2006-07 statistics derived from HESA data for monitoring and allocation of funding

Contents

• Executive summary
• Introduction

Annexes

• Annex A   Summary of changes since publication of HEFCE 2006/50
• Annex B   Comparison of HESES06 and the HESES06 re-creation
• Annex C   Comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms
• Annex D   Derived statistics likely to inform the 2008-09 widening participation (WP) allocations
• Annex E   Comparison of RAS06 and the RAS06 re-creation
• Annex F   Derived statistics likely to inform HESES07 audits
• Annex G   Comparison of 2006-07 co-funded employer engagement (CFEE06) and the CFEE06 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

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   RAS06 re-creation algorithms
• Appendix 9   Troubleshooting the differences between RAS06 and the RAS06 re-creation
• Appendix 10   Problems of fit with the RAS06 re-creation algorithms
• Appendix 11   Derived statistics likely to be used during HESES07 audits
• Appendix 12   Co-funded employer engagement (CFEE06) re-creation algorithms
• 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 2006-07 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 2006-07 HESA student data to inform 2008-09 funding allocations.

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

1. The comparison of Higher Education Students Early Statistics Survey 2006-07 (HESES06) with HESA 2006-07 student data.
2. The comparison of institutional cost centre assignments with cost centre sector norms for subjects.
3. How we intend to use HESA data to inform 2008-09 widening participation (WP) allocations.
4. The comparison of Research Activity Survey 2006 (RAS06) with HESA 2006-07 student data.
5. How we intend to use HESA data to inform Higher Education Students Early Statistics Survey 2007-08 (HESES07) audits.
6. The comparison of co-funded employer engagement 2006-07 (CFEE06) with HESA 2006-07 student data.
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.   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.

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 (including WP), 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 HESES06 with a re-creation of HESES06 from 2006-07 HESA student data (the HESES06 re-creation); from the comparison of cost centre assignments with the sector norms for subjects (the HESES06 re-creation based on cost centre sector norms), or from the reconciliation of 2006-07 Co funded Employer Engagement (CFEE06) with a re-creation of CFEE06 from 2006-07 HESA student data (the CFEE06 re-creation) are likely to affect the funding previously announced for 2006-07 and all subsequent years, including WP funding for 2007-08.

7.   Any funding adjustments arising from the comparison of RAS6 with a re-creation of RAS06 from 2006-07 HESA student data (the RAS06 re-creation) are likely to affect the funding previously announced for 2007-08. In exceptional cases, it may also affect funding for later years, such as allocations of moderation funding.

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 2008-09 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 1 September 2008 for institutions (except leads of HEFCE-recognised consortium) selected to respond to the comparison of HESES06 and the HESES06 re-creation. For institutions selected to respond to the comparison of the HESES06 re-creation and the HESES06 re-creation based on cost centre sector norms or institutions that are leads of a HEFCE-recognised funding consortium the deadline is 1 September 2008.

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 13 February 2008 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 30 April 2008.

12.   final deadline for receipt of amendments to HESA data and overrides to primary derived fields detailed in the action and implementation plans is 18 June 2008.

Timetable

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

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