Transcript Department for Education

EFA funding guidance
for young people 2014
to 15
• Funding regulations 2014/15 – v1; and
• Sub-contracting controls regulations
- (Funding regulations – section 3: student eligibility
is explained in a separate presentation)
EFA Young People’s Funding Team
Funding guidance for young
people: 2014/15
The format of the funding guidance is the same as last year. It
consists of four separate books:
•
‘Funding regulations’ (published June 2014)
•
‘Funding rates and formula’ (published July 2014)
•
‘ILR funding returns’ (published August 2014) – this does not
apply to schools or academies
•
‘Sub-contracting control regulations’ (published April 2014)
All these documents are available at: www.gov.uk/16-to-19-educationfunding-guidance
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Funding: the aims
The 2014/15 funding methodology has several aims.
 Continuing to simplify the funding arrangements, to let post16 institutions concentrate on delivering study programmes
that will meet young people’s needs as they progress to
employment or higher education.
 Funding students so that study programmes can deliver a
broader focus and so that more young people who are
currently NEET can be recruited into further education and
training.
 To meet the raising the participation age (RPA) requirements
for young people over the years ahead.
Principles of funding learning (slide 1) –
Section 2 – paragraph 13
Institutions should:
•
only record funding for students assessed as eligible for EFA
funding under Section 3 of this document,
•
not record funding for students who are enrolled on study
programmes funded by EFA at other institutions,
•
avoid any multiple funding for the same provision within a
student’s study programme.
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Principles of funding learning (slide 2)
- Section 2 – paragraph 13
Institutions should (the last bullet point is new from 2014/15):
•
avoid recording EFA funding for any part of any student’s study
programme that duplicates that received from any other
source, for example other EFA funding, funding from either the
Skills Funding Agency, Higher Education Funding Council for
England (HEFCE) or from any other source, and
•
ensure when entering the planned hours on data returns that
the hours entered are realistic and deliverable to each
individual student and that this can be evidenced if necessary
to any funding auditors.
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Principles of funding learning (slide 3)
- Section 2 – paragraph 14
Consulting EFA (this is unchanged from last year)
•
Institutions are now only expected to discuss with the EFA any
circumstances that affect groups of students rather than
individual students.
•
For circumstances that only affect an individual student the
institution is expected to make any necessary decisions itself
within the spirit of this guidance and simply record their
decisions as audit evidence in accordance with usual student
enrolment processes.
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Study Programme Eligibility
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Section 4 and 6
•
Study programme eligibility is set out in section 4.
•
Evidence of student existence and eligibility is set out in
section 6.
•
Section 6: table 1 now includes the words:
•
the planned hours recorded on data returns need to be supported by
auditable evidence of eligible timetabled activity.
•
Student eligibility guidance (SEG) is set out in section 3 – see
separate companion slide presentation on SEG.
•
Most students are now funded as full time students in the
allocations and this percentage is expected to increase in
future years to meet RPA requirements.
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Annex D – Condition of funding
All institutions should note that the condition of funding in
respect of English and maths set out in ‘Funding regulations’
2013/14 annex D is now repeated as annex D 2014/15.
But as stated in 2014/15 document paragraph 15:
The EFA will enter into grant agreements with individual institutions paid directly by
the EFA and with each LA for their maintained school provision. The grant
agreement will set out the funds that the EFA has agreed to pay for the education
and training provision expected to be delivered in return for that funding. These
include EFA conditions in respect of charges that may be made to students for their
provision. Annex D sets out the new condition of funding that applies to all
provision in respect of the delivery of English and mathematics within study
programmes from this year.
Compliance evidence – section 6
Records of student existence and eligibility (‘Funding
regulations’ paragraph reference numbers in brackets):
•
Recording study programme hours including timetabling (121 124)
•
Learning agreements and enrolment forms (125 – 128)
•
Student attendance (129)
•
Register (not necessarily subject specific) (130 - 133)
•
Withdrawal/transfer forms (134)
•
Achievement (135 – 137)
•
Documentation – originals held by institutions not subcontractors (138)
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Student enrolment requirement
change from next year
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Section 6 – paragraph 127 (g) – change for next year
from the 2015 to 2016 funding year confirmation that part-time
student are not enrolled on any funded study programmes at
other institutions must be included within these documents.
Institutions enrolling students on short part-time study
programmes are expected to use the Learner Record Service and
the student Personal Learning Record to verify that such students
are only attending their own institution.
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Questions and answers on
study programme eligibility
Calculating, evidencing (and auditing)
funding hours (Question 1)
Q1
Should the planned funding hours be altered after the student has
attended past the initial start qualifying period (usually six weeks into their
programme)?
A1
NO
The EFA does not expect institutions to make changes to the student
programme hours during the year but to simply calculate the planned study
hours within the initial part of the student’s learning programme and then
enter them on the ILR. Institutions may agree to add additional learning
aims to the student’s study programme later in the year but as this will not
increase the student’s funding there is no requirement to increase the
overall study hours. Similarly, if students cease to attend some of their noncore learning aims during the year there is no requirement to reduce the
study hours.
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Calculating, evidencing (and auditing)
funding hours (Question 1a)
Q1a
What about students who transfer between learning aims within
the start qualifying period?
A1a
If the student transfers from a qualification before the qualifying
start period, then the timetabled hours up to the point of transfer may be
included in this field if they would make a significant material difference to
the learner’s total planned hours such that they would move from one
funding band to another.
If the learner withdraws from all their learning aims and leaves the
provider, the hours recorded in this field should not be amended.
(This answer is new in ‘Funding regulations’ annex C but is no different to
the final ILR guidance for 2013/14)
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Calculating, evidencing (and auditing)
funding hours (continuation from previous slides)
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Q1b (continued) Are there any permitted exceptions to the previous
answers?
A1b (continued) Yes. Students who are only recruited to start short study
programmes and who at the completion of their short study programme are
then recruited by the institution on to longer study programmes.
This advice applies equally whether or not there is any gap between a
student initial short study programme and their longer study programme.
The intention to simplify the funding arrangements is not intended to act as
a barrier to any institution encouraging all their students to attend a full
time study programme, or to prevent institutions enrolling students who
may need to first participate in a shorter programme.
Calculating, evidencing (and auditing)
funding hours (Question 2)
Q2 How do I calculate the student’s study programme hours?
A2 The EFA expect this to be calculated after the student’s initial advice
and guidance (IAG) is completed and for some students this may need to
include their initial attendance on part of their overall study programme but
no changes are expected to the funded study programme hours after the
completion of the funding start period – six weeks attendance on the
student’s core aim.
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Calculating, evidencing (and auditing)
funding hours (Question 3)
Q3 How do I evidence a student’s study programme hours?
A3 The EFA expects this to be through the IAG documentation process.
The planned study hours as part of the IAG process should be explained to
the student and documented so as to show a timetable of expected
student attendance that cumulates to the study hours. This is no different
to the existing educational practices found in most institutions as students
need to know where to go in order to attend their required study
programmes.
The EFA has set out for 2014/15 in paragraph 73 that planned hours must
be realistic and deliverable – see next slide.
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Calculating, evidencing (and auditing)
funding hours (Question 3)
(continuation from previous slide)
Q3 How do I evidence a student’s study programme hours?
A3 Paragraph 73 now states:
When entering the planned hours on data returns institutions must ensure
that the hours entered are realistic and deliverable to each individual
student. These need to be supported by auditable evidence of eligible
timetabled activity. The EFA has commissioned some additional audit work
in summer 2014 to ensure that the planned hours recorded are genuine
and this will be reflected in the audit programmes in due course for
2014/15.
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Calculating, evidencing (and auditing)
funding hours (continuation from previous slide)
A3 (continued) The EFA is not setting out any definitive guidance to
institutions on standard forms etc as it is not our intention to prescribe
exactly how each autonomous institution calculates and evidences their
study programmes but to set out some simple general requirements that
must be met by each institution’s individual student administration systems.
The core requirements to evidence IAG, attendance and achievement are
still set out in section 6 of the ‘Funding regulations’ guidance. This advice
was simplified last year to assist institutions in meeting the core evidential
requirements of all the main education regularity bodies. The evidential
advice on enrolment form and learning agreement advice continues to
recognise and support those institutions that currently merge registers for
some individual learning aims.
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Calculating, evidencing (and auditing)
funding hours (Question 4)
Q4 How do I evidence attendance by students on study programme
hours?
A4 Institutions are expected to have register systems in place that are
sufficient to track student attendance. The major benefit of such systems to
the institution should be to enable institutions to tackle any nonattendance issues as early as possible before they reach the point where
the student withdraws from their study programme.
The planned study programme hours should not be affected by any
individual student’s non-attendance at individual learning sessions.
Institutions need to be able to show any funding auditors that the planned
study programme hours are deliverable to individual students
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Calculating, evidencing (and auditing)
funding hours (continuation from previous slide)
Q4a (continued) What can be claimed for study/revision leave?
A4a (continued) As set out in paragraph 80 of Regulations 2014/15 :
Where students are allowed time away from the institution’s premises to revise and
prepare for exams this must also meet the criteria of being planned, being explicit in
the student’s timetable, and supervised and/or organised by a member of staff.
Study leave should be time limited and the weekly number of hours should not
exceed the student’s planned weekly hours for the overall study programme. Study
leave should be supervised or organised by the institution, for example by requiring
the completion of structured revision or practice papers that are marked by a
member of staff and where the student is given feedback. These hours can be
counted for both years 12 and year 13. The time when the student is taking the
exam can also be included in the total planned hours.
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Calculating, evidencing (and auditing)
funding hours (Question 5)
Q5 Does the EFA have any advice on what activities can be counted as
study hours? (see also Funding Update 2013/14 – paragraph 28.)
A5 Planned hours are those that are timetabled, organised and/or
supervised by the institution, and take place in line with the institution’s
normal working pattern to deliver the study programme, and can include
the following:

planned tutor led activity on qualification bearing courses for the
student in the academic year,

planned hours of tutorials, work experience or supported internship
for the student in the academic year, and planned hours on other
activities that are organised and provided by the institution, such as
sport or volunteering for the student in the academic year.
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Calculating, evidencing (and auditing)
funding hours (Question 6)
Q6 What counts as work experience?
A6 The EFA has issued some generic advice on work experience within
study programmes:
16-19 study programmes: work experience

www.gov.uk/government/publications/post-16-work-experience-as-apart-of-16-to-19-study-programmes
Delivery and recording of work experience

www.gov.uk/government/publications/delivery-and-recording-of-workexperience
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Students who started programmes in
2013/14 carrying into 2014/15 (Question 7)
Q7 How are carry over students funded in 2014/15? How do we treat
students who start in June/July on 600 hour programme and therefore
cross two funding years?
A7 No differently to new students in 2014/15. The study hours entered on
the ILR are specific to the funding year and therefore any student starting
their study programme in June/July 2015 will only have a very small
number of study programmes hours in the first year.
Students aged under 16 on 31 August 2014 and who start any study
programmes on or after 1 June 2015 will not be eligible for any EFA
funding. The minimum qualifying period for funding remains 2 weeks.
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19+ student funding in 2014/15
(Question 8)
Q8 Are 19+ students funded in 2014/15 by the EFA?
A8 No change to existing policy. Students aged 19 or over on 31
August 2014 are the funding responsibility of the SFA, other than
the following:
 19-24 with either an LDA or EHCP,
 students completing their study programmes in sixth form
colleges and schools who started their learning aims in
2013/14 whilst aged under 19 on 31 August 2013.
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19+ students funding in 2014/15
(Question 8)
Q8 Are
(continuation from previous slide)
19+ students funded in 2014/15 by the EFA?
A8 No change to existing 2013/14 policy.
 The EFA is making no concession to fund the students shown
on Row D of the FIS Funding claim report at FE colleges, LAs,
HEIs or CCPs for either 2013/14 or 2014/15. Any of these
institutions without SFA contracts should consider carefully
when recruiting students whose study programmes run into a
following year after the student has attained the age of 19 on
31 August whether they should refer the student to another
institution that has both an EFA and SFA contract. If they hold
an SFA contract the students need re-coding to attract SFA
funding.
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Core aim determination and
retention in 2014/15 (Question 9)
Q9 Can a short learning aim be recorded as a core aim?
A9 The advice on determining core aims (paragraphs 26-31) and
retention (paragraphs 36-39) is set out in companion document
‘Funding rates and formula’.
Determining core aims
In paragraph 26 the guidance states that the core aim is the most
important element of the programme, which will usually be the
component with the largest amount of timetabled activity
associated with it. For this reason the answer to the above question
will usually be no.
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Core aim determination and
retention in 2014/15 (Question 9)
(continuation from previous slide)
A9 (continued). Paragraph 38 in 2014/15 Rates and formula book
addresses this issue where groups of students have been recorded
doing short core learning aims:
The EFA will monitor the position with regard to short core aims and
retention, and will consider adjusting the retention rate for individual
institutions if there is evidence that cohorts of students are entered
for programmes that distort the retention rate in this way. The EFA
would only apply such an adjustment to institutions whose data
returns showed material non-compliance with the spirit and
intention of the funding methodology.
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28
Funding for students where
they are following nonprogression programmes
and/or re-taking subjects or
examinations
Students on non-progression
programmes
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(slide 1)
Paragraph 19:
•
Institutions must be able to demonstrate educational
progression for students recruited onto programmes funded by
the EFA and be able to record evidence of good educational
reasons for any individual students recruited to programmes
which do not provide progression.
•
See also paragraph 14 (as set out on slide 6) and paragraph
61 on next slide
Students on non-progression
(slide 2)
programmes (continuation from previous slide)
Paragraph 61:
•
The programme eligibility guidance reflects the Government’s
view that it is not for the Government or its agencies to
determine either which individual qualifications a student
should take, or to develop or generate new qualifications.
Institutions through their information, advice and guidance
(IAG) processes should determine the curriculum offer to meet
the needs of students including their HE entry and
employment entry needs.
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Students on re-takes and re-sits (slide 1)
Explanation of EFA policy for paragraphs 107-109:
• The purpose of these paragraphs on re-sits and re-takes is to
avoid poor use of public funding, which would arise if large
numbers/groups of students who have not achieved their
desired grades are routinely funded for a further year. The
institution has already received funding to deliver the
qualifications for these students and generally, if students
wants to retake the course or resit the exam to improve
grades, our expectation is that they would be in-filled into
existing groups and no further funding would be claimed.
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Students on re-takes and re-sits (slide 2)
Paragraph 107 below (see also paragraph 14 – slide number 6):
•
Where learning programmes are designed to enable students to
re-sit or re-take examinations and assessments, these are not
generally eligible for funding as the activity has already been
funded.
•
Where there are exceptional circumstances outside the control
of the student or institution, such as a period of long term
sickness, or good educational reasons then the re-take delivery
hours for individual students may be included in the funded
study programme hours.
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Students on re-takes and re-sits (slide3)
Paragraphs 108-109 below
•
Where a student fails to complete a learning aim in the
expected time span and stays on for additional time, including
revision sessions or re-sits, no further funding should be
recorded. No study hours should be included in funding
returns for students merely re-taking examinations.
•
Qualifications leading to a GCSE grade A*-C in English and/or
maths where the student has not yet achieved a grade C in
these subjects are not treated as retakes for funding purposes.
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34
EFA Funding guidance for
young people
Sub-contracting control
regulations
Document published – April 2014
Sub-contracting controls
Revised document from April 2014
•
It should only be used by institutions either with subcontractors or those considering entering into sub-contracted
partnerships.
•
The document has been updated from last year. The
document sets out for sub-contracted (includes any franchise
or partnership provision) some additional compulsory
compliance advice to remind funded institutions that the
previous eligibility advice on controls over such provision
remains both a matter of good practice and relevant in
avoidance of funding fraud.
35
Sub-contracting – Funding regulations references
Paragraph 113
•
Historic funding eligibility problems have more often arisen
where students are attending institutions outside of their
normal recruitment area, particularly where this involves subcontracted provision and in such cases additional safeguards
are required from institutions for all such delivery.
•
Given the known risks of irregularity in distance subcontracting, the EFA will not normally fund such 16-19 whole
programme provision subcontracted by institutions.
36
Sub-contracting controls
(slide 1)
Paragraph references are from the ‘Sub-contracting provision
control regulations’ document).
Paragraph 24 (was paragraph 6 in the 2013/14 document)
•
In deciding whether to fund subcontracted provision delivered
outside the institution’s normal recruitment area, the EFA will
take into account a range of factors including, but not limited
to:
•
(the factors are listed on next slide and the font size here and on the
next slides has been slightly reduced so they all fit on one slide).
37
Sub-contracting controls
(slide 2)
(continuation from previous slide)
•
that the provision complies with the principles of study programmes as set out
in ‘Funding regulations’,
•
the extent to which the parent institution is involved in delivery (for example,
teaching part of the programme or just providing financial and quality
assurance),
•
that the amount of funding retained by the directly funded institution is
proportionate to the costs they incur in the management and administration of
the contract,
•
the extent to which the provision being made is already available and
accessible to students in the area where the subcontract is delivering,
•
the extent to which a gap in provision has been identified by the LA or an
employer,
•
the location of delivery and the nature of travel to learn/travel to work patterns,
•
the extent of student contact with the parent institution.
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Sub-contracting controls
- the main paragraph references shown below
•
12- 14 Contract advice - control test advice set out in 14
•
15- 20 Procurement – 15 to 20 - Traineeship requirements in 19
•
21- 27 Due diligence
•
28- 32 Controls over students, tutors and provision
•
33- 34 Controls over qualifications and curriculum
•
35- 36 Other EFA funded students
•
37- 41 Monitoring (control) visits and spot checks
•
42- 43 Sub-contractors with multiple institution contracts
•
45- 46 Advice to Accounting (Principals/Head Teachers)
•
Note: some key control check advice set out in 38 and 39 and 46
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For more information and questions
Contact us
 All academies: [email protected]
 Other institutions should contact their geographical team:
 [email protected]
 [email protected]
 [email protected]
Visit the website
 The four funding books are available at:
 www.gov.uk/16-to-19-education-funding-guidance