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HE-BCI record 2017/18 - HE-BCI Part A guidance

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HE-BCI record 2017/18 - HE-BCI Part A guidance

Version 1.0 Produced 2018-09-13

Introduction

This guidance details each question and set of options included in the HE-BCI Part A questionnaire along with any relevant guidance to facilitate completion of the questionnaire. This guidance has been collected from a number of sources and additional guidance will be provided as HESA learns of it. Where a provider's responses to Part A change within the reporting year, the position at the end of the reporting year should be returned.

For ease of reference these questions/options are grouped under the following sections:

Strategy

Question/options Guidance
Q1. In which areas do you see your HEP as a whole making the greatest contribution to economic development? Tick ALL of the areas that apply and then indicate the three key contribution areas. 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 HEP), however such activities are also likely to support the development of teaching and research missions.
Widening participation/access  
Graduate retention in local region This also includes the retention of graduates who originate from elsewhere other than the region of the HEP.
Knowledge exchange  
Supporting small and medium size enterprises (SMEs) Support is in the form of areas identified in Part B of the HE-BCI record (e.g. consultancy, equipment, services).

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:
An enterprise is considered independent unless 25% or more of the capital or of the voting rights is owned by an enterprise falling outside the definition of an SME whichever may apply, or jointly by several such enterprises. (This ceiling may be exceeded if the enterprise is held by public investment corporations, venture capital companies or organisational investors, provided no control is exercised either individually or jointly, or if the capital is spread in such a way that it is not possible to determine by whom it is held).

SMEs include micro, small and medium enterprises, and sole traders
Helping with student and graduate enterprises  
Provision of incubator support  
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 record.
Commercialisation (e.g. spin-off activity/licensing) Licensing is where an established (external) company acquires rights to use a University invention. A spin-off is a new company formed on the basis of an HEP's intellectual property (IP).
Facilitating networks  

Q2. Please indicate how your HEP selects the sectors that it works with. Tick all that apply.  
Best fit with the HEP's strengths  
Focus on the HEP's future strategy  
Existing collaborations (including those via staff and students)  
Response to demand from external partners  
Response to Government (local, national, devolved) policy  
Other (please specify)  

Q3. Please rank the following partners/clients in your HEP'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 HEP. While many HEPs will actively engage with all of these partners/clients, data returned here should reflect priorities of the HEP's strategy. It is not considered that a rating of 3 or 4 means the activity is unimportant.
(Third stream is used to describe HEP's activities in economic regeneration, regional engagement, relations with industry, intellectual property, the exploitation of research outcomes and other matters related to the HEP'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 (please specify) Use 'Other' if your response does not fit in the above three categories. 'Other' may include mission priorities that are not primarily externally focused.

Q4. Which of the following areas is of greatest priority in your HEP's mission? Tick ALL of the areas that apply and then indicate which the key area is. While many HEPs will act across local, regional and national boundaries please select the most appropriate option for the HEP as a whole.
Regions Regional economic strategies in England were carried out by Regional Development Agencies (RDAs), these ceased to exist as of 31 March 2012. There is no direct replacement for RDAs, with economic strategies and future development undertaken by Local Enterprise Partnerships (LEPs). Similar activities are carried out within the Welsh Government, the Department of Enterprise, Trade and Investment in Northern Ireland, and Scottish Enterprise and  Highlands and Islands Enterprise.

For the purposes of the HE-BCI record, the substitute for RDAs will be 'Region'.
The definition ‘Region’ can be taken to mean the areas covered by the Office for National Statistics (ONS) Regions (former GORS) for England.
Devolved Government region The areas covered by the devolved administrations of Northern Ireland, Scotland and Wales
Local authority area County or unitary
Locality City or town
International EU  
Other international  
Area defined by the HEP For example, the surrounding counties especially if the area crosses regional boundaries or is multi-county.

Q5. Does your HEP have a strategic plan for business engagement? 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 and implemented as a result of an inclusive process across the whole HEP Accepted across almost all units and recommendations implemented. Use of plan to set targets and monitor achievement.

Q6. Does your HEP 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 and implemented as a result of an inclusive process across the whole HEP Accepted across almost all units and recommendations implemented. Use of plan to set targets and monitor achievement.

Q7. How would you rate the level of incentives for staff at your HEP 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 organisation. 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.

Infrastructure

Q8. Does your HEP 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  

Q9. Does your HEP have a structured system for providing 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 HEP 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  
None of the above  

Q10. Does your HEP have any subsidiary companies or distinct departments of the organisations responsible for Business and Community interactions and what are they? Tick all that apply. Subsidiary company means a university company. Generally, 'Yes' would be selected because of HEP 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 wholly owned  
Yes, exploitation company majority owned  
Yes, exploitation company minority owned  
Yes, internal department For example, a distinct team within the university structure with responsibility across the entire HEP for legal and commercial aspects of knowledge exchange activity. Small departmental silos or KT functions lower in the hierarchy should not be returned here.

Q11. 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  

Intellectual property (IP)

Q12. Does your HEP 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.
HEP files IPR in house (including HEP shared/collaborative action)  
HEP outsources filing on IPR (to a non-HE organisation)  
HEP takes other IP protection action  
Not applicable  

Q13. Does the HEP require its staff 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: yes or no. Please select one response for each row, yes or no.
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  

Q14. Are staff as individuals rewarded by the HEP, 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  

Q15. 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. 

Q16. Does the HEP offer support for spin-offs through the following mechanisms, either provided by the HEP or in collaboration with a partner organisation (e.g. IP Group, Imperial Innovations, Fusion IP)? Select one response for each row: HEP (1); Partner (2); Both (3); None (4). Support for spin-offs based on HEP-generated IP, with or without HEP ownership (as defined under HE-BCI Part B, Table 4: Intellectual property).
(Select one response for each row. Rows are on a 4 point scale: HEP (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  

Q17. Does the HEP offer support for start-ups through the following mechanisms, either provided by the HEP or in collaboration with a partner organisation (e.g. IP Group, Imperial Innovations, Fusion IP)? Select one response for each row: HEP (1); Partner (2); Both (3); None (4). Support for start-ups (not based on HEP generated IP) - (as defined under HE-BCI Part B, Table 4: Intellectual property).
Support for start-ups may be provided by the HEP, 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: HEP (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  

Social, community, cultural

Q18. In academic staff contracts, what is the maximum number of days per year acadmics may carry out private activities of engagement with business and the community (i.e. not recorded elsewhere in this survey)? This excludes dedicated Business and Community Staff.

Q19. What other business and community activities are carried out in your HEP 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.

Q20. What indicators (for any Business and Community interaction activity not covered in this survey) can you propose for measuring the impact of your 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.

Q21. 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 HEP.  
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 Authorities 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 HEPs 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.

Q22. Please specify any 'other' public sector areas ranked in Question 21. Please provide full details rather than 'as per last year' as this response will stand alone without reference to those returned in previous years.

Regeneration

Q23. If engaged in regeneration programmes, which roles, if any, do funding from regeneration programmes play for the HEP? Tick ALL of the roles that apply and then indicate which the three key roles are. Responses to this question should be based on income returned in the HE-BCI Part B Table 3: Regeneration and development programmes.
Adding/improving capability for teaching and learning (resource)  
Adding/improving capability for research (resource)  
Strengthening/facilitating links with the non-academic community  
New/additional funds for teaching capital (buildings)  
New/additional funds for teaching capital (equipment)  
New/additional funds for research capital (buildings)  
New/additional funds for research capital (equipment)  
Not engaged in any regeneration programmes  

Q24. 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 HEP 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 HEP 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.

Education and continuing professional development (CPD)

Q25. Does your HEP 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.
None of the above  

Q26. 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  

Q27. To what extent is the HEP involved in the development and implementation of regional/devolved government  economic strategies in terms of the provision of expertise and data and the involvement of senior HE staff in regional partnerships? Select one only. Regional economic strategies in England were carried out by Regional Development Agencies (RDAs), these ceased to exist as of 31 March 2012. There is no direct replacement for RDAs, with economic strategies and future development undertaken by Local Enterprise Partnerships (LEPs). Similar activities are carried out within the Welsh Government, the Department of Enterprise, Trade and Investment in Northern Ireland, and Scottish Enterprise and  Highlands and Islands Enterprise.

For the purposes of the HE-BCI record, the substitute for RDAs will be 'Region'.

The definition ‘Region’ can be taken to mean the areas covered by the Office for National Statistics (ONS) Regions (former GORS) for England, plus the areas covered by the devolved administrations of Northern Ireland, Scotland and Wales.
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. HEP is seen as a core asset in the region and a central element within the regional skills strategy.

Q28. To what extent does the HEP 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 HEP 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.

Q29. 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.

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