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Contents

  • Executive summary
  • Introduction

Annexes

  • Annex A   Summary of changes since publication of HEFCE 2006/50
  • Annex B   Comparison of HESES06 and the HESES06 re-creation
  • Annex C   Comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms
  • Annex D   Derived statistics likely to inform the 2008-09 widening participation (WP) allocations
  • Annex E   Comparison of RAS06 and the RAS06 re-creation
  • Annex F   Derived statistics likely to inform HESES07 audits
  • Annex G   Comparison of 2006-07 co-funded employer engagement (CFEE06) and the CFEE06 re-creation
  • Annex H   Information for leads of HEFCE-recognised funding consortia
  • Annex I   Obtaining data from the HEFCE extranet
  • Annex J   Guidance for completing and submitting action and implementation plans
  • Annex K   Procedure for submitting amendments to HESA data
  • Annex L   Submitting overrides to primary derived fields
  • Annex M   List of abbreviations

Technical appendices

  • Appendix 1   HESES06 re-creation algorithms
  • Appendix 2   Troubleshooting the differences between HESES06 and the HESES06 re-creation
  • Appendix 3   Problems of fit with the HESES06 re-creation algorithms
  • Appendix 4   HESES06 re-creation based on cost centre sector norms algorithms
  • Appendix 5   Troubleshooting the differences between the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms
  • Appendix 6   Problems of fit with the HESES06 re-creation based on cost centre sector norms algorithms
  • Appendix 7   Derived statistics likely to inform the 2008-09 widening participation (WP) allocations algorithms
  • Appendix 8   RAS06 re-creation algorithms
  • Appendix 9   Troubleshooting the differences between RAS06 and the RAS06 re-creation
  • Appendix 10   Problems of fit with the RAS06 re-creation algorithms
  • Appendix 11   Derived statistics likely to be used during HESES07 audits
  • Appendix 12   Co-funded employer engagement (CFEE06) re-creation algorithms
  • Appendix 13   Example action and implementation plans
  • Appendix 14   Index of derived fields

Executive summary

Purpose

1.   This document describes:

  1. How we will use 2006-07 Higher Education Statistics Agency (HESA) student data to monitor returns made to HEFCE.
  2. The responses required from institutions to these monitoring processes.
  3. How we intend to use 2006-07 HESA student data to inform 2008-09 funding allocations.

2.   This document, with its accompanying appendices, consists of the following sections:

  1. The comparison of Higher Education Students Early Statistics Survey 2006-07 (HESES06) with HESA 2006-07 student data.
  2. The comparison of institutional cost centre assignments with cost centre sector norms for subjects.
  3. How we intend to use HESA data to inform 2008-09 widening participation (WP) allocations.
  4. The comparison of Research Activity Survey 2006 (RAS06) with HESA 2006-07 student data.
  5. How we intend to use HESA data to inform Higher Education Students Early Statistics Survey 2007-08 (HESES07) audits.
  6. The comparison of co-funded employer engagement 2006-07 (CFEE06) with HESA 2006-07 student data.
  7. Guidelines on returning action and implementation plans.

Key points

Data quality

3. We are confident that this exercise continues to improve the data quality of returns to both HESA and HEFCE. It also increases our understanding of data quality issues that relate to these returns.

Funding monitoring

4.   Generally we monitor funding returns made to HEFCE by re-creating these funding returns from HESA data. This exercise is conducted in two interrelated but distinct parts. The first is the process of reconciling, explaining and amending the data up to the point where institutions are in a position to sign off a re-creation as a reasonable reflection of the outturn position for the year. The second part, which occurs after an institution has signed off the re-creation, is the consideration of the final re-creation in terms of the funding adjustments to be made, and, where required, an appeals process.

5.   Our funding allocations are informed by the data provided by institutions. If we find, either through reconciliations with HESA data, or any data audit, that data do not reflect the outturn position for the year, and that this has resulted in institutions receiving incorrect funding allocations (including WP), then we will adjust their funding accordingly. This is subject to the appeals process and the availability of our funds.

6.   Any funding adjustments arising from the reconciliation of HESES06 with a re-creation of HESES06 from 2006-07 HESA student data (the HESES06 re-creation); from the comparison of cost centre assignments with the sector norms for subjects (the HESES06 re-creation based on cost centre sector norms), or from the reconciliation of 2006-07 Co funded Employer Engagement (CFEE06) with a re-creation of CFEE06 from 2006-07 HESA student data (the CFEE06 re-creation) are likely to affect the funding previously announced for 2006-07 and all subsequent years, including WP funding for 2007-08.

7.   Any funding adjustments arising from the comparison of RAS6 with a re-creation of RAS06 from 2006-07 HESA student data (the RAS06 re-creation) are likely to affect the funding previously announced for 2007-08. In exceptional cases, it may also affect funding for later years, such as allocations of moderation funding.

8.   In many cases the funding adjustments arising from the reconciliation may be significant. Therefore it is important for institutions to ensure that sufficient time and resources are allocated to allow the exercise to be completed accurately and promptly. If institutions have not signed off their re-creations by the deadlines given below, then we will implement any reductions to 2008-09 grant that we expect to arise, pending completion of the reconciliation process. This is an interim measure to avoid grant adjustments accumulating to the point at which they become difficult for institutions to manage. The deadline is 1 September 2008 for institutions (except leads of HEFCE-recognised consortium) selected to respond to the comparison of HESES06 and the HESES06 re-creation. For institutions selected to respond to the comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms or institutions that are leads of a HEFCE-recognised funding consortium the deadline is 1 September 2008.

Annexes and appendices

9.   The annexes below describe how we will use HESA data for this exercise. The technical appendices describe the algorithms we will use.

Action required

Funding monitoring

10.   We will write to heads of institutions, copied to HESES and RAS contacts, on 13 February 2008 specifying whether a response is required to any part of the exercise.

11.   Where a response is required, action and implementation plans must be returned by 30 April 2008.

12.   final deadline for receipt of amendments to HESA data and overrides to primary derived fields detailed in the action and implementation plans is 18 June 2008.

Timetable

13.   The following timetable details the critical deadlines for this exercise.

13 February 2008 We issue letter to all institutions, requesting response to exercise in some cases
30 April 2008 Deadline for receipt of final action and implementation plan(s) produced by each institution required to respond
2 May 2008 Deadline for receipt of action and implementation plans for 2006 07 HESA amendments for incorporation in the July provisional 2008-09 WP allocations
23 May 2008 Deadline for sign-off for amendments to 2006 07 HESA data for incorporation in the July provisional 2008-09 WP allocations
18 June 2008 Final deadline for sign-off for 2006-07 HESA data amendments and overrides to primary derived fields as detailed in action and implementation plan(s)
1 September 2008 For institutions asked to respond to the comparison of the HESES06 and HESES06 re-creation: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments (see paragraphs 32 36 of the Introduction)
1 September 2008 For lead institutions of a HEFCE-recognised funding consortium asked to respond to the deadline: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments (see paragraphs 32 36 of the Introduction)
1 September 2008 For institutions asked to respond to the comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments
13 February 2008 Issue of letter to all institutions, requesting response to exercise where appropriate
30 April 2008 Deadline for receipt of final action and implementation plan(s) produced by each institution required to respond
2 May 2008 Deadline for receipt of action and implementation plans for 2006 07 HESA amendments, for incorporation in the July provisional 2008-09 WP allocations
23 May 2008 Deadline for sign-off for amendments to 2006 07 HESA data, for incorporation in the July provisional 2008-09 WP allocations
18 June 2008 Final deadline for sign-off for 2006-07 HESA data amendments and overrides to primary derived fields as detailed in action and implementation plan(s)
1 September 2008 For institutions asked to respond to the comparison of the HESES06 and HESES06 re-creation: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments (see paragraphs 32-36 of the Introduction)
1 September 2008 For lead institutions of a HEFCE-recognised funding consortium asked to respond to the deadline: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments (see paragraphs 32-36 of the Introduction)
1 September 2008 For institutions asked to respond to the comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms: deadline for confirmation that the HESES06 re-creation reasonably reflects the outturn position for 2006-07 to avoid interim grant adjustments

14.   Table A summarises the response required for each of the comparisons, along with the possible causes of differences.

Table A Response process for institutions required to respond

Comparison causing selection

Differences to explain in action and implementation plan

Possible causes of differences

HESES06 and the HESES06 re-creation

All differences between HESES06 and the HESES06 re-creation

Errors in HESA student data

Errors/estimation discrepancies in HESES06

Problems of fit with the HESES06 re-creation algorithms

HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms

All differences between the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms, to include any differences between the HESES06 and the HESES06 re-creation

Errors in the HESA student data

Errors/estimation discrepancies in HESES06

Problems of fit with the HESES06 re-creation algorithms

Problems of fit with the mapping for cost centre sector norms

RAS06 and the RAS06 re-creation

RAS06 and the RAS06 re-creation differences

Errors in the HESA student data

Errors/estimation discrepancies in RAS06

Problems of fit with the RAS06 re-creation algorithms

CFEE06 and the CFEE06 re-creation

All differences between CFEE06 and the CFEE06 re-creation

Errors in HESA student data

Errors in CFEE06

Problems of fit with the CFEE06 re-creation algorithms

Downloads

Appendix 1   HESES06 re-creation algorithms

Download the 08_07_1 as MS Word (616 KB)

Appendix 2   Troubleshooting the differences between HESES06 and the HESES06 re-creation

Download the 08_07_2 as MS Word (176 KB) 

Appendix 3   Problems of fit with the HESES06 re-creation algorithms

Download the 08_07_3 as MS Word (78 KB) 

Appendix 4   HESES06 re-creation based on cost centre sector norms algorithms

Download the 08_07_4 as MS Word (225 KB) 

Appendix 5   Troubleshooting the differences between the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms

Download the 08_07_5 as MS Word (72 KB) 

Appendix 6   Problems of fit with the HESES06 re-creation based on cost centre sector norms algorithms

Download the 08_07_6 as MS Word (64 KB) 

Appendix 7   Derived statistics likely to inform the 2008-09 widening participation (WP) allocations algorithms

Download the 08_07_7 as MS Word (504 KB) 

Appendix 8   RAS06 re-creation algorithms

Download the 08_07_8 as MS Word (390 KB) 

Appendix 9   Troubleshooting the differences between RAS06 and the RAS06 re-creation

Download the 08_07_9 as MS Word (84 KB) 

Appendix 10   Problems of fit with the RAS06 re-creation algorithms

Download the 08_07_10 as MS Word (73 KB) 

Appendix 11   Derived statistics likely to be used during HESES07 audits

Download the 08_07_11 as MS Word (115 KB) 

Appendix 12   Co-funded employer engagement (CFEE06) re-creation algorithms

Download the 08_07_12 as MS Word (96 KB) 

Appendix 13   Example action and implementation plans

Download the 08_07_13 as MS Excel Spreadsheet (111 KB) 

Appendix 14   Index of derived fields

Download the 08_07_14 as MS Word (247 KB) 

Combined appendices   

Download the 08_07a as zip (345 KB) 

Date: 1 February 2008

Ref: 2008/07

To: Heads of HEFCE-funded higher education institutions

Of interest to those
responsible for:

Student data, Funding, Audit, Research

Enquiries should be directed to:

For enquiries regarding the HESES06 comparison contact: Rebecca Thomas tel 0117 931 7338, e-mail hesa_heses_stats@hefce.ac.uk

For enquiries regarding the cost centre comparison contact: Anne Southworth tel 0117 931 7415, e-mail hesa_heses_stats@hefce.ac.uk

For enquires regarding the use of HESA data to inform the 2008-09 widening participation allocations contact: Christine Daniel tel 0117 931 7373, e-mail hesa_heses_stats@hefce.ac.uk

For enquiries regarding the RAS06 comparison, HESES07 audits or CFEE06 re-creation contact: Anthony Ryan tel 0117 931 7297, e-mail hesa_heses_stats@hefce.ac.uk