Provider Support Manual 2020 to 2021

Guidance for all apprenticeship programmes

Recording employment status for apprenticeships

Employment status data is used to monitor and ensure eligibility for funding for apprentices; you must complete the employment status records accurately.
For all apprentices, you must return an employment status record for the apprentice’s employment status prior to the start of their apprenticeship programme.
A new employment status record with a Date employment status applies of the first day of the apprenticeship programme must be added if:
  • The apprentice was unemployed prior to starting the programme, or
  • The apprentice was employed with a different employer prior to starting their programme.
All apprentices must have an employment status record that applies on the first day of their programme with an employment status of ‘In paid employment’ (Employment status code 10).
Examples

Apprentice who is employed with a different employer prior to starting the programme

A learner starts an apprenticeship programme on 28 September 2019 with ABC Engineering. The learner was employed in the week prior to starting the apprenticeship with a different employer.
  • An Employment status record with a date prior to 28 September 2019 is recorded with a status of ‘In paid employment’ (code 10). No Employer identifier needs to be recorded.
  • A second Employment status record with a date of 28 September 2019 is recorded with a status of ‘In paid employment’ (code 10). The Employer identifier for ABC Engineering is recorded.

Apprentice who is unemployed prior to starting the programme

A learner starts an apprenticeship programme on 15 September 2019 with ABC Engineering. The learner was unemployed and looking for work prior to starting the apprenticeship.
  • An Employment status record with a date prior to 15 September 2019 is recorded with a status of ‘Not in paid employment and looking for work and available to start work’ (code 11).
  • A second Employment status record with a date of 15 September 2019 is recorded with a status of ‘In paid employment’ (code 10). The Employer identifier for ABC Engineering is recorded.

Apprentice who changes employer and progresses to a second apprenticeship programme

A learner progresses from an Intermediate-level apprenticeship framework to an Advanced-level apprenticeship framework. On 4 June 2020 with a new employer (DEF Engineering).
  • A new Employment status record with a date of 4 June 2020 is recorded with a status of ‘In paid employment’ (code 10). The Employer identifier for DEF Engineering is recorded.
If there is any change in the apprentice’s employment status or employment status monitoring during their programme, then a new employment status record must be added to accurately record this. For example, a new record must be added if the apprentice changes employer, changes their hours of work, or ceases to be employed.
There are circumstances in which a change to an apprentice’s employment status will make the apprentice ineligible for funding; refer to the applicable Funding Rules for details.
Small employers (as defined in the applicable Funding Rules) should be identified on the ILR by recording the code SEM1 in the Employment Status Monitoring fields. You do not need to identify small employers on the ILR for frameworks recorded on Funding Model 35.

Recording learning aims for apprenticeship programmes

For apprenticeship programmes, you must record an aim that describes the overall apprenticeship programme. This aim is known as the ‘programme aim’ and is recorded using the Learning aim reference ‘ZPROG001’.
You must record all learning undertaken as part of the apprenticeship programme, including regulated qualifications and non-regulated learning activity; this learning is recorded as ‘component aims’ using the appropriate Learning aim references from the LARS database.
All apprenticeship programmes must be recorded with one programme aim and at least one component learning aim.
For an apprenticeship framework programme, the component aims will be the competency, knowledge and functional skills elements of the framework. Details of whether a qualification is the competency or knowledge element of an apprenticeship framework are held in the LARS database. An apprentice cannot be recorded as in learning on more than one competency aim at any one time.
For an apprenticeship standard, if no regulated qualifications are undertaken, then you must record one of the non-regulated learning aims from Category E of the Learning Aim Class Codes’ document (refer to in Section 14 Related Links to Documents and Information).
The Aim type field is used to identify whether a learning aim is a programme aim or component aim:
  • The programme aim is recorded with Aim type code 1
  • Component aims are recorded with Aim type code 3
The programme aim may have a start date, end date, completion status and outcome that differs from the component aims.

Guidance for completing important Learning Delivery fields recorded for apprenticeship aims

Learning aim reference number
  • This must be a valid code in the LARS database.
  • For the programme aim, the code ZPROG001 must be used.
Aim type

This identifies whether the learning aim is a programme aim or a component aim
Funding model
  • Use code 35 for funded frameworks started, or originally started, before 1 May 2017
  • Use code 81 for funded standards started, or original started, before 1 May 2017
  • Use code 36 For funded frameworks or standards started on or after 1 May 2017
  • Use code 99 for non-funded frameworks or standards
Programme type
All learning aims in the programme must have the same programme type.
Framework code
Only returned for apprenticeship framework programmes and should be the same for all learning aims that comprise the programme
Apprenticeship pathway
Only returned for apprenticeship framework programmes and should be the same for all learning aims that comprise the programme.
Apprenticeship standard code
This is returned for apprenticeship standard programmes only and should be the same for all learning aims that comprise the programme.
Learning start date
This should reflect reality, for example, record the date when the specific aim starts. For component aims this date may be different to the Learning start date recorded for the programme aim.
Learning planned end date
This should reflect how long the apprentice is expected to be in learning on the aim. This field affects how funding is calculated and is used in validation rules to enforce the minimum duration requirements for apprenticeship programmes as specified in the funding rules.
The Learning planned end date for an apprenticeship standard that started before 1 August 2019 must include both the training and end point assessment period.
The Learning planned end date for an apprenticeship standard that started on or after 1 August 2019, must only include training periods and not the end point assessment period.
Learning actual end date
This should reflect reality. For example, record the date when the specific aim has ended.
For component aims, this date may be different to the Learning actual end date recorded for the programme aim.
For apprenticeship standards on a programme aim, where the learner has completed all learning activities and begun the end point assessment period prior to 1 August 2019, the Learning Actual End date in the 19/20 ILR will continue to include the end point assessment (as per the 18/19 ILR specification).
For apprenticeship standards on a programme aim, where the learner has not completed all learning activities by 1 August 2019, the Learning Actual End Date will be completed after all learning has taken place and does NOT include the end point assessment period.
Achievement date
This field is to be used for apprenticeship standards only. For standards that started, or originally started, before 1 May 2017, this field must be recorded where an apprenticeship standard has been achieved.
For standards that started, or originally started, after 1 May 2017 and ended their end point assessment period on or after 1 August 2019, this field should be used to record the date the end of the end point assessment.
This may or may not represent the achievement of the apprenticeship standard. It is only recorded on the programme aim.

Recording apprenticeship frameworks

You must complete the Framework code and Apprenticeship pathway fields with the appropriate codes from the LARS database.

Recording apprenticeship standards

All apprenticeship standard aims must be recorded using Programme type code 25 (apprenticeship standard).
You must complete the Apprenticeship standard code field with the code for the standard from the LARS database.
Where the programme started on or after 1st August 2019, the apprenticeship standard programme aim must include only the training period, and not the end point assessment period.
Example
An apprentice is undertaking an apprenticeship in the Software Developer standard. As part of this, the apprentice is completing some IT learning that is not a regulated qualification.
This non-regulated learning is recorded as a component learning aim with the appropriate learning aim reference from the Learning Aims Class Codes document: Z0001946 – ‘Non regulated provision, Level 4, ICT Practitioners’.
  • This apprenticeship is recorded on the ILR with the following two aims:
    1. Programme aim: LearnAimRef = ZPROG001, Aim type = 1
    2. Component learning aim: LearnAimRef = Z0001946, Aim type = 3
  • The standard is recorded in the Apprenticeship standard code field using code 2.
You must record the End point assessment organisation identifier on apprenticeship standard programme aims once the assessment organisation has been selected. This identifier recorded in the EPAOrgID field must be a valid ID from the register of apprentice assessment organisations.
Once an End point assessment organisation has been identified on the ILR, there must be a financial record for the price of the end point assessment.
Where one apprenticeship standard has been completed and the learner is progressing to another apprenticeship programme, they cannot start the new apprenticeship until the achievement date has been returned.

Recording Higher Education (HE) data for apprenticeships

The two HE datasets on the ILR are collected for apprentices and learning aims where the learning aims are identified as prescribed HE in the LARS database (using the field EnglPrscID). HE data is not returned for apprenticeship learning aims that are not prescribed HE.

Apprenticeship training agencies (ATAs)

Organisations that operate as ATAs employ apprentices who are then made available to employers for a fee. The reporting of apprentices employed with an ATA is subject to monitoring and ministerial reporting. You must ensure that this data is accurately completed on your ILR return.
Apprentices who are employed with an ATA should be recorded in the ILR in the same way as other apprentices, paying particular attention to the following:
  • Record code LDM130 in the Learning Delivery FAM fields against all aims delivered as part of the apprenticeship where the apprentice is directly employed by an ATA who then hires them out to a host employer. This applies to the programme aim and all component aims.
  • The employer number of the ATA must be recorded in the Employer identifier field. This field must not contain the employer number of the host employer.
  • The Delivery location postcode recorded for each learning aim must record where the learning delivery took place. For example, if the competency aim for an apprenticeship framework is delivered at the host employer’s workplace, then the postcode of the host employer should be recorded for this aim. If the knowledge learning aim for the apprenticeship framework is delivered by the training provider, then the postcode of the provider should be recorded for this aim.
Group training associations (GTAs) that offer an ATA service to employers must follow ATA-specific rules but must record code LDM129 in the Learning Delivery FAM fields instead of LDM130.

Examples

Scenario 1
An apprentice is employed with an ATA that is working with a range of training providers.
  • The Employer identifier in the Employment status record applicable on the first day of learning is the employer number for the ATA.
  • The Delivery location postcode for the learning delivered within the workplace, such as a framework competency aim, is the host employer’s postcode.
  • The Delivery location for learning aims delivered at a training provider is the postcode of the relevant training provider.
  • The code LDM130 is recorded against all aims delivered as part of the programme, including the programme aim and all component aims.

Scenario 2
An apprentice is employed with an ATA that is also a training provider
  • The Employer identifier in the Employment status record applicable on the first day of learning is the employer number of the ATA. This must be a different number to the employer number of the training provider.
  • The Delivery location postcode must be recorded as in Example 1 above.
  • Code LDM130 must be recorded against all aims delivered as part of this apprenticeship programme including the programme aim and all component aims.

Recording changes to learning aims

All changes to learning objectives and aims must be recorded in the apprentice’s apprenticeship agreement.
If the apprentice changes any of their learning aims during the funding qualifying period, then the learning aim details can be amended on the original ILR record.
The funding qualifying period is defined in the funding rules and is based on the number of days in learning for each learning aim.
Any changes to learning aims after the funding qualifying period must be recorded as a withdrawal or transfer. You must not amend the details on the original learning aim(s).
Where the apprentice is transferring to a new aim, then the start date of the new learning aim cannot be earlier than the actual end date of the learning aim that the apprentice has transferred from or may be slightly later if there is a delay in the apprentice starting the new aim.
If the Apprenticeship contract type (ACT) is recorded on a closed aim, then the Date applies to field on the latest ACT record must match the Learning actual end date of that aim.

Recording higher and degree apprenticeships

Where the HE qualifications being undertaken within the apprenticeship are not listed on the LARS database, for example for a foundation or degree awarded by a HEI, you will need to request that the learning aim is added into the LARS database.
To request HE learning aims for use within an apprenticeship, please complete the form that is available on the ILR sources of data webpage.
If you are delivering prescribed HE learning aims as part of an apprenticeship programme (identified using the field EnglPrscID in the LARS database), then you must return the Learner HE and Learning Delivery HE datasets. This requirement does not apply to Higher Education Institutions (HEIs).
If required, you must complete the HE datasets as accurately as possible and the use of default values should be avoided. Returning value such as ‘not known’ or ‘not in HESES population’ may adversely affect OfS funding and should only be used where appropriate.

Requirements for Higher Education Institutions (HEIs) apprenticeships

HEIs must send an ILR return for higher and degree apprenticeships to the ESFA for the following apprentices:
  • All 16-18 apprentices started before 1 May 2017
  • All 19+ apprentices on apprenticeship standards started before 1 May 2017
  • For 19+ apprentices on apprenticeship frameworks started before 1 May 2017, the ILR return is optional.
  • All apprentices started on or after 1 May 2017
Where a HEI is the lead provider for the apprenticeship programme, the ILR return must include all of the learning delivered as part of the programme, including the HE learning aims, other qualification, any non-regulated qualifications, etc.
HEIs do not need to complete the Learner HE and Learning Delivery HE datasets on the ILR for higher and degree apprenticeships: this data will be included on your HESA return.