Guidance

Financial Assurance: Monitoring post-16 funding for 2022 to 2023

Updated 2 August 2023

Applies to England

Introduction

We monitor the data reported to us as part of our assurance work. We monitor data from the Individualised Learner Record (ILR), School Census (SC), and other sources such as the Earnings Adjustment Statement (EAS) and the Student Loans Company (SLC).

This desktop review of how the funding system and funding rules operates has the following aims:

• to identify possible errors in the funding claimed for post-16 delivery that require further investigation
• to improve the overall quality of the data reported
• to assure us that the provision we buy meets our published funding rules
• to inform our standard business processes for assurance, audit, end-of-year payment and reconciliation
• to support the development of policy (existing and new policy development)
• to ensure benefits are realised and policy reaches its intended target group

Purpose of this document

This document lists the areas that we are monitoring during the 2022 to 2023 funding year (1 August 2022 to 31 July 2023) and provides guidance on how to correct data quality or funding errors. There is no set review date for this document, however, we will act on feedback to ensure reports are fit for purpose and consider if any new data or policy priorities should be included.

You must read this document along with any other documents referred to and take the necessary action to ensure data returns and funding claims are correct. Failure to take the necessary action may impact your year-end funding for 2022 to 2023. These documents include:

• ILR technical documents, guidance and requirements
• Complete the school census
• Funding regulations for post-16 provision
• Funding guidance for young people rates and formula
• 16 to 19 study programmes: guidance (2021 to 2022 academic year)
• Adult education budget (AEB) funding rules
• Adult education budget (AEB):funding rates and formula
• Advanced learner loans funding rules
• Apprenticeship funding rules
• Apprenticeship technical funding guide
• T Level Transition Programme Framework for Delivery
• T Level industry placements: delivery guidance
• T Levels funding guide
• Traineeship information for training providers
• UK Register of Learning Providers
• Qualification achievement rates business rules

For learners who started before 1 August 2022, please refer to the documents that applied on the learner’s first day in learning.

Intended audience

This document is for colleges, training providers and other providers who have a funding agreement with us. Specifically, it is aimed at those staff who submit data to us and those who review data quality. We have included a summary of all the relevant rules and guidance in this document. We have assumed that you are familiar with these documents and the relevant terminology.

• The term ‘we’ refers to the Education and Skills Funding Agency (ESFA) and colleagues in the wider Department for Education (DfE).
• When we refer to ‘you’ or ‘providers’, this includes colleges, higher education institutions, training organisations, local authorities, schools, academies, and employers that receive funding from us to deliver education and training.
• When we refer to ‘learners’, this includes students.
• The term ‘post-16 delivery’ includes 16 to 19 study programmes, T Levels, T Level transition programmes, traineeships, apprenticeships, adult education budget, support funding, community learning, and advanced learner loans. This does not include the European social fund which finishes at the end of 2023.

How we will use data

We will use the data you submit to assure ourselves that the education and training we fund meets relevant funding rules and key policy objectives. Conducting this in-year helps us to identify emerging issues, proactively responding to risks, and feeding into future rules and policy development. It also increases data quality, which informs other in-year processes and gives us greater confidence in our decision making.

Failure to submit accurate data can have a negative impact on funding claims and achievement rates which could be treated as a breach of your funding agreement with us. If we believe you have submitted data in error, or that you have not submitted it in a timely way, we will contact you and either ask you to provide further evidence to support the data or require you to correct it within a specified period.

You must respond within this period, either by correcting data as requested or by providing the required evidence. If you fail to respond appropriately to any request or subsequent request, we will act according to the terms of your funding agreement with us to ensure that your data and funding is accurate and complies with the relevant funding rules.

For some reports we will recover funding if you have data errors following the close of the R14 ILR data submission window. We will review any funding claims you submit and may contact you to undertake further assurance and calculate any error value before we complete other processes, such as issuing reconciliation statements.

If you have been subject to repeated action or a funding recovery, this will raise your risk profile with us and increase the likelihood of your organisation’s selection for audit.

Various assurance and provider facing teams across the DfE review the post-16 monitoring report dashboard internally and may use this to inform any regular management conversations with you, in addition to using it to inform their future activity.

Summary of changes

New and recently added reports

Following the data analysis and discussions with providers this year, we have streamlined several reports to address some specific concerns. These changes are for a few reports that received a particularly high number of queries at R06.

The changes will make it easier for you to identify the issues highlighted in the reports and to subsequently review / amend any incorrectly reported data. To amend any incorrect data please refer to the guidance provided on the ‘Report Information’ tab of the post-16 monitoring reports dashboard and in this document (available via the ‘Landing Page’ of the dashboard) if necessary.

The changes to specific funding monitoring reports will support you in reviewing your data and will also assist us to ensure that hours are adjusted where required and funding is not overclaimed, thereby assuring value for money and promoting accurate data reporting.

The following changes apply from the publication of R09 data in May 2023.

Changes to reports

FRM28 – Planned hours for students who start in-year and complete or leave learning within their initial 6-week period

We have simplified this report to identify only students who start in-year and complete or leave programmes within 6 weeks of their start date. Previously it identified both continuing students and in-year starts, FRM71 now identifies continuing students.

FRM30 – Students with more than 40 planned hours a week

We have changed this report to identify students who have study hours greater than the legal maximum of 40 hours per week. Previously it identified students with 35 and over hours per week.

FRM43 – 16 to 19 study programme students on qualifications with no planned learning hours

We have simplified this report to identify students enrolled on qualifications but who have zero (0) planned learning hours recorded and removed the previous overlap with FRM69.

New reports

FRM71 – Planned hours for continuing students who complete or leave learning within 6 weeks of the 6 September

This is a new report from R09 2022 to 2023 as part of simplifying FRM28. It identifies continuing students who complete or leave programmes within 6 weeks from the 6 September as it is unlikely that students will be attending programmes during the summer holiday period and we want to ensure that hours are adjusted and funding is not overclaimed.

Reports we no longer publish

FRM02 – Duplicate learning aims being delivered at two or more providers

FRM03 – 16 to 19 funded learners who are also funded elsewhere

In response to provider feedback, and to reflect how we use this data, we will not be publishing FRM02 and FRM03 as external reports for the remainder of this academic year. We will continue to review this data internally and will share data with providers on an exceptional basis where we have concerns relating to a high volume of learners. The purpose and use of these reports are currently under review, following a consultation exercise with sampled providers, and we are considering the useful commentary we received from those discussions.

FRM50 – T Level programmes with a planned duration of less than the minimum of 2 years

In response to provider feedback, and to reflect how we use this data, we will not be publishing FRM50 as an external report for the remainder of this academic year.

Using the post-16 monitoring reports dashboard

We will share the data we analyse with you through the monthly post-16 monitoring reports dashboard. Usually the first dashboard each year will be from December (R04), with school census data being incorporated later in the year. We expect you to use the dashboard as part of your routine data quality and submission cycles to proactively review the data and evidence you hold, ensuring they reflect each other and are correct for the relevant funding rules.

The dashboard contains data which will help you to identify and understand the highlighted issue(s) including core aims, reported hours, details of qualifications previously achieved by the learner, and SLC data from the Learning Provider Portal. We have also provided guidance in the ‘Report Information’ tab for every report, including the relevant rules and specific action you need to take to correct any errors.

All records have funding associated with them so that you are aware of the potential funding impact if you have not corrected errors by year-end. This funding varies depending on the relevant methodology and includes the following:

• Aim level year-to-date earnings for AEB provision
• Learner level funding for 16 to 19 provision
• Aim level SLC payments data for advanced learner loans
• Levy / non-levy payments data for apprenticeships

While the ‘Landing Page’ provides a headline summary of your data for the selected return, the ‘Summary Information’ tab shows the individual reports your data has triggered and compares this with your last data submission. It also contains tables that break this data down by subcontractor and funding stream to help you prioritise areas of concern and address specific issues. The ‘Report Information’ tab lists the reports, by number, gives a description, and provides guidance as to any actions you are required to take. The ‘Known Issues’ tab shows any changes or fixes we are applying to the data in the dashboard: it contains information on any identified issues, how it affects your data, and when we expect to fix the issue.

We will continue to use the same report numbering convention across years for consistency and to avoid confusion. If we remove any reports from the plan, any new ones added will have a new unique number.

Accessing the dashboard

To access the post-16 monitoring dashboard, you will need to log into View your education data. You will need an IDAMS account with the ‘view your education data – post-16 monitoring’ user role and associated with a UKPRN to access the dashboard securely.

Your organisation’s super user will be able to grant you the correct user role. Once successfully logged in, you will have the option to select ‘Data quality and assurance’, following which you should see a link to the ‘post-16 monitoring reports dashboard’ (along with any other dashboards you have access to) and you click on ‘Dashboard’.

Filters

The default setting for the dashboard is to show data for all funding streams we investigate following the most recent data return for the current year. We designed the dashboard with filters to allow access to data for previous years and periods within the same space. You are also able to filter data by a specific funding stream.

Any filters you have applied will be carried over to any other tabs you view within the post-16 monitoring dashboard. You can reset any filters you have applied by clicking the ‘back arrow’. If you apply any filters before exiting the dashboard, these will reset the next time you log in.

Viewing and exporting data

To view learning aims and learner level data click on the ‘View all data’ button on the landing page. This ‘Summarised Data’ page displays the data in a table and has filters allowing you to select all reports and funding streams, or specific ones, depending on how you want to review and manage your data within your organisation. Once you have made your selection, follow these steps to download the data from the table onto your computer:

1. Hover your mouse over the table – several icons will appear at the top right-hand-side immediately above the table.
2. Hover your mouse over the ellipsis (three dots) – a text box saying ‘more options’ will appear – click the three dots to display a menu.
3. The option to ‘export data’ will be at the top of the menu – select this option.
4. A pop-up saying ‘Which data do you want to export’ will open. Select ‘Data with current layout’ (a more pivot table friendly option) or ‘Summarised data’.
5. Once you’ve selected an option click the yellow ‘Export’ button to download the data as an Excel spreadsheet onto your computer (a message box will indicate when the data is being exported and when this has completed).

Once you have located the downloaded file in the relevant directory on your computer you can begin reviewing the data. Depending on which export option you selected (point 4 above) a line of text at either the top or bottom of the worksheet will indicate which filters you applied, e.g., academic year, reporting month or funding stream. You can apply this logic to other tables in the dashboard, such as those on the ‘Summary Information’ tab if you wish to export the data for use in other reports.

In most cases the names of the data columns match the fields in the ILR and SC specifications and will show the data you submitted in the selected data return. Where you have not submitted any data in a field, these cells may contain a relevant placeholder value such as ‘-1’ or will appear blank, indicating a NULL value.

We assign each row in every report a ‘query ID’ to support your analysis and help any discussions you may need to have with us. Giving us this query ID when making an enquiry helps us to review the data you are specifically interested in and provide the right guidance to resolve any issues you may be experiencing.

Publication dates

The landing page of the dashboard indicates when we will refresh the data each month in line with the dates published in column G (page 3) in the ILR freeze schedule 2022 to 2023.

Each month, we use the data as follows:

• December (ILR R04) initial data release (ILR data)
• January (ILR R05)
• February (ILR R06) review point, used for contacting providers
• March (ILR R07) data release (S02 SC data)
• April (ILR R08) review point, used for contacting providers
• May (ILR R09) review point, used for contacting providers
• June (ILR R10) review point, used for contacting providers
• July (ILR R11)
• August (ILR R12) review point, used for contacting providers
• September (ILR R13) review point, used for contacting providers
• November (ILR R14) used for calculating recoveries and reconciliation.

FRM01 - Learners repeating a previously achieved learning aim

Changes from previous funding year

None

Funding streams reviewed

• 19 to 24 traineeships
• Apprenticeships
• ESFA AEB
• Devolved AEB

Relevant guidance

Adult education budget - we will not fund a learner to repeat the same regulated qualification where they have previously achieved it. The exceptions are for any GCSE where the learner has not achieved grade C, or 4, or higher.

Apprenticeships - you must account for prior learning and experience when negotiating a price with the employer. You must reduce the content, duration, and price, where the individual has prior learning necessary to achieve the apprenticeship. Funds must not be used to pay for skills already attained by the apprentice.

What you need to do (providers)

Correct data, learner is ineligible.

For apprenticeships starting on or after 1 May 2017 (excluding English and maths), the negotiated price must reflect the prior learning identified. You must be able to demonstrate that enough learning is still required to meet the required minimum duration.

For any other learning aims, you must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

• For provision funded through a grant, this value will be recorded as an adjustment against your reconciliation statement. Provisional error values will be used for your year-end funding claim to alert you to any potential impact on your final position at R14.
• For provision funded through a contract, we will offset this value against future delivery.

FRM13 - Learners undertaking English and/or maths within an apprenticeship when they have already achieved level 1 or above

Changes from previous funding year

None

Funding streams reviewed

Apprenticeships from May 2017

Relevant guidance

We will fund an apprentice to achieve up to an approved level 2 qualification in English and maths where they do not already hold a suitable equivalent qualification.

Where the apprentice already holds approved level 1 qualifications: Apprentices must start, continue to study, and take the assessments for a level 2 English and/or maths (functional skills level 2 or GCSE). This requirement must be fulfilled before the apprentice takes the end-point assessment.

What you need to do (providers)

Correct data, learner is ineligible.

You must recode the aims with Funding model code 99 or follow the provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM16 - Learners who have achieved a full level 2 qualification (or higher) and are fully funded for a further level 2 entitlement aim

Changes from previous funding year

None

Funding streams reviewed

• ESFA AEB
• Devolved AEB

Relevant guidance

If a learner aged 19 to 23 has achieved a level 2 qualification that was at the time they started, or still is, classed as a full level 2, then any subsequent level 2 qualifications will be co-funded, including where the learner has achieved any qualification higher than level 2.

The only exception is where the learner is unemployed or funded through the low wage pilot and the relevant codes are correctly recorded in the ILR.

What you need to do (providers)

Correct data, learner is ineligible.

You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM17 - Learners who have achieved a full level 3 qualification (or higher) and are subsequently fully or co-funded for a further level 3 entitlement or adult offer aim

Changes from previous funding year

None

Funding streams reviewed

• ESFA AEB
• Devolved AEB

Relevant guidance

If a learner aged 19 to 23 has achieved a level 3 qualification that was at the time they started, or still is, classed as a full level 3, and wants to enrol on any subsequent level 3 qualification, of any size, they will have to either apply for an advanced learner loan or pay for their own learning, including where the learner has achieved any qualification higher than level 3.

The only exception is for unemployed or low wage learners as part of the level 3 free courses for jobs offer.

What you need to do (providers)

Correct data, learner is ineligible.

You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM19 - Traineeships where the learner has already achieved an apprenticeship or a level 4 qualification and above

Changes from previous funding year

None

Funding streams reviewed

• 16 to 18 traineeships
• 19 to 24 traineeships

Relevant guidance

A traineeship is for young people who have little or no work experience but are motivated to work and become qualified up to level 3.

What you need to do (providers)

Correct data, learner is ineligible.

You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM20 - Loans learning not being recorded in ILR

Changes from previous funding year

None

Funding streams reviewed

Advanced learner loans

Relevant guidance

You must accurately complete all ILR fields for loans-funded learners and make ILR returns as required in the ILR specification and the provider support manual. Where your data does not support the funding that you have received from SLC or claimed from the loan’s bursary, we will take action to get this corrected and could recover funds or require you to make repayments to the SLC.

Clause 23 of the Education & Skills Contract for Services states:

Funding for Advanced Learner Loans Facility and Bursary: “The Contractor will submit Learner Data to the Department to comply with Clause 23, Submission of Learner Data of the Contract. The data will be accurate and based on evidence or base documentation and align with the data submitted to the SLC by the Contractor. Failure to submit records for less than 95% of Learners and their learning supported by Advanced Learner Loans at any time during the delivery of this Service will be a Minor Breach of the Contract” relating to all Loans reports.

What you need to do (providers)

Review evidence, correct as necessary.

If the learner has passed the initial liability point for provision funded through an approved loan, you must ensure that you have recorded the aim with Funding model code 99 and the advanced learner loans indicator. You must not record a source of funding for this provision.

What we will do

Request evidence, determine action.

FRM21 - Loans learning not being reported by SLC

Changes from previous funding year

None

Funding streams reviewed

Advanced learner loans

Relevant guidance

You must not report the advanced learner loans indicator in the ILR if the learner did not pass the liability point and claim funding for any support costs, such as the loans bursary.

What you need to do (providers)

Review evidence, correct as necessary.

If the learner does not have an approved loan with SLC for their learning, or they withdrew before passing the initial liability point, you must remove the advanced learner loans indicator from the ILR and remove any loans bursary claim.

You must only report the advanced learner loans indicator once the learner has passed the initial liability point for provision funded through an approved loan.

What we will do

Request evidence, determine action.

FRM27 - Continuing or completed learning aims that are now reported as withdrawn on or before 31 July of the previous funding year

Changes from previous funding year

None

Funding streams reviewed

• 19 to 24 traineeships
• Advanced learner loans
• Apprenticeships
• ESFA AEB
• Devolved AEB

Relevant guidance

Provider support manual - The data you record on the ILR must accurately reflect the journey for the learner and what has happened. Inaccurate information must never be entered even where it is perceived that this would result in a more equitable claim for funding or accurate record of performance.

Adult education budget- The ILR must accurately reflect the learning and support (where applicable) you have identified, planned, and delivered to eligible individuals. You must not report inaccurate information that would result in an overstatement of the funding claimed.

Apprenticeships - When a change of circumstance results in over-payment of funds from an employer’s apprenticeship account or government-employer co-investment, any over-payment must be repaid by you.

Advanced learner loans - You must accurately complete all ILR fields for loans-funded learners and make ILR returns as required in the ILR specification and the provider support manual. Where your data does not support the funding, you have received from SLC or claimed from the loan’s bursary, we will take action to get this corrected and could recover funds or require you to make repayments to SLC.

What you need to do (providers)

Review evidence, correct as necessary.

Please note: You cannot change or remove the data in this report if it accurately reflects the evidence you hold. The purpose of the report is to give notice of potential clawback for any overclaim resulting from late reporting of the data.

You can pay this funding back through the EAS, recording a negative figure in the ‘authorised claims’ adjustment type. You do not need our permission to use this adjustment type to pay back funding, you only need permission to use this adjustment type for claiming funding. However, please let us know the learners that you are repaying funding for.

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM28 – Planned hours for students who start in-year and complete or leave learning within their initial 6-week period

Changes from previous funding year

We simplified this report at R09 2022 to 2023 to identify students who start in-year and complete or leave programmes within 6 weeks of their start date. Students continuing a study programme after the summer break who complete or leave within the first 6 weeks of the 6 September are now identified in the new FRM71 report rather than being included in this one.

Funding streams reviewed

• 16 to 19 study programmes
• 16 to 18 traineeships
• T Levels

Relevant guidance

If the programme content changes within the first 6 weeks of the programme, the institution must update the planned hours.

For students who complete or leave learning within the first 6 weeks of their programme, the institution must revise the planned hours to the planned hours for the student’s actual period of attendance.

What you need to do (providers)

Review evidence, correct as necessary.

When a student withdraws from one or more aims within the first 6 weeks of a programme, you must remove all planned hours for the aim from the total planned hours, unless excluding the hours already delivered within the first 6 weeks would make a material difference to the student’s funding band. In those cases, you can include the hours already delivered in the planned hours.

What we will do

Request evidence, determine action.

FRM29 - Students who complete or leave learning on or just after the qualifying period for funding

Changes from previous funding year

None

Funding streams reviewed

• 16 to 19 study programmes
• 16 to 18 traineeships
• T Levels

Relevant guidance

Providers must have evidence that individual students were undertaking the specified study programme during the learning period for which funding and retention is being recorded.

What you need to do (providers)

Review evidence, correct as necessary.

You must ensure that the learning actual end date accurately reflects the evidence you hold.

What we will do

Request evidence, determine action.

FRM30 - Students with more than 40 planned hours a week

Changes from previous funding year

We updated this report at R09 2022 to 2023 to identify students who have study hours greater than the legal maximum of 40 hours per week. Previously it identified students with 35 and over hours per week. We changed this to align with the maximum number of hours a young person can legally work during a week.

Funding streams reviewed

• 16 to 19 study programmes
• 16 to 18 traineeships
• T Levels

Relevant guidance

Planned hours must take place in line with the institution’s normal working pattern.

The number of hours a student may study should not be greater than the legal maximum of 40 hours per week and both the study programme’s planned hours and planned dates will need to reflect this.

If the student is on a 16 to 19 study programme that spans more than one funding year, the planned hours recorded in the data return must be set at the start of each funding year to only reflect the planned hours for the funding year.

If the student is on a T Level programme, the total planned hours (covering the whole planned two-year duration) must be recorded in the data return at the start of their programme. The total hours must be reported in both years 1 and 2 to retain the correct funding band.

What you need to do (providers)

Review evidence, correct as necessary.

You must ensure that the planned hours entered on data returns are realistic and deliverable to each individual student and are supported by auditable evidence that the eligible activity offered to students is timetabled and exists.

You must adjust the planned learning hours to ensure that the student is not studying more than 40 hours per week.

What we will do

Request evidence, determine action.

FRM37 – Apprenticeship off-the-job training hours below the minimum

Changes from previous funding year

Updated to incorporate updated funding rules for new starts from 1 August 2022.

Funding streams reviewed

Apprenticeships from May 2017

Relevant guidance

For starts from 1 August 2022: to be eligible for government funding at least 20% of the apprentice’s normal working hours, capped at 30 hours per week (for funding purposes only), over the planned duration of the apprenticeship practical period, must be spent on off-the-job training. For apprentices working 30 hours or more per week, this is an average of 6 hours of off-the-job training per week (i.e., 20% of 30 hours) over the planned duration.

For starts prior to 1 August 2022: to be eligible for government funding at least 20% of the apprentice’s normal working hours, over the planned duration of the apprenticeship practical period, must be spent on off-the-job training.

For all apprentices: the minimum requirement for a part-time apprentice is 20% of their normal working hours over an extended duration.

English and maths training, up to and including level 2, does not count towards the minimum 20% off-the-job training requirement; where required this must be delivered in addition to the minimum requirement.

What you need to do (providers)

Review evidence, correct as necessary.

From 1 August 2022, to be eligible for government funding at least 20% of the apprentice’s normal working hours, capped at 30 hours per week (for funding purposes only), over the planned duration of the apprenticeship practical period, must be spent on off-the-job training. This means that the minimum requirement, for apprentices working 30 hours or more per week is an average of 6 hours of off-the-job training per week (i.e., 20% of 30 hours) over the planned duration.

What we will do

Request evidence, determine action.

FRM38 – Learners undertaking English and/or maths within AEB when they have already achieved their legal entitlement

Changes from previous funding year

Previously an internal report

Funding streams reviewed

Adult education budget (National)

Relevant guidance

Please refer to the Adult education budget (AEB) funding rules 2022 to 2023.

We will fully fund individuals, including individuals who are employed, aged 19 or older, who have not previously attained a GCSE grade 4 (C), or higher, in English and maths, as part of their legal entitlement on the day they start the following qualifications:

• GCSE English language or maths
• Functional Skills English or maths from Entry to level 2
• Stepping-stone qualifications (including components, where applicable) in English or maths approved by DfE

If a learner has already achieved their GCSE English and/or maths at grade 4 (C), or higher, they have met their entitlement in that subject and are ineligible for further funding.

What you need to do (providers)

Correct data, learner is ineligible.

You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).

What we will do

If there are errors outstanding in this report at R14, we will recover any funding overclaim.

FRM42 - Work experience over 300 hours not recorded as core aim

Changes from previous funding year

None

Funding streams reviewed

• 16 to 19 study programmes
• 16 to 18 traineeships

Relevant guidance

Study programmes should be individually tailored, but will typically combine one or more substantial academic, applied, or technical qualifications that prepare the student for further education (FE) or employment, or a substantial work placement to prepare the student for an apprenticeship or other employment. The core aim will usually be the component that has the largest number of planned hours and typically reflects the primary focus of the programme in line with the student’s intended destination. For study programmes, if this is work experience, this is what should be recorded as the core aim unless a more substantial qualification is being delivered in addition to that. 16 to 18 traineeships must always have work experience as the core aim.

What you need to do (providers)

16 to 19 study programmes – if you are not delivering a more substantial qualification as part of the student’s programme, you must report the work experience aim we have identified as the core aim. This means changing the Aim type field on the core aim to Aim type 5 and changing the component aim to Aim type 3 to indicate it is a part of the student’s programme.

16 to 18 traineeships – you must have work experience recorded as the core aim using the learning aim reference ZWRKX001. This means changing the Aim type field on the core aim to Aim type 5 and changing the component aim to Aim type 3 to indicate it is a part of the student’s programme. If the core aim is completed in year one, this aim should continue to be returned in year two.

What we will do

Request evidence, determine action.

FRM43 – 16 to 19 study programme students on qualifications with no planned learning hours

Changes from previous funding year

We updated this report at R09 2022 to 2023 to identify students enrolled on qualifications where no planned learning hours are recorded. Previously it identified students without additional needs with no planned learning hours. We have simplified this report to remove the previous overlap with FRM69 and include all students.

Funding streams reviewed

16 to 19 study programmes

Relevant guidance

Every student on a qualification must have Planned learning hours (PLH) recorded. The PLH must be finalised and confirmed as correct within the funding qualifying period and by the end of this period the PLH must reflect the timetabled activity the student is planning to undertake for the duration of the funding year. If the student is on a study programme that spans more than one funding year, the planned hours, recorded in the data return, must be set at the start of each funding year (see ILR Specification 2022 to 2023: Field: Planned learning hours (submit-learner-data.service.gov.uk) or Complete the school census).

What you need to do (providers)

Check that you have correctly recorded planned learning hours for any qualifications being delivered.

For 16 to 19 funded students, the planned learning hours field should be completed with the total planned timetabled hours spent on qualifications. These qualifications must be approved for teaching to 16- to 19-year-olds on the ESFA list of qualifications approved for funding 14 to 19, or any alternative list which may be published by the Department for Education (DfE) in the future. The qualifications must also be listed as valid for 16 to 19 funding in Find a learning aim. Providers must ensure that the planned hours entered on data returns are realistic and deliverable to each individual student and are supported by auditable evidence that the eligible activity offered to students is timetabled.

What we will do

Request evidence, determine action.

FRM49 – T Level programmes not recorded against an approved T Level funding band

Changes from previous funding year

Previously an internal report

Funding streams reviewed

T Levels

Relevant guidance

The T Levels funding guide for 2022 to 2023 publishes the funding bands for T Levels and the minimum planned hours for each band. We expect that institutions will deliver at least the minimum hours for all students.

If you have reported less than the minimum hours, you will need to deliver and record more EEP and/or qualification hours/teaching to meet the minimum hours for the band. If you do not do this, then you will receive funding for a lower band.

Refer to the guidance ‘Record your T Level data correctly’ that was updated in March 2023.

What you need to do (providers)

Review evidence, correct as necessary.

A programme aim is an overarching programme level learning aim that spans the whole programme, is used to calculate funding elements for the T Level programme and is recorded using the learning aim ZPROG001. You must record this at the beginning of the T Level programme. The total planned hours for the whole 2-year T Level programme must be reported against this aim in both years 1 and 2.

There may be a small number of exceptional circumstances where it is appropriate to plan to deliver fewer than the minimum number of hours. This may be where the student has already completed the learning required, for example a level 2 qualification in a related subject. In such cases and where you consider sufficient prior learning has taken place and studying the full content of the T Level is unnecessary, a lower number of planned hours should be recorded, and the funding rate for the appropriate lower band will apply.

We expect T Level programmes to be 2 years in duration; your T Level programme aim should have start and planned end dates spanning the whole 2-year duration. Your T Level component aims should have start and end dates that fall within the duration of the T Level programme aim.

We need to know how many hours are planned for each student for the whole programme. This is different to study programmes where you record the hours planned for each academic year. We have set up separate planned hours fields for T Level programmes to ensure the different methods of recording planned hours do not get confused:

In the ILR

Record planned hours in the planned hours (phours) field for the whole T Level programme against the T Level programme aim only. You must not record planned hours against any T Level component aims.

In the school census

Record planned hours in the T Level planned learning hours and T Level planned employability, enrichment and pastoral hours for the whole T Level programme.

Additional hours

We are funding 40 additional learning hours per year for T Level students. These additional hours must be recorded in your 2022 to 2023 data return as part of your total planned hours.

T Levels are 2-year programmes, so you will need to deliver an additional 80 hours over the whole programme for students who commenced their T Level in 2022 to 2023.

Where students commenced their T Level in 2021 to 2022 you will need to deliver an additional 40 hours.

What we will do

Request evidence, determine action.

FRM56 – 16 to 19 study programmes with planned learning hours but no regulated qualifications

Changes from previous funding year

None

Funding streams reviewed

16 to 19 study programmes

Relevant guidance

All 16 to 19 study programmes should be designed to provide students with a structured and challenging learning programme that supports their development and progression in line with their career plans.

The planned learning hours field is an annual field and must be updated at the start of each funding year, with the total planned timetabled hours spent on qualifications from the List of Qualifications approved for funding only. It is important to ensure that the planned hours reflect, as accurately as possible, the timetabled activity the learner is planning to undertake for the duration of the funding year. Other timetabled hours for non-qualification activity that make up a study programme for a learner with learning aims, should be recorded in the Planned employability, enrichment, and pastoral hours field. The ESFA expects non-qualification activity to be a coherent part of study programmes which support the delivery of nationally recognised qualifications for all students.

What you need to do (providers)

Review evidence, correct as necessary.

Students for whom a technical or applied qualification is the most appropriate route to their career goal are expected to study at least one substantial qualification. You should plan to deliver these and report them in your data returns to us. If you are delivering qualifications to the student in the current funding year, you must ensure these are reported to us.

If you are not delivering any qualification hours in the current funding year, this field should be reported as 0.

Non-qualification learning aims should be recorded in the Planned employability, enrichment, and pastoral hours field, along with any other non-qualification activity that makes up the learner’s study programme.

What we will do

Request evidence, determine action.

FRM65 – T Level industry placements below the minimum hours for the specialism

Changes from previous funding year

We improved how this report works at R09 2022 to 2023 to identify T Level programmes in their second academic year where the industry placement hours are below the minimum for the specialism. Previously it identified the industry placement aim. The updated report now shows T Level programme aims that are in year two and the total industry placement hours for the programme.

Funding streams reviewed

T Levels

Relevant guidance

Please refer to the T Level industry placements: delivery guidance. Every student must complete a substantial industry placement as part of their T Level programme.

The duration must be for a minimum of 315 hours which can include up to 35 hours of work taster activities, if relevant to all the occupational specialisms within the T Level. These hours can be counted in addition to the (up to two) other employer(s) providing the bulk of the placements. The only exception currently is the Early Years Educator occupational specialism, within the Education and Childcare T Level, that must be for a minimum of 750 hours. There is no upper limit to the number of hours.

Refer to the guidance ‘Record your T Level data correctly’ that was updated in March 2023.

What you need to do (providers)

Review evidence, correct as necessary.

Record the planned industry placement hours (315 or 750) for the 2-year programme in the ZWRKX003 learning aim field on the ILR. Do not record an actual figure or annual hours. This can be recorded in year 1 or 2 of the programme. A single placement can be split across a maximum of two employers.

In exceptional circumstances where you are unable to secure placements of 750 hours for T Level students who started on the Early Years Educator Occupational Specialism in September 2020, we have reduced the minimum placement hours to 415 hours to recognise the exceptional circumstances of the pandemic. This temporary flexibility is extended to students who started on the Early Years Educator Occupational Specialism in September 2021 and ends in July 2023.

You must continue to plan to deliver the early years placements of 750 hours (and record 750 planned hours) over the 2-year delivery period and do your best to achieve these hours.

The industry placement learning aims must have a corresponding work placement entity record (or records if there are multiple episodes) returned which provides more detail about the industry placement.

What we will do

Request evidence, determine action.

FRM69 – Proportion of planned Employment, Enrichment and Pastoral (EEP) hours is greater than or equal to 50% of total planned hours and student is not identified as requiring additional learning support

Changes from previous funding year

Previously an internal report until R12 2021 to 2022

Funding streams reviewed

• 16 to 19 study programmes
• 16 to 18 traineeships
• T Levels

Relevant guidance

This report does not include students who have been identified as requiring additional learning support through an EHC plan, SEN, high needs top-up, or self-declared LLDD and health problems.

All 16 to 19 study programmes should be designed to provide students with a structured and challenging learning programme that supports their development and progression in line with their career plans. Students for whom a technical or applied qualification is the most appropriate route to their career goal are expected to study at least one substantial qualification. We expect non-qualification activity to be a coherent part of study programmes which support the delivery of nationally recognised qualifications for all students.

Additional funding audit attention will be made where the amount of EEP activity being funded makes up more than half the study programme funding.

What you need to do (providers)

Check that you have correctly recorded planned learning hours for any qualifications being delivered.

For non-qualification activity to be eligible for funding, institutions must be able to evidence that they have incurred a cost in delivering the activity that is proportionate to the amount of funding attracted by the recording of the hours for non-qualification activity. You must also be able to demonstrate how non-qualification activity improves either progression to further levels of study or entry into employment and be able to record evidence of good educational reason for individual students recruited to programmes which do not provide progression. All such students should only make up a small percentage of the total student cohort.

What we will do

We will review the data in these reports regularly as part of our commitment to supporting high quality provision. We will contact providers, from R04, if we identify clear patterns of inaccurate data. We may ask you to provide evidence of how you calculated and delivered the work experience; planned learning; and/or EEP hours and could require you to take further action in-year to ensure you submit accurate data. We may ask you to provide evidence of how the content of the learner’s programme demonstrates progression.

FRM71 – Planned hours for continuing students who complete or leave learning within 6 weeks of the 6 September

Changes from previous funding year

This is a new report from R09 2022 to 2023 as part of simplifying FRM28. This report identifies students continuing a study programme after the summer break who complete or leave within 6 weeks from the 6 September. Students who start their study programme in-year are identified in the FRM28 report.

Funding streams reviewed

• 16 to 19 study programmes

• 16 to 18 traineeships

• T Levels

Relevant guidance

Institutions must work out the planned learning hours (PLH) for a student’s study programme when they are first enrolled. If the student is on a study programme that spans more than one funding year, the PLH recorded in the data return must be set at the start of each funding year.

For students who continue a study programme after the summer break, institutions must update the PLH if they withdraw from any (or all) learning aims within the first 6 weeks of actual attendance.

What you need to do (providers)

Review evidence, correct as necessary.

When a student withdraws from one or more aims within the first 6 weeks of a programme, you must remove all planned hours for the aim from the total planned hours, to reflect the student’s actual period of attendance. The only exception is where if you excluded the hours already delivered within the first 6 weeks then it would make a material difference to the student’s funding band, in those cases you can include the hours already delivered in the planned hours.

What we will do

Request evidence, determine action.

Other areas that we are monitoring internally

We will not publish an external report for these initially where these reports are new areas. We will monitor internally to support the development of future systems and policy, and to identify specific scenarios which may be covered by an external report in the future. We may contact you to better understand data, and if we identify any behaviour that indicates a potential funding risk.

Multiple funding streams

Duplicate learning aims being delivered at two or more providers.

16 to 19 study programmes

Learners who are also funded elsewhere.

Compressed delivery of study programmes.

Adult education budget

Local flexibility and legal entitlements, to ensure data accuracy and eligibility for local flexibility funding.

Prior attainment and progression relating to the level 3 free courses for jobs offer, to ensure data accuracy and eligibility for funding.

Advanced learner loans

Data quality, to ensure data reported in the ILR and via the SLC is consistent and learners are not over-exposed to debt. This includes monitoring withdrawals and other learner changes that should be reported in a timely manner to the SLC.

Apprenticeships

Learners not achieving English and/or maths prior to completing their programme, to ensure data accuracy and quality of delivery.

Community Learning, Bursary, and Prince’s Trust

To ensure cost effective programmes are being delivered to learners, and data is recorded correctly in the ILR.