Approaching subcontracting deadlines...

 Subcontractor Declaration

Monday 31 August 2020 is the deadline to submit your subcontractor declarations, that means all organisations delivering ESFA funded adult prgrammes including;

• all apprenticeships
• traineeships
• 16 to 19 provision.
  
  

"Please also note that if you do not subcontract but receive direct funding from ESFA, you are still required to make a nil return."

See the ESFA Update for further details.

Subcontracting Audit

31st July is normally the annual deadline for lead providers to obtain their subcontracting audit and submit their certificate, however, the ESFA has extended the deadline to 30th September 2020 as shown in the 15th July update newsletter.

"We set out in our funding agreements and funding rules the requirement for providers we fund to obtain an annual report from an external auditor that provides assurance on their arrangements to manage and control their delivery subcontractors."
P2 Providing external assurance on subcontracting controls.

Requirements are found in the Providing external assurance on subcontracting controls documentation.

If you're looking for an external auditor we highly recommend Andy Jewitt at Specialist Financial Solutions.

"Andy has, over the last few years, partnered with many lead providers, both regionally and nationally, who required an assurance report in respect of their subcontracted provision and has also engaged with lead providers on a consultancy basis in respect of their systems and controls ahead of ESFA financial assurance reviews."

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IMPORTANT - ILR Transition Period 2020

ILR Transition Period

We're heading into the new funding year 2020 - 2021 but 2019 - 2020 ILR's are required to be submitted until 22nd October 2020.

I’ve made this post a little early this year due to there being minimal changes from the ESFA, there will be a NEW FIS application to download  for 2020 - 2021 however, it hasn't been made available yet but I'll update the links as soon as it's published.

There's still lots of time to prepare your ILR's during this year end / start transition period and hopefully the following information will be of help for training providers new to delivering as a lead.

As you are aware we are transitioning from one funding year to the next and to be fair it's a simple process if you have an MI system to take out the hard work.

However, if you don't you'll need to factor in several very important aspects for this time of year, which won't phase you if you are up to speed with the ILR Specification and Provider Support  online documentation, if you aren't then I will explain what you need to know below.

There is a crossover of ILR's during this transition period and this follows the same process each year.

Main Rules
 
•    The first ILR of a new funding year is due in September.

•   The data cut off for each funding year is always 31st July!
 
•    This means that the data you submit in R12, R13 & R14 MUST NOT include completion or achievements dates if these
      fall after 31st July.
 
•    These learners are classed as continuing, even if they complete in the first week of August, their ILR data must be submitted
      for the remainder of the new funding year.

 Data Collection Timetables

Click the links below to download the return schedules.

2019 - 2020 Data Collection Timetable

2020 - 2021 Data Collection Timetable

New ILR Field

The new funding year always sees changes to the ILR schema due to definition changes and the addition or removal of various data fields in line with funding rule changes.

The ILR specification: 2020 to 2021 - Summary of changes online documentation explains these in full but tI'd like tom point out one additional ILR field which is required for Apprenticeship Standards

• Off The Job Training Hours.
  
  

This field collects the total Actual off-the-job training hours (as defined in the funding rules) that is delivered to the individual apprentice over the practical period of the apprenticeship before gateway. Actual Hours for Off the Job Training : field.

Submit Two Different ILR's in September and October!

Basically for two months you have to submit two ILR's to cover the end of 2019 - 2020 and the start of 2020 - 2021.

The main requirements:

1.    Prepare two ILR's for submission.
 
2.    Be aware of the two different ILR submission dates.
 
3.    ILR XML structure changes.
 
4.    NO Completion data after 31st July 2019 in R13 & R14.
 
5.    Continuing learners across funding years.

What are ILR's R13 & R14 Used For?

Essentially these last two ILRs are there to allow you time to make sure all the ILR data you've submitted throughout the year is correct, which means by 22nd October all of your 2019 - 2020 ILR data should be correct and up to date and all ALL PDSAT and FRM report queries should be resolved.

Check out the ESFA financial assurance: monitoring the funding rules for the specific funding year documentation. 

You must return correct learner information including:

•    Withdrawn

•    Completions in year

•    On Learning Break

•    On Programme

•    Including those transferred to another programme or provider.

Failure to do so could cause funding claw backs, inconsistent QAR data and ultimately running the risk of having your ESFA contracts cancelled due to the inability to correctly manage data.

Using the ESFA’s Learner Entry Tool

This transition period can be a tricky prospect, especially if you are using the ESFA’s Learner Entry tool however the ESFA now has a step by step guide!

To continue submitting R13 and R14 2019 – 2020 ILR’s you will use the setup you have now, the documentation is quite old but is available from the links below:

•    2019 - 2020 ILR Learner Entry tool

•    ILR learner entry 2018 to 2019 user guide

•    Learner Entry Tool Known Issues

•    FIS with 2019 – 2020 data set

For submitting 2020 – 2021 ILR’s you will need to have:

• 2020 -2021 ILR Learner Entry Tool - When available.
  
  
• ILR Learner Entry Tool 2020 – 2021 user guide - When available.
  
  
• NEW FIS with 2020 – 2021 data set
  
  
• FIS User Guide 5.0

Each year the two funding years will almost certainly require a different XML schema so you have to make sure your ILR’s validate against the correct funding year data sets.

Again, you will need to make sure your R12,R13 & R14 MUST NOT include completion or achievement dates if these fall after 31st July.

But YOU MUST include these in your 2020– 2021 ILR’s.

You will need to use both ILR Learner Entry tools and both versions FIS to validate the next 4 ILR submissions!

You will be able to import your 2019 – 2020 ILR into the 2020 – 2021 Learner Entry tool and modify the data there.

Then export in the new funding year format and validate in FIS against the 2020 – 2021 data set!

Important FIS Information!

You will need to make sure you download the ESFA'S latest Funding Information System (FIS) application to conclude the current funding year.

1. Download most up to date FIS application

2. Download the FIS user guide for 2019 to 2020

3. Import 2019 - 2020 ILR

4. Run FIS validation

5. Check any errors against the 2019 - 2020 Validation Rules Spreadsheet.

You will need to make sure you download the ESFA'S Funding Information System (FIS) application for the new 2020 - 2021 funding year.

1. Use FIS application with 2020- 2021 data set - when avaialble

2. Import 2020 - 2021 ILR

3. Run FIS validation

4. Check any errors against the 2020 - 2021 Validation Rules Spreadsheet..

Make sure you upload the ILR's to Submit learner data before the deadlines to avoid any problems.

ILR Validation Process

It's really important that your ILR validation processes include all the available tools to keep you on top of the ESFA's various funding rules and regulations.

FIS - Funding Information System

FIS is a desktop service application element of the Education and Skills Funding Agency’s data collections system which can be used by data providers to

•  validate Individualised Learner Record (ILR) data
•  calculate funding and derived variables
•  create a range of reports based on a set of ILR data

PDSAT - Provider Data Self Assessment Toolkit

"PDSAT is a tool for analysing learner and learning delivery data. It interrogates Individualised Learner Record (ILR) data and produces reports on this data, so that providers can identify and investigate potential anomalies in the ILR data."

ILR data: check that it meets standards and quality requirements

Download PDSAT Tool.

Funding rules monitoring reports - The suite of FRM reports supports the current year's monitoring plan. As this work supports the ESFA's overall assurance approach, some FRM reports also appear in the provider data self-assessment toolkit (PDSAT).

The FRM reports in the Submit Learner Data service highlight any funding issues you may have from duplicate learners to invalid loans.

It's imperative that in your data management processes you keep up to date with any of the issues raised in these reports.

 GDPR

You should all be GDPR compliant, or at least working towards compliance as the ESFA are checking up!

Since 25th May 2018 your application and enrollment forms should include the updated contact preferences fields, as set out in the ESFA's updated Privacy Notice.

You should also check out the Education and Skills Funding Agency privacy notice: April 2019 if you haven't done so already.

Why not take the easy option and let Athena MIS Manage it for you?

Athena MIS - ILR Dashboard

The ILR Dashboard accommodates the ILR transition across funding years.

ILR Return schedules built into the ILR Dashboard to see the different dates and switch funding years for the schedules to change.

You will now have to familiarise yourself with switching between funding years on the ILR Dashboard to view the appropriate learners.

Athena Manages the Changes so you don't have to think about:

•    the different XML schema
 
•    changing data formats
 
•    data cut off period
 
•    transferring continuing learners.

Athena MIS manages all this for you!

Cleverclogs Multimedia LTD will use the information you provide on this form to be in touch with you regarding new blog posts and updates to existing posts on cleverblogs. We will NEVER share your personal details and will only make contact with you via email for this specified purpose. Please see our GDPR compliant privacy notice for further information.

LRS data breach prompts update to security requirements!

Earlier this year the Learner Records Service (LRS) had a serious data breach via a training provider contracted through the ESFA, who allowed access to the data of 28 million children.

This was widely reported in the media including the Times and FE Week, the ICO is said to be investigating further.

On the back of this the ESFA “…have reviewed the requirements for data security in the Education and Skills Funding Agreements and will update them to support a progression route to the more robust controls.”as announced in the update on January 29 2020.

"For the 2020 to 2021 funding year, the requirement will be to meet the requirements for Cyber Essentials, with progression to Cyber Essentials Plus from the 2021 to 2022 funding year. The requirement for preparatory work towards ISO27001 will be introduced later and so does not need to be considered now."

I would expect the ESFA will now start to police this more effectively and run checks to ascertain that training providers have indeed Cyber Essentials certification as a minimum even though it’s been policy of direct government contracts for years.

What is Cyber Essentials?

"Cyber Essentials is a simple but effective, Government backed scheme that will help you to protect your organisation, whatever its size, against a whole range of the most common cyber attacks."

As from 1st April 2020 IASME Consortium takes over the delivery of the National Cyber Security Centre’s (NCSC) Cyber Essentials scheme so you will need to make sure your certification body is part of the IASME Consortium.

There are two levels of certification, Cyber Essentials and Cyber Essentials Plus.

Cyber Essentials costs £300 +VAT, is a self assessment and is required for the 2020-2021 funding year.

Cyber Essentials Plus has additional costs to cover the technical audit of your systems to verify the Cyber Essentials controls are in place, "As a rough estimate a Cyber Essentials Plus assessment for a small, simple company will cost in the region of £1,400" and this is required for the 2021-2022 funding year.

Why Cyber Security Credentials?

Making sure your organisation is Cyber Essentials certified goes a long way to prove that you're serious about cyber security and have controls in place to protect your staff and learner data.

If you check your contracts you'll probably find this has already been a requirement or many years, so if you're not certified yet I'd make it a priority before the start of the new funding year!

Having Cyber Essentials certification will set you up in a good mindset if and when ISO 27001 becomes mandatory, there's been discussions around this for a while and even if you're a micro organisation the costs involved are prohibitive for many as prices just for the audit itself start from around £4,000!

However, there's also the IASME Governance to consider which covers both Cyber Essentials and GDPR also with self assessment and audited options. 

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Covid19 pandemic forces further decisions...

Closure of Register of Apprenticeship Training Providers (RoATP)

According to the latest ESFA Update on April 1st, it was announced that due to the impact on training providers and the ESFA the RoATP will close!

"RoATP will be closed to new applications, which includes second applications from providers that have already applied in the past 12 months, from midnight Wednesday 15 April 2020, providing time for applications in progress and second applications to be completed and submitted.

• We will take this opportunity to review our future approach to the Register.
• The review will include initiating dialogue with the sector.
• We will advise further on when and in what form the Register will re-open.

Applications that have already been received will be assessed in the usual way."

Closure of Onboarding to the Register of Apprenticeship Training Providers (RoATP)

The closure will also have an impact on those accepted providers who have yet to complete the onboarding process, a deadline of midnight Tuesday 14 April 2020 has been enforced.

Provider Growth Limit

At the AELP autumn conference it was announced that the ESFA was considering the introduction of a cap on a provider’s ability to grow, however this decision has also been put on hold until further notice.

Further details on this subject can be read in the Let’s not have arbitrary caps on apprenticeship provider growth article in FE WEEK.

Is RoATP in Your Business Plan?

If your business plans include an application to the RoATP then you’d better get your skates on as the window of opportunity is shrinking by the second!

Applying to the RoATP:

• Choose application route
• Are you eligible?
• Read application guidance
• Apply via DfE portal - Bravo.

Cleverclogs Multimedia LTD will use the information you provide on this form to be in touch with you regarding new blog posts and updates to existing posts on cleverblogs. We will NEVER share your personal details and will only make contact with you via email for this specified purpose. Please see our GDPR compliant privacy notice for further information.

RoATP Reapplication Process Started!

First Round of Providers Notified

The ESFA's new style RoATP reopened in December followed by the first wave of providers to be invited to reapply.

Those providers on the register who are not yet delivering apprenticships will be given top priority and be included in this first round.

It's looking like this process is going to be very tough and providers MUST reapply during their specified time frame (approximately one month) or will be removed from the RoATP by 31st March 2019.

However, they will be able to reapply in the future.

“If your application is unsuccessful, ESFA will remove you from the RoATP and you will be unable to take on any new apprentices.”

Read the latest update in FEWeek.

RoATP Recap

On November 26th the ESFA announced new details of the Register of Apprenticeship Training Providers redesign and a date of December 12th for RoATP to re-open.

The RoATP will be a tougher prospect for those wanting to become a lead provider and will also be a huge change for the many subcontractors who deliver less than 100K of apprenticeship delivery.

The new rules are highlighted in FE Week's article - ESFA scraps £100k threshold, forcing all subcontractors onto the apprenticeships register.

Points to Note:

1. Providers must prove they have actively traded for 12 months.

2. Provide a full set of accounts.

3. No 100K limit! - All subcontractors to be registered by August 2019.

4. Must reapply in timeframe or be removed by 31st March 2019.

5. RoATP is open all year round.

6. NO CLOSING DATE!

7. Only 2 applications permitted per year.

8. Possible provider earnings limits being considered.

9. All existing providers on the RoATP to go through the new process!!

10. The ESFA will invite providers to re-apply - phase 1 in progress.

“Our new RoATP application process ensures that only those that can stand up to our tough quality assurance entry requirements can access government funds to deliver apprenticeship training. We are also being tougher on subcontractors entering the market, to ensure a focus on quality training and mitigate risk to government funds.”

Watch this space for further updates!

IMPORTANT News for Subcontractors - RoATP will re-open in December!

 RoATP Tougher to get in!

The ESFA have announced new details today of the Register of Apprenticeship Training Providers redesign which means the RoATP is to re-open!

The RoATP will be a tougher prospect for those wanting to become a lead provider and will also be a huge change for the many subcontractors who deliver less than 100K of apprenticeship delivery.

The new rules are highlighted in FE Week's article - ESFA scraps £100k threshold, forcing all subcontractors onto the apprenticeships register.

Points to Note:

1. Providers must prove they have actively traded for 12 months.

2. 100K limit removed - All subcontractors to be registered by August 2019.

3. Skilled and able to deliver quality apprenticeship training.

4. RoATP opens 12th December 2018.

5. Is open all year round

6. NO CLOSING DATE!

7. Only 2 applications permitted per year.

8. Possible provider earnings limits being considered.

9. All providers presently on the RoATP will have to go through the new process!!

10. The ESFA will invite providers to re-apply in phases during 2019.

“Our new RoATP application process ensures that only those that can stand up to our tough quality assurance entry requirements can access government funds to deliver apprenticeship training. We are also being tougher on subcontractors entering the market, to ensure a focus on quality training and mitigate risk to government funds.”

 Watch this space for further updates!

Ofsted Updates!

It's been quite a while since I last blogged about Ofsted and since there's been some important updates of late I figure it's probably a good time to have a recap!

The chronology of events below lead us to the latest publication of the Further education and skills inspection handbook and the completion of the first early monitoring visits resulting in a list of apprenticeship providers being barred from taking on new starts!

Although it's been a hard slog to make it this far through all the various RoATP applications, procurement processes and up scaling of data management systems, it's not a time for new (post April 2017) lead training providers to rest on their laurels!

Although the inspection handbook states:

"Ofsted will normally carry out a monitoring visit to any provider that became newly directly funded to deliver apprenticeship training provision from or after April 2017. The monitoring visit will normally be carried out within 24 months of the start of the direct funding by ESFA or through the apprenticeship levy." the key word in this statement is WITHIN!
Page 7 - Further education and skills inspection handbook - for use from 12th November 2018.

It continues to be a challenging time for new lead providers and even for those who strive to prove "reasonable progress" at inspection, but are deemed as making 'insufficient progress' in just one of the themes judged, will still be barred from taking on new starts!

"Ofsted will conduct early monitoring visits at new providers entering the apprenticeship market to sniff out any “scandalous” attempts to waste public money."
Chief Inspector Amanda Spielman - FE Week November 2017

I think all providers will agree with the above statement but I personally think that there should be mechanisms in place to support new lead training providers with ESFA and Ofsted compliance, as a preventative measure, rather than just spending funds on more Ofsted inspectors, but that's just my opinion!

February 2018

Ofsted confirms new stricter rules for grade 3 providers with no more support and challenge visits and unpublished results for providers that 'requires improvement'.

Monitoring visits will follow with results to be made public!

March 2018

First early Ofsted monitoring visit of apprenticeship newcomer begins and warns training ‘not fit for purpose’ as the first report is published!

Search published reports here.

April 2018

Ofsted's new types of provider monitoring and subcontracting visits explained in FE Week and highlight the plans for early inspection of new apprenticeship providers.

"These visits are not full inspections, and providers do not get an overall Ofsted grade. They are monitoring visits with progress judgements."
Paul Joyce - Deputy Director of further education and skills at Ofsted.

Second Ofsted monitoring visit published and shows provider making significant progress!

May 2018

The announcement was made and FE Week published the news that Ofsted would be given the funds and powers to make monitoring visits to EVERY new apprenticeship provider!

This news was described it as “an extremely positive development, especially if a judgement of ‘insufficient progress’ means an automatic ban on new starts”.
Mark Dawe -  Association of Employment and Learning Providers

Ofsted to win apprenticeship money and power.

June 2018

New provider monitoring visits are well underway by June but the results are a cause for concern:

“I have to say that the outcomes to date are concerning. Around a quarter of the judgements inspectors have awarded have been ‘insufficient progress’ – meaning that providers are making slow progress and the demonstrable impact on learners has been negligible."
Paul Joyce - Deputy Director of further education and skills at Ofsted.

New apprenticeship providers are under scrutiny and inspections are being published with a tight focus on those providers coming out with an 'insufficient progress' rating.

July 2018

Data View, Ofsted's inspection data site (relaunched in January 2018) was updated in July, this tool is used to examine outcomes over a 5 year period.

View the Data view guidance document for further details.

Ofsted's In-year inspection outcomes are published from 1st September 2017 to 31st July 2018.

August 2018

Ofsted given final say over new apprenticeship provider quality!

According to the Removal from register of apprenticeship training providers and eligibility to receive public funding to deliver apprenticeship training page:

The following is an excerpt from: Ofsted new provider monitoring visits

"Ofsted is carrying out a programme of monitoring visits to new apprenticeship training providers. When Ofsted has published a monitoring visit report that finds that ‘insufficient progress’ has been made under one or more of the themes assessed, then unless the ESFA identifies an exceptional extenuating circumstance, it will write advising that, with immediate effect, the organisation:

•    must not start any new apprentices

•    can continue to deliver training to existing apprentices but must inform all of the existing employers they are working
     with, and providers they operate as a sub-contractor to, about the Ofsted monitoring visit report

•    is prevented from working with new apprentices via an existing subcontracting arrangement or entering into a new
     subcontracting arrangement with another main provider or employer-provider on the register.

ESFA will not remove the affected organisation from the register."

By the end of August Ofsted also published the first inspection outcomes list of all new provider monitoring visits (47) carried out between 1 February 2018 (when they were introduced) and 31 August 2018, including direct links to all the published reports!

September 2018

September saw 6 new apprentice providers barred from taking on new apprentices after being deemed as making 'insufficient progress’ after their early monitoring visit!

FE Week continues to doggedly report on Ofsted early monitoring visits as "During an education select committee hearing in May skills minister Anne Milton admitted that it wasn’t clear who was accountable for quality at these new providers."

The ESFA have made an update to the Register of Apprenticeship Training Providers (RoATP) spread sheet.

It now has a new column:

'ProviderNotCurrentlyStartingNewApprentices'

which displays all providers barred from taking on new apprentices!

October 2018

The start of the month saw the publication of the commons select committee report: The apprenticeships ladder of opportunity: quality not quantity which covered the disturbing fact that Apprentices let down by poor quality training and support.

"while it recognises the good work being done by many FE colleges and independent training providers, it calls for clearer oversight of apprenticeship training and assessment and a tougher approach to poor quality training."

October has also seen the release of the latest Further education and skills inspection handbook  with more early monitoring visits and reports being splashed across the pages of FE Week!

Revealed: Another four apprenticeship providers banned from taking new recruits - up to 29th October the total of barred providers reached 16!

November 2018

The first week of November saw the ESFA update their policy with regard to new, direct funded, apprenticeship providers which was also reported in FE Week: ESFA WON’T ban new apprenticeship providers with poor AEB provision found in monitoring visits.

"In those new direct funded apprenticeship providers where adult provision is assessed as making insufficient progress we will set additional conditions of funding requiring improvement action particular to that case. The approach is different to the approach taken on apprenticeship provision because the nature of adult provision is classroom delivery of a relatively short duration. Placing a stop on new starts would effectively wind down the provision before a full inspection could take place. Where we have continuing concerns over quality, we will restrict access to growth through the performance management process."
ESFA: New, direct funded, apprenticeship providers

By mid November FE Week reported "Early monitoring visits find a quarter of apprenticeship providers are ‘insufficient"'

and have produced a table listing all the providers visited along with the results!

What's Next?

There's just no breathing space so if you're not on with it already then now's the time to take stock and plan for that call from Ofsted!

In the meantime you could consider engaging an Ofsted consultant to help you implement the requirements of the monitoring themes, funds permitting of course.

There really is too much at stake to do nothing in preparation as Ofsted will come to inspect, pass judgement and it's certain that the powers they wield can destroy!

I'd be really interested to know how the media coverage of these powers actually play out at inspection but as I'm not a training provider I can only gather knowledge from our clients experiences, unless you want to share yours with This email address is being protected from spambots. You need JavaScript enabled to view it.?

ILR Transition Period 2018
 
IMPORTANT - There's a new version of this post for the 2019-2020 funding year, check it out HERE!

ILR Transition Period
 
I’ve made this post rather early to help you prepare your ILR's during this year end / start transition period.

As you are aware we are transitioning from one funding year to the next and to be fair it isn't a simple process unless you have an MI system to take out the hard work!

There are several very important aspects to factor in at this time of year which won't phase you if you are up to speed with the ILR Specification and Provider Support documentation.

However, if you aren't then I will explain what you need to know.

There is a crossover of ILR's during this transition period and this follows the same process each year.

Main Rules
 
•    The first ILR of a new funding year is due in September.

•   The data cut off for each funding year is always 31st July!
 
•    This means that the data you submit in R12, R13 & R14 MUST NOT include completion or achievements dates if these
      fall after 31st July.
 
•    These learners are classed as continuing, even if they complete in the first week of August, their ILR data must be submitted
      for the remainder of the new funding year.

The Return Schedules:

Click the links below to download the return schedules.

2017 - 2018 Schedule

2018 - 2019 Schedule

New ILR Fields

The new funding year always sees changes to the ILR schema due to the addition and removal of various data fields.

The ILR Specification V3 documentation explains this in full but there is an additional field, Agreement ID, which needs your attention if you deliver apprenticeships to levy paying employers.

The full details are found on page 93 of the ILR Specification V3.

GDPR

You should all be GDPR compliant, or at least working towards compliance as the ESFA are checking up!

As of 25th May 2018 your application/enrollment forms should now include the updated contact preferences fields, as set out in the ESFA's Privacy Notice.

You should also check out the Education and Skills Funding Agency privacy notice: May 2018 if you haven't done so already.

Basically for two months you have to submit two ILR's to cover the end of 2017 – 2018 and the start of 2018 - 2019.

The main requirements:

1.    Prepare two ILR's for submission.
 
2.    Be aware of the two different ILR submission dates.
 
3.    ILR XML structure changes.
 
4.    NO Completion data after 31st July 2018 in R13 & R14.
 
5.    Continuing learners across funding years.

What are ILR's R13 & R14 Used For?
 
Essentially you have until 18th October 2018 to make sure all of your 2017 - 2018 ILR data is correct and up to date.

You must return correct learner information including:

•    Withdrawn

•    Completions in year

•    On Learning Break

•    On Programme

•    Including those transferred to another programme or provider.

Failure to do so could cause funding claw backs, funding withdrawal and ultimately you run the risk of having your ESFA contracts cancelled due to the inability to manage your data correctly.

Using the ESFA’s Learner Input Tool

This transition period is a tricky prospect, especially if you are using the ESFA’s Learner input tools!

There is no getting around this so here’s the gist of what’s in store for you!

To continue submitting R13 & R14 2017 – 2018 ILR’s you will use the setup you have now;

•    2017 - 2018 ILR Learner Entry tool

•    ILR learner entry 2017 to 2018 user guide

•    Learner Entry Tool Known Issues

•    FIS with 2017 – 2018 data set.

For submitting 2018 – 2019 ILR’s you will need to have:

•    2018 -2019 ILR Learner Entry Tool (when released)

•    ILR Learner Entry Tool 2018 – 2019 user guide (when released)

•   Update FIS with 2018 – 2019 data set (when released)

Each year the two funding years will almost certainly require a different XML schema so you have to make sure your ILR’s validate against the correct funding year data sets.

Again, you will need to make sure your R12, R13 & R14 MUST NOT include completion or achievement dates if these fall after 31st July.

But YOU MUST include these in your 2018 – 2019 ILR’s.

You will need to use both ILR Learner Entry tools and both data sets in FIS to validate the next 4 ILR submissions!

You will be able to import your 2017 – 2018 ILR into the 2018 – 2019 Learner Entry tool and modify the data there.

Then export in the new funding year format and validate in FIS against the 2018 – 2019 data set!

Important FIS Information!

You will need to make sure you update the ESFA'S Funding Information System (FIS) to include the new funding year data set.

1. Import 2017 - 2018 ILR

2. Run FIS validation

3. Check any errors against the 2017 - 2018 Validation Rules Spreadsheet.

You will also need to switch between data sets when validating your ILR's in different funding years

1. Change data set  to 2018 - 2019

2. Import 2018 - 2019 ILR

3. Run FIS validation

4. Check any errors against the 2018 - 2019 Validation Rules Spreadsheet.

Make sure you upload the ILR's to the Hub before the deadlines to avoid any problems.

ILR Validation Process

It's really important that your ILR validation processes include all the available tools to keep you on top of the ESFA's various funding rules and regulations.

FIS - Funding Information System

FIS is a desktop service application element of the Education and Skills Funding Agency’s data collections system which can be used by data providers to

•  validate Individualised Learner Record (ILR) data
•  calculate funding and derived variables
•  create a range of reports based on a set of ILR data

PDSAT - Provider Data Self Assessment Toolkit

"PDSAT is a tool for analysing learner and learning delivery data. It interrogates Individualised Learner Record (ILR) data and produces reports on this data, so that providers can identify and investigate potential anomalies in the ILR data."

ILR data: check that it meets standards and quality requirements

Download PDSAT Tool.

BIRST Reports - business intelligence tool to produce and view interactive dashboards.

The BIRST reports in the Hub highlight any funding issues you may have from duplicate learners to invalid loans.

It's imperative that in your data management processes you keep up to date with any of the issues raised in these reports.

Take The Easy Option and Let Athena MIS Manage it for You!

Athena Manages the Changes!
 
You don't have to think about:

•    the different XML schema
 
•    changing data formats
 
•    data cut off period
 
•    transferring continuing learners

Athena MIS manages all this for you!

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Another long wait has been had by all who applied (or reapplied) to the third release of the Register of Apprenticeship Training Providers.

 A great big congratulations for those who've made it!

The Register of Apprenticeship Training Providers is now made up of:

•    263 Employer Providers
•    1924 Main Providers
•    390 Supporting Providers

A total of 2577 successful applicants.

The article on FE Week is an interesting read covering the current situation.

What's Next for RoATP?

Back in September 2017 the ESFA announced that this third opening of the RoATP would be the last until a review of providers has taken place.

“This will be the final time the register opens before we intend to review it to ensure that it continues to offer employers confidence that those listed can deliver the highest-quality apprenticeship training.”

This article in FE Week covered ongoing concerns many of which are still of issue to date!

So far there has been no indication as to when the register will reopen so those not on the RoATP will be limited to £100k of aggregated delivery until accepted on the register.

Points to Note:

•    Only those accepted on the RoATP can deliver apprenticeship training.

•    Levy tax can only be used for apprenticeship training.

•    Employ a new apprentice or up skill existing staff.

•    Apprenticeship duration – minimum 1 year.

•    20% ‘off the job’ training.

•    ESFA approved Framework or standard (only if approved for delivery).

•    Ofqual regulated qualifications only.

•    Must be registered with Ofqual regulated awarding organisation.

•    In scope for Ofsted inspections.

•    Main provider on RoATP – can only deliver to levy paying employers
     unless has a direct contract with ESFA.

•    Monthly ILR submissions to ESFA & data management.

•    Must adhere to all ESFA funding rules.

•    Matrix Standard.

•    Must include functional skills maths & English (unless exempt).

•    Safeguarding & prevent duty policies and procedures in place.

New to Apprenticeship Delivery?

The ESFA will provide mandatory training for providers new to delivering apprenticeship training but there are other options available for you to get a head start.

The Education & Training Foundation have a series of courses to help including:

•    How will I resource my apprenticeship delivery?

•    Planning your delivery programme

•    Preparing to Deliver the Apprenticeship Standards

•    How to deliver apprenticeships effectively: Seminar

•    Everything you need to know about apprenticeships.

Course fees are reduced for SET members.

New to Delivering Standards?

The Education & Training Foundation also have courses "progress your delivery of apprenticeship standards" for those providers transitioning from frameworks.

Delivering apprenticeship standards courses in:

• •    adultcare, healthcare and dental
• •    business administration and customer service
• •    catering and hospitality
• •    digital
• •    Early Years
• •    education and training
• •    hair and beauty
• •    leadership and management
• •    motor vehicle and engineering
• •    warehousing and logistics

"The Society for Education and Training (SET) is the new professional membership organisation of the Education and Training Foundation for practitioners working in the post-16 education and training sector. Since the close of the Institute for Learning (IfL) in November 2014, SET has taken on its legacy and continues to support practitioners through their professional membership."

ESFA Funding Streams

There are other ESFA funding streams available to training providers but you must apply to the Register of Training Organisations, completing capacity and capability, if you want to be eligible for other direct contracts.

As soon as the ROTO opens for new applicants I will let you know!

Download the current list here.

How Can We Help You?

We've been thinking...  We specialise in supporting small training providers and know how much of a daunting task it is trying to work out which MI system will be right for your company, so we've come up with a special offer just for those who receive my emails or blog updates.

Questions?

•    Are you currently using the ESFA's learner entry tool?
•    Are you looking for an ILR compliant MIS?
•    Do you have a current ILR (XML) document?
•    Would you like support in submitting your ILR?

I maybe shooting myself in the foot, but here goes!

We will set up your very own Athena MIS with access for a whole month AND support you through submitting an ILR, so you can get a real life feel for what our system can do for you!

No strings attached!

If you don't like Athena MIS no worries, your system will be deleted and you walk away with a submitted ILR*.
*Subject to completion of the required ILR fields.

All ILR's created by Athena MIS are error free, this is because only valid learners are included for submission!

If you like Athena MIS and want to continue uninterrupted simply:

•    pay the setup fee
•    setup a standing order
•    sign licence agreement.

Our fees are listed on our pricing page.

Don't Have an ILR?

So, you don't have an ILR but want to try out Athena MIS?

You can always try our demo site for a general idea of what's included, just email me for login details.

Not enough, you want to submit an ILR?

Hmm, ok, what can we do here?

If you have a small number of learners then get in touch, we will help the best we can!

Register below to get our blog updates to take advantage of our special offer!

CONGRATULATIONS to all who have been successful in the Non-Levy procurement!

The ESFA announced the results of the non-levy tender in December and FE Week posted a list of the successful applicants.

It's been a shocking wait for training providers who began this process more than a year ago as this tender was an addition to the first RoATP opening.

For many it's a bitter sweet success to make it on the register as some haven't been able to deliver training without this additional contract, or indeed be eligible to apply for non levy procurement this time around due to the revenue constraints etc.

There's some good news regarding the appeal process though as FE Week announces:

•    Non-levy tender appeals are lucky for some

•    Grade two provider wins non-levy tender appeal!

According to FE Week 32% of the successful applicants will be delivering their first main apprenticeship contract, which makes for a very exciting time ahead!

With this in mind and considering all the new elements involved in apprenticeship delivery, especially for providers who have previously only delivered training as a subcontractor, I thought it would be a good time to recap on some of the new rules, regulations and available resources.

Subcontracting rules

With the introduction of the Register of Apprenticeship Training Providers (RoATP) and its associated application rules

a main provider must directly deliver some of the apprenticeship training and are not allowed to subcontract it all out.
 
"At the outset of each apprenticeship, a main provider and employer will agree a plan for its delivery. You must directly deliver some of the apprenticeship training and/or on-programme assessment associated with each employer’s apprenticeship programme. By apprenticeship programme we mean the apprentices that are being trained for the employer that has chosen you. The volume of training and/or on-programme assessment that you directly deliver for each employer must have some substance and must not be a token amount to satisfy this rule. It must not be limited to a brief input at the start of each employer’s programme or involve delivery to just a few of a large number of apprentices."
P123 Page 20 Apprenticeship funding and performance-management rules for training providers v4

Take a look at my recent blog regarding the new subcontracting rules which will be in force as from January 2018.

There are some courses available to those who need support transitioning from delivering frameworks to standards, check out the Delivering Standards section below!

Apprenticeship 20% off the job training and annual leave

The ESFA provided the following clarification announcement yesterday:

"To provide clarification, off-the-job training is an essential part of an apprenticeship and therefore, must take place during employed time. If, by exception, training takes place in an evening, or outside of contracted hours, this should be recognised (for example, through time off in lieu).

Should an apprentice not be able to attend a planned training session (due to leave, sickness, operational pressures) the apprentice should be given the opportunity to catch up on what they missed (e.g. by attending one to one sessions with their provider or using on-line learning materials). As above, this should take place during paid working hours.

The programme is sufficiently flexible to accommodate exceptional periods of leave or sickness."

ESFA Announcement 10-01-2018

Monthly ILR submissions

As you know a main provider needs to satisfy all of the ESFA's contractual requirements such as monthly ILR submissions.

This can be very complex and frustrating and I've tried to provide as much information as I can in this area.

I recently wrote an updated blog post including the latest versions of documentation, ILR Entry tool and PDSAT application, so rather than repeat this here go check out that post!

As a provider of an ILR compliant MIS system I would also advise that you check out our system too, Athena MIS!

There's no need to mess about amalgamating XML files when you use Athena MIS, all learner types are automatically generated in one ILR.

We offer as much support as possible in creating your error free ILR's in Athena MIS, we will even validate and upload to the Hub for a small monthly fee!

Ofsted

 In September 2016 Ofsted changed the rules regarding inspections of training providers to include subcontractors.

“Ofsted reserves the right to inspect and grade any subcontractor and its provision as a separate entity”.

Further education and skills inspection handbook Further education and skills inspection handbook Point 36, Page 10.

There has been several news articles in FE Week regarding this ruling as Ofsted haven't inspected any subcontractors as yet, but I would think this is about to change!

•    Halfon: ‘Ofsted must start inspecting subcontractors’ 

•    Milton appears to back subcontractor inspections

Regardless of being a main, employer or supporting provider all are subject to the scrutiny of Ofsted!

Delivering standards

As many of the frameworks are being withdrawn training providers will have to deliver the new apprenticeship standards sooner rather than later.

I would imagine changing delivery methods from frameworks to standards could be quite daunting but The Education & Training Foundation

have a series of courses to help "progress your delivery of apprenticeship standards".

Delivering apprenticeship standards courses in:

•   adultcare, healthcare and dental

•   business administration and customer service

•   catering and hospitality

•   digital

•   Early Years

•   education and training

•   hair and beauty

•   leadership and management

•   motor vehicle and engineering

•   warehousing and logistics

Course fees are reduced for SET members.

"The Society for Education and Training (SET) is the new professional membership organisation of the Education and Training Foundation for practitioners working in the post-16 education and training sector. Since the close of the Institute for Learning (IfL) in November 2014, SET has taken on its legacy and continues to support practitioners through their professional membership."

Creating 2017 - 2018 ILR's for Validation

I've created this update to give you the latest updated documents and applications for the current 2017 -2018 funding year.

Step 1 - ILR Learner Entry

To create a correctly structured XML document you will either need to use an ILR compliant MI system or the SFA's ILR Learner Entry tool.

If you have several people inputting data into the Learner Entry tool you will need to amalgamate all the individually exported XML files to make one XML file prior to import into The Hub.

NOTE: The ILR Learner Entry tool does not validate your data!

Example:

You will have to be super careful when inputting data items such as post codes, as there are strict rules regarding formatting.

You must have a space between the two the two parts of the post code and as this is a mandatory field it cannot be left blank.

If a postcode is unknown or does not apply then ZZ99 9ZZ must be input.

If the format is incorrect then this will throw validation errors in the FIS and stops the validation process from continuing.

All these type of rules can be found in the various SFA funding rules and ILR specification, validation rules and appendices 2017 to 2018 documentation.

Start by:

1. Install the correct ILR Learner Entry tool for the appropriate funding year.

2. Input learner data into ILR Learner Entry tool.

3. If you have lots of people helping to input this information you will end up with several exported XML files.

4. Export your ILR data and validate each individual file in the FIS before amalgamating them.

5. FIS - To start with I would suggest:

    a) Import and Validate an ILR submission
    b) Export Rule Violation Summary Report as PDF.

Step 2 - Fix Rule Violation Errors

I would recommend that you download the ILR Validation Rules 2017 - 18 (Version 2) spreadsheet so you can find any error codes listed in the Rule Violation Report.
These spreadsheets are periodically updated so you will need to keep an eye out for the latest version.

Fix any errors in the ILR Learner Entry tool before re exporting the ILR and running it through the FIS again.

This could be a very repetitive process so it's best to validate each file individually before you amalgamate them.

Step 3 - Amalgamating ILR's in the FIS

When you installed the Funding Information System (FIS) on your PC an ILR folder was created too.

This is the default location for all the exports you request from the FIS.

I would suggest the following:

1. Open FIS - select your DataSet and Reference options for the appropriate funding year.

2. Click the Amalgamate check box and nothing else.

3. Click Execute - this allows you to add the individual XML files one at a time.

4. Once ALL of the XML files are added click the Import button.

5. The FIS will amalgamate all the individual files into one XML file.

9. The completed XML file will be automatically exported to the ILR folder.

NEXT:

1. Uncheck Amalgamate and check all the other items you need

Again, to start with I would suggest:

    a) Import and Validate an ILR submission
    b) Rule Violation Summary Report as PDF

2. Click Execute

3. Browse to the ILR folder and select the newly amalgamated ILR XML file

4. Click Import

5. Your data will be validated and a report of any errors will be generated as a PDF. This will be exported to the ILR folder.

Step 4 - Provider Data Self-Assessment Toolkit (PDSAT)

I would suggest that for best practice you download the PDSAT software and validate your ILR returns before submitting to the Hub.

The PDSAT doesn't validate the ILR the same way as the FIS, PDSAT checks for funding violations and discrepancies which you may not be aware of.

If you have funding issues then you maybe selected for a funding audit by the ESFA who also use this tool for their auditing purposes.

"PDSAT is a tool for analysing learner and learning delivery data. It interrogates Individualised Learner Record (ILR) data and produces reports on this data, so that providers can identify and investigate potential anomalies in the ILR data."

There's been a new version of PDSAT for 2017 - 2018 funding year which works for 2016-2017 too.

It has been designed to:

•    give providers a toolkit to analyse ILR data
•    assist auditors in the audit of providers’ ILR data
•    select audit samples and create a set of audit working papers (for 2016 to 2017).

The user guide and reviewing reports guidance will at least give you some idea of what the PDSAT can do for you.

User guide: reviewing PDSAT reports (2016 to 2017)

The latest PDSAT, version 18, is available to download from the ILR data: check that it meets standards and quality requirements web page or you can Download PDSAT v18.3.02 directly.

If you have any problems you can contact theThis email address is being protected from spambots. You need JavaScript enabled to view it. for further support.

Step 5 - Import ILR into The HUB

The Data returns overview: May 2017 document gives you step by step instructions on how to complete the process.

"Each provider should have a single super user... Super users manage access for their users and give them responsibilities within their organisation in the Hub. This allows a super user to restrict what the organisation’s users can view."

For future reference here some links to get you started:

•   Information Management Services: Self Registration

•   The Hub: guide to user roles

•   The Hub: guide to the contracts and finances area

 Athena MIS & RAIL - ILR Creation and Validation

ILR creation is easy in Athena MIS & Rail and we are continuously adding validation features to make the process as simple as possible.

With just a click of a button the ILR XML document is exported straight from Athena MIS & RAIL.

Watch the videos on how to create an ILR for submission to The Hub.

You can also subscribe to our You Tube channel to receive notification of new videos.

RoATP Opens Today!

A quick heads up for those waiting to apply to the Register of Apprenticeship Training Providers, it opens again today for a whole month!

The deadline is Friday 27th October 2017
(for new applications only)

If you have been accepted on the RoATP previously then don't reapply, it's not available for a refresh yet. Check out the article in FE WEEK

Application process

The application process to enter the register of apprenticeship training providers requires an organisation to take the following steps:

1.    Review the application instruction document for the appropriate application route.

2.    Review the register of apprenticeship training providers financial health self-assessment toolkit to establish if you are financially sound.

3.    Review the register of apprenticeship training providers e-tendering support guidance to help with access to the questions on the e-tendering portal.

4.    Submit your application through the e-tendering portal before the application deadline.

IMPORTANT!!
 
"An applicant that applies to the main RoATP application route cannot pass and be listed on RoATP until they have provided a valid offer on the course directory."

The SFA's Course Directory Provider Portal for apprenticeship data is open and you will need to create your training offer for employers, this is generally required before the RoATP deadline closes.

There are two guidance documents available to help you with the technical aspects of importing data and writing the content:

•    Apprenticeship data: course directory provider portal user guide
 
•    Course directory provider portal: content guidance

The Course Directory Provider Portal Help Page has many help files and templates to guide you through bulk upload of apprenticeship data, should you wish to take that approach.
 
For further support you can contact the Course Directory Support Team:
0844 811 5073 or This email address is being protected from spambots. You need JavaScript enabled to view it..

Cleverblogs Posts

I have several blog posts which you may find useful:

•    How to Upload Your Apprenticeship Offer in The Course Directory Portal
 
•    Funding Rules & RoATP Application
 
•    Important RoATP Application Information for Subcontractors

Some of the information could be a little out of date as these where written some time ago but the majority is still good to go!

Latest Framework Withdrawals!

I'm writing this quick post in case you haven't picked up on the latest list of frameworks to be withdrawn.

Batch 5 was announced on Wednesday 13th September along with the following documents:

• Apprenticeship framework delivery list
  
  
• Information about the withdrawal of apprenticeship frameworks
  
  
• List of frameworks for feedback (batch 5)

Here is a list of frameworks with a withdrawal date that have been confirmed by the issuing authority:

Bus and Coach Engineering and Maintenance - 31/12/2017 - People 1st

Care Leadership and Management - 29/12/2017- Skills for Care

Catering and Professional Chefs - 31-Dec-17 / 30-Apr-18 - People 1st

Funeral Operations and Services - 30/04/2018

Health - Allied Health Profession Support - 29/12/2017- Skills for Health

Health and Social Care - 29/12/2017 - Skills for Care

Hospitality - 31/12/2017 - People 1st

Licensed Hospitality - 30/04/2018 - People 1st

Retail - 31/12/2017 - People 1st

Travel Services - 30/04/2018 - People 1st

This means that no one will be able to start an apprenticeship on any of the above frameworks after their withdrawal date.

All new apprenticeships after these dates will start on the appropriate Standards which replace these frameworks.

Framework Withdrawal Consultation

The ESFA have opened a survey for your feedback on the batch 5 withdrawals.

The consultation period starts from Wednesday 13th September to 6pm on Wednesday 18th October 2017.

Check out what's on the list and have your say!

"We will announce the outcome of the 4th batch that we consulted on earlier this year at the same time as the outcome of the 5th batch. The frameworks we plan to withdraw from both batches will be withdrawn to new starts no earlier than 1 January 2019."
ESFA

5th Consultation on Apprenticeship Funding Opens!

FEWeek have just published news regarding the DFE's launch of the 5th consultation survey, calling for feedback from employers and providers regarding the apprenticeship reforms.

Have your say and complete the Apprenticeships Funding Policy Survey and here's a link to the full article on FE Week.

Important Information on Monitoring Financial Assurance!

At this time of year the ESFA have made their selection of training providers on which to perform a funding audit and their R12 ILR submission will be used for this purpose.

The ESFA make their funding audit selections based on how well the ILR’s have been created and how the data performs against PDSAT.

There are several documents available on the ESFA web site which cover how training providers are monitored for financial assurance during a specific year, eg; 2016 – 2017.

ESFA financial assurance: monitoring the funding rules.

"Lists the current areas that we are monitoring and working with the sector on during the course of the funding year. It gives the ESFA assurance that provision we buy meets our published funding rules."

• Dawn Ward CBE, Letter to the sector: February 2017
  
  
• Monitoring the Funding Rules -2016 - 2017
  
  
• Funding Monitoring Reports User Guide

What is PDSAT?

PDSAT is the Provider Data Self-Assessment Toolkit, software available from the ESFA for you to keep on top of the funding aspect of your data management.

"It interrogates Individualised Learner Record (ILR) data and produces reports on this data, so that providers can identify and investigate potential anomalies in the ILR data."
ESFA - ILR data: check that it meets standards and quality requirements

You should not only be validating your ILR in FIS but also run it through PDSAT to make sure you don’t have any funding errors which won't be picked up by the FIS.

The FIS checks the validation of your ILR in terms of correct XML formatting including; invalid post codes and NI's etc and the required data to be submitted in your ILR's.

The PDSAT checks for the financial implications such as duplicate learning aims, non funded postcodes and apprenticeship payments.

It's expected that you use PDSAT before every ILR submission as part of your validation routine and each error MUST be corrected before the next ILR return.

If you follow this process then you won't run the risk of nasty surprises should you be selected for an ESFA funding audit.

POINTS TO NOTE!

• Be aware, include it in your data management routine and you won’t get any nasty surprises!
  
  
• At the moment the PDSAT is only available for 2016 – 2017 ILR’s and as there are two returns left to submit for 2016 – 2017 funding year it's imperative to start now!
  
  
• Some of the issues returned by PDSAT are not provided by the FIS so you could be unaware that you have any funding issues until the ESFA come calling!
  
  
• Basically there is no excuse to be in the dark when it comes to issues raised by the ESFA’s funding audit as they use this exact software to check your ILR’s for discrepancies!

The Importance of R13 & R14!

The last two ILR submissions in the funding year are very important and are outlined in the letter from Dawn Ward CBE:

• "If you have data errors or a higher volume of queries at the end of the funding year following the closure of R14 ILR return, the SFA may:
  
  recover funding where there is confidence the claim has been made in error
  
  
• conduct assurance visits for specific issues before the end-of-year reconciliation statements are issued - even if that delays your reconciliation statements
  
  
• ensure these issues inform the process for selecting providers for audit in future funding years.
  
  You must correct records before the close of the R14 ILR data submission where you identify that the data or funding claim is incorrect. You can continue to use the existing provider data self-assessment toolkit to support you in correcting any identified data issues prior to your next submission."

Dawn Ward CBE, Letter to the sector: February 2017

There's Still Time to Validate!

OK, so if you haven't checked your ILR's in PDSAT you still have time!

Download the PDSAT application and documentation from the links below or visit the ESFA's PDSAT web page.

• PDSAT V17 Application
  
  
• User guide: reviewing PDSAT reports - version 17
  
  
• Provider data self-assessment toolkit (PDSAT) user guide: version 17
  
  
• Provider data self-assessment toolkit (PDSAT) FAQ: version 17
  
  

Download and install the PDSAT application, you will also be prompted during the installation process to install some prerequisite software if you don't already have it.

It is pretty straight forward to import your latest ILR and run the reports.

You have time before R14 is due on 19th October to rectify any funding anomalies or at the very least become aware of them!

TIP:

As there are potentially 75 reports to generate I would suggest you go to the Settings tab and select to
EXCLUDE reports with zero records.

In the Reports tab you can then select (check box to left of Report ID) to run all the reports
and only have those returned which have issues.

IMPORTANT ILR UPDATE!
 
We may have started the new funding year 2017 - 2018 but 2016 - 2017 ILR's are required to be submitted until 19th October 2017.

ILR Transition Period
 
I’ve made his post to help you prepare your ILR's during this year end / start transition period.

As you are aware we are transitioning from one funding year to the next and to be fair it isn't a simple process!

There are several very important aspects to factor in at this time of year which won't phase you if you are up to speed with the ILR Specification and Provider Support documentation.

However, if you aren't then I will explain what you need to know.

There is a crossover of ILR's during the transition from 2016-2017 funding year to the new, 2017-2018.

This process is followed each year with maybe only a few slight variations.

Main Rules
 
•    The data cut off for each funding year is always 31st July!
 
•    This means that the data you submit in R12, R13 & R14 MUST NOT include completion or achievements dates if these
      fall after 31st July.
 
•    These learners are classed as continuing, even if they complete in the first week of August, their ILR data must be submitted
      for the remainder of the new funding year.

The Return Schedules:

2016 – 2017 Schedule

2017 - 2018 Schedule

Basically for two months you have to submit two ILR's to cover the end of 2016 – 2017 and the start of 2017 - 2018.

The main requirements:

1.    Prepare two ILR's for submission.
 
2.    Be aware of the two different ILR submission dates.
 
3.    ILR XML structure changes.
 
4.    NO Completion data after 31st July 2017 in R13 & R14.
 
5.    Continuing learners across funding years.

What are ILR's R13 & R14 Used For?
 
Essentially you have until 19th October 2017 to make sure all of your 2016 - 2017 ILR data is correct and up to date.

You must return correct learner information including:

•    Withdrawn

•    Completions in year

•    On Learning Break

•    On Programme

•    Including those transferred to another programme or provider.

Failure to do so could cause funding claw backs, funding withdrawal and ultimately you run the risk of having your ESFA contracts cancelled due to the inability to manage your data correctly.

Using the ESFA’s Learner Input Tool

This transition period is a tricky prospect, especially if you are using the ESFA’s Learner input tools!

There is no getting around this so here’s the gist of what’s in store for you!

To continue submitting R13 & R14 2016 – 2017 ILR’s you will use the setup you have now;

•    2016 - 2017 ILR Learner Entry tool

•    ILR learner entry 2016 to 2017 user guide

•    FIS with 2016 – 2017 data set.

For submitting 2017 – 2018 ILR’s you will need to have:

•    2017 -2018 ILR Learner Entry Tool

•    ILR Learner Entry Tool 2017 – 2018 user guide

•   Update FIS with 2017 – 2018 data set

Each year the two funding years will almost certainly require a different XML schema so you have to make sure your ILR’s validate against the correct funding year data sets.

Again, you will need to make sure your R12, R13 & R14 MUST NOT include completion or achievement dates if these fall after 31st July.

But YOU MUST include these in your 2017 – 2018 ILR’s.

You will need to use both ILR Learner Entry tools and both data sets in FIS to validate the next 4 ILR submissions!

You will be able to import your 2016 – 2017 ILR into the 2017 – 2018 Learner Entry tool and modify the data there.

Then export in the new funding year format and validate in FIS against the 2017 – 2018 data set!

Important FIS Information!

You will need to make sure you update the ESFA'S Funding Information System (FIS) to include the new funding year data set.

1. Import 2016 - 2017 ILR

2. Run FIS validation

3. Check any errors against the 2016 - 2017 Validation Rules Spreadsheet.

You will also need to switch between data sets when validating your ILR's in different funding years

1. Change data set  to 2017 - 2018

2. Import 2017 - 2018 ILR

3. Run FIS validation

4. Check any errors against the 2017 - 2018 Validation Rules Spreadsheet.

Make sure you upload the ILR's to the Hub before the deadlines to avoid any problems.

Take The Easy Option and Let Athena MIS Manage it for You!

Athena Manages the Changes!
 
You don't have to think about:

•    the different XML schema
 
•    changing data formats
 
•    data cut off period
 
•    transferring continuing learners

Athena MIS manages all this for you!

ESFA update on the cancellation of the Non-Levy Procurement!

Last night (20th July) the ESFA updated their announcement regarding the cancellation of the Non-Levy Procurement (ITT-30190).

There isn't a new document as such just an updated version which provides a little more information.

I've listed the highlights below:

•    A new procurement will launch at the end of July and will close in September.
 
•    This will be a highly competitive exercise, which will attract interest from a wide range of training providers.
 
•    Providers will be expected to submit high-quality bids, which fully demonstrate their capabilities in accordance
      with the published criteria, in order to have the potential to be successful.
 
•    New contracts awarded as a result of this procurement will run from January 2018 to April 2019, when we aim to
      bring all employers onto the apprenticeship service.
 
•    This means all employers will be able to choose any provider from the register of apprenticeship training
      providers directly to deliver their apprenticeship training.
 
•    The new procurement will not affect training provision for existing learners.
 
•    While the new procurement exercise is open, the register of apprenticeship training providers will not re-open for
      new applications.

ESFA Update 20th July 2017.

New SASE Document
 
There has been a new document published this week to update the Specification of apprenticeship standards for England (SASE), which is for employers and training providers.

This document will be valuable for those providers who will continue to deliver apprenticeship frameworks.

Points include:

•    Qualifications Related to the Sector

•    Functional Skills/GCSE/Other Alternatives

•    Employee Rights and Responsibilities (ERR)

•    Personal Learning and Thinking Skills (PLTS)

•    On-the-Job Training and Off-the-Job Training Guided Learning Hours (GLH)

•    Exceptions to the English and Maths Regular Minimum Requirements for People with Special Educational Needs, Learning Difficulties or Disabilities.

Non - Levy Procurement Cancelled!

The ESFA have announced today that they are cancelling the current procurement exercise, which has been on hold since April due to being significantly over subscribed.

The full announcement explains why and that they will launch a new procurement at the end of July!

"The ESFA has also confirmed that the register of apprenticeship training providers will not re-open for new applications, while the new procurement exercise is open."

The Skills Minister was reported in FE Week this morning as saying:

"Speaking of the paused tendering round, Ms Milton said it would be scrapped, and rerun in July.

Contracts and allocations for non-levy funding would run from January 2018 to April 2019 and the Register of Apprenticeship Training Providers will not be open to new providers."

There is no further information as to how long the procurement will be open for, so it's still a waiting game for those of you who need to apply to the Register of Apprenticeship Training Providers (RoATP).

A nail biting time has been had by all eagerly awaiting the second release of the Register of Apprenticeship Training Providers.

A great big congratulations for those who've made it!

The Register of Apprenticeship Training Providers is now made up of:

•    220 Employer Providers
•    1678 Main Providers
•    317 Supporting Providers

A total of 2216 successful applicants.

The article in FE Week is an interesting read and covers the current situation with some good news for 'major player' who are successful this time around.

Like most of you I'm pretty confused over how the ESFA have made some of their acceptance decisions and there most certainly should be an appeals process!

I've managed to catch Nick Linford's Q&A webinars over the past few weeks and from some of the questions asked it seems there is still so much uncertainty around the sector with regard to ESFA's funding rules and regulations, ever the optimist I'm sure all will become clear when the general election is out of the way.

What Does it Mean to be Accepted on the RoATP?

Essentially it means you are one of a specialist group training providers who can deliver apprenticeship training either in a main, supporting or employer provider role.

Simply put, if you're not accepted on RoATP then you can't deliver apprenticeship training to anyone!

FE Week's article covers the shocking impact training providers face due to the ESFA pausing contract allocations to non levy paying employers until January 2018.

In light of the ESFA's decision, previous lead providers and successful applicants as a main provider on RoATP, will have had their previous contract extended and can also of course deliver to levy paying employers.

If you have been accepted on RoATP as a main provider, but had previously been a subcontractor, then it means that you can ONLY deliver new start apprenticeship training to levy paying employers unless your previous lead providers can offer you a further contract.

Unfortunately it seems many don't have this luxury and most previous subcontractors face tough times ahead.

Points to Note:

•    Only those accepted on the RoATP can deliver apprenticeship training.

•    Levy tax can only be used for apprenticeship training.

•    Employ a new apprentice or up skill existing staff.

•    Apprenticeship duration – minimum 1 year.

•    20% ‘off the job’ training.

•    ESFA approved Framework or standard (only if approved for delivery).

•    Ofqual regulated qualifications only.

•    Must be registered with Ofqual regulated awarding organisation.

•    In scope for Ofsted inspections.

•    Main provider on RoATP – can only deliver to levy paying employers
     unless has a direct contract with ESFA.

•    Monthly ILR submissions to ESFA & data management.

•    Must adhere to all ESFA funding rules.

•    Matrix Standard.

•    Must include functional skills maths & English (unless exempt).

•    Safeguarding & prevent duty policies and procedures in place.

New to Funded Training?

At the moment those who have never delivered any government funded provision can ONLY deliver apprenticeship training to levy paying employers.

If you are new to government funded provision you will find that there is a vast amount of information to wade through, plus ESFA rules and regulations to adhere to, before you can start delivering apprenticeship training.

The apprenticeship reform is taking it's toll on training providers who are well versed in ESFA contracts and delivery so those new to the system could very well be swamped!

ILR & Data Management

The new ILR specification rules from May 1st are really quite daunting and it has taken us a great deal of time to factor these changes into Athena MIS.

The ESFA are allowing a period of 3 months to get to grips with ILR submissions so it's really important to get up to speed with all the rules and regulations.

The first document below is of vital importance and explains these requirements in detail.

•    Guidance for returning apprenticeships on the ILR from 1 May 2017: version 2

•    ILR specification 2016 to 2017: version 3 (30 September 2016)

•    Provider support manual - guide to making ILR data returns during the 2016 to 2017 funding year: version 3

Funding Rules

There is a new Technical Funding Rules document which covers apprenticeship starts as of May 1st 2017:

•    Apprenticeship technical funding guide for starts from May 2017

This runs in conjunction with the following funding rules documentation:

•    Apprenticeship funding in England from May 2017

This will of course be updated as of August 1st when the 2017-2018 funding rules will take over!

"The rules that will apply to all apprenticeship provision funded by the SFA following the introduction of the apprenticeship levy."

•    ILR specification 2017 to 2018: version 1

•    Apprenticeship funding: rules for employer-providers

•    Apprenticeship funding and performance-management rules for training providers

•    Apprenticeship funding and performance management rules 2017 to 2018: summary of changes.

Cleverblogs

I'm in the process of creating a 5 part blog looking at the Impact of Apprenticeship Levy on Commercial Training Providers, covering everything from;

•    applying to the RoATP
•    Ofqual regulated qualifications
•    ILR and Data management
•    Ofsted requirements
•    ESFA funding rules and regulations.

Part one is now posted in Cleverblogs on our website.

Data Management & ILR Compliance

Before I start I want to point out that this is very much my bag so I won’t make any apologies for using examples from our super brilliant data management software, Athena MIS, throughout this post. 
 

What's an Individualised Learner Record (ILR)?

A major implication of being accepted on the Register of Apprenticeship Training Providers (RoATP) and being able to deliver apprenticeship training, is the necessity to manage your learner data and submit monthly Individualised Learner Record (ILR) returns to the Education and Skills Funding Agency (ESFA).

An ILR is a record of your learner data and is required to be created following a specific schema and output as an XML file.

"The Individualised Learner Record (ILR) is used by the Skills Funding Agency (SFA) to collect data about learners and the learning undertaken by them from learning providers in the Further Education (FE) and Skills sector."

There are many documents available on the ESFA's website for each funding year but documents are still being published for 2017 - 2018 which starts on 1st August.

Here is an excerpt from page 9 of the ILRProviderSupportManual_2016_17_v2_Sept2016, which better explains;

The requirement for data

13. The data collected in the ILR is used to ensure that public money distributed through the SFA and the EFA is being spent in line with government targets for quality and value for money, for planning, and to make the case for the sector in seeking further funding. Specifically, the data is used to:

•    monitor individual provider's delivery against allocation or contract
•    inform local decisions about plans and provision
•    monitor progress to targets
•    to give the SFA assurance that the funding rules are being followed
•    inform national planning, including policy development and modelling
•    calculate actual funding earned
•    monitor quality of provision and evaluate the effectiveness of providers across the learning and skills sector
•    make the case to government for levels of funding appropriate to the sector
•    demonstrate the outcomes of distribution of government funds.

14. The data will be analysed in relation to:

•    demographic trends
•    participation rates
•    local labour market requirements
•    strategic planning targets.

15. These analyses will enable the funding bodies to:

•    influence curriculum and capital investment within providers for the benefit of the local economy
•    engage with providers in medium and long term strategic planning.

This is an ESFA contractual obligation and is absolutley necessary if you want to continue being able to deliver any ESFA funded provision.

Are All Apprenticeships ESFA funded?

You may ask why it's ESFA funded when your clients are Levy paying employers and pay for apprenticeship training out of their levy tax?

This is because the government will pay a 10% top up to an employers levy funds on a monthly basis and should an employers' levy pot run out, they then drop into the 90/10 co-funded model where the ESFA pays 90% and employer only pays a 10% contribution towards their apprenticeship training. 

The upshot is that regardless of how many learners you have , 1 or 1000, your data management obligations remain the same, you must submit monthly ILR's and you will also be in scope for Ofsted inspections.

My blog post part 5 will give you all the documentation you need to understand the Ofsted requirements, so why not subscribe to get all the latest updates?

Data Management & Learner Progression

There are so many aspects to data management and how much you embrace this process will have a direct impact on your Ofsted inspection and your relationship with the ESFA.

One example is the ability to track the progression of your learners and failure to do so will have devastating consequences and to be honest has caused the downfall of many a training provider.

The ESFA and Ofsted are intertwined as your results from your Ofsted inspection is built into the new funding rules, which are quite clear, receive a grade 4 from Ofsted and you will be removed from the RoATP!

If you don’t have a good enough grasp of how your learners are progressing you won’t be able to intervene quickly enough to prevent under delivery and failure to maintain at least the minimum standards required by the ESFA.

These recent news articles confirm that no provider is exempt from the rules:

• College Provider
• UK's largest Independant Training Provider
• Provider Banned for Breaking Funding Rules

There are many funding rules to adhere to, break them and face the consequences!

Non compliance will see you being removed from RoATP.

Fall under the ESFA’s minimum standards for provision and you will have to stop delivery to new starts until they improve!

It's Not All Doom & Gloom!

In a bid to combat issues like this we’ve spent a great deal of time building into Athena MIS lots of tools to help, including a specific Progression & Review Dashboard to track each learner through their learning aims, including functional skills, as well as all contact with learners.

Yes, it's time consuming and rather a boring task but as it's an ESFA and Ofsted requirement so basically there's no avoiding it if you want to succeed.

Rather than just rambling on I thought I should include some of our videos from our YouTube channel so you can see just what kind of data you should be managing and how Athena MIS can help.

ESFA Funding Rules and Regulations

As of from May 1^st 2017 all new apprenticeship starts on either frameworks or standards fall into one of the new 15 apprenticeship funding bands.

•    Standards

•    Frameworks

The following documents are needed to comply with the ESFA's regulations:

•   Apprenticeship funding: how it will work

•   Apprenticeship funding in England from May 2017

•   Apprenticeship funding and performance management rules 2017 to 2018

There is a new Technical Funding Rules document which covers apprenticeship starts as of May 1st 2017:

•   Apprenticeship technical funding guide

This runs in conjunction with the following funding rules documentation:

•   ILR specification, validation rules and appendices 2017 to 2018

•   Apprenticeship funding: rules and guidance for employers

•   Addendum to the apprenticeship funding and performance management rules - May 2017 to March 2018

This will of course be updated as of August 1st when the 2017-2018 funding rules will take over!

"The rules that will apply to all apprenticeship provision funded by the SFA following the introduction of the apprenticeship levy."

•   ILR specification 2017 to 2018: version 1

•   Apprenticeship funding: rules for employer-providers

•   Apprenticeship funding and performance-management rules for training providers

•   Apprenticeship funding and performance management rules 2017 to 2018: summary of changes

Matrix Standard

You will also be required to meet the Matrix standard, as covered in the The matrix standard guidance note: update 2.

“Requirements around the matrix Standard only apply to training, learning or work experience programmes and activities that are partly or wholly-funded by the Skills Funding Agency.”

All levy paying employers fall into the ESFA's co-investment policy once their levy pot is spent, then the employer contributes 10% towards training and the ESFA will fund the remaining 90%, therefore this is part funded and the Matrix Standard is required.

If you have less than 25 people involved in delivery then you will need to contact Matrix on 020 3880 5059 or email This email address is being protected from spambots. You need JavaScript enabled to view it. for a specific cost, otherwise check out the framework of Matrix Standard Costs.

The matrix standard guidance note: update 2

Register of Apprenticeship Training Providers

As a requirement of being accepted on the Register of Apprenticeship Training Providers (RoATP) you will have to submit monthly Individualised Learner Record (ILR) to the ESFA. (see blog part 4)

It really makes no difference if you have 10 or 1000 learners this contractual obligation stands, as well as being in scope for direct Ofsted inspections, you will need to comply with all their regulations too. (see blog part 5)