a practical guide to making ilr data …...• buy in a tailor made system (pics, maytas) • buy an...
TRANSCRIPT
A PRACTICAL GUIDE TO MAKING ILR DATA RETURNS – VALIDATION
TOOLS
Rebecca Rhodes, Senior Associate, UVAC
February 2018
Agenda
• Collection and submission rules and timetable
• The short-form ILR / ILR Tool
An overview of ESFA data collection and HESA processes
Error reporting and resolution
• Reports in the Provider Hub
• FIS
• Funding Reports
• Funding Monitoring Reports
• DSAT
Reporting Tools
APPROACHING DATA AND MANAGEMENT
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 18.00 on the fourth working day of the following month.
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
• EMPLOYER declares levy to HMRC19th or before
• Funds appear in employer Apprenticeship Service account23rd onwards
• Employer approves apprentices in their apprenticeship service account1st* working day
• PROVIDER submits ILR to ESFA ILR DEADLINE4th working day
• Employer Apprenticeship Service account debited 5th working day
• Provider paid by ESFA 11th working day
Employer & provider payment cycle
*or whatever timeframe works for you
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 www.feconnect.sfa.bis.gov.uk / Service Desk
ILR Core Field List
• Chapter 4 and 6 • See section 13.8 for a list of
fields and what to put in each.
Reports Structure – Relationships FIS
Manage Current Earnings via
Data Validation
HUBManage Current Earnings via Data
Validation
BI Tools Funding Monitoring Reports
Manage Risk & Confirm
Eligibility
DSAT
Manage Risk & Ensure Data Quality for Audit
Funding Reports
Manage Future Money & Earnings
GET THE MONEY
KEEP THE MONEY
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 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
The Cottage
Solihull
Rhodes Rebecca
Any Town
Anyshireville
AN1 1YS
01234 567 890
AN1 1YS
NN123456
Rebecca Rhodes
Female
Ref: 4565969493 ULN : 40560330Name: Rhodes Rebecca DOB 01011975 Don’t Export
• 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
.Sounds so simple …. and yet….
VALIDATION REPORTS
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
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
HUB & FIS REPORTS
FIS download link
Funding Information System & Validation Reports
• FIS is a downloadable application that can check your ILR data before you upload it to the Hub• https://www.gov.uk/government/pu
blications/individualised-learner-record-ilr-check-that-data-is-accurate
• 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
Available procedures
Hub Reports
UNIVERSITY OF LIFE
Rule Violation Summary Report UNIVERSITY OF LIFE
UNIVERSITY OF LIFE
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Rule Violation Summary
Error Reports and warnings
RESOLVING ERRORS
Approaching Errors
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
Common Data Issues • 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
• 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
• Ensure apprentice status is employed status
Managing DataApp 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 Matching
Check that data is correct and will upload - DATA VALIDATION SUMMARY & REPORT in FIS or the Hub
Data for Payments
Check data for eligibility FUNDING MONITORING REPORTS and use DSAT to ensure data qualityData Quality
Check FUNDING REPORTS for Earnings
Any discrepancies may lead to funding being clawed back.
Calculate and forecast the net payment you are due Funding Calculations
Check reports AFTER the ILR Close to confirm earnings -earnings, incentive payments for employers, plus reconciliation from over/ under payments
Payments
Check that the Apprenticeship Service employer Levy balance is correct Confirm
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…..
FUNDING REPORTS IN THE HUB
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) non-levy contract : – 16-18 non procured
– 16-18 procured
– 19+ procured
– 19+ non-procured
• Levy contracted (ACT 1)– 16-18 levy contract
– 19+ levy contract
Apprenticeship Funding ReportsProduced
when the ILR window has
closed
Produced when the ILR is submitted & processed
HUB*
Apprenticeship Data Match
Apprenticeship Data Match
Apprenticeships Indicative Earnings
Report
Apprenticeships Monthly Payment
Report
Apprenticeship Co-funding
Contributions Report
Funding Summary Report
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/co-investment payments
• No earnings produces a blank report
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 16-18 obviously not on this report
• If no investment is required, the report is blank
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 co-investment
• 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
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
Funding Monitoring Reports
No results in the summary lines =
no issues identified
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)
DSAT
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
DSAT Report Suite and Favourites
UNIVERSITY OF LIFE
2017/2018 reports
New DSAT reports in place for post May 2017 Apprenticeship starts.
1. 18A-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 36
7. 18A-212 Recording co-investment payments
8. 18A-213 Functional skills at level 2 or below in an Apprenticeship having already achieved level 2
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
• ESFA Digital Blog - https://sfadigital.blog.gov.uk/
• Follow ESFA Digital Service - @SFADigital
• Set up web alerts from - GOV.UK
Support
• Contact - [email protected]
• Contact [email protected]
• ILR Learner Entry 2017 to 2018 User Guide
Further Information
Q AND A
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 codes1. 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