December 2006/50 (web only)
Core funding/operations
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2005-06 statistics derived from HESA data for monitoring and allocation of funding

This document describes the process we will use when reconciling 2005-06 data returns made to the Higher Education Statistics Agency (HESA) with other returns made to HEFCE. We will write separately to all institutions and identify significant reconciliation differences where appropriate. This report also describes how we will use HESA data to inform the widening participation allocation for 2007-08.

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To:	Heads of HEFCE-funded higher education institutions
Of interest to those responsible for:	Student data, Funding, Audit, Research
Reference:	2006/50
Publication date:	December 2006
Enquiries to:	For enquiries regarding the HESES05 comparison contact: Peter McMahon, 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 enquiries regarding the RAS05 comparison or the TRAC05 student FTE summary contact: Ben Grassby, tel 0117 931 7493 e-mail hesa_heses_stats@hefce.ac.uk For enquiries regarding the widening participation allocations contact: Christine Daniel, tel 0117 931 7373 e-mail hesa_heses_stats@hefce.ac.uk

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Executive summary and table of contents (read online)

Frequently asked questions

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Contents

Annexes

Annex A   Summary of changes since publication of HEFCE 2005/50
Annex B   Comparison of HESES05 and the HESES05 re-creation
Annex C   Comparison of the HESES05 re-creation and the HESES05 re-creation based on cost centre sector norms
Annex D   TRAC05 student FTEs
Annex E   Comparison of RAS05 and the RAS05 re-creation
Annex F   Derived statistics likely to inform the 2007-08 widening participation allocations
Annex G   Information for leads of HEFCE-recognised funding consortia
Annex H   Obtaining data from the HEFCE extranet
Annex I   Guidance for completing and submitting action and implementation plans
Annex J   Procedure for submitting amendments to HESA data
Annex K   Submitting overrides to derived fields
Annex L   List of abbreviations

Technical appendices

Appendix 1   HESES05 re-creation algorithms
Appendix 2   Troubleshooting the differences between HESES05 and the HESES05 re creation
Appendix 3   Problems of fit with the HESES05 re-creation algorithms
Appendix 4   HESES05 re-creation based on cost centre sector norms for subjects algorithms
Appendix 5   Troubleshooting the differences between the HESES05 re-creation and the HESES05 re-creation based on cost centre sector norms
Appendix 6   Problems of fit with the HESES05 re-creation based on cost centre sector norms algorithms
Appendix 7   TRAC05 student FTE algorithms
Appendix 8   Generating the TRAC05 student FTE output from the TRAC05 individualised file
Appendix 9   RAS05 re-creation algorithms
Appendix 10   Troubleshooting the differences between RAS05 and the RAS05 re creation
Appendix 11   Problems of fit with the RAS05 re-creation algorithms
Appendix 12   Algorithms likely to inform the 2007-08 widening participation allocations
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 2005-06 Higher Education Statistics Agency (HESA) student data to monitor returns made to HEFCE.
2. The responses required from institutions to these monitoring processes.

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

1. The comparison of Higher Education Students Early Statistics Survey 2005-06 (HESES05) with HESA 2005-06 student data.
2. The comparison of institutional cost centre assignments with cost centre sector norms for subjects.
3. How 2005-06 HESA student data are used to inform the forthcoming review of price groups based on the Transparent Approach to Costing (TRAC).
4. The comparison of Research Activity Survey 2005 (RAS05) with HESA 2005-06 student data.
5. How we intend to use HESA data to inform 2007-08 widening participation (WP) allocations.
6. 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 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 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 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 HESES05 with a re creation of HESES05 from 2005-06 HESA student data (the HESES05 re creation), or from the comparison of cost centre assignments with the sector norms, are likely to affect the funding previously announced for 2005-06 and all subsequent years.

7.   Any funding adjustments arising from the reconciliation of RAS05 with a re creation of RAS05 from 2005-06 HESA student data (the RAS re creation) are likely to affect the funding previously announced for 2006-07.

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 2007-08 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 18 May 2007 for both the institutions selected to respond to the comparison of HESES05 and the HESES05 re-creation and those selected to respond to the comparison of the HESES05 re creation and the HESES05 re creation based on cost centre sector norms.

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 14 December 2006 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 9 February 2007.

12.   The final deadline for receipt of amendments to HESA data and overrides to derived fields detailed in the action and implementation plans is 30 March 2007.