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Updated 1 August 2022
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This publication is available at https://www.gov.uk/government/publications/financial-assurance-monitoring-post-16-funding/financial-assurance-monitoring-post-16-funding-for-2022-to-2023
We monitor the data reported to us as part of our assurance work. We monitor data from the Individualised Learner Record (ILR), School Census (SC), and other sources such as the Earnings Adjustment Statement (EAS) and the Student Loans Company (SLC).
This desktop review of how the funding system and funding rules operates has the following aims:
to identify possible errors in the funding claimed for post-16 delivery that require further investigation
to improve the overall quality of the data reported
to assure us that the provision we buy meets our published funding rules
to inform our standard business processes for assurance, audit, end-of-year payment and reconciliation
to support the development of policy (existing and new policy development)
to ensure benefits are realised and policy reaches its intended target group
This document lists the areas that we are monitoring during the 2022 to 2023 funding year (1 August 2022 to 31 July 2023) and provides guidance on how to correct data quality or funding errors. There is no set review date for this document, however, we will act on feedback to ensure reports are fit for purpose and consider if any new data or policy priorities should be included.
You must read this document along with any other documents referred to and take the necessary action to ensure data returns and funding claims are correct. Failure to take the necessary action may impact your year-end funding for 2022 to 2023. These documents include:
ILR technical documents, guidance and requirements
Complete the school census
Funding regulations for post-16 provision
Funding guidance for young people rates and formula
16 to 19 study programmes: guidance (2021 to 2022 academic year)
Adult education budget (AEB) funding rules
Adult education budget (AEB):funding rates and formula
Advanced learner loans funding rules
Apprenticeship funding rules
Apprenticeship technical funding guide
T Level Transition Programme Framework for Delivery
T Level industry placements: delivery guidance
T Levels funding guide
Traineeship information for training providers
UK Register of Learning Providers
Qualification achievement rates business rules
For learners who started before 1 August 2022, please refer to the documents that applied on the learner’s first day in learning.
This document is for colleges, training providers and other providers who have a funding agreement with us. Specifically, it is aimed at those staff who submit data to us and those who review data quality. We have included a summary of all the relevant rules and guidance in this document. We have assumed that you are familiar with these documents and the relevant terminology.
The term ‘we’ refers to the Education and Skills Funding Agency (ESFA) and colleagues in the wider Department for Education (DfE).
When we refer to ‘you’ or ‘providers’, this includes colleges, higher education institutions, training organisations, local authorities, schools, academies, and employers that receive funding from us to deliver education and training.
When we refer to ‘learners’, this includes students.
The term ‘post-16 delivery’ includes 16 to 19 study programmes, T Levels, T Level transition programmes, traineeships, apprenticeships, adult education budget, support funding, community learning, and advanced learner loans. This does not include the European social fund which finishes at the end of 2023.
Failure to submit accurate data can have a negative impact on funding claims and achievement rates which could be treated as a serious breach of your funding agreement with us. If we believe you have submitted data in error, or that you have not submitted it in a timely way, we will contact you and either ask you to provide further evidence to support the data or require you to correct it within a specified period.
You must respond within this period, either by correcting data as requested or by providing the required evidence. If you fail to respond appropriately to any request or subsequent request, we may act according to the terms of your funding agreement with us. For some reports, if you have data errors following the closure of the R14 ILR at the end of the funding year, we may:
recover funding where we are confident the claim has been made in error
offset funding against future delivery
conduct assurance visits for specific issues before the end-of-year reconciliation statements are issued (this may result in a recovery of funds)
If you have been subject to repeated action or a funding recovery, this will raise your risk profile with us and increase the likelihood of your organisation’s selection for audit.
Various assurance and provider facing teams across the DfE review the post-16 monitoring report dashboard internally and may use this to inform any regular management conversations with you, in addition to using it to inform their future activity.
Changes to this guidance can include:
revisions – where we revise small amounts of text or paragraphs
removals – where we remove text or sections
new items – where we add new sections
FRM38 – Learners undertaking English and/or maths within AEB when they have already achieved their legal entitlement.
FRM49 – T level programmes not recorded against an approved T level funding band.
FRM50 – T level programmes with a planned duration of less than the minimum of 2 years (653 days).
FRM65 – Total work experience hours for the T level industry placement are below the minimum for the specialism.
FRM43 – 16 to 19 study programme learners with no planned learning hours, who are not identified as requiring additional learning support through either an EHC plan or self-identified LLDD and health problems.
FRM69 – Proportion of planned EEP hours is greater than or equal to 50% of total planned hours and learner is not recorded with high needs.
FRM02 – Duplicate learning aims being delivered at two or more providers.
FRM03 – 16 to 19 funded learners who are also funded elsewhere.
In response to provider feedback and to reflect how we use this data, we will no longer routinely publish FRM02 and FRM03 as external reports. We will continue to review this data internally and will share data with providers on an exceptional basis where we have concerns relating to a higher volume of learners.
We will share the data we analyse with you through the post-16 monitoring reports dashboard every month from December (R04), with the latest school census data (S02) being incorporated in the following spring. Our expectation is that you will use the dashboard as part of your routine data quality and submission cycles to proactively address potential errors.
Providers should check data error reports as usual, whilst being aware that amendments made by school census submitters may not appear in the dashboard until after we have processed the data submitted at the next autumn census. Therefore, you will need to pay attention to this between census submissions. There is a new filter allowing data to be viewed from the ILR only, SC only or both which may help filtering these out between census submissions.
The dashboard contains data which will help you to identify and understand the highlighted issue(s) including details of qualifications previously achieved by the learner, other providers involved in delivery and SLC data from the Learning Provider Portal. We also include calculated earnings for the delivery so that you are aware of the potential funding impact if you have not corrected errors by year-end.
We will continue to use the same report numbering convention across years for consistency and to avoid confusion. If we remove any reports from the plan, any new ones added will have a new unique number.
To access the post-16 monitoring dashboard, you will need to log into View your education data. You will need an IDAMS account with the ‘view your education data – post-16 monitoring’ user role and associated with a UKPRN to access the dashboard securely.
Your organisation’s super user will be able to grant you the correct user role. Once successfully logged in, you will have the option to select ‘Data quality and assurance’, following which you should see a link to the ‘post-16 monitoring reports dashboard’ (along with any other dashboards you have access to) and you click on ‘Dashboard’.
The default setting for the dashboard is to show data for all funding streams we investigate following the most recent data return for the current year. We designed the dashboard with filters to allow access to data for previous years and periods within the same space. You are also able to filter data by a specific funding stream.
Any filters you have applied will be carried over to any other tabs you view within the post-16 monitoring dashboard. You can reset any filters you have applied by clicking the ‘back arrow’. If you apply any filters before exiting the dashboard, these will reset the next time you log in.
To view aims and learner level data you need to click on the ‘download all data’ button on the landing page. If you hover your mouse over the three dots immediately above the table on the right-hand side, you will have the option to export data. You can then select either ‘Summarised data’ or ‘Data with current layout’ (this is a more pivot table friendly option), to export it into an Excel spreadsheet, where you can apply filters and identify specific records within your own system. In most cases, the fields match the fields in the ILR and SC specifications and will show the data you submitted most recently. Where you have not submitted any data in a field, these cells will contain a relevant placeholder value such as ‘-1’ or will appear blank, indicating a NULL value. We assign each row in every report a ’query ID’ to support your analysis and help any discussions you may need to have with us.
You can also view the data behind each of the graphs and charts in the dashboard by right clicking on the visual and selecting ‘show as a table’.
You can export data from any table by hovering your mouse over the table, clicking on the three dots in the top right-hand corner and then selecting ‘export data.’’ You will be given the option to export ‘Summarised data’ and a text box will appear at the top of the screen indicating that the data has been exported. You will then be given the option to open the exported data and you can then save it. The exported dataset will indicate which filters you applied in a single worksheet with column headers and one row of data for each query identified.
A ‘Known Issues’ tab shows any changes or fixes we are applying to the data in the dashboard. This tab gives you information on the issue, how it affects your data, and when we expect to fix the issue by.
The landing page of the dashboard indicates when we will refresh the data each month in line with the dates published in column G (page 3) in the ILR freeze schedule 2022 to 2023.
Each month, we use the data as follows:
December (ILR R04) initial data release (ILR data)
January (ILR R05)
February (ILR R06) review point, used for contacting providers
March (ILR R07) data release (S02 SC data)
April (ILR R08) review point, used for contacting providers
May (ILR R09) review point, used for contacting providers
June (ILR R10) review point, used for contacting providers
July (ILR R11)
August (ILR R12) review point, used for contacting providers
September (ILR R13) review point, used for contacting providers
November (ILR R14) used for calculating recoveries and reconciliation.
None
Adult education budget – we will not fund a learner to repeat the same regulated qualification where they have previously achieved it. The exceptions are for any GCSE where the learner has not achieved grade C, or 4, or higher.
Apprenticeships – you must account for prior learning and experience when negotiating a price with the employer. You must reduce the content, duration, and price, where the individual has prior learning necessary to achieve the apprenticeship. Funds must not be used to pay for skills already attained by the apprentice.
Correct data, learner is ineligible.
For apprenticeships starting on or after 1 May 2017 (excluding English and maths), the negotiated price must reflect the prior learning identified. You must be able to demonstrate that enough learning is still required to meet the required minimum duration.
For advanced learner loans, you must remove the Advanced Learner Loans Indicator (ADL) from the learning aim record and contact the SLC to cancel the loan if the learner was required to take out a loan in error.
For any other learning aims, you must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
For provision funded through a grant, this value will be recorded as an adjustment against your reconciliation statement. Provisional error values will be used for your year-end funding claim to alert you to any potential impact on your final position at R14.
For provision funded through a contract, we will offset this value against future delivery.
None
Apprenticeships from May 2017
We will fund an apprentice to achieve up to an approved level 2 qualification in English and maths where they do not already hold a suitable equivalent qualification.
Where the apprentice already holds approved level 1 qualifications: Apprentices must start, continue to study, and take the assessments for a level 2 English and/or maths (functional skills level 2 or GCSE). This requirement must be fulfilled before the apprentice takes the end-point assessment.
Correct data, learner is ineligible.
You must recode the aims with Funding model code 99 or follow the provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
Adult education budget (National)
If a learner aged 19 to 23 has achieved a level 2 qualification that was at the time they started, or still is, classed as a full level 2, then any subsequent level 2 qualifications will be co-funded, including where the learner has achieved any qualification higher than level 2.
The only exception is where the learner is unemployed or funded through the low wage pilot.
Correct data, learner is ineligible.
You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
Adult education budget (National)
If a learner aged 19 to 23 has achieved a level 3 qualification that was at the time they started, or still is, classed as a full level 3, and wants to enrol on any subsequent level 3 qualification, of any size, they will have to either apply for an advanced learner loan or pay for their own learning, including where the learner has achieved any qualification higher than level 3.
The only exception is for unemployed or low wage learners as part of the level 3 free courses for jobs offer.
Correct data, learner is ineligible.
You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
A traineeship is for young people who have little or no work experience but are motivated to work and become qualified up to level 3.
Correct data, learner is ineligible.
You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
Advanced learner loans
You must accurately complete all ILR fields for loans-funded learners and make ILR returns as required in the ILR specification and the provider support manual. Where your data does not support the funding that you have received from SLC or claimed from the loan’s bursary, we will take action to get this corrected and could recover funds or require you to make repayments to the SLC.
Clause 23 of the Education & Skills Contract for Services states:
Funding for Advanced Learner Loans Facility and Bursary: “The Contractor will submit Learner Data to the Department to comply with Clause 23, Submission of Learner Data of the Contract. The data will be accurate and based on evidence or base documentation and align with the data submitted to the SLC by the Contractor. Failure to submit records for less than 95% of Learners and their learning supported by Advanced Learner Loans at any time during the delivery of this Service will be a Minor Breach of the Contract” relating to all Loans reports.
Review evidence, correct as necessary.
If the learner has passed the initial liability point for provision funded through an approved loan, you must ensure that you have recorded the aim with Funding model code 99 and the advanced learner loans indicator. You must not record a source of funding for this provision.
Request evidence, determine action.
None
Advanced learner loans
You must not report the advanced learner loans indicator in the ILR if the learner did not pass the liability point and claim funding for any support costs, such as the loans bursary.
Review evidence, correct as necessary.
If the learner does not have an approved loan with SLC for their learning, or they withdrew before passing the initial liability point, you must remove the advanced learner loans indicator from the ILR and remove any loans bursary claim.
You must only report the advanced learner loans indicator once the learner has passed the initial liability point for provision funded through an approved loan.
Request evidence, determine action.
None
Provider support manual – The data you record on the ILR must accurately reflect the journey for the learner and what has happened. Inaccurate information must never be entered even where it is perceived that this would result in a more equitable claim for funding or accurate record of performance.
Adult education budget– The ILR must accurately reflect the learning and support (where applicable) you have identified, planned, and delivered to eligible individuals. You must not report inaccurate information that would result in an overstatement of the funding claimed.
Apprenticeships – When a change of circumstance results in over-payment of funds from an employer’s apprenticeship account or government-employer co-investment, any over-payment must be repaid by you.
Advanced learner loans – You must accurately complete all ILR fields for loans-funded learners and make ILR returns as required in the ILR specification and the provider support manual. Where your data does not support the funding, you have received from SLC or claimed from the loan’s bursary, we will take action to get this corrected and could recover funds or require you to make repayments to SLC.
Review evidence, correct as necessary.
Please note: You cannot change or remove the data in this report if it accurately reflects the evidence you hold. The purpose of the report is to give notice of potential clawback for any overclaim resulting from late reporting of the data.
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
If the programme content changes within the first six weeks of the programme, the institution must update the planned hours.
For learners who complete or leave learning within their initial six-week period, the institution must revise the planned hours to the planned hours for the student’s actual period of attendance.
Review evidence, correct as necessary.
Request evidence, determine action.
None
Providers must have evidence that individual learners were undertaking the specified study programme during the learning period for which funding and retention is being recorded.
Review evidence, correct as necessary.
You must ensure that the learning actual end date accurately reflects the evidence you hold.
Request evidence, determine action.
None
Planned hours must take place in line with the institution’s normal working pattern.
The number of hours a student may study should not be greater than the legal maximum of 40 hours per week and both the study programme’s planned hours and planned dates will need to reflect this.
If the student is on a study programme that spans more than one funding year, the planned hours recorded in the data return must be set at the start of each funding year to only reflect the planned hours for the funding year.
Review evidence, correct as necessary.
You must adjust the planned learning hours to ensure that the learner is not studying more than 40 hours per week.
If the student is on a study programme that spans more than one funding year, the planned hours recorded in the data return must be set at the start of each funding year to only reflect the planned hours for the funding year.
Request evidence, determine action.
Updated to incorporate updated funding rules for new starts from 1 August 2022.
Apprenticeships from May 2017
For starts from 1 August 2022: to be eligible for government funding at least 20% of the apprentice’s normal working hours, capped at 30 hours per week (for funding purposes only), over the planned duration of the apprenticeship practical period, must be spent on off-the-job training. For apprentices working 30 hours or more per week, this is an average of 6 hours of off-the-job training per week (i.e. 20% of 30 hours) over the planned duration.
For starts prior to 1 August 2022: to be eligible for government funding at least 20% of the apprentice’s normal working hours, over the planned duration of the apprenticeship practical period, must be spent on off-the-job training.
For all apprentices: the minimum requirement for a part-time apprentice is 20% of their normal working hours over an extended duration.
English and maths training, up to and including level 2, does not count towards the minimum 20% off-the-job training requirement; where required this must be delivered in addition to the minimum requirement.
Review evidence, correct as necessary.
Request evidence, determine action.
Previously an internal report
Adult education budget (National)
Please refer to the Adult education budget (AEB) funding rules 2022 to 2023.
We will fully fund individuals, including individuals who are employed, aged 19 or older, who have not previously attained a GCSE grade 4 (C), or higher, in English and maths, as part of their legal entitlement on the day they start the following qualifications:
GCSE English language or maths
Functional Skills English or maths from Entry to level 2
Stepping-stone qualifications (including components, where applicable) in English or maths approved by DfE
If a learner has already achieved their GCSE English and/or maths at grade 4 (C), or higher, they have met their entitlement in that subject and are ineligible for further funding.
Correct data, learner is ineligible.
You must recode the aims with Funding model code 99 or follow provider support manual guidance on correcting data errors after hard close of the previous year (aims with an incorrect funding model).
If there are errors outstanding in this report at R14, we will recover any funding overclaim.
None
The core aim is the most important or central element of the programme, around which the rest of the programme is built. It will usually be the component with the largest amount of timetabled activity associated with it and will usually reflect the primary focus of the programme in line with the student’s intended destination (such as employment or further study) at the end of their programme.
16 to 18 traineeships must always have work experience as the core aim. Study programmes that are not traineeships may also have work experience as the core aim.
Review evidence, correct as necessary.
If you are not delivering a more substantial qualification as part of the learner’s programme, you must report work experience aims of this size as the core aim.
Traineeships must have work experience recorded as the core aim.
Request evidence, determine action.
Previously an internal report until R12 2021 to 2022
16 to 19 study programmes
For 16 to 19 funded learners, the planned learning hours field should be completed with the total planned timetabled hours spent on qualifications. These qualifications must be approved for teaching to 16- to 19-year-olds on the ESFA list of qualifications approved for funding 14 to 19, or any alternative list which may be published by the Department for Education (DfE) in the future. The qualifications must also be listed as valid for 16 to 19 funding in Find a learning aim.
Providers must ensure that the planned hours entered on data returns are realistic and deliverable to each individual student and are supported by auditable evidence that the eligible activity offered to learners is timetabled.
Learners who are not studying any regulated qualifications should not have planned learning hours recorded.
Review evidence, correct as necessary.
Request evidence, determine action.
Previously an internal report
T levels
The T Levels funding guide for 2022 to 2023 publishes the funding bands for T levels and the minimum planned hours for each band. We expect that institutions will deliver at least the minimum hours for all students.
If you have reported less than the minimum hours, you will need to deliver and record more EEP and/or qualification hours/teaching to meet the minimum hours for the band. If you do not do this, then you will receive funding for a lower band.
Review evidence, correct as necessary.
Request evidence, determine action.
Previously an internal report
T levels
T Levels are two-year level 3 technical qualifications that are designed to give learners the skills that the industry needs. The expectation is students usually start T Levels at the beginning of an academic year, so we have based our calculation on a mid-September start with a planned completion at the end of June in the following academic year.
Review evidence, correct as necessary.
Request evidence, determine action.
None
16 to 19 study programmes
For 16 to 19 funded learners, the planned learning hours field should only be completed with the total planned timetabled hours spent on qualifications approved for teaching to 16- to 19-year-olds on the ESFA list of qualifications approved for funding 14 to 19, or any alternative list which may be published by the Department for Education (DfE) in the future. The qualifications must also be listed as valid for 16 to 19 funding in Find a learning aim.
Providers must ensure that the planned hours entered on data returns are realistic and deliverable to each individual student and are supported by auditable evidence that the eligible activity offered to learners is timetabled and exists.
Learners who are not studying any regulated qualifications should not have planned learning hours recorded.
Review evidence, correct as necessary.
Request evidence, determine action.
Previously an internal report
T levels
Please refer to the T Level industry placements: delivery guidance. Every student must complete a substantial industry placement as part of their T Level programme. The duration of the industry placement must be for a minimum of 315 hours (there is no upper limit). The only exception is the Early Years Educator occupational specialism, within the Education and Childcare T Level, that must be for a minimum of 750 hours.
Review evidence, correct as necessary.
Request evidence, determine action.
Previously an internal report until R12 2021 to 2022
Non-qualification hours cover employment, enrichment, and pastoral (EEP) activity. These hours must be timetabled, organised and/or supervised by the institution. Institutions must always record work experience that is eligible for funding as employability, enrichment, and pastoral (EEP) hours.
Work experience that the institution has planned, organised, and supervised will be recorded as non-qualification activity and should be identified in data returns using the work placement entity.
Review evidence, correct as necessary.
Request evidence, determine action.
We will not publish an external report for these initially where these reports are new areas. We will monitor internally to support the development of future systems and policy, and to identify specific scenarios which may be covered by an external report in the future. We may contact you to better understand data, and if we identify any behaviour that indicates a potential funding risk.
Duplicate learning aims being delivered at two or more providers.
Learners who are also funded elsewhere.
Learners studying at a level below their highest previous attainment, to ensure data accuracy, quality of delivery and eligibility for funding.
Learners not meeting the condition of funding, to ensure data accuracy and quality of delivery.
Level 2 and 3 progression routes.
Compressed delivery of study programmes.
Local flexibility and legal entitlements, to ensure data accuracy and eligibility for local flexibility funding.
Prior attainment and progression relating to the level 3 free courses for jobs offer, to ensure data accuracy and eligibility for funding.
Data quality, to ensure data reported in the ILR and via the SLC is consistent and learners are not over-exposed to debt. This includes monitoring withdrawals and other learner changes that should be reported in a timely manner to the SLC.
Learners not achieving English and/or maths prior to completing their programme, to ensure data accuracy and quality of delivery.
To ensure cost effective programmes are being delivered to learners, and data is recorded correctly in the ILR.
Learner destination to understand progression routes across programmes.
Programme duration, to ensure data accuracy and assure duration rules are met.
Early completers, completer destinations, and changes in specialism.
Internal monitoring to understand learner characteristics, identify progression routes and develop future policy.
Don’t include personal or financial information like your National Insurance number or credit card details.
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