December 2004/47
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2003-04 statistics derived from HESA data for monitoring and allocation of funding

This document describes the process we will use when reconciling 2003-04 data returns made to the Higher Education Statistics Agency (HESA) with other returns made to us. Where we identify significant differences, we will write to the institutions concerned. This report also describes how we will use HESA data to monitor achievement against threshold standards for research degree programmes.

Executive summary (read on-line)

Frequently asked questions

Contents

Executive summary

Introduction

Annexes

Annex A   Summary of changes since HESA 2002-03 derived statistics (HEFCE 2004/10)
Annex B   Comparison of HESES03 and the HESES03 re-creation
Annex C   Comparison of the HESES03 re-creation and the HESES03 re-creation based on cost centre sector norms for subjects
Annex D   Comparison of RAS03 and the RAS03 re-creation
Annex E   Research degree rates of qualification
Annex F   HEFCE statistical publications
Annex G   Obtaining data from the HEFCE extranet
Annex H   Guidance for action and implementation plans
Annex I   Submitting amendments to HESA data
Annex J   Submitting overrides to the algorithms
Annex K   List of abbreviations

Technical appendices (available on the web)

Appendix 1   HESES03 re-creation algorithms
Appendix 2   Troubleshooting the differences between HESES03 and the HESES03 re-creation
Appendix 3   Problems of fit with the HESES03 re-creation algorithms
Appendix 4   HESES03 re-creation based on cost centre sector norms for subjects algorithms
Appendix 5   Troubleshooting the differences between the HESES03 re-creation and the HESES03 re-creation based on cost centre sector norms for subjects
Appendix 6   Problems of fit with the HESES03 re-creation based on cost centre sector norms for subjects algorithms
Appendix 7   RAS03 re-creation algorithms
Appendix 8   Troubleshooting the differences between RAS03 and the RAS03 re-creation
Appendix 9   Problems of fit with the RAS03 re-creation algorithms
Appendix 10   Research degree rates of qualification algorithms
Appendix 11   HEFCE statistical publications algorithms
Appendix 12   Example action and implementation plans

Executive summary

Purpose

1.   This document describes:

1. How we will use 2003-04 Higher Education Statistics Agency (HESA) student data to monitor returns made to HEFCE.
2. The responses required to these monitoring processes.
3. How we will use 2003-04 HESA student data to monitor achievement against threshold standards for research degree programmes.
4. How we will use 2003-04 HESA student data in HEFCE statistical publications.

2.   This document is divided into the following sections:

1. The comparison of Higher Education Students Early Statistics Survey 2003-04 (HESES03) with HESA 2003-04 student data.
2. The comparison of cost centre assignments with cost centre sector norms for subjects.
3. The comparison of Research Activity Survey 2003 (RAS03) with HESA 2003-04 student data.
4. The use of HESA 2003-04 student data to monitor achievement against threshold standards for research degree programmes.
5. The use of HESA student data in HEFCE statistical publications.

Information on how we intend to use HESA data to inform funding, including widening participation (WP) allocations, will be announced separately in early 2005.

Key points

Data quality

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

Funding monitoring

4.   The exercise is conducted in two interrelated but distinct parts. The first is the process of reconciling, explaining and amending the data up until 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 follows sign off, is the consideration of funding adjustments made, and the 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, 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 a re-creation of HESES03 from 2003-04 HESA student data (the HESES03 re-creation) with HESES03 or from the comparison of cost centre assignments with the sector norms for subjects, are likely to affect the funding previously announced for 2003-04 and all subsequent years.

7.   Any funding adjustments arising from the reconciliation of RAS03 with a re-creation of RAS03 from 2003-04 HESA student data (the RAS re-creation) are likely to affect the funding previously announced for 2004-05.

8.   In some cases the funding adjustments 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 2005-06 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 deadlines are 27 May 2005 for institutions selected to respond to the comparison of HESES03 and the HESES03 re-creation; and 6 July 2005 for institutions selected to respond to the comparison of the HESES03 re-creation and the HESES03 re-creation based on cost centre sector norms for subjects.

Annexes and appendices

9.   The annexes to this publication describe how we will use HESA data for this exercise. The web only appendices to this publication contain technical descriptions of the algorithms we will use.

Action required

Funding monitoring

10.   We will write to heads of institutions, copied to HESES and RAS contacts, on 17 December 2004 specifying whether a response is required to any part of the exercise.

11.   Where a response is required, action and implementation plan(s) must be sent to Ben Grassby by 11 February 2005. The final deadline for receipt of amendments to HESA data and overrides to derived fields detailed in the action and implementation plan(s) is 29 March 2005.

HESA data for verification and publication

12.   Where institutions wish to correct HESA data that will be used to monitor achievement against threshold standards for research degree programmes, they should submit amendments by 29 March 2005 to Ben Grassby.

13.   Where institutions wish to correct HESA data that will be used in HEFCE statistical publications, they should submit amendments by 29 March 2005 to Lisa Readdy. We will assume institutions are content for their HESA data to be published if they do not submit amendments by this date.

Timetable

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

15.   Table 1 summarises the response required for each of the comparisons, along with the possible causes of differences.

Table 1 Response process for institutions required to respond