? Hub error reports 1 Funding Information System First challenge - PDF document

DSAT update - a technical funding audit workshop 14 May 2014 Nick Linford Director at Lsect Karl Bentley Auditor at Baker Tilly Agenda 10.30 Welcome and introduction to the provider DSAT 11.00 DSAT reports for 16-19 Study Programmes 11.50 Break for refreshments 12.10 DSAT reports for 16-19 Study Programmes cont. 13.00 Break for lunch 13.50 DSAT reports for 19+ adult skills budget provision (incl. apprenticeships) 15.30 Workshop end Slides will be emailed after the event Three SFA tools to support ILR data quality Data Self Assessment Funding Information System Toolkit (DSAT) for (FIS) for indicative funding Provider Funding Report (PFR) checking data credibility values, errors and warnings £ ILR xml file IM services online Hub College/training £ provider student system ? Hub error reports 1

Funding Information System First challenge is to ensure FIS can export ILR data to an Access database Import ILR Perform Funding calcs Export database Best to ‘execute’ one procedure at a time, and the final export could take 1-2 hours The Provider Data Self Assessment Toolkit (DSAT) “PDSAT has been designed to: • give providers a toolkit to analyse ILR data • assist auditors in the audit of FE providers’ ILR data for 2013 to 2014 We [SFA] do not require FE providers use PDSAT , although you may find it useful in your routine data cleansing and helpful when preparing for assurance visits. FE providers funded by the Education Funding Agency (EFA) must use PDSAT during the funding year. As PDSAT v14 was only made available on 3 February, providers were not required to use it for the ILR R06 data collection that closed on 6 February. The first return period when ILR data is expected to have been checked for accuracy before being submitted is R10 in June. However, the EFA recommend that providers use the PDSAT as early as possible to check that ILR data is https://www.gov.uk/government/publications/ilr-data- valid and correct. By starting early you will check-that-it-meets-standards-and-quality-requirements avoid any unnecessary problems later in the year.” Importing the ILR DB into the DSAT Once DSAT downloaded and installed the ILR database is imported 2

DSAT sampling Auditors use this facility, and you can too if you undertake your own internal substantive testing audit DSAT sampling (EFA) Auditors use this facility, and you can too if you undertake your own internal substantive testing audit DSAT sampling (SFA) Auditors use this facility, and you can too if you undertake your own internal substantive testing audit 3

53 DSAT reports, and we will look at these 22: Report ID Report Title 140-170 Full Time Learners on Short Study Programmes 140-180 Learners with High Weekly Study Hours 140-480 Core Aims EFA 140-190 Learners with High Study Hours In-Year 140-210 Learners with funding hours split by qualification hours and non-qualification hours 140-220 Learners on study programmes of no more than four weeks duration 140-230 Funded hours thresholds 140-060 Possible Duplicate Learners Both 140-070 Possible Duplicate Learning Aims 140-240 Withdrawals on Short and Long Programmes 140-110 19+ Learners with Full Funding Claimed 140-200 Learning Aims where the Cap has been applied 140-300 Early Completers 140-260 Learning Actual End Date within 2 days of Census Date 140-450 Learner Nos by Full or Co-Funding 140-460 Learning Aims by Delivery Postcode SFA 140-090 Apprentices with prior attainment at level 4 and above 140-140 16-18 Apprenticeships Minimum Duration Exceptions 140-150 19+ Apprenticeships Minimum Duration Exceptions 140-290 Apprenticeship Achievers 140-520 24+ Advanced Learning Loan and Loans Bursary Fund Learners 140-530 Level 3+ Advanced Learning Loans Exceptions 140-170 (EFA) Full Time Learners on Short Study Programmes Lists learners (and their learning aims) with a total of 540 hours or more who are recorded on a study programme of less than 24 weeks. The recording of inappropriate programme durations in the ILR may distort the funding claimed by the provider. 140-180 (EFA) Learners with High Weekly Study Hours Lists learners (and their learning aims) that have at least 35 weekly study hours during their programme. Large volumes of weekly study hours could indicate that the number of hours recorded and the associated funding may be overstated. 4

140-480 (EFA) Core Aims Identifies all individual core aims in the ILR and the learners enrolled on them. Assists Providers in ensuring that the correct core aims have been identified as such in the ILR. 140-190 (EFA) Learners with High Study Hours In-Year Lists learners (and their learning aims) that have at least 800 study hours in the year. High volumes of in ‐ year study hours may indicate that such hours have been incorrectly recorded for the whole duration of the programme rather than the academic year only. 140-210 (EFA) Learners with funding hours split by qualification hours and non-qualification hours Lists learners, the split of funding hours between qualification hours and non ‐ qualification hours and the proportion that is qualification hours. Most EFA learners should be spending most of their funded time undertaking qualification activity. 5

140-220 (EFA) Learners on study programmes of no more than four weeks duration Identifies learners enrolled onto short programmes. Providers should be able to demonstrate that the study hours recorded on the ILR are being delivered and that such learners are not being funded elsewhere on longer programmes. This will also identify unfunded learners. 140-230 (EFA) Funded hours thresholds Identifies learners whose funded hours are within 5% of the previous funding band maximum. Large volumes of learners whose funded hours are just over the maximum for the previous funding band may indicate incorrect recording of funded hours. 140-060 (EFA & SFA) Possible Duplicate Learners Lists potentially duplicated learners within the ILR, assessed according to 8 different matching criteria. Duplicate learners are not permitted and an adjustment to the ILR and to the funding claimed may be required. Note that twins may appear on this report as a potential duplicate and the Provider should be able to demonstrate that this is the case. 6

140-070 (EFA & SFA) Possible Duplicate Learning Aims Lists potentially duplicated learning delivery within the ILR, assessed according to 6 different matching criteria. Duplicated learning delivery is not permitted and an adjustment to the ILR and to the funding claim may be required. Note that twins may appear on this report as a potential duplicate and the Provider should be able to demonstrate that this is the case. 140-240 (EFA & SFA) Withdrawals on Short and Long Programmes Identifies learners that withdraw close to the start qualifying threshold date for funded learning. The systematic recording of learners' withdrawals near a start qualifying period may require investigation to ensure accurate data that can be supported by evidence. 140-110 (SFA) 19+ Learners with Full Funding Claimed Lists learners aged 19 and over that are in workplace learning and are recorded as fully funded. SFA funded learners aged 19 and over are eligible for full funding only if they satisfy specific criteria. Providers must be able to demonstrate that learners appearing on this report are eligible for full funding. 7

140-200 (SFA) Learning Aims where the Cap has been applied Lists learners and their learning aims where the total value of the learner's provision exceeds the funding cap. This may identify errors in data that are causing the cap to be applied inappropriately, such as unrealistic sizes of programme or incorrect learning aim durations. 140-300 (SFA) Early Completers Identifies learners who have been recorded in the ILR as having completed more than 14 days before the learning planned end date. Records can be reviewed to confirm that learners have actually completed and not withdrawn and that learning planned end dates are recorded accurately in the ILR. Where learners have completed particularly early, this could indicate that there was prior learning that should have been taken into account in determining the funding remaining. 140-260 (SFA) Learning Actual End Date within 2 days of Census Date Identifies learners who have been recorded in the ILR as havng withdrawn close to a monthly census date A disproportionate number of learners leaving within 2 days of a monthly census date could indicate that withdrawals are not being accurately recorded in the ILR. 8

140-450 (SFA) Learner Nos by Full or Co-Funding Summarises the volumes of learners on each learning aim by age and by the Full or Co ‐ funded indicator The report can be filtered by age group and Full or Co ‐ funded indicator to provide an indication as to whether the provider is applying the rules on financial contributions correctly. 140-460 (SFA) Learning Aims by Delivery Postcode Summarises the volume of learning aim enrolments in the ILR by delivery location postcode. Allows analysis in conjunction with knowledge of the Provider and its off ‐ site and subcontracted provision. 140-090 (SFA) Apprentices with prior attainment at level 4 and above Identifies apprentices with prior attainment of level 4 or above that are enrolled on a programme other than Higher Apprenticeship at level 5 or above. Learners who already have a qualification at level 4 or above are only eligible for funding for a higher Apprenticeship at level 5 or above so any other programme or learning aim listed will result in a funding error. 9