June 2007/15 (web only)
Core funding/operations
Assurance and funding

This report is for information and guidance

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2006-07 statistics derived from HESA data
Guide to HEFCE web facility

This document is a guide to HEFCE's web facility which generates several types of analysis from Higher Education Statistics Agency (HESA) student data. Use of the web facility will help higher education institutions to return accurate data to HESA, and to identify errors and forecasting discrepancies in HEFCE funding returns.

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To:	Heads of HEFCE-funded higher education institutions Heads of universities in Northern Ireland
Of interest to those responsible for:	Student data, Audit, Finance
Reference:	2007/15
Publication date:	June 2007
For enquiries regarding:	The HESES06 comparison, cost centre sector norms comparison or RAS06 comparison contact: Rebecca Thomas tel 0117 931 7338 Peter McMahon tel 0117 931 7338 e-mail hesa_heses_stats@hefce.ac.uk 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 The RDQRs or 2006-07 HEFCE-fundable student FTEs for TRAC(T) contact: Ben Grassby tel 0117 931 7493 e-mail hesa_heses_stats@hefce.ac.uk The Lifelong Learning Network (LLN) student summaries contact: Anthony Ryan tel 0117 931 7297 e-mail hesa_heses_stats@hefce.ac.uk The use of HESA data in HEFCE publications and to inform policy contact: Lisa Readdy tel 0117 931 7492 e-mail hesa_heses_stats@hefce.ac.uk

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Executive summary (read online)

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Download entire document as a zip file

[ Zipped PDF 1.7Mb ]

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Contents

• Executive summary
• Introduction

Annexes

• Annex A   Summary of changes since publication of '2005-06 statistics derived from HESA data: guide to HEFCE web facility' (HEFCE 2006/23)
• Annex B   How to use the HEFCE web facility
• Annex C   Comparison of HESES06 and the HESES06 re-creation
• Annex D   Comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms
• Annex E   Derived statistics likely to inform the 2008-09 widening participation (WP) allocations
• Annex F   Comparison of RAS06 and the RAS06 re-creation
• Annex G   Research degree qualification rates (RDQRs)
• Annex H   Submitting amendments to 2005-06 HESA data for the purpose of correcting RDQRs
• Annex I   Submitting historic data error (HDE) files for the purpose of correcting RDQRs
• Annex J   Guidance for competing and submitting RDQR action plans
• Annex K   2006-07 HEFCE-fundable student FTEs for TRAC(T)
• Annex L   Information for lead institutions of HEFCE-recognised funding consortia
• Annex M   Lifelong Learning Network (LLN) student summaries
• Annex N   HEFCE statistics used for publication and to inform policy
• Annex O   Submitting overrides to primary derived fields
• Annex P   Using the HESES07 non-completion toolkit
• 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    Generating the indicative 2008-09 widening participation (WP) allocation using the individualised file
• Appendix 9    RAS06 re-creation algorithms
• Appendix 10  Troubleshooting the differences between RAS06 and the RAS06 re-creation
• Appendix 11  Problems of fit with the RAS06 re-creation algorithms
• Appendix 12  2006-07 RDQR algorithms
• Appendix 13  Generating the 2006-07 RDQR outputs from the individualised file
• Appendix 14  Example RDQR action plan
• Appendix 15  2006-07 HEFCE-fundable student FTEs for TRACT(T) algorithms
• Appendix 16  Generating the 2006-07 HEFCE-fundable student FTEs for TRAC(T) from the individualised file
• Appendix 17  Lifelong Learning Network (LLN) student summaries algorithms
• Appendix 18  HEFCE statistics used for publications and to inform policy algorithms
• Appendix 19  HESES07 non-completion toolkit algorithms
• Appendix 20  Index of derived fields

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Executive summary

Purpose

1.   This document is a guide to HEFCE's web facility which is provided to institutions so that they can verify and correct, where appropriate, their 2006-07 Higher Education Statistics Agency (HESA) student data prior to submission. It generates the following derived statistics:

1. Higher Education Students Early Statistics Survey 2006-07 (HESES06) re-creation.
2. HESES06 re-creation based on cost centre sector norms.
3. Those likely to be used to inform the 2008-09 widening participation (WP) allocations.
4. Research Activity Survey 2006 (RAS06) re-creation.
5. Research Degree Qualification Rates (RDQRs).
6. 2006-07 HEFCE-fundable student FTEs for the Transparent Approach to Costing (Teaching) [TRAC(T)].
7. Lifelong Learning Network (LLN) student summaries.
8. HEFCE statistics used for publication and to inform policy.
9. Higher Education Students Early Statistics Survey 2007-08 (HESES07) non-completion toolkit.

Key points

2.   The use of the web facility is strongly encouraged as it will assist institutions to:

1. Return accurate data to HESA.
2. Reduce the likelihood of selection for the derived statistics exercise for 2006-07 (selected institutions are typically subject to considerable additional work and the potential of funding adjustments).
3. Identify discrepancies between forecasts in HESES06 and the outturn position for 2006 -7.
4. Identify errors in HEFCE funding returns.
5. Ensure RDQRs and regional statistics derived from the data returned to HESA are suitable for publication.
6. Verify that 2006-07 HEFCE-fundable student FTEs for TRAC(T) are suitable to inform the review of price groups.
7. Make informed estimations of non-completion rates when compiling HESES07.

3.   This document (including the technical appendices which can be downloaded separately) provides:

1. Guidance for using the web facility.
2. Algorithms used in the production of the derived statistics.
3. Guidance on troubleshooting the differences between the HEFCE funding returns and the re-creations.
4. Guidance on re-building the web facility outputs using the individualised data files supplied.
5. Details of problems of fit with algorithms and guidance for submitting override files.
6. Guidance on submitting historic data error (HDE) files to correct RDQRs.
7. Guidance on the preparation and submission of RDQR action plans.
8. Guidance for using the HESES07 non-completion toolkit.

Outputs for publication

4.   This will be the last opportunity for institutions to verify the accuracy of the data underlying the RDQRs for full-time students starting in 2000-01 before they are asked to sign off these rates as suitable for publication. This will also be the last opportunity to ensure that 2006-07 HESA data, where these will inform future RDQRs, are accurate.

5.   The web facility is also the only opportunity to ensure that the regional statistics are suitable for publication.

New outputs

6.   The web facility will generate 2006-07 HEFCE-fundable student FTEs for TRAC(T). These data will be used by institutions that are contributing data to inform the review of price groups which will take place in time to inform teaching funding allocations for 2009-10 (see HEFCE Circular Letter 22/2006). Annex K provides further information on the methods we will use, while Appendices 15 and 16 contain technical information regarding the algorithms used to produce these data.

7.   This year's facility will also produce summary information relating to LLN students. Annex M provides further information on the methods we will use, while Appendix 17 contains technical information regarding the algorithms used to produce these data.

Action required

8.   Use of this web facility is optional, but we strongly encourage institutions to use it as part of their data quality processes. Reviews have confirmed that the web facility is an essential element of most higher education institutions' HESA data quality processes. These reviews have also revealed that institutions that do not use the facility are more likely to be selected for the monitoring exercise described in paragraph 10.

9.   The deadline for receipt of RDQR action plans (to enable us to authorise the submission of 2005-06 HESA amendments and HDE files) is 7 September 2007. The deadline for signing off 2005-06 HESA amendments and HDE files for the purpose of correcting RDQRs is 9 October 2007.

Relationship with 'Statistics derived from HESA data'

10.   We use the annual 'Statistics derived from HESA data for monitoring and allocation of funding' exercise to monitor institutions' HESES and RAS returns using HESA student data. This exercise occurs after we have received a final copy of all institutions' data from HESA, typically in the December following the web facility launch.

11.   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 erroneous data have resulted in institutions receiving incorrect funding allocations (including WP), then we will adjust their funding accordingly (subject to the appeals process and the availability of our funds). Any funding adjustments arising from the reconciliation of a re-creation of HESES06 from HESA 2006-07 student data (the HESES06 re-creation) with HESES06 or from the comparison of cost centre assignments with the sector norms, are likely to affect the funding previously announced for 2006-07 and all subsequent years, and WP funding for 2007-08.

12.    In recent years the vast majority of institutions selected for the monitoring exercise have had their funding adjusted because we have identified that erroneous data were returned to HEFCE and that this had resulted in their receiving incorrect funding allocations.

13.   Any funding adjustments arising from the reconciliation of RAS06 with the re-creation of RAS06 from HESA 2006-07 student data (the RAS06 re-creation) are likely to affect the funding previously announced for 2007-08.

14.   While the web facility is provided to complement the monitoring exercise it does not replace it.