99/01 - July

Dear Colleague

The 1998/99 (July) HESA Student Record Collection (Ref C98011B)

This circular sets out the plans for the C98011B data collection.

Timescales for Collection

The critical dates in the collection are as follows;

Student Record Validation

As with previous recent data collections, two stages of validation take place; 'Submission level' validation and 'COMMIT-stage' validation. Validation kits for the submission level validation rules are available from the Validation section of the HESA WWW server (http://www.hesa.ac.uk/valid/1998/00html.htm). These kits contain all of the validation checks that are run when files are submitted to HESA.

COMMIT-stage validation checks are only run once a COMMIT request has been received by the data collection system. These checks can only operate within a database-type environment and, therefore, cannot be included in the submission level validation kits. The COMMIT-stage validation checks that will be run during the C98011B collection are listed below. Institutions are reminded that any return that fails COMMIT-stage validation will require a resubmission to be made. Institutions are therefore advised to attempt to COMMIT their data as soon as they have sent the entire return in and have received the appropriate frequency counts and status report.

COMMIT-stage validation checks in the C98011B collection

The Decision tree for the Type 1, Type 2, Type 3 and Type 4 commit stage validation rules is :

Start : Duplicate INSTID, HUSID, QUALAIM, DATELEFT where DATELEFT is blank.

 
QUALAIM
02 - 52
MODE
01, 23, 24, 52, 53
result = Type 1
Otherwise
result = Type 3
61, 62, 97, 98
MODE
01, 23, 24, 52, 53
result = Type 2
Otherwise
result = Type 3
Otherwise
result = Type 4

Additional Type 5 report = occurrence of a single Type 1 and single Type 3 error record for the same student.

COMMIT checks continued:

LEVLCRD technical spec.

Start: QUALAIM in (19-24) AND MODE in (01, 23, 24, 52, 53) AND YEARPRG <> 99

Combined 011 or 111

Check that if LEVLCRD1 or LEVLCRD2 have values in the range 1 to 4 then check that either of them is the same as YEARPRG, if not warn.

Student/Module 012 112

Check that LEVLPTS for any of the modules that the student is studying have values in the range 1 to 4 then check that any of them for is the same as YEARPRG, if not warn.

Check Documentation

Once a return has successfully passed the COMMIT stage, check documentation will be automatically printed and despatched. HESA will begin scrutiny of the return at this point and may wish to raise quality issues with the student record contact.

A copy of the check documentation template, along with the definitions used in the analyses can be found on the HESA WWW site at (http://www.hesa.ac.uk/datacoll/check.htm).

Late Return of Results (LLR)

As with previous years' collections, institutions have the option to return results and leavers information via the 'Late Return of Results'. Valid and complete data must be returned to HESA by Monday 15 November 1999. All LRR submissions must have a record identifier of 98511 or 98512 and a 'CREATE' transaction in the control file. Only the LRR fields (as defined in Appendix 9 of the Student Record Coding Manual) will be validated and loaded to the database. The late return of results does not provide institutions with an opportunity to update any other parts of the database.

A valid submission will be matched to the existing database using the fields HUSID, INSTID and NUMHUS (HIN) for HE level students and a matching report will be generated. For FE level records, where Student instance number (NUMHUS) is not collected, a valid submission will be matched to the existing database using the fields INSTID, HUSID and QUALAIM. The LRR will need to be committed to the database in the same way as the main student return. Once committed, new check documentation and updated Target lists* and POPTAR lists will be generated and despatched.

*Definition of Target Lists (Also see Student Record Coding Manual - Appendix 11)

The Student Record Re-development for 1998/99 onwards introduced the concept of a Student instance number and agreed:

1. Identification of record by HIN

Each record will be uniquely defined by the combination of field 4, Student identifier, and field 2, Institution identifier, and field 151/136, Student instance number (HUSID + INSTID + NUMHUS or HIN). Linkage between different years of the student on the programme of study, or between the student record and the late return of results record, will be through this combination of Student identifier, Institution identifier and Student instance number (HIN).

2. Requirement to specifically close a record

Once a record has been returned for one HESA year, a record with the same HIN will be required for subsequent years, until:

(a) A record is returned with fields 33, Reason for leaving, and 35, Date left, completed, or

(b) A record is returned with field 152/137, Suspension of active studies, completed (which is used to indicate a student was active within the reporting period but has now suspended studies), or

(c) A record is returned with field 70, Mode of study, showing mode of study 'Dormant', (which is used where a student has been dormant for the whole of the reporting period).

3. Target lists

In order to assist institutions in making their returns to HESA, HESA will make available to institutions electronic lists of students for whom a record is expected.

Target lists will be produced as part of the July check documentation and will be applicable to the following July's return. Check documentation for the following July return will include feedback on matching to the previously generated target lists as well as generating the target lists for the next year's return.

4. Specific clarifications

a) A student instance can be re-opened after receipt of Reason for leaving/Date left.

b) A Student instance number is not required for students studying at FE level.

c)It is accepted that the identification of a student instance will reflect the perceptions and practices within an institution. In general, the assumption should be that if a student continues to study at the same level (that is undergraduate or postgraduate) at the same institution, then this is treated as the same student instance. Where a student transfers programmes by changing subject or even qualification aim this would not, in general, lead to a change of the student instance.

POPTAR Lists for the 1998/99 FDS Collection

The target population for the 1998/99 First Destination Supplement is derived from the July 1999 student record. In order to address any problems there might be with the FDS target population before the July student database is closed, the FDS target population (POPTAR) list will be generated and emailed to the student and FDS record contacts after a successful COMMIT transaction (i.e. at the same time as the check documentation is generated).

The POPTAR list will quote the status report number to describe the version of the data that is currently being held on the HESA database. When checking the POPTAR list, please ensure that you are checking the one that has been derived from the latest version of your student return. This is especially important if your institution is making a LRR submission (see above).

The POPTAR list is generated in two versions, both containing the same data. One list sorts the students in POPTAR by course and surname; the other provides a 'raw' listing for import into institution's own systems for manipulation as desired.

Colleagues are urged to check the POPTAR list as soon as it is received since the list cannot be changed once the student return has been signed-off.

A student is counted within the POPTAR population when all of the following criteria are met:

(i) QUAL1 or QUAL2 = 02, 03, 04, 05, 06, 07, 12, 13, 19, 20, 21, 22, 23, 29, 30, 41 or 42
(ii) MODE = 01, 02, 23, 24, 25, 41, 42 or 43
(iii) LOCSDY <> 7
(iv) RSNLEAVE <> 05.

If a student has two relevant qualifications in the POPTAR, HESA will pick the highest qualification to include in the POPTAR list.

The definition of POPTAR for the 1998/99 FDS Collection can be found on the HESA WWW page at (http://www.hesa.ac.uk/Manuals/98016/fdspoptar.doc).

Responses from the Data Collection System

Institutions are reminded that all submission level transactions (CREATE, REPLACE, APPEND, COMMIT) generate responses to the email address quoted in the relevant control file. All return level transactions (DE-COMMIT, Target lists, POPTAR lists, data checking and sign-off) generate responses to the email address of the record contact as held on the HESA contacts database. The email addresses on the contacts database will be tested shortly after the publication of this circular.

Who to Contact During Data Collection

Institutions should consider Institutional Liaison as a general first point of contact for any HESA issue.

Further Guidance on Submitting Data to HESA

The HESA WWW site contains guidance on submitting data to HESA. This covers file naming, file structures, FTP transmission and an overview of the data collection process. This document can be found in the Data Collection section of the HESA web site (http://www.hesa.ac.uk/valid/rsubmit.html).

HESA-notify Mailing List

The HESA-notify mailing list is run from the mail servers at HESA. It allows HESA to disseminate operational information to anybody involved in making a HESA return. If you wish to subscribe to this mailing list, please send an email to Claire Wilson (claire.wilson@hesa.ac.uk) quoting the email address (or addresses) to be added to the list.

HUSID Look-up Service

Institutions are reminded that HESA now offers a mechanism for finding the HUSID of students who have studied in the HE sector since 1994/95. The HUSID Look-up Service (HLS) searches the HESA database and, using name, date of birth, gender and previous HESA institution, returns the HUSID for a student. Full details on registration and use of the HLS are available in student circular 98/06 (http://www.hesa.ac.uk/Manuals/circular/student/1998/98_06.htm).

Further Guidance on the Student Record 1998/99

Field 15 Disability allowance

The HEFCE proposes to introduce a disability premium into its mainstream teaching funding method using data from the July 1998-99 HESA record. The aim of the premium is to recognise that institutions incur additional cost in supporting students with disabilities. The Council proposes to calculate premium payments using data on the number of students in receipt of a Disabled Students Allowance (DSA) as a proxy measure for the total number of disabled students in an institution. Therefore, it is important that data provided by institutions to HESA is as complete as possible. The Council recognises that students do not have to declare to their institution that they receive DSA, and that some students will choose not to make the information available. Student's right to refuse to provide such data should continue to be respected.

Following the recent consultations on teaching funding in Wales and Scotland, HEFCW and SHEFC are considering ways of distributing additional funding in support of disabled students. Accurate figures of the numbers of students in receipt of a Student Disability Allowance may therefore in future have a bearing on funding.

Field 41 General qualification aim of student

The TTA have confirmed that INSET courses should be coded 10 'Professional qualification at postgraduate level (not PGCE) with or without academic qualification' and not 26 'Professional qualification for serving school teachers'. This is to ensure that INSET courses are counted in the postgraduate poplation.

Field 43 Subject(s) of qualification aim

The TTA have recently confirmed that 'Drama' and 'Dance' can be offered as specialist subjects under the primary ITT curriculum as set out in DfEE circular 4/98. The appropriate HESACODE for 'Drama' and 'Dance' is W4. The TTA requires institutions to identify whether the specialist subject is 'Drama' or 'Dance' in Field 40 Programme of study title.

Additional advanced study of early years, code X4, can only be offered on a 3-8 primary course (field 54, ITT phase/scope code 15 'Ages 3-8') and not as a 3-11 course, age emphasis 3-8.

A replacement page for the Student Record Coding Manual is attached to this circular.

Field 65 Fundability code

HEFCE has confirmed that nursing students should be returned as code 5 'Funded by the Department of Health (institutions in England and N.I. only)' even if the institution is receiving some payments from HEFCE under a transition agreement.

All teachers supported by TTA INSET funding should be recorded as code 7. This includes teachers supported by guaranteed funding (i.e. the funding allocated under the transitional arrangements) and teachers supported by bid-related funding. Teachers on INSET programmes who are not supported by TTA INSET funding should not be recorded as code 7.

Field 68 Major source of tuition fees

The HE Reach-out to Business and the Community Fund, to be introduced by HEFCE from 1999, is intended to encourage HEIs to respond to the needs of business and to contribute to economic growth and competitiveness. In order to monitor progress under this initiative, reference will be made to statistical information available from HESA, including Field 68 'Major source of tuition fees'. HEFCE regard the supply of education and training to people in employment, paid for by their employers, as an important strand of activity within the programme. Therefore, it is important that data provided by institutions to HESA is as complete as possible.

Field 71 Location of study

Nursing students who are taught outside the institution at a hospital should be coded 1 'At this institution only (any campus or site)'.

Field 155/140 Completion of Year of programme of study

FUNDCOMP is to allow HEFCE to recreate HESES. The coding should mirror as closely as possible instructions set out in the HESES98 document, October 98/48 Request, the text of which for paragraphs 11 and 12 of Annex E on Non-completions is reproduced below.

"Non-completions

 

11. A student who fails to complete a year of programme of study is classified as a non-completion for that year. Usually attendance at the final exam or submission of final coursework would constitute completion of the year. Where a module or credit-based system is offered, a student who fails to complete a substantial module within the year of programme of study is to be returned as a non-completion for that year of programme of study.

 

12. Where a student has a clear intention of completing a specified activity within the year of programme of study, completion is measured against this. Thus, if a student starts the year intending to follow a certain pattern of activity but does not complete it, then that student would be a non-completion. If the programme of study did not specify the pattern of activity within the year, then provided that the student completed all activity started in the year he or she would be considered as completing."

Any difficulties with coding this field should be referred to HEFCE. However general guidance from HEFCE is that it is hoped that institutions would be able to record results on their student record system and could tell if the student has a result for the end of year exams or final assessable coursework and use that to determine HEFCE's criteria. Otherwise institutions should go for the date of the first end of year exam for each course as if students withdraw after that date they have in some sense completed.

For students on non-standard years, the relevant 'current year of programme of study' relates to the chosen method of reporting Student FTE and the HESES claim.

With the 100:0 method the current year of programme of study as at the 31 July reference date will be the one the student is half way through, not the one just finished. With the 100:0 method it is expected that most students will be coded '3, Year of programme of study not yet completed, but has not failed to complete' unless it is known that the student has failed to complete. [In the final year of reporting the student to HESA the student will have completed their studies part-way through the reporting period and the appropriate coding will then be '1, Completed the current year of programme of study', unless it is known that the student failed to complete.]

With the 0:100 method the current year of programme of study as at the 31 July reference date is not the one that the student is currently doing, but the one that has recently been completed. With the 0:100 method it is expected that most students will be coded '1, Completed the current year of programme of study', unless it is known that the student has failed to complete. [In the first year of reporting the student to HESA the student will have started their studies part-way through the reporting period and the appropriate coding will then be '3, Year of programme of study not yet completed, but has not failed to complete', unless it is known that the student failed to complete.]

Field 157/142 A and AS levels

In response to an institution's query we have confirmed with statutory customers that an unclassified A level does not count as an A level in this field.

Field 160/145 A levels achieved in core subjects

The TTA does not recognise any qualification as being particularly suitable for entry to ITT, exceptions being noted in DfEE circular 4/98. Providers need to decide whether entrants' qualifications are suitable for entry to ITT and the Qualifications and Curriculum Authority can advise on which A levels are based around English, Mathematics and Science A level cores and which are not. Prior to the full implementation of circular 4/98, HESA were asked by the TTA to collect data on the A levels achieved in core subjects. As this information is not now needed by the TTA, field 160/145 is no longer required to be completed for ITT trainees.

A replacement page for the Student Record Coding Manual is attached to this circular.

Field 117 - 132 Module Result 1-16

From 1999 the funding councils plan to publish performance indicators based on module results. The indicators will initially only relate to part-time undergraduate programmes. Institutions should therefore make every effort to complete the module result field. Institutions are reminded that a blank should only be returned when a module is continuing into the next academic year. For institutions that return their FTE for courses following a non-standard academic year using the '100:0' method, previous instructions would have led to no results being returned for modules starting in one academic year and finishing in another. In order that their results can be included in the performance indicators, institutions MAY return a module identifier and result in the following year, so long as the module FTE is 000.0.

If a student assessment is deferred due to illness code 8 should be used in this field.

Field 8 Credit transfer scheme
Field 9 Credit value of module

With the introduction of its new funding methodology HEFCW intend to utilise the HESA module record for monitoring of HESES returns. For this purpose the accurate recording of the credit value of modules (CRDPTS) is essential. HEFCW requests that if the HECIW framework has been adopted then the credit transfer scheme field is coded as 7 (other scheme) and the credit value of module field shows the number of credits associated with the module.

Comparisons between the December and July Returns

The '1st December' census count of student enrolments is a key total, in particular for the DfEE for monitoring of and projecting student numbers. The accuracy and completeness of the count is therefore of crucial importance as is the requirement, by definition, that the '1st December' count is the same on the December record as it is on the July record for the same academic year. Where institutions report the 1st December count is right on the July Student Record, but was wrong on the corresponding December Student Record, it is expected that such discrepancies do not appear in future years.

TTA INSET Courses

The TTA is exploring with HESA the possibility of using HESA data on recruitment to INSET courses for funding purposes rather than obtaining this data directly from providers. Please ensure that your HESA data on INSET provision is accurate and that your data is returned to HESA quickly.

Welsh for Adults Courses

The guidance below was developed in response to institutions' queries at the Welsh for Adults Seminar. This applies to Welsh for Adults courses funded by FEFCW.

HEFCW advised that for institutions to claim funding for Welsh for Adults courses they must be on the HESA Student Record. If a Welsh for Adults course has no credits or attainments assigned to it then it still must be on the HESA Record to gain access funding from postcode.

HEFCW advised institutions of two methodologies that could be used to record attainments, where there is a difference between number taken and the number achieved. Method 1 is to amend Field 42 FE general qualification aim of student to show the OCNs achieved rather than the OCNs aimed for, in which case HEFCW will complete the spreadsheet for the institution. Method 2 is to mark Field 36 Progress as code 7 'Partial success' in which case the institution will have to complete the spreadsheet with the actual OCN credits. HEFCW agreed to add Field 134, Institution's own identifier for student to their spreadsheet, to help identify the students on the report.

Where a student has taken more than one Welsh for Adults course within the reporting period, the preferred reporting methodology is to return one consolidated record per student. However, it is acknowledged that some institutions' systems will generate a separate record for each separate Welsh for Adults course; but where a student takes several modules concurrently on the same course, a consolidated record showing the number of modules taken must be used. Field 26 Date of commencement of programme - if only one record is sent for each student then this field should not be updated. If returning more than one record per student then the commencement date should be updated for each record returned.

Field 70 Mode of study - if a student has two modes of study, part-time evening and part-time day, then the preferred code is part-time day.

Field 75 Postcodes - HEFCW advise that they are going to use the postcode data from this record for analysis. It is therefore important that institutions return full postcodes wherever possible.

Field 136 Student instance number - although this field is contained in the list of fields for Welsh for Adults Reduced Record in Appendix 9 of the Student Record Coding Manual, the field will not be completed as Welsh for Adults courses are FE.

If you have any queries on the issues raised in this Circular please contact the Agency's Institutional Liaison Team: Helen Skitt or Alison Berry (liaison@hesa.ac.uk), who will be pleased to help you.

Yours sincerely

C Jane Wild