RoATP and Non-Levy Paying Employer ITT Question and Answer Summary
November 2016
Contents
General RoATP and ITT
Evidence
ITT General Queries
Volume and Values Spreadsheet
Working with Standards in Development
Funding
Quality
Safeguarding
Evidence requirements
Your Apprenticeship ‘Service’
Sub-Contracting
End-Point Assessment
A /General RoATP and ITT
/ STATUS / Answer1 / RoATP – what proportion of applications are turned down? / CLOSED / The RoATP is a new register that will attract lots of new organisations who would not have previously applied so it is difficult to assess the pass rate.
2 / Do spaces count in the character limit? / CLOSED / Yes, as do all types of characters including full stops, asterisks etc.
3 / Does the RoATP application have to be completed before we can access the ITT? / CLOSED / No, you can do both simultaneously. However, you cannot be awarded funding through the ITT if you have failed in your application to the RoATP at the point when funding contracts are awarded.
4 / Do we need to register on the RoAAO? / CLOSED / Yes if you deliver an integrated Degree Apprenticeship or want to deliver end point assessment for Apprenticeships delivered by other providers. There will be a UVAC webinar on the RoAAO in early December.
5 / What happens if we fail RoATP and ITT and we have existing apprentices? / AWAITING SFA VIEW
B /
Evidence
5 / Is there a limit to the number of uploads we might use for evidence? / CLOSED / The only uploads asked for are the forms supplied with the application. You must not upload any documents unless asked to do so in the RoATP or ITT instructions.6 / So we cannot upload additional evidence in the ITT but we can for the RoATP is that right? / CLOSED / No this is incorrect. Neither the RoATP nor the ITT ask for extra evidence to be uploaded.
7 / The character limit is too small to add in all the evidence and additional information about policies and processes. If a provider is doing up to 10 sectors the character limit insufficient to talk about demand in each sectors and meet the other requirements as well. Can we refer to an upload where the character limit is insufficient? How will that be treated against the scoring system? / CLOSED / The SFA is not asking for a list of policies, codes of practice and academic regulations, though naming key ones is essential. The RoATP and ITT ask you to explain how they work and in particular how they demonstrate that you meet the criteria.
If you have multiple sets of data to support your case, set out the general case / approach and use one or two sectors as examples.
Do use the terms apprenticeship and apprentice. Always think about the apprenticeship and that the customer and purchaser is the employer.
C /
ITT General Queries
/ STATUS / RESPONSE1 / Is this the only opportunity to respond to this ITT? / CLOSED / Possibly. Currently, the SFA have reserved the right to issue another ITT but this does not look very likely. No dates have been issued and the guidance also states that the SFA may, if the Digital Apprenticeship Service is not ready for non-levy paying employers by 31 July 2018, simply extend contracts for those successful in this ITT for up to 24 months. There is no indication that the ITT will be reissued with the next RoATP opening either.
2 / Do we know how much funding is available? / CLOSED / This is published in the ITT.
3 / Please can you be very clear about students already under SFA contract already with a year or two to run under existing funding models. We understand that these will be continued under the existing contract and should NOT be included in this ITT. / CLOSED / This ITT only provides funding for apprenticeships that start on or after 1 May 2017. You should not include apprentices who have started before this date in your funding value in this ITT. Funding arrangements for apprentices already on programme on 1 May 2017 will be made clear by the SFA nearer the date.
4 / What if you over bid and cannot spend the money you have been allocated? / CLOSED / The SFA want to ensure thatyou do spend the allocation you have been given. If you don’t meet the numbers of apprentices you forecast, or they do not require the level of funding, the SFA will want to take money back from you to give to others who are growing and need extra funding. If your underspending is significant, you will classed as underperforming – SFA expect you to take action to replace lost employer business if possible and would expect notification early to demonstrate control of the money – do not leave it until end of the FY.
5 / If we have an SFA contract already do we need to include this in the ITT bid values / CLOSED / No. The ITT is for only new starts from May 2017.
6 / If predict 40 16-18 and then additional 10 – what happens? / CLOSED / You must not over commit or over spend against your contract and you must apply for growth if your contract is too small. The SFA always look to fund high quality apprenticeships, but as the budget is fixed you must manage your contract closely.Growth is currently possible at set times on the year but any over commitment you make is at your own financial risk until growth is approved by the SFA - and this approval is not automatic.
7 / Is there an expectation that in an oversubscribed market SFA will pro rata downwards or reject in certain cases – what happens at contract negotiations? / AWAITING SFA VIEW / The ITT appears tobe a minimum threshold bid, meaning that everyone over the threshold will get a contract, but these might be reduced down pro-rata to remain within the overall budget. There will though be a minimum contract value.
Volume and Values Spreadsheet
9 / The ITT requests funding volumes and values. We currently have no training provision to offer against published standards, and so we wonder whether there is any point responding to this ITT at this stage? / CLOSED / Not to respond creates a risk that you might not be able to deliver (for non-levy paying employers) until 2020, if the SFA extend the non-levy contracts further if the DAS is not ready for this group of employers.10 / How can the Index of Multiple Deprivation (IMD)be applied to help estimating impact (it does not relate to the HEFCE POLAR measure)– / CLOSED / The IMD is postcode based so you will need to make a comparison with your catchment areas and likely apprentice demographic to estimate.
11 / Do we have to do two funding volume spreadsheets, one for May 17 to March 18 and one for April 18 to July 18 / CLOSED / No. the spreadsheet asks you to split your funding totals as part of the sheet columns/rows.
12 / Are the incentives for 19+ students (care leavers, ECH) included in the 19+ budget? / AWAITING SFA VIEW / All incentives for apprentice 19+ comes out of the 19+ budget.
13 / How should we account for the 20% end payment in the spreadsheet?. Do we include this in the monthly calculations or remove it unless the last month of the apprenticeship and only include this if it is within the 15 month window? / AWAITING SFA VIEW
14 / When does the disadvantage uplift get paid? / AWAITING SFA VIEW
15 / Where does the funding come from when an employer drops out of levy funded into the 90/10% model? Does it come from the non-levy budget and if so, do we have to include a % for this eventuality in the ITT value? / AWAITING SFA VIEW
16 / Should we include both the Employer £1000 incentive and the Provider £1000 incentive in our contract amount estimate? / CLOSED / Yes. These go into the ‘other’ heading.
17 / Regarding the reference to cost in the spreadsheet... Does this mean price (i.e. cost to the employer?) / CLOSED / Yes.
Working with Standards in Development
18 / Do we list standards in development individually in the Volume and Values sheet, or add them all together in the row headed ‘standards in development’? / AWAITING SFA VIEW19 / Where do we show our business case for standards in development? / CLOSED / Show business cases for standards in development as part of other narrative where demand for apprenticeships needs to be demonstrated.
20 / Does standards under development mean those standards for which an EoI has been accepted (and so are in development) or must they be at a specific stage of development, e.g. ready for publication? / CLOSED / Any standard not published as ‘approved for delivery’ with a funding cap is classified as a standard in development.
21 / How we interpret “Standard under development” in terms of whether or not to respond to this ITT at this time? Does “Standard under development” include some or all of the following? a) We know that employers are working towards developing a standard and an EoI is planned? b) An EoI has been submitted c)An EoI has been approved d)A standard is under development against an approved EoI? / AWAITING SFA VIEW / SFA to clarify if standards being proposed by employers pre-EOI approval can be included.
22 / How will a growth case be handled if planned starts are delayed due to late approval (or non-approval) of a standard? / AWAITING SFA VIEW / If you have not been able to start apprentices as planned this would suggest that you have available funds to support expansion elsewhere and would not need a growth case.
SFA to clarify how delayed standards approval (i.e. outside the provider’s control) leading to being unable to proceed with starts is viewed in performance management.
Funding
23 / Are the 15 funding bands final now? / CLOSED / Probably, but if they do change in the middle of the ITT process the allocations team at SFA will assess the impact on contracts centrally and adjust accordingly.24 / What about 16-18 numbers and virement - will this be possible? / AWAITING SFA VIEW / SFA to clarify how / whether virement will be possible.
25 / From AY 2017 HE fees will be £9250 p.a. Will the SFA be increasing their top cap 15? / AWAITING SFA VIEW / SFA to clarify.
26 / Should we put in everything we hope to deliver? / CLOSED / Include volumes that you can demonstrate strong demand for. You also need to demonstrate that you have capacity and systems in place to deliver.
27 / If we are planning on delivering from Sept 17 in line with the academic year, or with employer request how will it affect our application? / CLOSED / You need to demonstrate that you will be able to deliver from May 1st to comply with the application. This needs to be clear in your application (regardless of whether you start your first planned cohort immediately or not).
28 / Will we need a new funding contract for students starting in 2017 and continuing past the end of July 2018? / CLOSED / Yes. The guidance states that the SFA will confirm arrangements for this provision nearer the date.
29 / Is the funding available to cover up to 5 years of training for cohorts starting from September 17 on a degree apprenticeship? / CLOSED / The funding in this contract is for 15 months only. The SFA will confirm arrangements for funding any apprenticeship that started before 31 July 2018 at a laterdate. If you are still on the RoATPat this point, the expectation is that you wouldbe provided witha run out funding allocation and contract for these apprentices.
30 / Does disadvantaged uplift remain under merged funding methodology? / CLOSED / There is a new payment for disadvantage that applies to both standards and frameworks.
31 / Funding says you have to have a minimum £213k for 16-18 group. What if the majority is to 19+ and the amount for 16-18 is nominal. / Checking
32 / Should we complete figures based on maximum cap value or use an educated guess on actual amount that will be charged to employers? / CLOSED / Unless you have a price agreed or in mind, just use the funding cap.
33 / Is government funding paid monthly for the full duration of the apprenticeship (i.e. 12 months a year for 3 years)? / CLOSED / Government funding is paid in equal monthly amounts from the start date to end date.
34 / If an apprentice is 18 at the start of programme age 18 how are they funded 19+? / CLOSED / All apprentices continue to be funded from the budget and on the funding model they were on when they started the programme.
Quality
35 / Our QAA predates the latest classifications so do we tick that we have had a review? / AWAITING SFA VIEW36 / We have not been through a full HEFCE review – are we exempt from submitting all the financial statements? / AWAITING HEFCE/SFA VIEW / The guidance under exemptions says the following organisations are exempt from financial health assessment and do not need to submit financial statements – ‘universities monitored and supported by HEFCE’
Safeguarding
37 / Safeguarding and PREVENT - what expectations does SFA have of HE (who deal with adults)? Where is this expectation set out? / AWAITING SFA/HEFCE VIEW / SFA/HEFCE to clarifyEvidence requirements
38 / What evidence are they [SFA] looking for in terms of checking that our provision will not duplicate any other provision? / CLOSED / You need to demonstrate in your application that you aren’t duplicating. The SFA won’t check this - you need to make a clear case for the capacity and demand locally –numbers and data essential. The SFA will however look at the amount of provision in an area to see if proposed supply outstrips demand.39 / If all our current apprenticeship programmes are with large employers, to what extent should we rely upon this as evidence? We have relationships with SMEs but are not yet delivering apprenticeships or similar programmes to them. / CLOSED / This is useful evidence of delivering to the same sector, age groups so do use it, but bring other SME evidence if you can and explain how your service will be different for a SME, how you will meet SME need and why SMEs will want to use your provision.
40 / If I have a previous contract will performance levels be used automatically to evaluate the bid? / CLOSED / Previous performance data is not used in evaluating the tender, but you can and should use this in your evidence.
41 / What is included in relevant staff CPD and expertise? / CLOSED / Remember that apprenticeship staff also means non- academic staff – key issues will be sector expertise, knowledge and track record in the model you will adopt to deliver the apprenticeship.
42 / What is the evidence for a contract relationship with SFA? / CLOSED / If you have /are holding a contract with the SFA you simply need to refer to this in your narrative,
43 / What evidence would you use for ‘how will this add value to the employer and to government initiatives?’ / CLOSED / Growth towards the 3 M apprenticeship target, Sainsbury Review, increasing STEM skills, LEP skills priorities, productivity, social mobility, access to the professions for under-represented groups are all examples of government initiatives. Increasing emphasis is being placed by Government on social mobility.
44 / Should we name and list the employers who support employer sponsored programmes? / CLOSED / Not unless you are offering them as a relevant example of evidence to demonstrate your response to a question. A list on its own does not provide sufficient evidence.
45 / What is important about the Continuity plan? / CLOSED / SFA are looking for evidence that in any sort of emergency, you have the systems and processes to continue delivery. This is also evidence that you have sufficient management process in place to run your organisation effectively.
Your Apprenticeship ‘Service’
46 / Do non-levy paying employers have to have only one prime / lead provider for all of their provision? Do employers using the DAS also have to work through one lead provider? / AWAITING SFA VIEW47 / Will we have to set up each apprenticeship on LARS ? / AWAITING SFA VIEW / Every apprenticeship is given a LARS code when it is approved.
SFA to clarify whether individual degrees will need an individual LARS code.
48 / Draft contract for services – is this open to discussion or amendment? / CLOSED / No. This is the SFA’s contract for services and providers are bound by all clauses (and must replicate this with their own subcontractors).
49 / What is a good apprenticeship – does this mean monthly reviews? Is it over course of 12 months or AY? / Checking
50 / We don’t have time to create new policies – is this a problem? / CLOSED / The apprenticeship does not require new policies, only assurance and evidence that the policies in place now, can deliver a high-quality apprenticeship. They need to be relevant for apprenticeships, and evolve to include what is needed.
Sub-Contracting
51 / We would prefer to maintain our current arrangement whereby our strategic partners will bid in rather than us. / CLOSED / This creates a risk that you might not be able to deliver until 2020, if the SFA extend the non-levy contracts further if the DAS is not ready. You also still need to apply to the RoATP as a subcontractor unless your contract would be under 100k.52 / Delivery of programmes with FE partners - who owns the apprentice? / CLOSED / Whichever organisation holds the contract with the employer for delivery is accountable for all aspects of the apprenticeship.
53 / If you currently work with a subcontractor (under your SFA contract), do they have to be on RoATP and have a new funding contract? / CLOSED / This depends. If the subcontract has a quantum of contracts under 100k they do not need to be on the register, if their quantum is over 100K they must successfully apply to be on the RoATP sub-contractor route.
54 / Do we have to undertake a separate procurement exercise if we wish to subcontract with partner colleges? / AWAITING SFA VIEW / This depends on the extent to which public procurement rules apply.
SFA to clarify
55 / Can a provider who delivers – by agreement with the Higher Education Provider - functional skills deliver under a separate ILR or is it sub-contracted provision and therefore goes via main provider ILR and payment of £471 routed through them? / AWAITING SFA VIEW / The organisation that holds the employer relationships is the prime provider, and responsible for receiving and deploying all funding including English and Maths.
SFA to confirm ILR arrangements
End-Point Assessment
56 / Is the cost of the EPA included in the cap/ price to the employer? / CLOSED / Yes.57 / Who pays the EPA if they are chosen by an employer? / CLOSED / For non-levy paying employers, you will receive this money and contract with / make payment to the EPA.
58 / How can you calculate funding for EPA when the dates will be based on individual readiness? / CLOSED / Most apprentice will be ready at about the same time so this should not be too problematic. Providers need to be good at estimating end dates accurately at the start of the programme as this ‘timeliness’ is important. Employer views will also be a good indication of when individuals are ready.
59 / For a degree apprenticeship, does the life of the apprenticeship end when the apprentice completes the degree programme or when they complete the end-point assessment? / CLOSED / An apprenticeship based on a standardcannot be awarded until they successfully complete the end-point assessment. For an integrated degree apprenticeship, however, the degree award is the test of knowledge, skills and behaviours and no further end-point is necessary. Whether a degree apprenticeships is an integrated model will be set out in the individual assessment plans.
60 / Is the EPA classified as full sub-contracting? / AWAITING SFA VIEW
End v1. Nov 15 2016