HE-BCI Survey Part A questions and guidance

Q1. In which areas do you see your HEI as a whole making the greatest contribution to economic development? (Tick three)

Economic development is defined as the development of economic wealth of regions for the well-being of their inhabitants, including both wealth creation and social development or quality of life for the community. The emphasis is on external impact (outside the HEI), however such activities are also likely to support the development of teaching and research missions.

Regions are defined for Q1 as the UK RDA regions including the devolved administrations of Scotland, Wales and Northern Ireland.

(The nine RDAs in England are currently responsible for promoting sustainable economic development and economic and social regeneration within their regions. They work closely with business, local authorities, universities and other organisations to agree priorities for economic development. Further information about each RDA can be obtained from www.englandsrdas.com. The areas covered by the RDAs coincide with the Government Office Regions (GORs) (see National Statistics Government Office Regions (GORs)).

Similar activities are carried out within the Welsh Assembly Government, the Department of Enterprise, Trade and Investment in Northern Ireland, and Scottish Enterprise and Highlands and Islands Enterprise.)

Please select the most appropriate three options for the HEI as a whole.

Access to education

The general provision of education.

Graduate retention in local region

This also includes the retention of graduates who originate from elsewhere other than the region of the HEI.

Technology transfer

Technology transfer with commercial partners/NHS etc. This includes licences, science etc.

Supporting small and medium size enterprises (SMEs)

SMEs are classified as enterprises which:

• employ fewer than 250 employees worldwide (including partners and executive directors), and
• has either an annual turnover not exceeding 50m euros, or an annual balance sheet total not exceeding 43m euros, and;
• conforms to the following independence criteria:

SMEs include micro, small and medium enterprises, and sole traders

Attracting inward investment to region

Research collaboration with industry

Attracting non-local students to the region

Support for community development

This may also be in the form of community regeneration.

Developing local partnerships

Management development

Meeting regional skills needs

Meeting national skills needs

This refers to UK skills needs and not the national skills strategies of the devolved administrations which come under the umbrella of regional skills needs in the HE-BCI Survey.

Spin-off activity

This involves the creation of a new company based on work from the HEI. A spin-off is a new company formed on the basis of an HEI's intellectual property (IP).

Q2. Which of these Standard Industrial Classification (SIC) sectors does your HEI work with? (Tick all that apply)

This relates to the 21 sections of the UK Standard Industrial Classification of Economic Activities 2007 (SIC 2007). Further information is available in the Office for National Statistics publication UK Standard Industrial Classification of Economic Activities 2007

Agriculture, forestry and fishing

Mining and quarrying

Manufacturing

Electricity, gas, steam and air conditioning supply

Water supply, sewerage, waste management and remediation activities

Construction

Wholesale and retail trade; repair of motor vehicles and motorcycles

Transport and storage

Accommodation and food service activities

Information and communication

Financial and insurance activities

Real estate activities

Professional, scientific and technical activities

Administrative and support service activities

Public administration and defence; compulsory social security

Education

Human health and social work activities

Arts, entertainment and recreation

Other service activities

Activities of households as employers; undifferentiated goods - and services - producing activities of households for own use

Activities of extraterritorial organisations and bodies

Q3. Please indicate how the sectors identified in Q2 were determined. (Tick all that apply)

The HEI is a specialist institution focused on sector-specific areas

The HEI took its cue from priorities in RDA regional strategies

Response to demand from companies in these sectors

The HEI identified important business clusters in its region

These sectors had best fit with the HEI's strategy

The HEI focused on a 'gap in the market' left by other HEIs

Other - please specify

Q4. Please rank the following partners/clients in your HEI's third stream strategic priorities/aims from 1-4 (where 1 is the highest) in terms of benefits ultimately delivered. (Enter 0 (zero) if the option is not applicable to your HEI)

While many HEIs will actively engage with all of these partners/clients, data returned here should reflect priorities of the HEI's strategy. It is not considered that a rating of 3 or 4 means the activity is unimportant.

(Third stream is used to describe HEI's activities in economic regeneration, regional engagement, relations with industry, intellectual property, the exploitation of research outcomes and other matters related to the HEI's Business and Community function).

Commercial private business

Focus on the creation of new products stemming from original research may suggest that Commercial private business is the main priority.

Non-commercial social, community and cultural organisations

If, for example, a large part of the mission is training individuals for vital public services, 'Public sector (commercial and non-commercial)' should be selected.

Public sector (commercial and non-commercial)

Other

Use 'Other' if your response does not fit in the above three categories. 'Other' may include mission priorities that are not primarily externally focused.

Q5. Please tick which Sector Skills Councils (SSCs), if any, your HEI engages with as part of its Business and Community strategy. (Tick all that apply)

For more information on, and definitions for, the Sector Skills Councils please refer to the Sector Skills Council Contact Directory.

Asset Skills

Property, facilities management, housing, cleaning and car parking industries

Cogent

Chemicals and pharmaceuticals, oil and gas, nuclear, petroleum and polymer industries

Construction Skills

Every part of the construction industry

Creative & Cultural Skills

Advertising, crafts, cultural heritage, design, music, performing, literary and visual arts.

e-skills UK

IT and telecoms industries and lead body for contact centres

Energy & Utility Skills

Electricity, gas, waste management and water industries

Financial Skills Partnership

Financial services industry, accountancy and financ. (Previously Financial Services Skills Council)

GoSkills

Passenger transport industrie. (Merged with People 1st on 11 July 2011 - but still relevant separately  for 2010/11 reporting period)

Government Skills

Central government, all civil service departments and agencies, unaffiliated non-departmental government bodies and Armed Forces. (Government Skills ceased to operate 01 April 2011 - but still relevant for the 2010/11 reporting period).

Institute of the Motor Industry (IMI)

Automotive retail industries

Improve

Food and drink manufacturing and processing.

Lantra

Land management and production, animal health and welfare and environmental industries

People 1st

Hospitality, leisure, travel and touris. (Incorporated GoSkills on 11 July 2011 - but still relevant separately for 2010/11 reporting period)

Proskills UK

Building products, coatings, extractives, glass and print industries

Semta

Science, engineering and manufacturing technologies: aerospace, automotive, bioscience, electrical, electronics, maintenance, marine, mathematics, mechanical, metals and engineered metal products industries

SkillsActive

Active leisure and learning industry: sport and fitness, outdoors and adventure, playwork, camping and caravanning

Skills for Care and Development

Social care, children, early years and young people's workforces in the UK

Skillset

Broadcasting, photo imaging, audio visual and publishing, and fashion and textiles (under the umbrella of Skillset through the Fashion and Textiles council)

Skills for Health

UK health and healthcare

Skills for Justice

Justice, community safety and legal services sectors: community justice, courts and tribunals, custodial care, fire and rescue, forensic science, prosecution, policing and law enforcement, childrens workforce, legal services

Skills for Logistics

Freight logistics and wholesaling industries

Skillsmart Retail

Retail sector

SummitSkills

Building services engineering: electro-technical, heating, ventilating, air conditioning, refrigeration and plumbing industries

Other (please specify)

Q6. Which of the following areas is of greatest priority in your HEI's mission? (Select one only)

While many HEIs will act across local, regional and national boundaries please select the most appropriate option for the HEI as a whole.

Regional Development Agency (RDA) area

For example, East Midlands, South West, Scotland, Wales or Northern Ireland.

The nine RDAs in England are currently responsible for promoting sustainable economic development and economic and social regeneration within their regions. They work closely with business, local authorities, universities and other organisations to agree priorities for economic development. Further information about each RDA can be obtained from www.englandsrdas.com. The areas covered by the RDAs coincide with the Government Office Regions (GORs) (see National Statistics Government Office Regions (GORs)).

Similar activities are carried out within the Welsh Assembly Government, the Department of Enterprise, Trade and Investment in Northern Ireland, and Scottish Enterprise and Highlands and Islands Enterprise. 

Local authority area

County or unitary

Locality

City or town

Area defined by the HEI

For example, the surrounding counties especially if the area crosses regional boundaries or is multi-county.

Q7a. Does your HEI have a strategic plan for business support? (Select one only)

1. No strategic plan in place

There is an ad hoc approach to business support.

2. Between 1 and 3

3. Strategic plan developed and only partially implemented

The strategic plan may also be restricted to certain departments or central functions only.

4. Between 3 and 5

5. Strategic plan developed as a result of an inclusive process across the whole HEI

Accepted across almost all units and recommendations implemented. Use of plan to set targets and monitor achievement.

Q7b. Does your HEI have a strategic plan for public and community engagement? (Select one only)

1. No strategic plan in place

There is an ad hoc approach to public and community engagement.

2. Between 1 and 3

3. Strategic plan developed and only partially implemented

The strategic plan may also be restricted to certain departments or central functions only.

4. Between 3 and 5

5. Strategic plan developed as a result of an inclusive process across the whole HEI

Accepted across almost all units and recommendations implemented. Use of plan to set targets and monitor achievement.

Q8. How would you rate the level of incentives for staff at your HEI to engage with Business and the Community? (Select one only)

Incentives in terms of progression and rewards, performance pay etc.

1. Barriers outweigh any incentives offered

General corporate culture is focused on internal activities and narrow interpretation of teaching and research. Collaboration with business seen by staff as detrimental to career progression.

2. Between 1 and 3

3. Some incentives in place, but with some barriers remaining

Typically policy may be generally supportive but there is a lack of understanding across the institution. Promotions committees still take a narrow focus on research even though guidance suggests industrial collaboration is valued equally.

4. Between 3 and 5

5. Strong incentives in place

Strong positive signals given to all staff to encourage appropriate levels of external collaboration. Incentive procedures well established and clearly understood and applied.

Q9. How many members of staff at your HEI (full-time equivalent) are employed in a dedicated Business and Community (third stream) function? (Enter 0 (zero) if the option is not applicable to your HEI)

This question refers to those in a dedicated Business and Community function- a single full time employee working in a knowledge transfer office or equivalent may be focused on a particular external sector and therefore have 100% of their time attributed to the appropriate response. Where staff have mixed functions please include an estimate of the proportion of time of a full-time equivalent (FTE) position spent on third stream activity. For example, it may be that members of staff have generic external roles (perhaps those who handle initial contacts) and their time would then be distributed with 0.33 FTE in each box. Alternatively, where some staff time is focused on non-third stream activity (for example half teaching and half external) just the proportion of time dedicated to third stream activities should be returned (0.5 FTE) and allocated between the three external roles as applicable.

The question refers solely to Knowledge Transfer and Business development staff together with posts dedicated to their support and management. It does not include academic staff employed using contract research income or collaborative research income but institutions should estimate the FTEs supported by such income.

Staff dedicated to knowledge transfer who are not employed by the institution but based there should not be returned here - this question is concerned with the HEI's staff commitment. For example, staff of investment partners whose role may include developing proposals for investment would not be included.

Where there are companies wholly or partly owned which are delivering services (consultancy, contract research etc) from the HEI they should be included. Where they are spin-offs (i.e. commercial companies selling products or services based on inventions/IP) then they should not.

Engaging with commercial partners

Engaging with public sector partners

Engaging with social, community and cultural partners

Q10. Does your HEI have an in-house capability to seek out licensing opportunities for all its forms of IP (patents, copyrights, designs and trademarks), or does it use an external agency? (Select one only)

Yes, in-house capability

Yes, external agency

Yes, in-house capability and external agency

When dealing with disclosures and protection and licensing, but partnered with the IP Group for spin-outs please select 'Yes, in-house capability and external agency'.

No action taken

Q11. Does your HEI have a central dedicated unit which provides the following? (Tick all that apply)

The focus of this question is the extent to which there is single policy and practice around third stream activity at the HEI and perhaps different terms of reference or protocols for such activity.

An enquiry point for SMEs

Assistance to SMEs in specifying their needs

A required contracting system for all staff business and community interaction activities

Indemnity insurance for staff

Q12. Does your HEI have any subsidiary companies or distinct departments of the organisations responsible for Business and Community interactions and what are they? (Select one only)

Subsidiary company means a university company. Generally, 'Yes' would be selected because of HEI owned companies like ISIS at The University of Oxford but not because of relationships with IP Group etc. Outsourcing of the function should not be included as may suggest growth and therefore include IP Group.

No

Yes, exploitation company

Such companies will usually be wholly (but must be majority) owned by the HEI. They will often operate on a commercial basis and return revenue to the HEI through gift aid or similar. For example, over 50% of a company's shares (who has the commercialisation of IP as part of its articles of association) may be owned by the HEI.

Yes, internal department

For example, a distinct team within the university structure with responsibility across the entire HEI for legal and commercial aspects of knowledge exchange activity. Small departmental silos or KT functions lower in the hierarchy should not be returned here.

Yes, both

Q13. If applicable, when was the external company or department from Q12 established? (DD/MM/YYYY)

If your HEI has more than one external company and/or more than one internal department, please enter the date that the earliest was established.

Q14. Please provide the following information concerning the Business and Community representation on your governing body or equivalent.

While many of those appointed as Governors have much professional experience please indicate, where possible, the primary experience/ background that led to their selection.

'Equivalent' may refer to terms like 'Council' etc. but all should have a governing body i.e. highest authority.

The last three options' entries should be less than the total number as Academic staff and Other staff are not represented.

Total number of members on governing body

If the governors straddle the commercial/community/public sector divide there is usually a primary role. If it is impossible to choose a primary role/experience then the person should be excluded.

Number that are from commercial business

Number that are from social, community and cultural groups

Number from public sector organisations

Q15. Estimate the percentage of your HEI's academic staff (excluding the dedicated third stream staff returned under Q9 Infrastructure) who between 1 August 2010 and 31 July 2011 have directly provided services to:

Data on the individual interactions of academics would be extremely valuable for HEIs and policy makers alike although both would suffer from the associated administrative burden. Therefore the HEI respondent is asked to estimate how many academics have actually delivered services (such as design, contract research and training) of the whole academic staff (who may usually be assumed all to have such potential). Therefore if there had been 25 individual consultancy contracts delivered by different academics out of a total academic staff of 100 the response would be 25%. The usual methods may be applied to allocating activity between types of partner.

Social, community and cultural partners

Commercial partners/clients

Public sector partners/clients

Q16. Please compare the level of engagement of your HEI's staff for this year's reporting period (1 August 2010 and 31 July 2011) compared to last year's reporting period (1 August 2009 and 31 July 2010) in directly providing services to: (Select a level of engagement for each row: Less engagement (1); Between 1 and 3 (2); Similar engagement (3); Between 3 and 5 (4); More engagement (5))

Select a level of engagement for each row compared to last year's level of engagement. Level of engagement is a 5 point scale: Less engagement (1); Between 1 and 3 (2); Similar engagement (3); Between 3 and 5 (4); More engagement (5)

Social, community and cultural partners

Commercial partners/clients

Public sector partners/clients

Q17. Does your HEI exert ownership over intellectual property by any of the following? (Tick all that apply)

While patents refer mostly to the protection of inventions, all forms of intellectual property such as copyrights, trademarks, design rights, trade secrets and patents for the protection of inventions should be considered here.

HEI files IPR in house (including HEI shared/collaborative action)

HEI outsources filing on IPR (to a non-HE organisation)

HEI takes other IP protection action

Q18. Is there a requirement within the HEI to report or disclose (internally) the creation of the following types of intellectual property to the disclosure (external relations etc.) company or department? (Select one response for each row: Always (1); Usually (2); Rarely/Never (3)) 

Please select one response for each row, on a 3 point scale: Always (1); Usually (2); Rarely/Never (3)

Inventions

Computer software or databases

Literary or artistic works (e.g. copyright)

Educational software and multimedia

Industrial designs

Trademarks

Integrated circuit topographies

New plant or animal varieties

Other

Q19. Are staff as individuals rewarded by the HEI; financially or by other means, for the intellectual property that they generate?

Other means may include increases in departmental research budget, rather than cash. (Select one only)

Yes

No

Q20. If applicable, please give a brief description of the reward arrangements below.

Please provide full details rather than 'as per last year' as this response will stand alone without reference to those returned in previous years. 

Q21a. Does the HEI offer support for spin-offs through the following mechanisms, either provided by the HEI or in collaboration with a partner organisation (e.g. IP Group, Imperial Innovations, Fusion IP)? (Select one response for each row: HEI (1); Partner (2); Both (3); None (4))  

This question is just for spin-offs, not start-ups.

Support for spin-offs based on HEI-generated IP, with or without HEI ownership (as defined under HE-BCI Survey Part B, Table 4: Intellectual property).

(Select one response for each row. Rows are on a 4 point scale: HEI (1); Partner (2); Both (3); None (4)) 

On-campus incubators

Incubators are small office areas used as launch-pads for business ideas from students, staff and alumni, that provide a mentoring environment and easy access to facilities.

Other incubators in the locality

Incubators are small office areas used as launch-pads for business ideas from students, staff and alumni, that provide a mentoring environment and easy access to facilities.

Science park accommodation

This includes high-specification, purpose built accommodation for start-ups or expanding companies, aimed at scientific research, technology, environmental, engineering, ICT and other knowledge sectors.

Entrepreneurship training

Seed corn investment

Venture capital

This typically occurs after seed corn investment - as funding for the growth of an enterprise, and resulting in the owning of equity in the enterprise.

Business advice

Q21b. Does the HEI offer support for start-ups through the following mechanisms, either provided by the HEI or in collaboration with a partner organisation (e.g. IP Group, Imperial Innovations, Fusion IP)? (Select one response for each row: HEI (1); Partner (2); Both (3); None (4))

Support for start-ups (not based on HEI generated IP) - (as defined under HE-BCI Survey Part B, Table 4: Intellectual property). 

Support for start-ups may be provided by the HEI, or through a partner organisation such as the IP Group, Imperial Innovations and Fusion IP.

(Select one response for each row. Rows are on a 4 point scale: HEI (1); Partner (2); Both (3); None (4))

On-campus incubators

Incubators are small office areas used as launch-pads for business ideas from students, staff and alumni, that provide a mentoring environment and easy access to facilities.

Other incubators in the locality

Incubators are small office areas used as launch-pads for business ideas from students, staff and alumni, that provide a mentoring environment and easy access to facilities.

Science park accommodation

This includes high-specification, purpose built accommodation for start-ups or expanding companies, aimed at scientific research, technology, environmental, engineering, ICT and other knowledge sectors.

Entrepreneurship training

Seed corn investment

Seed corn investment (seed funding) refers to securities offerings, after proof-of-concept, used to launch a start-up enterprise.

Venture capital

This typically occurs after seed corn investment - as funding for the growth of an enterprise, and resulting in the owning of equity in the enterprise.

Business advice

Q22. What, if applicable (i.e. written into staff regulations or institutional policy for external engagement), is the maximum number of days per year a member of staff is permitted to devote to providing expertise and/or services for social and community groups, civic authorities, broadcast media and cultural events?

This excludes dedicated Business and Community Staff.

Q23. Please identify any social, community and cultural engagement activities which are carried out in your HEI and are not covered in this survey.

These could be crèche, mentoring, buddy schemes, recitals etc.

Please provide full details rather than 'as per last year' as this response will stand alone without reference to those returned in previous years.

Q24. What indicators (not covered in this survey) can you propose for measuring the impact of social, community and cultural engagement activities?

Please provide full details rather than 'as per last year' as this response will stand alone without reference to those returned in previous years. 

Q25. Which public sector areas (in terms of ultimate impact/benefit) do you engage with most in your third stream activities? (Rank the options 1-5 where 1 is the highest. Enter 0 (zero) if the option is not applicable to your HEI)

NHS and Health Authorities

NHS and Health Authorities as well as the education sector are very significant consumers of training and continuing professional development (CPD) but also have business needs for consultancy and IP etc.

NHS and Health Authourities can be taken to mean the National Health Service across the UK (Strategic Health Authorities in England, Regional Offices for Wales, Health Boards for Scotland, Health and Social Services Boards for Northern Ireland).

Education

Transport authorities (public service)

Transport authorities (road, rail, air and sea) will have direct needs for research consultancy and training but HEIs and their staff may also be more involved in terms of intellectual input.

Civic security authorities

Civic security may include engagement with the armed forces but also knowledge and engagement with police and rescue services.

Other

'Other' is available for public sector activities that do not belong to the three options above.

Q26. Please specify any 'other' public sector areas ranked in Question 25.

Q27. If engaged in regeneration programmes, which roles, if any, do funding from regeneration programmes play for the HEI? (Tick the three most important roles only)

Responses to this question should be based on income returned in the HE-BCI Survey Part B Table 3: Regeneration and development programmes.

Additional funds for teaching, training

Additional funds for research

Enabling capital projects - new building/accommodation

Acquiring research equipment (used also by external partners)

Building strategic links with local external partners

Fulfilling regional mission through new services to external partners

Facilitating partnerships

Enhancing knowledge of labour market needs

Enhancing redesign of curriculum

Facilitating community development

None of the above

Other - please specify

Q28. Which of the following statements best describes your partnership arrangements with local and regional bodies? (Select one only)

1. No engagement with community regeneration schemes, apart from individual efforts

2. Between 1 and 3

3. Some representation of the HEI on local partnerships at senior management level, but with limited implementation capability

The main focus is on the research role and a possible property development role.

4. Between 3 and 5

5. Active and creative engagement with community programmes, with the HEI taking a leadership position and applying a wide variety of resources

Community regeneration is seen as a mainstream activity with roles for access policy, links to student community action and staff involvement as part of staff development.

Q29. Does your HEI provide the following courses? (Tick all that apply)

Distance learning (online course content)

Continuous work-based learning

Short bespoke courses for business on campus

Short bespoke courses at business premises

Extra-mural courses for the public

Extra-mural courses are non-credit-bearing courses.

Q30. How are student business placements organised? (Tick all that apply)

Please include all instances of placements including formal sandwich courses and other shorter term placements.

None are currently arranged

Via a central placement department

Individual school or department

Via careers service

Via student union

Ad hoc between students and businesses

Other - please specify

Q31. To what extent is the HEI involved in the development and implementation of regional economic strategies in terms of the provision of expertise and data and the involvement of senior HE staff in regional partnerships? (Select one only)

There are various RDAs across England.

Similar activities are carried out within the Welsh Assembly Government, in Northern Ireland by the Department of Enterprise, Trade and Investment (through Invest Northern Ireland) and in Scotland by Scottish Enterprise.

1. Passive response to skills strategies

There is no involvement in steering committees, no provision of data or expertise. There is also no attempt to influence or respond to strategy during consultation.

2. Between 1 and 3

3. Some engagement

There is some engagement with regional partners and provision of expertise and data, but is approached as a narrow sectoral interest. Involvement is from officers with a defined role rather than leadership inputs.

4. Between 3 and 5

5. Pro-active engagement

Pro-active engagement providing expertise, data, interpretation and leadership inputs. HEI is seen as a core asset in the region and a central element within the regional skills strategy.

Q32. To what extent does the HEI monitor skills needs and sectoral change through labour market intelligence (LMI), and take this into account in planning provision? (Select one only)

1. No monitoring

No monitoring of skills, general use of LMI, or collaboration with employers.

2. Between 1 and 3

3. Moderate responsiveness

There would be some changes in provision based on forecasting of demand using LMI, but little ongoing dialogue with employers and other bodies. LMI would typically be examined in central service units but not disseminated and used in departments.

4. Between 3 and 5

5. Sophisticated monitoring

Sophisticated monitoring of systems at HEI level, with provision of appropriate data to individual departments. Evidence that information from LMI and employer suggestions are acted upon at central and departmental levels.

Q33. To what extent are employers actively involved in the development of content and regular reviewing of the curriculum? (Select one only)

1. No active involvement

No links with employers in development of locally oriented courses or overall shaping of the curriculum.

2. Between 1 and 3

3. Moderate active involvement

Some dialogue with employers and other bodies about the nature of courses, but limited for example to specific vocational areas, or one-off exercises.

4. Between 3 and 5

5. Active involvement

All departments regularly consult with employers and other partners on curriculum where relevant. Specialist subjects are kept up to date and relevant to the labour market. More generic skills developed in all courses as required.