Funding rules monitoring reports user guide 2017 to 2018
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Funding rules monitoring reports user guide 2017 to 2018 Version 3 Guidance for using the funding monitoring reports for the 2017 to 2018 funding year (1 August 2017 to 31 July 2018) September 2018 Of interest to colleges, training organisations and employers.
Contents
Understanding the terminology .....................................................................................2
Changes from version 2 of this guidance ......................................................................2
Introduction ...................................................................................................................2
Useful links ....................................................................................................................3
Purpose of this user guide.............................................................................................4
How we will use this data ..............................................................................................4
What you must do .........................................................................................................5
Accessing the reports ....................................................................................................6
Summary page ..............................................................................................................7
Selecting a report to review ...........................................................................................8
Report layout .................................................................................................................8
Further support ..............................................................................................................9
Annex A – Locating FRM reports in the Hub ............................................................... 10
Annex B: The FRM reports in detail ............................................................................ 11
Annex C: FRM reports field listing ............................................................................... 32
Page 1 of 34Understanding the terminology
1. The terms ‘we’ and ‘ESFA’ refer to the ‘Education and Skills Funding Agency’
and associated staff.
2. When we refer to ‘you’ or ‘providers’, this includes colleges, training
organisations, local authorities and employers that receive funding from us, or
Advanced Learner Loans (loans) payments from the Student Loans Company
(SLC) on behalf of learners, to deliver education and training.
Changes from version 2 of this guidance
3. We are decommissioning BIRST (my BI) on 1 October 2018. Dashboards will no
longer be available from this point. However, we will continue to publish the suite
of funding rules monitoring (FRM) reports in a new format.
4. This updated guidance explains how providers can continue to access monthly
FRM reports through the Hub.
Introduction
5. We monitor the data reported to us in the Individualised Learner Record (ILR) as
part of our assurance work. This includes reviewing data from other sources
such as the Earnings Adjustment Statement (EAS), the apprenticeship service
(AS), and Student Loans Company (SLC).
6. We review how the funding system and funding rules are operating to identify
possible errors in funding claimed and areas requiring further investigation. The
outcomes of this also allow us to confirm that policy specifications are working
and achieving the desired outcome(s). As part of this process, we also aim to
improve the overall quality of the data reported to us.
Page 2 of 347. We support colleges, training organisations and employers to resolve data issues
throughout the funding year by:
a. Publishing articles in Update and Inform to draw attention to particular
issues.
b. Producing technical guidance notes giving advice on how you should
record data in the ILR returns to reflect the evidence you hold.
c. Providing rule violation reports that you receive each time you make a data
submission through the Hub.
d. Contacting those providers who have the most issues, or the most issues in
proportion to the volumes of learners they have, to understand their
processes better and to offer advice and guidance where necessary.
8. The suite of funding monitoring reports supports the 2017 to 2018 monitoring
plan. As this work supports our overall assurance approach, some of our reports
also appear in the provider data self-assessment toolkit (PDSAT). PDSAT
reports only reflect the data contained in the ILR files you submitted and help you
cleanse your data before you submit your ILR return each month. It also enables
auditors to follow up potential issues with you on-site. Some of our reports then
compare your data with other provider’s data and data from previous years.
Useful links
9. For further information on our monitoring work, please refer to:
ESFA financial assurance: monitoring the funding rules
Adult education budget funding rules 2017 to 2018
Advanced learner loans funding rules 2017 to 2018
Apprenticeship funding and performance management rules 2017 to 2018
Apprenticeship technical funding guide for starts from May 2017
ILR specification, validation rules and appendices 2017 to 2018
Provider support manual 2017 to 2018
ILR freeze schedule 2017 to 2018
Page 3 of 34Purpose of this user guide
10. This user guide introduces the suite of funding monitoring reports. It details
specific guidance and the processes you must follow to ensure compliance with
the funding rules for each area of the funding monitoring plan. For each report
we have indicated the actions we will take if we are not satisfied your data
complies with the rules. Annex B lists the available reports with details.
11. This user guide is for those who have a working knowledge of the funding rules
and the key principles of funding. It also assumes a working knowledge of the
ILR, including the field names and codes and their impact on funding.
12. If you require any further guidance, please contact the service desk. You can
also access peer-to-peer support from the sector through the FE Connect forum.
How we will use this data
13. We monitor the data submitted through the ILR, and the other data collections
noted earlier, throughout the funding year and share this with our auditors and
intervention colleagues when appropriate.
14. If you have data errors following the closure of the R14 ILR return at the end of
the funding year, we may:
recover funding where we are confident the claim has been made in error
conduct assurance visits for specific issues before the end-of-year
reconciliation statements are issued
15. If you have been subject to repeated action or a funding recovery, this will raise
your risk profile with us and will increase the likelihood of your organisation’s
selection for audit.
Page 4 of 34What you must do
16. If we have identified records in a monitoring area, you must review this data to
determine whether you need to make any data corrections in your next ILR
submission. Details of actions you must take are contained in Annex B.
17. You must also refer to the specific funding rules and ILR guidance relating to
each report. This guidance is included in the monitoring plan and, in some cases,
is explicit about what you must do, and what is ineligible for funding. For
example, if you were reviewing issues in report 6 ‘Changes to 'Learning planned
end date' between years’, the monitoring plan references the provider support
manual which states that you must not change this data between years. The
support manual also tells you the process for correcting data errors after the hard
close (R14) for the previous year, and the legitimate reasons for doing so.
18. Where there is an explicit statement of the action you must take within the
funding rules, ILR guidance or this document, then you must comply with this
guidance. Failure to do so may result in a funding recovery or additional
assurance activities to determine the eligibility of the funding claim. You must not
knowingly continue to claim funding for provision we have explicitly stated is
ineligible.
19. You must ensure that you have the evidence to support your funding claim,
ensuring any subcontractors also meet this requirement. We may ask you to
present this evidence to us for assurance purposes; you must be prepared to
provide this to us in a timely manner. This must be the same evidence you would
provide our auditors – annotated spreadsheets or notes are not acceptable as
evidence.
20. You must comply with any requests to correct data or supply us with evidence to
allow us to assure the funding claim by the date we specify. Your contract for
delivery with us details possible sanctions if you do not provide us with sufficient
assurance that your funding claim is accurate.
Page 5 of 3421. You must ensure that you have sufficiently robust processes in place to allow
you to review the activity of any subcontractors, particularly where we have
identified that learning may be duplicated across multiple providers or that your
subcontractor delivered any previous learning to the learners in question.
22. You do not need to take any action for areas with ‘0’ records identified on the
summary page on the reports. This means that we have not identified any
records in that area of the monitoring plan.
23. A report indicating you have claimed ‘£0 funding’ for the records identified may
still need to be actioned as this may relate to components funded as part of an
apprenticeship programme. If no funding is being claimed, the learning aim must
be reported under funding model ‘99’. If you do not deliver the learning, you must
not record the learning in the ILR.
Accessing the reports
24. The new suite of reports, containing the same data as the BIRST reports, will be
available through the Hub. To access the reports you will need the ‘Data
Exchange Service - provider information officer’ user role. If you already have
access to the Hub, you can request this role through your nominated super user.
For further guidance, please refer to The Hub: Guide to User Roles.
25. After approval of your user role, you can select ‘data returns’ and then click on
the ‘business reports’ tab. The new reports will be available in their own
collection - ‘FRM Reports’. You can filter for this collection using the ‘view’ drop
down list (See Annex A). For further guidance, please refer to the data returns
overview.
26. All files will be named using the following convention:
FRM - Your UKPRN – Year - Return Number - Version Number
For example, ‘FRM-99999999-1718-R12-V1’ for the FRM reports based
upon R12 data in 2017 to 2018
Page 6 of 3427. We will publish one file each month, which will be in an Excel workbook format.
You do not need to download any additional software to access these reports.
Each file will contain:
a ’read me’ section
2 worksheets of summary data
1 worksheet for every report where there is data available (if there are no
errors in a report, a worksheet will not appear for that report)
28. We will refresh these new reports for R14 once the ILR submission date passes
and we have concluded our assurance processes on the data. The ILR freeze
schedule 2017 to 2018 indicates when we expect to publish reports each month.
Summary page
29. The summary page provides you with a list of all the areas of the funding rules
monitoring plan for which we have produced a report. This list includes a
summary of the data in each report including cash values.
30. The top of the summary page includes the number of queries we identified
compared to the total number of aim records you reported in that period which
fall within the scope of funding monitoring work.
31. The ‘FLT_summary’ page shows you the number of queries identified compared
to the number of valid learning aim records submitted for each funding line.
32. We have numbered the reports as they appear in Monitoring the funding rules
2017 to 2018. Reports follow the naming convention ‘FRMXX’ for example;
FRM01 is the first area of the funding monitoring plan (repeat learning aims).
Page 7 of 34Selecting a report to review
33. You can select a report to review by scrolling across on the list of worksheets at
the bottom of the page or by selecting the relevant report number or title on the
summary page as these are hyperlinks.
34. Selecting cell B1 on each individual report sheet will take you back to the
summary page so you can select a different report to review.
Report layout
35. Each report contains a set of fields, providing sufficient data for you to identify
specific records within your own system. Some fields are common to all reports;
you can sort and filter by any field. These fields are identical to the old BIRST
report fields.
36. In most cases, the fields in the reports match the fields in the ILR specification.
The data returned in these reports will be the data you submit each month.
37. Where you have not submitted any data in a particular field, these cells will show
as blank and are NULL values.
38. We have included year-to-date funding values in most reports. For some funding
streams this value will be calculated on monthly profiled earnings, for others
(such as apprenticeship starts since 1 May 2017) it represents the actual
payments calculated and made, and may be the total payments made for the
programme where the component does not attract its own unique funding.
39. Where we have run an analysis using the generic programme aim (‘ZPROG001’)
we have not included the funding associated with individual component aims,
which may mean the funding value appears as £0 (for example, apprenticeship
frameworks on funding model 35), unless funding is directly associated with that
aim (for example, for apprenticeships starting after 1 May 2017).
Page 8 of 3440. Where it is relevant for particular reports, we have provided additional
‘supplementary’ fields. This is because we may have compared the data you
submit with previous or other providers’ returns, or have derived data in that
particular analysis. The full list of fields and the reports are in Annex C.
41. Each row in every report is assigned a ‘report ID’ to support your analysis and
aid any discussions you may need to have with us.
Further support
42. If you cannot access your reports, or are unsure how to resolve any identified
issues, please contact the service desk marking your query for the attention of
the funding rules monitoring team and the report that you are querying. You can
also access support from the sector using the FE Connect forum. We will publish
technical guidance periodically through Inform and Update.
Page 9 of 34Annex A – Locating FRM reports in the Hub
Page 10 of 34Annex B: The FRM reports in detail
The following areas of the published monitoring plan have been included in the new suite of reports. We have identified the relevant dataset
when using multiple sets of data.
Report number
Report logic Exclusions Action you must take Action we will take
and name
1. All new or continuing Programme You should check that data such as the Learning aim reference or ULN has For apprenticeships
Learners learning aims where the aims been recorded correctly. You must then use the LRS and check with the learner starting after 1 May
repeating a following match: where they have not declared previous learning to you, retaining evidence of 2017, we may ask you
learning aim they Non-regulated this. to provide evidence
have already ‘ULN’ provision If you confirm the learner has achieved the learning aim in question, or we have that the total
achieved And ’Learning aim reference’ identified a match between your UKPRN (or the reported partner UKPRN) and negotiated price
Generic ULNs that reported for the previous instance of the learning aim, you MUST take the reflects the learner’s
REPORT TITLE: And (‘9999999999’) action specified: prior learning. We may
Repeat learning the ‘Learning actual end For apprenticeships starting on or after 1 May 2017, funds in digital accounts take further action if
aims date’ of the previous GCSEs where or government-employer co-investment must not be used for any identified we are not satisfied
instance is on or after outcome grade errors. The negotiated price must reflect the prior learning identified. the learner’s prior
01/08/2015 was not A* to For learning aims funded by an advanced learner loan, the learner should not attainment has been
And the ‘Learning start date’ C (or 4 to 9) have been required to take out a loan for a qualification they have already taken into account.
is after the ‘Learning actual achieved. You must remove the ADL flag from the learning aim record and
end date’ of the previous contact the SLC to cancel the loan if the learner was required to take out a For other learning
instance loan in error. aims, failure to correct
And the ‘Outcome’ of the For any other learning aims, this is a funding error and is ineligible. data where there is a
previous instance is 1 Qualifications that require periodic refreshing or contain different pathways UKPRN match will
(achieved) are the responsibility of the employer or individual. You must correct this data result in a funding
by recoding the aims with Funding model code 99, or follow PSM guidance recovery.
on correcting data errors after hard close or the previous year.
Page 11 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
2. All learning aims where the Programme You should check that data such as learning start dates and/or learning actual Where there is a
Duplicate following data matches aims end dates have been correctly reported and data is complete where learners UKPRN match, we
learning aims between two providers: have left learning. may investigate issues
being delivered Non-regulated and take steps to
at 2 or more ‘UKPRN’ provision If you confirm the learner is undertaking the learning aim in question elsewhere, recover funding.
providers And ‘ULN’ or we have identified a match between your UKPRN (or the reported partner
And ’Learning aim reference’ Generic ULNs UKPRN) and that reported for the overlapping instance of the learning aim, you
REPORT TITLE: (‘9999999999’) MUST take the action specified:
Duplicate And the ‘Learning start date’
learning aims and ‘Learning actual end’ If you know that the learner(s) transferred or left learning with you, you
indicate learning has/is must ensure withdrawals or transfers are reported to us in a timely
taking place simultaneously manner, and report an accurate Learning actual end date.
(overlap of provision) You need to agree which learners belong to you and which belong to
your subcontractors (or the other provider). For provision such as
apprenticeships this should be identifiable from sources such as the
contract for delivery between the provider and the employer.
You or the other provider must then agree who will correct records by
coding the aims with Funding model code 99. If one of the providers
cannot evidence that learning is being delivered, they must remove the
learning aim record(s).
If a learner in receipt of an advanced learner loan changes provider
during the learning aim they must inform the SLC and reapply to the
SLC for a loan to continue their studies at the new provider.
Where the learners have transferred to you through action by us (for example,
termination of previous provider’s contract) there is no action to take.
Page 12 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
3. There is no 2017 to 2018 UKPRNs who The 2017 to 2018 ILR must include aims that are continuing (Completion status Continuance issues
Continuing ILR record where data is we no longer = 1 and Learning actual end date is null). If data is found to be incorrect after will have a negative
learners from joined using: have a direct hard close (R14) of the previous year and the data is incorrect due to an impact upon
2016 to 2017 who ‘UKPRN’ contract with administrative error, then the data should be corrected and continue to be qualification
do not appear in And ‘ULN’ returned in 2017 to 2018. achievement rates.
the 2017 to 2018 And ‘Learner reference
If the learner was reported as continuing in 2017 to 2018, but has since been
ILR number’ Changes to the
identified as having withdrawn before 1 August 2017, you must record the
And ’Learning aim reference’ learning start date will
Learning actual end date as the last day the learner was in learning (this date
REPORT TITLE: And ’Learning start date’ result in the reporting
will be in the previous ILR year: do not use 1 August 2017).
Continuance And of duplicate records,
issues the 2016 to 2017 ‘Learning For traineeship and apprenticeship programmes, the ILR must include the which is likely to have
actual end date’ is null programme aim and all the associated component aims, even if the component a negative impact
And the 2016 to 2017 aims are completed and closed. upon QARs.
‘Learning planned end date’ As this report involves a match on learning start date, you must check this report
is after 31 July 2017 in conjunction with report 7 (changes to learning start date across years) and
action accordingly.
4. All learning aims where: Former The ‘Other funding adjustment’ field must only be completed if agreed with us. If We will ask you to
Use of the ‘Other employer you cannot evidence being given permission by the ESFA to use this field, you provide evidence of
funding The value in the ‘Other ownership pilot must remove the data and ensure that any adjustment for prior learning is why any values over
adjustment’ field funding adjustment’ field is provision reported in the ‘Funding adjustment for prior learning’ field. 100 have been
not null and does not equal reported with reported, and will
REPORT TITLE: 100 the learning recover any over claim
Other funding delivery of funding if we are
adjustment monitoring satisfied the
code ‘351’ adjustment has been
reported in error.
Page 13 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
5. All learning aims where: Programme You must not change or update the Learning actual end date between years, as We will recover all
Changes to the The 2016 to 2017 ‘Learning aims this may affect the funding claimed. You must record the Learning actual end 2017 to 2018 on-
‘Actual end date’ actual end date’ reported at date that was reported in the previous funding year. programme funding
between years R14 is before 1 August 2017 Work and any additional
And the 2016 to 2017 placement In the scenario where a learner undertakes an aim, finishes learning, takes the achievement funding
REPORT TITLE: ‘Completion status’ reported aims final assessment and fails, then this aim should be closed and recorded as not where applicable, as
Actual end date at R14 is 2 And the 2017 to achieved. Where this learner is then identified as needing further support or funding was earned in
changes 2018 ‘Learning planned end Non-regulated additional learning in order to pass the assessment, then a new learning aim the year in which
date’ is after 31 July 2017 aims should be recorded as a restart with the ‘Funding adjustment for prior learning’ learning was originally
And the 2017 to 2018 completed to account for the new learning required to pass the resit. You must recorded as complete.
‘Learning actual end date’ is not reopen a completed learning aim record.
null or after 31 July 2017
6. All learning aims where: Programme You must not change or update the Learning planned end date after the funding We will recover any
Changes in the The 2016 to 2017 ‘Learning aims qualifying period has passed, even if the learner continues on the learning aim over claim of funding
‘Learning actual end date’ reported at beyond that date, as this will affect the funding claimed. You must not change that has resulted from
planned end R14 is null or after 31 July Work this data between funding years. changes to this data.
date’ between 2017 And the 2016 to 2017 placement If the planned end date has been identified after R14 as being significantly
funding years ‘Learning start date’ equals aims incorrect you must:
the 2017 to 2018 'Learning Set the Completion status to code 3 ‘withdrawn’ and complete the
REPORT TITLE: start date’ And the 2016 to Non-regulated Withdrawal reason using code 40 ‘Learner has transferred to a new
Planned end date 2017 ‘Learning planned end aims learning aim with the same provider’.
changes date’ does not equal the Record a Learning actual end date of 1 August 2017.
2017 to 2018 ‘Learning Record a new learning aim with the same Learning aim reference and a
planned end date’ Learning start date of 1 August 2017 and the correct Learning planned
And the 2017 to 2018 end date. Record this aim as a restart (Learning Delivery Funding and
‘Learning actual end date’ is Monitoring Type = RES), and complete the Funding adjustment for prior
null or after 31 July 2017 learning field with the percentage of learning that is still to be delivered.
Page 14 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
7. All learning aims where: Programme You must not change or update the Learning start date between years, as this We will recover any
Changes in the The 2016 to 2017 ‘Learning aims will affect the funding claimed. over claim of funding
‘Learning start start date’ reported at R14 is that has resulted from
date’ between before 31 July 2017 And the Work You must record the start date returned in the previous funding year. If this data changes to this data.
funding years 2016 to 2017 ‘Learning placement was found to be incorrect after the hard close for the previous ILR year, you
planned end date’ equals the aims must follow PSM guidance on correcting data errors after hard close. Changes to this date
REPORT TITLE: 2017 to 2018 'Learning will result in the
Learning start planned end date’ And the Non-regulated If a learner has returned from a break in learning, we would expect you to report reporting of duplicate
date changes 2016 to 2017 ‘Learning start aims a new planned end date for delivery of the remaining learning. Failure to report records, which is likely
date’ does not equal the this may result in us identifying additional records in this report because we to have a negative
2017 to 2018 ‘Learning start match data across years using the ‘learning planned end date’. impact upon QARs.
date’ And the 2017 to 2018
‘Learning actual end date’ is
null or after 31 July 2017
8. All learning aims where: Programme You must have evidence that learning is or has taken place (including a work Where funding is
Learners who aims placement, if the learner is taking part in a traineeship) and records are earned, we may ask
withdraw from The ‘Learning start date’ is available. you to provide
learning on the the same as the ‘Learning evidence of learning
day they start actual end date’ If the learner withdrew without completing one episode of learning, for example taking place. We are
when planned And the ‘Completion status’ without attending the first class, then they must not be included in the ILR. You interested in larger
duration is is 3 or 6 MUST correct this data where funding has been earned. qualifications which
longer than a day And the planned duration is have short planned
(includes breaks greater than 1 day For larger qualifications with planned durations of 14 days or less, you must be durations as this may
in learning) able retain evidence that shows how you planned to deliver the learning and indicate the planned
how the learner would achieve within the planned duration reported in the ILR. duration was incorrect.
REPORT TITLE: We will recover any
1 day durations funding if appropriate.
Page 15 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
9. All learning aims where: Programme You must have evidence that learning is or has taken place (including a work Where funding is
Learners who fail aims placement, if the learner is taking part in a traineeship) and records are earned, we may ask
to achieve when The ‘Learning start date’ is available. you to provide
planned duration the same as the ‘Learning evidence of learning
You are expected to monitor learner absence and implement a robust absence
is one day planned end date’ taking place. We are
and withdrawal policy to ensure the progress of all learners is monitored.
(includes breaks And the ‘Outcome’ is 3 (no interested in larger
in learning and achievement) Or the qualifications which
A learner must be able to achieve their learning in the time available. If they
withdrawals) ‘Completion status’ is 1 (The have short planned
cannot do this, they are ineligible for funding. You must be able retain evidence
learner is continuing or durations as this may
that shows how you planned to deliver the learning and how the learner would
REPORT TITLE: intending to continue the indicate the planned
achieve within the planned duration reported in the ILR.
Day course fails learning activities leading to duration was incorrect.
the learning aim). If the learner withdraws without completing one episode of learning, for example We will recover any
And the actual duration is without attending the first class, then they must not be included in the ILR. You funding if we are
greater than 7 days MUST correct this data where funding has been earned. satisfied it has been
claimed in error.
10. All learning aims where: You must not record a break in learning unless you and the learner have agreed Failure to report
Breaks in The ‘Completion status’ is 6 this and the learner intends to return to learning at a later point, and there is learners as restarting
learning which (learner has temporarily supporting evidence in the learner file. will have a negative
exceed 12 withdrawn from the learning impact on QARs.
months/365 days aim due to an agreed break Learners on a break in learning in 2016 to 2017 who withdraw or fail to return to
in learning) And there is no learning must be recorded with a completion status of 3 – ‘The learner has
REPORT TITLE: corresponding aim recorded withdrawn from the learning activities leading to the learning aim’ and the
Breaks in with the ‘Restart indicator’ relevant code in the Withdrawal reason field.
learning And the ‘Learning actual end
date’ was 365 or more days
before the ILR return close
date
Page 16 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
11. All programme aims where Component You should check that data such as learning start dates and/or learning actual Where there is a
Overlapping the following data matches aims end dates have been correctly reported and data is complete where learners UKPRN match, we
programmes between two providers: have left learning. may investigate issues
being delivered Generic ULNs and take steps to
across multiple ‘UKPRN’ (‘9999999999’) If you confirm the learner is undertaking a programme elsewhere, or we have recover funding.
providers And ‘ULN’ identified a match between your UKPRN (or the reported partner UKPRN) and
(apprenticeships And ‘Learning aim that reported for the overlapping instance of the learning aim, you MUST take
and traineeships) reference’ the action specified:
REPORT TITLE: And the ‘Learning start date’ If you know that the learner(s) transferred or left learning with you, you
Overlapping and ‘Learning actual end must ensure withdrawals or transfers are reported to us in a timely
programmes date’ indicate learning has/is manner, and report an accurate learning actual end date.
taking place simultaneously You need to agree which learners belong to you and which belong to
your subcontractors (or the other provider). For provision such as
apprenticeships this should be identifiable from sources such as the
contract for delivery between the provider and the employer.
You or the other provider must then agree who will correct records by
coding the aims as funding model ‘99’. If one of the providers cannot
evidence learning being delivered, they must remove the learning aim
records.
A traineeship programme must be closed at the point at which the
learners starts an apprenticeship, as they are deemed to have achieved
the programme (any English and maths components can remain open).
A learner already on an apprenticeship is ineligible to start a traineeship.
Where the learners have transferred to you through action by us (for example,
termination of previous provider’s contract) there is no action to take.
Page 17 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
12. All learning aims where: Learners in the You should check that postcode and employer data has been correctly reported We may ask you to
Provision armed forces and data is complete. provide evidence of us
delivered outside The ‘Delivery location You must not claim funding or require a learner to take out a loan for any giving you permission
England postcode’ is not in England Generic provision that is delivered to a learner whose learning is taking place outside to deliver outside
Or, for apprenticeships and postcodes England unless we give you permission before learning starts. This includes England. We will
REPORT TITLE: traineeships, the workplace provision delivered through distance learning to learners outside England. recover funding if we
Non-English location is not in England are satisfied the
Apprentices must spend at least 50% of their working hours in England over the
provision learning is ineligible for
duration of the apprenticeship. You must develop arrangements with the
funding.
relevant devolved administration if you are planning to deliver to apprentices
who do not spend at least 50% of their working hours in England over the
duration of their apprenticeship, including time spent on off-the-job training.
If you are claiming funding and have not been given permission by us to deliver
outside England, you MUST recode the aims with Funding model code 99.
13. All programme aims where: Apprenticeship It is sufficient for the Learning actual end date held in this field to be accurate to We may ask you to
Apprentices component within a week, providing that any approximation does not result in a learner provide evidence of
withdrawing The ‘Learning actual end aims being wrongly included or excluded in the funding calculations. learning taking place
within 14 days of date’ is not null on the date additional
an additional And the calculated duration You must have, and be able to provide, evidence of learning taking place on the payments were
payment being of the programme is between date the additional payment was earned. If an additional payment has been earned. We will
earned 90-104 days or 365-379 earned and the learner was not in learning on that day, you must report the recover funding for
days accurate Learning actual end date. these payments if we
REPORT TITLE: And we have paid an are satisfied the
Withdrawals with additional payment The ‘Date applies to’ for the latest Learning Delivery FAM record with FAM Type learner was ineligible
additional = ACT (on the programme aim and any English or maths aims) must be set to for the additional
payments the Learning actual end date of the aim. payment(s).
Page 18 of 34Report number
Report logic Exclusions Action you must take Action we will take
and name
14. All programme aims where: Apprenticeship The employer must provide evidence that they employed an average of 49 or We compare ILR data
Small Employer component fewer employees in the 365 days before the apprentice was recruited. This with other sources
Waiver the ‘Employer identifier’ aims number must cover the whole organisation, including any connected companies, such as Companies
reported in the ILR indicates and not individual sites or locations. House. We will ask
REPORT TITLE: that the employer (or their you for evidence of
Evidence may include payroll information or Companies House accounts. You
Small employer employer group) employs eligibility where we
must check for connected companies, including companies linked to directors.
waiver more than 49 staff believe that the
You must obtain an accurate number – tick boxes, bands or an EDRS record
employer is ineligible,
are not sufficient as evidence of the employer’s size in the 365 days before the
and will recover
apprentice started.
funding from errors.
If this average was 49, the first apprentice is eligible for the waiver, subsequent
apprentices are ineligible.
If they are not eligible, you MUST remove the SEM flag in the ILR for that
learner.
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15. All programme aims where: Apprenticeship The rules and eligibility for an apprenticeship programme that originally started If we identify a UKPRN
Apprentices The ‘Funding model’ is 36 component under Funding model 35 or 81 will continue to apply for the lifetime of the match, we may ask
withdrawing from And the ‘Restart indicator’ is aims programme. you to provide
existing returned Or an ‘Original evidence as to why the
frameworks or learning start date’ of before You must not withdraw learners from programmes and restart them on Funding learner restarted under
standards and 1 May 2017 is returned Or model 36 solely to take advantage of the new funding system. Learners who funding model 36. We
restarting on The ‘Funding model’ is 35 have transferred to a new provider are expected to continue being funded under will ask you to recode
funding model And the ‘Outcome’ of the their existing funding model. aims under their
36. programme is 3 or 6 And previous funding
there are no programmes for Towards the end of the current funding year, there may be some restarts model if we are
REPORT TITLE: the same ULN reported on appearing in your data from learners who have taken a break since 1 May 2017. satisfied the learner is
Funding model ‘Funding model’ 35 after the If the learner has returned from a break in learning after starting their original still eligible to be
36 restarts ‘Learning actual end date’ programme in the new apprenticeship system, you do not need to take any funded under previous
And there are records for the action. arrangements.
same ULN and programme
on ‘Funding model’ 36
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16. All programme aims where: Apprenticeship If co-investment applies, you must collect payments from the employer and We will not pay the
Recording co- component report these payments in the ILR by the quarterly review points in June, completion element for
investment The ILR ‘Funding model’ is aims. September, December and March. the programme if
payments 36 Funding above insufficient co-
And we have calculated that the funding To record these payments on the ILR you must complete the ‘Apprenticeship investment has been
REPORT TITLE: the employer needs to co- band financial type’ field with a ‘Payment Record’. You must record a separate collected.
Recording co- invest maximum payment (PMR) record for each payment that the employer makes to you; this Failure to collect
investment And the sum of any ‘PMR’ should cover payments across the apprenticeship, not just for the current year’s sufficient co-
payments records is less than the Employers ILR collection. investment by the
calculated co-investment delivering to quarterly review point
value their own If you are delivering apprenticeships to your own employees, you must report may affect growth
employees these learners with the learning delivery monitoring code ‘356’ – ‘Apprenticeship requests.
(recorded being delivered to own employees’.
under LDM
356). If the small employer waiver applies, you must report the ‘SEM’ flag in the ILR at
the start of the programme. Reporting the SEM flag after the start month results
Apprentices in co-investment being calculated in the months before the flag was added. This
eligible for the may continue to appear in this report even if the waiver is recorded in future
small months but we will correct this data.
employer
waiver at the
start of the
programme
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17. All English and maths aims Apprenticeship You must not claim English and maths funding through the Adult Education Failure to correct data
Apprentices who where the following match: programmes Budget (AEB) for an apprentice who started their programme on or after 1 May where there is a
are also being ‘ULN’ on funding 2017. UKPRN match will
funded for And the ‘Funding model’ is models 35 and result in a funding
English and/or 36 for the apprenticeship 81 If you confirm the learner is undertaking an apprenticeship elsewhere, or we recovery.
maths provision And the ‘Funding model’ is have identified a match between your UKPRN (or the reported partner UKPRN)
through the Adult 35 for English or maths Generic ULNs and that reported for the apprenticeship, you must record the English and maths
Education And the ‘Learning start date’ (‘9999999999’) aims with Funding model code 99, or record the apprenticeship as withdrawn if
Budget of any English or maths aim this applies.
is after the ‘Learning start
REPORT TITLE: date’ of the apprenticeship
English and And the ‘Learning start date’
maths learning of any English or maths aim
aims in AEB is before the ‘Learning actual
end date’ of the
apprenticeship
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18. All new and continuing Component You should check that data such as the Learning aim reference or ULN has Failure to correct data
Learners programme aims where the aims been recorded correctly. You must then use the LRS and check with the learner where there is a
repeating an following data matches: where they have not declared previous learning to you, retaining evidence of UKPRN match will
identical Generic ULNs this. result in a funding
programme (no ‘ULN’ (‘9999999999’) recovery. Where
restarts, match And ’Programme type’ If you confirm the learner has achieved the programme in question, or we have applicable, we may
programme type And ‘Framework code’ identified a match between your UKPRN (or the reported partner UKPRN) and ask provide evidence
and framework And ‘Apprenticeship that reported for the previous instance of the learning aim, you MUST correct showing that a
and pathway, or pathway’ this data by recoding the aims with Funding model code 99. The only exceptions different sub-pathway
standard) And ‘Apprenticeship is where that framework or standard allows ‘sub-pathways’, in which case you is being delivered, and
standard code’ must ensure that the funding claimed (including any price negotiated with the that you have adjusted
REPORT TITLE: employer) reflects any overlap in content. the funding claim
Repeat And the ‘Learning actual end appropriately to
programmes date’ of the previous account for any
instance is on or after overlap of content.
01/08/2015
And the ‘Learning start date’
is after the ‘Learning actual
end date’ of the previous
instance
And the ‘Outcome’ of the
previous instance is 1
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19. All English and maths aims Generic ULNs You should check that data such as the Learning aim reference or ULN has Failure to correct data
Learners where the following match: (‘9999999999’) been recorded correctly. You must then use the LRS and check with the learner where there is a
undertaking level where they have not declared previous learning to you, retaining evidence of UKPRN match will
2 or below in ‘ULN’ GCSEs where this. result in a funding
English and And the ‘Learning actual end outcome grade recovery.
maths within an date’ of the previous aim is was not A* to If you confirm the learner has achieved the aim in question, or we have
apprenticeship on or after 01/08/2015 C (or 4 to 9) identified a match between your UKPRN (or the reported partner UKPRN) and
when they have And the ‘Learning start date’ that reported for the previous instance of the learning aim, you MUST correct
already achieved of the new aim is after the Level 2 aims this data by recoding the aims with Funding model code 99 or follow PSM
a level 2 ‘Learning actual end date’ of that are not a guidance for correcting data errors after hard close for the previous ILR year.
the previous aim functional skill
REPORT TITLE: And the notional level of the or GCSE
English and previous aim is 2
maths eligibility And the ‘Outcome’ of the
previous aim is 1
And, for achieved GCSEs
the outcome grade is A* to C
(or 4 to 9)
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20. All new or continuing full Generic ULNs You should check that data such as the Learning aim reference or ULN has Failure to correct data
Learners who level 2 aims where the (‘9999999999’) been recorded correctly. You must then use the LRS and check with the learner where there is a
have achieved a following match: where they have not declared previous learning to you, retaining evidence of UKPRN match will
full level 2 this. result in a funding
qualification (or ‘ULN’ recovery.
higher) and are And the new aim is funded If you confirm the learner has achieved the aim in question, or we have
fully funded for a through AEB identified a match between your UKPRN (or the reported partner UKPRN) and
further level 2 And the new aim is fully- that reported for the previous instance of the learning aim, you MUST correct
entitlement aim funded this data by recoding the aims with Funding model code 99.
And the previous aim is a full
REPORT TITLE: level 2 or higher
Level 2 And the ‘Learning actual end
entitlement date’ of the previous aim is
exceptions on or after 01/08/2015
And the ‘Learning start date’
is after the ‘Learning actual
end date’ of the previous aim
And the ‘Outcome’ of the
previous aim is 1
And the level of the previous
aim is greater than, or equal
to, 2
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21. All new or continuing full Generic ULNs You should check that data such as the Learning aim reference or ULN has Failure to correct data
Learners who level 3 aims where the (‘9999999999’) been recorded correctly. You must then use the LRS and check with the learner where there is a
have achieved a following match: where they have not declared previous learning to you, retaining evidence of UKPRN match will
full level 3 this. result in a funding
qualification (or ‘ULN’ recovery.
higher) and are And the new aim is funded If you confirm the learner has achieved the aim in question, or we have
subsequently through AEB identified a match between your UKPRN (or the reported partner UKPRN) and
funded (full or And the previous aim is a full that reported for the previous instance of the learning aim, you MUST correct
co-) for a further level 3 or higher this data by recoding the aims with Funding model code 99.
level 3 And the ‘Learning actual end
entitlement aim date’ of the previous aim is
on or after 01/08/2016
REPORT TITLE: And the ‘Learning start date’
Level 3 is after the ‘Learning actual
entitlement end date’ of the previous aim
exceptions And the ‘Outcome’ of the
previous aim is 1
And the level of the previous
aim is greater than, or equal
to, 3
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22. All traineeship programme Traineeship Progressing to further learning is a successful outcome of a traineeship Failure to correct data
Traineeships aims where the following component programme. where there is a
where the learner data matches between two aims UKPRN match will
is studying a full providers: If you confirm the learner was already taking learning at level 3 or above before result in a funding
level 2 or level 3 ‘ULN’ And the overlapping Generic ULNs starting the traineeship or we have identified a UKPRN match, the traineeship recovery.
qualification aim is a full level 2, full level (‘9999999999’) will be deemed to be ineligible and you must recode the programme with
concurrently 3, or higher Funding model code 99.
And the overlapping aim is
REPORT TITLE: NOT delivered as part of a If you confirm that a learner has started an identified aim since starting their
Traineeships and traineeship traineeship programme, or we have identified a UKPRN match, the learner will
further learning And the ‘Learning start date’ be deemed to have achieved the programme and it must be recorded as
and ‘Learning actual end’ completed with a Learning actual end date before the new aim commenced.
indicate learning has/is
taking place simultaneously
23. All new or continuing Traineeship You should check that data such as the Learning aim reference or ULN has Failure to correct data
Traineeships traineeship programme aims component been recorded correctly. You must then use the LRS and check with the learner where there is a
where the learner where the following match: aims where they have not declared previous learning to you, retaining evidence of UKPRN match will
has already ‘ULN’ And the previous aim this. result in a funding
achieved a full is a full level 3 or higher 16-19 funded recovery.
Level 3 And the ‘Learning actual end traineeships If you confirm the learner has achieved the aim in question, or we have
date’ of the previous aim is (previously identified a match between your UKPRN (or the reported partner UKPRN) and
REPORT TITLE: on or after 01/08/2016 EFA-funded) that reported for the previous instance of the learning aim, you MUST correct
Traineeship level And the ‘Learning start date’ this data by recoding the aims with Funding model code 99.
3 exceptions is after the ‘Learning actual Generic ULNs
end date’ of the previous aim (‘9999999999’)
And the ‘Outcome’ of the
previous aim is 1
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24. All new or continuing 16-19 funded You should check that data such as the Learning aim reference or ULN has Failure to correct data
Trainees who traineeship programme aims traineeships been recorded correctly. You must then use the LRS and check with the learner where there is a
have previously where the following match: (previously where they have not declared previous learning to you, retaining evidence of UKPRN match will
achieved an ‘ULN’ EFA-funded) this. result in a funding
apprenticeship or And the ‘Learning actual end recovery.
traineeship date’ of the previous Generic ULNs If you confirm the learner has achieved the programme in question, or we have
apprenticeship or traineeship (‘9999999999’) identified a match between your UKPRN (or the reported partner UKPRN) and
REPORT TITLE: programme is on or after that reported for the previous programme, you MUST correct this data by
Traineeship 01/08/2015 recoding the aims with Funding model code 99. Learners who have previously
programme And the ‘Learning start date’ completed a traineeship or apprenticeship are deemed to be work ready and
exceptions of the traineeship have sufficient employment experience.
programme is after the
‘Learning actual end date’ of
the previous apprenticeship
or traineeship programme
And the ‘Outcome’ of the
previous apprenticeship or
traineeship programme is 1
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25. There is no corresponding You must ensure that you report loans-funded activity in the ILR with funding We may ask you to
Loans learning ILR record where ILR and model 99 and the advanced learning loans indicator. provide evidence to
not being SLC data is joined as: support the accuracy
recorded in ILR ‘UKPRN’ And ‘ULN’ And You should check against the Learning Provider Portal for any data held for of the data returned in
‘Learning aim reference’ And learners and ensure it is correct for any learners identified. the ILR. If the loans
REPORT TITLE: the ‘Learning actual end funding is found to be
Loans reporting date’ reported by SLC is on ineligible and does not
in ILR or after 01/08/2017 or is not support the funding
returned And the ‘Funding received from SLC, we
model’ reported in the ILR is will take steps that
99 And the ADL indicator is may affect your future
1 loans facility.
26. There is corresponding ILR If a learning aim is being financed through a loan, the learning aim record must We may ask you to
Loans funding record where ILR and SLC be reported in the ILR with Funding model 99 and ADL = 1. provide evidence to
and AEB or data is joined on: support the data
apprenticeships ‘UKPRN’ And ‘ULN’ And You should check against the Learning Provider Portal for any data held for returned in the ILR. If
funding claimed ’Learning aim reference’ learners and ensure it is correct for any learners identified. we are satisfied that
for the same And the ‘Learning actual end funding is ineligible,
learning aim date’ reported by SLC is on Learners who are already eligible for adult skills or apprenticeship funding we will take steps to
or after 01/08/2017 or is not should not be moved onto loans funding in order to preserve achievement rates. recover funding
REPORT TITLE: returned through SLC or
Loans duplicate And (the ‘Funding model’ recover any of our
funding reported in the ILR is 35 or funding as appropriate.
36 Or the ‘Funding model’
reported in the ILR is 81 and
the ‘Programme type’ is 25)
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27. All aims funded through a You must not change or update the learning planned end date after the funding We may ask you to
Loans where the loan where: qualifying period has passed, even if the learner continues on the learning aim provide evidence to
ILR planned beyond that date. You should not change this data between funding years. support the data
duration is There is no ‘Learning actual returned in the ILR. If
longer than the end date’ in the ILR You must check this report in conjunction with report 6 (changes to planned end we are satisfied that
planned duration And date across funding years) and action accordingly. loans funding is being
of the loan The planned duration in the drawn down too
ILR is more than 30 days You and the learner must confirm the information in the learner file is correct quickly, we will take
REPORT TITLE: after the SLC planned and, therefore, the information you have reported to the SLC through the steps to correct this
Loans planned duration Learning Provider Portal and to us in the ILR is correct. If the data in the ILR is through SLC.
duration And the ‘Learning start date’ correct (and you have followed the correct procedure for correcting any data
exceptions in the ILR is within a week of recording errors), you must then ensure any changes are carried out on the SLC
the SLC start date Learning Provider Portal with a change of circumstances form. This would
ensure your payment profile is updated.
28. All aims funded through a You must be able to provide evidence of the learner assessment and enrolment We may ask you to
19 – 23 learners loan where: that confirms if they had achieved a full level 3 qualification prior to commencing provide evidence to
and prior The learner is aged 19 to 23 the loans-funded aim. If the learner had not achieved a full level 3, you must be support the application
attainment And the learner’s prior able to provide evidence that the learner was made aware that they have an for a loan. If you have
attainment is below level 3 entitlement to funding through the adult education budget before applying for a an AEB funding
REPORT TITLE: And there is no ILR record of loan. agreement and we are
Loans 19-23 the learner achieving a full satisfied that the loan
eligibility level 3 qualification or higher If you have an AEB funding agreement with us and the learner did not have a is ineligible, we will
in the last 2 years full level 3, you MUST withdraw the loan and fund the learner through the adult take steps to recover
education budget and reduce their fee liability to zero. funding through SLC.
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