HESA derived statistics for funding allocations and monitoring

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HESA derived statistics for funding allocations
and monitoring

• presented by
• Ewa Wawrzynska

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HESA derived statistics

• What is the derived statistics exercise?
• What is the web facility?
• How will we use HESA data to monitor funding?
• Timetable
• How do I find out more?

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HEFCE web facility

• Optional BUT numerous benefits
• Data quality
• Reduced likelihood of being selected
  potentially LESS WORK and reduced likelihood of
  funding adjustments
• Early identification of discrepancies
• Verification of the derived fields
• Informed estimates for future

and now THE MESSAGE TO TAKE HOME
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DO USE THE WEB FACILITY!
even though it is not mandatory
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What are the derived statistics?

• Monitor funding allocations
• Inform widening participation (WP) allocations
• Research Degree Qualification Rates (RDQRs)
• Transparent Approach to Costing for Teaching
  (TRAC(T)) student FTEs

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How do we monitor teaching funding with HESA data?

• Generate HESES re-creation using HESA data
• Generate HESES re-creation based on cost centre
  sector norms for subjects
• Select institutions to explain differences
  between HESES and HESES re-creation
• HESES re-creation supersedes HESES for funding
  purposes

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Teaching funding monitoring timetable

• December 2007 HESES07 deadline
• October 2008 Final deadline for 2007-08 HESA
  data
• November 2008 HEFCE receive 2007-08 HESA data
• December 2008 HESES08 deadline
• December 2008 Selection notification (HESES07
  and 2007-08 HESA)
• February 2009 Deadline for initial response
• March 2009 Deadline for amending 2007-08 HESA
  data (as part of this exercise)
• May 2009 Interim grant adjustments (if exercise
  not complete)
• October 2009 Final deadline for 2008-09 HESA
  data
• November 2009 HEFCE receive 2008-09 HESA data
• different for HESES re-creation based on cost
  centre sector norms

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How do we monitor research funding with HESA data?

• Generate RAS re-creation using HESA data
• Select institutions to explain differences
  between RAS and RAS re-creation
• RAS re-creation supersedes RAS for funding purpose

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Research funding monitoring timetable

• December 2007 RAS07 deadline
• October 2008 Final deadline for 2007-08 HESA
  data
• November 2008 HEFCE receive 2007-08 HESA data
• December 2008 RAS08 deadline
• December 2008 Selection notification (RAS07 and
  2007-08 HESA)
• February 2009 Deadline for initial response
• March 2009 Deadline for amending 2007-08 HESA
  data (as part of this exercise)
• October 2009 Final deadline for 2008-09 HESA
  data
• December 2009 Selection notification (RAS08 and
  2008-09 HESA)

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HESA derived statistics web facility (1)

• Available June each year
• Unlimited use/useable for entire year
• Submit HESA data to HEFCE extranet (secure)

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HESA derived statistics web facility (2)

• HESES re-creation
• HESES re-creation based on cost centre sector
  norms for subjects
• RAS re-creation
• Data likely to inform WP allocations
• Research Degree Qualification Rates (RDQRs)
• TRAC(T) FTEs for price group review
• CFEE re-creation

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HESA derived statistics web facility (3)

• Comprehensive guide on using web facility
• Full description of algorithms
• Trouble-shooting guidance
• Detail of problems of fit
• Pseudo code
• Support through helpline and e-mail

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DO USE THE WEB FACILITY!
even though it is not mandatory
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HESA-HESES exercise

• HESA-HESES07 comparison twelfth year HESA used
  to monitor funding
• HESES re-created for all HEIs
• All HEIs are tested against the selection
  criteria
• Similar exercise is conducted for FE Colleges
  using ILR data

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HESA-HESES outputs (1)

• Each HEI provided with
• HESES re-creation tables 1a, 1b, 2, 3, 4, 6 and 7
• HESES re-creation grant adjustment report,
  standard resource and assumed fees
• WP allocation report based on HESES re-creation
  assumed FTEs

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Table 7

• Transitional issues
• Use of the web facility to iron out any
  weaknesses
• Overrides will be available for problems of fit
• Standard years as Tables 1a, 2, 3
• Non-standard split FTE, 0100 as Tables 1a,
  2, 3

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HESA-HESES outputs (2)

• HESA-HESES comparison summary tables
• Equivalent HESES tables
• Individualised data for each HESA record
• Includes all derived fields used to re-create
  HESES

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HESA-HESES response criteria

• HESA-HESES06
• 500,000 difference in contract range holdback
• 500,000 net difference in funding conditional
  upon delivery of growth
• 100,000 difference in medical and dental
  contract FTE
• Model 2 LLN criterion
• HESA-HESES07
• ?
• WP criterion (based on HESES07 re-creation FTEs)
• Table 7 criterion

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DO USE THE WEB FACILITY!
even though it is not mandatory
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HESA-HESES no response required

• does not mean that HESA and HESES data are
  consistent
• discrepancies may impact WP funding allocations
• does not exempt HEI from subsequent data audit/
  retrospective funding adjustments

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HESA-HESES response required (1)

• Submit Action and Implementation Plan
• Action Plan to remove discrepancies between
  HESA-HESES
• Implementation Plan to ensure that similar errors
  do not recur in the future

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HESA-HESES response required (2)

• Action Plan should address all of the following
  (where relevant)
• Errors in HESES
• Errors in HESA
• Problems of fit with the HEFCE algorithms

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Errors in HESES

• HESES re-creation will only be signed-off once
  we are satisfied that it reasonably represents
  the outturn position for the year
• HESES re-creation will supersede HESES
• Retrospective adjustment to funding will be made

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Errors in HESA

• Corrections to HESA data
• Administrative fee will be charged by HESA (20
  of annual subscription)
• Revised HESA compared to HESES to ensure
  discrepancies are fully explained

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DO USE THE WEB FACILITY!
even though it is not mandatory
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Problems of fit with HEFCE algorithms (1)

• Known algorithmic approximations
• INSTAPP
• Part-time FTE (some non-standard years)
• Assignments to price groups (as above)

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Problems of fit with HEFCE algorithms (2)

• Unlikely to be sole cause for discrepancies
• Evidence may be requested (e.g. HE prospectus)
• Provide necessary data to correct assumptions and
  reconcile the two data sources

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Changes for HESES07 re-creation

• FTE for non-standard years
• Price groups for non-standard years
• Writing-up students
• Table 7

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Non-standard years (1)

• Tables 1a 6
• Transitional issues
• Use of the web facility to iron out any
  weaknesses
• LOADYRA/LOADYRB and MODYR not used for 2007-08,
  will be used for 2008-09 (where returned)
• Overrides will be available for problems of fit

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Non-standard years (2)

• STULOAD from 2007-08, except final instance year
• 1000 use previous years STULOAD
• 0100/split FTE previous STULOAD, except where
  one year of instance
• 0100 use norm where one year of instance
• Split FTE attempt to link between years where
  one year of instance, otherwise use norm
• Affects PT only
• Price group use proportions from 2007-08

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Non-standard years (3)

• Beyond 2007-08
• Review experience for HESES07
• Use LOADYRA/B and MODYR (where provided) need
  two years worth of data
• Where not provided use in-year STULOAD, unless
  final year
• Where final year, use previous years STULOAD
• Where final year and one year of instance, use
  norm

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Other changes for HESES07 re-creation

• MCDATE - identify when students write-up
• Split FTE method substantially reduces need to
  use FUNDCOMP3
• Full details of algorithms Appendix 1 of
  HESES07
• Feedback welcome

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Table 7 1000 non-standard years

• 1000 non-standard years
• Exclusion reasons
• FTE
• Mode, Fundability status, Columns 1 and 2, Column
  3

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Table 7 1000 exclusion reasons

• Exclusion reasons
• Students excluded from Tables 1a 6 because they
  are in their first year will be included
• Should not use FUNDLEV99 and FUNDCOMP9 for such
  students
• Where FUNDLEV99 and FUNDCOMP9 approximations
  will be used (based on other HESA fields)
• Final year students will be excluded

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Table 7 1000

• FTE
• assume STULOAD from 2007-08, except in first year
• Assume norm in first year
• Mode, fundability status, Column 1 and 2, Column
  3 assume from 2007-08

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RAS re-creation

• UOA collected (from RAS08 re-creation)
• Writing-up students
• FTE changes

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WP allocations
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Research Degree Qualification Rates (RDQRs)

• Published by institution, mode, home and overseas
• Publication of 1999-2000 FT starting cohort
  HEFCE 2007/29
• Full-time after seven years
• Part-time after nine years
• Mode-switchers after nine years

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RDQRs Action Plans

• Action Plans
• Correction of HESA data (for most recent year)
• Otherwise Historical Data Error (HDE) files
  submitted to HEFCE
• This year may be last opportunity to submit HDE
  files
• Audit

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TRAC(T) student FTEs

• Annual
• TRAC(T) Subject FACTS
• 2007-08 student FTEs derived from HESES07
  re-creation, but by cost centre
• Price group review

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Contact e.wawrzynska_at_hefce.ac.uk
orhesa_heses_stats_at_hefce.ac.uk0117 931 7353

• Further reading
• HEFCE 2008/07 on reconciliation
• HEFCE 2008/30 on web facility

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DO USE THE WEB FACILITY!
even though it is not mandatory