Higher Education Students Early Statistics Survey 1996-97 (HESES96)
To Heads of HEFCE-funded Institutions
Heads of DENI-funded Universities
Of particular interest to those responsible for Student data; Funding
Reference 18/96
Publication Date October 1996
Response by 18 October 1996 (contact name)
6 December 1996 (data)
Enquiries to Morille Njau 0117 931 7338
Email: m.njau@hefce.ac.uk
Executive Summary
1. This circular requires institutions to complete a survey on all students registering for recognised HE courses during the academic year 1996-97.
2. The data will:
- a. Give the Council an early indication of the number of students in the academic year 1996-97.
- b. Enable it to compare student numbers with allocations made for the academic year 1996-97.
- c. Inform its allocation of funds for teaching to institutions for the academic year 1997-98.
3. This circular provides:
- a. Guidance notes on completing the HESES96 survey.
- b. Definitions of the categories used to classify students.
- c. Examples of the survey tables which will be distributed on computer disk.
4. Information in the annexes will assist institutions in completing the survey:
Annex A: Summary of Changes since HESES95
Annex B: Coverage of the Survey
Annex C: Table Descriptions
Annex D: Column Descriptions in the Tables
Annex E: Definition of Recognised HE Courses
Annex F: Definition of Academic Subject Categories (ASCs)
Annex G: Definition of Mode of Study
Annex H: Definition of Level
Annex I: Definition of Residential Status and Eligibility for Core Funding
Annex J: Validation Checks
Annex K: Links between HESES96 and HESA Student Data (HEIs only)
Annex L: Links between HESES96 and the FEFC ISR (FEIs only)
Annex M: Spreadsheet Notes
Annex N: Sample Tables (not available in the WWW version of this circular)
5. The Teacher Training Agency (TTA) will be collecting the data required for its funding process separately in 1996-97.
The HESES96 Survey
6. The 1996-97 Higher Education Students Early Statistics (HESES96) survey is one of three returns required by the Council for funding purposes. This survey and the Redistribution Survey should be completed by all institutions that receive HEFCE core funds for teaching. The Research Activity Survey is required only from institutions which expect to receive funding for research from the Council in 1997-98.
7. The coverage of the survey is defined in Annex B. Higher education (HE) institutions should provide numbers of HE students; further education (FE) institutions should return numbers of HE students registered on prescribed HE courses only.
8. The HESES96 census date is 1 December 1996. Institutions are required to notify registrations that occur between 1 August and 1 December 1996 as well as forecast student registrations expected to occur between 2 December 1996 and 31 July 1997. They should also provide estimates of the numbers of students who are not expected to complete their current year's studies.
9. Academic Subject Categories (ASCs) are defined in terms of the subject of the final qualification aim. Where codes indicate a major/minor or balanced combination of subjects split between two or more ASCs, the students should be allocated to the ASCs pro rata to notional subject weightings. When comparing HESES96 returns with data supplied to the Higher Education Statistics Agency (HESA), the Council will assume a 65/35 major/minor split across ASCs. Students whose qualification aim is a triple code should be apportioned evenly across all three ASCs. Students registered on modular programmes should be allocated to ASCs according to their mix of modules. Further details are given in Annex F.
10. The data in Tables 1a, 2a and 3a shown in Annex N should be a count of registrations not full-time equivalents (FTEs). The figures should add up to the total number of student registrations on recognised HE courses as defined in Annex E, whether fundable by HEFCE or not.
Data Collection and Verification
11. The Council will scrutinise all returns before using the figures to determine 1997-98 funding allocations. All data provided for funding purposes may be audited.
12. A number of validation checks will be applied to the HESES96 returns. These are listed in Annex J. Once the HESES96 data have been validated, verification tables will be sent to institutions to be checked and signed off. The Council may refuse to accept amendments to the HESES96 data once validation is completed.
13. HESES96 data will be compared with 1996-97 HESA student data for HE institutions, and 1996-97 Further Education Funding Council (FEFC) student data for FE institutions when these data become available. The Council may make retrospective adjustments to funding allocations in the light of these comparisons. Details are given in Annex K for HE institutions and Annex L for FE institutions.
14. A 3.5 inch computer disk containing four spreadsheet files for the HESES96 survey will be dispatched in November 1996. Details are given in Annex M. Completed information on disk, with one set of corresponding hard copy tables, should be returned no later than Friday 6 December 1996. It is important that returns are made on time because the information is needed to determine funding allocations for 1997-98.
15. For institutions which fail to return accurate data on time, the Council may base its funding allocations on its own estimate of student numbers in order to complete the allocation process.
16. Institutions are asked to supply a contact name and telephone number for use in the event of queries on HESES96 data and other funding surveys, and information about preferred spreadsheet formats, by 18 October 1996.
17. Returns should be sent to
Joanne Iles
HEFCE,
Northavon House,
Coldharbour Lane,
Bristol BS16 1QD.
Enquiries about this survey should be addressed to Morille Njau (telephone 0117 9317338 Email m.njau@hefce.ac.uk).
Annex A
Summary of Changes since HESES95
1. Information on students franchised out is being collected on Tables 1a, 2a and 3a.
2. Part-time load factors are being collected by ASC on Table 3a.
3. Estimates of part-time load factors for 1996-97 are being collected on Table 3a.
4. Information about students on courses funded through earmarked grants and special initiatives is no longer required as these have now been rolled into core funds.
5. Additional information is required about students studying mainly or wholly outside the UK. Currently the Council has no data on the extent to which students study overseas and comprehensive data is not available from the current HESA student record. The Council requires this information to inform future funding policy.
6. The medical and dental sub-divisions of ASC 1 are split to identify students on courses that lead to a statutory first registrable qualification.
Annex B
Coverage of the Survey
1. Data are required from all institutions which have received notification of core funding from the HEFCE for teaching for the academic year 1996-97.
2. All student numbers returned on this survey should represent the number of registrations and not FTEs.
Definition of Registration
3. Registration is more than the simple acceptance of a place by the student. For this survey, registration is defined as a binding undertaking to pay the institution, during the academic year 1 August 1996 to 31 July 1997, a fee for either tuition or supervision of research. A registration is deemed to have occurred even if the institution waives the fee. A registration is assumed to occur annually on the anniversary of the initial registration.
Students to be Counted (All institutions)
4. Students should be counted if they have completed, or are expected to complete, a process of registering within the academic year 1996-97. Students who registered in the previous academic year and are not expected to re-register should not be counted.
5. Registrations should be counted if they are for courses leading to a recognised higher education qualification or for an institutional credit that can be counted towards a recognised higher education qualification. Further details are given in Annex E.
6. Registrations should be split into two parts: those occurring between 1 August 1996 and 1 December 1996 inclusive; and additional registrations reasonably expected to occur between 2 December 1996 and 31 July 1997 inclusive. Registrations that occurred before 1 August 1996 should not be included.
7. Institutions are asked to forecast on a reasonable basis the number of registered students who are expected to change course, withdraw, or fail to complete a course during their year of study. A registered student should generally be considered to be actively pursuing studies unless the institution has been formally notified of the student's withdrawal from the course, or has deemed the student to have withdrawn through absence or otherwise. Non-attendance for examinations will usually indicate a student's failure to complete a course.
8. Students meeting all of the following criteria should be included in HESES96:
- a. Students who register during the year 1 August 1996 to 31 July 1997 or are re-registering for second or subsequent years of their study.
- b. Students who have the specific aim of obtaining a recognised HE qualification, or a credit that can be counted towards an HE qualification.
- c. Students who count as at least 3 per cent of an FTE (approximately one week of study).
- d. Students who are actively pursuing studies with the institution or are outgoing ERASMUS, TEMPUS or other outgoing exchange students.
9. Students meeting any of the following criteria should not be included in HESES96:
- a. Students not registering for recognised HE qualifications or credits as defined in Annex E.
- b. Students who count as less than 3 per cent of an FTE.
- c. Incoming exchange, ERASMUS, TEMPUS or JYA students.
- d. Students who are writing up a thesis or similar piece of work.
- e. Students who are not actively pursuing studies with the institution, except outgoing exchange students who should be included.
- f. Students interrupting their studies, intending to return in a later year.
- g. Students franchised in from another institution.
- h. Students taught by the institution under an associate college agreement.
10. Students meeting either of the following criteria should not be included in Tables 1,2 and 3 or columns 1 and 2 of Table 4a.
- a. Students who will not be included in the institution's individualised HESA or FEFC student records. All students included in HESES96 (except in Table 4a column 3) must be included in the institution's individualised HESA or FEFC student record, even if this is not normally compulsory under the coverage of these records.
- b. Students registered on courses franchised to an institution wholly outside the UK, unless the course has been specifically sanctioned as eligible for funding by the HEFCE.
FE Institutions
11. Students registered at FE institutions in 1996-97 pursuing prescribed HE qualifications, as defined in Annex E, are to be counted on this survey regardless of whether or not their places are funded by the HEFCE. Institutions should note that:- a. Students registering for non-prescribed HE qualifications should not be counted.
- b. Students franchised in from another institution should not be counted. c. Students taught under an associate college agreement, or any similar arrangement, should only be counted by the parent institution.
New Entrants
12. A key predictor of the size of the HE sector is the number of new entrants. For the survey new entrants are defined as students registered for the first (or only) year of a course leading to a recognised HE qualification. It should be noted that:
- a. Students re-taking the first year of a course should be included as new entrants.
- b. Students transferring between courses are to be included only if they are registered as first-year students on their new course.
- c. Students entering directly onto the second or subsequent year of a course should not be counted as new entrants.
- d. Students whose course includes a foundation year at HE level (year 0) should be counted as new entrants only during their foundation year. In such cases the student should not be counted as a new entrant during year 1 of the course.
Students Taught under Franchise, Associate College or Similar Arrangements
13. A franchised student is taught under a franchising arrangement by one institution while being registered at another. The institution which receives Council funding for the student is regarded as the institution which registers the student. A student can only be registered for any individual course at one institution.
14. Institutions which register students who are taught wholly or partly at another institution under a franchising arrangement must include them in the total numbers of registered students. They are to be regarded as 'franchised out' and should also be returned in column 7 of Tables 1a, 2a and 3a. Franchised out students must not be returned within the numbers of registered students of the institution teaching the students.
15. A student on a course run jointly by more than one institution, and not the subject of a franchising arrangement, should be counted only by the institution which receives the fee from the student or from a local authority or other body on behalf of that student.
16. Institutions operating collaborative or franchising arrangements must ensure that only one institution records the student in their HESES96 survey. This must be the same institution that returns the student record to HESA or the FEFC.
Classification of Students
17. The students in this survey are classified according to ASC, mode of study, level of study, residential status and eligibility for core funding. The cells are mutually exclusive, and taken together should add up to the total number of relevant registrations of students at the institution. Definitions of these classifications are given in Annexes F to I.
Audit
18. The Council may audit HESES96 data, including forecasts, so institutions should keep an audit trail of the survey.
Annex C
Table Descriptions
Tables 1-3
1. Tables 1 to 3 correspond to the three categories of 'mode of study' defined in Annex G. These tables are mutually exclusive and together should sum to the total number (not FTE) of relevant student registrations for the academic year 1996-97. Each table is divided into two parts:
- a. Student registrations: by ASC, level, residential status and eligibility for core funding. For part-time, student load factors should also be given.
- b. Home and EC student fees: numbers returned on this table relate to total home and EC registrations (both fundable and non-fundable) calculated from column 1 of part a.
Table 4
2. Table 4a collects information about students studying on courses mainly or wholly outside the UK: by domicile, eligibility for core funding, mode and level.
3. Table 4b asks for ASC 1 (excluding ASC 1.5 - veterinary science) to be re-classified according to quota definitions.
Annex D
Column Descriptions in the Tables
Tables 1a, 2a, and 3a - Student Registrations
1. Annex N shows Tables 1a, 2a, and 3a. Tables 1a and 2a have seven principal columns. Table 3a has eight columns, the first seven of which are identical to Tables 1a and 2a.
2. Column 1: Numbers of actual registrations occurring between 1 August 1996 and 1 December 1996, including language and outgoing full fee exchange students on their year out. Registrations recorded here should exclude all known withdrawals and non-completions. Students transferring between courses should be classified according to their mode, level and ASC as at 1 December 1996. Registrations that occurred before 1 August 1996 should not be included in this column.
3. Column 2: Transfer adjustments between ASCs and numbers of forecast registrations between 2 December 1996 and 31 July 1997. Figures should be estimates of transfers between ASCs of students recorded in column 1, and any additional registrations. For example, a net transfer of 10 students from Science to Business Studies would be shown as -10 in Science and +10 in Business Studies. If a further 12 student registrations are expected in Science then the table would show +2 in Science and +10 in Business Studies.
4. Column 3: Numbers of forecast non-completions between 2 December 1996 and 31 July 1997. Figures to be recorded here should be the estimate of the number of students included in column 1 and column 2 not completing their studies in the period for which they have registered. Students who sit examinations at the end of their course or at the end of the academic year but fail are deemed to have completed their studies and should not be included in this column. Numbers of non-completions must be entered as negative values on the spreadsheet.
5. Column 4: This is the overall assumed number of registrations for the academic year 1996-97. It is the sum of the first three columns (since the third column contains negative values). The calculation will be done automatically within the disk-based spreadsheet.
6. Column 5: Numbers of new entrants between 1 August 1996 and 1 December 1996, consistent with the definition of column 1. Paragraph 12 of Annex B gives the definition of new entrants for this survey.
7. Column 6: Numbers of new entrants between 2 December 1996 and 31 July 1997, consistent with the definition of column 2. Paragraph 12 of Annex B gives the definition of new entrants for this survey.
8. Column 7: Numbers of students franchised out between 1 August 1996 and 31 July 1997. Registrations recorded here should exclude all known or predicted withdrawals and non-completions. Students transferring between courses should be classified according to their mode, level and ASC at the end of the current registration. If only part of a student's provision is franchised out, then only that part should be recorded in this column. For example, a student taught 75 per cent of the time in another institution under a franchising agreement and 25 per cent at the registering institution should be recorded as 0.75.
9. Column 8 Table 3a only : Actual part-time load factors for the 1995-96 academic year and an estimate of the load factors for 1996-97. Estimates should be based on the load factors for academic year 1995-96, with adjustments made to reflect changes in provision and institutional plans. The calculations should relate only to Home and EC fundable registrations, and should be based on the load in relation to a full year of study for each registration. This may not be equivalent to the calculated FTE for the standard academic year (1 August to 31 July) for students following a non-standard academic year, depending on the method used to calculate the FTE. These factors can be entered using up to three decimal places and must be between zero and one. The weights can be calculated using the following formula:
Total load for all part-time assumed registrations
-------------------------------------------------
Total number of part-time assumed registrations
HE Institutions
10. The 1995-96 HESA student record will be used to monitor the values returned in column 8. This will be based on the field STULOAD (Field 74). For students studying in a non-standard academic year the load for the year of programme will be calculated taking account of the method institutions have used to calculate the STULOAD field.
FE Institutions
11. The 1995-96 Individualised Student Record (ISR) will be used to monitor the values returned in column 8.
Tables 1b, 2b, and 3b - Home and EC Student Fees
12. Column 1: This is the total Home and EC student registrations derived by summing the registrations eligible and ineligible for core funding (columns a and b) shown in column 1 of the Student Registration Tables 1a, 2a and 3a. This calculation will be done automatically within the disk-based spreadsheet. Note that this calculation rounds the result to the nearest whole number. Subsequent entries in the table will need to sum to this rounded total.
13. Column 2: Those in column 1 whose fees are paid by an English or Welsh local education authority (LEA).
14. Column 3: Those in column 1 whose fees are paid by the Student Awards Agency for Scotland (SAAS) or the Department of Education Northern Ireland (DENI).
15. Column 4: Those in column 1 whose fees are paid from any source not listed above. This will include any other government departments and private sources.
Within columns 2 and 3, students should be classified according to:
- a. Those for whom the institution expects to receive the first instalment of the full Band 1 fee of £750 for the whole academic year (half of this value for part-time or sandwich year out students).
- b. Those for whom the institution expects to receive the first instalment of the full Band 2 fee of £1,600 for the whole academic year (half of this value for part-time or sandwich year out students).
- c. Those for whom the institution expects to receive the first instalment of the full Band 3 fee of £2,800 for the whole academic year (half of this value for part-time or sandwich year out students).
- d. Any students not included in sections a to c above.
The validation cell will display 'OK' when all students have been assigned to a source of fee income.
Table 4a - Students Studying Mainly or Wholly Outside the UK
16. Students should be split by domicile, eligibility for core funding, mode and level. Only students studying for the majority or whole of their course outside the UK should be included in Table 4a; for example, sandwich year out students on placements abroad should not be included.
17. The numbers of students in this table may be based on estimates of the proportion of students studying mainly or wholly outside the UK for the current course. A record of the method used to obtain these estimates should be kept for audit purposes.
18. Columns 1 and 2 exclude students registered on courses franchised to an institution wholly outside the UK. If a student is registered on a course and is studying wholly outside the UK under some other arrangement, they should be included in column 2.
19. Column 1: Number of students returned in columns 1 or 2 of Tables 1a and 3a studying for the majority (over 50 per cent of time) but not for the whole of their course outside the UK.
20. Column 2: Number of students returned in columns 1 or 2 of Tables 1a and 3a studying for the whole of their course outside the UK.
21. Column 3: Students registered on courses franchised to an institution wholly outside the UK. Students recorded in this column need not necessarily appear on the institution's individualised student return to HESA, and should not appear on any other table of HESES96, unless the course has been specifically sanctioned as eligible for funding by HEFCE.
Table 4b - Medical Subjects
22. Students should be included on Table 4b if and only if they are included in ASC 1 (excluding ASC 1.5 Veterinary Science ) on Tables 1a, 2a, or 3a. The numbers should represent the total assumed registrations as defined for column 4 of Tables 1a, 2a and 3a within each mode, and should add up to the same number of students as in those tables.
23. These data are required to monitor medical and dental student numbers on courses that lead to statutory registration as a doctor or dentist.
24. For Table 4b only the following definitions apply:
- a. A 'quota' medical course is any programme of study which would normally be expected to lead to a first registrable medical qualification.
- b. A 'quota' dental course is any programme of study which would normally be expected to lead to a first registrable dental qualification.
- c. Students not on a 'quota' medical or dental course should be returned as 'other'. The following students should also be returned as 'other':
- i. Students on foundation years, conversion courses or other similar courses.
- ii. Students on intercalated years. Where an intercalated year is integrated into a 'quota' medical or dental course it should be assumed that the entire third year is an intercalated year.
- d. Whether a student is pre-clinical or clinical depends on the year of programme, not the year of a student. Thus a student retaking the first year of a course would be a first-year not a second-year student. The terms 'Pre-clinical' and 'Clinical' can therefore refer to different groups of students from those defined by ASCs on Tables 1a, 2a and 3a.
Pre-clinical Medicine
25. Students on the first two years of a 'quota' medical course should be classified as pre-clinical, except at Oxford and Cambridge where students on the first three years should be classified as pre-clinical. All other years should be recorded as either clinical or other. This definition is independent of the nature and design of the course; thus students on an integrated pre-clinical and clinical course should be counted as pre-clinical for the first two years (or three at Oxford and Cambridge).
Clinical Medicine
26. Students on a further three years of a 'quota' medical course, taken after the pre-clinical part of a course, or after a free-standing pre-clinical course, should be classified as clinical medicine.
Pre-Clinical Dentistry
27. Students on the first year of a 'quota' dental course should be classified as pre-clinical dentistry. Two-thirds of second year students should be classified as pre-clinical dentistry with the remaining third classified as clinical dentistry. This definition is independent of the nature and design of the course; thus students on an integrated pre-clinical and clinical course should be counted as pre-clinical in the manner defined above.
Annex E
Definition of Recognised HE Courses
Higher Education Institutions
1. A recognised qualification is one which is awarded on the successful completion of a prescribed course of HE, as defined in 'The Education (Prescribed Courses of Higher Education) (England) Regulations 1989'. For HEIs these include any postgraduate or undergraduate degree, accredited HE diploma or HE certificate, including HND and HNC. Other professional or vocational qualifications may be included if they are generally recognised as HE qualifications.
2. Only students who register with HE institutions with the aim of obtaining a recognised HE qualification, or institutional credit towards a recognised HE qualification, should be included in this survey.
Further Education Institutions
3. Students who register at FE institutions with the aim of completing a prescribed course of higher education as defined in 'The Education (Prescribed Courses of Higher Education) (England) Regulations 1989', or an institutional credit towards such a qualification, are to be included in this survey. In general, the definition pertaining to FE institutions is similar to that for HE institutions, with the exception of part-time sub-degree courses and professional or vocational qualifications, both of which are usually classified as non-prescribed. Students on non-prescribed courses should be excluded.
Annex F
Definition of Academic Subject Categories (ASCs)
1. The ASCs are defined in terms of the HESACODE subject coding system for HE institutions. FE institutions must use the FESR system, if an FESR code for a course does not exist the most appropriate code should be used. There are no exceptions to these rules.
| ASC | Name | HESA (FESR) Subject Codes | |
| 1. | Clinical and Pre-clinical Subjects * | ||
| 1.1 | A1 | Pre-clinical Medicine | |
| 1.2 | A3 | Clinical Medicine | |
| 1.3 | A2 | Pre-Clinical Dentistry | |
| 1.4 | A4 | Clinical Dentistry | |
| 1.5 | D1 | Veterinary Sciences | |
| 2. | Subjects and Professions Allied to Medicine | B excluding B2 and B3 | Subjects Allied to Medicine |
| L5 Applied Social Work | |||
| 3. | Science | F | Physical Sciences |
| C | Biological Sciences | ||
| D excluding D1 | Agriculture and related subjects excluding D1, Veterinary Science | ||
| B2 | Pharmacology | ||
| B3 | Pharmacy | ||
| 4. | Engineering and Technology | H,J | Engineering and Technology |
| 5. | Built Environment | K | Architecture, Building and Planning Environmental Technologies |
| 6. | Mathematical Sciences, IT and Computing | G | Mathematical Sciences |
| N2 | Operational Research | ||
| P2 | Information Science | ||
| 7. | Business and Management | N excluding N2 | Business and Administrative Studies excluding N2, Operational Research |
| 8. | Social Sciences | L, M excluding L5 | Social Studies including Economics, Sociology, Politics and Law, excluding L5, Applied Social Work |
| 9. | Humanities | Q, R, T | Languages and related disciplines, |
| V | Humanities, | ||
| P excluding P2 | Mass Communication and Documentation excluding P2, Information Science | ||
| 10. | Art, Design and Performing Arts | W | Creative Arts |
| 11. | Education* | ||
| 11.1 | (HESA field TTCID=1) Any ITT QTS | ||
| 11.2 | (HESA field TTCID=3) INSET for school teachers | ||
| 11.3 | X Other (including non-QTS ITT) |
* split into sub-categories
Apportionment of Student Registrations to ASCs
Students on traditional major/minor, balanced and triple combinations
2. For all combination codes where each subject code falls into a different ASC, divide the total number of registrations between the relevant ASCs according to the nominal subject weights that constitute the final award. Total registrations for balanced combination courses would be divided 50:50 between two ASCs whereas major/minor combinations would be divided 65:35. Triple combinations should be divided equally among all three subjects. For example:
| Course | Course | Total | ASC | ||
| Code | Balance | Registrations | 3 | 6 | 7 |
| FG31 | =balance | 20 | 10 | 10 | 0 |
| GF13 | =balance | 20 | 10 | 10 | 0 |
| F3G1 | major F/minor G | 10 | 6.5 | 3.5 | 0 |
| G1F3 | major G/minor F | 10 | 3.5 | 6.5 | 0 |
| G1F3N1 | =balance | 12 | 4 | 4 | 4 |
The following exceptions apply:
ASC 1 - Clinical and Pre-Clinical Subjects
3. Medical and dental students who change from pre-clinical to clinical status during the academic year should be apportioned between the relevant sub-categories of ASC1. Up to two decimal places may be used for this apportionment.
ASC 11 - Education
4. All registrations on courses leading to qualified teacher status (QTS) must be wholly assigned to ASC 11.1 (Education ITT QTS) irrespective of their HESA (FESR) subject codes. ASC 11.1 should contain all and only those students on courses of initial teacher training which lead to QTS on successful completion.
5. All registrations on courses classified as In-service/INSET training for school teachers should be recorded in ASC 11.2.
'Y' coded courses
6. HE institutions should apportion students to ASCs on the basis of the subject areas and proportions as defined in the HESA student record fields 101 to 147 (Subject Area of Study 1-16 and Proportion of Subject 1-16). HE institutions making a Module Record return to HESA should apportion students to ASCs on the basis of the module combination for each student.
7. FE institutions should apportion students to ASCs on the basis of the subject codes and the delivery hours on the ISR module data-sets associated with the qualification aim of each student.
Annex G
Definition of Mode of Study
Full-time
1. Students are classified as registered for full-time study if they meet all the following criteria:
- a. They are registered at an educational establishment.
- b. They are pursuing studies.
- c. They are normally required to attend the establishment's premises, or elsewhere, for periods amounting to 18 weeks within a consecutive 12 month period. And during these periods of attendance they are normally required to undertake periods of study, tuition or work experience which amount to an average of 21 hours a week.
- d. They are students for whom a whole full-time fee is chargeable for the current academic year.
2. This includes all full-time, sandwich, and language year abroad students, other than those falling within the definition of 'Full-time Sandwich Year Out' below.
Full-time Sandwich Year Out
3. Students are classified as registered for sandwich year out study if they meet all the following criteria:
- a. They are registered at an educational establishment.
- b. Their course falls within the definition of sandwich in Schedule 5 of the Education (Mandatory Awards) Regulations 1995 (Statutory Instrument 1995 No.3321).
- c. In the current academic year, the fees chargeable are either those described in paragraph (ix) of Schedule 1 of the above regulations, or half the whole full-time fees that would be charged if the student were classified as full-time.
Part-time
4. Students are classified as registered for part-time study if they meet the following criteria:
- a. They are registered at an educational establishment.
- b. They are pursuing studies.
- c. They do not meet the requirements set out in paragraphs 1 or 3 above.
5. This category includes all students who were previously classified as distance learners, and mainstreamed continuing education students.
Annex H
Definition of Level
Undergraduates
1. Students registered for a first degree, HE certificate or diploma, or equivalent, or students registered for a credit towards one of these qualifications.
Postgraduates
2. Students registered for courses or credits where a normal condition of entry is that entrants are already qualified to degree level.
- a. Taught Postgraduates
- Postgraduate students attending courses which are mainly taught, even though part of the course may include a dissertation. PGCE courses should be included as taught postgraduate courses.
- b. Research Postgraduates
- Postgraduate students attending courses which are mainly research, although they may contain some formal teaching.
Annex I
Definition of Residential Status and Eligibility for Core Funding
Home and EC Students
1. Students are classified as Home and EC if they have a relevant connection with the EC as defined under the Fees and Awards Regulations, as amended (SI 1994 No.3042) such that they would be entitled to pay home fees.
Home and EC Students Eligible for Core Funding
2. Home and EC students on courses of recognised HE that are open to any suitably qualified candidate and whose student place is not being funded from any other EC public source.
3. Students on self-financing courses should be included provided that the courses are open to any suitably qualified candidate. Student places formerly funded through the Council's HITECC and AIRS special initiatives should be included as eligible for core funding. Student places funded through the Council's Core Proposals should also be included.
4. The following students must not be counted as eligible for core funding by the HEFCE:
- a. Students whose places are funded from EC public sources other than the HEFCE, for example, Department of Health, NHS, GEST, Home Office (that is, where funding is provided in addition to the mandatory or recommended fee levels, pro-rata for part-time students).
- b. All other students registered on courses that are not funded through the Council's core funds for teaching, but whose funding has been separately agreed and notified by the Council. This includes all courses where the Council distributes funds on behalf of other government departments.
- c. Students registered on courses franchised to an institution wholly outside the UK, unless the course has been specifically sanctioned as eligible by the HEFCE.
- d. Students fundable by the TTA, that is, those students with a Teacher Training Course Identifier (Field 53) =1 or 3 on the HESA student record.
Home and EC Ineligible for Core Funding
5. These are students who may pay a home fee but whose place is not considered eligible for HEFCE core funding. This category includes those on courses where either:
- a. The student place is being funded from EC public sources other than the HEFCE ie where funding is provided in addition to the mandatory or recommended fee levels, pro-rated in the case of part-time students; or
- b. The course is not open to suitably qualified candidates.
In addition, the following students also fall into this category:
- c. All other students registered on courses that are not funded through the Council's core funds for teaching, but whose funding has been separately agreed and notified by the Council. This includes all courses where the Council distributes funds on behalf of other government departments.
Island and Overseas
4. All students who fall outside the definition of Home and EC in paragraph 1 above. This will include students domiciled in the Channel Islands and Isle of Man.
Annex J
Validation Checks
Validation checks are built into the disk-based spreadsheets wherever possible. Validation cells on the spreadsheet return 'OK' if the data has passed the validation, or an error message and number indicating the size of the error if it has failed.
Disk-based validations
1. Tables 1a, 2a, 3a: All figures entered in column 3 are negative or zero.
2. Tables 1b, 2b, 3b: Each row sum is equal to the whole number shown in column 1. HEFCE validations
Tables 1a, 2a, 3a.
3. For each mode, level and ASC, New Entrants (column 5) <= column 1.
4. For each mode, level and ASC, New Entrants (column 6) <= column 2.
5. In each funding cell where redistributed funds (1996 Redistribution survey) > 0, Assumed Registrations > 0.
6. For each mode, level and ASC, Franchised Out Students (column 7)<= column 1 + column 2.
7. For each level and ASC on table 3a, Part-time Load Factors (column 8) are between zero and one.
8. Table 4b: For each mode and fundability the total registrations must be equal to the total students in ASC1 (excluding 1.5 - Veterinary Science) returned in Tables 1a, 2a and 3a.
Annex K (HE Institutions only)
Links Between HESES96 and HESA Student Data
1. The Council will compare data supplied to HESA with HESES96 returns for each institution. The Council may make retrospective adjustments to funding allocations in the light of these analyses. This Annex contains details of the coding assumptions that will be used to perform this comparison.
Coverage
2. Every registration counted by an institution on HESES96 column 1 must also be returned on the December 1996 HESA Student Record by that institution. This includes any students that are taught under a collaborative or franchising arrangement. Registrations recorded as forecast new entrants will be monitored against the July 1997 HESA Student Record.
3. The following categories of student should not be included in HESES96:
| FE students | QUALAIM (Field 41) = 53, 54, 55, 71, 72, 73, 74, 75, 76, 77, 78 |
| No Qualification | QUALAIM (Field 41) = 97, 98, 99 |
| Students who withdraw before 1 December 1996 | DATELEFT (Field 35) <= 011296 and RSNLEAVE (Field 33) =4 - 11 |
| Students not actively pursuing HE studies with institution | MODE (Field 70) = 12, 13, 14, 36, 41, 42, 51, 61 |
| Incoming exchange students | SPCSTU (Field 28) = 3, 4, 5, 6, 8 |
| Students taught wholly outside the UK (except Table 4b, or where the course has been sanctioned by HEFCE) | LOCSDY (Field 71)=7 AND FUNDCODE (Field 65)<>1 |
4. Students whose FTE is less than 3 per cent should not be included in HESES96. This analysis will be based on STULOAD (Field 74). For students studying in a non-standard academic year the load for the year of programme will be calculated taking into account the method institutions have used to calculate the STULOAD field.
Student Classification
5. HESES96 should contain the following modes:
| Full-time and Sandwich | MODE (Field 70) = 11, 21, 22, 52, 53 |
| AND length of course > 18 weeks | |
| AND the student is not Sandwich Year Out as defined below | |
| Sandwich Year Out | MODE (Field 70) = 21, 22, 52, 53 |
| AND length of course > 18 weeks | |
| AND LOCSDY (Field 71) = 4, 5 | |
| AND FEEBAND (Field 67) = 12, 22, 32,42 | |
| Part-time | MODE (Field 70) = 31 - 35 |
| OR length of course <= 18 weeks |
6. HESES96 should contain the following levels:
| Undergraduate | QUALAIM (Field 41) = 20 - 52, 61 |
| Postgraduate Taught | QUALAIM (Field 41) = 3, 5, 7, 8, 10, 12, 13, 62 |
| Postgraduate Research | QUALAIM (Field 41) = 2, 4, 6, 14 |
7. Students will be classified as Home and EC Fundable if FUNDCODE(Field 65)=1 and TTCID (Field 53)=0,2,4.
8. Any student shown as a New Entrant should have Year of Programme (Field 72) = '1'.
9. Apportionment of students to ASCs is detailed in Annex F. For the purposes of comparing HESES96 returns with data supplied to HESA for 1996-97, the Council will assume a 65/35 major/minor split across ASCs. Students whose qualification aim is a triple code should be apportioned evenly across all three ASCs. Students registered on modular programmes should be allocated to ASCs according to their mix of modules.
10. Students whose programme commenced between 1 August and 1 December in any given year should appear in column 1 of Tables 1a, 2a and 3a. Students whose programme commenced between 2 December and 31 July in any year should appear in column 2. Students whose final registration occurred before 1 August 1996 should not be included in HESES96. These analyses will assume an initial registration occurred on the date in the COMDATE field and subsequent registrations occur on its anniversary.
11. Students will be classified as non-completions if DATELEFT (Field 35) > 011296 and RSNLEAVE (Field 33) = 4 - 11.
Fees Information
12. HESES96 should contain the following fee sources:
| English/Welsh LEA | MSTUFEE (Field 68) = 2 |
| SAAS / DENI | MSTUFEE (Field 68) = 3, 4 |
| Other | MSTUFEE (Field 68) = Any not included above |
13. HESES96 should contain the following fee levels:
| Band 1 | FEEBAND (Field 67) = 11 for Full-time students |
| or = 12 for Year Out and Part-time students | |
| Band 2 | FEEBAND (Field 67) = 21 for Full-time students |
| or = 22 for Year Out and Part-time students | |
| Band 3 | FEEBAND (Field 67) = 31 for Full-time students |
| or = 32 for Year Out and Part-time students | |
| Other | FEEBAND (Field 67) = 41, 42, 51, 99 |
Part-time Load Factors
14. The load factors for part-time fundable students will be based on the HESA field STULOAD (Field 74) and will use those registrations within the definition of column 4 on the HESES table. For students studying in a non-standard academic year, the load for the year of programme will be calculated taking into account the method institutions have used to calculate the STULOAD field.
Annex L (FE Institutions only)
Links Between HESES96 and the FEFC ISR 1996-97
1. The Council will compare data supplied to the FEFC with HESES96 returns for each institution. The Council may adjust funding allocations in the light of these analyses. This Annex contains details of the coding assumptions that will be used to perform this comparison.
2. FE institutions should include all students registered with the institution for a course of prescribed HE, or a credit that can be counted towards it. Students that are taught under a franchising, associate college or similar agreement should only be returned by the registering institution. The registering institution is also responsible for returning an individualised record to HESA or the FEFC.
3. The following tables show the definition of HESES96 in terms of the coding structures used by the FEFC ISR for 1996-97. The apportionment of students to ASCs is detailed in Annex F.
Student Classification
4. HESES96 should contain the following modes:
| Full-time and Sandwich | Q03 = 01, 02, 03 |
| AND Q17 - Q16 > 18 weeks | |
| AND full fee paid | |
| Sandwich Year Out | Q03 = 03 |
| AND half fee paid | |
| Part-time | Any other students where Q03 = 90, 99 |
5. Students should be classified according to domicile and fundability:
| Home and EC Fundable | S07 = UK or EC country code and Q10 = 2 |
| Home and EC Non-fundable | S07 = UK or EC country code and Q10 = 3 |
| Island and Overseas | All other countries and Q10 = 3 |
6. The following students should be entered as New Entrants:
| New Entrant | QHE02 = 1 |
7. HESES96 should contain the following fee sources:
| English & Welsh LEAs | QHE01 = 02 |
| SAAS, DENI | QHE01 = 03, 04 |
| Other | All other students |
8. HESES96 should contain the following fee bands:
| Band 1 | Q07 = 750 (325 for sandwich year out/part-time students) |
| Band 2 | Q07 = 1600 (800 for sandwich year out/part-time students) |
| Band 3 | Q07 = 2800 (1400 for sandwich year out/part-time students) |
| Other | All other students |
Part-time Load Factors
9. The load factors for part-time Home and EC fundable registrations will be derived from the fields Start Date (Q16), Expected End Date (Q17) and Guided Learning Hours (Q15). The following equation will be used:
| Q15 x 12 | |
| PTLOAD = | ---------------------------- |
| (Q17 - Q16) months x 450 |
Annex M
Spreadsheet Notes
1. A 3.5 inch computer disk containing spreadsheet versions of the tables to complete for the HESES96 survey will be despatched in November 1996. The disk will be checked for all known viruses, and individually prepared for each institution.
2. The disk will contain four spreadsheet files. Each filename will have a four character suffix identifying the institution. The disk contains the following files:
| Filename | HESES96 Return |
| FTS- - - - .WK1/XLS | Full-time and sandwich year in registrations |
| OUT- - - - .WK1/XLS | Sandwich year out registrations |
| PT- - - - .WK1/XLS | Part-time registrations |
| SUP- - - - .WK1/XLS | Supplementary information |
3. If the disk is corrupt or unreadable please contact Morille Njau (0117 9317338) for assistance.
4. It is advisable to make a back-up copy of the blank spreadsheets before attempting to edit the files.
5. All labels and table formats will be protected using spreadsheet cell protection facilities. Do not attempt to change the contents of protected cells, or the structure of the tables by adding or deleting any rows or columns.
6. Links between tables will be coded into the spreadsheets using formulae. The following cells contain formulae that refer to cells within other tables: Table 1b, 2b, 3b, column 1, total Home and EC registrations for each combination of ASC, mode, and level in Tables 1b, 2b, and 3b are calculated from numbers entered in column 1 of the corresponding Tables 1a, 2a, and 3a. All cells containing formulae are protected and must not be edited.
7. Apportionment between ASCs may result in fractions for some cells, but the total count of student registrations for each mode and level must be a whole number. Note that the total Home and EC student numbers for each ASC, mode and level calculated in column 1 of Tables 1b, 2b, and 3b (Fees) are rounded to the nearest whole number instead of displayed to the nearest whole number as in all other cells. A validation error will occur if the disaggregation into fee bands, etc, does not sum exactly to the corresponding whole number total.
8. Each spreadsheet contains a series of validation checks listed in Annex J.
9. On completing each spreadsheet, institutions should check that all validation cells display 'OK', and then save it on the disk in the format of the original blank table, overwriting the file, in other words, use the same filename and extension as the original file.
10. One set of hard copy prints of the spreadsheets should be returned with the disk.
11. Before sending the disk back to the HEFCE, institutions should make a back-up copy in case the disk is corrupted in transit. Disks should also be checked for viruses before despatch.
12. Institutions wishing to submit data over JANET should first contact Morille Njau, well before the return date to ensure compatibility between the HEFCE's and the institution's electronic mail systems.