A checklist of what you need to do at each data return period between now and R14.
R12 was the last in-year data collection of the academic year (for data changes occurring on or before 31st July 2021). Following R12 there are 2 further opportunities to ensure data returns are accurate (R13 and R14).
R13 closes at 6pm on 14 September 2021.
R14 closes at 6pm on 21 October 2021.
No further data changes relating to 2020 to 2021 can be made following the closure of R14 (21 October 2021). If your data is not submitted accurately by 6pm on 21 October 2021 this may impact payments.
Data changes that occur on or after 01 August 2021 should not be recorded in your R13 or R14 data submissions. These changes should be updated in your 2021 to 2022 data returns.
Tips for a successful R14 submission
Upload your return as early as possible
You can submit 2020 to 2021 ILR and EAS data in R13 and R14. R13 is now open for submissions. We would encourage all customers to take the opportunity to submit data as early as possible.
By returning close to the deadline, this shortens the amount of time available to make changes where required.
Where you do not have enough time to update records, this could (where applicable);
- affect your payments
- create additional work for your Final Funding Claim submission
- affect your QAR results
Additionally, if you need support or guidance from us close to any of the deadlines, we might not be able to resolve your query in time for you to make further changes to your data.
When to include Completions
You should only include completions in R13 and R14 (actual learning end date and achievement date) where these occur on or before 31st July 2021. This means where the learners last day on programme was in the 2020 to 2021 academic year.
Completions after this date should be in your R01 and onwards (2021 to 2022) data returns and the learner should be recorded as continuing in R13 and R14.
Please make sure that completions are recorded correctly. Our guidance for apprenticeship frameworks and standards recorded on Funding model 36 provides more information.
All records that are active at the end of the 2020 to 2021 should be migrated in to 2021 to 2022 ILR data. This is done automatically when you import your 2020 to 2021 XML file into the 2021 to 2022 ILR Learner Entry Tool.
Please seek guidance from your software supplier where you are using an alternate MIS (Management Information System).
To ensure a successful migration to 2021 to 2022 data, please check that breaks in learning and completions are recorded correctly.
Further guidance can be found within Appendices, validation rules, and schema ILR 2021 to 2022.
When to include learner changes
You must ensure your data is correct and report any changes to a learner’s programme in a timely manner.
If the learner has left their programme (e.g. withdrawal or agreed break in learning), you must report this to us in your R14 return. If any data does not match the evidence held in the learner file, you must ensure this is corrected in your R14 return.
Failure to return data such as withdrawals by R14 can result in a funding overclaim which could be recovered by us and may also impact achievement rates. This is explained further in the ESFA financial assurance: monitoring the funding rules.
Any changes to data after R14 (such as amending an incorrect planned end date), must be done following guidance published in the provider support manual to avoid triggering any validation rules or other error reports.
When to Include new starts
New starts should only be included where they occur on or before 31st July 2021.
You should also make sure that Reserve and Transfer funding is set up and matches the learning start date in ILR, as these errors are more difficult to correct after hard close (R14).
Our guidance on registering and using the apprenticeship service as an employer provides more information on the types of apprenticeship funding. Further guidance can be found at how to register and use the apprenticeship service as an employer.
Check error reports
Regularly check your Rule Violation Report after each upload to ensure that errors are rectified as soon as possible. You can find the Rule Violation Report in Download Reports immediately upon submission of your data.
In some instances, it is not possible to rectify data errors, these situations are recorded on our Submit Learner Data known issues.
Fixing data mismatch errors (dlock)
Check the Apprenticeship Data Match Report, a final version is published within the Period End Reports folder after the data return period has closed, or immediately once you have fully submitted your ILR data. Regularly check these reports to get an early indication of any errors that need addressing.
It is important to make sure there are no data mismatch errors. Where the records in your ILR do not match the records held on the Apprenticeship Service, please contact the employer to establish why there is a difference.
Our guidance on how to fix apprenticeship service data mismatches provides details on how to fix any errors you encounter.
Review the post-16 monitoring reports dashboard
We monitor the data you report to us to improve the overall quality of the data reported, assure ourselves that the provision we fund meets our published funding rules and support the development of effective policy. The post-16 monitoring reports dashboard is refreshed after each data return and identifies data quality and eligibility issues that you need to action in-year to ensure your funding is correct.
The landing page of the dashboard indicates which reports are subject to a recovery at year-end. Any errors remaining at year-end could have an impact on your final position, and could also raise your risk profile, which can increase the likelihood of your organisation being selected for audit.
Complete destination and progression records
Ensure that leavers have a Destination and Progression (D&P) record, where necessary.
You can be presented with errors at R14 for missing D&P records (which become errors 60 days after the end of the learner’s last aim completes). This could result is a clawback of funds.
When to return Earnings Adjustment Statement (EAS)
Earnings adjustment statement (EAS) is a submission to record certain types of funding that you cannot report in the Individualised Learner Record (ILR).
EAS should only be returned for the current funding year - 1st Aug 2020 to 31st July 2021 (08/2020 – 07/2021). Errors are given for dates outside of this range.
Earnings adjustment statement (EAS) 2020 to 2021 provides more information on how to claim for funding that is not reported in the ILR
Check payments and co-investment status
Check your earnings year to date are accurate using the Apps Indicative Earnings Report. This is generated at upload of your ILR data.
For learners where earnings are accurate, but payments do not match earnings, please check the Apprenticeship Data Match Report as any errors on this report may be preventing payments being made.
Check the co-investment status for learners. Where the Small Employer (SEM) field is not recorded, co-investment contributions will be due from the employer for the current year. The SEM field can be added at any time in the current year to take affect for the entire 2020 to 2021 academic year.
The SEM field cannot be added to backdate the requirement for employer co-investment contributions in a previous year.
Where it is identified that this field was not recorded in a previous academic years final R14 ILR data (for example R14 or 2019 to 2020), you must collect any employer co-investment contributions that where due in that year before we will release the completion element for Funding Model 36 Apprenticeships.