates of GFCF at all-India level in respect of the public sector are based on the analysis of annual reports of the enterprises engaged in the activity. As regards the estimates of public limited joint stock companies, the same are made available by the RBI at all-India level. In respect of the household sector and private limited companies, the estimates of GFCF for the year 1988-89 can been prepared using the Directory Enterprise Survey. Using the assumption of constant capital output ratio for this unorganized part of the sector, the 1988-89 estimates for the household sector and private limited companies can be moved to other years with the help of value added from unorganized hotels & restaurants. For the unallocated part i.e. contributed by (i) and (ii) above which is mostly urban, can be allocated to various states on the basis of a suitable indicator based on long term finances available to the sector for capital development.
Transport, Storage & Communication
Railways
Estimates of GFCF for railways can be obtained by analyzing the budget documents. These refer to transport services only and exclude capital employed in railway workshops and manufacturing units and construction activities undertaken by the railways. The latter are to be included in the respective industrial sectors. The estimates are being prepared by NAD already at the state level. Rural/ Urban break up can be obtained by help of indicator based on track renewals, new lines laid and number of railway stations.
Transport by other means
The estimates of GFCF for air transport are compiled by analyzing the annual reports of various public and private Airlines and Helicopter services, Helicopter Corporation of India and International Airport Authority of India (IAAI). For capital employed in aerodromes other than those controlled by IAAI, the estimates are obtained by analyzing the budget documents of the Department of Civil Aviation. Estimates in the case of shipping companies are based on the analysis of annual reports of major shipping companies and Shipping Corporation of India. Estimates of GFCF in respect of Port Trusts are based on the analysis of their budgets. The estimates from this data can be utilized to have further break up at the state level. Most of the investment could be taken as urban investment. For mechanised and non-mechanised road transport, estimation of GFCF has been divided into(i) public sector, (ii) public limited joint stock companies, (iii) household and private limited joint stock companies. The estimates of GFCF in respect of the public sector are based on the analysis of annual reports of the enterprises engaged in the activity. As regards the estimates of public limited joint stock companies, the same are made available by the RBI at all-India level. In respect of the household sector and private limited companies, the estimates of GFCF for the year 1988-89 can be prepared using the Enterprise Survey Results. Using the assumption of constant capital output ratio for this unorganized part of the sector, the 1988-89 estimates for the household sector and private limited companies can be moved to other years with the help of value added from this unorganized activity. For the unallocated part i.e. contributed by (i) and (ii) above which is mostly urban, can be allocated to various states on the basis of a suitable indicator based on finances available to the sector.
Storage
The estimates of GFCF in storage at all-India level are obtained by analyzing the annual reports of central and state warehousing corporations. For the registered part of the storage, the estimates are based on the reports of ASI factory sector. The estimates can be obtained for rural and urban areas for the various states by using the ASI data. In respect of unregistered part, the estimates for the year 1992-93 are obtained from Enterprise Survey Report. The estimates so obtained can then moved forward with the estimates of GVA of unregistered storage sector.
Communication
The estimates of GFCF in communication are being obtained by analyzing the budget documents. The estimates are being prepared by NAD at the state level. Rural Urban break up can be obtained by help of indicator based on new telephones installed, number of new post offices constructed etc.
Financing, Insurance, Real Estate & Business services
Banking & Insurance
The estimates of GFCF in respect of public sector comprising RBI, nationalized banks, financial corporations and insurance companies are obtained on the basis of analysis of their annual reports. Private sector consists of private banks, financial joint stock companies and the cooperative societies. The estimates of GFCF in respect of private banks are compiled from the Statistical Tables Relating to Banks in India (RBI). For financial joint stock companies, the estimates are obtained directly from RBI the same can be broken to states by the help of state level paid up capital for the sector. In case of cooperative societies, the estimates are compiled from 'Statistical Statements relating to Cooperative Movement in India (NABARD)' and the same is available at the state level. NAD is estimating capital formation for the sector at the state level. On the basis of physical indicator based on rural/urban bank offices and the deposits and advances made one can bifurcate the total state level investment into two components of rural and urban investment in the sector for the various states.
Real Estate, Ownership of Dwellings & Business services
The estimates of GFCF in respect of ownership of dwellings in public sector are based on the analysis of budget documents. The state level estimates can be generated and the most of this investment is for urban areas. In respect of real estate and business services sectors, investment is only by private joint stock companies, the estimates of GFCF at the national level are being prepared by using the RBI studies’ of joint stock companies. State level bifurcation can be made on the basis of long term finances being made available for this part of the sector. The investment could be marked for urban areas only. For the household sector, estimates for the year 1991-92 both for rural & urban residential buildings can be prepared on the basis of data contained in AIDIS-1991-92. The same can be carried forward with the indexes of annual additions in the number of residential buildings (obtained from census results) and the cost of building materials (obtained from National Building Organisation).
Community, Social & Personal Services
Public Administration & Defence
The estimates of GFCF in respect of roads & bridges, vehicles, public buildings etc., are based on the analysis of budget documents. Adjustment has been made for additions to plant and machinery used in Public Works Departments (PWDs) on the basis of data on expenditure on plant and machinery in these departments. NAD is estimating the investment at the state level for the sector. Most of the investment is in urban areas except of roads and bridges. The latter investment can be broken in proportion of additional kilometers added to rural/urban roads and bridges.
Other Services
The estimates of GFCF in other services at all-India level are prepared separately for public sector, private corporate sector and household sector. In case of public sector, the estimates are compiled by analysing the budget documents and annual reports. For the private corporate sector, the estimates are made available by the RBI. In case of household and non-household (private limited companies) sectors, the bench mark estimates of GFCF for the services like unrecognised educational institutions, medical and health and other community services can be prepared on the basis of data available in the report of the Enterprise Survey, 1991-92 which can be moved to other years by suitable indicator like GVA (assuming constant output GVA ratio). The estimates, thus generated would be at the state level with rural and urban break up as the basis is the Enterprise Survey Results. The estimate of GFCF for educational institutions (recognised) are obtained from the annual publication 'Education in India'. For the years for which such data are not available, the estimates are carried to other years with the help of GFCF in education of the public sector and are revised when actual data become available.
In order to ensure that at least 50% of the total plan outlay of investment is provided for the Rural Sector, the Planning Commission desires to have estimates of rural-urban break up of investment, as National Accounting System does not reflect rural-urban distribution of actual investments in the economy. The Planning Commission requested Department of Statistics in the year 1990 to develop suitable estimates of rural urban distribution of aggregate investment in the economy after getting recommendation from the Committee of Secretaries in their meeting held on the 9th March 1990. As the states had been quite slow in getting the estimates of capital formation, it was decided that the Department of Statistics would pursue the suggestion made by the Planning Commission regarding devising of suitable indicators/ estimates of rural urban investments in the economy, as part of the national accounting system.
National Accounts Division (NAD) compiles statistics on capital formation by type of assets at the institutional level and by industry of use at all India level only. The state Directorates of Economics & Statistics are having the mandate of preparing the capital formation estimates at the state level. Only a few states have started preparing these estimates. But for the supra regional sectors namely, Public Administration and defence, Railways, Communication and Banking & Insurance, the capital formation estimates of respective states are being supplied to the state Directorates by the Central statistical Organisation (CSO). The states are adopting the estimates for the supra regional sectors prepared by the CSO. At present no breakup to rural and urban investment (Capital Formation) estimates is available officially.
Conceptual Framework and Methodology of Estimation
The methodology of estimation suggested is of bifurcating the existing estimates of Gross Fixed Capital Formation (GFCF) at all India level into the various states by using the available information either directly for some sectors or by using some indicators and then further estimating the rural-urban breakup. The principle used for breaking up at the state level is ownership basis only except for central government investment (GFCF) in fixed assets, which is normally based on location basis. The same principle cannot be adopted for rural-urban breakup in toto. Ideally, the apportioning of capital formation must be done according to the proportion of the benefits from the capital accruing to the rural and urban population, irrespective of the location of the capital. But it is highly difficult to measure these proportions. There are sectors like Agriculture, Forestry, Mining, Khadi & Village Industries etc. which predominantly benefit the rural population. But the other sectors, which benefit both the rural and urban population, cannot be categorised as rural or urban. A practical way to apportion the rural and urban components of capital formation would be to go by the location of capital. Conceptually, the population census definitions is being adopted for an area to be rural or urban.
The present approach adopted by the National Accounts Division for compiling Capital Formation for each of the industry groups viz. Agriculture, Manufacturing, Trade, Transport etc. at the national level is by ‘Expenditure Approach’. Therefore, for the rural urban break up too, we adopt this approach. The other details of the sector wise methodology are as under:
AGRICULTURE
The estimates of GFCF at the national level are prepared separately for public, private corporate and the household sectors. Improvement of land, irrigation works, flood control projects, and purchase of agricultural machinery and implements for experimental forms are various modes of investment in agriculture by the public sector. The public Sector investment in the sector is estimated at the state level by use of budget documents and by using the analysis of annual reports of state/central governments companies (NDCUs) and the returns of local bodies. The main capital expenditure during a year for the sector are made for irrigation, so it could be easily assumed to be in rural areas. The state level bifurcation in case of central government companies can be made along with other unallocated components.
Investment in the sector by the Private Corporate Sector are made mainly by Plantation Companies. The joint stock companies’ investment in the sector are made available at the national level by RBI. The estimates of capital expenditure in respect of tea, coffee and rubber plantations which are mainly in the private corporate sector are prepared on the basis of data on area on extensions and replacements as available in the annual reports of Tea, Coffee and Rubber Boards. Investment of plantation companies can be estimated at the state level by using the indicator based on state level output of tea, coffee & rubber. This investment can be taken to be investment in rural areas. The remaining component of private corporate investment can be bifurcated along with other unallocated components like those of central government companies.
As regards the estimates of fixed capital formation in the household sector, the same are prepared separately for (a) construction and (b) machinery & transport equipment for the bench mark year 1991-92 on the basis of such data available from All India Debt and investment survey (AIDIS), 1991-92 for the households engaged in the farm business. The AIDIS survey gives not only the investment at the state level but also with rural and urban breakup. In case of both construction & machinery & equipment,, the AIDIS rural urban estimates can be moved forward to other years with the combined index of agricultural and livestock value of output superimposed by cost index of rural/urban non-residential buildings and other construction works. At the national level, in case of machinery & transport equipments, the bench-mark year estimates are moved forward with the help of value of capital goods on site of industry group 'Manufacture of agricultural machinery and equipment, and parts'. Its main component i.e. value of products & by-products is available from ASI data. The same is also available at the state level with rural urban break-up. But as the indicator variable is registered sector production at the state level, these cannot be taken as proxy to capital expenditure of the states. The difference in the two procedures would lead to difference in the estimates at the national level and the same could be adjusted prorata in the ratio just arrived.
Increment in Livestock is estimated on the basis of the inter-census growth rates of Livestock data made available by the Livestock Census. The information is available at the state level. Rural-Urban allocation can be made on the basis of information on investment on live stock as available in AIDIS.
For the unallocated components, the allocations can be made to the various states by using the state level proportions of total finances available (Loans direct to formers for development during the year under consideration plus State Domestic Product of the sector). Rural Urban breakup can be made on the basis of rural urban ratio so arrived for the other components collectively.
Forestry & Logging
The forests are mainly owned and operated by the public sector. Only about 5 per cent of the forests are owned by the private sector. The estimates of GFCF in the public sector are obtained by analysing the state budget documents and annual reports of the non-departmental commercial enterprises (NDC). For the state allocation, it could be assumed that the state non-departmental enterprises only have investment in the state in which its registered office is located. As of now, for the sector, only one central NDC is there and it works for Andamam & Nicobar Islands. It could be assumed that the GFCF made by this central undertaking is for this UT. As most of the investment is available through state budgets/annual reports, so the same is available at the state level.. The entire investment in this sector can be taken as rural investment to start with as very little area in metropolitan cities is under forest as could be seen from NSS Report No 407 in respect of Land & Livestock Holding Survey, 1991-92. In respect of private forests no data are available. As such the estimates of the public sector are marked up by 5 per cent to account for the private forests at the national level. State wise apportioning of private investment can be made on the basis of state level information available in the said report No. 407.
Fishing
The estimates of GFCF for the sector are by public bodies as well as by the household sector. The contribution of public sector investment is very small for the sector and the same can be culled out by using annual reports of government companies. Companies’ location can be used to further estimate the State level investment. For the household sector, the estimates can be prepared as net additions to the estimates of capital stock as given for the Indian Livestock census years 1981-82 & 1986-87 using the data on fishing boats etc., available from Indian Livestock Census (ILS) 1982 & 1987 (1992 Census results are not available uniformly for all the states) at the state level with rural urban breakup. The same can be converted at 1993-94 prices by using the prices of mechanised and non-mechanised boats and fishing gears collected from various states. The estimates of capital stock for other years can be arrived at by interpolation/ extrapolation and that of GFCF at 1993-94 prices as annual additions. The estimates of GFCF at current prices can be obtained by superimposing the average index of wholesale prices of (i) timber, (ii) diesel engine and (iii) nylon/terene and mixed cotton. Use of latest ILS can be made once they are made available by the M/O Agriculture.
Mining and quarrying
At all-India level, the estimates of GFCF in the public sector non-departmental enterprises are obtained from the analysis of the annual reports of such enterprises. In respect of the private corporate sector, the estimates are made available directly by the RBI on the basis of their studies of sample joint stock companies published annually in their publication entitled 'Finances of Public and Private Limited Companies'. In case of household sector, the enterprise survey, 1992-93 has been used to have bench mark estimate. By using the growth in output of minor minerals, we have the estimates for the subsequent years. The Public Sector accounts for 97% of the capital formation in this sector and the same are not available at the state level. The state wise rural urban break up can be attempted on the basis of indicator based on long term financial resources made available during the year for the sector, location wise.
Registered manufacturing
The estimates of GFCF are available in the annual data from Annual Survey of Industries (ASI), duly adjusted for non-response on the basis of industry wise data on employment. This source provides data with rural and urban break up at the state level. However, ASI data do not cover defence establishments (e.g. ordnance and clothing factories) and investment in such establishments is comparatively very small. Information relating to the departmental enterprises are received from Ministry of Defence. For non-departmental enterprises, the estimates of fixed capital formation are obtained from the analysis of accounts of these enterprises. It has been noticed that GFCF in case of Public & Private Corporate (Registered) sector is at times at much variance with that of ASI at the national level. At the national level, for these two sectors the independently generated institutional level estimates are being used instead of ASI estimates. The allocation of all-India estimates of capital formation can be made in the same proportion to rural urban areas of various states as obtained for ASI data. For the years for which ASI results are not available, the estimates for the latest year based on ASI can be moved with the help of value of output in registered manufacturing and are to be revised as and when ASI results become available.
Unregistered Manufacturing
It is worth while to use the results thrown by follow up surveys of economic census. We have 1989-90 and 1994-95 surveys for the sector. Using the basic raw data tables can be generated for both the years to have vectors of rural-urban investments (additions during the year) at the state level. All – India estimates can be allocated on the basis of survey proportions at least for the years of the survey. The bench mark year state level estimates can be moved to later years with the help of indicator based on value of output or gross value added in unregistered manufacturing for construction and machinery & equipment assets. One may have to use the rural/urban ratios as available from the latest follow up surveys for the sector.
Construction
The estimates of GFCF in respect of public sector are obtained by analysing the annual reports/budgets. Further break up can be obtained on the basis of location of the enterprise. Construction by the Private Sector companies takes place almost in the urban areas only. At all-India level, for the private corporate sector, the estimates are made available by the RBI directly on the basis of their studies of sample joint stock companies. It can be further broken to state level estimates on the basis of State Paid up capital for the sector plus the loans raised from banks by the sector. In case of household sector, the estimates for the bench-mark year 1993-94 have been prepared, at all-India level, using the capital output ratio worked out from the analysis of reports of some of the private joint stock companies engaged in construction. Similar estimates can be made separately for various state based rural and urban companies. The required estimates can be obtained by using the various years’ output vectors which are being generated as by product by NAD while preparing SDP estimates for the construction sector.
Electricity, gas and water supply
The estimates of GFCF in the public sector are obtained by analysing the budget documents and annual reports of government companies. In respect of private corporate sector, the estimates are made available by the RBI on the basis of their studies of sample joint stock companies. 80% of the investment in this sector is by the public sector. State level estimates for the public sector investment can be estimated by use of information of state budgets and state electricity boards. Rural urban break up can be attempted based on consumption and figures available from CEA (for electricity), municipal authorities etc (for water supply). For the gas sub-sector, apportion can be made by using ASI Data . The private investment and investment by central government companies can be broken to rural and urban state investments by using proportions obtained in ASI data. For bio gas plants, which are generally rural based, can be easily estimated at the state level by using the information on number of bio gas plants installed and the cost of their installation for the various states using data as available from the M/O Non-Conventional Sources of Energy.
Trade, Hotel & Restaurants
Trade
For estimation of GFCF, the sector has been divided into (i) public sector, (ii) public limited joint stock companies, (iii) cooperative societies, and (iv) household and private limited joint stock companies. At the national level, GFCF in public sector is based on the analysis of annual reports etc., of the statutory corporations engaged in trade. Estimates of GFCF in respect of joint stock companies and the cooperative societies are made available by the RBI and the NABARD respectively. Data in respect of cooperative societies is available at state level with rural urban break up. For the household sector and private limited joint stock companies, the estimates of GFCF at state level with rural urban break up for the bench-mark year 1990-91 have been prepared using the Directory Enterprise Survey. Using the assumption of constant capital output ratio for this unorganized part of the trade sector, the 1990-91 estimates for the household sector and private limited companies can be moved to other years with the help of value added from unorganized trade (assuming constant output-GVA ratio). For the unallocated part i.e. contributed by (i) and (ii)above, can be allocated to rural and urban areas of various states on the basis of a suitable indicator based on long term finances available to the sector for the investment
Hotel & Restaurants
For estimation of GFCF the sector could be divided into(i) public sector, (ii) public limited joint stock companies, (iii) household and private limited joint stock companies. The estimates of GFCF at all-India level in respect of the public sector are based on the analysis of annual reports of the enterprises engaged in the activity. As regards the estimates of public limited joint stock companies, the same are made available by the RBI at all-India level. In respect of the household sector and private limited companies, the estimates of GFCF for the year 1988-89 can been prepared using the Directory Enterprise Survey. Using the assumption of constant capital output ratio for this unorganized part of the sector, the 1988-89 estimates for the household sector and private limited companies can be moved to other years with the help of value added from unorganized hotels & restaurants. For the unallocated part i.e. contributed by (i) and (ii) above which is mostly urban, can be allocated to various states on the basis of a suitable indicator based on long term finances available to the sector for capital development.
Transport, Storage & Communication
Railways
Estimates of GFCF for railways can be obtained by analyzing the budget documents. These refer to transport services only and exclude capital employed in railway workshops and manufacturing units and construction activities undertaken by the railways. The latter are to be included in the respective industrial sectors. The estimates are being prepared by NAD already at the state level. Rural/ Urban break up can be obtained by help of indicator based on track renewals, new lines laid and number of railway stations.
Transport by other means
The estimates of GFCF for air transport are compiled by analyzing the annual reports of various public and private Airlines and Helicopter services, Helicopter Corporation of India and International Airport Authority of India (IAAI). For capital employed in aerodromes other than those controlled by IAAI, the estimates are obtained by analyzing the budget documents of the Department of Civil Aviation. Estimates in the case of shipping companies are based on the analysis of annual reports of major shipping companies and Shipping Corporation of India. Estimates of GFCF in respect of Port Trusts are based on the analysis of their budgets. The estimates from this data can be utilized to have further break up at the state level. Most of the investment could be taken as urban investment. For mechanised and non-mechanised road transport, estimation of GFCF has been divided into(i) public sector, (ii) public limited joint stock companies, (iii) household and private limited joint stock companies. The estimates of GFCF in respect of the public sector are based on the analysis of annual reports of the enterprises engaged in the activity. As regards the estimates of public limited joint stock companies, the same are made available by the RBI at all-India level. In respect of the household sector and private limited companies, the estimates of GFCF for the year 1988-89 can be prepared using the Enterprise Survey Results. Using the assumption of constant capital output ratio for this unorganized part of the sector, the 1988-89 estimates for the household sector and private limited companies can be moved to other years with the help of value added from this unorganized activity. For the unallocated part i.e. contributed by (i) and (ii) above which is mostly urban, can be allocated to various states on the basis of a suitable indicator based on finances available to the sector.
Storage
The estimates of GFCF in storage at all-India level are obtained by analyzing the annual reports of central and state warehousing corporations. For the registered part of the storage, the estimates are based on the reports of ASI factory sector. The estimates can be obtained for rural and urban areas for the various states by using the ASI data. In respect of unregistered part, the estimates for the year 1992-93 are obtained from Enterprise Survey Report. The estimates so obtained can then moved forward with the estimates of GVA of unregistered storage sector.
Communication
The estimates of GFCF in communication are being obtained by analyzing the budget documents. The estimates are being prepared by NAD at the state level. Rural Urban break up can be obtained by help of indicator based on new telephones installed, number of new post offices constructed etc.
Financing, Insurance, Real Estate & Business services
Banking & Insurance
The estimates of GFCF in respect of public sector comprising RBI, nationalized banks, financial corporations and insurance companies are obtained on the basis of analysis of their annual reports. Private sector consists of private banks, financial joint stock companies and the cooperative societies. The estimates of GFCF in respect of private banks are compiled from the Statistical Tables Relating to Banks in India (RBI). For financial joint stock companies, the estimates are obtained directly from RBI the same can be broken to states by the help of state level paid up capital for the sector. In case of cooperative societies, the estimates are compiled from 'Statistical Statements relating to Cooperative Movement in India (NABARD)' and the same is available at the state level. NAD is estimating capital formation for the sector at the state level. On the basis of physical indicator based on rural/urban bank offices and the deposits and advances made one can bifurcate the total state level investment into two components of rural and urban investment in the sector for the various states.
Real Estate, Ownership of Dwellings & Business services
The estimates of GFCF in respect of ownership of dwellings in public sector are based on the analysis of budget documents. The state level estimates can be generated and the most of this investment is for urban areas. In respect of real estate and business services sectors, investment is only by private joint stock companies, the estimates of GFCF at the national level are being prepared by using the RBI studies’ of joint stock companies. State level bifurcation can be made on the basis of long term finances being made available for this part of the sector. The investment could be marked for urban areas only. For the household sector, estimates for the year 1991-92 both for rural & urban residential buildings can be prepared on the basis of data contained in AIDIS-1991-92. The same can be carried forward with the indexes of annual additions in the number of residential buildings (obtained from census results) and the cost of building materials (obtained from National Building Organisation).
Community, Social & Personal Services
Public Administration & Defence
The estimates of GFCF in respect of roads & bridges, vehicles, public buildings etc., are based on the analysis of budget documents. Adjustment has been made for additions to plant and machinery used in Public Works Departments (PWDs) on the basis of data on expenditure on plant and machinery in these departments. NAD is estimating the investment at the state level for the sector. Most of the investment is in urban areas except of roads and bridges. The latter investment can be broken in proportion of additional kilometers added to rural/urban roads and bridges.
Other Services
The estimates of GFCF in other services at all-India level are prepared separately for public sector, private corporate sector and household sector. In case of public sector, the estimates are compiled by analysing the budget documents and annual reports. For the private corporate sector, the estimates are made available by the RBI. In case of household and non-household (private limited companies) sectors, the bench mark estimates of GFCF for the services like unrecognised educational institutions, medical and health and other community services can be prepared on the basis of data available in the report of the Enterprise Survey, 1991-92 which can be moved to other years by suitable indicator like GVA (assuming constant output GVA ratio). The estimates, thus generated would be at the state level with rural and urban break up as the basis is the Enterprise Survey Results. The estimate of GFCF for educational institutions (recognised) are obtained from the annual publication 'Education in India'. For the years for which such data are not available, the estimates are carried to other years with the help of GFCF in education of the public sector and are revised when actual data become available.
Friday, December 16, 2011
Drop of Maternal Deaths in India
Office of Registrar General of India (ORGI) estimates reveal fewer women are dying from pregnancy-related causes, but 212 still die per one hundred thousand of live births and much more needs to be done to achieve the set target of National Rural Health Mission which is 100 such deaths per one hundred thousand of live births by the year 2012.
The number of women dying due to complications during pregnancy and childbirth has decreased by 47% from an estimated 398 per one hundred thousand of live child births in 1997-98 to 212 in 2007-09 in case of All India, according to a new Sample Registration Report, 2007-09 released by the ORGI.
The progress is notable, but the annual rate of decline is over three per cent less than what is needed to achieve the target of National Rural Health Mission (NRHM) i.e. by reducing the maternal mortality ratio by 75% between 1997-98 and 2012. This requires an annual decline of 8.8%. The 47% decline since 1997-98 translates into an average annual decline of just over 5.6%.
The data that covers the period from 1997-98 to 2007-09 also highlights the following.
• Only one out of 15 states was having MMR of less than 100 per one hundred thousand live births and that was Gujarat, but now it has deteriorated and MMR is 148 in 2007-09. The other State which deteriorated in this respect over the period is Haryana.
• Only the states of Kerala (81) and Tamil Nadu (97) have MMR of less than 100 in 2007-09.
• The States of Andhra Pradesh, Gujarat, Haryana, Karnataka, Maharastra, Punjab, and West Bengal may also achieve the NRHM target of 100 in respect of MMR.
• The other remaining States are EAG States. The decline in MMR observed over the period for these States are Bihar (6.3%), Madhya Pradesh (4.4%), Uttar Pradesh ( 4.6%), Assam (3.4%) and Orissa (2.6%). As GOI is putting lot many efforts in these States, these States may also come to the level at least in the year 2015 (the terminal year for assessing Millennium Development Goal).
The reduction in maternal death rates in India is encouraging news. States where women are facing a high risk of death during pregnancy or childbirth are taking measures that are proving effective; they are training more midwives, and strengthening hospitals and health centers to assist pregnant women. No woman should die due to inadequate access to family planning and to pregnancy and delivery care that is one of the objectives of NRHM. In order to achieve our goal of improving maternal health and to save women's lives we need to do more to reach those who are most at risk. That means reaching women in rural areas and poorer households, women from ethnic minorities and indigenous groups, and women living with HIV and in conflict zones.
Every birth should be safe and every pregnancy wanted. The lack of maternal health care violates women's rights to life, health, equality, and non-discrimination, but we urgently need to address the shortage of health workers and step up funding for reproductive health services wherever needed most.
Pregnant women still die from four major causes: severe bleeding after childbirth, infections, hypertensive disorders, and unsafe abortion. Maternal deaths are both caused by poverty mainly in India. Given the weak state of health systems in many states, we must work closely with state governments and other partners to strengthen these health systems so that women gain significantly better access to quality family planning and other reproductive health services, skilled health workers at their births, emergency obstetric care, and postnatal care for mothers and newborns. Under NRHM, GOI has increasingly coordinated their assistance to states. Even donor partners namely, WHO, UNICEF, UNFPA and the World Bank are focusing on the states with the greatest burden and help the governments to develop and align their national health plans in order to accelerate progress in maternal and newborn health.
We still need to do more to strengthen national data collection systems. It is vital to support the development of complete and accurate civil registration systems that include births, deaths and causes of death. Every maternal death needs to be counted. Many a times it is the data which may not truly reflect the ground realities.
The number of women dying due to complications during pregnancy and childbirth has decreased by 47% from an estimated 398 per one hundred thousand of live child births in 1997-98 to 212 in 2007-09 in case of All India, according to a new Sample Registration Report, 2007-09 released by the ORGI.
The progress is notable, but the annual rate of decline is over three per cent less than what is needed to achieve the target of National Rural Health Mission (NRHM) i.e. by reducing the maternal mortality ratio by 75% between 1997-98 and 2012. This requires an annual decline of 8.8%. The 47% decline since 1997-98 translates into an average annual decline of just over 5.6%.
The data that covers the period from 1997-98 to 2007-09 also highlights the following.
• Only one out of 15 states was having MMR of less than 100 per one hundred thousand live births and that was Gujarat, but now it has deteriorated and MMR is 148 in 2007-09. The other State which deteriorated in this respect over the period is Haryana.
• Only the states of Kerala (81) and Tamil Nadu (97) have MMR of less than 100 in 2007-09.
• The States of Andhra Pradesh, Gujarat, Haryana, Karnataka, Maharastra, Punjab, and West Bengal may also achieve the NRHM target of 100 in respect of MMR.
• The other remaining States are EAG States. The decline in MMR observed over the period for these States are Bihar (6.3%), Madhya Pradesh (4.4%), Uttar Pradesh ( 4.6%), Assam (3.4%) and Orissa (2.6%). As GOI is putting lot many efforts in these States, these States may also come to the level at least in the year 2015 (the terminal year for assessing Millennium Development Goal).
The reduction in maternal death rates in India is encouraging news. States where women are facing a high risk of death during pregnancy or childbirth are taking measures that are proving effective; they are training more midwives, and strengthening hospitals and health centers to assist pregnant women. No woman should die due to inadequate access to family planning and to pregnancy and delivery care that is one of the objectives of NRHM. In order to achieve our goal of improving maternal health and to save women's lives we need to do more to reach those who are most at risk. That means reaching women in rural areas and poorer households, women from ethnic minorities and indigenous groups, and women living with HIV and in conflict zones.
Every birth should be safe and every pregnancy wanted. The lack of maternal health care violates women's rights to life, health, equality, and non-discrimination, but we urgently need to address the shortage of health workers and step up funding for reproductive health services wherever needed most.
Pregnant women still die from four major causes: severe bleeding after childbirth, infections, hypertensive disorders, and unsafe abortion. Maternal deaths are both caused by poverty mainly in India. Given the weak state of health systems in many states, we must work closely with state governments and other partners to strengthen these health systems so that women gain significantly better access to quality family planning and other reproductive health services, skilled health workers at their births, emergency obstetric care, and postnatal care for mothers and newborns. Under NRHM, GOI has increasingly coordinated their assistance to states. Even donor partners namely, WHO, UNICEF, UNFPA and the World Bank are focusing on the states with the greatest burden and help the governments to develop and align their national health plans in order to accelerate progress in maternal and newborn health.
We still need to do more to strengthen national data collection systems. It is vital to support the development of complete and accurate civil registration systems that include births, deaths and causes of death. Every maternal death needs to be counted. Many a times it is the data which may not truly reflect the ground realities.
Wednesday, December 14, 2011
Celebration of World Population Day
On 11 July 1987 world observed that it has become 5 billion. World Population Day is an outgrowth of this day. The governing council of the United Nations Population Fund (UNFPA) later recommended that 11th July be observed as World Population Day. The UNFPA began observing this day in 1989 as a means to create awareness on the importance of family planning, maternal health, gender equality, poverty and human rights. As per people’s perception, World Population Day is very important as it is the day for discussing the issues of Population Control and this day is very close to the heart of many people and many government and non-government organizations. UNFPA marked the world of 6 billion in 1999 and the day of 7 billion was on the 31st of October this year. Also India had its this decade Census this year only and the same has taken some historic shape.
This year's theme of world population day is, "Seven billion people counting each other". Seven messages have been developed and these focus on young people, women and girls, poverty reduction, reproductive health, environment, ageing populations and urbanization. The theme is a call for action and an opportunity to engage with people about what it means to live in a world of 7 billion and what they can do to ensure that everyone achieves their present and future potentials.
The theme of 2010 World Population Day was – Everyone Counts. This indicate that our population censuses which are the prime source of data in this respect should be given its due importance as data so generated are to be utilized for developmental planning etc. More reliable is the data provided to the planners, better reliable plans are expected. Better implementation of these plans can shape the face of India for betterment. Thus, all the people of India should participate and help in the census and other data collection efforts of the Government in positive manner.
2001 census count was 1029 million (over one billion). Since 2001, Census count showed that the population’s exponential growth rate had fallen below 2 % after three decades. 2011 Census count is 1210 million (with growth rate of 17.64%). The growth in population in India is having downward trend, but still India is the second most populous country in the world after China. India has 17% of the world’s population and has less than 3% of earth’s land area. While the global population has increased 3 times, India has increased its population 5 times during the last century. India’s population is expected to exceed that of China before 2030 to become the most populous country in the world. India is in the middle of demographic transition. Both fertility and mortality are declining, the pace and magnitude of the decline varies across the States. Reasons for high growth rate are:
· Large size of population in the reproductive age group;
· High fertility due to unmet needs for contraception;
· High intended fertility due to high Infant Mortality Rate (IMR).
Rapid fall in the crude death rate (CDR) from 25.1 in 1951 to 7.3 in 2009 occurred because of technological advances and the improved quality and coverage of health care. The reduction in crude birth rate (CBR) has been less steep, declining from 40.8 in 1951 to 22.5 in 2009. As a result, the annual exponential population growth rate has been less than 2 % in the post 1991 and about 1.8% in the post 2001 period. 2001 confirmed that the pace of demographic transition in India has been steady even though it is slow and that the India has joined China as the population billionaire. The population for the year 2011 is about 1210 million with sex ratio of 940.
The population of India in the year 1901 i.e., at the turn of the twentieth century, was only around 238 million and increased by over four times to reach 1029 million by 2001. The population grew by one and half times in the first half of the twentieth century, while in the next fifty years it recorded a three-fold increase. Out of this increase, 85% has occurred during the second half of the century. This rapid growth of population since 1951 can be attributed to rapid reductions in the death rates because of communicable diseases like small pox, cholera, plague, malaria and respiratory diseases and in this respect has to be viewed as a grand success. In absolute terms, the population of India during the decade 1991-2001 increased by a 180.6 million, more than the estimated population of Brazil, the fifth most populous country in the world. However, there are large interstate differentials in the achievement stated above. The population has been added in large proportion by the states of Bihar, Haryana, Rajasthan, Madhya Pradesh and Uttar Pradesh. Even today a large proportion of population increase in India’s population is contributed by these five Hindi speaking states. Since 1951, the rate of increase in the population could have been much higher if the birth rate was not steadily declining over the years after early seventies. There was very good downward trend in the decline of birth rate for the states of Andhra Pradesh, Kerala, Karnataka, Tamil Nadu, Goa, West Bengal, Maharashtra, Gujarat and Punjab. The decline of fertility was across all the states since 1991. However, the pace of decline is still very slow in the big five states: Bihar, Madhya Pradesh, Rajasthan, Uttar Pradesh and Haryana. Because of the continuing high birth rates and death rates remaining like those of other states i.e. not very significantly different, the growth rates in population of these states is also pretty high.
The total fertility rate show also a downward trend as seen through various rounds of NFHS as it was 3.39 in 1992-93 (NFHS-I), 2.85 in 1998-99 (NFHS-II) and 2.68 in the year 2005-06 (NFHS-III). The total fertility rate (TFR) is a more direct measure of the level of fertility than the crude birth rate, since it refers to births per woman. This indicator shows the potential for population change in the country. A rate of two children per woman is considered the replacement rate for a population, resulting in relative stability in terms of total numbers. Rates above two children indicate populations growing in size and whose median age is declining. Higher rates may also indicate difficulties for families, in some situations, to feed and educate their children and for women to enter the labor force. Rates below two children indicate populations decreasing in size and growing older. Global fertility rates are in general decline and this trend is most pronounced in industrialized countries, especially Western Europe, where populations are projected to decline dramatically over the next 50 years. The population projection exercise shows that by 2026 India’s population would reach 1.40 billion. It is only after 2021 the population growth is expected to be below 1%. All India total fertility rate is expected to reach replacement level by 2021. The slow pace of fertility transition in Bihar, Madhya Pradesh, Rajasthan and Uttar Pradesh is a cause of concern.
One of the major consequences of population growth is the increase in the population density. In the last hundred years population density has increased from 77/sq.km to 325/sq.km. The Malthusian assumption that population growth will lead to overcrowding, poverty, under nutrition, environmental deterioration, poor quality of life and increase in disease burden has been challenged in the last few decades. The East Asian countries have shown that population can be a major resource for economic growth. India currently faces a window of opportunity during demographic transition when there is increase among younger, better-educated, well-nourished and healthy population. If the country successfully faces the challenge of providing education, appropriate employment with adequate remuneration, promoting healthy life styles, improving access to and utilization of available social services it is possible for the country to achieve rapid economic growth and improvement in quality of life.
Once again I will like to emphasise that we should commit ourselves for successful participation in the census and other data collection efforts of the Government – as Everyone Counts.
This year's theme of world population day is, "Seven billion people counting each other". Seven messages have been developed and these focus on young people, women and girls, poverty reduction, reproductive health, environment, ageing populations and urbanization. The theme is a call for action and an opportunity to engage with people about what it means to live in a world of 7 billion and what they can do to ensure that everyone achieves their present and future potentials.
The theme of 2010 World Population Day was – Everyone Counts. This indicate that our population censuses which are the prime source of data in this respect should be given its due importance as data so generated are to be utilized for developmental planning etc. More reliable is the data provided to the planners, better reliable plans are expected. Better implementation of these plans can shape the face of India for betterment. Thus, all the people of India should participate and help in the census and other data collection efforts of the Government in positive manner.
2001 census count was 1029 million (over one billion). Since 2001, Census count showed that the population’s exponential growth rate had fallen below 2 % after three decades. 2011 Census count is 1210 million (with growth rate of 17.64%). The growth in population in India is having downward trend, but still India is the second most populous country in the world after China. India has 17% of the world’s population and has less than 3% of earth’s land area. While the global population has increased 3 times, India has increased its population 5 times during the last century. India’s population is expected to exceed that of China before 2030 to become the most populous country in the world. India is in the middle of demographic transition. Both fertility and mortality are declining, the pace and magnitude of the decline varies across the States. Reasons for high growth rate are:
· Large size of population in the reproductive age group;
· High fertility due to unmet needs for contraception;
· High intended fertility due to high Infant Mortality Rate (IMR).
Rapid fall in the crude death rate (CDR) from 25.1 in 1951 to 7.3 in 2009 occurred because of technological advances and the improved quality and coverage of health care. The reduction in crude birth rate (CBR) has been less steep, declining from 40.8 in 1951 to 22.5 in 2009. As a result, the annual exponential population growth rate has been less than 2 % in the post 1991 and about 1.8% in the post 2001 period. 2001 confirmed that the pace of demographic transition in India has been steady even though it is slow and that the India has joined China as the population billionaire. The population for the year 2011 is about 1210 million with sex ratio of 940.
The population of India in the year 1901 i.e., at the turn of the twentieth century, was only around 238 million and increased by over four times to reach 1029 million by 2001. The population grew by one and half times in the first half of the twentieth century, while in the next fifty years it recorded a three-fold increase. Out of this increase, 85% has occurred during the second half of the century. This rapid growth of population since 1951 can be attributed to rapid reductions in the death rates because of communicable diseases like small pox, cholera, plague, malaria and respiratory diseases and in this respect has to be viewed as a grand success. In absolute terms, the population of India during the decade 1991-2001 increased by a 180.6 million, more than the estimated population of Brazil, the fifth most populous country in the world. However, there are large interstate differentials in the achievement stated above. The population has been added in large proportion by the states of Bihar, Haryana, Rajasthan, Madhya Pradesh and Uttar Pradesh. Even today a large proportion of population increase in India’s population is contributed by these five Hindi speaking states. Since 1951, the rate of increase in the population could have been much higher if the birth rate was not steadily declining over the years after early seventies. There was very good downward trend in the decline of birth rate for the states of Andhra Pradesh, Kerala, Karnataka, Tamil Nadu, Goa, West Bengal, Maharashtra, Gujarat and Punjab. The decline of fertility was across all the states since 1991. However, the pace of decline is still very slow in the big five states: Bihar, Madhya Pradesh, Rajasthan, Uttar Pradesh and Haryana. Because of the continuing high birth rates and death rates remaining like those of other states i.e. not very significantly different, the growth rates in population of these states is also pretty high.
The total fertility rate show also a downward trend as seen through various rounds of NFHS as it was 3.39 in 1992-93 (NFHS-I), 2.85 in 1998-99 (NFHS-II) and 2.68 in the year 2005-06 (NFHS-III). The total fertility rate (TFR) is a more direct measure of the level of fertility than the crude birth rate, since it refers to births per woman. This indicator shows the potential for population change in the country. A rate of two children per woman is considered the replacement rate for a population, resulting in relative stability in terms of total numbers. Rates above two children indicate populations growing in size and whose median age is declining. Higher rates may also indicate difficulties for families, in some situations, to feed and educate their children and for women to enter the labor force. Rates below two children indicate populations decreasing in size and growing older. Global fertility rates are in general decline and this trend is most pronounced in industrialized countries, especially Western Europe, where populations are projected to decline dramatically over the next 50 years. The population projection exercise shows that by 2026 India’s population would reach 1.40 billion. It is only after 2021 the population growth is expected to be below 1%. All India total fertility rate is expected to reach replacement level by 2021. The slow pace of fertility transition in Bihar, Madhya Pradesh, Rajasthan and Uttar Pradesh is a cause of concern.
One of the major consequences of population growth is the increase in the population density. In the last hundred years population density has increased from 77/sq.km to 325/sq.km. The Malthusian assumption that population growth will lead to overcrowding, poverty, under nutrition, environmental deterioration, poor quality of life and increase in disease burden has been challenged in the last few decades. The East Asian countries have shown that population can be a major resource for economic growth. India currently faces a window of opportunity during demographic transition when there is increase among younger, better-educated, well-nourished and healthy population. If the country successfully faces the challenge of providing education, appropriate employment with adequate remuneration, promoting healthy life styles, improving access to and utilization of available social services it is possible for the country to achieve rapid economic growth and improvement in quality of life.
Once again I will like to emphasise that we should commit ourselves for successful participation in the census and other data collection efforts of the Government – as Everyone Counts.
Wednesday, December 7, 2011
Output Measurement of Social Science Departments of Universities of India
Introduction
Research in a university speaks of the fertile minds and an environment of intellectual interaction in the university’s social science literature is expanding very fast. Quantitative research provides a pedestal to any university. A University in any country is formed by the Government or autonomous body or by a group of private professionals. The Government of India is responsible for arranging, allocating and distributing financial resources required by the University Grants Commission (UGC) for the establishment of various Universities in India for imparting higher education in India. Many universities are being aided by State Governments also. But all most all such aided universities are mainly governed autonomously by grants through UGC. There are a few institutes of national importance too who are mainly funded by Central Government. There are also quite a few institutions and deemed universities which are governed by educational trusts. Some colleges/institutes are also imparting higher professional education which are governed by private funds. Currently there are over forty Central Universities in India which have been established by an Act of the Indian Parliament. The higher education system in India being one of the largest in the world, the responsibility rests on the Central Government to devise policies with a view to improving the quality of higher education in India. Barring few universities and few professional institutes, most are having one or many Social Science Departments. Central government has also established Indian Council of Social Science Research (ICSSR) for the development of Research in various social sciences. The various social sciences considered by this council are : (i) Economics / Commerce / Management / Business Administration; (ii) Sociology and Social Anthropology / Social Work / Demography / Gender Studies; (iii) Political Science / International Relations / Geography / Public Administration; (iv) Psychology / Education /Criminology; (v) Other-Linguistics / Law etc. The present study attempts to find out the quantum of various types of output of Social Science faculty of the Various listed social science departments of the various Indian Universities/Institutes and how these are explained by financial and human resources available with the respective departments. The various types of outputs of a university social science department considered are grouped broadly under three categories and input indicators are grouped under two categories. For the Output Indicators the Broad Categories are: Academic, Research and Others including Administrative whereas Input Indicators are grouped under the categories of Human Resources and Financial Resources.
Evaluation of output in the form of papers published in pear reviewed journals in terms of the journal’s impact factors can be computed easily. Also their clubbing is feasible and one department can be compared with other department within the university and also one can have total impact factor contributed by such research papers of the various Universities/institutes/schools. A methodology is herby suggested/evolved through appropriate indicators which find the quantitative measures for other types of Output. As these measures are also have to be combined so that all the outputs are being placed on the same platform for various departments of the same university and these universities can be ranked objectively on the basis of total output, a proper weighting diagram should be obtained to have appropriate indices. The linkage of the clubbed output with the resources available with the universities can also be used objectively so that one may allocate the financial resource to the various universities for getting the more equitable output for much more progress in the social science departments of the Universities/Institutes.
Objectives of a study
1. To access the Research and Development in Social Science in Higher Education Institutes/Universities
2. To study the research trend in the various social science subjects for the various Universities/Institutes.
3. For each of the years under consideration and also for the last decade
2.1 Inter and Intra Ranking of Various Social Science Departments;
3.1 Ranking of Universities/Institutes for the overall index;
3.2 Ranking of Universities/Institutes in respect of papers in peer reviewed journals.
4. Interrelating the output of the Departments/ Universities with the input parameters so that one may use the same in order to allocate the financial resource objectively to the various universities for getting the more equitable output for much more progress in the social science departments of the Universities/institutes.
For the purpose of this study, the Social Science Departments considered are:
Economics; Commerce; Management; Business Administration; Sociology; Social Anthropology; Social Work; Demography; Gender Studies; Political Science; International Relations; Geography; Public Administration; Psychology; Education; Criminology; Other-Linguistics and Law
Secondary data review can be carried in order to short list the above list of higher education in Social Science by selecting those who are having one or more of the above mentioned social science departments. Faculty in position in the Social Science Departments of all the listed Universities/Institutes can be obtained.
Possible Methodology
In order to access the outputs of the various social science departments of the Universities/Institutes and which may correspond to the financial and human resources as inputs, the following list of indicators can be considered. The list also provides the corresponding data source for each and every indicator mentioned. Years of investigations can be from 2001 to 2010. A Questionnaire can be devised to seek the values of indicators directly from the Faculty/Research/Project/Library Staff and also by use of Administrative records of the Departments and/or University.
List of Output /Input Indicators and the Source of Data
S.No. Academic Output Indicators(Source of Data)
1. Number of students passed postgraduate course
1.1 Total number of students enrolled for postgraduate course (From Administrative Records)
1.2 Total Number of students passed (From Administrative Records)
1.3 No passed with more than 75% (From Administrative Records)
1.4 No passed with more than 60% and less than 75%
(From Administrative Records)
1.5 No passed with marks between 50% and 60%
(From Administrative Records)
2. Examination Related Work
2.1 Setting (Number) of Papers in a Year (From Administrative Records)
2.2 Number of Papers checked in a Year (From Administrative Records)
3. External Examiner
3.1 Number of external Ph.D. /D.Sc. Students examined (Census of Faculty)
3.2 Number of external M.Phil. Students examined (Census of Faculty)
3.3 Number of external Postgraduate Students examined for Practical (Census of Faculty)
4. Books published by faculty
4.1
Sale proceeds of the books published during the reference year (Census of Faculty)
4.2 Sale proceeds of the books published till the preceding to the reference year (Census of Faculty)
4.3 Number of times the books published during the current year issued by the library (From Libraries)
4.4 Number of times the books published up to the current year issued by the library (From Libraries)
4.5 Number/ Value of Books sold to the various Libraries (From Publishers)
4.6 Number/ Value of Books sold to the actual users (From Publishers)
5. Workshops organized by the department
5.1 Number of presentations made by the faculty of the department in Workshops (Census of Faculty)
5.2 Total number attended the Workshops (From Administrative Records)
6. Workshops organized by the departments of other universities/institutes
6.1 Number of presentations made by the faculty of the department in Workshops organized by others (Census of Faculty)
6.2 Total number attended the Workshops organized by others (Census of Faculty)
7. Papers Published in peer reviewed journals
7.1 Number of papers published in peer reviewed journals (having Impact factor) by faculty and students either jointly or singly (Census of Faculty/Research Students)
7.2 Impact Factor of various peer reviewed journals (The peer reviewed journals)
8. Seminars organized by the department
8.1 Number of papers presented by the faculty of the department in Seminars (Census of Faculty)
8.2 Total number attended the Seminars (From Administrative Records)
9. Seminars organized by the other universities/institutes
9.1 Number of papers presented by the faculty of the department in Seminars organized by others (Census of Faculty)
9.2 Total number attended the Seminars organized by others (Census of Faculty)
10. Number of students completed PhD/ D.Sc. during the current year (From Administrative Records)
11. Number of Students awarded M.Phil. during the current year (From Administrative Records)
S.No. Administrative and Other Output Indicators (Source of Data)
12. Administrative Work in Number of Hours in a Year (Census of Faculty)
13. Examination Related Work
13.1 Invigilation Work in Number of days in a Year (Census of Faculty)
13.2 Coding/decoding, result preparation etc. work in Number of days in a Year (Census of Faculty)
14. Number of Other technical publications by department (Census of Faculty)
15. Technical projects completed/ ongoing by department
15.1 Number of Technical projects completed during the current year (From Administrative Records)
15.2 Value of Technical projects completed during the current year (From Administrative Records)
15.3 Number of Technical projects on going during the current year (From Administrative Records)
15.4 Value of Technical projects on going during the current year (From Administrative Records)
16. Data Bases Created/ Being Created
16.1 Number of Data Bases Created (From Administrative Records)
16.2 Sale proceeds of these data bases (From Administrative Records)
16.3 Number of Data Bases Being Created (From Administrative Records)
17. Consultancy projects completed/ ongoing by various faculty
17.1 Number of Consultancy projects completed during the current year (Census of Faculty)
17.2 Value of Consultancy projects completed during the current year (Census of Faculty)
17.3 Number of Consultancy projects on going during the current year (Census of Faculty)
17.4 Value of Consultancy projects on going during the current year (Census of Faculty)
18. Number of other articles published in newspapers/magazines/others (Census of Faculty)
S.No. Input Human Resources Indicators (Source of Data)
19. Number of Professors in the department (From Administrative Records)
20. Number of Associate Professors in the department (From Administrative Records)
21. Number of Assistant Professors in the department (From Administrative Records)
22. Number of other faculties in the department (From Administrative Records)
23. Number of other research staff in the department (From Administrative Records)
24. Number of other non-teaching staff supporting
research/ project and consultancy activities in
the department (From Administrative Records)
Input Financial Resources Indicators (Source of Data)
25. Regular Funds for salaries and other heads of account (From Administrative Records)
26. Funds for projects (From Administrative Records)
27. Funds for consultancy (From Administrative Records and/or Faculty Census)
28. Royalties (From Administrative Records and/or Faculty Census)
29. Plan Funds (From Administrative Records)
30. Other Grants including own Resources (From Administrative Records and/or Faculty Census)
Additionally, faculty wise interviews to access their time use and importance to various activities of the Department can also be obtained through the Questionnaire. Satisfaction Level also needs to be ascertained from the Faculty of the Social Science Departments through the Questionnaire. The Part Questionnaire can also be devised to access the information regarding Importance of various activities as per prominent Policy Makers and management of the Social Science Departments and /or Universities. This data would be utilized to have weights for clubbing or for constructing various indices –for the various output groups and overall. After the data collection, the data analysis can be carried in order to meet the objectives of the study.
Research in a university speaks of the fertile minds and an environment of intellectual interaction in the university’s social science literature is expanding very fast. Quantitative research provides a pedestal to any university. A University in any country is formed by the Government or autonomous body or by a group of private professionals. The Government of India is responsible for arranging, allocating and distributing financial resources required by the University Grants Commission (UGC) for the establishment of various Universities in India for imparting higher education in India. Many universities are being aided by State Governments also. But all most all such aided universities are mainly governed autonomously by grants through UGC. There are a few institutes of national importance too who are mainly funded by Central Government. There are also quite a few institutions and deemed universities which are governed by educational trusts. Some colleges/institutes are also imparting higher professional education which are governed by private funds. Currently there are over forty Central Universities in India which have been established by an Act of the Indian Parliament. The higher education system in India being one of the largest in the world, the responsibility rests on the Central Government to devise policies with a view to improving the quality of higher education in India. Barring few universities and few professional institutes, most are having one or many Social Science Departments. Central government has also established Indian Council of Social Science Research (ICSSR) for the development of Research in various social sciences. The various social sciences considered by this council are : (i) Economics / Commerce / Management / Business Administration; (ii) Sociology and Social Anthropology / Social Work / Demography / Gender Studies; (iii) Political Science / International Relations / Geography / Public Administration; (iv) Psychology / Education /Criminology; (v) Other-Linguistics / Law etc. The present study attempts to find out the quantum of various types of output of Social Science faculty of the Various listed social science departments of the various Indian Universities/Institutes and how these are explained by financial and human resources available with the respective departments. The various types of outputs of a university social science department considered are grouped broadly under three categories and input indicators are grouped under two categories. For the Output Indicators the Broad Categories are: Academic, Research and Others including Administrative whereas Input Indicators are grouped under the categories of Human Resources and Financial Resources.
Evaluation of output in the form of papers published in pear reviewed journals in terms of the journal’s impact factors can be computed easily. Also their clubbing is feasible and one department can be compared with other department within the university and also one can have total impact factor contributed by such research papers of the various Universities/institutes/schools. A methodology is herby suggested/evolved through appropriate indicators which find the quantitative measures for other types of Output. As these measures are also have to be combined so that all the outputs are being placed on the same platform for various departments of the same university and these universities can be ranked objectively on the basis of total output, a proper weighting diagram should be obtained to have appropriate indices. The linkage of the clubbed output with the resources available with the universities can also be used objectively so that one may allocate the financial resource to the various universities for getting the more equitable output for much more progress in the social science departments of the Universities/Institutes.
Objectives of a study
1. To access the Research and Development in Social Science in Higher Education Institutes/Universities
2. To study the research trend in the various social science subjects for the various Universities/Institutes.
3. For each of the years under consideration and also for the last decade
2.1 Inter and Intra Ranking of Various Social Science Departments;
3.1 Ranking of Universities/Institutes for the overall index;
3.2 Ranking of Universities/Institutes in respect of papers in peer reviewed journals.
4. Interrelating the output of the Departments/ Universities with the input parameters so that one may use the same in order to allocate the financial resource objectively to the various universities for getting the more equitable output for much more progress in the social science departments of the Universities/institutes.
For the purpose of this study, the Social Science Departments considered are:
Economics; Commerce; Management; Business Administration; Sociology; Social Anthropology; Social Work; Demography; Gender Studies; Political Science; International Relations; Geography; Public Administration; Psychology; Education; Criminology; Other-Linguistics and Law
Secondary data review can be carried in order to short list the above list of higher education in Social Science by selecting those who are having one or more of the above mentioned social science departments. Faculty in position in the Social Science Departments of all the listed Universities/Institutes can be obtained.
Possible Methodology
In order to access the outputs of the various social science departments of the Universities/Institutes and which may correspond to the financial and human resources as inputs, the following list of indicators can be considered. The list also provides the corresponding data source for each and every indicator mentioned. Years of investigations can be from 2001 to 2010. A Questionnaire can be devised to seek the values of indicators directly from the Faculty/Research/Project/Library Staff and also by use of Administrative records of the Departments and/or University.
List of Output /Input Indicators and the Source of Data
S.No. Academic Output Indicators(Source of Data)
1. Number of students passed postgraduate course
1.1 Total number of students enrolled for postgraduate course (From Administrative Records)
1.2 Total Number of students passed (From Administrative Records)
1.3 No passed with more than 75% (From Administrative Records)
1.4 No passed with more than 60% and less than 75%
(From Administrative Records)
1.5 No passed with marks between 50% and 60%
(From Administrative Records)
2. Examination Related Work
2.1 Setting (Number) of Papers in a Year (From Administrative Records)
2.2 Number of Papers checked in a Year (From Administrative Records)
3. External Examiner
3.1 Number of external Ph.D. /D.Sc. Students examined (Census of Faculty)
3.2 Number of external M.Phil. Students examined (Census of Faculty)
3.3 Number of external Postgraduate Students examined for Practical (Census of Faculty)
4. Books published by faculty
4.1
Sale proceeds of the books published during the reference year (Census of Faculty)
4.2 Sale proceeds of the books published till the preceding to the reference year (Census of Faculty)
4.3 Number of times the books published during the current year issued by the library (From Libraries)
4.4 Number of times the books published up to the current year issued by the library (From Libraries)
4.5 Number/ Value of Books sold to the various Libraries (From Publishers)
4.6 Number/ Value of Books sold to the actual users (From Publishers)
5. Workshops organized by the department
5.1 Number of presentations made by the faculty of the department in Workshops (Census of Faculty)
5.2 Total number attended the Workshops (From Administrative Records)
6. Workshops organized by the departments of other universities/institutes
6.1 Number of presentations made by the faculty of the department in Workshops organized by others (Census of Faculty)
6.2 Total number attended the Workshops organized by others (Census of Faculty)
7. Papers Published in peer reviewed journals
7.1 Number of papers published in peer reviewed journals (having Impact factor) by faculty and students either jointly or singly (Census of Faculty/Research Students)
7.2 Impact Factor of various peer reviewed journals (The peer reviewed journals)
8. Seminars organized by the department
8.1 Number of papers presented by the faculty of the department in Seminars (Census of Faculty)
8.2 Total number attended the Seminars (From Administrative Records)
9. Seminars organized by the other universities/institutes
9.1 Number of papers presented by the faculty of the department in Seminars organized by others (Census of Faculty)
9.2 Total number attended the Seminars organized by others (Census of Faculty)
10. Number of students completed PhD/ D.Sc. during the current year (From Administrative Records)
11. Number of Students awarded M.Phil. during the current year (From Administrative Records)
S.No. Administrative and Other Output Indicators (Source of Data)
12. Administrative Work in Number of Hours in a Year (Census of Faculty)
13. Examination Related Work
13.1 Invigilation Work in Number of days in a Year (Census of Faculty)
13.2 Coding/decoding, result preparation etc. work in Number of days in a Year (Census of Faculty)
14. Number of Other technical publications by department (Census of Faculty)
15. Technical projects completed/ ongoing by department
15.1 Number of Technical projects completed during the current year (From Administrative Records)
15.2 Value of Technical projects completed during the current year (From Administrative Records)
15.3 Number of Technical projects on going during the current year (From Administrative Records)
15.4 Value of Technical projects on going during the current year (From Administrative Records)
16. Data Bases Created/ Being Created
16.1 Number of Data Bases Created (From Administrative Records)
16.2 Sale proceeds of these data bases (From Administrative Records)
16.3 Number of Data Bases Being Created (From Administrative Records)
17. Consultancy projects completed/ ongoing by various faculty
17.1 Number of Consultancy projects completed during the current year (Census of Faculty)
17.2 Value of Consultancy projects completed during the current year (Census of Faculty)
17.3 Number of Consultancy projects on going during the current year (Census of Faculty)
17.4 Value of Consultancy projects on going during the current year (Census of Faculty)
18. Number of other articles published in newspapers/magazines/others (Census of Faculty)
S.No. Input Human Resources Indicators (Source of Data)
19. Number of Professors in the department (From Administrative Records)
20. Number of Associate Professors in the department (From Administrative Records)
21. Number of Assistant Professors in the department (From Administrative Records)
22. Number of other faculties in the department (From Administrative Records)
23. Number of other research staff in the department (From Administrative Records)
24. Number of other non-teaching staff supporting
research/ project and consultancy activities in
the department (From Administrative Records)
Input Financial Resources Indicators (Source of Data)
25. Regular Funds for salaries and other heads of account (From Administrative Records)
26. Funds for projects (From Administrative Records)
27. Funds for consultancy (From Administrative Records and/or Faculty Census)
28. Royalties (From Administrative Records and/or Faculty Census)
29. Plan Funds (From Administrative Records)
30. Other Grants including own Resources (From Administrative Records and/or Faculty Census)
Additionally, faculty wise interviews to access their time use and importance to various activities of the Department can also be obtained through the Questionnaire. Satisfaction Level also needs to be ascertained from the Faculty of the Social Science Departments through the Questionnaire. The Part Questionnaire can also be devised to access the information regarding Importance of various activities as per prominent Policy Makers and management of the Social Science Departments and /or Universities. This data would be utilized to have weights for clubbing or for constructing various indices –for the various output groups and overall. After the data collection, the data analysis can be carried in order to meet the objectives of the study.
Concept Paper On Contribution of Research and Development to GDP
Introduction
There had been discussions at the National as well as at the International level regarding the issue whether Expenditures on Research and Development (R&D) is current consumption or intermediate consumption or could it be treated as Investment in the economy. The present structure of the Indian national accounts treats the R&D expenditures as intermediate consumption for the manufacturing or business enterprises and for the Government’s and non-profit institutions serving households such expenditures are treated as consumption expenditure. There had been discussions at the international forums since long on the treatment which R&D expenditures incurred by various institutions should get for working out macro aggregates of a national economy. Off late, UN System of National Accounts (SNA) in its latest version of the year 2008 has accepted the fact that the output of research and development should be capitalized as “intellectual property products” except in cases where it is clear that the activity does not entail any economic benefit to its producer (and hence owner) in which case it is treated as intermediate consumption.
If R&D is treated as investment rather than current expenditure, then this treatment of R&D expenditures is a step toward producing more comprehensive and accurate measures of gross domestic product (GDP), gross domestic capital formation/ investment (GDCF), and national savings. This treatment also allows for better identification of the variables that are important to a sources-of-growth analysis and, therefore, the determination of the contribution of R&D to economic growth.
UN SNA 93 and Present Status of R&D Expenditures in Indian National Accounts
The Indian national accounts is primarily based on UN SNA 68 and a few amended aspects of UN SNA 93. As per SNA 93, R&D expenditures are not recognized as Gross Fixed Capital Formation (GFCF) despite the fact that the Manual recognizes that they are inherently investment in nature. The 1993 SNA recognized that research and development is undertaken with the objective of improving efficiency or productivity, or deriving other future benefits. However, although these characteristics have the nature of investment activities, research and development was treated as part of intermediate consumption. It was recommended, though, that it should not be treated as an ancillary activity but that a separate establishment should be identified as secondary activity.
The SNA 93 recognizes patents as assets (called “patented entities”) but they are not produced and thus appear, as a miracle, in the other change in volume account, and not through GFCF. Overall, the SNA 93 recognizes those assets created by R&D which generate a monetary flow between units (copyrights on patents), but denies their connection with R&D production, and does not recognize at all R&D assets whose services are consumed by their owners. However, the SNA 93 was a progress compared to the SNA 68 in the fact that monetary flows associated with patents are recorded in SNA 93 as income from sales of a service, rather than property income. Clearly, the authors of the 1993 SNA thought that patents were produced assets but backed from going to the end of the rationale. Treatment of R&D expenditures in Indian National Accounts is part of intermediate consumption for the manufacturing sector or Non Departmental Commercial Undertakings of the Government or Private corporate Sector or incorporating enterprises of the Household sector. Thus, it does not form part of GDP and of GFCF. For the General Government or Departmental Commercial Undertakings spending on R&D, the treatment is to identify this as consumption expenditure, so it does not form part of GCF, but is taken as part of GDP. The same should be true for non-profit institutions serving households, but as such they are taken as part of Household sector at present and it is not at all clear what treatment R&D expenditures get for this sector.
UN System of National Accounts, 2008
In the 2008 SNA the activity of research and development is not treated as an ancillary activity. The output of research and development should be capitalized as “intellectual property products” except in cases where it is clear that the activity does not entail any economic benefit to its producer (and hence owner) in which case it is treated as intermediate consumption. With the inclusion of research and development in the asset boundary, the 1993 SNA asset category of patented entities as a form of non-produced assets disappears and is replaced by research and development under fixed assets.
In order to treat R&D in this way, several issues have to be addressed. These include deriving measures of research and development, price indices and service lives. Specific guidelines, together with handbooks on methodology and practice, will provide a useful way of working towards solutions that give the appropriate level of confidence in the resulting measures.
Treatment of research and development giving rise to produced assets has removed the 1993 SNA inconsistency System of National Accounts of treating the patented entities as non-produced assets but treating royalty payments as payments for services. Research and development is no longer treated as intermediate consumption but in most cases as fixed capital formation. Research and development is now treated as fixed capital formation in most cases.
Certain activities, although common, are not so common as to be considered ancillary. Many enterprises produce their own machinery and equipment, build their own structures and carry out their own research and development. These activities are not to be treated as ancillary, whether carried out centrally or not, as they are not found frequently and extensively in all kinds of enterprises, small as well as large.
Reasoning Behind Recommendations of SNA 2008 regarding R&D Expenditures as Investment or Intermediate Consumption and other relevant issues
Research and development is a creative work undertaken on a systematic basis to increase the stock of knowledge, and use this stock of knowledge for the purpose of discovering or developing new products, including improved versions or qualities of existing products, or discovering or developing new or more efficient processes of production. Research and development is not an ancillary activity, and a separate establishment should be distinguished for it when possible. The research and development undertaken by market producers on their own behalf should, in principle, be valued on the basis of the estimated basic prices that would be paid if the research were subcontracted commercially, but in practice is likely to have to be valued on the basis of the total production costs including the costs of fixed assets used in production. Research and development undertaken by specialized commercial research laboratories or institutes is valued by receipts from sales, contracts, commissions, fees, etc. in the usual way. Research and development undertaken by government units, universities, non-profit research institutes, etc. is non market production and is valued on the basis of the total costs incurred excluding a return to capital used. The activity of research and development is different from teaching and is to be classified separately. In principle, the two activities ought to be distinguished from each other when undertaken within a university or other institute of higher education, although there may be considerable practical difficulties when the same staff divide their time between both activities. There may also be interaction between teaching and research which makes it difficult to separate them, even conceptually, in some cases.
Research and [experimental] development consists of the value of expenditures on creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and use of this stock of knowledge to devise new applications. This does not extend to including human capital as assets within the SNA. The value of research and development (R&D) should be determined in terms of the economic benefits it is expected to provide in the future. This includes the provision of public services in the case of R&D acquired by government. In principle, R&D that does not provide an economic benefit to its owner does not constitute a fixed asset and should be treated as intermediate consumption. Unless the market value of the R&D is observed directly, it may, by convention, be valued at the sum of costs, including the cost of unsuccessful R&D
With the inclusion of R&D expenditure as capital formation, patented entities no longer feature as assets in the SNA. The patent agreement is to be seen instead as the legal agreement concerning the terms on which access to the R&D is granted. The patent agreement is a form of license to use which is treated as giving rise to payments for services or the acquisition of an asset.
The fixed asset boundary of the SNA has been expanded to include the output of research and experimental development (R&D) that meets the general definition of an asset. It is evident that R&D captures part, but not all, of the innovation process. It may exclude many expenditures by the production and engineering departments of an enterprise. These same departments may also be responsible for identifying a potential new product and referring it to the R&D department to develop the science behind it. In addition, an enterprise may incur other expenditures before a new product goes to market. These include market research to determine the demand for a new product and marketing expenditures to promote it.
Goods or services used for own gross fixed capital formation can be produced by any kind of enterprise, whether corporate or unincorporated. They include, for example, the special machine tools produced for their own use by engineering enterprises, or dwellings, or extensions to dwellings, produced by households. A wide range of construction activities may be undertaken for the purpose of own gross fixed capital formation in rural areas in some countries, including communal construction activities undertaken by groups of households. In addition, intellectual property products such as R&D and software products may be produced on own account.
The 2008 SNA recommends that the output of research and development should be valued at market prices if purchased (outsourced) or at the sum of total production costs plus an appropriate mark-up representing the costs of fixed assets used in production if undertaken on own account.
Research and development expenditure carried out on contract is valued at the contract price. If carried out on own account, it is valued as cumulated costs. If it is carried out by a market producer, the costs include a return to capital. Both valuations need to be increased for changes in prices and reduced because of consumption of fixed capital over the life of the asset.
Research and experimental development (R&D) is another activity that is often undertaken on own account. However, given the heterogeneous nature of R&D, the choice for deflation lies between deriving pseudo output price indices and using input price indices.
The value of the processed goods may be greater than the costs of the components and the processing fee to the extent that the finished product incorporates part of the value of R&D treated as fixed capital formation of the economic owner.
Implementation of UN SNA 2008
SNA 2008 is for including all expenditures because simply all R&D qualifies as capital formation because consumption is foregone for the sake of future benefits. Regarding basic public research, even those which may be undertaken without any specific economic goal in mind, in fact are undertaken in the belief that there will be future benefits. Thus all most all the R&D expenditures will be capitalized in the SNA 2008.
By implementing the SNA 2008, it is expected to increase the level of the gross value added of the corporate/ commercial sector, by increasing the level of gross operating surplus. Indeed, the production will be higher; while there will be no additional intermediate consumption or labor costs or other costs. Expenditures on R&D of Government (public research, universities) and of non profit institutions will also be treated as own account production of R&D assets. This will correspond to a substitution of GFCF to part of the final consumption of these sectors. Production of these sectors will be increased through the inclusion of more depreciation (of R&D assets), thus also an increase of their gross value added.
In order to measure R&D in practice, one has to use expenditure data collected under the aegis of the “Frascati” manual. In the absence of direct price indices, to deflate R&D expenditures using input price indices. Work is needed to propose acceptable depreciation rates.
SNA 2008 has amply clear that most of the R&D expenditures should be included as part of GDP as well as of GFCF. R&D expenditures are being captured for the Indian Economy by Department of Science and Technology. There is a need to segregate the R&D expenditures incurred by at least the corporate/ industrial sector, whereas by the other sectors, the part expenditures may probably be taken as additional GDP and GFCF by those sectors as currently R&D expenditures are treated as an intermediate input for businesses and current consumption for nonprofit institutions and general government. Only new machinery & equipments are taken in GFCF. This needs to be thoroughly studied. Both GDP and GFCF are being underestimated on this count for manufacturing a well as for entire economy. Accounts need to be set right.
If R&D is treated as investment rather than current expenditure, then this treatment of R&D expenditures is a step toward producing more comprehensive and accurate measures of gross domestic product (GDP), gross domestic capital formation (GDCF), and national savings. This treatment also allows for better identification of the variables that are important to a sources-of-growth analysis and, therefore, the determination of the contribution of R&D to economic growth.
According to SNA 2008, research and development is to be treated as capital formation except in cases where it is clear that the activity does not entail any economic benefit for its owner in which case it is treated as intermediate consumption. Thus, the R&D expenditures have to be segregated into two components namely, Capital formation and the other as intermediate consumption. The intermediate consumption portion of it is not the final consumption and is input for generation of output. So it can’t be part of GDP, whereas the other component would be the part of GDP as it is expenditures on GDP. The recommendations made at the International level is yet to be implemented in case of India.
Objectives of a possible Project:
The project may provide:
1. To have a preliminary and exploratory examination of the role of R&D in the Indian economy.
2. To examine the R&D expenditure data and Indian National Accounts Statistics for their use in amending the National Accounts Estimates for various macro expenditure estimates.
3. To present a pilot R&D satellite account after modifying the National Accounting framework by capitalizing R&D. Capitalizing R&D requires modifying the National Accounts structure by including R&D expenditures and benefits within the National accounts.
4. To estimate the rate of depreciation of R&D capital, and the appropriate deflator for R&D expenditures.
Phase II Objectives of the Project:
Although to estimate R&D benefits are much more difficult to measure, yet estimating them is critical to establishing a link between R&D, technical change, and growth in GDP. As these measurement questions may not be fully resolved, this project accordingly is an important, albeit only a first, look at the effect of R&D on the economy. Rates of return to R&D are to be drawn from past analyses of rates of return, and estimates of the R&D investment and capital stock balance sheet may have to be seen in previously published Government data.
For this the following objectives can be feasible:
1. To explore the R&D benefits (returns to R&D capital) by using the existing data. Among the measurement topics discussed in this project are
• the magnitude of private and spillover returns to R&D,
• the R&D benefits that are already in the current measure of GDP,
• the lag with which R&D affects the economy.
2. If feasible, to analyze the impact of R&D on GDP, national saving, and other macroeconomic aggregates, and identifies the contribution of R&D to economic growth, using a sources-of-growth approach. Accomplishing both objectives entails modifying both the expenditure side and the income side of the accounts.
There had been discussions at the National as well as at the International level regarding the issue whether Expenditures on Research and Development (R&D) is current consumption or intermediate consumption or could it be treated as Investment in the economy. The present structure of the Indian national accounts treats the R&D expenditures as intermediate consumption for the manufacturing or business enterprises and for the Government’s and non-profit institutions serving households such expenditures are treated as consumption expenditure. There had been discussions at the international forums since long on the treatment which R&D expenditures incurred by various institutions should get for working out macro aggregates of a national economy. Off late, UN System of National Accounts (SNA) in its latest version of the year 2008 has accepted the fact that the output of research and development should be capitalized as “intellectual property products” except in cases where it is clear that the activity does not entail any economic benefit to its producer (and hence owner) in which case it is treated as intermediate consumption.
If R&D is treated as investment rather than current expenditure, then this treatment of R&D expenditures is a step toward producing more comprehensive and accurate measures of gross domestic product (GDP), gross domestic capital formation/ investment (GDCF), and national savings. This treatment also allows for better identification of the variables that are important to a sources-of-growth analysis and, therefore, the determination of the contribution of R&D to economic growth.
UN SNA 93 and Present Status of R&D Expenditures in Indian National Accounts
The Indian national accounts is primarily based on UN SNA 68 and a few amended aspects of UN SNA 93. As per SNA 93, R&D expenditures are not recognized as Gross Fixed Capital Formation (GFCF) despite the fact that the Manual recognizes that they are inherently investment in nature. The 1993 SNA recognized that research and development is undertaken with the objective of improving efficiency or productivity, or deriving other future benefits. However, although these characteristics have the nature of investment activities, research and development was treated as part of intermediate consumption. It was recommended, though, that it should not be treated as an ancillary activity but that a separate establishment should be identified as secondary activity.
The SNA 93 recognizes patents as assets (called “patented entities”) but they are not produced and thus appear, as a miracle, in the other change in volume account, and not through GFCF. Overall, the SNA 93 recognizes those assets created by R&D which generate a monetary flow between units (copyrights on patents), but denies their connection with R&D production, and does not recognize at all R&D assets whose services are consumed by their owners. However, the SNA 93 was a progress compared to the SNA 68 in the fact that monetary flows associated with patents are recorded in SNA 93 as income from sales of a service, rather than property income. Clearly, the authors of the 1993 SNA thought that patents were produced assets but backed from going to the end of the rationale. Treatment of R&D expenditures in Indian National Accounts is part of intermediate consumption for the manufacturing sector or Non Departmental Commercial Undertakings of the Government or Private corporate Sector or incorporating enterprises of the Household sector. Thus, it does not form part of GDP and of GFCF. For the General Government or Departmental Commercial Undertakings spending on R&D, the treatment is to identify this as consumption expenditure, so it does not form part of GCF, but is taken as part of GDP. The same should be true for non-profit institutions serving households, but as such they are taken as part of Household sector at present and it is not at all clear what treatment R&D expenditures get for this sector.
UN System of National Accounts, 2008
In the 2008 SNA the activity of research and development is not treated as an ancillary activity. The output of research and development should be capitalized as “intellectual property products” except in cases where it is clear that the activity does not entail any economic benefit to its producer (and hence owner) in which case it is treated as intermediate consumption. With the inclusion of research and development in the asset boundary, the 1993 SNA asset category of patented entities as a form of non-produced assets disappears and is replaced by research and development under fixed assets.
In order to treat R&D in this way, several issues have to be addressed. These include deriving measures of research and development, price indices and service lives. Specific guidelines, together with handbooks on methodology and practice, will provide a useful way of working towards solutions that give the appropriate level of confidence in the resulting measures.
Treatment of research and development giving rise to produced assets has removed the 1993 SNA inconsistency System of National Accounts of treating the patented entities as non-produced assets but treating royalty payments as payments for services. Research and development is no longer treated as intermediate consumption but in most cases as fixed capital formation. Research and development is now treated as fixed capital formation in most cases.
Certain activities, although common, are not so common as to be considered ancillary. Many enterprises produce their own machinery and equipment, build their own structures and carry out their own research and development. These activities are not to be treated as ancillary, whether carried out centrally or not, as they are not found frequently and extensively in all kinds of enterprises, small as well as large.
Reasoning Behind Recommendations of SNA 2008 regarding R&D Expenditures as Investment or Intermediate Consumption and other relevant issues
Research and development is a creative work undertaken on a systematic basis to increase the stock of knowledge, and use this stock of knowledge for the purpose of discovering or developing new products, including improved versions or qualities of existing products, or discovering or developing new or more efficient processes of production. Research and development is not an ancillary activity, and a separate establishment should be distinguished for it when possible. The research and development undertaken by market producers on their own behalf should, in principle, be valued on the basis of the estimated basic prices that would be paid if the research were subcontracted commercially, but in practice is likely to have to be valued on the basis of the total production costs including the costs of fixed assets used in production. Research and development undertaken by specialized commercial research laboratories or institutes is valued by receipts from sales, contracts, commissions, fees, etc. in the usual way. Research and development undertaken by government units, universities, non-profit research institutes, etc. is non market production and is valued on the basis of the total costs incurred excluding a return to capital used. The activity of research and development is different from teaching and is to be classified separately. In principle, the two activities ought to be distinguished from each other when undertaken within a university or other institute of higher education, although there may be considerable practical difficulties when the same staff divide their time between both activities. There may also be interaction between teaching and research which makes it difficult to separate them, even conceptually, in some cases.
Research and [experimental] development consists of the value of expenditures on creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and use of this stock of knowledge to devise new applications. This does not extend to including human capital as assets within the SNA. The value of research and development (R&D) should be determined in terms of the economic benefits it is expected to provide in the future. This includes the provision of public services in the case of R&D acquired by government. In principle, R&D that does not provide an economic benefit to its owner does not constitute a fixed asset and should be treated as intermediate consumption. Unless the market value of the R&D is observed directly, it may, by convention, be valued at the sum of costs, including the cost of unsuccessful R&D
With the inclusion of R&D expenditure as capital formation, patented entities no longer feature as assets in the SNA. The patent agreement is to be seen instead as the legal agreement concerning the terms on which access to the R&D is granted. The patent agreement is a form of license to use which is treated as giving rise to payments for services or the acquisition of an asset.
The fixed asset boundary of the SNA has been expanded to include the output of research and experimental development (R&D) that meets the general definition of an asset. It is evident that R&D captures part, but not all, of the innovation process. It may exclude many expenditures by the production and engineering departments of an enterprise. These same departments may also be responsible for identifying a potential new product and referring it to the R&D department to develop the science behind it. In addition, an enterprise may incur other expenditures before a new product goes to market. These include market research to determine the demand for a new product and marketing expenditures to promote it.
Goods or services used for own gross fixed capital formation can be produced by any kind of enterprise, whether corporate or unincorporated. They include, for example, the special machine tools produced for their own use by engineering enterprises, or dwellings, or extensions to dwellings, produced by households. A wide range of construction activities may be undertaken for the purpose of own gross fixed capital formation in rural areas in some countries, including communal construction activities undertaken by groups of households. In addition, intellectual property products such as R&D and software products may be produced on own account.
The 2008 SNA recommends that the output of research and development should be valued at market prices if purchased (outsourced) or at the sum of total production costs plus an appropriate mark-up representing the costs of fixed assets used in production if undertaken on own account.
Research and development expenditure carried out on contract is valued at the contract price. If carried out on own account, it is valued as cumulated costs. If it is carried out by a market producer, the costs include a return to capital. Both valuations need to be increased for changes in prices and reduced because of consumption of fixed capital over the life of the asset.
Research and experimental development (R&D) is another activity that is often undertaken on own account. However, given the heterogeneous nature of R&D, the choice for deflation lies between deriving pseudo output price indices and using input price indices.
The value of the processed goods may be greater than the costs of the components and the processing fee to the extent that the finished product incorporates part of the value of R&D treated as fixed capital formation of the economic owner.
Implementation of UN SNA 2008
SNA 2008 is for including all expenditures because simply all R&D qualifies as capital formation because consumption is foregone for the sake of future benefits. Regarding basic public research, even those which may be undertaken without any specific economic goal in mind, in fact are undertaken in the belief that there will be future benefits. Thus all most all the R&D expenditures will be capitalized in the SNA 2008.
By implementing the SNA 2008, it is expected to increase the level of the gross value added of the corporate/ commercial sector, by increasing the level of gross operating surplus. Indeed, the production will be higher; while there will be no additional intermediate consumption or labor costs or other costs. Expenditures on R&D of Government (public research, universities) and of non profit institutions will also be treated as own account production of R&D assets. This will correspond to a substitution of GFCF to part of the final consumption of these sectors. Production of these sectors will be increased through the inclusion of more depreciation (of R&D assets), thus also an increase of their gross value added.
In order to measure R&D in practice, one has to use expenditure data collected under the aegis of the “Frascati” manual. In the absence of direct price indices, to deflate R&D expenditures using input price indices. Work is needed to propose acceptable depreciation rates.
SNA 2008 has amply clear that most of the R&D expenditures should be included as part of GDP as well as of GFCF. R&D expenditures are being captured for the Indian Economy by Department of Science and Technology. There is a need to segregate the R&D expenditures incurred by at least the corporate/ industrial sector, whereas by the other sectors, the part expenditures may probably be taken as additional GDP and GFCF by those sectors as currently R&D expenditures are treated as an intermediate input for businesses and current consumption for nonprofit institutions and general government. Only new machinery & equipments are taken in GFCF. This needs to be thoroughly studied. Both GDP and GFCF are being underestimated on this count for manufacturing a well as for entire economy. Accounts need to be set right.
If R&D is treated as investment rather than current expenditure, then this treatment of R&D expenditures is a step toward producing more comprehensive and accurate measures of gross domestic product (GDP), gross domestic capital formation (GDCF), and national savings. This treatment also allows for better identification of the variables that are important to a sources-of-growth analysis and, therefore, the determination of the contribution of R&D to economic growth.
According to SNA 2008, research and development is to be treated as capital formation except in cases where it is clear that the activity does not entail any economic benefit for its owner in which case it is treated as intermediate consumption. Thus, the R&D expenditures have to be segregated into two components namely, Capital formation and the other as intermediate consumption. The intermediate consumption portion of it is not the final consumption and is input for generation of output. So it can’t be part of GDP, whereas the other component would be the part of GDP as it is expenditures on GDP. The recommendations made at the International level is yet to be implemented in case of India.
Objectives of a possible Project:
The project may provide:
1. To have a preliminary and exploratory examination of the role of R&D in the Indian economy.
2. To examine the R&D expenditure data and Indian National Accounts Statistics for their use in amending the National Accounts Estimates for various macro expenditure estimates.
3. To present a pilot R&D satellite account after modifying the National Accounting framework by capitalizing R&D. Capitalizing R&D requires modifying the National Accounts structure by including R&D expenditures and benefits within the National accounts.
4. To estimate the rate of depreciation of R&D capital, and the appropriate deflator for R&D expenditures.
Phase II Objectives of the Project:
Although to estimate R&D benefits are much more difficult to measure, yet estimating them is critical to establishing a link between R&D, technical change, and growth in GDP. As these measurement questions may not be fully resolved, this project accordingly is an important, albeit only a first, look at the effect of R&D on the economy. Rates of return to R&D are to be drawn from past analyses of rates of return, and estimates of the R&D investment and capital stock balance sheet may have to be seen in previously published Government data.
For this the following objectives can be feasible:
1. To explore the R&D benefits (returns to R&D capital) by using the existing data. Among the measurement topics discussed in this project are
• the magnitude of private and spillover returns to R&D,
• the R&D benefits that are already in the current measure of GDP,
• the lag with which R&D affects the economy.
2. If feasible, to analyze the impact of R&D on GDP, national saving, and other macroeconomic aggregates, and identifies the contribution of R&D to economic growth, using a sources-of-growth approach. Accomplishing both objectives entails modifying both the expenditure side and the income side of the accounts.
Measurement of Output of Science Departments of Central Universities of India
Quantitative research provides a pedestal to any university. Research in a university speaks of the fertile minds and an environment of intellectual interaction in the university scientific literature is expanding very fast. A Central University in India is formed by the Government of India, by an Act of Parliament. The Government of India is responsible for arranging, allocating and distributing financial resources required by the University Grants Commission (UGC) for the establishment of Central Universities in India. Currently there are many Central Universities in India. The higher education system in India being one of the largest in the world, the responsibility rests on the Central Government to devise policies with a view to improving the quality of higher education in India. Barring few central universities which are not predominantly having Science Departments of Physics, Chemistry, Botany, Zoology, Mathematics and Statistics have been taken into consideration. The present study attempts to find out the quantum of various types of output of Science faculty of the Central Universities and how these are explained by financial and human resources available with the departments. The various types of outputs of a university science department considered are grouped broadly under three categories and input indicators are grouped under two categories. For the Output Indicators the Broad Categories are: Academic, Research and Others including Administrative whereas Input Indicators are grouped under the categories of Human Resources and Financial Resources.
Evaluation of output in the form of papers published in pear reviewed journals in terms of the journal’s impact factors can be computed easily. Also their clubbing is feasible and one department can be compared with other department within the university and also one can have total impact factor contributed by such research papers of the various Central Universities. A methodology is suggested/evolved through appropriate indicators which find the quantitative measures for other types of Output. As these measures are also have to be combined so that all the outputs are being placed on the same platform for various departments of the same university and these universities can be ranked objectively on the basis of total scientific output, a proper weighting diagram should be obtained to have appropriate indices. The linkage of the clubbed output with the resources available with the universities can also be used objectively so that one may allocate the financial resource to the various universities for getting the more equitable scientific output for much more progress in the scientific departments of the Central Universities.
Possible Objectives of a study
1. To study the research trend in the various science subjects for the various Central Universities.
2. For each of the years under consideration and also for the last decade
2.1 Inter and Intra Ranking of Various Science Departments;
2.1 Ranking of Universities for the overall index;
2.2 Ranking of Universities in respect of papers in peer reviewed journals.
3. Interrelating the output of the Departments/ Universities with the input parameters so that one may use the same in order to allocate the financial resource objectively to the various universities for getting the more equitable scientific output for much more progress in the scientific departments of the Central Universities.
For the purpose of this study, the Science Departments considered are, say Physics, Chemistry, Botany, Zoology, Mathematics and Statistics.
The following list of Central Universities has been taken from UGC Web Site.
1. Rajiv Gandhi University, Arunachal Pradesh
2. Assam University, Assam
3. Tezpur University, Assam
4. University of Hyderabad, Andhra Pradesh
5. Maulana Azad National Urdu University, Andhra Pradesh
6. English and Foreign Languages University, Andhra Pradesh
7. Jamia Millia Islamia, New Delhi
8. University of Delhi, Delhi
9. Jawaharlal Nehru University, New Delhi
10. Indira Gandhi National Open University, New Delhi
11. The Indira Gandhi National Tribal University, Madhya Pradesh
12. Mahatma Gandhi Antarrashtriya Hindi Vishwavidyalaya, Maharashtra
13. Mizoram University, Mizoram
14. North Eastern Hill University, Meghalaya
15. Manipur University, Manipur
16. Central Agricultural University, Manipur
17. Nagaland University, Nagaland
18. Pondicherry University, Puducherry
19. Sikkim University, Sikkim
20. Tripura University, Tripura
21. Aligarh Muslim University, U.P
22. Babasaheb Bhimrao Ambedkar University, U.P.
23. Banaras Hindu University, U.P.
24. University of Allahabad, U.P
25. Visva Bharati, West Bengal
26. Hemwati Nandan Bahuguna Garhwal University, Uttrakund
27. Central university of Tamil Nadu, Tamil Nadu
28. Indian Maritime University, Chennai
29. Central University of Rajasthan, Rajasthan
30. Central University of Punjab, Punjab
31. Central University of Orissa, Orissa
32. Dr. Harisingh Gour Vishwavidyalaya, Madhya Pradesh
33. Central University of Kerala,
34. Central University of Karnataka,
35. Central University of Jharkhand, Jharkhand
36. Central University of Kashmir, Srinagar
37. Central University of Jammu, Jammu
38. Central University of Himachal Pradesh, Himachal Pradesh
39. Central University of Haryana, Haryana
40. Guru Ghasidas Vishwavidyalaya, Chhatisgarh
41. Central University of Bihar, Bihar
42. Central University of Gujarat, Gujarat
Secondary data review has been carried in order to short list the above list of Central Universities by selecting those who are having one or more of the above mentioned science departments. Faculty in position in the Science Departments of all the listed Central Universities has been obtained. Out of the above list, following 21 central universities are proposed to be covered. The left out universities are those universities who are either not having the proposed science departments exclusively or are in their inception stage having almost no facilities to carry out the mandate of their science departments.
Rajiv Gandhi University
Assam University
Tezpur University
University of Hyderabad
Jamia Millia Islamia
University of Delhi
Indira Gandhi National Open University
Dr. Harisingh Gour Vishwavidyalaya
Mizoram University
North Eastern Hill University
Manipur University
Nagaland University
Pondicherry University
Sikkim University
Tripura University
Aligarh Muslim University
Banaras Hindu University
University of Allahabad
Hemwati Nandan Bahuguna Garhwal University
Central university of Tamil Nadu
Central University of Rajasthan
Possible Methodology Suggested
In order to access the outputs of the various science departments of the Central Universities and which may correspond to the financial and human resources as inputs, the following list of indicators can be considered. The list also provides the corresponding data source for each and every indicator mentioned. Years of investigations can be from 2001 to 2010. A Questionnaire can be devised to seek the values of indicators directly from the Faculty/Research/Project/Library Staff and also by use of Administrative records of the Departments and/or University.
List of Output/Input Indicators and the Source of Data
S.No. Academic Output Indicators (Source of Data)
1. Number of students passed postgraduate course
1.1 Total number of students enrolled for postgraduate course (From Administrative Records)
1.2 Total Number of students passed (From Administrative Records)
1.3 No passed with more than 75% (From Administrative Records)
1.4 No passed with more than 60% and less than 75%
(From Administrative Records)
1.5 No passed with marks between 50% and 60%
(From Administrative Records)
2. Examination Related Work
2.1 Setting (Number) of Papers in a Year (From Administrative Records)
2.2 Number of Papers checked in a Year (From Administrative Records)
3. External Examiner
3.1 Number of external Ph.D. /D.Sc. Students examined (Census of Faculty)
3.2 Number of external M.Phil. Students examined (Census of Faculty)
3.3 Number of external Postgraduate Students examined for Practical (Census of Faculty)
4. Books published by faculty
4.1
Sale proceeds of the books published during the reference year (Census of Faculty)
4.2 Sale proceeds of the books published till the preceding to the reference year (Census of Faculty)
4.3 Number of times the books published during the current year issued by the library (From Libraries)
4.4 Number of times the books published up to the current year issued by the library (From Libraries)
4.5 Number/ Value of Books sold to the various Libraries (From Publishers)
4.6 Number/ Value of Books sold to the actual users (From Publishers)
5. Workshops organized by the department
5.1 Number of presentations made by the faculty of the department in Workshops (Census of Faculty)
5.2 Total number attended the Workshops (From Administrative Records)
6. Workshops organized by the departments of other universities/institutes
6.1 Number of presentations made by the faculty of the department in Workshops organized by others (Census of Faculty)
6.2 Total number attended the Workshops organized by others (Census of Faculty)
7. Papers Published in peer reviewed journals
7.1 Number of papers published in peer reviewed journals (having Impact factor) by faculty and students either jointly or singly (Census of Faculty/Research Students)
7.2 Impact Factor of various peer reviewed journals (The peer reviewed journals)
8. Patents
8.1 Number of patents filed by faculty and students through departments/ university (From Administrative Records)
8.2 Number approved (From Administrative Records)
8.3 Commercial value of approved patents (From Administrative Records)
8.4 Number filed but not yet approved / registered (From Administrative Records)
9. Seminars organized by the department
9.1 Number of papers presented by the faculty of the department in Seminars (Census of Faculty)
9.2 Total number attended the Seminars (From Administrative Records)
10. Seminars organized by the other universities/institutes
10.1 Number of papers presented by the faculty of the department in Seminars organized by others (Census of Faculty)
10.2 Total number attended the Seminars organized by others (Census of Faculty)
11. Number of students completed PhD/ D.Sc. during the current year (From Administrative Records)
12. Number of Students awarded M.Phil. during the current year (From Administrative Records)
S.No. Administrative and Other Output Indicators (Source of Data)
13. Administrative Work in Number of Hours in a Year (Census of Faculty)
14. Examination Related Work
14.1 Invigilation Work in Number of days in a Year (Census of Faculty)
14.2 Coding/decoding, result preparation etc. work in Number of days in a Year (Census of Faculty)
15. Number of Other technical publications by department (Census of Faculty)
16. Technical projects completed/ ongoing by department
16.1 Number of Technical projects completed during the current year (From Administrative Records)
16.2 Value of Technical projects completed during the current year (From Administrative Records)
16.3 Number of Technical projects on going during the current year (From Administrative Records)
16.4 Value of Technical projects on going during the current year (From Administrative Records)
17. Data Bases Created/ Being Created
17.1 Number of Data Bases Created (From Administrative Records)
17.2 Sale proceeds of these data bases (From Administrative Records)
17.3 Number of Data Bases Being Created (From Administrative Records)
18. Consultancy projects completed/ ongoing by various faculty
18.1 Number of Consultancy projects completed during the current year (Census of Faculty)
18.2 Value of Consultancy projects completed during the current year (Census of Faculty)
18.3 Number of Consultancy projects on going during the current year (Census of Faculty)
18.4 Value of Consultancy projects on going during the current year (Census of Faculty)
19. Number of other articles published in newspapers/magazines/others (Census of Faculty)
S.No. Input Human Resources Indicators (Source of Data)
20. Number of Professors in the department (From Administrative Records)
21. Number of Associate Professors in the department (From Administrative Records)
22. Number of Assistant Professors in the department (From Administrative Records)
23. Number of other faculties in the department (From Administrative Records)
24. Number of other research staff in the department (From Administrative Records)
25. Number of other non-teaching staff supporting
research/ project and consultancy activities in
the department (From Administrative Records)
Input Financial Resources Indicators (Source of Data)
26. Regular Funds for salaries and other heads of account (From Administrative Records)
27. Funds for projects (From Administrative Records)
28. Funds for consultancy (From Administrative Records and/or Faculty Census)
29. Royalties (From Administrative Records and/or Faculty Census)
30. Plan Funds (From Administrative Records)
31. Other Grants including own Resources (From Administrative Records and/or Faculty Census)
Additionally, faculty wise interviews to access their time use and importance to various activities of the Department can also be obtained through the Questionnaire. Satisfaction Level also needs to be ascertained from the Faculty of the Science Departments through the Questionnaire. The Part Questionnaire can also be devised to access the information regarding Importance of various activities as per prominent Policy Makers and management of the Science Departments and /or Universities. This data can be utilized to have weights for clubbing or for constructing various indices –for the various output groups and overall. After the data collection, the data analysis can be carried in order to meet the objectives of the study.
Evaluation of output in the form of papers published in pear reviewed journals in terms of the journal’s impact factors can be computed easily. Also their clubbing is feasible and one department can be compared with other department within the university and also one can have total impact factor contributed by such research papers of the various Central Universities. A methodology is suggested/evolved through appropriate indicators which find the quantitative measures for other types of Output. As these measures are also have to be combined so that all the outputs are being placed on the same platform for various departments of the same university and these universities can be ranked objectively on the basis of total scientific output, a proper weighting diagram should be obtained to have appropriate indices. The linkage of the clubbed output with the resources available with the universities can also be used objectively so that one may allocate the financial resource to the various universities for getting the more equitable scientific output for much more progress in the scientific departments of the Central Universities.
Possible Objectives of a study
1. To study the research trend in the various science subjects for the various Central Universities.
2. For each of the years under consideration and also for the last decade
2.1 Inter and Intra Ranking of Various Science Departments;
2.1 Ranking of Universities for the overall index;
2.2 Ranking of Universities in respect of papers in peer reviewed journals.
3. Interrelating the output of the Departments/ Universities with the input parameters so that one may use the same in order to allocate the financial resource objectively to the various universities for getting the more equitable scientific output for much more progress in the scientific departments of the Central Universities.
For the purpose of this study, the Science Departments considered are, say Physics, Chemistry, Botany, Zoology, Mathematics and Statistics.
The following list of Central Universities has been taken from UGC Web Site.
1. Rajiv Gandhi University, Arunachal Pradesh
2. Assam University, Assam
3. Tezpur University, Assam
4. University of Hyderabad, Andhra Pradesh
5. Maulana Azad National Urdu University, Andhra Pradesh
6. English and Foreign Languages University, Andhra Pradesh
7. Jamia Millia Islamia, New Delhi
8. University of Delhi, Delhi
9. Jawaharlal Nehru University, New Delhi
10. Indira Gandhi National Open University, New Delhi
11. The Indira Gandhi National Tribal University, Madhya Pradesh
12. Mahatma Gandhi Antarrashtriya Hindi Vishwavidyalaya, Maharashtra
13. Mizoram University, Mizoram
14. North Eastern Hill University, Meghalaya
15. Manipur University, Manipur
16. Central Agricultural University, Manipur
17. Nagaland University, Nagaland
18. Pondicherry University, Puducherry
19. Sikkim University, Sikkim
20. Tripura University, Tripura
21. Aligarh Muslim University, U.P
22. Babasaheb Bhimrao Ambedkar University, U.P.
23. Banaras Hindu University, U.P.
24. University of Allahabad, U.P
25. Visva Bharati, West Bengal
26. Hemwati Nandan Bahuguna Garhwal University, Uttrakund
27. Central university of Tamil Nadu, Tamil Nadu
28. Indian Maritime University, Chennai
29. Central University of Rajasthan, Rajasthan
30. Central University of Punjab, Punjab
31. Central University of Orissa, Orissa
32. Dr. Harisingh Gour Vishwavidyalaya, Madhya Pradesh
33. Central University of Kerala,
34. Central University of Karnataka,
35. Central University of Jharkhand, Jharkhand
36. Central University of Kashmir, Srinagar
37. Central University of Jammu, Jammu
38. Central University of Himachal Pradesh, Himachal Pradesh
39. Central University of Haryana, Haryana
40. Guru Ghasidas Vishwavidyalaya, Chhatisgarh
41. Central University of Bihar, Bihar
42. Central University of Gujarat, Gujarat
Secondary data review has been carried in order to short list the above list of Central Universities by selecting those who are having one or more of the above mentioned science departments. Faculty in position in the Science Departments of all the listed Central Universities has been obtained. Out of the above list, following 21 central universities are proposed to be covered. The left out universities are those universities who are either not having the proposed science departments exclusively or are in their inception stage having almost no facilities to carry out the mandate of their science departments.
Rajiv Gandhi University
Assam University
Tezpur University
University of Hyderabad
Jamia Millia Islamia
University of Delhi
Indira Gandhi National Open University
Dr. Harisingh Gour Vishwavidyalaya
Mizoram University
North Eastern Hill University
Manipur University
Nagaland University
Pondicherry University
Sikkim University
Tripura University
Aligarh Muslim University
Banaras Hindu University
University of Allahabad
Hemwati Nandan Bahuguna Garhwal University
Central university of Tamil Nadu
Central University of Rajasthan
Possible Methodology Suggested
In order to access the outputs of the various science departments of the Central Universities and which may correspond to the financial and human resources as inputs, the following list of indicators can be considered. The list also provides the corresponding data source for each and every indicator mentioned. Years of investigations can be from 2001 to 2010. A Questionnaire can be devised to seek the values of indicators directly from the Faculty/Research/Project/Library Staff and also by use of Administrative records of the Departments and/or University.
List of Output/Input Indicators and the Source of Data
S.No. Academic Output Indicators (Source of Data)
1. Number of students passed postgraduate course
1.1 Total number of students enrolled for postgraduate course (From Administrative Records)
1.2 Total Number of students passed (From Administrative Records)
1.3 No passed with more than 75% (From Administrative Records)
1.4 No passed with more than 60% and less than 75%
(From Administrative Records)
1.5 No passed with marks between 50% and 60%
(From Administrative Records)
2. Examination Related Work
2.1 Setting (Number) of Papers in a Year (From Administrative Records)
2.2 Number of Papers checked in a Year (From Administrative Records)
3. External Examiner
3.1 Number of external Ph.D. /D.Sc. Students examined (Census of Faculty)
3.2 Number of external M.Phil. Students examined (Census of Faculty)
3.3 Number of external Postgraduate Students examined for Practical (Census of Faculty)
4. Books published by faculty
4.1
Sale proceeds of the books published during the reference year (Census of Faculty)
4.2 Sale proceeds of the books published till the preceding to the reference year (Census of Faculty)
4.3 Number of times the books published during the current year issued by the library (From Libraries)
4.4 Number of times the books published up to the current year issued by the library (From Libraries)
4.5 Number/ Value of Books sold to the various Libraries (From Publishers)
4.6 Number/ Value of Books sold to the actual users (From Publishers)
5. Workshops organized by the department
5.1 Number of presentations made by the faculty of the department in Workshops (Census of Faculty)
5.2 Total number attended the Workshops (From Administrative Records)
6. Workshops organized by the departments of other universities/institutes
6.1 Number of presentations made by the faculty of the department in Workshops organized by others (Census of Faculty)
6.2 Total number attended the Workshops organized by others (Census of Faculty)
7. Papers Published in peer reviewed journals
7.1 Number of papers published in peer reviewed journals (having Impact factor) by faculty and students either jointly or singly (Census of Faculty/Research Students)
7.2 Impact Factor of various peer reviewed journals (The peer reviewed journals)
8. Patents
8.1 Number of patents filed by faculty and students through departments/ university (From Administrative Records)
8.2 Number approved (From Administrative Records)
8.3 Commercial value of approved patents (From Administrative Records)
8.4 Number filed but not yet approved / registered (From Administrative Records)
9. Seminars organized by the department
9.1 Number of papers presented by the faculty of the department in Seminars (Census of Faculty)
9.2 Total number attended the Seminars (From Administrative Records)
10. Seminars organized by the other universities/institutes
10.1 Number of papers presented by the faculty of the department in Seminars organized by others (Census of Faculty)
10.2 Total number attended the Seminars organized by others (Census of Faculty)
11. Number of students completed PhD/ D.Sc. during the current year (From Administrative Records)
12. Number of Students awarded M.Phil. during the current year (From Administrative Records)
S.No. Administrative and Other Output Indicators (Source of Data)
13. Administrative Work in Number of Hours in a Year (Census of Faculty)
14. Examination Related Work
14.1 Invigilation Work in Number of days in a Year (Census of Faculty)
14.2 Coding/decoding, result preparation etc. work in Number of days in a Year (Census of Faculty)
15. Number of Other technical publications by department (Census of Faculty)
16. Technical projects completed/ ongoing by department
16.1 Number of Technical projects completed during the current year (From Administrative Records)
16.2 Value of Technical projects completed during the current year (From Administrative Records)
16.3 Number of Technical projects on going during the current year (From Administrative Records)
16.4 Value of Technical projects on going during the current year (From Administrative Records)
17. Data Bases Created/ Being Created
17.1 Number of Data Bases Created (From Administrative Records)
17.2 Sale proceeds of these data bases (From Administrative Records)
17.3 Number of Data Bases Being Created (From Administrative Records)
18. Consultancy projects completed/ ongoing by various faculty
18.1 Number of Consultancy projects completed during the current year (Census of Faculty)
18.2 Value of Consultancy projects completed during the current year (Census of Faculty)
18.3 Number of Consultancy projects on going during the current year (Census of Faculty)
18.4 Value of Consultancy projects on going during the current year (Census of Faculty)
19. Number of other articles published in newspapers/magazines/others (Census of Faculty)
S.No. Input Human Resources Indicators (Source of Data)
20. Number of Professors in the department (From Administrative Records)
21. Number of Associate Professors in the department (From Administrative Records)
22. Number of Assistant Professors in the department (From Administrative Records)
23. Number of other faculties in the department (From Administrative Records)
24. Number of other research staff in the department (From Administrative Records)
25. Number of other non-teaching staff supporting
research/ project and consultancy activities in
the department (From Administrative Records)
Input Financial Resources Indicators (Source of Data)
26. Regular Funds for salaries and other heads of account (From Administrative Records)
27. Funds for projects (From Administrative Records)
28. Funds for consultancy (From Administrative Records and/or Faculty Census)
29. Royalties (From Administrative Records and/or Faculty Census)
30. Plan Funds (From Administrative Records)
31. Other Grants including own Resources (From Administrative Records and/or Faculty Census)
Additionally, faculty wise interviews to access their time use and importance to various activities of the Department can also be obtained through the Questionnaire. Satisfaction Level also needs to be ascertained from the Faculty of the Science Departments through the Questionnaire. The Part Questionnaire can also be devised to access the information regarding Importance of various activities as per prominent Policy Makers and management of the Science Departments and /or Universities. This data can be utilized to have weights for clubbing or for constructing various indices –for the various output groups and overall. After the data collection, the data analysis can be carried in order to meet the objectives of the study.
Saturday, December 3, 2011
Use of Accidental Sampling
Supposing one is interested in knowing the incidence of pest infestation for a particular crop in a sizeable area. Getting interior to the crop is difficult. Investigators may decide to move around the area on the road and inspect the road side plots for pest infestation for the crop. Can they make a correct idea about the percentage of effected crop area? The answer should be ‘No’ as he has not inspected the random portion of the crop area to be inspected. The sampling method adopted is “Accidental Sampling”. It is a type of non probability sampling which involves the sample being drawn from that part of the population which is close to hand. That is, a sample selected from the population is biased one, because it is that part which is convenient to choose. The researcher using such a sample cannot scientifically make generalizations about the total population from this sample as it would not be representative enough. This accidental sampling can be adopted at best for some pilot testing or can be used to frame certain hypothesis to be tested scientifically. If some questionnaires need to be field tested, there may not be a big requirement of selecting a rigorous random sample using a population frame. Thus, for such type of work, accidental sampling can be adopted. If one has to just get a feel of public opinion on some happening around in the community at large, well framed questions can be put on even on some social site and may get the answer to the same from the public whosoever wants to give some reaction. But caution is that one should not generalize the same for the entire community.
Quota Sampling and Indian Official Statistical System
Quota sampling technique is a method for selecting survey respondents from a population. In quota sampling, a population is first segmented into mutually exclusive sub-groups (or two or more strata). Then judgment is used to select the units from each segment based on a specified proportion. For example, a surveyor may be asked to sample x males and y females between the certain age groups. This means that individuals can set a demand on who they want to sample.
This second step of selection makes the technique non-probability sampling. In quota sampling, the selection of the sample is non-random sample and thus can be unreliable for making inferences. It is just possible that interviewers might be tempted to interview only those people who look to be most helpful, or may choose to use accidental sampling to question those closest to them, for time-saving sake. The problem is that such samples may be biased because not everyone gets a chance of selection. This non-random element is a source of biasness in the actual sample. Quota is normally confused and is advocated to give some probability of selection of units/individuals in the sample.
Quota sampling is useful when time is limited, a sampling frame is not available, the research budget is very tight or when detailed accuracy is not important. Subsets are chosen and then either convenience or judgment sampling is used to choose people from each subset. The researcher decides how many of each category is selected.
Quota sampling is clearly the non probability version of stratified sampling. In stratified sampling, subsets of the population are formulated so that each subset has a common characteristic, such as gender, age. Random sampling chooses a number of subjects from each subset with, unlike a quota sample, each potential subject having a known probability (normally equal probability) of being selected. Fixing of quota or sample size of each strata (or group) on the basis of reliability of estimates one wish to have is fine. But the second stage selection should then be on basis of some random selection as otherwise we are assuming every one is same (homogeneous) within the various groups and this can’t be true. One can’t have convenience sampling at the second stage of sampling.
The Indian corporate sector is divided into two segments namely, Public Limited Companies and Private Limited Companies and some quota of companies to be selected from each segment is fixed. But as the full sampling frame for both the segments is not available even with the Department of Company Affairs, Government of India as there are large many number of respective companies who do not file their annual reports with the Ministry of Corporate Affairs. Many a times it has been noted that even Top Indian Companies do not bother of filing their annual reports with the Ministry regularly. Many companies get themselves registered with the Ministry at the time of its constitution, but quite a few Private Limited Companies close their operations and do not report this important event to the Ministry. In the absence of correct sampling frames, random selection can’t be done. Thus, the estimates generated by using Quota Sampling are under question on account of their reliability. Many such examples are exiting and are crippling the Indian Official System.
This second step of selection makes the technique non-probability sampling. In quota sampling, the selection of the sample is non-random sample and thus can be unreliable for making inferences. It is just possible that interviewers might be tempted to interview only those people who look to be most helpful, or may choose to use accidental sampling to question those closest to them, for time-saving sake. The problem is that such samples may be biased because not everyone gets a chance of selection. This non-random element is a source of biasness in the actual sample. Quota is normally confused and is advocated to give some probability of selection of units/individuals in the sample.
Quota sampling is useful when time is limited, a sampling frame is not available, the research budget is very tight or when detailed accuracy is not important. Subsets are chosen and then either convenience or judgment sampling is used to choose people from each subset. The researcher decides how many of each category is selected.
Quota sampling is clearly the non probability version of stratified sampling. In stratified sampling, subsets of the population are formulated so that each subset has a common characteristic, such as gender, age. Random sampling chooses a number of subjects from each subset with, unlike a quota sample, each potential subject having a known probability (normally equal probability) of being selected. Fixing of quota or sample size of each strata (or group) on the basis of reliability of estimates one wish to have is fine. But the second stage selection should then be on basis of some random selection as otherwise we are assuming every one is same (homogeneous) within the various groups and this can’t be true. One can’t have convenience sampling at the second stage of sampling.
The Indian corporate sector is divided into two segments namely, Public Limited Companies and Private Limited Companies and some quota of companies to be selected from each segment is fixed. But as the full sampling frame for both the segments is not available even with the Department of Company Affairs, Government of India as there are large many number of respective companies who do not file their annual reports with the Ministry of Corporate Affairs. Many a times it has been noted that even Top Indian Companies do not bother of filing their annual reports with the Ministry regularly. Many companies get themselves registered with the Ministry at the time of its constitution, but quite a few Private Limited Companies close their operations and do not report this important event to the Ministry. In the absence of correct sampling frames, random selection can’t be done. Thus, the estimates generated by using Quota Sampling are under question on account of their reliability. Many such examples are exiting and are crippling the Indian Official System.
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