Provider Support Manual 2020 to 2021

Additional guidance for apprenticeship frameworks and standards recorded on Funding model 36

Additional guidance for apprenticeship frameworks and standards recorded on Funding model 36

All funded apprenticeship programmes (including both frameworks and standards) started on or after 1 May 2017 are recorded on Funding model 36.
Source of funding of SOF105 must be recorded in the Learning Delivery FAM fields on all funded aims for these apprenticeships.
From 1 April 2021, all new apprenticeship starts will be funded through the apprenticeship service
For apprenticeship programmes started on or after 1 May 2017, the collection requirements for some ILR fields are affected by the contract you have for delivery of the apprenticeship. The contract will be either:
  • A contract for services with the employer (an employer on the apprenticeship service or an employer which has had levy transferred to them for that apprentice) This will occur where the employer who has employed the apprentice has a pay bill over £3million and is consequently required to contribute to the apprenticeship levy.
  • A contract for services with the Education and Skills Funding Agency. (a non-levy paying employer without an account on the apprenticeship service when the apprenticeship started) This will occur where the employer who has employed the apprentice does not have a pay bill over £3million and so is not required to contribute to the apprenticeship levy.
The Funding adjustment for prior learning field may be used, if applicable, for English and maths learning aims. The funding adjustment is applied to monthly funding instalments, including balancing payments were applicable.
The following guidance should be read alongside the apprenticeship funding and performance management rules and the apprenticeship technical funding guide for starts from May 2017.

Funding model 36: Unique learner number and National Insurance number

For apprenticeships funded through a contract for services with the employer (identified by recording Learning Delivery FAM code ACT1), you must have a ULN for the apprentice at the point you record them on the ILR. You cannot record a temporary ULN of 9999999999 for these apprentices.
You must also complete the NI number for these apprentices (where Learning Delivery FAM = ACT1).
The completion of these fields is enforced by validation rules.

Funding model 36: Learning Delivery FAM Eligibility for enhanced apprenticeship funding

For apprenticeships funded through Funding model 36, the Learning Delivery FAM type ‘Eligibility for enhanced apprenticeship funding’ (EEF) should be used to indicate eligibility for additional payments.

EEF code 2

Entitlement to 16-18 apprenticeship funding where the learner is 19 or over.
Record EEF code 2 when:
  • the apprentice is restarting a programme on or after their 19th birthday and was aged 16 to 19 when they originally started.
  • the apprentice is aged 19-24 and has an EHC plan.
  • The apprentice has transferred to a new apprenticeship pathway within the same framework, was aged 16-18 at the start of the programme, and is aged 19+ when they transfer to the new pathway. This only applies when the original programme was funded through Funding model 36.

EEF code 4

Entitlement to extended funding for apprentices.
Record EEF code 4 when the apprentice has been in the care of the local authority as defined in the Funding Rules.
If an apprentice started their programme aged 18 and then is 19+ when they start one of their component aims within the programme, an EEF code is not required.
If an apprentice is recorded with the FAM type EEF due to restarting their programme, then the Restart indicator (RES) must also be recorded in the Learning Delivery FAM fields.

Apprenticeship contract type (ACT)

The apprenticeship contract type identifies the contract type under which an apprentice is being funded and the party with which you have a Contract for Services to deliver the apprenticeship programme.
From 1 April 2021, all new apprenticeship starts will be funded through the apprenticeship service .

For starts prior to 1 April 2021, the contract will be with either an employer with an account on the apprenticeship service or a contract with the ESFA, without an account on the apprenticeship service (a non-levy paying employer).
The Apprenticeship contract type (ACT) FAM type must be recorded on all apprenticeship programme aims, and English and maths component aims.
You must also complete the Date applies from field; the Date applies from for the first ACT record must be the same as the Learning start date. The Date applies to field should only be completed when either:
  • you need to add a new ACT record with a later Date applies from, or
  • the aim has been closed and the Learning actual end date returned.
If there is a change in the Apprenticeship contract type during the programme, then a new ACT record must be added in the Learning Delivery FAM fields:
  • Return the ‘Date applies to’ field on the previous ACT record with the date that day before the change in contract type came into effect.
  • Create a new ACT record on the programme aim and English and maths component aims with a ‘Date applies from’ of the day after the ‘Date applies to’ on the previous ACT record.
  • Do not amend the learning aim record.
The ACT records for the programme aim and English and maths aims for the same apprenticeship programme must all have the same FAM code (either ACT1 or ACT2). At any point in time, an apprentice cannot be recorded on both ACT1 and ACT2: the codes recorded on their aims must be the same.
Example
An apprentice starts their apprenticeship on 1 September 2019 with a planned duration of 13 months, and with an employer on the apprenticeship service through a contract for services with the employer.
  • A Learning Delivery FAM record will be recorded with code ACT1, the Date applies from will be 1 September 2019.
On 4 December 2019, the apprentice changes employer to an employer that is not on the apprenticeship service and is funded through a contract for services with the ESFA non-levy paying employer,
  • a Date applies to of 3 December 2019 is recorded on the existing ACT record. A new ACT record with code ACT2 is added, the Date applies from is recorded as 4 December 2019.
The apprentice is also taking an English aim as part of their apprenticeship, this aim starts on 10 January 2020 and is planned to finish at the end of the programme.
  • A Learning Delivery FAM record will be recorded on this aim with code ACT2, the Date applies from will be recorded as 10 January 2020.
If there are multiple ACT records on a learning aim, then they must have consecutive Date applies to and Date applies from dates.

Funding model 36: recording financial data

You must return financial details about the programme in the Apprenticeship Financial Record dataset. This information is used to calculate funding for the apprentice.
Each apprenticeship programme will have a number of separate financial records associated with the programme aim.
You must ensure that data in the Apprenticeship Financial Record dataset is accurate and complete. In particular, please ensure that the financial amounts and dates recorded are correct as these will impact on funding.
The Apprenticeship Financial Record dataset contains the following four fields.
1. Apprenticeship financial type: indicates the type of financial information being recorded
  • TNP identifies negotiated price details
  • PMR identifies cash payment records
2. Apprenticeship financial code: identifies different types of TNP or PMR records.

3. Apprenticeship financial record date: is the date associated with the financial record.
  • The date on a TNP record is the date that the price applies from
  • The date on a PMR record is the date on which the payment is received from the employer. For a reimbursement payment, the PMR date is the date on which the payment is sent to the employer.
4. Apprenticeship financial amount: is the amount of money recorded on the financial record. This is the actual amount in pounds, to the nearest whole pound. This value does not include VAT.

There are two financial types that can be recorded:
  • Total negotiated price (TNP): this is the total price agreed between the employer and provider as the cost to the provider for the delivery of the apprenticeship programme.
  • Payment record (PMR): this is used to record co-investment contributions from the employer to the training provider or (for standards only) for the end point assessment organisation. Co-investment contributions reimbursed to the employer are also recorded as payment records.
Codes available for each financial type:
TNP
  • TNP code 1 Total negotiated training cost
  • TNP code 2 Total negotiated end point assessment cost – apprenticeship standards only
PMR
  • Code 1 Payment record of cash contribution made by employer to provider for training costs
  • Code 2 Payment record of cash contribution made by employer to provider for assessment costs – apprenticeship standards only
  • Code 3 Employer payment for training or assessment reimbursed by provider. This must not be used to record transfer of payments to the employer.
At the start of the apprenticeship programme, you must record the price agreed between you and the employer. For apprenticeship standards, this should be recorded using two TNP records: one for the negotiated price for training (TNP1 or 3) and one for the negotiated price for the end point assessment (TNP2 or TNP4) as agreed between you and the employer. For apprenticeship frameworks, you only need to record the negotiated price for training (TNP1 or 3).
The assessment price (TNP2 or 4) must not be recorded until the end point assessment organisation has been identified. If the assessment price and end point assessment organisation have not been agreed at the start of the programme, then this can be recorded on the ILR at a later point; an estimated assessment cost should not be recorded.
The assessment price and organisation must be recorded on the ILR before any assessment co-investment payments (PMR2) can be recorded.
After a residual price (TNP3 or 4) has been recorded for a programme, any subsequent price records for that programme must also be residual prices. You must not record a new total price (TNP1 or 2) after recording a residual price for the same programme.
The financial record date for the initial record(s) must be the start date of the apprenticeship programme aim.
The total of the financial amount(s) recorded on the apprenticeship programme aim for the negotiated price (TNP) records must equal the total cost to deliver the apprenticeship programme.
Financial amounts recorded on the ILR do not include the following:
  • Value added tax (VAT)
  • Additional payments which may be payable to you or to the employer
  • Costs of learning support, or
  • Costs of delivering English and/or maths up to level 2.
There are some scenarios, following a change in circumstances, in which you must record the total price for the remaining amount of training and/or assessment to be delivered.
If the employer is making co-funding contributions, you must record these on the ILR when you receive them using a payment (PMR) record. You must record a separate payment record for each payment that the employer makes to you. The record must include the date you received the payment from the employer and the amount of the payment.
Payment records must only be used to record co-investment payments actually received from the employer.
If you are a provider delivering an apprenticeship to your own employees, then you do not need to record co-investment payments on the ILR. In this circumstance, you must record code LDM356 ‘Apprenticeship being delivered to own employees’ in the Learning Delivery Funding and Monitoring fields on the apprenticeship programme aim.
All Financial amounts recorded on the ILR must be recorded in pounds, to the nearest whole pound, and must not include the VAT element where this exists.
Employers are required to make co-investment cash contributions in the following circumstances:
  • The employer is not on the apprenticeship service and is funded through a contract for services with the ESFA, a non-levy paying employer and the apprentice is funded through co-investment
  • The employer is a levy paying employer who has spent all of their digital account funds and so the apprenticeship is being fully or partially funded through co-investment
  • The negotiated price for the apprenticeship exceeds the funding band, the employer is responsible for the price that is over the funding band.
Example
An apprentice starts a Software Developer apprenticeship standard programme on 1 August 2019 with a planned end date of 1 November 2020.
A price for training of £13,000 is agreed prior to the start of the programme, this value is the total cost to the provider for the entire 15 months of the programme.
A price for the end point assessment of £3,250 is also agreed prior to the start of the programme.
The lead provider records two financial records on the ILR: one with code TNP1 and one with code TNP2. Both of these records have a Financial record date of the start date of the apprenticeship programme (1 August 2019).
Recorded as:
  • TNP 1 01/08/2019 13000
  • TNP 2 01/08/2019 3250
Refer to the Apprenticeship technical funding guidance for starts from May 2017 for details about how funding is calculated for the programme.
For more information about apprenticeship funding and employer payments, refer to the apprenticeship funding rules.

Additional payments

Additional payments, as defined in the funding rules, are automatically calculated from your ILR records: you do not need to record any extra information to generate these payments.
If you receive any additional payments, these must not be recorded in the Apprenticeship Financial Record.

Funding model 36: recording learning outcomes

You must regularly complete and update the ILR to reflect progress in the apprentice’s programme.
In the scenario where an apprentice undertakes an aim as part of the apprenticeship programme, finishes their learning for the aim, then takes the assessment (if required for the aim) and fails, then this aim should be closed, it’s outcome must be recorded as not achieved. Where this apprentice is identified as needing further support or additional learning in order to pass the assessment, a new learning aim should be recorded as a restart. However, if no further learning is required and the apprentice is only resitting the assessment, then a new aim must not be recorded.

Recording apprenticeship framework completions

For apprenticeship frameworks, you must record the following when the apprenticeship has been completed:
  • All the component learning aims within the programme must be closed with the Learning actual end date set to the date of the last learning activity for the aim(s).
  • The programme aim should be closed with the Learning actual end date recorded as the date of the last learning activity for the entire programme.
  • The Date applies to must be recorded on the latest Apprenticeship contract type FAM record as the same date as the Learning actual end date for the programme aim.
When the apprenticeship framework is achieved, the aims must be updated as above and the Outcome on the programme aim recorded as code 1 ‘Achieved’.
All open and closed learning aims that are part of the apprenticeship framework programme must be returned on the ILR until the framework is completed.

Recording apprenticeship standard completions

For apprenticeship standards that complete their learning on or after 1 August 2019, when all of the training and end point assessment elements have been completed, the following should be recorded:
  • All the component learning aims within the programme must be closed with the Learning actual end date set to the date of the last learning activity for the aim(s).
  • The programme aim must be closed with the Learning actual end date recorded as the date the training period for the programme was finished, not including the end point assessment period.
  • The programme aim must be updated with the Achievement date recorded as the date the end point assessment period for the programme was completed, whether the outcome was a success or a failure.
  • The Date applies to must be recorded on the latest Apprenticeship contract type FAM record as the same date as the achievement date for the programme aim.
When the training period for the apprenticeship standard is complete, but the end point assessment period is incomplete, the Outcome must be recorded as code 8 ‘Learning activities are complete but the outcome is not yet known’. Where the Outcome is recorded as code ‘8’, the learning actual end date must also recorded, as all learning activities have taken place.
When the end point assessment period for the apprenticeship standard is complete, the Outcome field must be updated accordingly. If the apprenticeship standard has resulted in a failure at the end point assessment, the Outcome on the programme aim must be recorded as code 3 ‘No achievement’. If the apprenticeship standard is successfully achieved following the end point assessment, the Outcome on the programme aim must be recorded as code 1 ‘Achieved’.
All open and closed learning aims that are part of the apprenticeship standard programme must be returned on the ILR until the standard is completed.
In order to be recorded as ‘Completed’ (Completion status code 2), both the training and end point assessment activities for the programme must be completed. An end point assessment that has resulted in a failed outcome can be classed as complete as long as the learner reaches the end of the end point assessment period, rather than withdrawing. If either of these have not been completed, then the programme aim cannot be recorded with Completion status code 2.