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ESFA funding guidance for young people 2018 to 2019 Subcontracting control regulations) ESFA Young People s Funding Team
2 Funding guidance for young people: 2018 to 2019 Format is the same as previous years. It consists of four separate books: Funding regulations (published April 2018) Funding rates and formula (published April 2018) ILR funding returns (published June 2018) this does not apply to schools or academies Subcontracting control regulations (published July 2018) All these documents are available at: www.gov.uk/16-to-19-education- funding-guidance
Subcontracting controls - the main paragraph references shown below (page 1) 3 3 - 13 Purpose 14 - 16 Definitions 17- 23 ESFA Intervention & monitoring 24 - 25 Ineligible provision 26 - 29 Restrictions on subcontracting 30 - 34 Distance subcontracting 35 - 42 Maintained schools and academies 44 - 45 Advice to Accounting Officers (Principals/Head Teachers) 46 - 49 Procurement 50 - 55 Due diligence
Subcontracting controls - the main paragraph references shown below (page 2) 4 56 Controls over students, tutors and provision 57- 59 Controls over qualifications and curriculum 60 - 67 Monitoring (control) visits and spot checks 68 - 73 Sub-contractors with multiple institution contracts 74 - 78 Transferring provision from institutions 79 Prevent duty
5 Sub-contracting controls Current continuing advice It should only be used by institutions either with sub- contractors or those considering entering into subcontracted partnerships. The document sets out for subcontracted provision (includes any franchise or partnership provision) some additional compulsory compliance advice to remind funded institutions that the previous eligibility advice on controls over such provision remains both a matter of good practice and relevant in avoidance of funding irregularity and potential fraud.
Subcontracting Funding regulations references 6 Paragraph 115 As set out in the separate document, Subcontracting control regulations, the legislation on pupil registration and attendance means that the practice of subcontracting the whole of a young person s programme by maintained schools and academies must have ceased in their entirety before the start of the 2018 to 2019 academic year. In addition taking into account the known risks of irregularity, the ESFA will not normally fund young people on distance subcontracting study programmes in any other funded institutions. A range of factors to be considered by institutions when deciding whether distance subcontracting may be included in funding returns is set out in Subcontracting control regulations.
7 Sub-contracting controls (Summary) New and updated information This guidance has been reviewed and substantially revised to make it easier to use and to strengthen requirements in a number of areas in response to issues identified in recent investigations. Concerns relate to the robustness of controls exercised by some funded institutions, the extent to which students on subcontracted provision receive the full entitlement and the attention paid to ensuring students are safeguarded. These concerns are exacerbated where the whole of a student s programme is subcontracted and where the delivery is at a distance from the directly funded institution. This is often the case where subcontracted provision in sport is delivered alongside sports academy/sports club activities. It is essential that the delivery of the ESFA funded programme and the delivery of the academy/club s activities are distinct from each other and that students understand the rules and requirements pertaining to each.
8 Sub-contracting controls (paragraph 5) Directly funded institutions must also make sure that they monitor the subcontracting delivery so that: they ensure learners are safeguarded learners have full access to the entitlement, including (but not limited to) information about and access to 16 to 19 bursary and other student support funding, information, advice and guidance (IAG) and access to learning support if required the provision is of good quality they ensure that all sites used for the delivery are of suitable quality for teaching and learning for young people
9 Sub-contracting controls (paragraph 8) Directly funded institutions are responsible for all aspects of provision delivered under subcontracting arrangements. This includes, but is not limited to: eligibility performance safeguarding fee charging institutions must be clear that public funding is only used to pay for delivering study programmes, and is not used to cover ancillary aspects, such as memberships of sports clubs or theatre groups
10 Sub-contracting controls (paragraph 10) Institutions must have a written contract with their subcontractor. It must set out the respective responsibilities of both the institution and the subcontractor. The contract must entitle the institution to exercise the management controls over the subcontractor s activity, including access by auditors appointed by either the institution or the funding body. Each institution will wish to take its own legal advice before entering into contracts. Paragraphs 27 and 74 to 78 sets out the requirements when contracts are terminated early.
11 Sub-contracting controls (paragraph 13) The directly funded institution will usually retain part of the study programme funding to cover the cost of managing and administering the contract. The amount of funding must be proportionate to the costs, and must be determined through due diligence and risk assessment processes.
12 Sub-contracting controls Definitions (see paragraphs 14 -16) ESFA interventions (paragraphs 17 23) in respect of failed procedures by the directly funded institution
13 Sub-contracting controls (paragraph 24) Ineligible provision within study programmes When a funded institution records or claims for non-existent or ineligible subcontracted activity, the ESFA will seek recovery of funds paid for the ineligible activity or students. This recovery can include grant-in-aid funding that is not otherwise subject to reconciliation arrangements. Recovery will usually be done through adjusting lagged funding values, but in the case of serious error or irregularity the ESFA may also remove the grant-in-aid relationship and require in-year funding recovery. When institutions record ineligible activity the ESFA can recover any funding associated with the ineligible activity in the current year, and can also recover funds from the 6 previous funding years. This is in accordance with normal public sector accounting rules for the protection of public funds.
14 Sub-contracting controls Restrictions on subcontracting Second level (paragraphs 28 - 29) Distant subcontracting (paragraphs 30-34) Maintained schools and academies (paragraphs 35 -41)
15 Sub-contracting controls (paragraph 30) Distant subcontracted delivery within study programmes (slide 1) In exceptional circumstances only, institutions may make subcontracting arrangements for delivery that is outside their normal recruitment area. ('Normal recruitment area' is defined in the Funding regulations guidance.) Such distance subcontracting arrangements carry more risk and it is inherently more difficult for institutions to exercise the appropriate level of control and to safeguard students. Institutions must remember that they are responsible for the young people enrolled on subcontracted provision and for the proper use of the public funding they claim.
16 Sub-contracting controls (paragraphs 31 Distant subcontracted delivery within study programmes (slide 2) It may be appropriate for FE institutions to make distance subcontracting arrangements for the whole of students' programmes; however, these circumstances will be rare. Schools and academies must not subcontract whole study programmes under any circumstances, as set out in paragraphs 35 to 37.
17 Sub-contracting controls (paragraphs 32) Distant subcontracted delivery within study programmes (slide 3) When FE institutions make distance subcontracting arrangements, they must exercise the same procedures and controls as for local subcontracting. They must also: have auditable evidence of the exceptional circumstances that make the distance subcontracting necessary consider the funding implications and assure itself that the arrangement will comply with all guidance in advance of any recruitment (for example, the principles of funding and the design of study programmes set out in Funding regulations) keep evidence that they are properly and effectively monitoring and controlling the provision and safeguarding the students as set out in this guidance
Subcontracting controls (slide 1) 18 Paragraph 34 The ESFA will consider a range of factors when deciding whether distance subcontracting arrangements are within the letter and the spirit of guidance, including but not limited to: (the factors are listed on next slide and the font size here and on the next slides has been slightly reduced so they all fit on one slide).
Subcontracting controls (slide 2) (continuation from previous slide) 19 the extent to which the directly funded institution is involved in delivery (for example teaching part of the programme or just providing financial and quality assurance) whether the amount of funding retained by the directly funded institution is proportionate to the costs they incur in the management and administration of the contract the extent to which the provision being made available is already available via other directly funded institutions in the locality and is accessible to students in the area where the subcontract operates the extent to which a gap in the provision of the type to be delivered under the proposed subcontract has been identified or supported by the local authority or an employer the location of delivery and the nature of travel to learn/travel to work patterns the extent of student contact with the directly funded institution
20 Sub-contracting controls (paragraph 44 - slide 1) Institutions' management and governors must make sure that: subcontracted delivery arrangements comply with the evidence requirements set out in companion document Funding regulations (section 6: evidence of student existence and eligibility) the controls set out in this document are in place and operating for all subcontractor arrangements they are making appropriate systematic checks to ensure that students enrolled by subcontractors on their behalf and recorded in their records are correctly described in their own student record system and were actually receiving the scheduled provision described
21 Sub-contracting controls (paragraph 44 - slide 2) Institutions' management and governors must make sure that: money from the 16 to 19 Bursary Fund is distributed in accordance with the relevant guidance, and is not used to pay for activity, equipment, or memberships that are not necessary for the study programme subcontracted delivery is of good quality students are safeguarded and are able to access financial and learning support in the same way as those attending the institution Funding regulations: www.gov.uk/government/publications/advice-funding- regulations-for-post-16-provision
22 Sub-contracting controls Controls and procedures Advice for Accounting Officers (paragraphs 44 - 45) Procurement (paragraphs 46 49) Due diligence (paragraphs 50 55) Controls over students, tutors and provision (paragraph 56) Controls over qualifications and curriculum (paragraphs 57 - 59) Monitoring (control) visits and spot-checks within study programmes (paragraphs 60 67)
23 Sub-contracting controls (paragraph 61) Monitoring must include : checks on eligibility of provision direct observation of the initial guidance and assessment process observation of the delivery of the study programmes throughout the period of delivery, which may include reviewing examples of student work
24 Sub-contracting controls (paragraph 62 & 63) Spot-check visits must be carried out regularly, taking account of the pattern of provision so that they are applied to a significant proportion of students. It is best practice for institutions to carry out some checks at enrolment. Spot-check visits must involve the institution making unannounced visits in-year to each subcontractor. The checks must include all sites (any place where delivery takes place) for each subcontractor, rather than simply revisiting the same site. The checks must be proportionate to the risk and volume of the provision and contract. They must also be undertaken throughout the year at times that are proportionate to the periods in which funding is being claimed.
25 Sub-contracting controls (paragraph 64) Institutions must ensure that they meet and interview a sample of students and staff regularly. Institutions must ask students to name the institution they are enrolled at, and must also ask if they are at the same time, or have been recently, a student at another ESFA-funded institution. Other evidence sought must include: marketing material copies of registers signed learning agreements registration documents for awarding bodies visit notes from external moderators evidence of certification evidence of safeguarding activities
26 Sub-contracting controls (paragraphs 66 & 67) Institutions must use systematic checks to confirm that the provision is being delivered and the location of delivery is consistent with their expectations and records. The number and characteristics of students must accord with the institution s expectations and records. For example, they must investigate any obvious mismatch between the apparent and expected age of the students. The ESFA-funded institution must carry out an investigation at their own cost if there is any evidence of a subcontractor having irregular financial or delivery activity. They must report the outcome of the investigation, in writing, to the ESFA within 10 days of the investigation ending.
27 Sub-contracting controls Subcontractors with contracts with multiple institutions (paragraphs 68 -73) Transferring provision between institutions (paragraphs 74 78) Prevent duty (paragraph 79)
28 Questions and answers on subcontracting
ESFA views on 16-19 subcontracting (Question 1 - 2) Q1 What sort of 16-19 subcontracting do the ESFA support? 29 A1 funded institutions work with local groups or organisations that specialise in niche areas of the curriculum or target NEET or other hard to reach young people so that they become engaged in further education and training. Many of these groups or organisations are often small and need local support in meeting the needs of the young people. This support is best offered by our funded institutions as they are too small for the ESFA to offer direct 16-19 funding contracts. This removes the requirement on such groups and organisations to need to make either their own data returns to us or complete all the requirement to be directly funded by the ESFA. The students recruited through good subcontracting arrangements often then progress onto direct full time study programmes at our funding institution. We allow subcontracting because we are aware many of our
ESFA views on 16-19 subcontracting (Question 1 - 2) Q2 What sort of 16-19 subcontracting do the ESFA not fund? 30 A2 institution natural local recruitment area. We have made this decision so as to encourage only local subcontracting that offers students a natural progression from the subcontracted programme onto a further study programme at the directly funded institution. We do not normally fund subcontracting that is outside any funded Historically funding eligibility problems have more often arisen where students are attending institutions outside of their normal recruitment area, particularly where this involves sub-contracted provision and in such cases additional safeguards are required from institutions for all such delivery. Given the known risks of irregularity in distance sub-contracting, the ESFA will not normally fund such 16-19 whole programme provision subcontracted by FE institutions schools and academies must not subcontract the whole of student s programme.
ESFA views on 16-19 subcontracting (Question 3) (slide 1) Q3 How do I control subcontracting? 31 A3 institutions to undertake in paragraphs 60 67. Some examples are set out below of effective monitoring used in the past by some FE colleges: We set out the sort of monitoring activities we expect funded Asking those charged with curriculum checks to undertake some simple eligibility checks when undertaking monitoring visits and spot checks over the curriculum delivery: Are the students attending at time of the visit those recorded in the college data systems and is their a reasonable match between expected and actual student numbers Do all the students recognise the college/FE provider as their own college/provider or do they think they belong to a different college (or other funded institution)
ESFA views on 16-19 subcontracting (Question 3) (continued - slide 2) Q3 How do I control subcontracting? 32 A3 simple eligibility checks when undertaking monitoring visits and spot checks over the curriculum delivery: Asking those charged with curriculum checks to undertake some review the student learning agreements and enrolment records review the registration documents for awarding bodies and any visit notes from external moderators ensure eligible students have been given access to bursary and free meals support and that all students have been assessed for learning support
For more information and questions Contact us Online contact form Visit the website The four Funding guidance documents are available at: www.gov.uk/16-to-19-education-funding-guidance 33
ESFA funding guidance for young people 2018 to 2019 Subcontracting control regulations) ESFA Young People s Funding Team
