David Hawkins Presentation
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Transcript David Hawkins Presentation
SRF Consultancy Ltd
www.srfconsultancy.co.uk
[email protected]
June 2014
Who are SRF?
Experts in Education Compliance
“Making the Complicated Simple”
Over £80 million in SFA / EFA funds monitored
Record of First Class Performance at SFA Audit
Knowledge of Rules
Knowledge of what works in the field
Today’s Session:
Golden Rules of Safeguarding Adult Skills Budget Funding
Funding Basics
Common Errors
Safeguarding Funding (How to reduce risk)
The Basics
(para 21 , Funding Rules v3 14/15)
Only eligible learners can be funded by SFA
Learner must exist
Must be eligible for programme,
Must be eligible for the rate of the programme
That the education and training is taking place or taken place
That achievement of aims is certified
Must prove eligibility and existence with the threshold for
funding
Must provide achievement evidence within three months
So it’s simple right?
The Basics
Aims are funded individually
Funding affected by age, location of delivery, learner home
address, prior learning, size of employer
Funding split between start and planned end
Learners who do not achieve will not receive full funding
If a learner leaves early, only entitled to funding up to
withdrawal
The start dates of aims are equally important as if they leave
early you may have claimed for too much
What can go wrong?
Eligibility
Suitability for programme
Funding Rate (Full or co-funding)
Adjustments for Prior Learning
Start Dates
Planned end dates
Aims
Minimum Durations
Actual end and Achievement dates
Activity
The Programme itself (framework compliance)
How will SFA know about it?
Agency Audit
Provider Financial Assurance (PFA)
Two main components: PDSAT & Main Learner Sample
Tests funding appearing in an academic year
Tests all aims for that learner in that year
Where there is no evidence there is an overclaim
DSAT errors separate to Main Sample
If value of error in main sample is over 5% then the whole
contract value can be extrapolated
£1000 error in £10,000 sample = 10%
Contract Value = £10,000,000
Extrapolated amount = £1,000,000
Only as strong as your weakest file
So how can it go wrong?
Four stages of risk
Pre-Start
Start
Activity
Exit
How do you get learner data?
Application
The enrolment
The learning agreement
How does it get processed to the data?
Who updates
When updates
What controls do you have to check what’s processed?
Key Risks
Pre-Start
Start
Activity
Eligibility
Learning
Evidencing
Suitability
Agreement
Setting the
planned end
date
Individual Aim
Start
Meeting the
start threshold
Learning
Support
ongoing
learning
Timescales for
contact
Identifying
learners at risk
Learning
Support
Prior Learning
APL
RPL
Employer data
FFI Status
ILR compliance
Maths and
English
assessment
Key Risks
End
Error Values (% of total funds)
Last attendance
Eligibility = 100%
Timescales for
Suitability = 50 to 100%
identifying
Aim
Achievement
Framework
achievement
Minimum
Durations
Progression
Certification
Withdrawal date = 0 to 100%
RPL or APL = 0 to 100%
Aim Accuracy = 0 to 100%
Achievement = 20%+
Subcontracting
A Magnification of Risk
How do you control data?
How do you ensure authenticity?
Timescales for data
Direct data input or time delay in process?
How can you be assured of ongoing activity?
Internal Audit
How effective is your monitoring?
Do you use DSAT?
Avoiding
Errors
Strengthen the four stages of risk
Pre-Start
Start
Activity
Exit
Timescales for receiving and processing data
Accuracy of data when inputted (Design of core
documents)
Identification of at risk learners
Use of DSATs & internal MIS monitoring controls
Use of internal audit
File Checks – a whole lot more than does a document exist
Sufficient samples to pick out the anomaly
Questions?
SRF Consultancy
www.srfconsultancy.co.uk
If you want to get in touch?
David Hawkins: 07881923093
[email protected]