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Finance 2017/18: Support guides

This page provides an overview of the 2017/18 Finance collection (C17031).

This should be used alongside the C17031 coding manual, which provides more detailed, technical information about the collection.

Need help? Contact us by email or on +44 (0)1242 211144

Finance record overview

What is the Finance stream?

We collect data across a number of streams. These streams focus on different aspects of higher education.

The Finance stream collects financial information on the activities of all UK higher education providers. Details of what information needs to be returned to us are included in the Coverage document found in the Coding manual.

The data we collect on behalf of the sector is provided to governments and funding bodies in order to support the regulation of higher education. We also make data available to the public to enhance understanding of UK higher education and to support its advancement.

What is a coding manual?

Our coding manuals provide you with all the necessary documentation to support your data return. The coding manual contains technical documents giving detailed information on the record's coverage, data specification and submission formats. Familiarising yourself with these documents will help you make an accurate and timely return.

Each collection has its own coding manual which can be found in the Data collection section of our site. By default, you will land on the open collection for each record; you can then select previous or future years.

The coding manuals will be updated throughout the data collection cycle and Record Contacts informed by email when new versions are made live. Be sure to check the manual's Revision history for a summary of changes.

How do I submit data to HESA?

You submit data via our online data collection system. To access this, you will need to have an appropriate role in our Identity System (IDS). We publish an IDS user guide which includes information on creating and editing your account.

You will need to be given access to the data collection system by the relevant record contact at your provider.

Once you have access to the system you will be able to upload files, track the progress of your submission, view data quality issues and download reports. An overview of the submission and validation process is given below. Further details are provided in the Coding manual under the 'Submission process and quality assurance' section heading.

Submit data

Where can I find...?

The coding manual homepage includes all the technical information you require, including:

  • The data specification
  • File format specifications
  • A detailed collection schedule
  • Our XML data entry tool (available for some streams)
  • Quality rules.

This Support guides page collects together the following resources:

  • Preparation guide
  • Stream user guide
  • Data collection system: Known issues and release history.

In the Contact and support area of our site, you can find:

Our Data innovation section includes information about:

  • Open and recently completed record reviews, including information about changes we are implementing
  • Our Data Futures programme which will transform the higher education information landscape.

In the About us section, you can find:

Where can I find further help with the Finance record? Who are Liaison?
 

Our expert analysts have a thorough understanding of our records and processes. We are here to support you throughout the data submission process.

Contact Liaison by email or on +44 (0)1242 211144 

Find out more about Liaison

Finance record JISCMail list

Our JISCMail groups allow you to discuss specific streams with colleagues from across the sector. We also use the lists to circulate news regarding data requirements and coding manual and validation kit releases.

Join the HESA-Finance JISCMail list

If you encounter any problems, contact Liaison

Data collection system: Release history and known issues

Known issues (C17031)
Issue summary Status Date raised Date resolved

Issue ID: 68005 - Bug with template validation rule Table11.7

Current template validation triggers in Table 11 where Head 8 = 'Yes' and Head 3c = '0', but unfortunately this is incorrect. Rather than re-releasing a new version of the template, HESA will implement a new exception rule which will trigger in your Quality Rules report in the Data Collection System. This will trigger where Head 8 = 'Yes' and Head 4b is less than or equal to '0'.

**Note: If Table11.7 triggers in your template and Quality Rules page, please disregard this and instead focus on any other warnings which may have triggered.**

Open 27 November 2018  

Issue ID: 68004 - Table3S.5

The Scottish Funding Council have advised that it is permissable for Scottish providers to return zero under Heads 1f or 2f in Table_3_Scotland. However, as the collection is already underway, this error will continue to exist for C17031 (which will therefore require a switch to be requested and approved), and will be downgraded to a warning ahead of C18031.

Open 26 November 2018  

Issue ID: 67760 - Free text cells not populating in converted template

In the converted template, the cells containing free text are not currently populating. This means that these cells will need to be manually re-entered.

Closed 21 November 2018 22 November 2018

Issue ID: 67760 - Date formatted incorrectly in Table 11

In the converted template, the cells containing date values in Table 11 are currently formatted wrongly. This can be rectified by simply clicking in the cell and pressing 'enter' on your keyboard while a permanent fix is made.

Please note that HESA's import process of your Inserted data will now handle date values correctly, even if a timestamp is showing on the template.

Closed 21 November 2018 22 November 2018

Issue ID: 67535 - Table 1 Head 16e formula reverted

The formula for Table 1 Head 16e was changed for C17031. Unfortunately this has been found to be incorrect and so has been reverted back to the calculation used in C16031.

Closed 16 November 2018 22 November 2018

Issue ID: 67367 - Conditional formatting in Table_1_UK and Table_3_Scotland

Some of the formulae for the conditional formatting in column M 'Variance (2017/18 v. 2016/17 restated)' are incorrectly referencing the wrong cells, meaning that the shading is not always accurate.

Closed 14 November 2018 22 November 2018

Issue ID: 67352 - QR.General.Insert.6 (1005)

This rule is incorrectly triggering in Table 11, Heads 10a and 10b. The rule states that values are to be returned in £000's and therefore cannot have decimal places, but these Heads (new for C17031) are recorded to one decimal place.

Closed 14 November 2018 22 November 2018

Issue ID: 67301 - Converted template incorrect in Table 4

An issue has been identified in the 'Template version update' where the cell for the restated figure is reporting the value that should actually be as at the end of the year (Table 4, Head 9 - cell I60).

  • Table 4, Head 8 'Cash and cash equivalents at beginning of the year' (cell I59)

Additionally, the shading on this same cell is not currently working as expected.

Please note that the main 'Template download' does not have this issue.

Closed 13 November 2018 22 November 2018

Issue ID: 67207 – Issues with template version 1.1

An issue has been identified with the template where the cell for the restated figure is shading red even if the figure is correct.

  • Table 1 Head 1f – Donations and endowments
Closed 8 November 2018 22 November 2018

Issue ID: 66722 – Issues with template version 1.0

Issues have been identified with the template.  A newer version correcting these issues will be made available shortly.

•    Restated figures may be incorrect in the following:

     Table 1 Head 1f – Donation and Endowments (Cell I11).
     Table 1 Head 14 - Miscellaneous types of Other comprehensive income (Cell I41).
     Table 1 Head 16a - Endowment comprehensive income for the year (Cell I46).
     Table 1 Head 16b - Restricted comprehensive income for the year (Cell I47).
     Table 1 Head 16c - Unrestricted comprehensive income for the year (Cell I48).
     Table 1 Head 16d - Revaluation reserve comprehensive income for the year (Cell I49).
     Table 1 Head 16e - Attributable to the University (Cell I50).
     Table 1 Head 16f - Attributable to the non-controlling interest (Cell I51).
     Table 1 Head 17a - Non-controlling interest (Cell I55).
     Table 4 Head 6h - Other (Cell I54).
     Table 4 Head 8 - Cash and cash equivalents at beginning of the year (Cell I59).
     Table 10 Head 14 - Miscellaneous types of Other comprehensive income (Cell I41).

     Note: Cells using these figures in their calculation may also be incorrect.

•    Quality rule QR.C17031.Table11.3 is triggering if the cell is not blank and not equal to 31 July 2018.  It should only trigger if the cell is not blank and not equal to or greater than 31 July 2018.

This will be issues will corrected in Version 1.1 of the template.

Closed 30 October 2018 7 November 2018

Experiencing an issue not listed here? Let us know.

Preparation guide

Collection news (C17031)

Key changes for 2017/18

There have been a number of changes to the Finance template for 2017/18.  These are fully outlined in the Notification of Changes.  Key changes include:

Revision to Table 6

Table 6 has been standardised for all countries. Under agreement from the funding bodies, all countries will now return information on the same categories of students. This is to ease the onward use of tuition fee data for students across different country administrations.

Fee income is now split by mode and level for home, other EU and non-EU students.

Providers will also need to return restated data for 2016/17 on Table 6.  This is to enhance the data collected last year and provide the start of a time series.  Restated data is only needed for C17031, and will not be an ongoing requirement in future collections.

New Tables

There are 3 new tables in C17031:

  • Table 11 – Head of Provider renumeration
  • Table 12 – Analysis of Staff Costs
  • Table 13 – Severance payments

The funding bodies have stated in their Accounts direction that providers are required to include this information in their audited financial statements.

Accounts Directions

Providers can view the relevant Accounts direction through the below links (Providers in DfENI can contact the Department for a copy directly):

Office for Students – Accounts direction
HEFCW – Accounts direction
Scottish Funding Council – Accounts direction

The Revision history provides an overview of changes to the collection in view of the first and subsequent releases of the coding manual.  The Notification log summarises all communications associated with the 2017/18 Finance collection.

Reminders (C17031)

C17031 Finance record template

A functional template will be available from the coding manual page, so that users can capture the information prior to submission. Providers will however need to return their finance data in their personalised provider template.  This is available from the data collection system pre-filled with the provider’s UKPRN, name and country details, as well as prior year data in Tables 1 to 4 returned by the provider in 2016/17.  Providers are able to restate these figures if necessary.  To highlight where figures are restated the cells will change colour.

Collection user guide and supporting documentation

The coding manual provides detailed information on how to complete the tables for the Finance record.  In addition, the Finance record collection user guide provides step-by-step guidance on how to submit data to HESA and the process of submission undertaken by providers.  The diagram below shows the ordering and linking of the tables, and therefore indicates in which order providers should complete them.

Diagram of how the finance tables link

Collection deadlines

A full outline of the data collection timescales can be found here

3 December 2018 is a key deadline. Providers must have sent complete data, and resolved all errors, in order to commit their file in the data collection system.  A single validation failure will result in no data being imported into the system. Data which fails validation will not be considered to have been returned to HESA.

Data from English providers is delivered to the Office for Students (OfS) from 3 December 2018 onwards for assurance exercises to be undertaken.

Providers in Wales and Scotland are also requested to send a copy of their published accounts to Liaison at HESA as soon as they become available, and no later than 3 December 2018. (Published accounts for providers in England and Northern Ireland will be forwarded to HESA by OfS by this date). 

BUFDG Discussion board

To assist providers with queries they may have relating to the new SORP and the HESA Finance record 2017/18, BUFDG have set up a dedicated discussion board on their website (www.bufdg.ac.uk). Colleagues are encouraged to make use of this discussion board to raise any issues encountered when completing the Finance Record.  This discussion board is intended as a self-help tool but will be monitored by BUFDG FRG, the funding bodies and HESA, who will issue further guidance if deemed necessary.

Responding to Minerva queries

Data quality queries are raised through the Minerva system and providers are required to resolve all Minerva queries within the collection timeframe. As best practice providers should interact with Minerva and the HESA data collection system frequently throughout the collection period to gradually resolve issues either through providing explanations of genuine data or submitting revised data that corrects issues identified. Through adopting this approach providers are able to iteratively improve the quality of their data and expose issues in a timely manner leading to better quality returns.

Record contact changes

The record contact is the first point of communication during data collection. If these details have changed please ensure you notify [email protected] to prevent any delay in the receipt of important communications. 

HESA Identity System

The HESA Finance record contact for each provider will have access to the HESA data collection system and through the IDS will be able to invite additional colleagues to also have access to the system to submit data and view reports. Please ensure that the correct roles are in place to ensure the necessary access required by colleagues ahead of the collection opening.

The Identity System user guide provides detailed help with using HESA's single sign-on system.

 

Stages of data submission

Stage 1: Submitting and validating Finance data

A. Sending data

Data collection system - Process flow

Send data by clicking on ‘Send some or all of submission to HESA' in the ‘What can I do now?' box. 

Browse your computer to locate the file you wish to submit, and upload the file to the data collection system. Click on the 'submission status' link to navigate back to the transaction history page to view the outcome of submission.

Tips:

  • The template can be saved with any name
  • Only one file can be sent at a time
  • The system does not support Excel 2003.xls format or older. Please 'Save as Type' Excel 2007.xlsx files.
  • Files must be returned using the most recent template (.xlsx) provided by HESA. The templates for the FSR can be downloaded from the C15031 FSR coding manual.

B.     Validation

Insert-stage validation checks will now run. To pass insert-stage validation the file must not trigger any validation errors. Validation errors and warnings are listed in cells D2 and D3 of the Excel templates. To pass validation these counts should be at zero.

i. What to do if the file fails validation

Finance collection system

If the file fails validation the system will show the below status and reports. You should review the errors (and warnings if any). Make any necessary corrections to the data and resubmit.

 To pass INSERT-stage validation you will need to resolve all errors listed within the report.

ii. What to do when the file passes validation

You should review any validation warnings in the webform to ensure that the submitted data is genuine or correcting and resaving the data where necessary.

Stage 2: Submitting Finance data

To proceed to commit-level validation a valid file needs to have been submitted and passed INSERT-stage validation checks. The data will then be classed as committable and the option to process COMMIT transactions will be made available in the ‘What can I do now?' box. 

Finance reports

B. COMMIT  

Once you are content with the data, you should process a COMMIT transaction. This transaction will then send a copy of the submission to the HESA Data Quality Assurance team for us to undertake analysis of the return in parallel with you conducting your own analysis. 

i. What to do if the file fails COMMIT?

If the file fails COMMIT level checks the system you should review the error report produced, make any necessary corrections to the file and resubmit it. 

Deleting files

Where you need to make amendments to data, the system will automatically delete the older version of the file.

Why can't failed files be deleted?

Where a file fails INSERT-stage validation, the data contained within it is not uploaded to the HESA database and so will not be counted as part of the return.

The data collection system will provide a second version of the check documentation for every re-commit processed by a provider. This version of the check documentation presents a colour shaded version of the Excel spreadsheet with variances being highlighted. 

ii. What to do if the file passes COMMIT?

If the file passes COMMIT it will generate the suite of commit reports. These reports should be reviewed to ensure that the submitted data is an accurate reflection of your profile. We will also review these reports. 

Decommitting

A passed commit transaction will lock the system to prevent the data from being amended and to allow the HESA Data Quality Assurance team to undertake analysis of the submission. To unlock the system you will need to request a DECOMMIT transaction from HESA. This will reverse the current commit and allow you to delete, resend and recommit data.

I need to amend my data, how do I get it decommitted?

You will need to contact Liaison either by emailing [email protected] or calling on 01242 211144 to request a decommit transaction. 

Stage 3: Credibility checks

Once we have analysed your committed return, data quality queries will be posted onto the Minerva DQ database. Relevant users will be notified by email when these queries are available to view. The Minerva user guide provides help on using Minerva.

Access the Minerva Data Quality database

Stage 4: Sign off

Once your data has passed all the stages of validation, and any issues highlighted during credibility checking have been addressed, we will set the return to CREDIBLE. This produces the sign-off form.

When data is set to credible, a link to the sign-off form is automatically emailed to the head of the submitting organisation as well as the appropriate record contact. The form should be completed and signed by the head of the reporting organisation and returned to us by email or post. This verification offers both you and us assurances regarding onward use of the data.

Sign-off completes the data collection process.