Guidance

Local authorities adult education budget and apprenticeship funds return and 16 to 19 funds return 2019 to 2020

Published 27 April 2020

This guidance was withdrawn on 16 November 2023

This has been withdrawn as the guidance refers to a previous funding year.

1. Introduction

Education Skills Funding Agency (ESFA) funded local authorities (LA) for the financial year 1 April 2019 to 31 March 2020 to deliver learning to young people in England. LAs are required to submit their Chief Financial Officer (CFO) signed return to ESFA in respect of funds received. This requirement is specified in the Post-16 audit code of practice between LAs and ESFA. This guide explains how to complete and submit the return.

This guidance relates to the stage 1 return that LAs will need to complete for the funding received from ESFA for the financial year 1 April 2019 to 31 March 2020. LAs must submit both returns to ESFA by using ESFA’s Document Exchange portal.

We will be collecting further returns for the financial year 1 April 2019 to 31 March 2020 at the end of October 2020. We will publish further guidance in September 2020.

2. Guide to completing your return

2.1 Statement

• there are 2 forms to complete:
• AEB and apprenticeship funds return at Annex 1; and
• 16 to 19 funds return at Annex 2

The CFO must certify both returns.

Annex 1 and Annex 2: AEB and apprenticeship funds return / 16 to 19 funds return

Within the ‘Exceptions’ section of Annex 1, please confirm whether there have been any exceptions to date, by selecting ‘Yes’ or ‘No’.

If ‘Yes’, please provide details of the exception(s); this should detail the funding streams, providers’ names, values of funding affected including reasons for the exception and any other relevant information. This section should also detail any instances of fraud/theft against the local authority and the value involved.

Please do not alter the wording of the return. There is no requirement for the return to be audited, but the return may be subject to review by LA external auditors, at their discretion.

3. Submit your return

Your completed returns for the 2019 to 2020 financial year to ESFA’s needs to be uploaded to ESFA’s Document Exchange.

You can access ESFA’s Document Exchange portal by logging onto Manage Your Education and Skills Funding service.

Please submit your CFO signed returns to us by uploading it to ESFA’s Document Exchange by 22 May 2020. To do this, download and print AEB and apprenticeship funds return (Annex 1) and 16 to 19 Funds Return (Annex 2), physically sign it and save it in a pdf format. With the current Covid 19 situation, some Chief Financial Officers may not be in a situation where they are able to print, sign and scan the document for return. If that is the case, we will exceptionally accept an electronic signature. Please ensure the Chief Financial Officer supplies a separate email to this email address AcademiesFinancialMonitoring.EFA@education.gov.uk confirming the signature.

From the Document exchange portal, you then select ‘send a new document’, choose ‘grant assurance’ document type, upload the CFO signed AEB and apprenticeship funds return (Annex1) and 16 to 19 Funds Return (Annex 2), pdf version and select ‘send’.

You can review documents you’ve sent by selecting ‘documents you’ve sent to ESFA’ from the main Document Exchange page.

You can only view and send the documents if you have the Document Exchange role. You can request this role:

• through IDAMS (the Identity and Access Management Service) – or
• by asking your organisation’s super user

Please note: we populate a national spreadsheet direct from this return. We ask that you do not amend the format or include links. This helps our data input and validation processes.

If you have any questions about your returns, please use our online enquiry form.

4. Scope

Only the payments made by ESFA to LAs are within the scope of this return. LAs are the assurance lead for these organisations and are therefore responsible for the assurance of these funds.

This guidance relates to the return required by ESFA. ESFA requires only a general statement of assurance for the period covered by this return. LA Chief Finance Officer’s (CFOs) can view the 16 to 19 education funding allocations from ESFA and funding guidance for young people for the 2019 to 2020 academic year. LA CFOs can also view the adult education funding allocation from ESFA for the 2019 and 2020 academic year.

Apprenticeship Levy funding paid to LAs from 1 May 2017, which is not part of the funding allocations from ESFA, is also within the scope of this return.

Under Post-16 audit code of practice, LAs are responsible for the assurance of other funds paid to LA controlled providers and schools with sixth forms. This includes any funding received from the Office for Students and ESFA. Funding received from the European Social Fund via ESFA is outside the scope of these provisions. ESFA is responsible for the assurance return for funds received by LAs under Post-16 audit code of practice.

5. Additional information

If you have any questions about your returns or need further information on the updated process please contact us using the online enquiry form.