2007-08 statistics derived from HESA data for monitoring and allocation of funding

Contents

• Introduction

• Annex A   Summary of changes since publication of HEFCE 2008/07
• Annex B   Comparison of HESES07 and the HESES07 re-creation
• Annex C   Comparison of the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms
• Annex D   Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations
• Annex E   Comparison of RAS07 and the RAS07 re-creation
• Annex F   Derived statistics that inform the 2009-10 flexible study measure weighting
• Annex G   Comparison of the aggregate return to monitor CFEE07 and the CFEE07 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

• Appendix 1   HESES07 re-creation algorithms
• Appendix 2   Troubleshooting the differences between HESES07 and the HESES07 re-creation
• Appendix 3   Problems of fit with the HESES07 re-creation algorithms
• Appendix 4   HESES07 re-creation based on cost centre norms algorithms
• Appendix 5   Troubleshooting the differences between the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms
• Appendix 6   Problems of fit with the HESES07 re-creation based on cost centre sector norms algorithms
• Appendix 7   Derived statistics that may inform the 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations algorithms
• Appendix 8   RAS07 re-creation algorithms
• Appendix 9   Troubleshooting the differences between RAS07 and the RAS07 re-creation
• Appendix 10   Problems of fit with the RAS07 re-creation algorithms
• Appendix 11   Derived statistics that may inform the 2009-10 flexible study measure weighting
• Appendix 12   Co-funded employer engagement (CFEE07) re-creation algorithms
• Appendix 13   Troubleshooting the differences between CFEE07 and the CFEE07 re-creation
• Appendix 14   Problems of fit with the CFEE07 re-creation algorithms
• Appendix 15   Example action and implementation plans
• Appendix 16   Index of derived fields

Executive summary

Purpose

1.   This document describes:

1. How we will use 2007-08 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 2007-08 HESA student data to inform 2009-10 funding allocations.

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

1. The comparison of Higher Education Students Early Statistics Survey 2007-08 (HESES07) with HESA 2007-08 student data.
2. The comparison of institutional cost centre assignments with cost centre sector norms for subjects.
3. How we may use HESA data to inform 2009-10 widening participation (WP) and teaching enhancement and student success (TESS) allocations.
4. The comparison of Research Activity Survey 2007 (RAS07) with HESA 2007-08 student data.
5. The comparison of the aggregate return to monitor 2007-08 co-funded employer engagement student numbers (CFEE07) with HESA 2007-08 student data.
6. How we use HESA data to inform 2009-10 flexible study measure weighting.
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.   We wrote to institutions on 27 April 2009 to announce the availability of the data outputs that accompany this exercise. Subsequently, in the week commencing 1 June 2009, we notified institutions of whether they have been selected to respond to this exercise.

5.   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.

6.   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 allocations), then we will adjust their funding accordingly. This is subject to the appeals process and the availability of our funds.

7.   Any funding adjustments arising from the reconciliation of HESES07 with a re-creation of HESES07 from 2007-08 HESA student data (the HESES07 re-creation); from the comparison of cost centre assignments with the sector norms for subjects (the HESES07 re-creation based on cost centre sector norms); or from the reconciliation of CFEE07 with a re-creation of CFEE07 from 2007-08 HESA student data (the CFEE07 re-creation) are likely to affect the funding previously announced for 2007-08 and all subsequent years, including WP funding for 2008-09.

8.   Any funding adjustments arising from the comparison of RAS07 with a re-creation of RAS07 from 2007-08 HESA student data (the RAS07 re-creation) are likely to affect the funding previously announced for 2008-09. In exceptional cases, they may also affect funding for later years, such as allocations of moderation funding.

9.   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. In particular if selected institutions have not signed off their re-creations by the deadlines given below, then we will implement any reductions to 2009-10 grants 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 Friday 10 July 2009 for all institutions (including lead institutions of HEFCE-recognised funding consortia) selected to respond to the comparison of HESES07 and the HESES07 re-creation or comparison of the HESES07 re-creation and the HESES07 re-creation based on cost centre sector norms.

Annexes and appendices

10. Annexes A to M describe how we will use HESA data for this exercise. The technical appendices describe the algorithms we will use.

Action required

Funding monitoring

11.   Where a response is required, action and implementation plans must be returned by Tuesday 30 June 2009.

12.   The final deadline for receipt of amendments to HESA data and overrides to primary derived fields detailed in the action and implementation plans is Tuesday 7 July 2009.

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