Definitions - Business and Community Interaction 2009/10
The Higher Education - Business and Community Interaction Survey (HE-BCI) is the main vehicle for measuring the volume and direction of interactions between UK Higher Education Institutions (HEIs) and business and the wider community. The survey collects information on the infrastructure, capacity and strategy of HEIs, and also numeric and financial data regarding third stream activity (that is, activities concerned with the generation, use, application and exploitation of knowledge and other university capabilities outside academic environments, these being distinct from the core activities of teaching and research).
The HE-BCI Survey is mandatory for HEIs in England and Wales, excluding The University of Wales (central functions). The HE-BCI Survey is not mandatory for HEIs in Scotland, although the Scottish Funding Council (SFC) strongly advise that HEIs in Scotland return it. In 2009/10, four institutions in Scotland did not submit HE-BCI data.
HE-BCI data relates to the institutions' financial year, i.e. 1 August 2009 to 31 July 2010.
All financial values in the HE-BCI Survey are shown in units of £1,000 and where necessary rounded to the nearest £1,000.
Region of institution
The allocation of an HEI to a geographical region is done by reference to the administrative centre of that institution. There may be students registered at institutions who are studying in regions other than that of the administrative centre of the institution.
HESA allocates HEIs to Government Office Regions as follows:
North East (NEAS), North West (NWES), Yorkshire and The Humber (YORH), East Midlands (EMID), West Midlands (WMID), East of England (EAST), London (LOND), South East (SEAS), South West (SWES), Scotland (SCOT), Wales (WALE) and Northern Ireland (NIRE).
Although The Open University teaches throughout the UK, its administrative centre is located in South East England and is counted as a wholly English institution.
INSTID - Institution identifier (INSTID) is the unique identifier allocated to institutions by HESA.
UKPRN - UK Provider Reference Number (UKPRN) is the unique identifier allocated to institutions by the UK Register of Learning Providers (UKRLP).
HE-BCI Survey Part A
The HE-BCI Survey Part A questions and guidance is available from the HESA FSR with HE-BCI Survey Collection 2009/10 coding manual. The survey covers six broad areas: strategy; infrastructure; intellectual property; social, community cultural; regeneration; education and continuing professional development CPD). The definition of terms used within the six question and option groups is included below.
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.
Graduate retention in local region also includes the retention of graduates who originate from elsewhere other than the region of the HEI. (Regions are defined as the Regional Development Agency (RDA) regions in England, and the activities carried out in Wales by the Welsh Assembly Government, in Northern Ireland by the Department of Enterprise, Trade and Investment and in Scotland by Scottish Enterprise and Highlands and Islands Enterprise).
Supporting small and medium size enterprises (SMEs) includes support in the form of areas identified in Part B of the HE-BCI Survey (e.g. consultancy, equipment, services). SMEs are classified by the European Commission as enterprises which employ fewer than 250 persons and which have an annual turnover not exceeding £35.5 million/EUR 50 million, and/or an annual balance sheet total not exceeding £30.5 million/EUR 43 million. SMEs include micro, small and medium enterprises, and sole traders.
Support for community development may also be in the form of community regeneration.
Meeting national skills needs 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 involves the creation of a 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).
Standard Industrial Classification (SIC) sectors relate 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 (SIC 2007) (PDF).
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.
Sector Skills Councils (SSCs) are employer-led organisations aimed at improving the skills and productivity of their sector's workforce. The industries covered by each SSC are strictly defined. Further information and definitions for each SSC can be obtained from the Alliance Sector Skills Council directory.
Regional Development Agency (RDA). The nine Regional Development Agencies (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.
Where HEIs stated that the area of greatest priority to their mission was locality, this is the city or town within which they are located. An area defined by the HEI could include surrounding counties.
Incentives for staff to engage with the Business and Community function of the HEI may include progression, as well as rewards or performance pay.
Staff employed in a dedicated Business and Community function refers to a full-time equivalent (employed either by the HEI or by companies wholly or partly owned by the HEI), and working in a knowledge transfer office or similar where their time is attributed to engaging with commercial partners, engaging with public sector partners or engaging with social, community and cultural partners.
Subsidiary company refers to a HEI company (rather than an outsourced function).
Exploitation company will usually be wholly or majority owned by the HEI, operating on a commercial basis and returning revenue to the HEI through gift aid or similar.
Internal department will include a team within the HEI structure, with responsibility across the entire HEI for legal and commercial aspects of knowledge exchange activity.
The estimated percentage of the HEI's academic staff (excluding the dedicated third stream staff) providing services to social, community and cultural partners, commercial partners/clients or public sector partners/clients is an estimate of how many academics have actually delivered services (such as design, contract research and training) as a percentage of the whole academic staff (all of whom may usually be assumed to have such potential).
HEI ownership over intellectual property (IP) includes copyrights, trademarks, design rights, trade secrets and patents for the protection of inventions.
Where staff as individuals are rewarded by the HEI, financially or by other means for the IP that they generate other means may include increases in departmental research budget.
Support for spin-offs is based on HEI generated IP, with or without HEI ownership (as defined under HE-BCI Survey Part B, Table 4: Intellectual property).
On-campus/Other 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 includes high-specification, purpose built accommodation for start-ups or expanding companies, aimed at scientific research, technology, environmental, engineering, ICT and other knowledge sectors.
Seed corn investment (seed funding) refers to securities offerings, after proof-of-concept, used to launch a start-up enterprise.
Venture capital typically occurs after seed corn investment - as funding for the growth of an enterprise, and resulting in the owning of equity in the enterprise.
Social, community, cultural
Staff days per year permitted to provide expertise and/or services for social and community groups, civic authorities, broadcast media and cultural events excludes dedicated Business and Community staff time.
The role of funding from regeneration programmes is based on the income returned in the HE-BCI Survey Part B, Table 3: Regeneration and development programmes.
Education and continuing professional development (CPD)
Extra-mural courses are defined for this survey as non-credit-bearing courses.
Student business placements includes formal sandwich courses and short term placements.
HE-BCI Survey Part B
Research related activities
Collaborative research involving public funding
This includes research projects with public funding from at least one public body, and a material contribution from at least one external non-academic collaborator. The collaborative contribution may be cash or 'in kind' if this is specified in a collaborative agreement and auditable. In-kind contributions include contributions to the project from the non-academic collaborators (for example staff time, use of equipment and other resources, materials, provision of data etc.) as described in the project collaboration agreement.
Collaborative research involving public funding is analysed as follows:
BIS Research Councils includes all research income from Research Councils sponsored by the Department for Business, Innovation and Skills (BIS), The Royal Society, British Academy and The Royal Society of Edinburgh. They are:
- AHRC - Arts and Humanities Research Council
- BBSRC - Biotechnology and Biological Sciences Research Council
- EPSRC - Engineering and Physical Sciences Research Council
- ESRC - Economic and Social Research Council
- MRC - Medical Research Council
- NERC - Natural Environment Research Council
- STFC - Science and Technology Facilities Council
- plus other income from The Royal Society, British Academy and The Royal Society of Edinburgh.
Other UK Government departments includes income from other UK government departments and includes income from Knowledge Transfer Partnerships (KTPs).
EU Government includes all research income from all government bodies operating in the EU, which includes the European Commission but excludes bodies in the UK.
Other includes charities, public and not-for-profit organisations as well as commercial businesses.
This includes contract numbers and income identifiable by the institution as meeting the specific research needs of external partners, excluding any already returned in collaborative research involving public funding and excluding basic research council grants. Contract research income from charities may be included where the charity is contracting research for its own purposes.
Contract research numbers and income are further analysed by:
Small and medium enterprises (SMEs) includes enterprises which employ fewer than 250 persons and which have an annual turnover not exceeding EUR 50 million, and/or an annual balance sheet total not exceeding EUR 43 million. SMEs include micro, small and medium enterprises and sole traders.
Other (non-SME) commercial businesses includes other commercial businesses which do not match the above definition of SMEs.
Non-commercial organisations includes organisations from which its shareholders or trustees do not benefit financially.
Regional Development Agency contract research numbers and income for the current year is subtotalled in subtotal RDA area.
Business and community services
This includes contract numbers and income associated with consultancy, that is advice and work crucially dependent on a high degree of intellectual input from the institution to the client (commercial or non-commercial) without the creation of new knowledge. Consultancy may be carried out either by academic staff or by members of staff who are not on academic contracts, such as senior university managers or administrative/support staff.
Consultancy contracts are further analysed by SMEs, other (non-SME) commercial businesses and non-commercial organisations, as defined under Contract research.
Facilities and equipment related services - organisations involved and income
This includes the use and income associated with the use the HEI's physical academic resources by external parties, and captures provision which can be uniquely provided by an HEI. Examples may include aerospace company use of a HEI's wind tunnel, or media company use of a digital media suite. It does not include simple trading activities such as commercial hire of conference facilities or academic conferences.
Facilities and equipment related services - organisations involved and income are further analysed by SMEs, other (non-SME) commercial businesses and non-commercial organisations, as defined under Contract research.
Courses for business and the community - Continuing Professional Development (CPD) courses and Continuing Education (CE) (excluding pre-registration funded by the NHS or TDA)
This includes revenue generated by Continuing Professional Development (CPD) courses, defined as a range of short and long training programmes for learners already in work who are undertaking the course for purposes of professional development, upskilling or workforce development.
CPD course revenue is further analysed by SMEs, other (non-SME) commercial businesses and non-commercial organisations.
CE and CPD course revenue is additionally analysed by CE and CPD for individuals which includes revenue from individuals that approach the HEI for CE and CPD to develop or enhance specific employability or professional skills.
Regional Development Agency business and community service numbers and income for the current year is subtotalled in subtotal RDA area.
Total learner days of CPD/CE courses delivered includes contact time for lectures, tutorials, field study and small group study periods. Learner days are calculated using the assumption that one day is equivalent to one person receiving eight hours of teaching/training.
Regeneration and development programmes
Regeneration funding is an important way for HEIs to invest intellectual assets in economic, physical and socially beneficial projects. The HE-BCI Survey counts regeneration as a proxy for direct economic and social impact. It is returned as income from the allocating public body.
The majority of regeneration funding comes from European sources, specifically ERDF income (European Regional Development Fund), ESF income (European Social Fund (ESF)), UK Government regeneration funds and development agencies in the UK including RDA programmes (Regional Development Agencies). However, any funding that enhances or increases knowledge transfer between the HEI and business and community partners may be included, which if not categorised above, is included in other regeneration grants and income from local and regional bodies or other sources.
Intellectual property (IP)
Intellectual property (IP) is a vital indicator for the value added by the HEI when interacting with a range of external partners. It is commonly in the form of licenses granted to private companies, allowing them to exploit an invention protected by a patent. IP includes patents, copyright, design registrations and trademarks.
Disclosures and patents filed by or on behalf of the HEI
Number of disclosures includes the cumulative total of disclosures for the academic year.
Number of new patent applications filed in year includes all Patent Co-operation Treaty (PCT) applications.
Number of patents granted in year includes all individual patents and any individual national patents.
Cumulative patent portfolio includes the number of individual active and live patents. Active patents are those currently registered under licence to an external party. Live patents are those registered but yet to be licensed.
The number of new patent applications filed in year, number of patents granted in year and cumulative patent portfolio figures are subtotalled in subtotal overseas to allow the calculation of UK and total international filings.
This includes the number of all active licences granted from licence agreements, assignments, exercised option agreements, licences to spin-outs and income-generating Material Transfer Agreements (MTAs).
Licences granted are further analysed by non-software licences granted and software only licences granted.
Regional Development Agency licence numbers for the current year are subtotalled in subtotal RDA area.
Total licence numbers are subtotalled in subtotal overseas to allow the calculation of UK and total international numbers.
This includes the IP income from upfront or milestone fees, royalties and patents cost reimbursement.
IP income is further analysed by SMEs, other (non-SME) commercial businesses and non-commercial organisations, as defined under Contract research.
Regional Development Agency IP income for the current year is subtotalled in subtotal RDA area.
Subtotal IP income for the current year is subtotalled in subtotal overseas to allow the calculation of UK and total international numbers.
Total IP revenues includes the gross income to the HEI, including the sale of shares in spin-offs, before disbursements to investors and other interested parties. As such this total differs from that recorded in the HESA Finance Statistics Return (FSR) Income analysed by source table (table 6b), sub-head 4f Income from intellectual property rights, for the same reporting period.
Total costs includes the cost of IP expenditure, such as salary and related costs of specialist IP staff, patent and other protection fees and legal expenses.
Spin-offs are companies set-up to exploit IP that has originated from within the HEI. All investment from the HEI and external partners are included but any investment from HEFCE/BIS third stream funds (such as the Higher Education Innovation Fund in England or the Third Mission Fund in Wales) is excluded.
Spin-offs with some HEI ownership are companies set-up to exploit IP that has originated from within the HEI, where the HEI continues to have some ownership.
Formal spin-offs, not HEI-owned are companies set-up based on IP that has originated from within the HEI but which the HEI has released ownership (usually through the sale of shares and/or IP).
Staff start-ups are companies set-up by active (or recent) HEI staff but not based on IP from the institution.
Graduate start-ups include all new business started by recent graduates (within two years) regardless of where any IP resides, but only where there has been formal business/enterprise support from the HEI.
Spin-off activity is further analysed by:
The number of new spin off companies for the reporting period; the number still active which have survived at least 3 years; the number of active firms (the 'number' and 'number still active which have survived at least 3 years' plus those companies which have been active between one and three years); estimated current employment of all active firms (FTE); estimated current turnover of all active firms (£000s) and estimated external investment received (£000s) (from external partners but excluding investment from HEFCE/BIS third stream funds).
Note: estimates for estimated current employment of all active firms (FTE), estimated current turnover of all active firms (£000s), and estimated external investment received (£000s) (from external partners but excluding investment from HEFCE/BIS third stream funds) are provided by HEIs where possible.
Social, community and cultural engagement: designated public events
This includes social, community and cultural events intended for the external community, and is designed to measure the impact of activities where financial income is an inappropriate proxy for impact. Impact is returned in terms of attendees and academic staff time (days) (where one day is equal to 8 hours), for both free events and chargeable events. The events do not have to be funded by the HEI, and includes events held both in the UK and overseas.
Public lectures includes attendee and academic staff time associated with lectures that are open to the public. It is possible that academic staff time as a proxy for impact may not be relevant for non-academic public lectures.
Performance arts (music, dance, drama, etc.) includes performances of music, dance, and the dramatic arts. Staff time is only for the event itself, and not time committed to the preparation of the event through supervising students during core studies.
Exhibitions (galleries, museums, etc.) includes permanent and temporary exhibitions held at museums and galleries owned by the reporting institution. Staff time is only for the event itself, and not time committed to the preparation of the event through supervising students during core studies.
Museum education includes all forms of museum education held at museums and galleries owned by the reporting institution, including lectures, workshops and children's clubs.
Other includes alternative public events held by the HEI, which cannot be categorised above. This can include viewing and listening figures for television and radio programmes produced by institutions, and downloads from institutional websites.