This document was sent to institutional contacts in October 2010

Core funding/operations
Assurance and funding / 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.
This report is for information and guidance

2009-10 statistics derived from HESA data


Guide to HEFCE web facility

1

Contents / Page
Executive summary / 4
Introduction / 7
Annexes
Annex A / Summary of changes / 13
Annex B / How to use the HEFCE web facility / 20
Annex C / Comparison of HESES09 and the HESES09 re-creation / 30
Annex D / Comparison of the HESES09 recreation and the HESES09 recreation based on cost centre sector norms / 32
Annex E / Comparison of RAS09 and the RAS09 recreation / 37
Annex F / Comparison of CFEE09 and the CFEE09 re-creation / 40
Annex G / Derived statistics that may inform the 2011-12widening participation (WP) allocations / 42
Annex H / Derived statistics that may inform the 2011-12 teaching enhancement and student success (TESS) allocations / 46
Annex I / Derived statistics that may inform the 2011-12partial completion weighting / 50
Annex J / Indicative 2011-12 research degree programme (RDP) supervision fund / 53
Annex K / Submitting amendments to 2008-09 HESA data for the RDP supervision fund / 54
Annex L / Submitting historical data error (HDE) files for the RDP supervision fund / 55
Annex M / Guidance for completing and submitting RDPsupervision fund action plans / 56
Annex N / 2009-10 HEFCE-fundable student FTEs for TRAC(T) / 57
Annex O / Derived statistics that may inform HESES10data audits / 59
Annex P / Derived statistics used for publication and to inform policy / 60
Annex Q / Lifelong Learning Network (LLN) student summaries / 62
Annex R / Submitting overrides to primary derived fields / 63
List of abbreviations / 69
Technical appendices (see separate downloads)
Appendix 1 / HESES09 recreation algorithms
Appendix 2 / Troubleshooting the differences between HESES09 and the HESES09 recreation
Appendix 3 / Problems of fit with the HESES09 recreation algorithms
Appendix 4 / HESES09 recreation based on cost centre sector norms algorithms
Appendix 5 / Troubleshooting the differences between the HESES09 recreation and the HESES09 recreation based on cost centre sector norms
Appendix 6 / Problems of fit with the HESES09 recreation based on cost centre sector norms algorithms
Appendix 7 / RAS09 recreation algorithms
Appendix 8 / Troubleshooting the differences between RAS09 and the RAS09 recreation
Appendix 9 / Problems of fit with the RAS09 recreation algorithms
Appendix 10 / CFEE09 re-creation algorithms
Appendix 11 / Troubleshooting the differences between CFEE09 and the CFEE09 recreation
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 allocations algorithms
Appendix 15 / Derived statistics that may inform the 2011-12 partial completion weighting
Appendix 16 / Indicative 2011-12 RDP supervision fund algorithms
Appendix 17 / 2009-10 HEFCE-fundable student FTEs for TRAC(T) algorithms
Appendix 18 / Generating the 2009-10 HEFCE-fundable student FTEs for TRAC(T) from the individualised file
Appendix 19 / Derived statistics that may inform HESES10 data audits
Appendix 20 / Derived statistics used for publication and to inform policy algorithms
Appendix 21 / LLN student summaries algorithms

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2009-10 statistics derived from HESA data

Guide to HEFCE web facility

To / Heads of HEFCE-funded higher education institutions
Heads of universities in Northern Ireland
Of interest to those responsible for / Student data, Audit, Finance
Publication date / This document was sent to institutional contacts in October 2010
For enquiries on the use of HESA data to inform the 201112 widening participation and teaching enhancement and student success allocations: / Paresh Prema
tel 0117 931 7314
e-mail
For all other enquiries / Michael Dockerty
tel 0117 931 7285
e-mail

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 2009-10 Higher Education Statistics Agency (HESA) student data prior to signing-off their data with HESA. It generates the following outputs:
  1. Higher Education Students Early Statistics Survey 2009-10 (HESES09) recreation.
  2. HESES09 re-creation based on cost centre sector norms.
  3. Research Activity Survey 2009(RAS09) re-creation.
  4. 2009-10 co-funded employer engagement student numbers (CFEE09) survey re-creation.
  5. Derived statistics that may be used to inform the 2011-12 widening participation (WP) allocation.
  6. Derived statistics that may be used to inform the 2011-12teaching enhancement and student success (TESS) allocation.
  7. Derived fields that may be used to inform the 2011-12 partial completion weighting.
  8. Indicative 2011-12 research degree programme (RDP) supervision funding allocation.
  9. 2009-10 HEFCE-fundable student full-time equivalent (FTE) student numbers for the Transparent Approach to Costing (Teaching), TRAC(T).
  10. Derived statistics that may inform HESES10data audits.
  11. Derived statistics used for publication and to inform policy.
  12. Lifelong Learning Network (LLN) student summaries.

Key points

  1. The use of the web facility is strongly encouraged because it will help institutions to:
  • return accurate data to HESA
  • reduce the likelihood of selection for the derived statistics reconciliation exercise for 200910 (selected institutions are typically subject to considerable additional work and the potential of funding adjustments)
  • identify discrepancies between forecasts for within-year HEFCE funding returns(such as HESES and RAS) and the outturn position for 200910
  • identify errors in HEFCE funding returns
  • verify that the derived fields that may inform funding allocations are accurate
  • verify that 2009-10 HEFCE-fundable student FTEs for TRAC(T) are suitable to inform the periodic review of price groups
  • verify that the derived statistics are suitable to inform HESES audits
  • verify that the student summaries for LLNs are suitable to inform the evaluation of the initiative
  • verify that the derived statistics are suitable for publication and to inform policy
  1. This document (including the technical appendices which can be downloaded separately) provides:
  • guidance for using the web facility
  • details of the algorithms used to generate the derived statistics
  • guidance on troubleshooting the differences between the HEFCE funding returns and the recreations
  • guidance on re-building the web facility outputs using the individualised data files supplied
  • details of problems of fit with algorithms
  • guidance on the preparation and submission of RDPsupervision fund action plans to correct data that may inform future RDP supervision funding allocations
  • guidance on submitting historical data error (HDE) files to correct data that may inform futureRDP supervision funding allocations
  • guidance for submitting overrides to our algorithms, and information on when this is appropriate
  • guidance for submitting amendments to 2008-09 HESA student data

Action required

  1. Use of this web facility is optional, but we strongly encourage institutions to use it as part of their data quality processes. Past reviews have confirmed that it 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 reconciliation exercises described in paragraphs6–12below.
  1. Institutions are invited to verify and, where appropriate, correct the data that may inform future (from 2012-13 onwards) RDP supervision funding allocations. For this year, the verification of these data is optional however we would encourage institutions to use this opportunity to understand the methodology we intend to use and correct any erroneous HESA data that may affect these allocations in future years. Paragraphs 13-14 provide further details of this process.

Relationship with ‘Statistics derived from HESA data’

  1. We use the annual ‘Statistics derived from HESA data for monitoring and allocation of funding’ exercise to monitor institutions’HESES, RAS and CFEE returns using HESA student data. This reconciliation exercise occurs after we have received a final copy of all institutions’ data from HESA, typically in the December following the web facility launch.
  1. 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 for WP, TESS and other targeted allocations), then we will adjust their funding accordingly (subject to anyappeals process and the availability of our funds).
  1. Any funding adjustments arising from the reconciliation of a recreation of HESES09 from HESA 2009-10 student data (the HESES09 recreation) with HESES09 or from the comparison of cost centre assignments with the sector norms for subjects (the HESES09 recreation based on cost centre sector norms), are likely to affect the funding previously announced for 2009-10 and all subsequent years, as well as WP, TESS and other targeted allocations for 2010-11.
  1. Any funding adjustments arising from the reconciliation of a recreation of CFEE09 from HESA 2009-10 student data (the CFEE09 recreation) with CFEE09 are likely to affect the funding previously announced for 2009-10, as well asWP and TESS allocations for 2010-11.
  1. Any funding adjustments arising from the reconciliation of a recreation of RAS09 from HESA 2009-10 student data (the RAS09 recreation) with RAS09 are likely to affect the funding previously announced for 2010-11.
  1. In recent years the vast majority of institutions selected for the reconciliationexercise 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.
  1. Institutions selected to make a response to the reconciliationexercise must typically undertake a substantial amount of work, which may take several months to complete. While the web facility is provided to complement the reconciliationexercise it does not replace it.

New outputs

2011-12 RDP supervision fund

  1. In ‘Advance notification of changes to HESES and HEIFES for 2010-11 and later years’ Circular Letter HEFCE 10/2010) weannounced our intention to use HESA data to inform the RDP supervision funding allocations from 2012-13 onwards and consequently remove the need to collect RAS. Later this year, the web facility will generate an indicative 2011-12 RDP supervision funding allocation based on 2009-10 (and earlier years’) HESA student data. While HESA data will not inform the 2011-12 RDP supervision funding allocations, institutions are invited to note the methodology that will be described in Annex J and Appendix 16 (to be added later this year), and consider whether any data errors in their HESA data (for 2009-10 or earlier years) are likely to affect these calculations in the future; and where appropriate make corrections.
  1. The timetable for correcting errors in HESA data that may inform the RDP supervision funding allocations will be provided later this year, along withguidance for submitting an action plan to correct these errors (which will be described in Annex M). We will provide a further opportunity to verify the data that may inform future RDP supervision funding allocations as part of the ‘2010-11 statistics derived from HESA data web facility’, however some institutions may wish to use this early verification opportunity.

Introduction

  1. This document provides guidance on using HEFCE’s web facility and its outputs. The primary purpose of the web facility is to help higher education institutions to return accurate HESA data. It provides institutions with an opportunity to identify, and therefore rectify, any errors in data that affect the outputs generated by the web facility, before these data are submitted to HESA.
  1. Use of this facility prior to signing-off their HESA return, is strongly encouraged by both HESA and HEFCE, because both organisations regard it as an essential element of all institutions’ data quality processes.
  1. We believe that the introduction of the web facility has contributed to an improvement in HESA student data returns. We have found that institutions that use the web facility are less likely to be selected for the statistics derived from HESA data exercise.
  1. Use of the web facility can also help identify errors and discrepancies between the forecasts made in HESES09 and the outturn position for 2009-10. Where discrepancies occur, we expect institutions to take full account of the outputs from the web facility when preparing future HESES returns. We encourage institutions to analyse the web facility outputs as part of their planning and audit processes.
  1. Changes to the web facility since the 2008-09 statistics derived from HESA data web facility are described in Annex A.
  1. The web facility generates 12outputs. These are:
  • a HESES09 re-creation
  • a HESES09 re-creation based on cost centre sector norms for subjects
  • a RAS09 re-creation
  • a CFEE09 re-creation
  • derived statistics that may inform 201112 WP allocations
  • derived statistics that may inform 2011-12 TESS allocations
  • derived statistics that may inform the 2011-12 partial completion weighting
  • indicative 2011-12 RDP supervision funding allocation (to follow later this year)
  • 2009-10 HEFCE-fundable student FTEs for TRAC(T)
  • derived statistics that mayinform HESES10data audits
  • derived statistics used for publication and to inform policy
  • LLN student summaries

Using the web facility

  1. The web facility can be accessed in two ways, by:
  1. ‘committing’ 2009-10 HESA data to HESA’s Data Collection System, or
  2. uploading 2009-10 HESA data file to the HEFCE extranet.

Instructions on how to access the HEFCE extranet are given in Annex B.

  1. Typically institutions use the web facility and retrieve the resultant derived statistics several times before all identified errors are corrected. Therefore, we will not restrict institutions’ use of the web facility. However, users should be aware that response times of the facility may be slower at times when there is high demand.
  1. Institutions should include adequate time within their timetable to allow them to make full use of the web facility without jeopardising HESA quality arrangements or timetables.
  1. The data submitted when using the web facility will not be viewed by HEFCE unless explicit permission has been provided by the institution. We will monitor usage in order to offer assistance where we see it has not been used by an institution. Please see paragraph 44below for further information regarding data confidentiality.

Re-creations of HEFCE funding returns

  1. The algorithms used to generate the re-creations of HEFCE funding returns (that is, HESES09, RAS09 and CFEE09) are intended to be the same as those that will be used for the ‘Statistics derived from HESA data for the monitoring and allocation of funding’ exercise. We may, however, make changes where we believe these will improve the algorithms.
  1. We strongly advise that institutions use this opportunity to identify the cause of all discrepancies between the re-creations and their HEFCE funding returns, so that where errors in HESA data are a cause, these can be corrected before submission to HESA. The removal of such errors in HESA data reduces the likelihood of selection for the 2009-10 statistics derived from HESA data exercise.

HESES09 re-creation

  1. The web facility generates a recreation of HESES09 from HESA 2009-10 student data. This includes the re-calculation of:
  • formulaic adjustments to teaching grant
  • 2010-11 WP allocation
  • 2010-11 improving retention element of the TESS allocation.

This output is coupled with a copy of the original HESES09 outputs for comparison and reconciliation. The HESES09 re-creation is generated using the methods described in Annex Cand the algorithms given in Appendix 1.

HESES09 re-creation based on cost centre sector norms

  1. The HESES09 re-creation is generated using cost centre data returned by individual institutions to determine price group assignments. In addition to this re-creation, the web facility generates a re-creation of HESES09 that uses cost centre sector norms for subjects to determine price group assignments, rather than the cost centres returned by the institution. The cost centre sector norms are the most commonly returned cost centre for each subject area on the 2009-10HESA return. Further details on how we generated the cost centre sector norm mapping and other information about this re-creation are provided in Annex D and the algorithms are given in Appendix 4.
  1. The ‘HESES09re-creation based on cost centre sector norms’includes a recalculated grant adjustment report that is produced by applying the same formulae that were used to calculate the grant adjustment report for HESES09.

RAS09 re-creation

  1. The web facility generates a RAS09 re-creation from HESA 2009-10 student data. This includes a recalculation of the 2010-11 RDP supervision funding allocations. The RAS09 recreation is generated using the methods detailed in Annex Eand the algorithms detailed in Appendix 7.

CFEE09 re-creation

  1. The web facility generates a CFEE09 recreation from 2009-10 HESA student data. Where appropriate this includes an indication of the funding associated with the recruited fulltime FTEs and the difference in funding between the CFEE09 recreation and the original CFEE allocation (where these data are available).The CFEE09 recreation is generated using the methods described in Annex Fand the algorithms in Appendix 10.
  1. The CFEE09 return will not be collected until August 2010; however (until these data are available) the web facility provides an early opportunity to verify that the 2009-10 HESA student data are correct for these students.

Derived statistics thatmay inform HESES10 data audits

  1. We will use 2009-10 HESA student data to identify areas of further investigation during HESES10data audits. The web facility will generate two outputs that will be used to identify areas of potential further investigation relating to completion and FTE data. These outputs may be used as part of the HESES10data audits carried out by the HEFCE Assurance Service or agents acting on its behalf. Further details of these tests are given in Annex O, and the associated files are described in Appendix 19.

Derived statistics that may inform 2011-12 funding allocations

Derived statistics that may inform 2011-12 WP allocations

  1. 2009-10 HESA student data may be used to inform the following WP allocations for 201112:
  • widening access for students from disadvantaged backgrounds: full-time and part-time
  • widening access and improving provision for disabled students.
  1. The derived statistics used to inform the 2011-12 WP allocation may be generated using the methods detailed in Annex Gand the algorithms in Appendix 13.

Derived statistics that may inform 2011-12 TESS allocations

  1. 2009-10 HESA student data may be used to inform the improving retention element of the full-time TESS allocation for 2011-12. The institutional learning and teaching strategies, and research informed teaching elements of TESS are not informed by 2009-10 HESA data and therefore we have not shown them in the indicative 2011-12 TESS allocation output.
  1. The derived statistics used to inform the 2011-12 TESS allocations may be generated using the methods detailed in Annex Hand the algorithms in Appendix 14.

Derived statistics that may inform the 2011-12 partial completion weighting

  1. 2009-10 HESA student data may be used to inform the 2011-12 partial completion weighting. The derived statistics used to inform this weighting may be generated using the methods detailed in Annex Iand the algorithms in Appendix 15.

Indicative derived statistics that may inform future funding allocations

Indicative 2011-12RDP supervision fund

  1. 2009-10 (and earlier years’) HESA student data will be used to generate an indicative 2011-12 RDP supervision funding allocation. The methods used to generate the indicative allocation will follow later this year and will be detailed in Annex Jand the algorithms in Appendix 16.

HEFCE student summaries

HEFCE-fundable student FTEs for TRAC(T)

  1. The web facility will generate 2009-10 HEFCE-fundable student FTEs for TRAC(T). The methods used to generate the 2009-10 HEFCEfundable student FTEs for TRAC(T) are detailed in Annex N, and the algorithms are given in Appendices 17and 18.

LLN student summaries

  1. For institutions participating in an LLN during 2009-10we intend to identify LLN students using 2009-10HESA data. These data will be used as part of our evaluation of the LLN initiative. The web facility generates LLN student summaries so that institutions can verify that we identify their LLN students correctly. The methods used to generate the LLN student summaries are detailed in Annex Q, and the algorithms are given in Appendix 21.

Derived statistics for publication and to inform policy

  1. We intend to publish the following summaries of 2009-10 HESA student data. The summaries will be presented by mode and level of study, and will show:
  2. The location of students by teaching institution and campus
  3. students registered at one institution and taught by another institution
  4. students who study via distance learning
  5. subject of study.

These summaries enable us to map the provision of higher education by location. They may also be used to inform policy decisions.