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Contents

  • Introduction
  • Annex A   Summary of changes since publication of HEFCE 2008/07
  • Annex B   Comparison of HESES07 and the HESES07 re-creation
  • Annex C   Comparison of the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms
  • Annex D   Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations
  • Annex E   Comparison of RAS07 and the RAS07 re-creation
  • Annex F   Derived statistics that inform the 2009-10 flexible study measure weighting
  • Annex G   Comparison of the aggregate return to monitor CFEE07 and the CFEE07 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
  • Appendix 1   HESES07 re-creation algorithms
  • Appendix 2   Troubleshooting the differences between HESES07 and the HESES07 re-creation
  • Appendix 3   Problems of fit with the HESES07 re-creation algorithms
  • Appendix 4   HESES07 re-creation based on cost centre norms algorithms
  • Appendix 5   Troubleshooting the differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms
  • Appendix 6   Problems of fit with the HESES07 re-creation based on cost centre sector norms algorithms
  • Appendix 7   Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations algorithms
  • Appendix 8   RAS07 re-creation algorithms
  • Appendix 9   Troubleshooting the differences between RAS07 and the RAS07 re-creation
  • Appendix 10   Problems of fit with the RAS07 re-creation algorithms
  • Appendix 11   Derived statistics that may inform the 2009-10 flexible study measure weighting
  • Appendix 12   Co-funded employer engagement (CFEE07) re-creation algorithms
  • Appendix 13   Troubleshooting the differences between CFEE07 and the CFEE07 re-creation
  • Appendix 14   Problems of fit with the CFEE07 re-creation algorithms
  • Appendix 15   Example action and implementation plans
  • Appendix 16   Index of derived fields

Executive summary

Purpose

1.   This document describes:

  1. How we will use 2007-08 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 2007-08 HESA student data to inform 2009-10 funding allocations.

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

  1. The comparison of Higher Education Students Early Statistics Survey 2007-08 (HESES07) with HESA 2007-08 student data.
  2. The comparison of institutional cost centre assignments with cost centre sector norms for subjects.
  3. How we may use HESA data to inform 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations.
  4. The comparison of Research Activity Survey 2007 (RAS07) with HESA 2007-08 student data.
  5. The comparison of the aggregate return to monitor 2007-08 co-funded employer engagement student numbers (CFEE07) with HESA 2007-08 student data.
  6. How we use HESA data to inform 2009-10 flexible study measure weighting.
  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.   We wrote to institutions on 27 April 2009 to announce the availability of the data outputs that accompany this exercise. Subsequently, in the week commencing 1 June 2009, we notified institutions of whether they have been selected to respond to this exercise.

5.   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.

6.   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 allocations), then we will adjust their funding accordingly. This is subject to the appeals process and the availability of our funds.

7.   Any funding adjustments arising from the reconciliation of HESES07 with a re-creation of HESES07 from 2007-08 HESA student data (the HESES07 re-creation); from the comparison of cost centre assignments with the sector norms for subjects (the HESES07 re-creation based on cost centre sector norms); or from the reconciliation of CFEE07 with a re-creation of CFEE07 from 2007-08 HESA student data (the CFEE07 re-creation) are likely to affect the funding previously announced for 2007-08 and all subsequent years, including WP funding for 2008-09.

8.   Any funding adjustments arising from the comparison of RAS07 with a re-creation of RAS07 from 2007-08 HESA student data (the RAS07 re-creation) are likely to affect the funding previously announced for 2008-09. In exceptional cases, they may also affect funding for later years, such as allocations of moderation funding.

9.   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. In particular if selected institutions have not signed off their re-creations by the deadlines given below, then we will implement any reductions to 2009-10 grants 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 Friday 10 July 2009 for all institutions (including lead institutions of HEFCE-recognised funding consortia) selected to respond to the comparison of HESES07 and the HESES07 re-creation or comparison of the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms.

Annexes and appendices

10. Annexes A to M describe how we will use HESA data for this exercise. The technical appendices describe the algorithms we will use.

Action required

Funding monitoring

11.   Where a response is required, action and implementation plans must be returned by Tuesday 30 June 2009.

12.   The final deadline for receipt of amendments to HESA data and overrides to primary derived fields detailed in the action and implementation plans is Tuesday 7 July 2009.

Timetable

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

27 April 2009 Announce availability of the data outputs that accompany this exercise
22 May 2009 Deadline for submission of an action plan detailing amendments to 2007 08 HESA data for incorporation in the July provisional 2009 10 WP and TESS allocations
29 May 2009 Deadline for sign-off for amendments to 2007-08 HESA data for incorporation in the July provisional 2009-10 WP and TESS allocations
Week commencing 1 June 2009 Issue letter to all institutions requesting response to the exercise where appropriate
30 June 2009 Deadline for receipt of final action and implementation plans produced by each institution required to respond
7 July 2009 Deadline for submitting amendments and overrides for each institution required to respond
10 July 2009 Final deadline for sign-off for 2007-08 HESA data amendments and overrides to primary derived fields as detailed in action and implementation plan(s) for each institution required to respond
10 July 2009 For all institutions (including leads of HEFCE-recognised funding consortia) asked to respond to either the comparison of HESES07 and the HESES07 re-creation or the comparison of the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms: deadline for confirmation that the HESES07 re-creation reasonably reflects the outturn position for 2007-08 to avoid interim grant adjustments (see paragraphs 33-37 of the Introduction)

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 selectionDifferences to explain in action and implementation planPossible causes of differences

HESES07 and the HESES07 re-creation

All differences between HESES07 and the HESES07 re-creation

Errors in HESA student data

Errors/estimation discrepancies in HESES07

Problems of fit with the HESES07 re-creation algorithms

HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms

All differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms, to include any differences between the HESES07 and the HESES07 re-creation

Errors in the HESA student data

Errors/estimation discrepancies in HESES07

Problems of fit with the HESES07 re-creation algorithms

Problems of fit with the mapping for cost centre sector norms

RAS07 and the RAS07 re-creation

RAS07 and the RAS07 re-creation differences

Errors in the HESA student data

Errors/estimation discrepancies in RAS07

Problems of fit with the RAS07 re-creation algorithms

CFEE07 and the CFEE07 re-creation All differences between CFEE07 and the CFEE07 re-creation

Errors in HESA student data

Errors in CFEE07

Problems of fit with the CFEE07 re-creation algorithms

Downloads

All technical appendices

Combined appendices
Download the 09_22ap.zip as zip (1,199 KB) | Download the 09_22a.zip as zip (424 KB) 

Technical appendices

Appendix 1 HESES07 re-creation algorithms
Download the Download Appendix 1 HESES07 re-creation algorithms as Adobe PDF 324K as PDF (308 KB) | Download the Download Appendix 1 HESES07 re-creation algorithms as MS Word 719K as MS Word (654 KB)

Appendix 2 Troubleshooting the differences between HESES07 and the HESES07 re-creation
Download the Download Appendix 2 Troubleshooting the differences between HESES07 and the HESES07 re-creation as Adobe PDF 110K as PDF (106 KB) | Download the Download Appendix 2 Troubleshooting the differences between HESES07 and the HESES07 re-creation as MS Word 238K as MS Word (191 KB)

Appendix 3 Problems of fit with the HESES07 re-creation algorithms
Download the Download Appendix 3 Problems of fit with the HESES07 re-creation algorithms as Adobe PDF 62K as PDF (61 KB) | Download the Download Appendix 3 Problems of fit with the HESES07 re-creation algorithms as MS Word 69K as MS Word (63 KB)

Appendix 4 HESES07 re-creation based on cost centre sector norms algorithms
Download the Download Appendix 4 HESES07 re-creation based on cost centre sector norms algorithms as Adobe PDF 101K as PDF (95 KB) | Download the Download Appendix 4 HESES07 re-creation based on cost centre sector norms algorithms as MS Word 208K as MS Word (192 KB)

Appendix 5 Troubleshooting the differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms
Download the Download Appendix 5 Troubleshooting the differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms as Adobe PDF 22K as PDF (21 KB) | Download the Download Appendix 5 Troubleshooting the differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms as MS Word 50K as MS Word (56 KB)

Appendix 6 Problems of fit with the HESES07 re-creation based on cost centre sector norms algorithms
Download the Download Appendix 6 Problems of fit with the HESES07 re-creation based on cost centre sector norms algorithms as Adobe PDF 11K as PDF (10 KB) | Download the Download Appendix 6 Problems of fit with the HESES07 re-creation based on cost centre sector norms algorithms as MS Word 64K as MS Word (49 KB)

Appendix 7 Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations algorithms
Download the Download Appendix 7 Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations algorithms as Adobe PDF 220K as PDF (209 KB) | Download the Download Appendix 7 Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations algorithms as MS Word 620K as MS Word (636 KB)

Appendix 8 RAS07 re-creation algorithms
Download the Download Appendix 8 RAS07 re-creation algorithms as Adobe PDF 145K as PDF (142 KB) | Download the Download Appendix 8 RAS07 re-creation algorithms as MS Word 306K as MS Word (299 KB)

Appendix 9 Troubleshooting the differences between RAS07 and the RAS07 re-creation
Download the Download Appendix 9 Troubleshooting the differences between RAS07 and the RAS07 re-creation as Adobe PDF 30K as PDF (29 KB) | Download the Download Appendix 9 Troubleshooting the differences between RAS07 and the RAS07 re-creation as MS Word 74K as MS Word (71 KB)

Appendix 10 Problems of fit with the RAS07 re-creation algorithms
Download the Download Appendix 10 Problems of fit with the RAS07 re-creation algorithms as Adobe PDF 49K as PDF (48 KB) | Download the Download Appendix 10 Problems of fit with the RAS07 re-creation algorithms as MS Word 53K as MS Word (53 KB)

Appendix 11 Derived statistics that may inform the 2009-10 flexible study measure weighting
Download the Download Appendix 11 Derived statistics that may inform the 2009-10 flexible study measure weighting as Adobe PDF 217K as PDF (216 KB) | Download the Download Appendix 11 Derived statistics that may inform the 2009-10 flexible study measure weighting as MS Word 407K as MS Word (404 KB)

Appendix 12 Co-funded employer engagement (CFEE07) re-creation algorithms
Download the Download Appendix 12 Co-funded employer engagement (CFEE07) re-creation algorithms as Adobe PDF 66K as PDF (63 KB) | Download the Download Appendix 12 Co-funded employer engagement (CFEE07) re-creation algorithms as MS Word 84K as MS Word (81 KB)

Appendix 13 Troubleshooting the differences between CFEE07 and the CFEE07 re-creation
Download the Download Appendix 13 Troubleshooting the differences between CFEE07 and the CFEE07 re-creation as Adobe PDF 28K as PDF (27 KB) | Download the Download Appendix 13 Troubleshooting the differences between CFEE07 and the CFEE07 re-creation as MS Word 52K as MS Word (69 KB)

Appendix 14 Problems of fit with the CFEE07 re-creation algorithms
Download the Download Appendix 14 Problems of fit with the CFEE07 re-creation algorithms as Adobe PDF 47K as PDF (46 KB) | Download the Download Appendix 14 Problems of fit with the CFEE07 re-creation algorithms as MS Word 52K as MS Word (51 KB)

Appendix 15 Example action and implementation plans
Download the 09_22_15.xls as MS Excel Spreadsheet (134 KB)

Appendix 16 Index of derived fields
Download the Download Appendix 16 Index of derived fields as Adobe PDF 69K as PDF (75 KB) | Download the Download Appendix 16 Index of derived fields as MS Word 52K as MS Word (351 KB)

 

Enquiries should be directed to:

Christine Daniel, tel 0117 931 7373, e-mail hesa_heses_stats@hefce.ac.uk

Anne Southworth, tel 0117 931 7415, e-mail hesa_heses_stats@hefce.ac.uk

Ewa Wawrzynska, tel 0117 931 7353, e-mail hesa_heses_stats@hefce.ac.uk