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Introduction - Resources 2000/01

This publication is one of four reference volumes from the Higher Education Statistics Agency (HESA), which present statistics about the publicly funded higher education (HE) institutions of the United Kingdom (UK).

This volume draws on HESA’s collection of data about finance and staff in HE in the financial year ending 31 July 2001. Tabulations are included which record and analyse the income and expenditure of universities and colleges (with data shown at institution level) and also about the characteristics of academic staff (including gender balance within academic subject departments, ethnicity, etc.).

The other reference volumes published by HESA are:

Students in Higher Education Institutions - which contains statistical data about all aspects of students in higher education institutions (HEIs), including their examination results. Tabulations also cover subjects of study at undergraduate and postgraduate levels. This publication is aimed at those seriously interested in finding out about issues concerning students in HE.

First Destinations of Students Leaving Higher Education Institutions - which includes statistics about the first destinations of graduates including employment rates, participation in further study and training, etc. A summary tabulation at institution level is included.

Higher Education Statistics for the United Kingdom - which is published in conjunction with the Government Statistical Service and which presents an overview of higher education (HE) from a statistical perspective, including statistics about applications, participation, institutional finance, staffing, student awards and loans.

The Agency also makes available a number of other related products. More information about these is set out at the end of this volume.

While HESA publishes extensively from the data it collects, it is recognised that specific requirements by some interested parties may not be addressed. Therefore, the Agency undertakes to provide a service to answer enquiries about the data collected, for which a charge will normally be levied.

In 2001 HESA collected finance and staff data from all publicly funded UK HEIs for the financial year 2000/01 (i.e. the period 1 August 2000 to 31 July 2001). This information was collected uniformly from all of the universities and HE colleges in the UK.

This commentary summarises and analyses the data contained within the main tables and presents summary statistics and key points for the finance data and staff data in turn.

Due to the provisions of the Data Protection Act 1998 and the Human Rights Act 1998, HESA now implements a strategy in published and released tabulations designed to prevent the disclosure of personal information about any individual. This strategy involves rounding all numbers to the nearest 5. A summary of this strategy is as follows:

  1. 0, 1, 2 are rounded to 0
  2. All other numbers are rounded to the nearest 5.

So for example 3 is represented as 5, 22 is represented as 20, 3286 is represented as 3285 while 0, 20, 55, 3510 remain unchanged.

Total figures are also subject to this rounding methodology; the consequence of which is that the sum of numbers in each row or column will rarely match the total shown precisely.

Average values, proportions and FTE values prepared by HESA are not subject to the above strategy, and will be calculated on precise raw numbers. However, percentages calculated on populations which contain less than 50 individuals will be suppressed and represented as ‘..’ as will averages based on populations of 7 or less.

Data on financial affairs of higher education institutions does not fall within the definition of ‘personal data’ under the Data Protection Act 1998, and is therefore exempt from the above provisions.

Finance data

It should be noted that where comparisons are made between the latest financial year and a previous year, the previous year’s figures are as re-stated in the most recent financial statements available. They are not therefore necessarily reconcilable with figures for that year published in previous HESA volumes. However, it is understood that all such figures can be reconciled to the published accounts of the institutions.

On Finance Tables some of the totals do not add up to those shown due to rounding.

Key points:

Balance sheet

  • Tangible assets have increased by £862 million (7%).
  • There has been a substantial increase in short-term borrowing (£238 million) and a decrease in short-term investments (-£54 million).

Income and expenditure

  • Income during the year amounted to £13.5 billion.
  • There has been a deficit of income over expenditure (-£51 million) for the first time since HESA records began.

Sources of income

  • Funding council grants increased by almost £215.5 million (4%).
  • The amount of income received from tuition fees & education grants & contracts increased by 6.6%. UK and EU domiciled students charged full-time HE course standard fees accounted for 39.4% of income from tuition fees & education grants & contracts.
  • Research councils provided just under a third of research grants & contracts; the largest share of the total.

Expenditure

  • Increases of £261 million in operating expenses and £525 million in staff costs largely accounted for a 6.7% rise in total expenditure.

Balance sheet

A comparison of the HE sector’s balance sheet at 31 July 2001 with that at 31 July 2000 shows a £238 million increase in short-term creditors while amounts due after more than one year have increased by £155 million. This increase in short-term borrowing was matched by substantial increase in debtors (£166 million).

The value of tangible assets has increased by £862 million (6.7%), while endowment assets have decreased by £136 million (-4.6%). Endowments (specific and general) have decreased by £140 million from last year, compared with an increase of £191 million from 1999 to 2000.

Table A - Balance sheet

    Balance (£M) as at 31 July
    2001 2000 Change % change
Fixed assets        
  Tangible assets 13777 12914 862 6.7%
  Investments 419 418 1 0.4%
  Total 14196 13332 864 6.5%
Endowment assets        
  Cash at bank 141 147 -6 -4.2%
  Other Investments 2687 2817 -130 -4.6%
  Total 2828 2965 -136 -4.6%
Current assets        
  Stock 70 65 5 7.0%
  Debtors 1737 1571 166 10.6%
  Investments 1217 1271 -54 -4.2%
  Cash at bank & in hand 599 553 46 8.3%
  Total 3623 3460 163 4.7%
Creditors: amounts falling due within one year 2716 2478 238 9.6%
Net current assets 907 982 -75 -7.6%
Total assets less current liabilities 17932 17279 653 3.8%
Creditors: amounts falling due after more than one year 2615 2460 155 6.3%
Provisions for liabilities & charges 389 346 44 12.7%
Net Assets 14927 14473 454 3.1%
Deferred capital grants 3272 2860 413 14.4%
Endowments        
  Specific 2236 2344 -108 -4.6%
  General 594 626 -32 -5.1%
  Total 2830 2970 -140 -4.7%
Reserves        
  Revaluation reserve 4375 4368 8 0.2%
  Minority interest 42 42 0 0.1%
  General reserve 4407 4233 174 4.1%
  Total 8825 8644 181 2.1%
Total 14927 14473 454 3.1%

Income and expenditure

The income of the HE sector totalled £13.5 billion during the financial year to 31 July 2000; this compares with £12.8 billion for the previous year. The surplus/deficit of income over expenditure decreased by £72.5 million from £21.9 million in 1999/2000 to -£50.6 million in 2000/01. The first time a deficit has been recorded for the HE sector income over expenditure since HESA records began.

Table B - Total Income and Expenditure, Financial Years 2000/01 and 1999/2000 £ Thousands
  2000/01 1999/2000 % change
Income 13493919 12711740 6.2%
Expenditure 13544483 12689854 6.7%
Surplus/Deficit(#5) -50564 21886 -331.0%
Surplus/Deficit as percentage of income -0.4% 0.2%  
# see relevant footnote in Notes on Tables.

To provide the context for these figures, Chart 1 shows the HE sector’s surplus/deficit (re-based and re-calculated as appropriate) for each of the years for which HESA now has data. Data were returned to HESA for financial year 1993/94 onwards; figures for previous financial years are set out in earlier editions of this volume.

Surplus/Deficit of income over expenditure, 1993/94 to 2000/01

The number of individual institutions reporting a surplus or breakeven was 92 in 2000/01 compared with 95 in 1999/2000. Deficits were reported by 75 institutions in 2000/01 compared with 72 institutions in 1999/2000. 52 institutions reported deficits in both financial years.

The final table in this section aggregates figures for institutions funded by each of the four UK countries’ funding councils. It should be noted that in this and other tables, The Open University is counted as an institution based in England.

Table C - Income and Expenditure by UK Country £ Thousands
  Financial Year 2000/01   Financial Year 1999/2000
Location of
Institution
Income Expenditure Surplus/ Deficit % of income   Income Expenditure Surplus/ Deficit % of income
England 11068645 11100298 -31653 -0.3%   10402172 10352870 49302 0.5%
Wales 641060 637305 3755 0.6%   594531 590677 3854 0.6%
Scotland 1513246 1528456 -15210 -1.0%   1455132 1480615 -25483 -1.8%
Northern Ireland 270968 278424 -7456 -2.8%   259905 265692 -5787 -2.2%
Total 13493919 13544483 -50564 -0.4%   12711740 12689854 21886 0.2%

Income

The table and chart below summarise institutions’ sources of income in terms of proportions contributed by each source and the growth or otherwise over time.

Table D - Sources of Income £ Thousands
  2000/01 1999/2000 % change
Funding council grants 5355777 5140328 4.2%
Tuition fees & education grants & contracts 3048579 2858908 6.6%
Research grants & contracts 2207228 1969912 12.0%
Other income 2589948 2450193 5.7%
Endowment & investment income 292387 292399 0.0%
Total income 13493919 12711740 6.2%
 

Sources of income, 1996/97 to 2000/01

Funding council grants have shown a fourth consecutive increase this year and represent a 39.7% proportion of total income. Tuition fees & education grants & contracts represent a 22.6% proportion of total income.

Funding council grants

Institutional funds for academic and other purposes are allocated primarily by the higher education funding councils for England, Wales and Scotland, and by the Department of Education for Northern Ireland acting as a funding agency for the four Northern Ireland higher education institutions. Some funds are also provided by the Teacher Training Agency (TTA), and further education funding councils in England and Wales in relation to some categories of FE teaching. (In Scotland it is impossible to disaggregate the funding of FE teaching.)

Table E - Breakdown of Funding Council Grants 2000/01 £ Thousands
    % of total
Recurrent - teaching 3805637 71.1%
Recurrent - research 1070580 20.0%
Recurrent - other (inc. special funding) 309879 5.8%
Release of deferred capital grants - buildings 53938 1.0%
Release of deferred capital grants - equipment 44709 0.8%
Grants for FE provision (not applicable in Scotland) 71034 1.3%
Total funding council grants 5355777 100%

Tuition fees and education grants and contracts

Table F - Income from Tuition Fees and Education Grants and Contracts 2000/01 £ Thousands
      % of total
HE course fees    
  Full-time UK & EC domiciled students charged standard fees 1199796 39.4%
  Full-time UK & EC domiciled students charged non-standard fees 434312 14.2%
  Part-time HE course fees 379540 12.4%
  Overseas (Non EC) 746366 24.5%
  Sub-total HE course fees 2760014 90.5%
Non-credit-bearing course fees 236782 7.8%
FE course fees 26416 0.9%
Research training support grants 25367 0.8%
Total tuition fees & education grants & contracts 3048579 100.0%

The total income for tuition fees & education grants & contracts increased by 6.6% this year from £2.9 billion in 1999/2000 to £3.05 billion. Income from overseas students provides 24.5% of this category’s income.

Research grants and contracts

Research grants & contracts increased by 12% this year from £2.0 billion in 1999/2000 to £2.2 billion. The Office of Science and Technology (OST) research councils continue to be the largest providers by representing a 31.5% proportion of total research grants & contracts income.

Table G - Income from Research Grants and Contracts 2000/01 £ Thousands
    % of total
OST research councils 695157 31.5%
UK based charities 554901 25.1%
UK central government bodies, local authorities, health & hospital authorities 372866 16.9%
UK industry, commerce & public corps 258872 11.7%
EU government bodies 137953 6.3%
EU other 32244 1.5%
Other overseas 112280 5.1%
Other sources 42955 1.9%
Total research grants & contracts 2207228 100.0%

Other income

This category increased by 5.7% this year from £2.5 billion in 1999/2000 to £2.6 billion.

Table H - Other Income 2000/01 £ Thousands
      % of total
Other services rendered    
  Course validation fees 16637 0.6%
  Teaching companies 19338 0.7%
  UK central government bodies, local authorities, health & hospital authorities 169695 6.6%
  UK industry, commerce & public corporations 125645 4.9%
  EU government bodies 47488 1.8%
  EU other 6901 0.3%
  Other overseas 26945 1.0%
  Other sources 239613 9.3%
  Sub-total other services rendered 652262 25.2%
Residences & catering operations 925602 35.7%
Grants from local authorities 10606 0.4%
Income from health & hospital authorities 200225 7.7%
Released from deferred capital grants 45655 1.8%
Income from intellectual property rights 17828 0.7%
Other operating income 737770 28.5%
Total other income 2589948 100.0%

Expenditure

The 6.7% (£855 million) rise in expenditure to £13.5 billion as shown in Table I was largely made up of an increase of £525 million in staff costs and £261 million in other operating expenses.

Table I - Expenditure, Financial Years ending 2000/01 and 1999/2000 £ Thousands
  2000/01 1999/2000 % change
Staff costs 7911111 7385624 7.1%
Other operating expenses 4807898 4547301 5.7%
Depreciation 614087 555094 10.6%
Interest payable 211387 201835 4.7%
Total 13544483 12689854 6.7%

The percentage distribution of expenditure by functional area within the total as shown in Table J has changed little from the previous year. Academic departments represent a 41.9% proportion of total expenditure and residences and catering operations represent a proportion of just 6.5%.

The clinical medicine cost centre and business & management studies cost centre continue to have the largest share of total expenditure with 9% each. They spent £517 million and £532 million respectively in 2000/01. The social studies cost centre and nursing & paramedical studies cost centre have a 7% share of total expenditure each. They spent £422 million and £378 million respectively in 2000/01.

Table J - Distribution of Expenditure by Functional Area 2000/01 £ Thousands
    % of total
Academic departments 5680920 41.9%
Academic services 983106 7.3%
Administrative & central services 1702665 12.6%
Premises 1406396 10.4%
Residences & catering operations 885582 6.5%
Research grants & contracts 1925339 14.2%
Other expenditure 960475 7.1%
Total expenditure 13544483 100.0%

Staff data

Analysis by ‘staff grade’ is only meaningful where institutions have reported their staff within nationally recognised grade structures or within internal grade structures, which facilitate differentiation on a similar basis. Several institutions, including some large post-1992 universities, report their staff on a single grade structure, which does not have an independent category for the professor grade. Hence staff on the professor grade at institutions using the single grade scale cannot be distinguished from the senior lecturer grade, leading to the number of professors being under-counted for these institutions and for the sector as a whole. This under-counting will have a consequential effect on the proportions of professors within particular subject areas, cost centres and by gender. The Agency therefore advises caution in analysis of staff by grade.

Key points:

  • The total number of academic staff in the HE sector grew by 3.1% from 135,745 in 1999/2000 to 139,940 in 2000/01.
  • 69% of all full-time posts were wholly financed by the institutions themselves. This compares exactly with 1998/99 and 1999/2000.
  • 37% of academic staff in the HE sector in 2000/01 were women. The number of female academic staff increased from 1999/2000 by 5% in comparison to a 2% increase of men.
  • A quarter of all full-time staff were employed in medicine, dentistry & health departments.
  • 78% of researchers were funded other than wholly by the institutions themselves.
  • Just under a half of full-time non-clinical wholly institutionally financed staff were aged over 45.
  • The average age of all academic staff was 42.
  • 90% of full-time non-clinical wholly institutionally financed academic staff were working in the same institution as they were in the previous year.
  • 5% of responding UK nationality staff were known to have a non-white ethnicity and 1% of responding staff of UK nationality were known to have a disability.

General

Table K - Summary - Academic Staff in all UK Institutions 2000/01

United Kingdom

    Full-time Part-time Total
Mode of employment 116405 23535 139940
Gender      
  Female 38990 12230 51220
  Male 77415 11305 88720
Principal source of salary      
  Wholly institutionally financed 80435 16540 96975
  All other sources of finance 35970 6995 42965
Primary employment function      
  Teaching/Teaching & research 80405 16050 96455
  Research only 36005 7480 43485
Grade(#9)      
  Professors 12530 930 13460
  Senior lecturers & researchers 22105 1845 23955
  Lecturers 41955 8220 50170
  Researchers 32445 6555 39000
  Other grades 7370 5985 13355
Clinical status      
  Non-clinical 110540 22285 132825
  Clinical 5870 1245 7115

In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.

# see relevant footnote in Notes on Tables.

In the academic year to 31 July 2001, the total number of academic staff employed by UK HEIs was 139,940. The 3% growth rate in staff numbers during the year was more than accounted for by continued growth in the number of those employed part-time (from 21,955 to 23,535) who comprised some 17% of staff.

While just over one third (37%) of all staff were female, women comprised just over a half (52%) of those working part-time.

69% of full-time posts were wholly financed by the institutions themselves, this proportion rising to 70% for part-time posts. 69% of full-time posts and 68% of part-time posts include teaching as a primary employment function.

Region and clinical status

Overall, 63% of full-time clinical posts were financed other than by the institutions themselves; this compares with 31% for all full-time posts. Women made up 25% of all full-time staff with clinical status.

Full-time posts held by women were less likely to be funded by the institutions themselves compared to men; 37% of such female staff were funded other than wholly by the institution compared with 28% of males. There was some variation at UK country level, most notably, 45% of full-time women employed in Scottish institutions were at least in part externally funded.

Table L - Full-time Academic Staff in all UK Institutions by Location of Institution

United Kingdom

      Location of Institution  
      England Wales Scotland Northern
Ireland
Total
All full-time staff 93670 5790 14045 2900 116405
Female 31590 1830 4615 955 38990
  Wholly institutionally financed 19975 1320 2515 595 24410
    Non-clinical 19640 1290 2460 595 23990
    Clinical 335 30 55 5 420
  All other sources of finance 11615 505 2100 360 14580
    Non-clinical 10770 485 1975 330 13560
    Clinical 845 20 125 30 1015
Male 62085 3960 9430 1940 77415
  Wholly institutionally financed 44900 3095 6565 1465 56025
    Non-clinical 43495 3015 6290 1460 54255
    Clinical 1405 80 275 5 1770
  All other sources of finance 17180 870 2865 475 21395
    Non-clinical 14965 780 2605 380 18730
    Clinical 2215 90 260 95 2660
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.

Departmental cost centres, principal source of salary and grade

25% of all full-time staff worked in medicine, dentistry & health and a further 22% of all full-time staff worked in biological, mathematical & physical science departments.

37% of the sector’s female full-time employees worked in medicine, dentistry & health while biological, mathematical & physical science departments accounted for a quarter of male full-time employees.

Table M - Full-time Academic Staff in all UK institutions by Principal Source of Salary, Gender and Departmental Cost Centre 2000/01

United Kingdom

    Wholly Institutionally Financed   All Other Sources of Finance
    Female Male Total   Female Male Total
Departmental cost centres 24410 56025 80435   14580 21395 35970
  Medicine, dentistry & health 6620 7615 14235   7945 7430 15375
  Agriculture, forestry & veterinary science 420 1175 1595   325 385 710
  Biological, mathematical & physical science 2655 11890 14545   3480 7120 10605
  Engineering & technology 1245 9655 10900   845 4055 4900
  Architecture & planning 330 1400 1725   110 225 335
  Administrative, business & social studies 5585 12265 17850   1140 1365 2500
  Language based studies 2145 2765 4910   125 145 270
  Other arts 2495 5730 8225   275 400 675
  Education 2585 3110 5695   270 195 465
  Academic services 205 220 425   45 60 105
  Administration & central services 130 195 325   20 15 35
  Premises 0 0 0   0 0 0
  Residences & catering 0 0 0   0 0 0
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.

52% of full-time staff in departments of medicine, dentistry & health and 42% in biological, mathematical & physical science were financed other than wholly by the institutions themselves. Departments with the fewest partially or wholly externally funded staff were in the areas of language based studies (5%), other arts (8%) and education (8%).

Since the 1999/2000 academic year, the total number of full-time academic staff working in education departments has increased by 3% and decreased in architecture & planning departments and agriculture, forestry & veterinary science departments by 1% and 11% respectively.

While overall, 31% of full-time staff were at least partially externally funded, 79% of researchers were so financed; researchers made up nearly three quarters (72%) of all staff for whom finance was received from outside the institution.

Table N - Full-time Academic Staff in all UK Institutions by Principal Source of Salary, Grade(#9) and Gender 2000/01

United Kingdom

    Principal Source of Salary
    Wholly
institutionally
financed
All other
sources of
finance
Total
Professors 11480 1055 12530
  Female 1415 160 1575
  Male 10065 895 10960
Senior lecturers & researchers 19750 2355 22105
  Female 4615 750 5370
  Male 15135 1605 16740
Lecturers 37620 4335 41955
  Female 13895 2000 15895
  Male 23725 2330 26055
Researchers 6670 25775 32445
  Female 2565 10615 13185
  Male 4105 15160 19265
Other grades 4915 2450 7370
  Female 1920 1050 2965
  Male 2995 1405 4400
Total 80435 35970 116405
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.
# see relevant footnote in Notes on Tables.

Age

(Note: the figures in this section and the following section relate only to full-time non-clinical staff, wholly financed by the institution.)

Table P - Full-time Non-clinical Wholly Institutionally Financed Academic Staff by Grade(#9) and Age 2000/01

United Kingdom

  Professors Senior
lecturers &
researchers
Lecturers Researchers Other grades Total
Under 26 0 5 210 725 220 1160
26-30 5 100 3190 1905 360 5565
31-35 115 1025 7130 1485 440 10190
36-40 700 2495 7065 960 500 11725
41-45 1370 3315 5920 590 655 11850
46-50 2270 3765 5465 440 855 12795
51-55 2975 4485 4920 335 1025 13740
56-60 2145 2865 2395 165 505 8070
61-65 970 1005 750 50 160 2940
66 + 75 50 35 5 25 190
Unknown 5 0 5 5 10 30
Total 10635 19110 37080 6665 4755 78245
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.
# see relevant footnote in Notes on Tables.

Of those staff whose age was known, 48% were aged over 45 and 18% were aged between 51 and 55. 43% of senior lecturers & researchers and almost half of professors (49%) were aged between 46 and 55. While over three quarters (76%) of researchers were aged 40 years or under. The average mean age of all academic staff in the UK was 42.

Inflow/Outflow

During the academic year to 31 July 2001, 90% of staff were working in the same institution as they were one year earlier and a further 4% had been working in another HEI. A loss of 5,870 staff from the HE sector outnumbered the inflow of 5,035 staff. Retirement was the largest single known reason for departures and the sector gained more staff from overseas than left to work overseas. Caution should be exercised when further analysing staff flows on account of the size of the unknown category.

Table Q - Full-time Non-Clinical Wholly Institutionally Financed Academic Staff by Employment in the Previous Year and Destination 2000/01

United Kingdom

Total   Total
Employment in the previous year     Destination  
  Non-clinical 78245     Non-clinical 78245
    Current institution 70355       Current institution 71120
    UK other HEI 2850       UK other HEI 1250
  Inflow 5035     Outflow 5870
    UK 2625       UK 765
    Overseas 1195       Overseas 435
    Not in regular employment 70       Not in regular employment 230
    Not known 1145       Retirement 1005
              Death 70
              Not known 3365
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.

Chart 3 displays graphically the inflow and outflow by age groups.

Inflow and outflow of full-time wholly institutionally financed academic staff (non-clinical), 2000/01

Ethnicity

Although 10% of academic staff of UK nationality declined to disclose their ethnic group, of those that did 5% (4,825 staff) were of non-white ethnicity. Chart 4 shows the percentages of those of non-white ethnicity represented by each visible ethnic minority group.

Known non-white ethnicity of UK nationality academic staff, 2000/01

Disability

Of the 94% of UK nationality staff who disclosed this information, 1% were known to be disabled.

Table R - Academic Staff of UK Nationality by Disability Status and Mode of Employment 2000/01

United Kingdom

  Not known
to be
disabled
Disabled
but not
registered
Registered
disabled
Total for
whom returns
were made
Information
not
provided
Total
Total 101130 975 160 102265 6070 108335
Full-time 84255 805 125 85185 5065 90250
Part-time 16880 170 35 17080 1005 18090
In this table 0, 1, 2 are rounded to 0. All other numbers are rounded up or down to the nearest 5.

HESA cannot accept responsibility for any inferences or conclusions derived from the data by third parties.