February 2018 Rebecca Rhodes, Senior Associate, UVAC

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1 A PRACTICAL GUIDE TO MAKING ILR DATA RETURNS VALIDATION TOOLS February 2018 Rebecca Rhodes, Senior Associate, UVAC

2 Agenda An overview of ESFA data collection and HESA processes Collection and submission rules and timetable The short-form ILR / ILR Tool Error reporting and resolution Reporting Tools Reports in the Provider Hub FIS Funding Reports Funding Monitoring Reports DSAT

3 APPROACHING DATA AND MANAGEMENT

4 Apprenticeship ILR data basics ILR provides on-going collection of data in a standard format about learners and their learning journey Is your invoice to government and levy paying employers Is your declaration that apprentice and employer are eligible for funding...and that they remain eligible or funding It is government s source of public and published data to confirm where public funds have been spent You MUST submit your ILR compatible file on time to meet monthly census points: You must ensure that the data held by the SFA is complete and fit for purpose by the return date You must include anyone who has attended one learning episode e.g. class and don t include them if they haven t The submission window for each year starts on 1st August and finishes on 31st July the following year Each monthly submission window closes at on the fourth working day of the following month.

5 ILR Processing Options ILR systems Can be populated by an extract from your own MI/Records systems Buy in a tailor made system (PICS, MAYTAS) Buy an upgrade module or commission a bespoke set of changes HESA ILR Return and 17/18 guidance Entry in HESA collects some of the additional fields needed for the ILR HESA reformat the HESA return into an XML file if it passes HESA validation Once uploaded into the hub, HEIs then run ESFA validation / error reports Apprenticeship students are also included within the full Student return with all the appropriate fields required for HE students Outsourcing Contract with an experienced ILR processor to upload and manage your ILR files The Shortform ILR / ILR Learner Entry Tool Collects Learner and Learning information on a series of tabs For apprentice volumes up to 500

6 Employer & provider payment cycle 19 th or before 23 rd onwards 1 st* working day 4 th working day 5 th working day 11 th working day EMPLOYER declares levy to HMRC Funds appear in employer Apprenticeship Service account Employer approves apprentices in their apprenticeship service account PROVIDER submits ILR to ESFA ILR DEADLINE Employer Apprenticeship Service account debited Provider paid by ESFA *or whatever timeframe works for you

7 Apprenticeship ILR data basics If you are having problems with your monthly submission : Leave problematic records out of the monthly return and upload everything else - you can add records in the following month. This will generate both months payments i.e. based on their start date, i.e. two months payments would be due. Keep an error resolution log and try your fixes one field and one record at a time. Make a note of everything you try. Upload a single learner record so you can create an exemplar template record that you can apply to others (repeat this approach for errors ) Work with employers to ensure Double Lock between provider ILR data and employer data in the Apprenticeship Service does not contain discrepancies Try FE Connect / Service Desk

8 ILR Core Field List Chapter 4 and 6 See section 13.8 for a list of fields and what to put in each.

9 Reports Structure Relationships FIS Manage Current Earnings via Data Validation GET THE MONEY Funding Reports Manage Future Money & Earnings HUB Manage Current Earnings via Data Validation KEEP THE MONEY DSAT Manage Risk & Ensure Data Quality for Audit BI Tools Funding Monitoring Reports Manage Risk & Confirm Eligibility

10 THE ILR SHORT FORM TOOL

The Hub The Hub is a secure, online portal Submit files Generate Reports View Contract information You will need to register for an account for the

11 The Hub The Hub is a secure, online portal Submit files Generate Reports View Contract information You will need to register for an account for the Hub (and the LRS) The ILR data collection timetable contains ILR monthly submission dates Start making ILR returns once the apprentices have started

Platform Structure Rhodes Rebecca Ref: 4565969493 ULN : 40560330 Name: Rhodes Rebecca DOB 01011975 Don t Export Rebecca Rhodes Female Medium term option <500 Not every field is relevant for

12 Platform Structure Rhodes Rebecca Ref: ULN : Name: Rhodes Rebecca DOB Don t Export Rebecca Rhodes Female Medium term option <500 Not every field is relevant for apprenticeships Many fields have a single standard code to be used You have the option to exclude a record from being uploaded You upload the file each month - updating only what has changed NN AN1 1YS The Cottage Solihull Any Town Anyshireville AN1 1YS rebecca@ .co.uk.sounds so simple. and yet.

13 VALIDATION REPORTS

14 Using Reports Use the Rule Violation Summary to check the number of records uploaded matches your learner numbers in your original file If your uploaded file contains errors upload a second corrected file to overwrite it Use FIS to amalgamate multiple ILR files for a specific learner obviously all data needs to be the same first Your Provider Funding Report will not show any files that are not processed if so you will not be paid Continued data errors will be a compliance issue ESFA will pursue this with you. FIS doesn t include all the funding data - use the hub for earnings and payment reports - FIS is indicative FIS is an interim validation and does not check all fields you need to upload to the Hub for ULN, Employer Number and Postcode

15 Tools The Data Return option in the Hub enables you to upload your ILR file Funding Information System (FIS), helps providers validate ILR data, calculate funding and derived variables, create a range of reports based on a set of ILR data FIS enables you to create one ILR file from multiple sources and it contains a number of databases including the Learning Aims Record Service (LARS) database all qualification and Standards data These need to be kept up to date and the FIS provides a simple tool for this Some validation lookup tables only activate when the ILR is uploaded to the Hub - FIS is therefore indicative only on earnings.. Provider data self assessment toolkit (PDSAT) and reports to help FE providers make accurate and complete ILR data returns Provider DSAT (PDSAT) outputs a series of reports to test integrity of ILR data. This assists providers in routine data cleansing and submitting accurate ILR data returns to funding agencies. You can import ILR or FIS

16 HUB & FIS REPORTS

17 FIS download link

18 Funding Information System & Validation Reports FIS is a downloadable application that can check your ILR data before you upload it to the Hub blications/individualised-learnerrecord-ilr-check-that-data-isaccurate FIS and the Hub produce rule violation reports The reports tell you about any errors and warnings and contain details to help you identify the affected learner and how to correct the error 18

19 Available procedures

20 Hub Reports UNIVERSITY OF LIFE

21 Rule Violation Summary Report UNIVERSITY OF LIFE UNIVERSITY OF LIFE UNIVERSITY OF LIFE 53 UNIVERSITY OF LIFE

22 Rule Violation Summary

23 Error Reports and warnings

24 RESOLVING ERRORS

25 Approaching Errors

26 ILR Processing that leads to errors XML validation (Schema) STAGE 1 - checks for the XML file format, data sequence and fields are true to type i.e. alpha fields are not full of numbers Errors here appear on the violation report STAGE 2 - Fields are checked for all mandatory fields, field lengths correctly filled and patterns of data e.g. date order DDMMYYY are correct Errors here are also reported on the violation report - usually with briefer messages and starting with FD Validation Rules Checks for nonsense across fields Business validation and checks multiple fields of information on funding eligibility Errors here are listed in the Validation Error reports (FIS and the HUB) Warnings are where data is unusual or allowed only in certain circumstances - check these to confirm they are correct Postcode must have both parts with a space between Funding Monitoring reports require your action

27 Common Data Issues All apprenticeships after may 2017 are Funding Model code 36 Correctly record levy/ non levy employer ACT codes ILR matching with the apprenticeship service is triggered by apprenticeship contract type (ACT): ACT2 = non levy employer contract for services with SFA ACT1 = levy employer contract for services with the employer Check that an approved employer commitment exists in the apprenticeship service Record <50 employers as a small employer in the employment status monitoring field Record co-investment in the apprenticeship financial record, apprenticeship financial type PMR Dates Dates Dates - make sure they match and make sense.and don t change learning end dates Don t record an apprenticeship if they leave before any learning takes place Ensure apprentice status is employed status

28 Managing Data Data Matching App Service / ILR match on five data fields - if these don t match the provider is not paid & employer account not debited DATA MATCH REPORT Data for Payments Check that data is correct and will upload - DATA VALIDATION SUMMARY & REPORT in FIS or the Hub Data Quality Check data for eligibility FUNDING MONITORING REPORTS and use DSAT to ensure data quality Funding Calculations Payments Check FUNDING REPORTS for Earnings Any discrepancies may lead to funding being clawed back. Calculate and forecast the net payment you are due Check reports AFTER the ILR Close to confirm earnings - earnings, incentive payments for employers, plus reconciliation from over/ under payments Confirm Check that the Apprenticeship Service employer Levy balance is correct

29 Tacking Errors using the Validation Report Validation Report contains the detail about the error or warning Enables you to see what is wrong and work out which fields and what needs changing For example..

30 FUNDING REPORTS IN THE HUB

31 Funding Reports in the Hub for apprentices starting from May 2017(FM36) Run after ILR submission Show earnings calculated by ESFA based on your ILR check your entries manage your funding FIS also produces some of the same reports but these are indicative only For both funding lines Non-levy (ACT 2) nonlevy contract : non procured procured 19+ procured 19+ non-procured Levy contracted (ACT 1) levy contract 19+ levy contract

32 Apprenticeship Funding Reports Produced when the ILR is submitted & processed Produced when the ILR window has closed Apprenticeship Data Match Apprenticeship Data Match Apprenticeships Indicative Earnings Report HUB* Apprenticeships Monthly Payment Report Apprenticeship Cofunding Contributions Report Funding Summary Report

33 Funding Reports Available to download after your submission has been processed or after the ILR window closes Funding Summary Report Generated during the submission window Summarises total earnings per apprentice including employer contribution Does not show levy/coinvestment payments No earnings produces a blank report

34 Funding Reports Apprenticeship Data Match Report Matches ILR and the Apprenticeship Service Generated before and after the ILR close Link refreshed hourly If everything matches the report is blank If the issue is with the AS; no need to upload your ILR again Gives you the AS data and the ILR value so you can spot the issues - if the ULN is correct Apps Co-funding Contributions Report Generated after the ILR close Shows earnings generated Shows the co-investment required from employers each month Uses the ERN in the ILR and shows the employer name IF they are a levy employer <50 fully funded employers with obviously not on this report If no investment is required, the report is blank

35 Funding Reports Apps Indicative Earnings Report Generated during the submission window Detailed report with expected earnings each month by apprentice Therefore does not show earnings by employer or coinvestment No earnings produces a blank report FIS is indicative only. Apps Monthly Payment Report Generated after the submission window close Matches with the apprenticeship service Sets out earnings sources i.e. levy, employer contribution or both Includes additional payments Shows by ILR return period ( i.e. monthly ) time sequence difference between predicted earnings and actual payments No earnings produces a blank report

36 Funding Monitoring Reports - BI Tools New Reports Request through your Hub Super User Generated after the ILR Close Checks to ensure compliance with the funding rules assumes a working knowledge of the ILR, including the field names and codes and their impact on funding You refer to the specific funding rules and ILR guidance relating to each report for action required

37 Funding Monitoring Reports No results in the summary lines = no issues identified

38 Funding Monitoring Reports Of the 29: Withdrawals with additional payments (13) Small employer Waiver (14) Funding Model 36 restarts (15) Recording Co-investment payments (16)

39 DSAT

40 DSAT Provider data self assessment toolkit (PDSAT) and reports to help FE providers make accurate and complete ILR data : gives providers a toolkit to analyse ILR data assists auditors in the audit of providers ILR data select audit samples and create a set of audit working papers (for 2016 to 2017) Further update due later in 2018 Run DSAT after validation errors are addresses / after FIS outputs a series of reports to test integrity of ILR data. Assists providers in routine data cleansing and submitting accurate ILR data returns to funding agencies. You can import ILR or FIS files Audit use DSAT reports on an ILR sample as prep for an audit, slicing and cross referring to check for data anomalies. Makes links between fields Focus on dates and activities linked to dates; withdrawals after incentives payments, in learning beyond their planned end date (INA) Focus on funding triggers and other corroborating data evidence e.g. payment of employer incentives to small employers but their ERN indicates they are not a small employer

41 DSAT Report Suite and Favourites UNIVERSITY OF LIFE

42 2017/2018 reports New DSAT reports in place for post May 2017 Apprenticeship starts A-108 All learners and learning aims within the new apprenticeship programme 2. 18A-207 Apprentices undertaking level 1 or below in English and/or maths within an Apprenticeship 3. 18A-208 Negotiated prices as a proportion of maxima 4. 18A-209 Apprentices funded for English and/or maths within the adult education Budget 5. 18A-210 Apprentices withdrawing from the programme soon after attracting an additional payment 6. 18A-211 Apprentices that withdraw from existing programmes and restart in funding model A-212 Recording co-investment payments 8. 18A-213 Functional skills at level 2 or below in an Apprenticeship having already achieved level 2

43 DSAT Guidance 2016 doc but provides a summary of many of the reports and highlights those relevant to Funding Model 36 Download PDSAT PDSAT Overview

44 Further Information ESFA Digital Blog - Follow ESFA Digital Service Set up web alerts from - GOV.UK Support Contact - servicedesk@sfa.bis.gov.uk Contact r.rhodes@bolton.ac.uk ILR Learner Entry 2017 to 2018 User Guide

45 Q AND A

46 Questions & Further Information Queries and Questions to : r.rhodes@bolton.ac.uk

47 Data Matching & the Apprenticeship Service The apprenticeship service holds details about apprentices for levy paying employers and it is matched to the ILR record on five fields : 1. ULN 2. UKPRN 3. Framework or Standard codes 1. Learning Aims Reference Code (LARS ) code 2. For frameworks only 1. Programme level 2. Pathway 4. Total Negotiated Price 5. Start Dates ESFA matches your ILR upload to the previous days AS data Check the Apprenticeship Data Match report in the Hub - blank for no errors Both accounts must be amended BEFORE the ILR collection period.. Or no payment will flow/ levy will not be debited Monthly funding payments are only made when key details in both data sources match

THE INDIVIDUALISED LEARNER RECORD MONTHLY RETURN. November Rebecca Rhodes, Senior Associate, UVAC

THE INDIVIDUALISED LEARNER RECORD MONTHLY RETURN Part 1 November 2017 Rebecca Rhodes, Senior Associate, UVAC r.rhodes@bolton.ac.uk Data Fields ILR Data Fields Mandatory Data Learner Data Learning Data