2009-10 statistics derived from HESA data for monitoring and allocation of funding

To:

Heads of HEFCE-funded higher education institutions

Of interest to those responsible for:

Student data, Funding, Audit, Research

This document describes the process we will use when reconciling 2009-10 data returns made to the Higher Education Statistics Agency (HESA) with other returns made to HEFCE. It also describes how we use HESA data to inform the widening participation and teaching enhancement and student success allocations, and the partial completion weighting, for 2011-12.

Contents

• Introduction
• Section A Summary of changes
• Section B Indicative funding summaries
• Section C Funding data reconciliations
• Annex A List of abbreviations
• Appendix 1 HESES09 re-creation algorithms
• Appendix 2 Troubleshooting the differences between HESES09 and the HESES09 re-creation
• Appendix 3 Problems of fit with the HESES09 re-creation algorithms
• Appendix 4 HESES09 re-creation based on cost centre norms algorithms
• Appendix 5 Troubleshooting the differences between the HESES09 re-creation and the HESES09 re-creation based on cost centre sector norms
• Appendix 6 Problems of fit with the HESES09 re-creation based on cost centre sector norms algorithms
• Appendix 7 RAS09 re-creation algorithms
• Appendix 8 Troubleshooting the differences between RAS09 and the RAS10 re-creation
• Appendix 9 Problems of fit with the RAS09 re-creation algorithms
• Appendix 10 CFEE09 re-creation algorithms
• Appendix 11 Troubleshooting the differences between CFEE09 and the CFEE09 re-creation
• Appendix 12 Problems of fit with the CFEE09 re-creation algorithms
• Appendix 13 Derived statistics that may inform the 2011-12 WP allocations algorithms
• Appendix 14 Derived statistics that may inform the 2011-12 TESS allocation algorithms
• Appendix 15 Derived statistics that may inform the 2011-12 partial completion weighting

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Executive summary

Purpose

1. This document describes:

• how we used 2009-10 Higher Education Statistics Agency (HESA) student data to inform 2011-12 funding allocations
• how we used 2009-10 HESA student data to monitor returns made to HEFCE
• the responses required from institutions to these monitoring processes.

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

• how we used HESA data to inform 2011-12 widening participation (WP) allocations
• how we used HESA data to inform 2011-12 teaching enhancement and student support (TESS) allocations
• how we used HESA data to inform the 2011-12 partial completion weighting
• the comparison of Higher Education Students Early Statistics Survey 2009-10 (HESES09) with HESA 2009-10 student data
• the comparison of institutional cost centre assignments with cost centre sector norms for subjects
• the comparison of Research Activity Survey 2009 (RAS09) with HESA 2009-10 student data
• the comparison of the aggregate return to monitor 2009-10 co-funded employer engagement student numbers (CFEE09) with HESA 2009-10 student data.

Key points

3. Our recurrent grants to institutions are almost entirely allocated by formula and informed by data provided by institutions.

4. We use individualised student data submitted to HESA to inform some elements of our teaching grant: funding for WP and TESS and the weighting factor for student partial completions. This document explains how we used these data for our 2011-12 funding allocations. Alongside this, we are releasing data to institutions, via our extranet, showing outcomes for these elements of teaching grant derived from their 2009-10 HESA data.

5. We also use the HESA data to reconcile against aggregate data returns that institutions have previously submitted directly to us: the HESES, CFEE and RAS student data returns. This involves reconstructing for all institutions what these original funding data returns for the institution would have looked like if they had been based on their HESA data: we are releasing these outputs to all institutions via our extranet. Where differences between the original and re-created returns result in significant funding discrepancies, we will select the institution to go through a reconciliation process (the 'derived statistics exercise'), which involves explaining the reasons for data differences and, if necessary, submitting amendments to their HESA data. At the end of the process, we will treat the final (amended) HESA data as superseding the original HESES, CFEE or RAS returns and will implement any consequential funding adjustments for all relevant years (subject to an appeals process where appropriate). This document explains the algorithms we use to reconstruct the HESES and RAS student data from the HESA return and the processes involved where an institution is required to respond to the reconciliation exercise.

6. 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 or student number allocations, then we will adjust these accordingly. This is subject, where appropriate, to an appeals process and the availability of our funds.

Data quality

7. 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.

Sections and appendices

8. Sections A to C describe how we will use HESA data for this exercise. The technical appendices describe the algorithms we will use.

Action required

9. We expect institutions to review all the outputs that we have derived from their HESA data, with a view to understanding how their data are used for funding purposes and identifying any possible discrepancies in their HESA, HESES or RAS data.

Institutions wishing to correct HESA data that affect 2011-12 funding

10. We use 2009-10 HESA data to inform some elements of our teaching grant calculations for 2011-12. If errors are identified in HESA data, institutions may inform us of these errors by submitting an action plan. The timetable for submission of an action plan and sign-off for amendments may be found in paragraph 14.

Institutions required to respond to a reconciliation of 2009-10 student data

11. We will write to heads of institutions, copied to HESES and RAS contacts, specifying whether a response is required to any part of the exercise. Notwithstanding the selection thresholds, we may also ask for further information from any institution about their data, including in respect of any of the comparisons between their HESA and other data returns. This may result ultimately in adjustments to grant, where appropriate.

12. Where a response is required, action plans must be returned by Friday 13 May 2011.

13. The final deadline for receipt of amendments to HESA data and overrides to primary derived fields detailed in the action plans is Friday 27 May 2011.

Timetable

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

11 May 2011	Deadline for receipt of action plans for institutions wishing to make amendments for their WP and TESS allocations
13 May 2011	Deadline for receipt of final action plans produced by each institution required to respond
25 May 2011	Deadline for sign-off for institutions wishing to make amendments for their WP and TESS allocations
27 May 2011	Deadline for submitting amendments and overrides to primary derived fields for each institution required to respond
10 June 2011	Final deadline for sign-off for 2009-10 HESA data amendments and overrides to primary derived fields as detailed in action plans for each institution required to respond

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