1. Funding Process Set Up & Agreements
A high level overview
Good morning everyone, my name is…… and I am from the Contracting and Funding team. Our role is to manage the lifecycle of the funding agreements on our systems, from the initial set up and any variations that are required, to the termination of the agreement. We also manage the payment process.
Over the next minutes my colleague xxxxxxx and I will take you through the high level funding process, initial set up and associated roles; and the agreement and relevant documents.
This will provides a good overview of how the other sessions will fit in and my colleagues will go into more detail later.
This part of the presentation will recap on the process to set you up in our systems so that you can accept our agreement, accept apprentices from employers, report progress and be paid. I will also discuss some of the key roles required in our systems.
We will also give you a brief overview of the contractual documents and some of the main terms and conditions you need to be aware of.
Apologies in advance as my colleague and I may not always be able to make eye-contact as we need to ensure that we get across the high level information. You will need to go away and read, understand the agreement, any associated documents and terms and conditions including the guidance documents and funding rules.

2. Funding Process Overview
These slides show how the agreement and the systems link together to record delivery and generate the payment to you. They show why we have asked you to set yourself up on these systems for the activity you are going to deliver. . This will also help set the context for the rest of the day. There are six step.
Step 1. It starts with the funding agreement. Your funding agreement was posted onto SFS on 17 May Until you sign it digitally on SFS, the systems will stop you from accepting apprentices from employers and we will not process any data you send us.
Step 2. You then need to work with the employers to agree the apprentice delivery. You need to agree this on the Apprenticeship Service or we will not process any data that you send to us.
Step 3. You then need to deliver the apprenticeships adhering to the agreement and its associated documents, such as the funding rules. And also bear in mind other wider policies around intervention, quality and due diligence (which we will talk about later in the presentation).

3. Funding Process Overview
Step 4. You must then submit data to us each month to tell us about the learners and the learning they are undertaking, by the 4th working day of the month after the activity has occurred. You will submit data through the Hub to the specification in the ILR documentation. You may need to refer to the EDS (Employer Data Service) for workplace information and to the Learning Records Service (LRS) for learner reference numbers. FE Connect is a good source of information and support in the submission of data and understanding the funding process.
Step 5. We will take your data and calculate your earnings based on the rules in the Technical Funding Guide. You may use the Earnings Adjustment Statement (EAS) to submit any excess learner support earnings. Its important to read this document so that you can understand how we calculate your payments. We may not pay for all of your activity if it is not eligible.
Finally Step 6. We will process your earnings and pay your earnings into the bank account you have nominated through the BAN1s form. We will pay you through BACS on the 11th working day of the month.

4. Initial Set Up Confirmation communication via Bravo
s to confirm next steps to be taken by your organisation
Checklist issued with the first with actions required for successful set-up
Information requested:
Your contact for apprenticeship delivery
The name of the super-user for our Identity Management System (IDAMS)
The person responsible for signing funding agreements and variations on behalf of your organisation
Bank details to set up your account for apprenticeship funding payments
So we’ve been through the funding process. This next bit is to recap what we have done so far to help you to set yourself up so we can contract with you and pay you.
Firstly, you will have been sent a communication via Bravo confirming that you had been successful in your application.
We used the contact address that was supplied in the register exercise to contact you with what you needed to do next and issued a checklist detailing the actions required.
We asked for:
the person to contact about your apprenticeship delivery
the name of the super-user for IDAMS;
who will be responsible for signing the agreement and variations.
your bank account details so that we set up your account and pay you for the apprenticeship provision you deliver. You need to submit this information using the BAN1s form.

5. Initial Set Up The second email provided:
Your Unique Provider Identification Number (UPIN)
Your nominated ESFA provider manager
You need to set up systems’ roles on the:
Apprenticeship Service
Skills Funding Service
Data Collections Service
You need to register on the:
Employer Data Service
Learning Records Service
You will then be able to sign your agreement and also be able to accept apprentices from employers
The second provided your unique provider identification number (UPIN). This additional information will allow you to complete the actions necessary to access the systems and to start responding to employer requests for training.
You were also notified the name of your Provider Manager.
Your IDAMS super-user is the person who manages the access to our systems and can invite and set up roles for your staff on Apprenticeship service; Skills Funding Service and the data collection service.
You will need to register on the Employer Data Service using your UPIN and register on the Learning Records Service.
I will go through the different systems and the roles in the next few slides.
Having gone through the set up process you will now be able to digitally sign your agreement; report learner, learning and employer data, accept business from employers and get paid.

6. Application Roles Apprenticeships Service for providers
Apprenticeships Editor role- allows you to respond to employer apprenticeship training requests and update apprentice details.
SFS (Skills Funding Service)
SFS - Contract authoriser role - allows the user the authority to sign the apprenticeship agreements or contracts and receive alerts.
SFS - Contract manager role - allows the user to view apprenticeship agreements or contracts and receive the alerts. Does not have the authority to digitally sign any documents.
SFS - Contract User role – allows you to view all areas of the SFS. The role does not have the authority to sign any documents or get the alerts in SFS.  
DCFT (Hub – Data Returns)
Provider Submissions User role - for submission of ILR return and viewing the validation reports
Provider Information Officer role allows the user to view the funding/financial reports.
Now I’ll go through the various roles you need within the systems.
Apprenticeship Service is the system we use to manage the business between you and the employer. You need to have the editor role to respond to apprenticeship requests and to update the apprentice details.
SFS is the system we use to manage your agreement. This is all done online. There will be an notification when there is an agreement or variation to sign and the contract manager role will need to be set up to do that. [read through roles]
The same person can have a number of roles. It is up to the super-user to set these up and manage them.
3. The Hub is where you enter your data about the learners and the learning they are doing. You need to have a role to enter the data.

7. Other Systems
 Employer Data Service (EDRS)
Registration needed to allow adverts to be posted on the Find an Apprenticeship (FAT) service
Allow your organisation to to return information in the individualised learner record (ILR).
Learner Records Service (LRS)
Allows access to learners unique numbers or create new ones
LRS has a unique support help desk
FE Connect
The online forum to talk to colleagues about funding and data issues
The Employer Data Service contains information about the workplace where the apprenticeship is based. It allows you to post adverts on the Find an apprenticeship service through Recruit an apprentice.
The Learner Records Service contains information about the learner and the learning they have done. Learners are assigned unique learner number and you will need access to this system to confirm the ULN and to set up ULNs for new learners. Providers will be registering bodies.
FE Connect is a forum which contains a good source of information and peer support in the submission of data, understanding the funding rules etc.
Within the pack that you will get issued, there will be more details and screen shots of the various systems and how you can get set up on these.

8. Apprenticeship Contracting Framework
I am going to talk about the agreements that are involved in delivering the apprenticeships going forward.
Employer agreement – between ESFA and the Employer
Allows the use of the Apprenticeship services
Manages the funds to/from HMRC
Ensure the employer co-investment where required
Puts in place requirement for Provider/Employer contracts and support the delivery of the apprenticeship
Training Provider Agreement – between ESFA and the Training Provider
Allows the Agency to pay the provider
Enforces funding rules and ways of working
Requirement to collect co-investment
Puts in place requirement for sub-contracting arrangements
Employer/provider between both parties
For delivery of apprenticeship
For payment of co-investment
Sub-contracting – if applicable between provider and subcontractor.
For delivery of elements as agreed by the employer
Back to back with the Training Provider agreement
You must agree the sub-contractor with your employer.
Contract for
Services
Sub-Con

9. Provider Agreement The agreement is made up of: Terms and conditions
Funding & Performance Rules
ILR specification & validation rules and appendices
Agreements commence on 1 May The levy agreements have no contract value, non-levy contracts do have a contract value.
The levy agreement has no end date.
Payment can only be made once the agreement has been digitally signed and will be inline with Technical Funding Guide.
Agency can vary the agreement/contract at any time
The funding agreement is made up of a number of documents that together constitute the agreement. When delivering apprenticeships you need to make sure that you adhere to them all therefore need a good understanding of the contents.
The funding agreement is between you and the Secretary of State for Education, acting through the ESFA.
The agreement commences 1 May 2017 and we will not accept or pay for starts prior to this date. The levy agreement has no end date or contract value. Your funds will come from the employers digital account.
You will not be able to accept apprentices from employers and start delivery until you have digitally signed the agreement. As mentioned previously the agreement has now been issued via SFS.
I would also like to remind you that you are not permitted to record any apprentices starting an apprenticeship prior to the date you entered the register.
Any starts reported prior to this date will not be funded.
Access to the register only allows you to work with levy paying employers unless you have an allocation of funding from a provider who holds a contract with the ESFA to deliver apprenticeship provision to non-levy employers.

10. Levy Terms & Conditions
Agreement purpose
Support training and end point assessments
Warranties include
Resource available to deliver the agreement
No restrictions on delivering the agreement
Comply with necessary legislation, including Health & Safety
Put in place necessary controls to prevent fraud and admin malfunction
No material change in financial position
The agreement sets out the terms for the use of the apprenticeship service and the obligations by which you are bound by.
There are a number of clauses and one of the key one, is around warranties. This is around the requirements and assurances that the ESFA need from you to ensure that you have the resources and expertise to deliver training to apprentices.
There is a requirement for you to be able to enter into an agreement with the ESFA and you must not have agreements with other organisations that prevent you delivering our agreement.
You will need to comply with the necessary legislation – H&S; Freedom of Information; Data Protection to safeguard sensitive learner data, just to name a few.
You must give us assurance that you have the necessary controls/systems in place to prevent fraud.
It’s very important that you inform us of any material changes to your financial health since you applied to the register as this may effect the number of apprentices you can take on.
Over the next few months we will work with you to carry out additional assurance work and we will write to you in the coming weeks with further details. This work is designed to ensure all new providers deliver to the standards required and to which you set out in your responses in your register application and assures us that you comply with our funding rules. Should you fail to adhere to any of our rules or compliance testing your organisation could be removed from the RoATP

11. Levy Terms & Conditions
The agreement key points:
Termination for breach of agreement/contract documents; HEFCE recommendation, failing the Register, delivering poor quality
ESFA could suspend payments, reasons include fraud, mis- information, breaching the agreement, dishonesty/neglect, insolvency/administration
ESFA can impose funding limits based on performance, financial health and quality
ESFA can have access to all learning documentation associated with the agreement and you must maintain an audit trail
Be transparent with your sub-contracting
This slide has details of a few key points in the agreement. Although there is no end date in the agreement, it is imperative that you read and thoroughly understand the agreement, your obligations and for example what constitutes a breach; other areas that could lead to a termination or intervention or suspension of payments.
Our intervention and minimum standard and achievement polices are on Gov.uk so please take time to make yourself familiar with our requirements.
We also reserve the right to limit the delivery of your levy activity if we have any concerns regarding the capacity, capability and quality of delivery and your financial health position. The FH information can be found on Gov.UK.
The ESFA have the right to access and review all learner and learning documents associated with this agreement and you need to maintain a robust audit trail.
There are risks around sub-contracting therefore you need to ensure that you inform us of your sub-contracting arrangements through the regular returns. You need to carry out the necessary checks and have robust agreements in place with your sub-contractors.
Note as mentioned before, you must agree the sub-contractor with your employer.

12. Associated Documents Funding & Technical Rules
A suite of documents that set out the basis for funding. Includes learner and learning eligibility and required controls.
ILR specification
Technical documents that define the learner and learning data that publicly funded providers must collect and return
There are documents that are associated with the agreement and you need to be fully aware of the contents it is necessary that you adhere to these.
The funding rules sets out the rules that will apply to all providers delivering apprenticeship training and assessment following the introduction of the apprenticeship levy from 1 May 2017.
The technical funding guide details the features of the funding system used to fund apprenticeship frameworks and standards starting from 1 May and includes information on how funding is calculated, with examples.
The ILR specification is the technical document that defines learner and data information that you must collect and submit to us via the Hub. We use this information to make payments to you; report and collect MI for our stakeholders and use the data to assess the quality of your apprenticeship delivery. Later on today, there will be presentations which will cover this area in more detail
As mentioned previously, you need to be aware of our intervention, minimum standards and register policies. All of these can be found on our website and there are links at the end of this presentation.
Just to re-iterate, please read all the documents and policies thoroughly so you fully understand the requirements. These are key to the successful delivery of your apprenticeship provision.

13. Important Links
Apprenticeship Information Individual Learner Record (ILR) Specification Business Operations Service Desk at or telephone FE Connect
This slide has some of the main links that will be useful to you.
All the information on the apprenticeship programme, such as the funding rules, technical guide etc can be accesses by the first link on this slide.
The second link is to the ILR specification. There are e-training modules that give a background to the ILR.
If you have any questions about the Agency’s processes or systems you can call the service desk on the number shown here, however the answers will be in the Agency’s documentation.
You can also use FE Connect, which is the online forum for discussions on FE data and funding.

14. Questions? Background reading Presenter information:
s send to providers
Provider contracts/agreement
Funding rules
Performance management rules
Technical rules
Look at: LRS and EDRS sites
Intervention policy
High risk providers
Minimum standards
Register