Provider support manual:

Recording apprenticeship programmes

Contents

Guidance for recording the apprenticeship programme

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.

Change of employer and using OET 3

From the 01/08/2022 a new employment status monitoring code (OET 3) has been introduced and should be used in the ILR to record where a change of employer has occurred, where both the previous and new Employer Identifiers are 999999999, because neither the previous nor the new employers have employer numbers on the Employer Data Service.

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 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 Section 15 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 36 for funded apprenticeship standards

• Use code 99 for non-funded apprenticeship standards

Programme type
All learning aims in the programme must have the same programme type.

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 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.

Refer to Funding streams and field collection requirements

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.

Flexi-Job Apprenticeship Agencies (FJAAs)

Flexi-Job Apprenticeship Agencies (FJAAs)

Organisations that operate as FJAAs employ apprentices directly for the duration of their apprenticeship but arranges placements for the apprentices with host businesses.

In order to operate as a FJAA, organisations must apply to join the Register of Flexi-Job Apprenticeship Agencies. The reporting of apprentices employed with a FJAA 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 a FJAA should be recorded in the ILR in the same way as other apprentices, paying particular attention to the following:

• Record code LDM386 in the Learning Delivery FAM fields against all aims delivered as part of the apprenticeship where the apprentice is directly employed by an FJAA who then hires them out to a host employer. This applies to the programme aim and all component aims.

• The employer number of the FJAA 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 a similar service to employers must follow FJAA-specific rules but must record code LDM129 in the Learning Delivery FAM fields instead of LDM386.

Example

An apprentice is employed with a FJAA 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 FJAA.

• 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 LDM 386 is recorded against all aims delivered as part of the programme, including the programme aim and all component aims.

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.
  

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.

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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 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.

Guidance for recording the apprenticeship learner and delivery fields

Additional guidance for apprenticeship 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 (SOF) 105 must be recorded in the Learning Delivery FAM fields on all funded aims for these apprenticeships.

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.

All new apprenticeship starts will be funded through the apprenticeship service.

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 (ACT1).

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.

Recording apprenticeship financial data

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.

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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 2020 with a planned end date of 1 November 2021.

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 2020).

Recorded as:

• TNP 1 01/08/2020 13000

• TNP 2 01/08/2020 3250
  

Refer to the Apprenticeship technical funding guidance for starts from May 2017 for details about how funding is calculated for the programme.

The way total negotiated price (TNP 1) is calculated has changed from 1 August 2022, and is calculated as follows:

Funding band max - RPL savings - any other employer discount (e.g. large cohort)

Anything over and above the funding band is dealt with off-line between the provider and employer; the DFE does not need to know about this amount or have it recorded in the ILR or apprenticeship service. The provider also does not need to record that this money was collected from the employer

Further information regarding these changes as well as rules on apprenticeship funding and employer payments can be found in the Apprenticeship funding rules for 23/24.

Refer to the Apprenticeship technical funding guidance for starts from May 2017 for details about how funding is calculated for the programme.

How to record changes to the apprenticeship

Apprentice changes employer during the apprenticeship

If there is a change to the apprentice’s employer during their programme, then you must record a new Learner Employment Status record to reflect this.

A new Apprenticeship contract type FAM record must be added if the new employer has a different apprenticeship contract type to the previous employer, for example if the apprentice has changed from an employer who is funded through a contract for services with the employer, to an employer who is funded through a contract for services with the ESFA that does not have an account on the apprenticeship service, then a new FAM record with ACT2 must be recorded.

There should be no changes made to the learning aims.

You must record a new price record on the programme aim; this price must reflect the cost of the remaining amount of the programme to be delivered with the new employer. This residual cost must be recording using AFinCode = 3 for training and AFinCode = 4 for assessment, as applicable.

Further information is available for administering changes of circumstance. Refer to Apprenticeship funding rules for employer-providers on GOV.UK.

Apprentice is made redundant (redundancy)

A new employment status, Other Employment Type (OET) has been added to record employment types such as redundancy.

If an apprentice is made redundant, you must record this in a new Learner Employment Status record with Employment status code 11 or 12, as applicable. While the apprentice is eligible to continue their programme, an Apprenticeship contract FAM type of ACT1 or ACT2 corresponding to the most recent employment period must remain in place without an end date in order to receive payment. If a new employer is found for the apprentice, then a new apprenticeship contract FAM type and a new negotiated price record must be recorded for the start of the period of learning with the new employer.
For full guidance regarding funding eligibility for redundant apprentices, please see the apprenticeship funding rules: https://www.gov.uk/guidance/apprenticeship-funding-rules

If an apprentice becomes unemployed and is not eligible to continue their programme, they must be withdrawn from the apprenticeship.

Changes in negotiated price during the programme (TNP)

If a new price for training and/or assessment is negotiated at any point during the apprenticeship programme, then this must be recorded in a new price record (AFinType = TNP). You must record the date that the new price applies from in the AFinDate field.

If the previous price record for the programme was a total price (code 1 or 2), then the new price should also be a total price (code 1 or 2), unless the employer has changed. If the previous price was a residual price (code 3 or 4), then the new price must also be a residual price (code 3 of 4).

Example:

An apprentice starts an apprenticeship standard programme on 1 August 2019 (AfinDate). A training price of £13,000 (AFinAmount) is agreed prior to the start of the programme. An end point assessment price of £2,000 (AFinAmount) is later agreed on 1 February 2020 (AfinDate).

Recorded as:

• TNP 1 01/08/2019 13000

• TNP 2 01/08/2019 3250

The assessment price is later re-negotiated (for example to include additional costs or further assessment). A new end point assessment price of £3,000 (AFinAmount) is agreed to apply from 1 July 2020 (AFinDate).

The financial details for the programme are updated to:

• TNP 1 01/08/2019 13000

• TNP 2 01/02/2020 2000

• TNP 2 01/07/2020 3000

See the section about changes in employer above for details about when you might record a residual price.

Where a price needs to change due to a data entry error, this must be amended on the original record before the R14 hard close deadline.

The latest price records, based on the financial record date, are used in the funding calculation, see the apprenticeship technical funding guide for further details.

Withdrawal from the apprenticeship programme

The programme aim and component learning aims should be closed.

The Date applies to for the latest Apprenticeship contract type FAM records (on the programme aim and any English or maths aims) must be set to the Learning actual end date of the aim.

Where applicable, employer co-investment should be reconciled to the date of withdrawal. Any employer payments for training and/or assessment that has not been delivered by the withdrawal date should be repaid to the employer. You must record repayments made to the employer with AFinType = PMR and AFinCode = 3.

If the apprentice withdraws without completing a single episode of learning, then they must not be included in the ILR.

Transfers to a different apprenticeship with the same provider

If the apprentice changes to a new framework, standard or pathway you must:

• Close the programme aim and any learning aims that the apprentice is no longer continuing with. Refer to the Closing aims in guidance for recording a learner transfer to a new learning aim within the same provider . Update the Date applies to for any Apprenticeship contract type FAM Record on these aims.

• If applicable, record repayments of employer co-investment using AFinType = PMR and AFinCode = 3.

Create a new programme aim, and new learning aims if required. Record the new framework/standard/pathway as applicable. Refer to guidance below for recording new aims when an apprentice transfers to a different apprenticeship programme.

At least one price record must be returned on the new programme aim using AFinType = TNP.

If the apprentice is continuing with any of their existing component aims as part of the new programme, then these learning aims do not need to be closed. The learning start and planned end dates for these aims should not be amended. These continuing aims should be updated as follows:

• For framework programmes: The Framework code and Apprenticeship pathway fields should be amended to the new framework/pathway.

• For standard programmes: The Apprenticeship standard code should be amended to the new standard.

Recording new aims when an apprentice transfers to a different apprenticeship programme

Learning start date

• Programme aim: Date on which the apprentice starts the new programme

• Component aim: Date on which the apprentice starts the new learning aim

Original learning start date

• Programme aim: Data not returned

• Component aim: Data not returned

Learning planned end date

• Programme aim: Planned end date for the new programme

• Component aim: Planned end date for the new aim

Framework code

• Programme aim: New framework code (framework programmes only

• Component aim: New framework code (if applicable)

Pathway

• Programme aim: New apprenticeship pathway code (framework programmes only)

• Component aim: New apprenticeship pathway code (if applicable)

Apprenticeship standard code

• Programme aim: New apprenticeship standard code (standard programmes only)

• Component aim: New apprenticeship standard code (if applicable)

If the apprentice is continuing on the same framework but has changed pathway, the Learning Delivery FAM type and code EEF2 (Eligibility for enhanced apprenticeship funding) may need to be recorded

Transfers to a different provider on the same or a different apprenticeship

The original provider closes the ILR records for the apprentice and records any repayment of co-investment as applicable using PMR records.

The new provider will create new learning aims for the apprentice with new start dates and planned end dates as applicable. The new provider must record the new price for the programme using AFinType = TNP and AFinCode 1 and 2 as applicable, the Apprenticeship contract type FAM must also be recorded.

Progression from one apprenticeship framework level to another

If an apprentice progresses from an Intermediate-level Apprenticeship framework to an Advanced-level Apprenticeship framework, two programme aims would be recorded:

• One closed and completed programme aim for the Intermediate-level Apprenticeship, and

• One open and current programme aim for the Advanced-level Apprenticeship.

The Learning start date for the new programme aim must not overlap with the Learning actual end date for the completed programme aim.

Apprentice takes an agreed break in learning

If the apprentice is taking an agreed break in learning and intends to return, for example for economic reasons, long term sickness, maternity leave or religious trips, then the programme and component aims must be closed . Refer to guidance for recording an agreed break in learning .

The Date applies to for the latest Apprenticeship contract type FAM records (on the programme aim and any English or maths aims) must be set to the Learning actual end date of the aim.

Record any repayments of employer co-investment, if applicable, using AFinType = PMR and AFinCode = 3.

You must not record a break in learning unless the employer and apprentice have agreed this, the apprentice is intending to return to learning at a later point, and you have evidence supporting this.

When the apprentice returns, a new programme aim and new component learning aim(s) are recorded. Refer to guidance below for recording new aims when an apprentice returns from an agreed break in learning . The original learning aims on the ILR must not be reopened.

Record the price details as required using AFinType = TNP and the applicable codes. The price recorded on the new programme aim should be the same as the price prior to the break in learning unless you and the employer have negotiated a new price for the programme.

You must continue to return all aims and financial records for the apprenticeship, including the records prior to the break in learning, until the apprenticeship is completed or the apprentice withdraws from the programme.

If an apprentice does not return from an agreed break in learning, then the learning aims must be updated to indicate that the apprentice has withdrawn. Refer to guidance for recording learner absence or withdrawal.

Recording new aims when an apprentice returns from an agreed break in learning

Learning start date

• Programme aim: Date on which the apprentice restarts the programme after the break

• Component aim: Date on which the apprentice restarts the learning aim after the break

Original learning start date

• Programme aim: Date on which the apprentice originally started the programme

• Component aim: Date on which the apprentice originally started the learning aim

Learning planned end date

• Programme aim: New planned end date for the programme

• Component aim: New planned end date for the learning aim

Funding adjustment for prior learning

• Programme aim: Not Returned

• Component aim: Proportion of the aim still to be delivered (English and maths aims only)

Learning Delivery FAM

Restart indicator

• Programme aim: Use code RES1

• Component aim: Use code RES1

Eligibility for enhanced apprenticeship funding

• Programme aim: Relevant code, if applicable

• Component aim: Relevant code, if applicable

Apprenticeship contract type

• Programme aim: Relevant code

• Component aim: Relevant code (English and maths aims only)

Date applies from *

• Programme aim: Programme start date (ACT record only)

• Component aim: Learning aim start date (ACT records only)

Date applies to *

• Programme aim: Not returned

• Component aim: Not returned

* The Date applies from and Date applies to fields are also recorded for Learning support funding records if applicable. refer to guidance about recording Learning support funding .

If an apprentice on an apprenticeship framework programme has already completed the competency and/or knowledge aims of an apprenticeship programme prior to a break in learning, then these should continue to be returned as part of the ILR records.

You must continue to report an apprentice on a break in learning in your ILR records until either the apprentice returns and restarts their learning, or you report the apprentice as having withdrawn.

If the apprentice was on a learning aim prior to their break that is no longer valid when they return (for example, the certification date has passed), then you cannot class this as a break in learning. This limits the length of time that a learner can have as a break in learning.

Recording apprenticeship outcomes and completion

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 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.

Non funded apprenticeships

For non funded apprenticeships, training providers must record privately funded apprenticeships through the ILR using Funding Model 99 before a certificate is requested by the EPAO.

Additional guidance for leaving and returning to the Register of Apprenticeship Training Providers

Additional guidance for leaving and returning to the Register of Apprenticeship Training Providers

Where a Provider has been removed from the Register of Apprenticeship Training Providers and notified of a contract termination date:

• Learning aims on the terminated contract must be closed with an end date on or before the contract termination date. Record the withdrawal reason as ‘Other’ (Code 97).

• In exceptional circumstances apprenticeships are continued on an unfunded basis. New learning aims should be opened (and programme aims where applicable) and recorded as non-funded, Funding Model ‘99’ with a start date after the contract termination date.

If the Provider returns to the Register of Apprenticeship Training Providers after the contract termination date:

• You will be issued with a new contract and you must record new learning aims with a start date on or after the new contract start date.

• If you recorded learners as unfunded after the termination of your previous contract, and they are to be funded by the new contract, you must end the unfunded aims before the new contract start date and restart new learning aims as funded with a start date on or after the new contract start date.

If you return to the Register of Apprenticeships Training Providers before your contract termination end date you should not end aims early.

Guidance for continuing funding model 35 and 81 apprenticeships

Additional guidance for apprenticeship frameworks recorded on Funding model 35

All funded apprenticeship framework programmes started before 1 May 2017 are recorded on Funding model 35. Funded apprenticeship framework programmes originally started before 1 May 2017 should be recorded on Funding model 35, for example where an apprentice restarts a framework programme, in line with the apprenticeship funding rules.

Source of funding code of SOF105 must be recorded in the Learning Delivery FAM fields on all funded aims for these apprenticeships.

For full guidance on recording funding model 35 frameworks please refer to the 2020 to 2021 provider support manual

Additional guidance for apprenticeship standards recorded on Funding model 81

All funded apprenticeship standard programmes started before 1 May 2017 are recorded on Funding model 81. Funded apprenticeship standard programmes originally started before 1 May 2017 should also be recorded on Funding model 81, for example where an apprentice restarts a standard programme, in line with the apprenticeship funding rules.

Source of funding of SOF105 must be recorded in the Learning Delivery FAM fields on all funded learning aims for these apprenticeships.

Data about each apprenticeship standard must be reported in the ILR by a single lead provider as set out in the Funding Rules.

For full guidance on recording funding model 81 apprenticeships please refer to the 2020 2021 provider support manual.